[Title 14 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2001 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

                    14


          Parts 1 to 59

                         Revised as of January 1, 2001

Aeronautics and Space





          Containing a codification of documents of general 
          applicability and future effect
          As of January 1, 2001
          With Ancillaries
          Published by:
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



[[Page ii]]

                                      




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2001



  For sale by the Superintendent of Documents, U.S. Government Printing 
                                  Office
 Internet: bookstore.gpo.gov    Phone: (202) 512-1800    Fax: (202) 512-
                                   2250
                Mail: Stop SSOP, Washington, DC 20402-0001



[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 14:
          Chapter I--Federal Aviation Administration, 
          Department of Transportation (parts 1 to 59)               3
  Finding Aids:
      Material Approved for Incorporation by Reference........     891
      Table of CFR Titles and Chapters........................    1055
      Alphabetical List of Agencies Appearing in the CFR......    1073
      List of CFR Sections Affected...........................    1088



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                     ----------------------------

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  14 CFR 1.1 refers 
                       to title 14, part 1, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, January 1, 2001), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
info@fedreg.nara.gov.

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
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Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers, Weekly Compilation of Presidential 
Documents and the Privacy Act Compilation are available in electronic 
format at www.access.gpo.gov/nara (``GPO Access''). For more 
information, contact Electronic Information Dissemination Services, U.S. 
Government Printing Office. Phone 202-512-1530, or 888-293-6498 (toll-
free). E-mail, gpoaccess@gpo.gov.
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

January 1, 2001.



[[Page ix]]



                               THIS TITLE

    Title 14--Aeronautics and Space is composed of five volumes. The 
parts in these volumes are arranged in the following order: parts 1-59, 
60-139, 140-199, 200-1199, and part 1200-End. The first three volumes 
containing parts 1-199 are comprised of chapter I--Federal Aviation 
Administration, Department of Transportation (DOT). The fourth volume 
containing parts 200-1199 is comprised of chapter II--Office of the 
Secretary, DOT (Aviation Proceedings) and chapter III--Commercial Space 
Transportation, Federal Aviation Administration, DOT. The fifth volume 
containing part 1200-End is comprised of chapter V--National Aeronautics 
and Space Administration. The contents of these volumes represent all 
current regulations codified under this title of the CFR as of January 
1, 2001.

    Redesignation tables appear in the Finding Aids section of the 
volume containing parts 60-139.

[[Page x]]





[[Page 1]]



                     TITLE 14--AERONAUTICS AND SPACE




                   (This book contains parts 1 to 59)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Federal Aviation Administration, Department of 
  Transportation............................................           1


Cross References: Department of the Air Force; Use of Air Force 
  installations by other than U.S. Department of Defense aircraft: See 
  National Defense, 32 CFR Part 855.

  Federal Communications Commission, aviation services: See 
Telecommunication, 47 CFR Part 87.

[[Page 3]]



CHAPTER I--FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION




  --------------------------------------------------------------------

                        SUBCHAPTER A--DEFINITIONS
Part                                                                Page
1               Definitions and abbreviations...............           5
                     SUBCHAPTER B--PROCEDURAL RULES
11              General rulemaking procedures...............          18
13              Investigative and enforcement procedures....          28
14              Rules implementing the Equal Access to 
                    Justice Act of 1980.....................          70
15              Administrative claims under Federal Tort 
                    Claims Act..............................          76
16              Rules of practice for Federally-assisted 
                    airport enforcement poceedings..........          81
17              Procedures for protests and contracts 
                    disputes................................          96
                         SUBCHAPTER C--AIRCRAFT
21              Certification procedures for products and 
                    parts...................................         112
23              Airworthiness standards: Normal, utility, 
                    acrobatic, and commuter category 
                    airplanes...............................         163
25              Airworthiness standards: Transport category 
                    airplanes...............................         336
27              Airworthiness standards: Normal category 
                    rotorcraft..............................         533
29              Airworthiness standards: Transport category 
                    rotorcraft..............................         613
31              Airworthiness standards: Manned free 
                    balloons................................         728
33              Airworthiness standards: Aircraft engines...         735
34              Fuel venting and exhaust emission 
                    requirements for turbine engine powered 
                    airplanes...............................         767
35              Airworthiness standards: Propellers.........         776
36              Noise standards: Aircraft type and 
                    airworthiness certification.............         780
39              Airworthiness directives....................         850

[[Page 4]]

43              Maintenance, preventive maintenance, 
                    rebuilding, and alteration..............         851
45              Identification and registration marking.....         865
47              Aircraft registration.......................         871
49              Recording of aircraft titles and security 
                    documents...............................         883
50-59           [Reserved]

[[Page 5]]





                        SUBCHAPTER A--DEFINITIONS



PART 1--DEFINITIONS AND ABBREVIATIONS--Table of Contents




Sec.
1.1  General definitions.
1.2  Abbreviations and symbols.
1.3  Rules of construction.

    Authority: 49 U.S.C. 106(g), 40113, 44701.



Sec. 1.1  General definitions.

    As used in Subchapters A through K of this chapter, unless the 
context requires otherwise:
    Administrator means the Federal Aviation Administrator or any person 
to whom he has delegated his authority in the matter concerned.
    Aerodynamic coefficients means non-dimensional coefficients for 
aerodynamic forces and moments.
    Air carrier means a person who undertakes directly by lease, or 
other arrangement, to engage in air transportation.
    Air commerce means interstate, overseas, or foreign air commerce or 
the transportation of mail by aircraft or any operation or navigation of 
aircraft within the limits of any Federal airway or any operation or 
navigation of aircraft which directly affects, or which may endanger 
safety in, interstate, overseas, or foreign air commerce.
    Aircraft means a device that is used or intended to be used for 
flight in the air.
    Aircraft engine means an engine that is used or intended to be used 
for propelling aircraft. It includes turbosuperchargers, appurtenances, 
and accessories necessary for its functioning, but does not include 
propellers.
    Airframe means the fuselage, booms, nacelles, cowlings, fairings, 
airfoil surfaces (including rotors but excluding propellers and rotating 
airfoils of engines), and landing gear of an aircraft and their 
accessories and controls.
    Airplane means an engine-driven fixed-wing aircraft heavier than 
air, that is supported in flight by the dynamic reaction of the air 
against its wings.
    Airport means an area of land or water that is used or intended to 
be used for the landing and takeoff of aircraft, and includes its 
buildings and facilities, if any.
    Airship means an engine-driven lighter-than-air aircraft that can be 
steered.
    Air traffic means aircraft operating in the air or on an airport 
surface, exclusive of loading ramps and parking areas.
    Air traffic clearance means an authorization by air traffic control, 
for the purpose of preventing collision between known aircraft, for an 
aircraft to proceed under specified traffic conditions within controlled 
airspace.
    Air traffic control means a service operated by appropriate 
authority to promote the safe, orderly, and expeditious flow of air 
traffic.
    Air transportation means interstate, overseas, or foreign air 
transportation or the transportation of mail by aircraft.
    Alert Area. An alert area is established to inform pilots of a 
specific area wherein a high volume of pilot training or an unusual type 
of aeronautical activity is conducted.
    Alternate airport means an airport at which an aircraft may land if 
a landing at the intended airport becomes inadvisable.
    Altitude engine means a reciprocating aircraft engine having a rated 
takeoff power that is producible from sea level to an established higher 
altitude.
    Appliance means any instrument, mechanism, equipment, part, 
apparatus, appurtenance, or accessory, including communications 
equipment, that is used or intended to be used in operating or 
controlling an aircraft in flight, is installed in or attached to the 
aircraft, and is not part of an airframe, engine, or propeller.
    Approved, unless used with reference to another person, means 
approved by the Administrator.
    Area navigation (RNAV) means a method of navigation that permits 
aircraft operations on any desired course within the coverage of 
station-referenced navigation signals or within the limits of self-
contained system capability.

[[Page 6]]

    Area navigation low route means an area navigation route within the 
airspace extending upward from 1,200 feet above the surface of the earth 
to, but not including, 18,000 feet MSL.
    Area navigation high route means an area navigation route within the 
airspace extending upward from, and including, 18,000 feet MSL to flight 
level 450.
    Armed Forces means the Army, Navy, Air Force, Marine Corps, and 
Coast Guard, including their regular and reserve components and members 
serving without component status.
    Autorotation means a rotorcraft flight condition in which the 
lifting rotor is driven entirely by action of the air when the 
rotorcraft is in motion.
    Auxiliary rotor means a rotor that serves either to counteract the 
effect of the main rotor torque on a rotorcraft or to maneuver the 
rotorcraft about one or more of its three principal axes.
    Balloon means a lighter-than-air aircraft that is not engine driven, 
and that sustains flight through the use of either gas buoyancy or an 
airborne heater.
    Brake horsepower means the power delivered at the propeller shaft 
(main drive or main output) of an aircraft engine.
    Calibrated airspeed means the indicated airspeed of an aircraft, 
corrected for position and instrument error. Calibrated airspeed is 
equal to true airspeed in standard atmosphere at sea level.
    Canard means the forward wing of a canard configuration and may be a 
fixed, movable, or variable geometry surface, with or without control 
surfaces.
    Canard configuration means a configuration in which the span of the 
forward wing is substantially less than that of the main wing.
    Category:
    (1) As used with respect to the certification, ratings, privileges, 
and limitations of airmen, means a broad classification of aircraft. 
Examples include: airplane; rotorcraft; glider; and lighter-than-air; 
and
    (2) As used with respect to the certification of aircraft, means a 
grouping of aircraft based upon intended use or operating limitations. 
Examples include: transport, normal, utility, acrobatic, limited, 
restricted, and provisional.
    Category A, with respect to transport category rotorcraft, means 
multiengine rotorcraft designed with engine and system isolation 
features specified in Part 29 and utilizing scheduled takeoff and 
landing operations under a critical engine failure concept which assures 
adequate designated surface area and adequate performance capability for 
continued safe flight in the event of engine failure.
    Category B, with respect to transport category rotorcraft, means 
single-engine or multiengine rotorcraft which do not fully meet all 
Category A standards. Category B rotorcraft have no guaranteed stay-up 
ability in the event of engine failure and unscheduled landing is 
assumed.
    Category II operations, with respect to the operation of aircraft, 
means a straight-in ILS approach to the runway of an airport under a 
Category II ILS instrument approach procedure issued by the 
Administrator or other appropriate authority.
    Category III operations, with respect to the operation of aircraft, 
means an ILS approach to, and landing on, the runway of an airport using 
a Category III ILS instrument approach procedure issued by the 
Administrator or other appropriate authority.
    Category IIIa operations, an ILS approach and landing with no 
decision height (DH), or a DH below 100 feet (30 meters), and 
controlling runway visual range not less than 700 feet (200 meters).
    Category IIIb operations, an ILS approach and landing with no DH, or 
with a DH below 50 feet (15 meters), and controlling runway visual range 
less than 700 feet (200 meters), but not less than 150 feet (50 meters).
    Category IIIc operations, an ILS approach and landing with no DH and 
no runway visual range limitation.
    Ceiling means the height above the earth's surface of the lowest 
layer of clouds or obscuring phenomena that is reported as ``broken'', 
``overcast'', or ``obscuration'', and not classified as ``thin'' or 
``partial''.
    Civil aircraft means aircraft other than public aircraft.

[[Page 7]]

    Class:
    (1) As used with respect to the certification, ratings, privileges, 
and limitations of airmen, means a classification of aircraft within a 
category having similar operating characteristics. Examples include: 
single engine; multiengine; land; water; gyroplane; helicopter; airship; 
and free balloon; and
    (2) As used with respect to the certification of aircraft, means a 
broad grouping of aircraft having similar characteristics of propulsion, 
flight, or landing. Examples include: airplane; rotorcraft; glider; 
balloon; landplane; and seaplane.
    Clearway means:
    (1) For turbine engine powered airplanes certificated after August 
29, 1959, an area beyond the runway, not less than 500 feet wide, 
centrally located about the extended centerline of the runway, and under 
the control of the airport authorities. The clearway is expressed in 
terms of a clearway plane, extending from the end of the runway with an 
upward slope not exceeding 1.25 percent, above which no object nor any 
terrain protrudes. However, threshold lights may protrude above the 
plane if their height above the end of the runway is 26 inches or less 
and if they are located to each side of the runway.
    (2) For turbine engine powered airplanes certificated after 
September 30, 1958, but before August 30, 1959, an area beyond the 
takeoff runway extending no less than 300 feet on either side of the 
extended centerline of the runway, at an elevation no higher than the 
elevation of the end of the runway, clear of all fixed obstacles, and 
under the control of the airport authorities.
    Climbout speed, with respect to rotorcraft, means a referenced 
airspeed which results in a flight path clear of the height-velocity 
envelope during initial climbout.
    Commercial operator means a person who, for compensation or hire, 
engages in the carriage by aircraft in air commerce of persons or 
property, other than as an air carrier or foreign air carrier or under 
the authority of Part 375 of this title. Where it is doubtful that an 
operation is for ``compensation or hire'', the test applied is whether 
the carriage by air is merely incidental to the person's other business 
or is, in itself, a major enterprise for profit.
    Controlled airspace means an airspace of defined dimensions within 
which air traffic control service is provided to IFR flights and to VFR 
flights in accordance with the airspace classification.

    Note: Controlled airspace is a generic term that covers Class A, 
Class B, Class C, Class D, and Class E airspace.

    Controlled Firing Area. A controlled firing area is established to 
contain activities, which if not conducted in a controlled environment, 
would be hazardous to nonparticipating aircraft.
    Crewmember means a person assigned to perform duty in an aircraft 
during flight time.
    Critical altitude means the maximum altitude at which, in standard 
atmosphere, it is possible to maintain, at a specified rotational speed, 
a specified power or a specified manifold pressure. Unless otherwise 
stated, the critical altitude is the maximum altitude at which it is 
possible to maintain, at the maximum continuous rotational speed, one of 
the following:
    (1) The maximum continuous power, in the case of engines for which 
this power rating is the same at sea level and at the rated altitude.
    (2) The maximum continuous rated manifold pressure, in the case of 
engines, the maximum continuous power of which is governed by a constant 
manifold pressure.
    Critical engine means the engine whose failure would most adversely 
affect the performance or handling qualities of an aircraft.
    Decision height, with respect to the operation of aircraft, means 
the height at which a decision must be made, during an ILS or PAR 
instrument approach, to either continue the approach or to execute a 
missed approach.
    Equivalent airspeed means the calibrated airspeed of an aircraft 
corrected for adiabatic compressible flow for the particular altitude. 
Equivalent airspeed is equal to calibrated airspeed in standard 
atmosphere at sea level.
    Extended over-water operation means--
    (1) With respect to aircraft other than helicopters, an operation 
over water at a horizontal distance of more

[[Page 8]]

than 50 nautical miles from the nearest shoreline; and
    (2) With respect to helicopters, an operation over water at a 
horizontal distance of more than 50 nautical miles from the nearest 
shoreline and more than 50 nautical miles from an off-shore heliport 
structure.
    External load means a load that is carried, or extends, outside of 
the aircraft fuselage.
    External-load attaching means means the structural components used 
to attach an external load to an aircraft, including external-load 
containers, the backup structure at the attachment points, and any 
quick-release device used to jettison the external load.
    Fireproof--
    (1) With respect to materials and parts used to confine fire in a 
designated fire zone, means the capacity to withstand at least as well 
as steel in dimensions appropriate for the purpose for which they are 
used, the heat produced when there is a severe fire of extended duration 
in that zone; and
    (2) With respect to other materials and parts, means the capacity to 
withstand the heat associated with fire at least as well as steel in 
dimensions appropriate for the purpose for which they are used.
    Fire resistant--
    (1) With respect to sheet or structural members means the capacity 
to withstand the heat associated with fire at least as well as aluminum 
alloy in dimensions appropriate for the purpose for which they are used; 
and
    (2) With respect to fluid-carrying lines, fluid system parts, 
wiring, air ducts, fittings, and powerplant controls, means the capacity 
to perform the intended functions under the heat and other conditions 
likely to occur when there is a fire at the place concerned.
    Flame resistant means not susceptible to combustion to the point of 
propagating a flame, beyond safe limits, after the ignition source is 
removed.
    Flammable, with respect to a fluid or gas, means susceptible to 
igniting readily or to exploding.
    Flap extended speed means the highest speed permissible with wing 
flaps in a prescribed extended position.
    Flash resistant means not susceptible to burning violently when 
ignited.
    Flightcrew member means a pilot, flight engineer, or flight 
navigator assigned to duty in an aircraft during flight time.
    Flight level means a level of constant atmospheric pressure related 
to a reference datum of 29.92 inches of mercury. Each is stated in three 
digits that represent hundreds of feet. For example, flight level 250 
represents a barometric altimeter indication of 25,000 feet; flight 
level 255, an indication of 25,500 feet.
    Flight plan means specified information, relating to the intended 
flight of an aircraft, that is filed orally or in writing with air 
traffic control.
    Flight time means:
    (1) Pilot time that commences when an aircraft moves under its own 
power for the purpose of flight and ends when the aircraft comes to rest 
after landing; or
    (2) For a glider without self-launch capability, pilot time that 
commences when the glider is towed for the purpose of flight and ends 
when the glider comes to rest after landing.
    Flight visibility means the average forward horizontal distance, 
from the cockpit of an aircraft in flight, at which prominent unlighted 
objects may be seen and identified by day and prominent lighted objects 
may be seen and identified by night.
    Foreign air carrier means any person other than a citizen of the 
United States, who undertakes directly, by lease or other arrangement, 
to engage in air transportation.
    Foreign air commerce means the carriage by aircraft of persons or 
property for compensation or hire, or the carriage of mail by aircraft, 
or the operation or navigation of aircraft in the conduct or furtherance 
of a business or vocation, in commerce between a place in the United 
States and any place outside thereof; whether such commerce moves wholly 
by aircraft or partly by aircraft and partly by other forms of 
transportation.
    Foreign air transportation means the carriage by aircraft of persons 
or property as a common carrier for compensation or hire, or the 
carriage of mail by aircraft, in commerce between

[[Page 9]]

a place in the United States and any place outside of the United States, 
whether that commerce moves wholly by aircraft or partly by aircraft and 
partly by other forms of transportation.
    Forward wing means a forward lifting surface of a canard 
configuration or tandem-wing configuration airplane. The surface may be 
a fixed, movable, or variable geometry surface, with or without control 
surfaces.
    Glider means a heavier-than-air aircraft, that is supported in 
flight by the dynamic reaction of the air against its lifting surfaces 
and whose free flight does not depend principally on an engine.
    Ground visibility means prevailing horizontal visibility near the 
earth's surface as reported by the United States National Weather 
Service or an accredited observer.
    Go-around power or thrust setting means the maximum allowable in-
flight power or thrust setting identified in the performance data.
    Gyrodyne means a rotorcraft whose rotors are normally engine-driven 
for takeoff, hovering, and landing, and for forward flight through part 
of its speed range, and whose means of propulsion, consisting usually of 
conventional propellers, is independent of the rotor system.
    Gyroplane means a rotorcraft whose rotors are not engine-driven, 
except for initial starting, but are made to rotate by action of the air 
when the rotorcraft is moving; and whose means of propulsion, consisting 
usually of conventional propellers, is independent of the rotor system.
    Helicopter means a rotorcraft that, for its horizontal motion, 
depends principally on its engine-driven rotors.
    Heliport means an area of land, water, or structure used or intended 
to be used for the landing and takeoff of helicopters.
    Idle thrust means the jet thrust obtained with the engine power 
control level set at the stop for the least thrust position at which it 
can be placed.
    IFR conditions means weather conditions below the minimum for flight 
under visual flight rules.
    IFR over-the-top, with respect to the operation of aircraft, means 
the operation of an aircraft over-the-top on an IFR flight plan when 
cleared by air traffic control to maintain ``VFR conditions'' or ``VFR 
conditions on top''.
    Indicated airspeed means the speed of an aircraft as shown on its 
pitot static airspeed indicator calibrated to reflect standard 
atmosphere adiabatic compressible flow at sea level uncorrected for 
airspeed system errors.
    Instrument means a device using an internal mechanism to show 
visually or aurally the attitude, altitude, or operation of an aircraft 
or aircraft part. It includes electronic devices for automatically 
controlling an aircraft in flight.
    Interstate air commerce means the carriage by aircraft of persons or 
property for compensation or hire, or the carriage of mail by aircraft, 
or the operation or navigation of aircraft in the conduct or furtherance 
of a business or vocation, in commerce between a place in any State of 
the United States, or the District of Columbia, and a place in any other 
State of the United States, or the District of Columbia; or between 
places in the same State of the United States through the airspace over 
any place outside thereof; or between places in the same territory or 
possession of the United States, or the District of Columbia.
    Interstate air transportation means the carriage by aircraft of 
persons or property as a common carrier for compensation or hire, or the 
carriage of mail by aircraft in commerce:
    (1) Between a place in a State or the District of Columbia and 
another place in another State or the District of Columbia;
    (2) Between places in the same State through the airspace over any 
place outside that State; or
    (3) Between places in the same possession of the United States;

Whether that commerce moves wholly by aircraft of partly by aircraft and 
partly by other forms of transportation.
    Intrastate air transportation means the carriage of persons or 
property as a common carrier for compensation or hire, by turbojet-
powered aircraft capable of carrying thirty or more persons, wholly 
within the same State of the United States.

[[Page 10]]

    Kite means a framework, covered with paper, cloth, metal, or other 
material, intended to be flown at the end of a rope or cable, and having 
as its only support the force of the wind moving past its surfaces.
    Landing gear extended speed means the maximum speed at which an 
aircraft can be safely flown with the landing gear extended.
    Landing gear operating speed means the maximum speed at which the 
landing gear can be safely extended or retracted.
    Large aircraft means aircraft of more than 12,500 pounds, maximum 
certificated takeoff weight.
    Lighter-than-air aircraft means aircraft that can rise and remain 
suspended by using contained gas weighing less than the air that is 
displaced by the gas.
    Load factor means the ratio of a specified load to the total weight 
of the aircraft. The specified load is expressed in terms of any of the 
following: aerodynamic forces, inertia forces, or ground or water 
reactions.
    Long-range communication system (LRCS). A system that uses satellite 
relay, data link, high frequency, or another approved communication 
system which extends beyond line of sight.
    Long-range navigation system (LRNS). An electronic navigation unit 
that is approved for use under instrument flight rules as a primary 
means of navigation, and has at least one source of navigational input, 
such as inertial navigation system, global positioning system, Omega/
very low frequency, or Loran C.
    Mach number means the ratio of true airspeed to the speed of sound.
    Main rotor means the rotor that supplies the principal lift to a 
rotorcraft.
    Maintenance means inspection, overhaul, repair, preservation, and 
the replacement of parts, but excludes preventive maintenance.
    Major alteration means an alteration not listed in the aircraft, 
aircraft engine, or propeller specifications--
    (1) That might appreciably affect weight, balance, structural 
strength, performance, powerplant operation, flight characteristics, or 
other qualities affecting airworthiness; or
    (2) That is not done according to accepted practices or cannot be 
done by elementary operations.
    Major repair means a repair:
    (1) That, if improperly done, might appreciably affect weight, 
balance, structural strength, performance, powerplant operation, flight 
characteristics, or other qualities affecting airworthiness; or
    (2) That is not done according to accepted practices or cannot be 
done by elementary operations.
    Manifold pressure means absolute pressure as measured at the 
appropriate point in the induction system and usually expressed in 
inches of mercury.
    Maximum speed for stability characteristics, VFC/
MFC means a speed that may not be less than a speed midway 
between maximum operating limit speed (VMO/MMO) 
and demonstrated flight diving speed (VDF/MDF), 
except that, for altitudes where the Mach number is the limiting factor, 
MFC need not exceed the Mach number at which effective speed 
warning occurs.
    Medical certificate means acceptable evidence of physical fitness on 
a form prescribed by the Administrator.
    Military operations area. A military operations area (MOA) is 
airspace established outside Class A airspace to separate or segregate 
certain nonhazardous military activities from IFR Traffic and to 
identify for VFR traffic where theses activities are conducted.
    Minimum descent altitude means the lowest altitude, expressed in 
feet above mean sea level, to which descent is authorized on final 
approach or during circle-to-land maneuvering in execution of a standard 
instrument approach procedure, where no electronic glide slope is 
provided.
    Minor alteration means an alteration other than a major alteration.
    Minor repair means a repair other than a major repair.
    Navigable airspace means airspace at and above the minimum flight 
altitudes prescribed by or under this chapter, including airspace needed 
for safe takeoff and landing.
    Night means the time between the end of evening civil twilight and 
the beginning of morning civil twilight, as

[[Page 11]]

published in the American Air Almanac, converted to local time.
    Nonprecision approach procedure means a standard instrument approach 
procedure in which no electronic glide slope is provided.
    Operate, with respect to aircraft, means use, cause to use or 
authorize to use aircraft, for the purpose (except as provided in 
Sec. 91.13 of this chapter) of air navigation including the piloting of 
aircraft, with or without the right of legal control (as owner, lessee, 
or otherwise).
    Operational control, with respect to a flight, means the exercise of 
authority over initiating, conducting or terminating a flight.
    Overseas air commerce means the carriage by aircraft of persons or 
property for compensation or hire, or the carriage of mail by aircraft, 
or the operation or navigation of aircraft in the conduct or furtherance 
of a business or vocation, in commerce between a place in any State of 
the United States, or the District of Columbia, and any place in a 
territory or possession of the United States; or between a place in a 
territory or possession of the United States, and a place in any other 
territory or possession of the United States.
    Overseas air transportation means the carriage by aircraft of 
persons or property as a common carrier for compensation or hire, or the 
carriage of mail by aircraft, in commerce:
    (1) Between a place in a State or the District of Columbia and a 
place in a possession of the United States; or
    (2) Between a place in a possession of the United States and a place 
in another possession of the United States; whether that commerce moves 
wholly by aircraft or partly by aircraft and partly by other forms of 
transportation.
    Over-the-top means above the layer of clouds or other obscuring 
phenomena forming the ceiling.
    Parachute means a device used or intended to be used to retard the 
fall of a body or object through the air.
    Person means an individual, firm, partnership, corporation, company, 
association, joint-stock association, or governmental entity. It 
includes a trustee, receiver, assignee, or similar representative of any 
of them.
    Pilotage means navigation by visual reference to landmarks.
    Pilot in command means the person who:
    (1) Has final authority and responsibility for the operation and 
safety of the flight;
    (2) Has been designated as pilot in command before or during the 
flight; and
    (3) Holds the appropriate category, class, and type rating, if 
appropriate, for the conduct of the flight.
    Pitch setting means the propeller blade setting as determined by the 
blade angle measured in a manner, and at a radius, specified by the 
instruction manual for the propeller.
    Positive control means control of all air traffic, within designated 
airspace, by air traffic control.
    Powered-lift means a heavier-than-air aircraft capable of vertical 
takeoff, vertical landing, and low speed flight that depends principally 
on engine-driven lift devices or engine thrust for lift during these 
flight regimes and on nonrotating airfoil(s) for lift during horizontal 
flight.
    Precision approach procedure means a standard instrument approach 
procedure in which an electronic glide slope is provided, such as ILS 
and PAR.
    Preventive maintenance means simple or minor preservation operations 
and the replacement of small standard parts not involving complex 
assembly operations.
    Prohibited area. A prohibited area is airspace designated under part 
73 within which no person may operate an aircraft without the permission 
of the using agency.
    Propeller means a device for propelling an aircraft that has blades 
on an engine-driven shaft and that, when rotated, produces by its action 
on the air, a thrust approximately perpendicular to its plane of 
rotation. It includes control components normally supplied by its 
manufacturer, but does not include main and auxiliary rotors or rotating 
airfoils of engines.
    Public aircraft means an aircraft used only for the United States 
Government, or owned and operated (except for commercial purposes), or 
exclusively leased for at least 90 continuous days, by a government 
(except the

[[Page 12]]

United States Government), including a State, the District of Columbia, 
or a territory or possession of the United States, or political 
subdivision of that government; but does not include a government-owned 
aircraft transporting property for commercial purposes, or transporting 
passengers other than transporting (for other than commercial purposes) 
crewmembers or other persons aboard the aircraft whose presence is 
required to perform, or is associated with the performance of, a 
governmental function such as firefighting, search and rescue, law 
enforcement, aeronautical research, or biological or geological resource 
management; or transporting (for other than commercial purposes) persons 
aboard the aircraft if the aircraft is operated by the Armed Forces or 
an intelligence agency of the United States. An aircraft described in 
the preceding sentence shall, notwithstanding any limitation relating to 
use of the aircraft for commercial purposes, be considered to be a 
public aircraft for the purposes of this Chapter without regard to 
whether the aircraft is operated by a unit of government on behalf of 
another unit of government, pursuant to a cost reimbursement agreement 
between such units of government, if the unit of government on whose 
behalf the operation is conducted certifies to the Administrator of the 
Federal Aviation Administration that the operation was necessary to 
respond to a significant and imminent threat to life or property 
(including natural resources) and that no service by a private operator 
was reasonably available to meet the threat.
    Rated 30-second OEI power, with respect to rotorcraft turbine 
engines, means the approved brake horsepower developed under static 
conditions at specified altitudes and temperatures within the operating 
limitations established for the engine under part 33 of this chapter, 
for continued one-flight operation after the failure of one engine in 
multiengine rotorcraft, limited to three periods of use no longer than 
30 seconds each in any one flight, and followed by mandatory inspection 
and prescribed maintenance action.
    Rated 2-minute OEI power, with respect to rotorcraft turbine 
engines, means the approved brake horsepower developed under static 
conditions at specified altitudes and temperatures within the operating 
limitations established for the engine under part 33 of this chapter, 
for continued one-flight operation after the failure of one engine in 
multiengine rotorcraft, limited to three periods of use no longer than 2 
minutes each in any one flight, and followed by mandatory inspection and 
prescribed maintenance action.
    Rated continuous OEI power, with respect to rotorcraft turbine 
engines, means the approved brake horsepower developed under static 
conditions at specified altitudes and temperatures within the operating 
limitations established for the engine under Part 33 of this chapter, 
and limited in use to the time required to complete the flight after the 
failure of one engine of a multiengine rotorcraft.
    Rated maximum continuous augmented thrust, with respect to turbojet 
engine type certification, means the approved jet thrust that is 
developed statically or in flight, in standard atmosphere at a specified 
altitude, with fluid injection or with the burning of fuel in a separate 
combustion chamber, within the engine operating limitations established 
under Part 33 of this chapter, and approved for unrestricted periods of 
use.
    Rated maximum continuous power, with respect to reciprocating, 
turbopropeller, and turboshaft engines, means the approved brake 
horsepower that is developed statically or in flight, in standard 
atmosphere at a specified altitude, within the engine operating 
limitations established under Part 33, and approved for unrestricted 
periods of use.
    Rated maximum continuous thrust, with respect to turbojet engine 
type certification, means the approved jet thrust that is developed 
statically or in flight, in standard atmosphere at a specified altitude, 
without fluid injection and without the burning of fuel in a separate 
combustion chamber, within the engine operating limitations established 
under Part 33 of this chapter, and approved for unrestricted periods of 
use.

[[Page 13]]

    Rated takeoff augmented thrust, with respect to turbojet engine type 
certification, means the approved jet thrust that is developed 
statically under standard sea level conditions, with fluid injection or 
with the burning of fuel in a separate combustion chamber, within the 
engine operating limitations established under Part 33 of this chapter, 
and limited in use to periods of not over 5 minutes for takeoff 
operation.
    Rated takeoff power, with respect to reciprocating, turbopropeller, 
and turboshaft engine type certification, means the approved brake 
horsepower that is developed statically under standard sea level 
conditions, within the engine operating limitations established under 
Part 33, and limited in use to periods of not over 5 minutes for takeoff 
operation.
    Rated takeoff thrust, with respect to turbojet engine type 
certification, means the approved jet thrust that is developed 
statically under standard sea level conditions, without fluid injection 
and without the burning of fuel in a separate combustion chamber, within 
the engine operating limitations established under Part 33 of this 
chapter, and limited in use to periods of not over 5 minutes for takeoff 
operation.
    Rated 30-minute OEI power, with respect to rotorcraft turbine 
engines, means the approved brake horsepower developed under static 
conditions at specified altitudes and temperatures within the operating 
limitations established for the engine under Part 33 of this chapter, 
and limited in use to a period of not more than 30 minutes after the 
failure of one engine of a multiengine rotorcraft.
    Rated 2\1/2\-minute OEI power, with respect to rotorcraft turbine 
engines, means the approved brake horsepower developed under static 
conditions at specified altitudes and temperatures within the operating 
limitations established for the engine under Part 33 of this chapter, 
and limited in use to a period of not more than 2\1/2\ minutes after the 
failure of one engine of a multiengine rotorcraft.
    Rating means a statement that, as a part of a certificate, sets 
forth special conditions, privileges, or limitations.
    Reporting point means a geographical location in relation to which 
the position of an aircraft is reported.
    Restricted area. A restricted area is airspace designated under Part 
73 within which the flight of aircraft, while not wholly prohibited, is 
subject to restriction.
    RNAV way point (W/P) means a predetermined geographical position 
used for route or instrument approach definition or progress reporting 
purposes that is defined relative to a VORTAC station position.
    Rocket means an aircraft propelled by ejected expanding gases 
generated in the engine from self-contained propellants and not 
dependent on the intake of outside substances. It includes any part 
which becomes separated during the operation.
    Rotorcraft means a heavier-than-air aircraft that depends 
principally for its support in flight on the lift generated by one or 
more rotors.
    Rotorcraft-load combination means the combination of a rotorcraft 
and an external-load, including the external-load attaching means. 
Rotorcraft-load combinations are designated as Class A, Class B, Class 
C, and Class D, as follows:
    (1) Class A rotorcraft-load combination means one in which the 
external load cannot move freely, cannot be jettisoned, and does not 
extend below the landing gear.
    (2) Class B rotorcraft-load combination means one in which the 
external load is jettisonable and is lifted free of land or water during 
the rotorcraft operation.
    (3) Class C rotorcraft-load combination means one in which the 
external load is jettisonable and remains in contact with land or water 
during the rotorcraft operation.
    (4) Class D rotorcraft-load combination means one in which the 
external-load is other than a Class A, B, or C and has been specifically 
approved by the Administrator for that operation.
    Route segment means a part of a route. Each end of that part is 
identified by:
    (1) A continental or insular geographical location; or
    (2) A point at which a definite radio fix can be established.

[[Page 14]]

    Sea level engine means a reciprocating aircraft engine having a 
rated takeoff power that is producible only at sea level.
    Second in command means a pilot who is designated to be second in 
command of an aircraft during flight time.
    Show, unless the context otherwise requires, means to show to the 
satisfaction of the Administrator.
    Small aircraft means aircraft of 12,500 pounds or less, maximum 
certificated takeoff weight.
    Special VFR conditions mean meteorological conditions that are less 
than those required for basic VFR flight in controlled airspace and in 
which some aircraft are permitted flight under visual flight rules.
    Special VFR operations means aircraft operating in accordance with 
clearances within controlled airspace in meteorological conditions less 
than the basic VFR weather minima. Such operations must be requested by 
the pilot and approved by ATC.
    Standard atmosphere means the atmosphere defined in U.S. Standard 
Atmosphere, 1962 (Geopotential altitude tables).
    Stopway means an area beyond the takeoff runway, no less wide than 
the runway and centered upon the extended centerline of the runway, able 
to support the airplane during an aborted takeoff, without causing 
structural damage to the airplane, and designated by the airport 
authorities for use in decelerating the airplane during an aborted 
takeoff.
    Takeoff power:
    (1) With respect to reciprocating engines, means the brake 
horsepower that is developed under standard sea level conditions, and 
under the maximum conditions of crankshaft rotational speed and engine 
manifold pressure approved for the normal takeoff, and limited in 
continuous use to the period of time shown in the approved engine 
specification; and
    (2) With respect to turbine engines, means the brake horsepower that 
is developed under static conditions at a specified altitude and 
atmospheric temperature, and under the maximum conditions of rotor shaft 
rotational speed and gas temperature approved for the normal takeoff, 
and limited in continuous use to the period of time shown in the 
approved engine specification.
    Takeoff safety speed means a referenced airspeed obtained after 
lift-off at which the required one-engine-inoperative climb performance 
can be achieved.
    Takeoff thrust, with respect to turbine engines, means the jet 
thrust that is developed under static conditions at a specific altitude 
and atmospheric temperature under the maximum conditions of rotorshaft 
rotational speed and gas temperature approved for the normal takeoff, 
and limited in continuous use to the period of time shown in the 
approved engine specification.
    Tandem wing configuration means a configuration having two wings of 
similar span, mounted in tandem.
    TCAS I means a TCAS that utilizes interrogations of, and replies 
from, airborne radar beacon transponders and provides traffic advisories 
to the pilot.
    TCAS II means a TCAS that utilizes interrogations of, and replies 
from airborne radar beacon transponders and provides traffic advisories 
and resolution advisories in the vertical plane.
    TCAS III means a TCAS that utilizes interrogation of, and replies 
from, airborne radar beacon transponders and provides traffic advisories 
and resolution advisories in the vertical and horizontal planes to the 
pilot.
    Time in service, with respect to maintenance time records, means the 
time from the moment an aircraft leaves the surface of the earth until 
it touches it at the next point of landing.
    True airspeed means the airspeed of an aircraft relative to 
undisturbed air. True airspeed is equal to equivalent airspeed 
multiplied by (0/)\1/2\.
    Traffic pattern means the traffic flow that is prescribed for 
aircraft landing at, taxiing on, or taking off from, an airport.
    Type:
    (1) As used with respect to the certification, ratings, privileges, 
and limitations of airmen, means a specific make and basic model of 
aircraft, including modifications thereto that do not change its 
handling or flight characteristics. Examples include: DC-7, 1049, and F-
27; and

[[Page 15]]

    (2) As used with respect to the certification of aircraft, means 
those aircraft which are similar in design. Examples include: DC-7 and 
DC-7C; 1049G and 1049H; and F-27 and F-27F.
    (3) As used with respect to the certification of aircraft engines 
means those engines which are similar in design. For example, JT8D and 
JT8D-7 are engines of the same type, and JT9D-3A and JT9D-7 are engines 
of the same type.
    United States, in a geographical sense, means (1) the States, the 
District of Columbia, Puerto Rico, and the possessions, including the 
territorial waters, and (2) the airspace of those areas.
    United States air carrier means a citizen of the United States who 
undertakes directly by lease, or other arrangement, to engage in air 
transportation.
    VFR over-the-top, with respect to the operation of aircraft, means 
the operation of an aircraft over-the-top under VFR when it is not being 
operated on an IFR flight plan.
    Warning area. A warning area is airspace of defined dimensions, 
extending from 3 nautical miles outward from the coast of the United 
States, that contains activity that may be hazardous to nonparticipating 
aircraft. The purpose of such warning areas is to warn nonparticipating 
pilots of the potential danger. A warning area may be located over 
domestic or international waters or both.
    Winglet or tip fin means an out-of-plane surface extending from a 
lifting surface. The surface may or may not have control surfaces.

[Doc. No. 1150, 27 FR 4588, May 15, 1962]

    Editorial Note:  For Federal Register citations affecting Sec. 1.1, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



Sec. 1.2  Abbreviations and symbols.

    In Subchapters A through K of this chapter:
    AGL means above ground level.
    ALS means approach light system.
    ASR means airport surveillance radar.
    ATC means air traffic control.
    CAS means calibrated airspeed.
    CAT II means Category II.
    CONSOL or CONSOLAN means a kind of low or medium frequency long 
range navigational aid.
    DH means decision height.
    DME means distance measuring equipment compatible with TACAN.
    EAS means equivalent airspeed.
    FAA means Federal Aviation Administration.
    FM means fan marker.
    GS means glide slope.
    HIRL means high-intensity runway light system.
    IAS means indicated airspeed.
    ICAO means International Civil Aviation Organization.
    IFR means instrument flight rules.
    ILS means instrument landing system.
    IM means ILS inner marker.
    INT means intersection.
    LDA means localizer-type directional aid.
    LFR means low-frequency radio range.
    LMM means compass locator at middle marker.
    LOC means ILS localizer.
    LOM means compass locator at outer marker.
    M means mach number.
    MAA means maximum authorized IFR altitude.
    MALS means medium intensity approach light system.
    MALSR means medium intensity approach light system with runway 
alignment indicator lights.
    MCA means minimum crossing altitude.
    MDA means minimum descent altitude.
    MEA means minimum en route IFR altitude.
    MM means ILS middle marker.
    MOCA means minimum obstruction clearance altitude.
    MRA means minimum reception altitude.
    MSL means mean sea level.
    NDB(ADF) means nondirectional beacon (automatic direction finder).
    NOPT means no procedure turn required.
    OEI means one engine inoperative.
    OM means ILS outer marker.
    PAR means precision approach radar.
    RAIL means runway alignment indicator light system.

[[Page 16]]

    RBN means radio beacon.
    RCLM means runway centerline marking.
    RCLS means runway centerline light system.
    REIL means runway end identification lights.
    `RR'' means low or medium frequency radio range station.
    RVR means runway visual range as measured in the touchdown zone 
area.
    SALS means short approach light system.
    SSALS means simplified short approach light system.
    SSALSR means simplified short approach light system with runway 
alignment indicator lights.
    TACAN means ultra-high frequency tactical air navigational aid.
    TAS means true airspeed.
    TCAS means a traffic alert and collision avoidance system.
    TDZL means touchdown zone lights.
    TVOR means very high frequency terminal omnirange station.

VA means design maneuvering speed.
VB means design speed for maximum gust intensity.
VC means design cruising speed.
VD means design diving speed.
VDF/MDF means demonstrated flight diving speed.
VEF means the speed at which the critical engine is assumed 
    to fail during takeoff.
VF means design flap speed.
VFC/MFC means maximum speed for stability 
    characteristics.
VFE means maximum flap extended speed.
VH means maximum speed in level flight with maximum 
    continuous power.
VLE means maximum landing gear extended speed.
VLO means maximum landing gear operating speed.
VLOF means lift-off speed.
VMC means minimum control speed with the critical engine 
    inoperative.
VMO/MMO means maximum operating limit speed.
VMU means minimum unstick speed.
VNE means never-exceed speed.
VNO means maximum structural cruising speed.
VR means rotation speed.
VS means the stalling speed or the minimum steady flight 
    speed at which the airplane is controllable.
VS0 means the stalling speed or the minimum steady flight 
    speed in the landing configuration.
VS1 means the stalling speed or the minimum steady flight 
    speed obtained in a specific configuration.
VTOSS means takeoff safety speed for Category A rotorcraft.
VX means speed for best angle of climb.
VY means speed for best rate of climb.
V1 means the maximum speed in the takeoff at which the pilot 
    must take the first action (e.g., apply brakes, reduce thrust, 
    deploy speed brakes) to stop the airplane within the accelerate-stop 
    distance. V1 also means the minimum speed in the takeoff, 
    following a failure of the critical engine at VEF, at 
    which the pilot can continue the takeoff and achieve the required 
    height above the takeoff surface within the takeoff distance.
V2 means takeoff safety speed.
V2 min means minimum takeoff safety speed.

    VFR means visual flight rules.
    VHF means very high frequency.
    VOR means very high frequency omnirange station.
    `ORTAC means collocated VOR and TACAN.

[Doc. No. 1150, 27 FR 4590, May 15, 1962]

    Editorial Note:  For Federal Register citations affecting Sec. 1.2, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



Sec. 1.3  Rules of construction.

    (a) In Subchapters A through K of this chapter, unless the context 
requires otherwise:
    (1) Words importing the singular include the plural;
    (2) Words importing the plural include the singular; and
    (3) Words importing the masculine gender include the feminine.
    (b) In Subchapters A through K of this chapter, the word:
    (1) Shall is used in an imperative sense;
    (2) May is used in a permissive sense to state authority or 
permission to do the act prescribed, and the words ``no

[[Page 17]]

person may * * *'' or ``a person may not * * *'' mean that no person is 
required, authorized, or permitted to do the act prescribed; and
    (3) Includes means ``includes but is not limited to''.

[Doc. No. 1150, 27 FR 4590, May 15, 1962, as amended by Amdt. 1-10, 31 
FR 5055, Mar. 29, 1966]

[[Page 18]]





                     SUBCHAPTER B--PROCEDURAL RULES




PART 11--GENERAL RULEMAKING PROCEDURES--Table of Contents




                    Subpart A--Rulemaking Procedures

Sec.
11.1   To what does this part apply?

                           Definition of Terms

11.3   What is an advance notice of proposed rulemaking?
11.5   What is a notice of proposed rulemaking?
11.7   What is a supplemental notice of proposed rulemaking?
11.9   What is a final rule?
11.11   What is a final rule with request for comments?
11.13   What is a direct final rule?
11.15   What is a petition for exemption?
11.17   What is a petition for rulemaking?
11.19   What is a special condition?

                                 General

11.21   What are the most common kinds of rulemaking actions for which 
          FAA follows the Administrative Procedure Act?
11.23   Does FAA follow the same procedures in issuing all types of 
          rules?
11.25   How does FAA issue rules?
11.27   Are there other ways FAA collects specific rulemaking 
          recommendations before we issue an NPRM?
11.29   May FAA change its regulations without first issuing an ANPRM or 
          NPRM?
11.31   How does FAA process direct final rules?
11.33   How can I track FAA's rulemaking activities?
11.35   Does FAA include sensitive security information and proprietary 
          information in the Docket Management System (DMS)?
11.37   Where can I find information about an Airworthiness Directive, 
          an airspace designation, or a petition handled in a region?
11.38   What public comment procedures does FAA follow for Special 
          Conditions?
11.39   How may I participate in FAA's rulemaking process?
11.40   Can I get more information about a rulemaking?

                            Written Comments

11.41   Who may file comments?
11.43   What information must I put in my written comments?
11.45   Where and when do I file my comments?
11.47   May I ask for more time to file my comments?

                  Public Meetings and Other Proceedings

11.51   May I request that FAA hold a public meeting on a rulemaking 
          action?
11.53   What takes place at a public meeting?

               Petitions for Rulemaking and for Exemptions

11.61   May I ask FAA to adopt, amend, or repeal a regulation, or grant 
          relief from the requirements of a current regulation?
11.63   How and to whom do I submit my petition for rulemaking or 
          petition for exemption?
11.71   What information must I include in my petition for rulemaking?
11.73   How does FAA process petitions for rulemaking?
11.75   Does FAA invite public comment on petitions for rulemaking?
11.77   Is there any additional information I must include in my 
          petition for designating airspace?
11.81   What information must I include in my petition for an exemption?
11.83   How can I operate under an exemption outside the United States?
11.85   Does FAA invite public comment on petitions for exemption?
11.87   Are there circumstances in which FAA may decide not to publish a 
          summary of my petition for exemption?
11.89   How much time do I have to submit comments to FAA on a petition 
          for exemption?
11.91   How does FAA inform me of its decision on my petition for 
          exemption?
11.101   May I ask FAA to reconsider my petition for rulemaking or 
          petition for exemption if it is denied?

           Subpart B--Paperwork Reduction Act Control Numbers

11.201   Office of Management and Budget (OMB) control numbers assigned 
          under Paperwork Reduction Act.

Appendix 1 to Part 11--Oral Communications With the Public During 
          Rulemaking

    Authority: 49 U.S.C. 106(g), 40101, 40103, 40105, 40109, 40113, 
44110, 44502, 44701-44702, 44711, and 46102.

    Source: Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, unless 
otherwise noted.

    Editorial Note: Nomenclature changes to part 11 appear at 61 FR 
18052, April 24, 1996.

[[Page 19]]



                    Subpart A--Rulemaking Procedures



Sec. 11.1  To what does this part apply?

    This part applies to the issuance, amendment, and repeal of any 
regulation for which FAA (``we'') follows public rulemaking procedures 
under the Administrative Procedure Act (``APA'') (5 U.S.C. 553).

                           Definition of Terms



Sec. 11.3  What is an advance notice of proposed rulemaking?

    An advance notice of proposed rulemaking (ANPRM) tells the public 
that FAA is considering an area for rulemaking and requests written 
comments on the appropriate scope of the rulemaking or on specific 
topics. An advance notice of proposed rulemaking may or may not include 
the text of potential changes to a regulation.



Sec. 11.5  What is a notice of proposed rulemaking?

    A notice of proposed rulemaking (NPRM) proposes FAA's specific 
regulatory changes for public comment and contains supporting 
information. It includes proposed regulatory text.



Sec. 11.7  What is a supplemental notice of proposed rulemaking?

    On occasion, FAA may decide that it needs more information on an 
issue, or that we should take a different approach than we proposed. 
Also, we may want to follow a commenter's suggestion that goes beyond 
the scope of the original proposed rule. In these cases, FAA may issue a 
supplemental notice of proposed rulemaking (SNPRM) to give the public an 
opportunity to comment further or to give us more information.



Sec. 11.9  What is a final rule?

    A final rule sets out new or revised requirements and their 
effective date. It also may remove requirements. When preceded by an 
NPRM, a final rule will also identify significant substantive issues 
raised by commenters in response to the NPRM and will give the agency's 
response.



Sec. 11.11  What is a final rule with request for comments?

    A final rule with request for comment is a rule that the FAA issues 
in final (with an effective date) that invites public comment on the 
rule. We usually do this when we have not first issued an ANPRM or NPRM, 
because we have found that doing so would be impracticable, unnecessary, 
or contrary to the public interest. We give our reasons for our 
determination in the preamble. The comment period often ends after the 
effective date of the rule. A final rule not preceded by an ANPRM or 
NPRM is commonly called an ``immediately adopted final rule.'' We invite 
comments on these rules only if we think that we will receive useful 
information. For example, we would not invite comments when we are just 
making an editorial clarification or correction.



Sec. 11.13  What is a direct final rule?

    A direct final rule is a type of final rule with request for 
comments. Our reason for issuing a direct final rule without an NPRM is 
that we would not expect to receive any adverse comments, and so an NPRM 
is unnecessary. However, to be certain that we are correct, we set the 
comment period to end before the effective date. If we receive an 
adverse comment or notice of intent to file an adverse comment, we then 
withdraw the final rule before it becomes effective and may issue an 
NPRM.



Sec. 11.15  What is a petition for exemption?

    A petition for exemption is a request to FAA by an individual or 
entity asking for relief from the requirements of a current regulation.



Sec. 11.17  What is a petition for rulemaking?

    A petition for rulemaking is a request to FAA by an individual or 
entity asking the FAA to adopt, amend, or repeal a regulation.



Sec. 11.19  What is a special condition?

    A special condition is a regulation that applies to a particular 
aircraft design. The FAA issues special conditions when we find that the 
airworthiness

[[Page 20]]

regulations for an aircraft, aircraft engine, or propeller design do not 
contain adequate or appropriate safety standards, because of a novel or 
unusual design feature.

                                 General



Sec. 11.21  What are the most common kinds of rulemaking actions for which FAA follows the Administrative Procedure Act?

    FAA follows the Administrative Procedure Act (APA) procedures for 
these common types of rules:
    (a) Rules found in the Code of Federal Regulations;
    (b) Airworthiness directives issued under part 39 of this chapter; 
and
    (c) Airspace Designations issued under various parts of this 
chapter.



Sec. 11.23  Does FAA follow the same procedures in issuing all types of rules?

    Yes, in general, FAA follows the same procedures for all rule types. 
There are some differences as to which FAA official has authority to 
issue each type, and where you send petitions for FAA to adopt, amend, 
or repeal each type. Assume that the procedures in this subpart apply to 
all rules, except where we specify otherwise.



Sec. 11.25  How does FAA issue rules?

    (a) The FAA uses APA rulemaking procedures to adopt, amend, or 
repeal regulations. To propose or adopt a new regulation, or to change a 
current regulation, FAA will issue one or more of the following 
documents. We publish these rulemaking documents in the Federal Register 
unless we name and personally serve a copy of a rule on every person 
subject to it. We also make all documents available to the public by 
posting them in the Department of Transportation's electronic docket at 
http://dms.dot.gov.
    (1) An advance notice of proposed rulemaking (ANPRM).
    (2) A notice of proposed rulemaking (NPRM).
    (3) A supplemental notice of proposed rulemaking (SNPRM).
    (4) A final rule.
    (5) A final rule with request for comments.
    (6) A direct final rule.
    (b) Each of the rulemaking documents in paragraph (a) of this 
section generally contains the following information:
    (1) The topic involved in the rulemaking document.
    (2) FAA's legal authority for issuing the rulemaking document.
    (3) How interested persons may participate in the rulemaking 
proceeding (for example, by filing written comments or making oral 
presentations at a public meeting).
    (4) Whom to call if you have questions about the rulemaking 
document.
    (5) The date, time, and place of any public meetings FAA will hold 
to discuss the rulemaking document.
    (6) The docket number and regulation identifier number (RIN) for the 
rulemaking proceeding.



Sec. 11.27  Are there other ways FAA collects specific rulemaking recommendations before we issue an NPRM?

    Yes, the FAA obtains advice and recommendations from rulemaking 
advisory committees. One of these committees is the Aviation Rulemaking 
Advisory Committee (ARAC), which is a formal standing committee 
comprised of representatives of aviation associations and industry, 
consumer groups, and interested individuals. In conducting its 
activities, ARAC complies with the Federal Advisory Committee Act and 
the direction of FAA. We task ARAC with providing us with recommended 
rulemaking actions dealing with specific areas and problems. If we 
accept an ARAC recommendation to change an FAA rule, we ordinarily 
publish an NPRM using the procedures in this part. The FAA may establish 
other rulemaking advisory committees as needed to focus on specific 
issues for a limited period of time.



Sec. 11.29  May FAA change its regulations without first issuing an ANPRM or NPRM?

    The FAA normally adds or changes a regulation by issuing a final 
rule after an NPRM. However, FAA may adopt, amend, or repeal regulations 
without first issuing an ANPRM or NPRM in the following situations:
    (a) We may issue a final rule without first requesting public 
comment if, for

[[Page 21]]

good cause, we find that an NPRM is impracticable, unnecessary, or 
contrary to the public interest. We place that finding and a brief 
statement of the reasons for it in the final rule. For example, we may 
issue a final rule in response to a safety emergency.
    (b) If an NPRM would be unnecessary because we do not expect to 
receive adverse comment, we may issue a direct final rule.



Sec. 11.31  How does FAA process direct final rules?

    (a) A direct final rule will take effect on a specified date unless 
FAA receives an adverse comment or notice of intent to file an adverse 
comment within the comment period--generally 60 days after the direct 
final rule is published in the Federal Register. An adverse comment 
explains why a rule would be inappropriate, or would be ineffective or 
unacceptable without a change. It may challenge the rule's underlying 
premise or approach. Under the direct final rule process, we do not 
consider the following types of comments to be adverse:
    (1) A comment recommending another rule change, in addition to the 
change in the direct final rule at issue. We consider the comment 
adverse, however, if the commenter states why the direct final rule 
would be ineffective without the change.
    (2) A frivolous or insubstantial comment.
    (b) If FAA has not received an adverse comment or notice of intent 
to file an adverse comment, we will publish a confirmation document in 
the Federal Register, generally within 15 days after the comment period 
closes. The confirmation document tells the public the effective date of 
the rule.
    (c) If we receive an adverse comment or notice of intent to file an 
adverse comment, we will advise the public by publishing a document in 
the Federal Register before the effective date of the direct final rule. 
This document may withdraw the direct final rule in whole or in part. If 
we withdraw a direct final rule because of an adverse comment, we may 
incorporate the commenter's recommendation into another direct final 
rule or may publish a notice of proposed rulemaking.



Sec. 11.33  How can I track FAA's rulemaking activities?

    The best ways to track FAA's rulemaking activities are with the 
docket number or the regulation identifier number.
    (a) Docket number. We assign a docket number to each rulemaking 
proceeding. Each rulemaking document FAA issues in a particular 
rulemaking proceeding, as well as public comments on the proceeding, 
will display the same docket number. This number allows you to search 
DOT's Docket Management System (DMS) for information on most rulemaking 
proceedings. You can view and copy docket materials during regular 
business hours at the U.S. Department of Transportation, Plaza Level 
401, 400 7th Street, SW., Washington, DC 20590-0001. Or you can view and 
download docketed materials through the Internet at http://dms.dot.gov. 
If you can't find the material in the electronic docket, contact the 
person listed under FOR FURTHER INFORMATION CONTACT in the document you 
are interested in.
    (b) Regulation identifier number. DOT publishes a semiannual agenda 
of all current and projected DOT rulemakings, reviews of existing 
regulations, and completed actions. This semiannual agenda appears in 
the Unified Agenda of Federal Regulations, published in the Federal 
Register in April and October of each year. The semiannual agenda tells 
the public about DOT's--including FAA's--regulatory activities. DOT 
assigns a regulation identifier number (RIN) to each individual 
rulemaking proceeding in the semiannual agenda. This number appears on 
all rulemaking documents published in the Federal Register and makes it 
easy for you to track those rulemaking proceedings in both the Federal 
Register and the semiannual regulatory agenda.



Sec. 11.35  Does FAA include sensitive security information and proprietary information in the Docket Management System (DMS)?

    (a) Sensitive security information. You should not submit sensitive 
security information to the rulemaking docket, unless you are invited to 
do so in our request for comments. If we ask for

[[Page 22]]

this information, we will tell you in the specific document how to 
submit this information, and we will provide a separate non-public 
docket for it. For all proposed rule changes involving civil aviation 
security, we review comments as we receive them, before they are placed 
in the docket. If we find that a comment contains sensitive security 
information, we remove that information before placing the comment in 
the general docket.
    (b) Proprietary information. When we are aware of proprietary 
information filed with a comment, we do not place it in the docket. We 
hold it in a separate file to which the public does not have access, and 
place a note in the docket that we have received it. If we receive a 
request to examine or copy this information, we treat it as any other 
request under the Freedom of Information Act (5 U.S.C. 552). We process 
such a request under the DOT procedures found in 49 CFR part 7.



Sec. 11.37  Where can I find information about an Airworthiness Directive, an airspace designation, or a petition handled in a region?

    The FAA includes most documents concerning Airworthiness Directives, 
airspace designations, or petitions handled in a region in the 
electronic docket. If the information isn't in the docket, contact the 
person listed under FOR FURTHER INFORMATION CONTACT in the Federal 
Register document about the action.



Sec. 11.38  What public comment procedures does the FAA follow for Special Conditions?

    Even though the Administrative Procedure Act does not require notice 
and comment for rules of particular applicability, FAA does publish 
proposed special conditions for comment. In the following circumstances 
we may not invite comment before we issue a special condition. If we 
don't, we will invite comment when we publish the final special 
condition.
    (a) The FAA considers prior notice to be impracticable if issuing a 
design approval would significantly delay delivery of the affected 
aircraft. We consider such a delay to be contrary to the public 
interest.
    (b) The FAA considers prior notice to be unnecessary if we have 
provided previous opportunities to comment on substantially identical 
proposed special conditions, and we are satisfied that new comments are 
unlikely.



Sec. 11.39  How may I participate in FAA's rulemaking process?

    You may participate in FAA's rulemaking process by doing any of the 
following:
    (a) File written comments on any rulemaking document that asks for 
comments, including an ANPRM, NPRM, SNPRM, a final rule with request for 
comments, or a direct final rule. Follow the directions for commenting 
found in each rulemaking document.
    (b) Ask that we hold a public meeting on any rulemaking, and 
participate in any public meeting that we hold.
    (c) File a petition for rulemaking that asks us to adopt, amend, or 
repeal a regulation.



Sec. 11.40  Can I get more information about a rulemaking?

    You can contact the person listed under FOR FURTHER INFORMATION 
CONTACT in the preamble of a rule. That person can explain the meaning 
and intent of a proposed rule, the technical aspects of a document, the 
terminology in a document, and can tell you our published schedule for 
the rulemaking process. We cannot give you information that is not 
already available to other members of the public. Department of 
Transportation policy on oral communications with the public during 
rulemaking appears in appendix 1 of this part.

                            Written Comments



Sec. 11.41  Who may file comments?

    Anyone may file written comments about proposals and final rules 
that request public comments.



Sec. 11.43  What information must I put in my written comments?

    (a) Your written comments must be in English and must contain the 
following:
    (1) The docket number of the rulemaking document you are commenting

[[Page 23]]

on, clearly set out at the beginning of your comments.
    (2) Your name and mailing address, and, if you wish, other contact 
information, such as a fax number, telephone number, or e-mail address.
    (3) Your information, views, or arguments, following the 
instructions for participation in the rulemaking document on which you 
are commenting.
    (b) You should also include all material relevant to any statement 
of fact or argument in your comments, to the extent that the material is 
available to you and reasonable for you to submit. Include a copy of the 
title page of the document. Whether or not you submit a copy of the 
material to which you refer, you should indicate specific places in the 
material that support your position.



Sec. 11.45  Where and when do I file my comments?

    (a) Send your comments to the location specified in the rulemaking 
document on which you are commenting. If you are asked to send your 
comments to the Docket Management System, you may send them in either of 
the following ways:
    (1) By mail to: U.S. Department of Transportation, Docket Management 
System, 400 7th Street, SW., Plaza Level 401, Washington, DC 20591.
    (2) Through the Internet to http://dms.dot.gov/.
    (3) In any other manner designated by FAA.
    (b) Make sure that your comments reach us by the deadline set out in 
the rulemaking document on which you are commenting. We will consider 
late-filed comments to the extent possible only if they do not 
significantly delay the rulemaking process.
    (c) We may reject your paper or electronic comments if they are 
frivolous, abusive, or repetitious. We may reject comments you file 
electronically if you do not follow the electronic filing instructions 
at the Docket Management System web site.



Sec. 11.47  May I ask for more time to file my comments?

    Yes, if FAA grants your request for more time to file comments, we 
grant all persons the same amount of time. We will notify the public of 
the extension by a document in the Federal Register. If FAA denies your 
request, we will notify you of the denial. To ask for more time, you 
must file a written or electronic request for extension at least 10 days 
before the end of the comment period. Your letter or message must--
    (a) Show the docket number of the rule at the top of the first page;
    (b) State, at the beginning, that you are requesting an extension of 
the comment period;
    (c) Show that you have good cause for the extension and that an 
extension is in the public interest;
    (d) Be sent to the address specified for comments in the rulemaking 
document on which you are commenting.

                  Public Meetings and Other Proceedings



Sec. 11.51  May I request that FAA hold a public meeting on a rulemaking action?

    Yes, you may request that we hold a public meeting. FAA holds a 
public meeting when we need more than written comments to make a fully 
informed decision. Submit your written request to the address specified 
in the rulemaking document on which you are commenting. Specify at the 
top of your letter or message that you are requesting that the agency 
hold a public meeting. Submit your request no later than 30 days after 
our rulemaking notice. If we find good cause for a meeting, we will 
notify you and publish a notice of the meeting in the Federal Register.



Sec. 11.53  What takes place at a public meeting?

    A public meeting is a non-adversarial, fact-finding proceeding 
conducted by an FAA representative. Public meetings are announced in the 
Federal Register. We invite interested persons to attend and to present 
their views to the agency on specific issues. There are no formal 
pleadings and no adverse parties, and any regulation issued afterward is 
not necessarily based exclusively on the record of the meeting.

[[Page 24]]

               Petitions for Rulemaking and for Exemption



Sec. 11.61  May I ask FAA to adopt, amend, or repeal a regulation, or grant relief from the requirements of a current regulation?

    (a) Using a petition for rulemaking, you may ask FAA to add a new 
regulation to title 14 of the Code of Federal Regulations (14 CFR) or 
ask FAA to amend or repeal a current regulation in 14 CFR.
    (b) Using a petition for exemption, you may ask FAA to grant you 
relief from current regulations in 14 CFR.



Sec. 11.63  How and to whom do I submit my petition for rulemaking or petition for exemption?

    (a) For paper submissions, send the original signed copy of your 
petition for rulemaking or exemption to this address: U.S. Department of 
Transportation, Docket Management System, 400 7th Street, SW., Room PL 
401, Washington, DC 20591-0001.
    (b) For electronic submissions, submit your petition to FAA through 
the Internet using the Docket Management System web site at this 
Internet address: http://dms.dot.gov/.
    (c) In the future, FAA may designate other means by which you can 
submit petitions.
    (d) Submit your petition for exemption 120 days before you need the 
exemption to take effect.



Sec. 11.71  What information must I include in my petition for rulemaking?

    (a) You must include the following information in your petition for 
rulemaking:
    (1) Your name and mailing address and, if you wish, other contact 
information such as a fax number, telephone number, or e-mail address.
    (2) An explanation of your proposed action and its purpose.
    (3) The language you propose for a new or amended rule, or the 
language you would remove from a current rule.
    (4) An explanation of why your proposed action would be in the 
public interest.
    (5) Information and arguments that support your proposed action, 
including relevant technical and scientific data available to you.
    (6) Any specific facts or circumstances that support or demonstrate 
the need for the action you propose.
    (b) In the process of considering your petition, we may ask that you 
provide information or data available to you about the following:
    (1) The costs and benefits of your proposed action to society in 
general, and identifiable groups within society in particular.
    (2) The regulatory burden of your proposed action on small 
businesses, small organizations, small governmental jurisdictions, and 
Indian tribes.
    (3) The recordkeeping and reporting burdens of your proposed action 
and whom the burdens would affect.
    (4) The effect of your proposed action on the quality of the natural 
and social environments.



Sec. 11.73  How does FAA process petitions for rulemaking?

    After we have determined the disposition of your petition, we will 
contact you in writing about our decision. The FAA may respond to your 
petition for rulemaking in one of the following ways:
    (a) If we determine that your petition justifies our taking the 
action you suggest, we may issue an NPRM or ANPRM. We will do so no 
later than 6 months after the date we receive your petition. In making 
our decision, we consider:
    (1) The immediacy of the safety or security concerns you raise;
    (2) The priority of other issues the FAA must deal with; and
    (3) The resources we have available to address these issues.
    (b) If we have issued an ANPRM or NPRM on the subject matter of your 
petition, we will consider your arguments for a rule change as a comment 
in connection with the rulemaking proceeding. We will not treat your 
petition as a separate action.
    (c) If we have begun a rulemaking project in the subject area of 
your petition, we will consider your comments and arguments for a rule 
change as part of that project. We will not treat your petition as a 
separate action.

[[Page 25]]

    (d) If we have tasked ARAC to study the general subject area of your 
petition, we will ask ARAC to review and evaluate your proposed action. 
We will not treat your petition as a separate action.
    (e) If we determine that the issues you identify in your petition 
may have merit, but do not address an immediate safety concern or cannot 
be addressed because of other priorities and resource constraints, we 
may dismiss your petition. Your comments and arguments for a rule change 
will be placed in a database, which we will examine when we consider 
future rulemaking.



Sec. 11.75  Does FAA invite public comment on petitions for rulemaking?

    Generally, FAA does not invite public comment on petitions for 
rulemaking.



Sec. 11.77  Is there any additional information I must include in my petition for designating airspace?

    In petitions asking FAA to establish, amend, or repeal a designation 
of airspace, including special use airspace, you must include all the 
information specified by Sec. 11.71 and also:
    (a) The location and a description of the airspace you want assigned 
or designated;
    (b) A complete description of the activity or use to be made of that 
airspace, including a detailed description of the type, volume, 
duration, time, and place of the operations to be conducted in the area;
    (c) A description of the air navigation, air traffic control, 
surveillance, and communication facilities available and to be provided 
if we grant the designation; and
    (d) The name and location of the agency, office, facility, or person 
who would have authority to permit the use of the airspace when it was 
not in use for the purpose to which you want it assigned.



Sec. 11.81  What information must I include in my petition for an exemption?

    You must include the following information in your petition for an 
exemption and submit it to FAA as soon as you know you need an 
exemption.
    (a) Your name and mailing address and, if you wish, other contact 
information such as a fax number, telephone number, or e-mail address;
    (b) The specific section or sections of 14 CFR from which you seek 
an exemption;
    (c) The extent of relief you seek, and the reason you seek the 
relief;
    (d) The reasons why granting your request would be in the public 
interest; that is, how it would benefit the public as a whole;
    (e) The reasons why granting the exemption would not adversely 
affect safety, or how the exemption would provide a level of safety at 
least equal to that provided by the rule from which you seek the 
exemption;
    (f) A summary we can publish in the Federal Register, stating:
    (1) The rule from which you seek the exemption; and
    (2) A brief description of the nature of the exemption you seek;
    (g) Any additional information, views or arguments available to 
support your request; and
    (h) If you want to exercise the privileges of your exemption outside 
the United States, the reason why you need to do so.



Sec. 11.83  How can I operate under an exemption outside the United States?

    If you want to be able to operate under your exemption outside the 
United States, you must request this when you petition for relief and 
give us the reason for this use. If you do not provide your reason or we 
determine that it does not justify this relief, we will limit your 
exemption to use within the United States. Before we extend your 
exemption for use outside the United States, we will verify that the 
exemption would be in compliance with the Standards of the International 
Civil Aviation Organization (ICAO). If it would not, but we still 
believe it would be in the public interest to allow you to do so, we 
will file a difference with ICAO. However, a foreign country still may 
not allow you to operate in that country without meeting the ICAO 
standard.

[[Page 26]]



Sec. 11.85  Does FAA invite public comment on petitions for exemption?

    Yes, FAA publishes information about petitions for exemption in the 
Federal Register. The information includes--
    (a) The docket number of the petition;
    (b) The citation to the rule or rules from which the petitioner 
requested relief;
    (c) The name of the petitioner;
    (d) The petitioner's summary of the action requested and the reasons 
for requesting it; and
    (e) A request for comments to assist FAA in evaluating the petition.



Sec. 11.87  Are there circumstances in which FAA may decide not to publish a summary of my petition for exemption?

    The FAA may not publish a summary of your petition for exemption and 
request comments if you present or we find good cause why we should not 
delay action on your petition. The factors we consider in deciding not 
to request comment include:
    (a) Whether granting your petition would set a precedent.
    (b) Whether the relief requested is identical to exemptions granted 
previously.
    (c) Whether our delaying action on your petition would affect you 
adversely.
    (d) Whether you filed your petition in a timely manner.



Sec. 11.89  How much time do I have to submit comments to FAA on a petition for exemption?

    The FAA states the specific time allowed for comments in the Federal 
Register notice about the petition. We usually allow 20 days to comment 
on a petition for exemption.



Sec. 11.91  How does FAA inform me of its decision on my petition for exemption?

    (a) The FAA will notify you in writing about its decision on your 
petition.
    (b) The FAA publishes a summary in the Federal Register that 
includes--
    (1) The docket number of your petition;
    (2) Your name;
    (3) The citation to the rules from which you requested relief;
    (4) A brief description of the general nature of the relief 
requested;
    (5) Whether FAA granted or denied the request;
    (6) The date of FAA's decision; and
    (7) An exemption number.



Sec. 11.101  May I ask FAA to reconsider my petition for rulemaking or petition for exemption if it is denied?

    Yes, you may petition FAA to reconsider your petition denial. You 
must submit your request to the address to which you sent your original 
petition, and FAA must receive it within 60 days after we issued the 
denial. For us to accept your petition, show the following:
    (a) That you have a significant additional fact and why you did not 
present it in your original petition;
    (b) That we made an important factual error in our denial of your 
original petition; or
    (c) That we did not correctly interpret a law, regulation, or 
precedent.



           Subpart B--Paperwork Reduction Act Control Numbers



Sec. 11.201  Office of Management and Budget (OMB) control numbers assigned under the Paperwork Reduction Act.

    (a) The Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) 
requires FAA to get approval from OMB for our information collection 
activities, and to list a record of those approvals in the Federal 
Register. This subpart lists the control numbers OMB assigned to FAA's 
information collection activities.
    (b) The table listing OMB control numbers assigned to FAA's 
information collection activities follows:

------------------------------------------------------------------------
  14 CFR part or  section identified and
                 described                   Current OMB control number
------------------------------------------------------------------------
Part 14...................................  2120-0539
Part 17...................................  2120-0632
Part 21...................................  2120-0018, 2120-0552
Part 34...................................  2120-0508
Part 39...................................  2120-0056
Part 43...................................  2120-0020
Part 45...................................  2120-0508
Part 47...................................  2120-0024, 2120-0042
Part 49...................................  2120-0043
Part 61...................................  2120-0021, 2120-0034, 2120-
                                             0543, 2120-0571

[[Page 27]]

 
Part 63...................................  2120-0007
Part 65...................................  2120-0022, 2120-0535, 2120-
                                             0571, 2120-0648
Part 67...................................  2120-0034, 2120-0543
Part 77...................................  2120-0001
Part 91...................................  2120-0005, 2120-0026, 2120-
                                             0027, 2120-0573, 2120-0606,
                                             2120-0620, 2120-0631, 2120-
                                             0651
Part 93...................................  2120-0524, 2120-0606, 2120-
                                             0639
Part 101..................................  2120-0027
Part 105..................................  2120-0027, 2120-0641
Part 107..................................  2120-0075, 2120-0554, 2120-
                                             0628
Part 108..................................  2120-0098, 2120-0554, 2120-
                                             0577, 2120-0628, 2120-0642
Part 109..................................  2120-0505
Part 119..................................  2120-0593
Part 121..................................  2120-0008, 2120-0028, 2120-
                                             0535, 2120-0571, 2120-0600,
                                             2120-0606, 2120-0614, 2120-
                                             0616, 2120-0631, 2120-0651,
                                             2120-0653
Part 125..................................  2120-0028, 2120-0085, 2120-
                                             0616, 2120-0651
Part 129..................................  2120-0028, 2120-0536, 2120-
                                             0616, 2120-0638
Part 133..................................  2120-0044
Part 135..................................  2120-0003, 2120-0028, 2120-
                                             0039, 2120-0535, 2120-0571,
                                             2120-0600, 2120-0606, 2120-
                                             0614, 2120-0616, 2120-0620,
                                             2120-0631, 2120-0653
Part 137..................................  2120-0049
Part 139..................................  2120-0045, 2120-0063
Part 141..................................  2120-0009
Part 142..................................  2120-0570
Part 145..................................  2120-0003, 2120-0010, 2120-
                                             0571
Part 147..................................  2120-0040
Part 150..................................  2120-0517
Part 157..................................  2120-0036
Part 158..................................  2120-0557
Part 161..................................  2120-0563
Part 171..................................  2120-0014
Part 183..................................  2120-0033, 2120-0604
Part 193..................................  2120-0646
Part 198..................................  2120-0514
Part 400..................................  2120-0643, 2120-0644, 0649
Part 401..................................  2120-0608
Part 440..................................  2120-0601
SFAR 36...................................  2120-0507
SFAR 64...................................  2120-0573
SFAR 71...................................  2120-0620
------------------------------------------------------------------------

   Appendix 1 to Part 11--Oral Communications With the Public During 
                               Rulemaking

                     1. What is an ex parte contact?

    ``Ex parte'' is a Latin term that means ``one sided,'' and indicates 
that not all parties to an issue were present when it was discussed. An 
ex parte contact involving rulemaking is any communication between FAA 
and someone outside the government regarding a specific rulemaking 
proceeding, before that proceeding closes. A rulemaking proceeding does 
not close until we publish the final rule or withdraw the NPRM. Because 
an ex parte contact excludes other interested persons, including the 
rest of the public, from the communication, it may give an unfair 
advantage to one party, or appear to do so.

        2. Are written comments to the docket ex parte contacts?

    Written comments submitted to the docket are not ex parte contacts 
because they are available for inspection by all members of the public.

               3. What is DOT policy on ex parte contacts?

    It is DOT policy to provide for open development of rules and to 
encourage full public participation in rulemaking actions. In addition 
to providing opportunity to respond in writing to an NPRM and to appear 
and be heard at a hearing, DOT policy encourages agencies to contact the 
public directly when we need factual information to resolve questions of 
substance. It also encourages DOT agencies to be receptive to 
appropriate contacts from persons affected by or interested in a 
proposed action. But under some circumstances an ex parte contact could 
affect the basic openness and fairness of the rulemaking process. Even 
the appearance of impropriety can affect public confidence in the 
process. For this reason, DOT policy sets careful guidelines for these 
contacts. The kind of ex parte contacts permitted and the procedures we 
follow depend on when the contact occurs in the rulemaking process.

  4. What kinds of ex parte contacts does DOT policy permit before we 
 issue an ANPRM, NPRM, Supplemental NPRM, or immediately adopted final 
                                  rule?

    The DOT policy authorizes ex parte contacts that we need to obtain 
technical and economic information. We need this information to decide 
whether to issue a regulation and what it should say. Each contact that 
influences our development of the regulation is noted in the preamble. 
For multiple contacts that are similar, we may provide only a general 
discussion. For contacts not discussed in the preamble, we place a 
report discussing each contact or group of related contacts in the 
rulemaking docket when it is opened.

 5. Does DOT policy permit ex parte contacts during the comment period?

    No, during the comment period, the public docket is available for 
written comments from any member of the public. These comments can be 
examined and responded to by any interested person. Because this public 
forum is available, DOT policy discourages

[[Page 28]]

ex parte contacts during the comment period. They are not necessary to 
collect the information the agency needs to make its decision.

6. What if the FAA believes it needs to meet with members of the public 
                        to discuss the proposal?

    If the FAA determines that it would be helpful to invite members of 
the public to make oral presentations to it regarding the proposal, we 
will announce a public meeting in the Federal Register.

 7. Are any oral contacts concerning the proposal permitted during the 
                             comment period?

    If you contact the agency with questions regarding the proposal 
during the comment period, we can only provide you with information that 
has already been made available to the general public. If you contact 
the agency to discuss the proposal, you will be told that the proper 
avenue of communication during the comment period is a written 
communication to the docket.

   8. If a substantive ex parte contact does occur during the comment 
                        period, what does FAA do?

    While FAA tries to ensure that FAA personnel and the public are 
aware of DOT policy, substantive ex parte contacts do occasionally 
occur, for example, at meetings not intended for that purpose. In such a 
case, we place a summary of the contact and a copy of any materials 
provided at the meeting in the rulemaking docket. We encourage 
participants in such a meeting to file written comments in the docket.

   9. Does DOT policy permit ex parte contacts the comment period has 
                                 closed?

    DOT policy strongly discourages ex parte contacts initiated by 
commenters to discuss their position on the proposal once the comment 
period has closed. Such a contact at this time would be improper, since 
other interested persons would not have an opportunity to respond. If we 
need further information regarding a comment in the docket, we may 
request this from a commenter. A record of this contact and the 
information provided is placed in the docket. If we need to make other 
contacts to update factual information, such as economic data, we will 
disclose this information in the final rule docket or in the economic 
studies accompanying it, which are available in the docket.

  10. What if FAA needs to meet with interested persons to discuss the 
              proposal after the comment period has closed?

    If FAA determines that it would be helpful to meet with a person or 
group after the close of the comment period to discuss a course of 
action to be taken, we will announce the meeting in the Federal 
Register. We will also consider reopening the comment period. If an 
inappropriate ex parte contact does occur after the comment period 
closes, a summary of the contact and a copy of any material distributed 
during meeting will be placed in the docket if it could be seen as 
influencing the rulemaking process.

    11. Under what circumstances will FAA reopen the comment period?

    If we receive an ex parte communication after the comment period has 
closed that could substantially influence the rulemaking, we may reopen 
the comment period. DOT policy requires the agency to carefully consider 
whether the substance of the contact will give the commenter an unfair 
advantage, since the rest of the public may not see the record of the 
contact in the docket. When the substance of a proposed rule is 
significantly changed as a result of such an oral communication, DOT 
policy and practice requires that the comment period be reopened by 
issuing a supplemental NPRM in which the reasons for the change are 
discussed.

12. What if I have important information for FAA and the comment period 
                               is closed?

    You may always provide FAA with written information after the close 
of the comment period and it will be considered if time permits. Because 
contacts after the close of the comment may not be seen by other 
interested persons, if they substantially and specifically influence the 
FAA's decision, we may need to reopen the comment period.



PART 13--INVESTIGATIVE AND ENFORCEMENT PROCEDURES--Table of Contents




                   Subpart A--Investigative Procedures

Sec.
13.1  Reports of violations.
13.3  Investigations (general).
13.5  Formal complaints.
13.7  Records, documents and reports.

                    Subpart B--Administrative Actions

13.11  Administrative disposition of certain violations.

                  Subpart C--Legal Enforcement Actions

13.13  Consent orders.
13.15  Civil penalties: Federal Aviation Act of 1958, as amended, 
          involving an amount in controversy in excess of $50,000; an in 
          rem action; seizure of aircraft; or injunctive relief.
13.16  Civil penalties: Federal Aviation Act of 1958, involving an 
          amount in controversy not exceeding $50,000; Hazardous 
          Materials Transportation Act.
13.17  Seizure of aircraft.

[[Page 29]]

13.19  Certificate action.
13.20  Orders of compliance, cease and desist orders, orders of denial, 
          and other orders.
13.21  Military personnel.
13.23  Criminal penalties.
13.25  Injunctions.
13.27  Final order of Hearing Officer in certificate of aircraft 
          registration proceedings.
13.29  Civil penalties: Streamlined enforcement procedures for certain 
          security violations.

              Subpart D--Rules of Practice for FAA Hearings

13.31  Applicability.
13.33  Appearances.
13.35  Request for hearing.
13.37  Hearing Officer's powers.
13.39  Disqualification of Hearing Officer.
13.41  [Reserved]
13.43  Service and filing of pleadings, motions, and documents.
13.44  Computation of time and extension of time.
13.45  Amendment of notice and answer.
13.47  Withdrawal of notice or request for hearing.
13.49  Motions.
13.51  Intervention.
13.53  Depositions.
13.55  Notice of hearing.
13.57  Subpoenas and witness fees.
13.59  Evidence.
13.61  Argument and submittals.
13.63  Record.

     Subpart E--Orders of Compliance Under the Hazardous Materials 
                           Transportation Act

13.71  Applicability.
13.73  Notice of proposed order of compliance.
13.75  Reply or request for hearing.
13.77  Consent order of compliance.
13.79  Hearing.
13.81  Order of immediate compliance.
13.83  Appeal.
13.85  Filing, service and computation of time.
13.87  Extension of time.

     Subpart F--Formal Fact-Finding Investigation Under an Order of 
                              Investigation

13.101  Applicability.
13.103  Order of investigation.
13.105  Notification.
13.107  Designation of additional parties.
13.109  Convening the investigation.
13.111  Subpoenas.
13.113  Noncompliance with the investigative process.
13.115  Public proceedings.
13.117  Conduct of investigative proceeding or deposition.
13.119  Rights of persons against self-incrimination.
13.121  Witness fees.
13.123  Submission by party to the investigation.
13.125  Depositions.
13.127  Reports, decisions and orders.
13.129  Post-investigation action.
13.131  Other procedures.

        Subpart G--Rules of Practice in FAA Civil Penalty Actions

13.201  Applicability.
13.202  Definitions.
13.203  Separation of functions.
13.204  Appearances and rights of parties.
13.205  Administrative law judges.
13.206  Intervention.
13.207  Certification of documents.
13.208  Complaint.
13.209  Answer.
13.210  Filing of documents.
13.211  Service of documents.
13.212  Computation of time.
13.213  Extension of time.
13.214  Amendment of pleadings.
13.215  Withdrawal of complaint or request for hearing.
13.216  Waivers.
13.217  Joint procedural or discovery schedule.
13.218  Motions.
13.219  Interlocutory appeals.
13.220  Discovery.
13.221  Notice of hearing.
13.222  Evidence.
13.223  Standard of proof.
13.224  Burden of proof.
13.225  Offer of proof.
13.226  Public disclosure of evidence.
13.227  Expert or opinion witnesses.
13.228  Subpoenas.
13.229  Witness fees.
13.230  Record.
13.231  Argument before the administrative law judge.
13.232  Initial decision.
13.233  Appeal from initial decision.
13.234  Petition to reconsider or modify a final decision and order of 
          the FAA decisionmaker on appeal.
13.235  Judicial review of a final decision and order.

         Subpart H--Civil Monetary Penalty Inflation Adjustment

13.301  Scope and purpose.
13.303  Definitions.
13.305  Cost of living adjustments of civil monetary penalties.

    Authority: 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C. 106(g), 
5121-5124, 40113-40114, 44103-44106, 44702-44703, 44709-44710, 44713, 
46101-46110, 46301-46316, 46501-46502, 46504-46507, 47106, 47111, 47122, 
47306, 47531-47532.

[[Page 30]]


    Source: Docket No. 18884, 44 FR 63723, Nov. 5, 1979, unless 
otherwise noted.



                   Subpart A--Investigative Procedures



Sec. 13.1  Reports of violations.

    (a) Any person who knows of a violation of the Federal Aviation Act 
of 1958, as amended, the Hazardous Materials Transportation Act relating 
to the transportation or shipment by air of hazardous materials, the 
Airport and Airway Development Act of 1970, the Airport and Airway 
Improvement Act of 1982, the Airport and Airway Improvement Act of 1982 
as amended by the Airport and Airway Safety and Capacity Expansion Act 
of 1987, or any rule, regulation, or order issued thereunder, should 
report it to appropriate personnel of any FAA regional or district 
office.
    (b) Each report made under this section, together with any other 
information the FAA may have that is relevant to the matter reported, 
will be reviewed by FAA personnel to determine the nature and type of 
any additional investigation or enforcement action the FAA will take.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-17, 
53 FR 33783, Aug. 31, 1988]



Sec. 13.3  Investigations (general).

    (a) Under the Federal Aviation Act of 1958, as amended, (49 U.S.C. 
1301 et seq.), the Hazardous Materials Transportation Act (49 U.S.C. 
1801 et seq.), the Airport and Airway Development Act of 1970 (49 U.S.C. 
1701 et seq.), the Airport and Airway Improvement Act of 1982 (49 U.S.C. 
2201 et seq.), the Airport and Airway Improvement Act of 1982 (as 
amended, 49 U.S.C. App. 2201 et seq., Airport and Airway Safety and 
Capacity Expansion Act of 1987), and the Regulations of the Office of 
the Secretary of Transportation (49 CFR 1 et seq.), the Administrator 
may conduct investigations, hold hearings, issue subpoenas, require the 
production of relevant documents, records, and property, and take 
evidence and depositions.
    (b) For the purpose of investigating alleged violations of the 
Federal Aviation Act of 1958, as amended the Hazardous Materials 
Transportation Act, the Airport and Airway Development Act of 1970, the 
Airport and Airway Improvement Act of 1982, the Airport and Airway 
Improvement Act of 1982 as amended by the Airport and Airway Safety and 
Capacity Expansion Act of 1987, or any rule, regulation, or order issued 
thereunder, the Administrator's authority has been delegated to the 
various services and or offices for matters within their respective 
areas for all routine investigations. When the compulsory processes of 
sections 313 and 1004 (49 U.S.C. 1354 and 1484) of the Federal Aviation 
Act, or section 109 of the Hazardous Materials Transportation Act (49 
U.S.C. 1808) are invoked, the Administrator's authority has been 
delegated to the Chief Counsel, the Deputy Chief Counsel, each Assistant 
Chief Counsel, each Regional Counsel, the Aeronautical Center Counsel, 
and the Technical Center Counsel.
    (c) In conducting formal investigations, the Chief Counsel, the 
Deputy Chief Counsel, each Assistant Chief Counsel, each Regional 
Counsel, the Aeronautical Center Counsel, and the Technical Center 
Counsel may issue an order of investigation in accordance with Subpart F 
of this part.
    (d) A complaint against the sponsor, proprietor, or operator of a 
Federally-assisted airport involving violations of the legal authorities 
listed in Sec. 16.1 of this chapter shall be filed in accordance with 
the provisions of part 16 of this chapter, except in the case of 
complaints, investigations, and proceedings initiated before December 
16, 1996, the effective date of part 16 of this chapter.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-17, 
53 FR 33783, Aug. 31, 1988; 53 FR 35255, Sept. 12, 1988; Amdt. 13-19, 54 
FR 39290, Sept. 25, 1989; Amdt. 13-27, 61 FR 54004, Oct. 16, 1996; Amdt. 
13-29, 62 FR 46865, Sept. 4, 1997]



Sec. 13.5  Formal complaints.

    (a) Any person may file a complaint with the Administrator with 
respect to anything done or omitted to be done by any person in 
contravention of any provision of any Act or of any regulation or order 
issued under it, as to matters within the jurisdiction of the 
Administrator. This section does not

[[Page 31]]

apply to complaints against the Administrator or employees of the FAA 
acting within the scope of their employment.
    (b) Complaints filed under this section must--
    (1) Be submitted in writing and identified as a complaint filed for 
the purpose of seeking an appropriate order or other enforcement action;
    (2) Be submitted to the Federal Aviation Administration, Office of 
the Chief Counsel, Attention: Enforcement Docket (AGC-10), 800 
Independence Avenue, S.W., Washington, DC 20591;
    (3) Set forth the name and address, if known, of each person who is 
the subject of the complaint and, with respect to each person, the 
specific provisions of the Act or regulation or order that the 
complainant believes were violated;
    (4) Contain a concise but complete statement of the facts relied 
upon to substantiate each allegation;
    (5) State the name, address and telephone number of the person 
filing the complaint; and
    (6) Be signed by the person filing the complaint or a duly 
authorized representative.
    (c) Complaints which do not meet the requirements of paragraph (b) 
of this section will be considered reports under Sec. 13.1.
    (d) Complaints which meet the requirements of paragraph (b) of this 
section will be docketed and a copy mailed to each person named in the 
complaint.
    (e) Any complaint filed against a member of the Armed Forces of the 
United States acting in the performance of official duties shall be 
referred to the Secretary of the Department concerned for action in 
accordance with the procedures set forth in Sec. 13.21 of this part.
    (f) The person named in the complaint shall file an answer within 20 
days after service of a copy of the complaint.
    (g) After the complaint has been answered or after the allotted time 
in which to file an answer has expired, the Administrator shall 
determine if there are reasonable grounds for investigating the 
complaint.
    (h) If the Administrator determines that a complaint does not state 
facts which warrant an investigation or action, the complaint may be 
dismissed without a hearing and the reason for the dismissal shall be 
given, in writing, to the person who filed the complaint and the person 
named in the complaint.
    (i) If the Administrator determines that reasonable grounds exist, 
an informal investigation may be initiated or an order of investigation 
may be issued in accordance with Subpart F of this part, or both. Each 
person named in the complaint shall be advised which official has been 
delegated the responsibility under Sec. 13.3(b) or (c) for conducting 
the investigation.
    (j) If the investigation substantiates the allegations set forth in 
the complaint, a notice of proposed order may be issued or other 
enforcement action taken in accordance with this part.
    (k) The complaint and other pleadings and official FAA records 
relating to the disposition of the complaint are maintained in current 
docket form in the Enforcement Docket (AGC-10), Office of the Chief 
Counsel, Federal Aviation Administration, 800 Independence Avenue, S.W., 
Washington, D. C. 20591. Any interested person may examine any docketed 
material at that office, at any time after the docket is established, 
except material that is ordered withheld from the public under 
applicable law or regulations, and may obtain a photostatic or duplicate 
copy upon paying the cost of the copy.

(Secs. 313(a), 314(a), 601 through 610, and 1102 of the Federal Aviation 
Act of 1958 (49 U.S.C. 1354(a), 1421 through 1430, 1502); sec. 6(c), 
Dept. of Transportation Act (49 U.S.C. 1655(c)))

[Doc. No 13-14, 44 FR 63723, Nov. 5, 1979; as amended by Amdt. 13-16, 45 
FR 35307, May 27, 1980; Amdt. 13-19, 54 FR 39290, Sept. 25, 1989]



Sec. 13.7  Records, documents and reports.

    Each record, document and report that the Federal Aviation 
Regulations require to be maintained, exhibited or submitted to the 
Administrator may be used in any investigation conducted by the 
Administrator; and, except to the extent the use may be specifically 
limited or prohibited by the section which imposes the requirement, the 
records,

[[Page 32]]

documents and reports may be used in any civil penalty action, 
certificate action, or other legal proceeding.



                    Subpart B--Administrative Actions



Sec. 13.11  Administrative disposition of certain violations.

    (a) If it is determined that a violation or an alleged violation of 
the Federal Aviation Act of 1958, or an order or regulation issued under 
it, or of the Hazardous Materials Transportation Act, or an order or 
regulation issued under it, does not require legal enforcement action, 
an appropriate official of the FAA field office responsible for 
processing the enforcement case or other appropriate FAA official may 
take administrative action in disposition of the case.
    (b) An administrative action under this section does not constitute 
a formal adjudication of the matter, and may be taken by issuing the 
alleged violator--
    (1) A ``Warning Notice'' which recites available facts and 
information about the incident or condition and indicates that it may 
have been a violation; or
    (2) A ``Letter of Correction'' which confirms the FAA decision in 
the matter and states the necessary corrective action the alleged 
violator has taken or agrees to take. If the agreed corrective action is 
not fully completed, legal enforcement action may be taken.



                  Subpart C--Legal Enforcement Actions



Sec. 13.13  Consent orders.

    (a) At any time before the issuance of an order under this subpart, 
the official who issued the notice and the person subject to the notice 
may agree to dispose of the case by the issuance of a consent order by 
the official.
    (b) A proposal for a consent order, submitted to the official who 
issued the notice, under this section must include--
    (1) A proposed order;
    (2) An admission of all jurisdictional facts;
    (3) An express waiver of the right to further procedural steps and 
of all rights to judicial review; and
    (4) An incorporation by reference of the notice and an 
acknowledgment that the notice may be used to construe the terms of the 
order.
    (c) If the issuance of a consent order has been agreed upon after 
the filing of a request for hearing in accordance with Subpart D of this 
part, the proposal for a consent order shall include a request to be 
filed with the Hearing Officer withdrawing the request for a hearing and 
requesting that the case be dismissed.



Sec. 13.15  Civil penalties: Federal Aviation Act of 1958, as amended, involving an amount in controversy in excess of $50,000; an in rem action; seizure of 
          aircraft; or injunctive relief.

    (a) The following penalties apply to persons who violate the Federal 
Aviation Act of l958, as amended:
    (1) Any person who violates any provision of Title III, V, VI, or 
XII of the Federal Aviation Act of 1958, as amended, or any rule, 
regulation, or order issued thereunder, is subject to a civil penalty of 
not more than the amount specified in the Act for each violation in 
accordance with section 901 of the Federal Aviation Act of 1958, as 
amended (49 U.S.C. 1471, et seq.).
    (2) Any person who violates section 404(d) of the Federal Aviation 
Act of 1958, as amended, or any rule, regulation, or order issued 
thereunder, is subject to a civil penalty of not more than the amount 
specified in the Act for each violation in accordance with section 
404(d) or section 901 of the Federal Aviation Act of 1958, as amended 
(49 U.S.C. 1374, 1471, et seq.).
    (3) Any person who operates aircraft for the carriage of persons or 
property for compensation or hire (other than an airman serving in the 
capacity of an airman) is subject to a civil penalty of not more than 
$10,000 for each violation of Title III, VI, or XII of the Federal 
Aviation Act of 1958, as amended, or any rule, regulation, or order 
issued thereunder, occurring after December 30, 1987, in accordance with 
section 901 of the Federal Aviation Act of l958, as amended (49 U.S.C. 
1471 et seq.).
    (b) The authority of the Administrator, under section 901 of the 
Federal Aviation Act of 1958, as amended, to propose a civil penalty for 
a violation

[[Page 33]]

of that Act, or a rule, regulation, or order issued thereunder, and the 
ability to refer cases to the United States Attorney General, or the 
delegate of the Attorney General, for prosecution of civil penalty 
actions proposed by the Administrator, involving an amount in 
controversy in excess of $50,000, an in rem action, seizure of aircraft 
subject to lien, or suit for injunctive relief, or for collection of an 
assessed civil penalty, is delegated to the Chief Counsel, the Assistant 
Chief Counsel, Enforcement, the Assistant Chief Counsel, Regulations, 
the Assistant Chief Counsel, Europe, Africa, and Middle East Area 
Office, the Regional Counsel, the Aeronautical Center Counsel, and the 
Technical Center Counsel.
    (c) The Administrator may compromise any civil penalty, proposed in 
accordance with section 901 of the Federal Aviation Act of 1958, as 
amended, involving an amount in controversy in excess of $50,000, an in 
rem action, seizure of aircraft subject to lien, or suit for injunctive 
relief, prior to referral of the civil penalty action to the United 
States Attorney General, or the delegate of the Attorney General, for 
prosecution.
    (1) The Administrator, through the Chief Counsel, the Assistant 
Chief Counsel, Enforcement, the Assistant Chief Counsel, Regulations, 
the Assistant Chief Counsel, Europe, Africa, and Middle East Area 
Office, the Regional Counsel, the Aeronautical Center Counsel, and the 
Technical Center Counsel sends a civil penalty letter to the person 
charged with a violation of the Federal Aviation Act of 1958, as 
amended, or a rule, regulation, or order issued thereunder. The civil 
penalty letter contains a statement of the charges, the applicable law, 
rule, regulation, or order, the amount of civil penalty that the 
Administrator will accept in full settlement of the action or an offer 
to compromise the civil penalty.
    (2) Not later than 30 days after receipt of the civil penalty 
letter, the person charged with a violation may present any material or 
information in answer to the charges to the agency attorney, either 
orally or in writing, that may explain, mitigate, or deny the violation 
or that may show extenuating circumstances. The Administrator will 
consider any material or information submitted in accordance with this 
paragraph to determine whether the person is subject to a civil penalty 
or to determine the amount for which the Administrator will compromise 
the action.
    (3) If the person charged with the violation offers to compromise 
for a specific amount, that person shall send a certified check or money 
order for that amount, payable to the Federal Aviation Administration, 
to the agency attorney. The Chief Counsel, the Assistant Chief Counsel, 
Enforcement, the Assistant Chief Counsel, Regulations, the Assistant 
Chief Counsel, Europe, Africa, and Middle East Area Office, the Regional 
Counsel, the Aeronautical Center Counsel, or the Technical Center 
Counsel may accept the certified check or money order or may refuse and 
return the certified check or money order.
    (4) If the offer to compromise is accepted by the Administrator, the 
agency attorney will send a letter to the person charged with the 
violation stating that the certified check or money order is accepted in 
full settlement of the civil penalty action.
    (5) If the parties cannot agree to compromise the civil penalty 
action or the offer to compromise is rejected and the certified check or 
money order submitted in compromise is returned, the Administrator may 
refer the civil penalty action to the United States Attorney General, or 
the delegate of the Attorney General, to begin proceedings in a United 
States District Court, pursuant to the authority in section 903 of the 
Federal Aviation Act, as amended (49 U.S.C. 1473), to prosecute and 
collect the civil penalty.

[Amdt. 13-18, 53 FR 34653, Sept. 7, 1988, as amended by Amdt. 13-20, 55 
FR 15128, Apr. 20, 1990; Amdt. 13-29, 62 FR 46865, Sept. 4, 1997]



Sec. 13.16  Civil penalties: Federal Aviation Act of 1958, involving an amount in controversy not exceeding $50,000; Hazardous Materials Transportation Act.

    (a) General. The following penalties apply to persons who violate 
the Federal Aviation Act of 1958, as amended,

[[Page 34]]

and the Hazardous Materials Transportation Act:
    (1) Any person who violates any provision of title III, V, VI, or 
XII of the Federal Aviation Act of 1958, as amended, or any rule, 
regulation, or order issued thereunder, is subject to a civil penalty of 
not more than the amount specified in the Act for each violation in 
accordance with section 901 of the Federal Aviation Act, of 1958, as 
amended (49 U.S.C. 1471, et seq.).
    (2) Any person who violates section 404(d) of the Federal Aviation 
Act of 1958, as amended, or any rule, regulation, or order issued 
thereunder, is subject to a civil penalty of not more than the amount 
specified in the Act for each violation in accordance with section 
404(d) or section 901 of the Federal Aviation Act of 1958, as amended 
(49 U.S.C. 1374, 1471, et seq.).
    (3) Any person who operates aircraft for the carriage of persons or 
property for compensation or hire (other than an airman serving in the 
capacity of an airman) is subject to a civil penalty of not more than 
$10,000 for each violation of title III, VI, or XII of the Federal 
Aviation Act of 1958, as amended, or any rule, regulation, or order 
issued thereunder, occurring after December 30, 1987, in accordance with 
section 901 of the Federal Aviation Act of 1958, as amended (49 U.S.C. 
1471, et seq.).
    (4) Any person who knowingly commits an act in violation of the 
Hazardous Materials Transportation Act, or any rule, regulation, or 
order issued thereunder, is subject to a civil penalty of not more than 
$10,000 for each violation in accordance with section 901 of the Federal 
Aviation Act of 1958, as amended, and section 110 of the Hazardous 
Materials Transportation Act (49 U.S.C. 1471 and 1809, et seq.). An 
order assessing civil penalty for a violation under the Hazardous 
Materials Transportation Act, or a rule, regulation, or order issued 
thereunder, will be issued only after consideration of--
    (i) The nature and circumstances of the violation;
    (ii) The extent and gravity of the violation;
    (iii) The person's degree of culpability;
    (iv) The person's history of prior violations;
    (v) The person's ability to pay the civil penalty;
    (vi) The effect on the person's ability to continue in business; and
    (vii) Such other matters as justice may require.
    (b) Order assessing civil penalty. An order assessing civil penalty 
may be issued for a violation described in paragraph (a) of this 
section, or as otherwise provided by statute, after notice and 
opportunity for a hearing. A person charged with a violation may be 
subject to an order assessing civil penalty in the following 
circumstances:
    (1) An order assessing civil penalty may be issued if a person 
charged with a violation submits or agrees to submit a civil penalty for 
a violation.
    (2) An order assessing civil penalty may be issued if a person 
charged with a violation does not request a hearing under paragraph 
(e)(2)(ii) of this section within 15 days after receipt of a final 
notice of proposed civil penalty.
    (3) Unless an appeal is filed with the FAA decisionmaker in a timely 
manner, an initial decision or order of an administrative law judge 
shall be considered an order assessing civil penalty if an 
administrative law judge finds that an alleged violation occurred and 
determines that a civil penalty, in an amount found appropriate by the 
administrative law judge, is warranted.
    (4) Unless a petition for review is filed with a U.S. Court of 
Appeals in a timely manner, a final decision and order of the 
Administrator shall be considered an order assessing civil penalty if 
the FAA decisionmaker finds that an alleged violation occurred and a 
civil penalty is warranted.
    (c) Delegation of authority. The authority of the Administrator, 
under section 901 and section 905 of the Federal Aviation Act of 1958, 
as amended, and section 110 of the Hazardous Materials Transportation 
Act, to initiate and assess civil penalties for a violation of those 
Acts, or a rule, regulation, or order issued thereunder, is delegated to 
the Deputy Chief Counsel, the Assistant Chief Counsel, Enforcement, the 
Assistant Chief Counsel, Regulations, the Assistant Chief Counsel, 
Europe, Africa, and Middle East Area Office, each Regional Counsel, the 
Aeronautical Center Counsel, and the

[[Page 35]]

Technical Center Counsel. The authority of the Administrator to refer 
cases to the Attorney General of the United States, or the delegate of 
the Attorney General, for the collection of civil penalties, is 
delegated to the Chief Counsel, the Deputy Chief Counsel, the Assistant 
Chief Counsel, Enforcement, the Assistant Chief Counsel, Regulations, 
the Assistant Chief Counsel, Europe, Africa, and Middle East Area 
Office, each Regional Counsel, the Aeronautical Center Counsel, and the 
Technical Center Counsel.
    (d) Notice of proposed civil penalty. A civil penalty action is 
initiated by sending a notice of proposed civil penalty to the person 
charged with a violation of the Federal Aviation Act of 1958, as 
amended, the Hazardous Materials Transportation Act, or a rule, 
regulation, or order issued thereunder. A notice of proposed civil 
penalty will be sent to the individual charged with a violation or to 
the president of the corporation or company charged with a violation. In 
response to a notice of proposed civil penalty, a corporation or company 
may designate in writing another person to receive documents in that 
civil penalty action. The notice of proposed civil penalty contains a 
statement of the charges and the amount of the proposed civil penalty. 
Not later than 30 days after receipt of the notice of proposed civil 
penalty, the person charged with a violation shall--
    (1) Submit the amount of the proposed civil penalty or an agreed-
upon amount, in which case either an order assessing civil penalty or 
compromise order shall be issued in that amount;
    (2) Submit to the agency attorney one of the following:
    (i) Written information, including documents and witness statements, 
demonstrating that a violation of the regulations did not occur or that 
a penalty or the amount of the penalty is not warranted by the 
circumstances.
    (ii) A written request to reduce the proposed civil penalty, the 
amount of reduction, and the reasons and any documents supporting a 
reduction of the proposed civil penalty, including records indicating a 
financial inability to pay or records showing that payment of the 
proposed civil penalty would prevent the person from continuing in 
business.
    (iii) A written request for an informal conference to discuss the 
matter with the agency attorney and to submit relevant information or 
documents; or
    (3) Request a hearing in which case a complaint shall be filed with 
the hearing docket clerk.
    (e) Final notice of proposed civil penalty. A final notice of 
proposed civil penalty may be issued after participation in informal 
procedures provided in paragraph (d)(2) of this section or failure to 
respond in a time1y manner to a notice of proposed civil penalty. A 
final notice of proposed civil penalty will be sent to the individual 
charged with a violation, to the president of the corporation or company 
charged with a violation, or a person previously designated in writing 
by the individual, corporation, or company to receive documents in that 
civil penalty action. If not previously done in response to a notice of 
proposed civil penalty, a corporation or company may designate in 
writing another person to receive documents in that civil penalty 
action. The final notice of proposed civil penalty contains a statement 
of the charges and the amount of the proposed civil penalty and, as a 
result of information submitted to the agency attorney during informal 
procedures, may modify an allegation or a proposed civil penalty 
contained in a notice of proposed civil penalty.
    (1) A final notice of proposed civil penalty may be issued--
    (i) If the person charged with a violation fails to respond to the 
notice of proposed civil penalty within 30 days after receipt of that 
notice; or
    (ii) If the parties participated in any informal procedures under 
paragraph (d)(2) of this section and the parties have not agreed to 
compromise the action or the agency attorney has not agreed to withdraw 
the notice of proposed civil penalty.
    (2) Not later than 15 days after receipt of the final notice of 
proposed civil penalty, the person charged with a violation shall do one 
of the following--
    (i) Submit the amount of the proposed civil penalty or an agreed-
upon

[[Page 36]]

amount, in which case either an order assessing civil penalty or a 
compromise order shall be issued in that amount; or
    (ii) Request a hearing in which case a complaint shall be filed with 
the hearing docket clerk.
    (f) Request for a hearing. Any person charged with a violation may 
request a hearing, pursuant to paragraph (d)(3) or paragraph (e)(2)(ii) 
of this section, to be conducted in accordance with the procedures in 
subpart G of this part. A person requesting a hearing shall file a 
written request for a hearing with the hearing docket clerk (Hearing 
Docket, Federal Aviation Administration, 800 Independence Avenue, SW., 
Room 924A, Washington, DC 20591, Attention: Hearing Docket Clerk) and 
shall mail a copy of the request to the agency attorney. The request for 
a hearing may be in the form of a letter but must be dated and signed by 
the person requesting a hearing. The request for a hearing may be 
typewritten or may be legibly handwritten.
    (g) Hearing. If the person charged with a violation requests a 
hearing pursuant to paragraph (d)(3) or paragraph (e)(2)(ii) of this 
section, the original complaint shall be filed with the hearing docket 
clerk and a copy shall be sent to the person requesting the hearing. The 
procedural rules in subpart G of this part apply to the hearing and any 
appeal. At the close of the hearing, the administrative law judge shall 
issue, either orally on the record or in writing, an initial decision, 
including the reasons for the decision, that contains findings or 
conclusions on the allegations contained, and the civil penalty sought, 
in the complaint.
    (h) Appeal. Either party may appeal the administrative law judge's 
initial decision to the FAA decisionmaker pursuant to the procedures in 
subpart G of this part. If a party files a notice of appeal pursuant to 
Sec. 13.233 of subpart G, the effectiveness of the initial decision is 
stayed until a final decision and order of the Administrator have been 
entered on the record. The FAA decisionmaker shall review the record and 
issue a final decision and order of the Administrator that affirm, 
modify, or reverse the initial decision. The FAA decisionmaker may 
assess a civil penalty but shall not assess a civil penalty in an amount 
greater than that sought in the complaint.
    (i) Payment. A person shall pay a civil penalty by sending a 
certified check or money order, payable to the Federal Aviation 
Administration, to the agency attorney.
    (j) Collection of civil penalties. If a person does not pay a civil 
penalty imposed by an order assessing civil penalty or a compromise 
order within 60 days after service of the order, the Administrator may 
refer the order to the United States Attorney General, or the delegate 
of the Attorney General, to begin proceedings to collect the civil 
penalty. The action shall be brought in a United States District Court, 
pursuant to the authority in section 903 of the Federal Aviation Act of 
1958, as amended (49 U.S.C. 1473), or section 110 of the Hazardous 
Materials Transportation Act (49 U.S.C. 1809).
    (k) Exhaustion of administrative remedies. A party may only petition 
for review of a final decision and order of the Administrator to the 
courts of appeals of the United States or the United States Court of 
Appeals for the District of Columbia pursuant to section 1006 of the 
Federal Aviation Act of 1958, as amended. Neither an initial decision or 
order issued by an administrative law judge, that has not been appealed 
to the FAA decisionmaker, nor an order compromising a civil penalty 
action constitutes a final order of the Administrator for the purposes 
of judicial appellate review under section 1006 of the Federal Aviation 
Act of 1958, as amended.
    (l) Compromise. The FAA may compromise any civil penalty action 
initiated in accordance with section 901 and section 905 of the Federal 
Aviation Act of 1958, as amended, involving an amount in controversy not 
exceeding $50,000, or any civil penalty action initiated in accordance 
with section 901 of the Federal Aviation Act of 1958, as amended, and 
section 110 of the Hazardous Materials Transportation Act, at any time 
before referring the action to the United States Attorney for 
collection.
    (1) An agency attorney may compromise any civil penalty action where

[[Page 37]]

a person charged with a violation agrees to pay a civil penalty and the 
FAA agrees to make no finding of violation. Pursuant to such agreement, 
a compromise order shall be issued, stating:
    (i) The person agrees to pay a civil penalty.
    (ii) The FAA makes no finding of a violation.
    (iii) The compromise order shall not be used as evidence of a prior 
violation in any subsequent civil penalty proceeding or certificate 
action proceeding.
    (2) An agency attorney may compromise the amount of any civil 
penalty proposed in a notice, assessed in an order, or imposed in a 
compromise order.

[Amdt. 13-21, 55 FR 27574, July 3, 1990; 55 FR 29293, July 18, 1990; 55 
FR 31027, July 30, 1990; Amdt. 13-29, 62 FR 46865, Sept. 4, 1997]



Sec. 13.17  Seizure of aircraft.

    (a) Under section 903 of the Federal Aviation Act of 1958 (49 U.S.C. 
1473), a State or Federal law enforcement officer, or a Federal Aviation 
Administration safety inspector, authorized in an order of seizure 
issued by the Regional Administrator of the region, or by the Chief 
Counsel, may summarily seize an aircraft that is involved in a violation 
for which a civil penalty may be imposed on its owner or operator.
    (b) Each person seizing an aircraft under this section shall place 
it in the nearest available and adequate public storage facility in the 
judicial district in which it was seized.
    (c) The Regional Administrator or Chief Counsel, without delay, 
sends a written notice and a copy of this section, to the registered 
owner of the seized aircraft, and to each other persons shown by FAA 
records to have an interest in it, stating the--
    (1) Time, date, and place of seizure;
    (2) Name and address of the custodian of the aircraft;
    (3) Reasons for the seizure, including the violations believed, or 
judicially determined, to have been committed; and
    (4) Amount that may be tendered as--
    (i) A compromise of a civil penalty for the alleged violation; or
    (ii) Payment for a civil penalty imposed by a Federal court for a 
proven violation.
    (d) The Chief Counsel, or the Regional Counsel or Assistant Chief 
Counsel for the region or area in which an aircraft is seized under this 
section, immediately sends a report to the United States District 
Attorney for the judicial district in which it was seized, requesting 
the District Attorney to institute proceedings to enforce a lien against 
the aircraft.
    (e) The Regional Administrator or Chief Counsel directs the release 
of a seized aircraft whenever--
    (1) The alleged violator pays a civil penalty or an amount agreed 
upon in compromise, and the costs of seizing, storing, and maintaining 
the aircraft;
    (2) The aircraft is seized under an order of a Federal Court in 
proceedings in rem to enforce a lien against the aircraft, or the United 
States District Attorney for the judicial district concerned notifies 
the FAA that the District Attorney refuses to institute those 
proceedings; or
    (3) A bond in the amount and with the sureties prescribed by the 
Chief Counsel, the Regional Counsel, or the Assistant Chief Counsel is 
deposited, conditioned on payment of the penalty, or the compromise 
amount, and the costs of seizing, storing, and maintaining the aircraft.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-19, 
54 FR 39290, Sept. 25, 1989; Amdt. 13-29, 62 FR 46865, Sept. 4, 1997]



Sec. 13.19  Certificate action.

    (a) Under section 609 of the Federal Aviation Act of 1958 (49 U.S.C. 
1429), the Administrator may reinspect any civil aircraft, aircraft 
engine, propeller, appliance, air navigation facility, or air agency, 
and may re-examine any civil airman. Under section 501(e) of the FA Act, 
any Certificate of Aircraft Registration may be suspended or revoked by 
the Administrator for any cause that renders the aircraft ineligible for 
registration.
    (b) If, as a result of such a reinspection re-examination, or other 
investigation made by the Administrator under section 609 of the FA Act, 
the Administrator determines that the

[[Page 38]]

public interest and safety in air commerce requires it, the 
Administrator may issue an order amending, suspending, or revoking, all 
or part of any type certificate, production certificate, airworthiness 
certificate, airman certificate, air carrier operating certificate, air 
navigation facility certificate, or air agency certificate. This 
authority may be exercised for remedial purposes in cases involving the 
Hazardous Materials Transportation Act (49 U.S.C. 1801 et seq.) or 
regulations issued under that Act. This authority is also exercised by 
the Chief Counsel, the Assistant Chief Counsel, Enforcement, the 
Assistant Chief Counsel, Regulations, the Assistant Chief Counsel, 
Europe, Africa, and Middle East Area Office, each Regional Counsel, and 
the Aeronautical Center Counsel. If the Administrator finds that any 
aircraft registered under Part 47 of this chapter is ineligible for 
registration or if the holder of a Certificate of Aircraft Registration 
has refused or failed to submit AC Form 8050-73, as required by 
Sec. 47.51 of this chapter, the Administrator issues an order suspending 
or revoking that certificate. This authority as to aircraft found 
ineligible for registration is also exercised by each Regional Counsel, 
the Aeronautical Center Counsel, and the Assistant Chief Counsel, 
Europe, Africa, and Middle East Area Office.
    (c) Before issuing an order under paragraph (b) of this section, the 
Chief Counsel, the Assistant Chief Counsel, Enforcement, the Assistant 
Chief Counsel, Regulations, the Assistant Chief Counsel, Europe, Africa, 
and Middle East Area Office, each Regional Counsel, or the Aeronautical 
Center Counsel advises the certificate holder of the charges or other 
reasons upon which the Administrator bases the proposed action and, 
except in an emergency, allows the holder to answer any charges and to 
be heard as to why the certificate should not be amended, suspended, or 
revoked. The holder may, by checking the appropriate box on the form 
that is sent to the holder with the notice of proposed certificate 
action, elect to--
    (1) Admit the charges and surrender his or her certificate;
    (2) Answer the charges in writing;
    (3) Request that an order be issued in accordance with the notice of 
proposed certificate action so that the certificate holder may appeal to 
the National Transportation Safety Board, if the charges concerning a 
matter under Title VI of the FA Act;
    (4) Request an opportunity to be heard in an informal conference 
with the FAA counsel; or
    (5) Request a hearing in accordance with Subpart D of this part if 
the charges concern a matter under Title V of the FA Act.

Except as provided in Sec. 13.35(b), unless the certificate holder 
returns the form and, where required, an answer or motion, with a 
postmark of not later than 15 days after the date of receipt of the 
notice, the order of the Administrator is issued as proposed. If the 
certificate holder has requested an informal conference with the FAA 
counsel and the charges concern a matter under Title V of the FA Act, 
the holder may after that conference also request a formal hearing in 
writing with a postmark of not later than 10 days after the close of the 
conference. After considering any information submitted by the 
certificate holder, the Chief Counsel, the Assistant Chief Counsel for 
Regulations and Enforcement, the Regional Counsel concerned, or the 
Aeronautical Center Counsel (as to matters under Title V of the FA Act) 
issues the order of the Administrator, except that if the holder has 
made a valid request for a formal hearing on a matter under Title V of 
the FA Act initially or after an informal conference, Subpart D of this 
part governs further proceedings.
    (d) Any person whose certificate is affected by an order issued 
under this section may appeal to the National Transportation Safety 
Board. If the certificate holder files an appeal with the Board, the 
Administrator's order is stayed unless the Administrator advises the 
Board that an emergency exists and safety in air commerce requires that 
the order become effective immediately. If the Board is so advised, the 
order remains effective and the Board shall finally dispose of the 
appeal within 60 days after the date of the advice. This paragraph does 
not apply to any person whose Certificate

[[Page 39]]

of Aircraft Registration is affected by an order issued under this 
section.

[Doc. No. 13-14, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-15, 
45 FR 20773, Mar. 31, 1980; Amdt. 13-19, 54 FR 39290, Sept. 25, 1989; 
Amdt. 13-29, 62 FR 46865, Sept. 4, 1997]



Sec. 13.20  Orders of compliance, cease and desist orders, orders of denial, and other orders.

    (a) This section applies to orders of compliance, cease and desist 
orders, orders of denial, and other orders issued by the Administrator 
to carry out the provisions of the Federal Aviation Act of 1958, as 
amended, the Hazardous Materials Transportation Act, the Airport and 
Airway Development Act of 1970, and the Airport and Airway Improvement 
Act of 1982, or the Airport and Airway Improvement Act of 1982 as 
amended by the Airport and Airway Safety and Capacity Expansion Act of 
1987. This section does not apply to orders issued pursuant to section 
602 or section 609 of the Federal Aviation Act of 1958, as amended.
    (b) Unless the Administrator determines that an emergency exists and 
safety in air commerce requires the immediate issuance of an order under 
this section, the person subject to the order shall be provided with 
notice prior to issuance.
    (c) Within 30 days after service of the notice, the person subject 
to the order may reply in writing or request a hearing in accordance 
with Subpart D of this part.
    (d) If a reply is filed, as to any charges not dismissed or not 
subject to a consent order, the person subject to the order may, within 
10 days after receipt of notice that the remaining charges are not 
dismissed, request a hearing in accordance with Subpart D of this part.
    (e) Failure to request a hearing within the period provided in 
paragraphs (c) or (d) of this section--
    (1) Constitutes a waiver of the right to appeal and the right to a 
hearing, and
    (2) Authorizes the official who issued the notice to find the facts 
to be as alleged in the notice, or as modified as the official may 
determine necessary based on any written response, and to issue an 
appropriate order, without further notice or proceedings.
    (f) If a hearing is requested in accordance with paragraph (c) or 
(d) of this section, the procedure of Subpart D of this part applies. At 
the close of the hearing, the Hearing Officer, on the record or 
subsequently in writing, shall set forth findings and conclusions and 
the reasons therefor, and either--
    (1) Dismiss the notice; or
    (2) Issue an order.
    (g) Any party to the hearing may appeal from the order of the 
Hearing Officer by filing a notice of appeal with the Administrator 
within 20 days after the date of issuance of the order.
    (h) If a notice of appeal is not filed from the order issued by a 
Hearing Officer, such order is the final agency order.
    (i) Any person filing an appeal authorized by paragraph (g) of this 
section shall file an appeal brief with the Administrator within 40 days 
after the date of issuance of the order, and serve a copy on the other 
party. A reply brief must be filed within 20 days after service of the 
appeal brief and a copy served on the appellant.
    (j) On appeal the Administrator reviews the available record of the 
proceeding, and issues an order dismissing, reversing, modifying or 
affirming the order. The Administrator's order includes the reasons for 
the Administrator's action.
    (k) For good cause shown, requests for extensions of time to file 
any document under this section may be granted by--
    (1) The official who issued the order, if the request is filed prior 
to the designation of a Hearing Officer; or
    (2) The Hearing Officer, if the request is filed prior to the filing 
of a notice of appeal; or
    (3) The Administrator, if the request is filed after the filing of a 
notice of appeal.
    (l) Except in the case of an appeal from the decision of a Hearing 
Officer, the authority of the Administrator under this section is also 
exercised by the Chief Counsel, Deputy Chief Counsel, each Assistant 
Chief Counsel, each Regional Counsel, and the Aeronautical Center 
Counsel (as to matters

[[Page 40]]

under Title V of the Federal Aviation Act of 1958).
    (m) Filing and service of documents under this section shall be 
accomplished in accordance with Sec. 13.43; and the periods of time 
specified in this section shall be computed in accordance with 
Sec. 13.44.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-17, 
53 FR 33783, Aug. 31, 1988; Amdt. 13-19, 54 FR 39290, Sept. 25, 1989; 
Amdt. 13-29, 62 FR 46865, Sept. 4, 1997]



Sec. 13.21  Military personnel.

    If a report made under this part indicates that, while performing 
official duties, a member of the Armed Forces, or a civilian employee of 
the Department of Defense who is subject to the Uniform Code of Military 
Justice (10 U.S.C. Ch. 47), has violated the Federal Aviation Act of 
1958, or a regulation or order issued under it, the Chief Counsel, the 
Assistant Chief Counsel, Enforcement, the Assistant Chief Counsel, 
Regulations, the Assistant Chief Counsel, Europe, Africa, and Middle 
East Area Office, each Regional Counsel, and the Aeronautical Center 
Counsel send a copy of the report to the appropriate military authority 
for such disciplinary action as that authority considers appropriate and 
a report to the Administrator thereon.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-19, 
54 FR 39290, Sept. 25, 1989; Amdt. 13-29, 62 FR 46866, Sept. 4, 1997]



Sec. 13.23  Criminal penalties.

    (a) Sections 902 and 1203 of the Federal Aviation Act of 1958 (49 
U.S.C. 1472 and 1523), provide criminal penalties for any person who 
knowingly and willfully violates specified provisions of that Act, or 
any regulation or order issued under those provisions. Section 110(b) of 
the Hazardous Materials Transportation Act (49 U.S.C. 1809(b)) provides 
for a criminal penalty of a fine of not more than $25,000, imprisonment 
for not more than five years, or both, for any person who willfully 
violates a provision of that Act or a regulation or order issued under 
it.
    (b) If an inspector or other employee of the FAA becomes aware of a 
possible violation of any criminal provision of the Federal Aviation Act 
of 1958 (except a violation of section 902 (i) through (m) which is 
reported directly to the Federal Bureau of Investigation), or of the 
Hazardous Materials Transportation Act, relating to the transportation 
or shipment by air of hazardous materials, he or she shall report it to 
the Office of the Chief Counsel or the Regional Counsel or Assistant 
Chief Counsel for the region or area concerned. If appropriate, that 
office refers the report to the Department of Justice for criminal 
prosecution of the offender. If such an inspector or other employee 
becomes aware of a possible violation of a Federal statute that is 
within the investigatory jurisdiction of another Federal agency, he or 
she shall immediately report it to that agency according to standard FAA 
practices.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-19, 
54 FR 39290, Sept. 25, 1989; Amdt. 13-29, 62 FR 46866, Sept. 4, 1997]



Sec. 13.25  Injunctions.

    (a) Whenever it is determined that a person has engaged, or is about 
to engage, in any act or practice constituting a violation of the 
Federal Aviation Act of 1958, or any regulation or order issued under it 
for which the FAA exercises enforcement responsibility, or, with respect 
to the transportation or shipment by air of any hazardous materials, in 
any act or practice constituting a violation of the Hazardous Materials 
Transportation Act, or any regulation or order issued under it for which 
the FAA exercises enforcement responsibility, the Chief Counsel, the 
Assistant Chief Counsel, Enforcement, the Assistant Chief Counsel, 
Regulations, the Assistant Chief Counsel, Europe, Africa, and Middle 
East Area Office, each Regional Counsel, and the Aeronautical Center 
Counsel may request the United States Attorney General, or the delegate 
of the Attorney General, to bring an action in the appropriate United 
States District Court for such relief as is necessary or appropriate, 
including mandatory or prohibitive injunctive relief, interim equitable 
relief, and punitive damages, as provided by section 1007 of the Federal 
Aviation Act of 1958 (49 U.S.C. 1487) and section 111(a) of the

[[Page 41]]

Hazardous Materials Transportation Act (49 U.S.C. 1810).
    (b) Whenever it is determined that there is substantial likelihood 
that death, serious illness, or severe personal injury, will result from 
the transportation by air of a particular hazardous material before an 
order of compliance proceeding, or other administrative hearing or 
formal proceeding to abate the risk of the harm can be completed, the 
Chief Counsel, the Assistant Chief Counsel, Enforcement, the Assistant 
Chief Counsel, Regulations, the Assistant Chief Counsel, Europe, Africa, 
and Middle East Area Office, each Regional Counsel, and the Aeronautical 
Center Counsel may bring, or request the United States Attorney General 
to bring, an action in the appropriate United States District Court for 
an order suspending or restricting the transportation by air of the 
hazardous material or for such other order as is necessary to eliminate 
or ameliorate the imminent hazard, as provided by section 111(b) of the 
Hazardous Materials Transportation Act (49 U.S.C. 1810).

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-19, 
54 FR 39290, Sept. 25, 1989; Amdt. 13-29, 62 FR 46866, Sept. 4, 1997]



Sec. 13.27  Final order of Hearing Officer in certificate of aircraft registration proceedings.

    (a) If, in proceedings under section 501(b) of the Federal Aviation 
Act of 1958 (49 USC 1401), the Hearing Officer determines that the 
holder of the Certificate of Aircraft Registration has refused or failed 
to submit AC Form 8050-73, as required by Sec. 47.51 of this chapter, or 
that the aircraft is ineligible for a Certificate of Aircraft 
Registration, the Hearing Officer shall suspend or revoke the 
respondent's certificate, as proposed in the notice of proposed 
certificate action.
    (b) If the final order of the Hearing Officer makes a decision on 
the merits, it shall contain a statement of the findings and conclusions 
of law on all material issues of fact and law. If the Hearing Officer 
finds that the allegations of the notice have been proven, but that no 
sanction is required, the Hearing Officer shall make appropriate 
findings and issue an order terminating the notice. If the Hearing 
Officer finds that the allegations of the notice have not been proven, 
the Hearing Officer shall issue an order dismissing the notice. If the 
Hearing Officer finds it to be equitable and in the public interest, the 
Hearing Officer shall issue an order terminating the proceeding upon 
payment by the respondent of a civil penalty in an amount agreed upon by 
the parties.
    (c) If the order is issued in writing, it shall be served upon the 
parties.

[Doc. No. 13-14, 44 FR 63723, Nov. 5, 1979; as amended by Amdt. 13-15, 
45 FR 20773, Mar. 31, 1980]



Sec. 13.29  Civil penalties: Streamlined enforcement procedures for certain security violations.

    This section may be used, at the agency's discretion, in enforcement 
actions involving individuals presenting dangerous or deadly weapons for 
screening at airports or in checked baggage where the amount of the 
proposed civil penalty is less than $5,000. In these cases, sections 
13.16(a), 13.16(c), and 13.16 (f) through (l) of this chapter are used, 
as well as paragraphs (a) through (d) of this section:
    (a) Delegation of authority. The authority of the Administrator, 
under 49 U.S.C. 46301, to initiate the assessment of civil penalties for 
a violation of 49 U.S.C. Subtitle VII, or a rule, regulation, or order 
issued thereunder, is delegated to the regional Civil Aviation Security 
Division Manager and the regional Civil Aviation Security Deputy 
Division Manager for the purpose of issuing notices of violation in 
cases involving violations of 49 U.S.C. Subtitle VII and the FAA's 
regulations by individuals presenting dangerous or deadly weapons for 
screening at airport checkpoints or in checked baggage. This authority 
may not be delegated below the level of the regional Civil Aviation 
Security Deputy Division Manager.
    (b) Notice of violation. A civil penalty action is initiated by 
sending a notice of violation to the person charged with the violation. 
The notice of violation contains a statement of the charges and the 
amount of the proposed civil penalty. Not later than 30 days after

[[Page 42]]

receipt of the notice of violation, the person charged with a violation 
shall:
    (1) Submit the amount of the proposed civil penalty or an agreed-
upon amount, in which case either an order assessing a civil penalty or 
a compromise order shall be issued in that amount; or
    (2) Submit to the agency attorney identified in the material 
accompanying the notice any of the following:
    (i) Written information, including documents and witness statements, 
demonstrating that a violation of the regulations did not occur or that 
a penalty or the penalty amount is not warranted by the circumstances; 
or
    (ii) A written request to reduce the proposed civil penalty, the 
amount of reduction, and the reasons and any documents supporting a 
reduction of the proposed civil penalty, including records indicating a 
financial inability to pay or records showing that payment of the 
proposed civil penalty would prevent the person from continuing in 
business; or
    (iii) A written request for an informal conference to discuss the 
matter with an agency attorney and submit relevant information or 
documents; or
    (3) Request a hearing in which case a complaint shall be filed with 
the hearing docket clerk.
    (c) Final notice of violation and civil penalty assessment order. A 
final notice of violation and civil penalty assessment order (``final 
notice and order'') may be issued after participation in any informal 
proceedings as provided in paragraph (b)(2) of this section, or after 
failure of the respondent to respond in a timely manner to a notice of 
violation. A final notice and order will be sent to the individual 
charged with a violation. The final notice and order will contain a 
statement of the charges and the amount of the proposed civil penalty 
and, as a result of information submitted to the agency attorney during 
any informal procedures, may reflect a modified allegation or proposed 
civil penalty.
    A final notice and order may be issued--
    (1) If the person charged with a violation fails to respond to the 
notice of violation within 30 days after receipt of that notice; or
    (2) If the parties participated in any informal procedures under 
paragraph (b)(2) of this section and the parties have not agreed to 
compromise the action or the agency attorney has not agreed to withdraw 
the notice of violation.
    (d) Order assessing civil penalty. An order assessing civil penalty 
may be issued after notice and opportunity for a hearing. A person 
charged with a violation may be subject to an order assessing civil 
penalty in the following circumstances:
    (1) An order assessing civil penalty may be issued if a person 
charged with a violation submits, or agrees to submit, the amount of 
civil penalty proposed in the notice of violation.
    (2) An order assessing civil penalty may be issued if a person 
charged with a violation submits, or agrees to submit, an agreed-upon 
amount of civil penalty that is not reflected in either the notice of 
violation or the final notice and order.
    (3) The final notice and order becomes (and contains a statement so 
indicating) an order assessing a civil penalty when the person charged 
with a violation submits the amount of the proposed civil penalty that 
is reflected in the final notice and order.
    (4) The final notice and order becomes (and contains a statement so 
indicating) an order assessing a civil penalty 16 days after receipt of 
the final notice and order, unless not later than 15 days after receipt 
of the final notice and order, the person charged with a violation does 
one of the following--
    (i) Submits an agreed-upon amount of civil penalty that is not 
reflected in the final notice and order, in which case an order 
assessing civil penalty or a compromise order shall be issued in that 
amount; or
    (ii) Requests a hearing in which case a complaint shall be filed 
with the hearing docket clerk.
    (5) Unless an appeal is filed with the FAA decisionmaker in a timely 
manner, an initial decision or order of an administrative law judge 
shall be considered an order assessing civil penalty if an 
administrative law judge finds that an alleged violation occurred and

[[Page 43]]

determines that a civil penalty, in an amount found to be appropriate by 
the administrative law judge, is warranted.
    (6) Unless a petition for review is filed with a U.S. Court of 
Appeals in a timely manner, a final decision and order of the 
Administrator shall be considered an order assessing civil penalty if 
the FAA decisionmaker finds that an alleged violation occurred and a 
civil penalty is warranted.

[Doc. No. 27873, 61 FR 44155, Aug. 28, 1996]



              Subpart D--Rules of Practice for FAA Hearings



Sec. 13.31  Applicability.

    This subpart applies to proceedings in which a hearing has been 
requested in accordance with Secs. 13.19(c)(5), 13.20(c), 13.20(d), 
13.75(a)(2), 13.75(b), or 13.81(e).

[Amdt. 13-18, 53 FR 34655, Sept. 7, 1988]



Sec. 13.33  Appearances.

    Any party to a proceeding under this subpart may appear and be heard 
in person or by attorney.



Sec. 13.35  Request for hearing.

    (a) A request for hearing must be made in writing to the Hearing 
Docket, Room 924A, Federal Aviation Administration, 800 Independence 
Avenue, S.W., Washington, D.C. 20591. It must describe briefly the 
action proposed by the FAA, and must contain a statement that a hearing 
is requested. A copy of the request for hearing and a copy of the answer 
required by paragraph (b) of this section must be served on the official 
who issued the notice of proposed action.
    (b) An answer to the notice of proposed action must be filed with 
the request for hearing. All allegations in the notice not specifically 
denied in the answer are deemed admitted.
    (c) Within 15 days after service of the copy of the request for 
hearing, the official who issued the notice of proposed action forwards 
a copy of that notice, which serves as the complaint, to the Hearing 
Docket.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-19, 
54 FR 39290, Sept. 25, 1989]



Sec. 13.37  Hearing Officer's powers.

    Any Hearing Officer may--
    (a) Give notice concerning, and hold, prehearing conferences and 
hearings;
    (b) Administrator oaths and affirmations;
    (c) Examine witnesses;
    (d) Adopt procedures for the submission of evidence in written form;
    (e) Issue subpoenas and take depositions or cause them to be taken;
    (f) Rule on offers of proof;
    (g) Receive evidence;
    (h) Regulate the course of the hearing;
    (i) Hold conferences, before and during the hearing, to settle and 
simplify issues by consent of the parties;
    (j) Dispose of procedural requests and similar matters; and
    (k) Issue decisions, make findings of fact, make assessments, and 
issue orders, as appropriate.



Sec. 13.39  Disqualification of Hearing Officer.

    If disqualified for any reason, the Hearing Officer shall withdraw 
from the case.



Sec. 13.41  [Reserved]



Sec. 13.43  Service and filing of pleadings, motions, and documents.

    (a) Copies of all pleadings, motions, and documents filed with the 
Hearing Docket must be served upon all parties to the proceedings by the 
person filing them.
    (b) Service may be made by personal delivery or by mail.
    (c) A certificate of service shall accompany all documents when they 
are tendered for filing and shall consist of a certificate of personal 
delivery or a certificate of mailing, executed by the person making the 
personal delivery or mailing the document.
    (d) Whenever proof of service by mail is made, the date of mailing 
or the date as shown on the postmark shall be the date of service, and 
where personal service is made, the date of personal delivery shall be 
the date of service.
    (e) The date of filing is the date the document is actually 
received.

[[Page 44]]



Sec. 13.44  Computation of time and extension of time.

    (a) In computing any period of time prescribed or allowed by this 
subpart, the date of the act, event, default, notice or order after 
which the designated period of time begins to run is not to be included 
in the computation. The last day of the period so computed is to be 
included unless it is a Saturday, Sunday, or legal holiday for the FAA, 
in which event the period runs until the end of the next day which is 
neither a Saturday, Sunday nor a legal holiday.
    (b) Upon written request filed with the Hearing Docket and served 
upon all parties, and for good cause shown, a Hearing Officer may grant 
an extension of time to file any documents specified in this subpart.



Sec. 13.45  Amendment of notice and answer.

    At any time more than 10 days before the date of hearing, any party 
may amend his or her notice, answer, or other pleading, by filing the 
amendment with the Hearing Officer and serving a copy of it on each 
other party. After that time, amendments may be allowed only in the 
discretion of the Hearing Officer. If an amendment to an initial 
pleading has been allowed, the Hearing Officer shall allow the other 
parties a reasonable opportunity to answer.



Sec. 13.47  Withdrawal of notice or request for hearing.

    At any time before the hearing, the FAA counsel may withdraw the 
notice of proposed action, and the party requesting the hearing may 
withdraw the request for hearing.



Sec. 13.49  Motions.

    (a) Motion to dismiss for insufficiency. A respondent who requests a 
formal hearing may, in place of an answer, file a motion to dismiss for 
failure of the allegations in the notice of proposed action to state a 
violation of the FA Act or of this chapter or to show lack of 
qualification of the respondent. If the Hearing Officer denies the 
motion, the respondent shall file an answer within 10 days.
    (b) [Reserved]
    (c) Motion for more definite statement. The certificate holder may, 
in place of an answer, file a motion that the allegations in the notice 
be made more definite and certain. If the Hearing Officer grants the 
motion, the FAA counsel shall comply within 10 days after the date it is 
granted. If the Hearing Officer denies the motion the certificate holder 
shall file an answer within 10 days after the date it is denied.
    (d) Motion for judgment on the pleadings. After the pleadings are 
closed, either party may move for a judgment on the pleadings.
    (e) Motion to strike. Upon motion of either party, the Hearing 
Officer may order stricken, from any pleadings, any insufficient 
allegation or defense, or any immaterial, impertinent, or scandalous 
matter.
    (f) Motion for production of documents. Upon motion of any party 
showing good cause, the Hearing Officer may, in the manner provided by 
Rule 34, Federal Rules of Civil Procedure, order any party to produce 
any designated document, paper, book, account, letter, photograph, 
object, or other tangible thing, that is not privileged, that 
constitutes or contains evidence relevant to the subject matter of the 
hearings, and that is in the party's possession, custody, or control.
    (g) Consolidation of motions. A party who makes a motion under this 
section shall join with it all other motions that are then available to 
the party. Any objection that is not so raised is considered to be 
waived.
    (h) Answers to motions. Any party may file an answer to any motion 
under this section within 5 days after service of the motion.



Sec. 13.51  Intervention.

    Any person may move for leave to intervene in a proceeding and may 
become a party thereto, if the Hearing Officer, after the case is sent 
to the Hearing Officer for hearing, finds that the person may be bound 
by the order to be issued in the proceedings or has a property or 
financial interest that may not be adequately represented by existing 
parties, and that the intervention will not unduly broaden the issues or 
delay the proceedings. Except for good

[[Page 45]]

cause shown, a motion for leave to intervene may not be considered if it 
is filed less than 10 days before the hearing.



Sec. 13.53  Depositions.

    After the respondent has filed a request for hearing and an answer, 
either party may take testimony by deposition in accordance with section 
1004 of the Federal Aviation Act of 1958 (49 U.S.C. 1484) or Rule 26, 
Federal Rules of Civil Procedure.



Sec. 13.55  Notice of hearing.

    The Hearing Officer shall set a reasonable date, time, and place for 
the hearing, and shall give the parties adequate notice thereof and of 
the nature of the hearing. Due regard shall be given to the convenience 
of the parties with respect to the place of the hearing.



Sec. 13.57  Subpoenas and witness fees.

    (a) The Hearing Officer to whom a case is assigned may, upon 
application by any party to the proceeding, issue subpoenas requiring 
the attendance of witnesses or the production of documentary or tangible 
evidence at a hearing or for the purpose of taking depositions. However, 
the application for producing evidence must show its general relevance 
and reasonable scope. This paragraph does not apply to the attendance of 
FAA employees or to the production of documentary evidence in the 
custody of such an employee at a hearing.
    (b) A person who applies for the production of a document in the 
custody of an FAA employee must follow the procedure in Sec. 13.49(f). A 
person who applies for the attendance of an FAA employee must send the 
application, in writing, to the Hearing Officer setting forth the need 
for that employee's attendance.
    (c) A witness in a proceeding under this subpart is entitled to the 
same fees and mileage as is paid to a witness in a court of the United 
States under comparable circumstances. The party at whose instance the 
witness is subpoenaed or appears shall pay the witness fees.
    (d) Notwithstanding the provisions of paragraph (c) of this section, 
the FAA pays the witness fees and mileage if the Hearing Officer who 
issued the subpoena determines, on the basis of a written request and 
good cause shown, that--
    (1) The presence of the witness will materially advance the 
proceeding; and
    (2) The party at whose instance the witness is subpoenaed would 
suffer a serious hardship if required to pay the witness fees and 
mileage.



Sec. 13.59  Evidence.

    (a) Each party to a hearing may present the party's case or defense 
by oral or documentary evidence, submit evidence in rebuttal, and 
conduct such cross-examination as may be needed for a full disclosure of 
the facts.
    (b) Except with respect to affirmative defenses and orders of 
denial, the burden of proof is upon the FAA counsel.
    (c) The Hearing Officer may order information contained in any 
report or document filed or in any testimony given pursuant to this 
subpart withheld from public disclosure when, in the judgment of the 
Hearing Officer, disclosure would adversely affect the interests of any 
person and is not required in the public interest or is not otherwise 
required by statute to be made available to the public. Any person may 
make written objection to the public disclosure of such information, 
stating the ground for such objection.



Sec. 13.61  Argument and submittals.

    The Hearing Officer shall give the parties adequate opportunity to 
present arguments in support of motions, objections, and the final 
order. The Hearing Officer may determine whether arguments are to be 
oral or written. At the end of the hearing the Hearing Officer may, in 
the discretion of the Hearing Officer, allow each party to submit 
written proposed findings and conclusions and supporting reasons for 
them.



Sec. 13.63  Record.

    The testimony and exhibits presented at a hearing, together with all 
papers, requests, and rulings filed in the proceedings are the exclusive 
basis for the issuance of an order. Either party may

[[Page 46]]

obtain a transcript from the official reporter upon payment of the fees 
fixed therefor.



     Subpart E--Orders of Compliance Under the Hazardous Materials 
                           Transportation Act



Sec. 13.71  Applicability.

    Whenever the Chief Counsel, the Assistant Chief Counsel, 
Enforcement, the Assistant Chief Counsel, Europe, Africa, and Middle 
East Area Office, or a Regional Counsel has reason to believe that a 
person is engaging in the transportation or shipment by air of hazardous 
materials in violation of the Hazardous Materials Transportation Act, or 
any regulation or order issued under it for which the FAA exercises 
enforcement responsibility, and the circumstances do not require the 
issuance of an order of immediate compliance, he may conduct proceedings 
pursuant to section 109 of that Act (49 U.S.C. 1808) to determine the 
nature and extent of the violation, and may thereafter issue an order 
directing compliance.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-19, 
54 FR 39290, Sept. 25, 1989; Amdt. 13-29, 62 FR 46866, Sept. 4, 1997]



Sec. 13.73  Notice of proposed order of compliance.

    A compliance order proceeding commences when the Chief Counsel, the 
Assistant Chief Counsel, Enforcement, the Assistant Chief Counsel, 
Europe, Africa, and Middle East Area Office, or a Regional Counsel sends 
the alleged violator a notice of proposed order of compliance advising 
the alleged violator of the charges and setting forth the remedial 
action sought in the form of a proposed order of compliance.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-19, 
54 FR 39290, Sept. 25, 1989; Amdt. 13-29, 62 FR 46866, Sept. 4, 1997]



Sec. 13.75  Reply or request for hearing.

    (a) Within 30 days after service upon the alleged violator of a 
notice of proposed order of compliance, the alleged violator may--
    (1) File a reply in writing with the official who issued the notice; 
or
    (2) Request a hearing in accordance with Subpart D of this part.
    (b) If a reply is filed, as to any charges not dismissed or not 
subject to a consent order of compliance, the alleged violator may, 
within 10 days after receipt of notice that the remaining charges are 
not dismissed, request a hearing in accordance with Subpart D of this 
part.
    (c) Failure of the alleged violator to file a reply or request a 
hearing within the period provided in paragraph (a) or (b) of this 
section--
    (1) Constitutes a waiver of the right to a hearing and the right to 
an appeal, and
    (2) Authorizes the official who issued the notice to find the facts 
to be as alleged in the notice and to issue an appropriate order 
directing compliance, without further notice or proceedings.



Sec. 13.77  Consent order of compliance.

    (a) At any time before the issuance of an order of compliance, the 
official who issued the notice and the alleged violator may agree to 
dispose of the case by the issuance of a consent order of compliance by 
the official.
    (b) A proposal for a consent order submitted to the official who 
issued the notice under this section must include--
    (1) A proposed order of compliance;
    (2) An admission of all jurisdictional facts;
    (3) An express waiver of right to further procedural steps and of 
all rights to judicial review;
    (4) An incorporation by reference of the notice and an 
acknowledgement that the notice may be used to construe the terms of the 
order of compliance; and
    (5) If the issuance of a consent order has been agreed upon after 
the filing of a request for hearing in accordance with Subpart D of this 
part, the proposal for a consent order shall include a request to be 
filed with the Hearing Officer withdrawing the request for a hearing and 
requesting that the case be dismissed.

[[Page 47]]



Sec. 13.79  Hearing.

    If an alleged violator requests a hearing in accordance with 
Sec. 13.75, the procedure of Subpart D of this part applies. At the 
close of the hearing, the Hearing Officer, on the record or subsequently 
in writing, sets forth the Hearing Officer's findings and conclusion and 
the reasons therefor, and either--
    (a) Dismisses the notice of proposed order of compliance; or
    (b) Issues an order of compliance.



Sec. 13.81  Order of immediate compliance.

    (a) Notwithstanding Secs. 13.73 through 13.79, the Chief Counsel, 
the Assistant Chief Counsel, Enforcement, the Assistant Chief Counsel, 
Europe, Africa, and Middle East Area Office, or a Regional Counsel may 
issue an order of immediate compliance, which is effective upon 
issuance, if the person who issues the order finds that--
    (1) There is strong probability that a violation is occurring or is 
about to occur;
    (2) The violation poses a substantial risk to health or to safety of 
life or property; and
    (3) The public interest requires the avoidance or amelioration of 
that risk through immediate compliance and waiver of the procedures 
afforded under Secs. 13.73 through 13.79.
    (b) An order of immediate compliance is served promptly upon the 
person against whom the order is issued by telephone or telegram, and a 
written statement of the relevant facts and the legal basis for the 
order, including the findings required by paragraph (a) of this section, 
is served promptly by personal service or by mail.
    (c) The official who issued the order of immediate compliance may 
rescind or suspend the order if it appears that the criteria set forth 
in paragraph (a) of this section are no longer satisfied, and, when 
appropriate, may issue a notice of proposed order of compliance under 
Sec. 13.73 in lieu thereof.
    (d) If at any time in the course of a proceeding commenced in 
accordance with Sec. 13.73 the criteria set forth in paragraph (a) of 
this section are satisfied, the official who issued the notice may issue 
an order of immediate compliance, even if the period for filing a reply 
or requesting a hearing specified in Sec. 13.75 has not expired.
    (e) Within three days after receipt of service of an order of 
immediate compliance, the alleged violator may request a hearing in 
accordance with Subpart D of this part and the procedure in that subpart 
will apply except that--
    (1) The case will be heard within fifteen days after the date of the 
order of immediate compliance unless the alleged violator requests a 
later date;
    (2) The order will serve as the complaint; and
    (3) The Hearing Officer shall issue his decision and order 
dismissing, reversing, modifying, or affirming the order of immediate 
compliance on the record at the close of the hearing.
    (f) The filing of a request for hearing in accordance with paragraph 
(e) of this section does not stay the effectiveness of an order of 
immediate compliance.
    (g) At any time after an order of immediate compliance has become 
effective, the official who issued the order may request the United 
States Attorney General, or the delegate of the Attorney General, to 
bring an action for appropriate relief in accordance with Sec. 13.25.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-19, 
54 FR 39290, Sept. 25, 1989; Amdt. 13-29, 62 FR 46866, Sept. 4, 1997]



Sec. 13.83  Appeal.

    (a) Any party to the hearing may appeal from the order of the 
Hearing Officer by filing a notice of appeal with the Administrator 
within 20 days after the date of issuance of the order.
    (b) Any person against whom an order of immediate compliance has 
been issued in accordance with Sec. 13.81 or the official who issued the 
order of immediate compliance may appeal from the order of the Hearing 
Officer by filing a notice of appeal with the Administrator within three 
days after the date of issuance of the order by the Hearing Officer.
    (c) Unless the Administrator expressly so provides, the filing of a 
notice of appeal does not stay the effectiveness of an order of 
immediate compliance.

[[Page 48]]

    (d) If a notice of appeal is not filed from the order of compliance 
issued by a Hearing Officer, such order is the final agency order of 
compliance.
    (e) Any person filing an appeal authorized by paragraph (a) of this 
section shall file an appeal brief with the Administrator within 40 days 
after the date of the issuance of the order, and serve a copy on the 
other party. Any reply brief must be filed within 20 days after service 
of the appeal brief. A copy of the reply brief must be served on the 
appellant.
    (f) Any person filing an appeal authorized by paragraph (b) of this 
section shall file an appeal brief with the Administrator with the 
notice of appeal and serve a copy on the other party. Any reply brief 
must be filed within 3 days after receipt of the appeal brief. A copy of 
the reply brief must be served on the appellant.
    (g) On appeal the Administrator reviews the available record of the 
proceeding, and issues an order dismissing, reversing, modifying or 
affirming the order of compliance or the order of immediate compliance. 
The Administrator's order includes the reasons for the action.
    (h) In cases involving an order of immediate compliance, the 
Administrator's order on appeal is issued within ten days after the 
filing of the notice of appeal.



Sec. 13.85  Filing, service and computation of time.

    Filing and service of documents under this subpart shall be 
accomplished in accordance with Sec. 13.43 except service of orders of 
immediate compliance under Sec. 13.81(b); and the periods of time 
specified in this subpart shall be computed in accordance with 
Sec. 13.44.



Sec. 13.87  Extension of time.

    (a) The official who issued the notice of proposed order of 
compliance, for good cause shown, may grant an extension of time to file 
any document specified in this subpart, except documents to be filed 
with the Administrator.
    (b) Extensions of time to file documents with the Administrator may 
be granted by the Administrator upon written request, served upon all 
parties, and for good cause shown.



     Subpart F--Formal Fact-Finding Investigation Under an Order of 
                              Investigation



Sec. 13.101  Applicability.

    (a) This subpart applies to fact-finding investigations in which an 
order of investigation has been issued under Sec. 13.3(c) or 
Sec. 13.5(i) of this part.
    (b) This subpart does not limit the authority of duly designated 
persons to issue subpoenas, administer oaths, examine witnesses and 
receive evidence in any informal investigation as provided for in 
sections 313 and 1004(a) of the Federal Aviation Act (49 U.S.C. 1354 and 
1484(a)) and section 109(a) of the Hazardous Materials Transportation 
Act (49 U.S.C. 1808(a)).



Sec. 13.103  Order of investigation.

    The order of investigation--
    (a) Defines the scope of the investigation by describing the 
information sought in terms of its subject matter or its relevancy to 
specified FAA functions;
    (b) Sets forth the form of the investigation which may be either by 
individual deposition or investigative proceeding or both; and
    (c) Names the official who is authorized to conduct the 
investigation and serve as the Presiding Officer.



Sec. 13.105  Notification.

    Any person under investigation and any person required to testify 
and produce documentary or physical evidence during the investigation 
will be advised of the purpose of the investigation, and of the place 
where the investigative proceeding or deposition will be convened. This 
may be accomplished by a notice of investigation or by a subpoena. A 
copy of the order of investigation may be sent to such persons, when 
appropriate.



Sec. 13.107  Designation of additional parties.

    (a) The Presiding Officer may designate additional persons as 
parties to the investigation, if in the discretion of

[[Page 49]]

the Presiding Officer, it will aid in the conduct of the investigation.
    (b) The Presiding Officer may designate any person as a party to the 
investigation if that person--
    (1) Petitions the Presiding Officer to participate as a party; and
    (2) Is so situated that the disposition of the investigation may as 
a practical matter impair the ability to protect that person's interest 
unless allowed to participate as a party, and
    (3) Is not adequately represented by existing parties.



Sec. 13.109  Convening the investigation.

    The investigation shall be conducted at such place or places 
designated by the Presiding Officer, and as convenient to the parties 
involved as expeditious and efficient handling of the investigation 
permits.



Sec. 13.111  Subpoenas.

    (a) Upon motion of the Presiding Officer, or upon the request of a 
party to the investigation, the Presiding Officer may issue a subpoena 
directing any person to appear at a designated time and place to testify 
or to produce documentary or physical evidence relating to any matter 
under investigation.
    (b) Subpoenas shall be served by personal service, or upon an agent 
designated in writing for the purpose, or by registered or certified 
mail addressed to such person or agent. Whenever service is made by 
registered or certified mail, the date of mailing shall be considered as 
the time when service is made.
    (c) Subpoenas shall extend in jurisdiction throughout the United 
States or any territory or possession thereof.



Sec. 13.113  Noncompliance with the investigative process.

    If any person fails to comply with the provisions of this subpart or 
with any subpoena or order issued by the Presiding Officer or the 
designee of the Presiding Officer, judicial enforcement may be initiated 
against that person under applicable statutes.



Sec. 13.115  Public proceedings.

    (a) All investigative proceedings and depositions shall be public 
unless the Presiding Officer determines that the public interest 
requires otherwise.
    (b) The Presiding Officer may order information contained in any 
report or document filed or in any testimony given pursuant to this 
subpart withheld from public disclosure when, in the judgment of the 
Presiding Officer, disclosure would adversely affect the interests of 
any person and is not required in the public interest or is not 
otherwise required by statute to be made available to the public. Any 
person may make written objection to the public disclosure of such 
information, stating the grounds for such objection.



Sec. 13.117  Conduct of investigative proceeding or deposition.

    (a) The Presiding Officer or the designee of the Presiding Officer 
may question witnesses.
    (b) Any witness may be accompanied by counsel.
    (c) Any party may be accompanied by counsel and either the party or 
counsel may--
    (1) Question witnesses, provided the questions are relevant and 
material to the matters under investigation and would not unduly impede 
the progress of the investigation; and
    (2) Make objections on the record and argue the basis for such 
objections.
    (d) Copies of all notices or written communications sent to a party 
or witness shall upon request be sent to that person's attorney of 
record.



Sec. 13.119  Rights of persons against self-incrimination.

    (a) Whenever a person refuses, on the basis of a privilege against 
self-incrimination, to testify or provide other information during the 
course of any investigation conducted under this subpart, the Presiding 
Officer may, with the approval of the Attorney General of the United 
States, issue an order requiring the person to give testimony or provide 
other information. However, no testimony or other information so 
compelled (or any information directly or indirectly derived from such 
testimony or other information) may be used against the person in any 
criminal

[[Page 50]]

case, except in a prosecution for perjury, giving a false statement, or 
otherwise failing to comply with the order.
    (b) The Presiding Officer may issue an order under this section if--
    (1) The testimony or other information from the witness may be 
necessary to the public interest; and
    (2) The witness has refused or is likely to refuse to testify or 
provide other information on the basis of a privilege against self-
incrimination.
    (c) Immunity provided by this section will not become effective 
until the person has refused to testify or provide other information on 
the basis of a privilege against self-incrimination, and an order under 
this section has been issued. An order, however, may be issued 
prospectively to become effective in the event of a claim of the 
privilege.



Sec. 13.121  Witness fees.

    All witnesses appearing shall be compensated at the same rate as a 
witness appearing before a United States District Court.



Sec. 13.123  Submission by party to the investigation.

    (a) During an investigation conducted under this subpart, a party 
may submit to the Presiding Officer--
    (1) A list of witnesses to be called, specifying the subject matter 
of the expected testimony of each witness, and
    (2) A list of exhibits to be considered for inclusion in the record.
    (b) If the Presiding Officer determines that the testimony of a 
witness or the receipt of an exhibit in accordance with paragraph (a) of 
this section will be relevant, competent and material to the 
investigation, the Presiding Officer may subpoena the witness or use the 
exhibit during the investigation.



Sec. 13.125  Depositions.

    Depositions for investigative purposes may be taken at the 
discretion of the Presiding Officer with reasonable notice to the party 
under investigation. Such depositions shall be taken before the 
Presiding Officer or other person authorized to administer oaths and 
designated by the Presiding Officer. The testimony shall be reduced to 
writing by the person taking the deposition, or under the direction of 
that person, and where possible shall then be subscribed by the 
deponent. Any person may be compelled to appear and testify and to 
produce physical and documentary evidence.



Sec. 13.127  Reports, decisions and orders.

    The Presiding Officer shall issue a written report based on the 
record developed during the formal investigation, including a summary of 
principal conclusions. A summary of principal conclusions shall be 
prepared by the official who issued the order of investigation in every 
case which results in no action, or no action as to a particular party 
to the investigation. All such reports shall be furnished to the parties 
to the investigation and filed in the public docket. Insertion of the 
report in the Public Docket shall constitute ``entering of record'' and 
publication as prescribed by section 313(b) of the Federal Aviation Act.



Sec. 13.129  Post-investigation action.

    A decision on whether to initiate subsequent action shall be made on 
the basis of the record developed during the formal investigation and 
any other information in the possession of the Administrator.



Sec. 13.131  Other procedures.

    Any question concerning the scope or conduct of a formal 
investigation not covered in this subpart may be ruled on by the 
Presiding Officer on motion of the Presiding Officer, or on the motion 
of a party or a person testifying or producing evidence.



        Subpart G--Rules of Practice in FAA Civil Penalty Actions

    Source: Amdt. 13-21, 55 FR 27575, July 3, 1990, unless otherwise 
noted.



Sec. 13.201  Applicability.

    (a) This subpart applies to the following actions:
    (1) A civil penalty action in which a complaint has been issued for 
an

[[Page 51]]

amount not exceeding $50,000 for a violation arising under the Federal 
Aviation Act of 1958, as amended (49 U.S.C. 1301, et seq.), or a rule, 
regulation, or order issued thereunder.
    (2) A civil penalty action in which a complaint has been issued for 
a violation arising under the Federal Aviation Act of 1958, as amended 
(49 U.S.C. 1471, et seq.) and the Hazardous Materials Transportation Act 
(49 U.S.C. 1801 et seq.), or a rule, regulation, or order issued 
thereunder.
    (b) This subpart applies only to proceedings initiated after 
September 7, 1988. All other cases, hearings, or other proceedings 
pending or in progress before September 7, 1988, are not affected by the 
rules in this subpart.
    (c) Notwithstanding the provisions of paragraph (a) of this section, 
the United States district courts shall have exclusive jurisdiction of 
any civil penalty action initiated by the Administrator:
    (1) Which involves an amount in controversy in excess of $50,000;
    (2) Which is an in rem action or in which an in rem action based on 
the same violation has been brought;
    (3) Regarding which an aircraft subject to lien has been seized by 
the United States; and
    (4) In which a suit for injunctive relief based on the violation 
giving rise to the civil penalty has also been brought.



Sec. 13.202  Definitions.

    Administrative law judge means an administrative law judge appointed 
pursuant to the provisions of 5 U.S.C. 3105.
    Agency attorney means the Deputy Chief Counsel, the Assistant Chief 
Counsel, Enforcement, the Assistant Chief Counsel, Regulations, the 
Assistant Chief Counsel, Europe, Africa, and Middle East Area Office, 
each Regional Counsel, the Aeronautical Center Counsel, or the Technical 
Center Counsel, or an attorney on the staff of the Assistant Chief 
Counsel, Enforcement, the Assistant Chief Counsel, Regulations, the 
Assistant Chief Counsel, Europe, Africa, and Middle East Area Office, 
each Regional Counsel, the Aeronautical Center Counsel, or the Technical 
Center Counsel who prosecutes a civil penalty action. An agency attorney 
shall not include:
    (1) The Chief Counsel, the Assistant Chief Counsel for Litigation, 
or the Special Counsel and Director of Civil Penalty Adjudications; or
    (2) Any attorney on the staff of either the Assistant Chief Counsel 
for Litigation or the Special Counsel and Director of Civil Penalty 
Adjudications who advises the FAA decisionmaker regarding an initial 
decision or any appeal to the FAA decisionmaker; or
    (3) Any attorney who is supervised in a civil penalty action by a 
person who provides such advice to the FAA decisionmaker in that action 
or a factually-related action.
    Attorney means a person licensed by a state, the District of 
Columbia, or a territory of the United States to practice law or appear 
before the courts of that state or territory.
    Complaint means a document issued by an agency attorney alleging a 
violation of the Federal Aviation Act of 1958, as amended, or a rule, 
regulation, or order issued thereunder, or the Hazardous Materials 
Transportation Act, or a rule, regulation, or order issued thereunder 
that has been filed with the hearing docket after a hearing has been 
requested pursuant to Sec. 13.16(d)(3) or Sec. 13.16(e)(2)(ii) of this 
part.
    FAA decisionmaker means the Administrator of the Federal Aviation 
Administration, acting in the capacity of the decisionmaker on appeal, 
or any person to whom the Administrator has delegated the 
Administrator's decisionmaking authority in a civil penalty action. As 
used in this subpart, the FAA decisionmaker is the official authorized 
to issue a final decision and order of the Administrator in a civil 
penalty action.
    Mail includes U.S. certified mail, U.S. registered mail, or use of 
an overnight express courier service.
    Order assessing civil penalty means a document that contains a 
finding of violation of the Federal Aviation Act of 1958, as amended, or 
a rule, regulation, or order issued thereunder, or the Hazardous 
Materials Transportation Act, or a rule, regulation, or order

[[Page 52]]

issued thereunder and may direct payment of a civil penalty. Unless an 
appeal is filed with the FAA decisionmaker in a timely manner, an 
initial decision or order of an administrative law judge shall be 
considered an order assessing civil penalty if an administrative law 
judge finds that an alleged violation occurred and determines that a 
civil penalty, in an amount found appropriate by the administrative law 
judge, is warranted. Unless a petition for review is filed with a U.S. 
Court of Appeals in a timely manner, a final decision and order of the 
Administrator shall be considered an order assessing civil penalty if 
the FAA decisionmaker finds that an alleged violation occurred and a 
civil penalty is warranted.
    Party means the respondent or the Federal Aviation Administration 
(FAA).
    Personal delivery includes hand-delivery or use of a contract or 
express messenger service. ``Personal delivery'' does not include the 
use of Government interoffice mail service.
    Pleading means a complaint, an answer, and any amendment of these 
documents permitted under this subpart.
    Properly addressed means a document that shows an address contained 
in agency records, a residential, business, or other address submitted 
by a person on any document provided under this subpart, or any other 
address shown by other reasonable and available means.
    Respondent means a person, corporation, or company named in a 
complaint.

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-24, 58 
FR 50241, Sept. 24, 1993; Amdt. 13-29, 62 FR 46866, Sept. 4, 1997]



Sec. 13.203  Separation of functions.

    (a) Civil penalty proceedings, including hearings, shall be 
prosecuted by an agency attorney.
    (b) An agency employee engaged in the performance of investigative 
or prosecutorial functions in a civil penalty action shall not, in that 
case or a factually-related case, participate or give advice in a 
decision by the administrative law judge or by the FAA decisionmaker on 
appeal, except as counsel or a witness in the public proceedings.
    (c) The Chief Counsel, the Assistant Chief Counsel for Litigation, 
the Special Counsel and Director of Civil Penalty Adjudications, or an 
attorney on the staff of either the Assistant Chief Counsel for 
Litigation or the Special Counsel and Director of Civil Penalty 
Adjudications, will advise the FAA decisionmaker regarding an initial 
decision or any appeal of a civil penalty action to the FAA 
decisionmaker.

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-24, 58 
FR 50241, Sept. 24, 1993]



Sec. 13.204  Appearances and rights of parties.

    (a) Any party may appear and be heard in person.
    (b) Any party may be accompanied, represented, or advised by an 
attorney or representative designated by the party and may be examined 
by that attorney or representative in any proceeding governed by this 
subpart. An attorney or representative who represents a party may file a 
notice of appearance in the action, in the manner provided in 
Sec. 13.210 of this subpart, and shall serve a copy of the notice of 
appearance on each party, in the manner provided in Sec. 13.211 of this 
subpart, before participating in any proceeding governed by this 
subpart. The attorney or representative shall include the name, address, 
and telephone number of the attorney or representative in the notice of 
appearance.
    (c) Any person may request a copy of a document upon payment of 
reasonable costs. A person may keep an original document, data, or 
evidence, with the consent of the administrative law judge, by 
substituting a legible copy of the document for the record.



Sec. 13.205  Administrative law judges.

    (a) Powers of an administrative law judge. In accordance with the 
rules of this subpart, an administrative law judge may:
    (1) Give notice of, and hold, prehearing conferences and hearings;
    (2) Administer oaths and affirmations;
    (3) Issue subpoenas authorized by law and issue notices of 
deposition requested by the parties;
    (4) Rule on offers of proof;

[[Page 53]]

    (5) Receive relevant and material evidence;
    (6) Regulate the course of the hearing in accordance with the rules 
of this subpart;
    (7) Hold conferences to settle or to simplify the issues by consent 
of the parties;
    (8) Dispose of procedural motions and requests; and
    (9) Make findings of fact and conclusions of law, and issue an 
initial decision.
    (b) Limitations on the power of the administrative law judge. The 
administrative law judge shall not issue an order of contempt, award 
costs to any party, or impose any sanction not specified in this 
subpart. If the administrative law judge imposes any sanction not 
specified in this subpart, a party may file an interlocutory appeal of 
right with the FAA decisionmaker pursuant to Sec. 13.219(c)(4) of this 
subpart. This section does not preclude an administrative law judge from 
issuing an order that bars a person from a specific proceeding based on 
a finding of obstreperous or disruptive behavior in that specific 
proceeding.
    (c) Disqualification. The administrative law judge may disqualify 
himself or herself at any time. A party may file a motion, pursuant to 
Sec. 13.218(f)(6), requesting that an administrative law judge be 
disqualified from the proceedings.

[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990]



Sec. 13.206  Intervention.

    (a) A person may submit a motion for leave to intervene as a party 
in a civil penalty action. Except for good cause shown, a motion for 
leave to intervene shall be submitted not later than 10 days before the 
hearing.
    (b) If the administrative law judge finds that intervention will not 
unduly broaden the issues or delay the proceedings, the administrative 
law judge may grant a motion for leave to intervene if the person will 
be bound by any order or decision entered in the action or the person 
has a property, financial, or other legitimate interest that may not be 
addressed adequately by the parties. The administrative law judge may 
determine the extent to which an intervenor may participate in the 
proceedings.



Sec. 13.207  Certification of documents.

    (a) Signature required. The attorney of record, the party, or the 
party's representative shall sign each document tendered for filing with 
the hearing docket clerk, the administrative law judge, the FAA 
decisionmaker on appeal, or served on each party.
    (b) Effect of signing a document. By signing a document, the 
attorney of record, the party, or the party's representative certifies 
that the attorney, the party, or the party's representative has read the 
document and, based on reasonable inquiry and to the best of that 
person's knowledge, information, and belief, the document is--
    (1) Consistent with these rules;
    (2) Warranted by existing law or that a good faith argument exists 
for extension, modification, or reversal of existing law; and
    (3) Not unreasonable or unduly burdensome or expensive, not made to 
harass any person, not made to cause unnecessary delay, not made to 
cause needless increase in the cost of the proceedings, or for any other 
improper purpose.
    (c) Sanctions. If the attorney of record, the party, or the party's 
representative signs a document in violation of this section, the 
administrative law judge or the FAA decisionmaker shall:
    (1) Strike the pleading signed in violation of this section;
    (2) Strike the request for discovery or the discovery response 
signed in violation of this section and preclude further discovery by 
the party;
    (3) Deny the motion or request signed in violation of this section;
    (4) Exclude the document signed in violation of this section from 
the record;
    (5) Dismiss the interlocutory appeal and preclude further appeal on 
that issue by the party who filed the appeal until an initial decision 
has been entered on the record; or
    (6) Dismiss the appeal of the administrative law judge's initial 
decision to the FAA decisionmaker.

[[Page 54]]



Sec. 13.208  Complaint.

    (a) Filing. The agency attorney shall file the original and one copy 
of the complaint with the hearing docket clerk, or may file a written 
motion pursuant to Sec. l3.218(f)(2)(i) of this subpart instead of 
filing a complaint, not later than 20 days after receipt by the agency 
attorney of a request for hearing.
    The agency attorney should suggest a location for the hearing when 
filing the complaint.
    (b) Service. An agency attorney shall personally deliver or mail a 
copy of the complaint on the respondent, the president of the 
corporation or company named as a respondent, or a person designated by 
the respondent to accept service of documents in the civil penalty 
action.
    (c) Contents. A complaint shall set forth the facts alleged, any 
regulation allegedly violated by the respondent, and the proposed civil 
penalty in sufficient detail to provide notice of any factual or legal 
allegation and proposed civil penalty.
    (d) Motion to dismiss allegations or complaint. Instead of filing an 
answer to the complaint, a respondent may move to dismiss the complaint, 
or that part of the complaint, alleging a violation that occurred on or 
after August 2, 1990, and more than 2 years before an agency attorney 
issued a notice of proposed civil penalty to the respondent.
    (1) An administrative law judge may not grant the motion and dismiss 
the complaint or part of the complaint if the administrative law judge 
finds that the agency has shown good cause for any delay in issuing the 
notice of proposed civil penalty.
    (2) If the agency fails to show good cause for any delay, an 
administrative law judge may dismiss the complaint, or that part of the 
complaint, alleging a violation that occurred more than 2 years before 
an agency attorney issued the notice of proposed civil penalty to the 
respondent.
    (3) A party may appeal the administrative law judge's ruling on the 
motion to dismiss the complaint or any part of the complaint in 
accordance with Sec. 13.219(b) of this subpart.

[Admt. 13-21, 55 FR 27575, July 3, 1990, as amended by Admt. 13-22, 55 
FR 31176, Aug. 1, 1990]



Sec. 13.209  Answer.

    (a) Writing required. A respondent shall file a written answer to 
the complaint, or may file a written motion pursuant to Sec. 13.208(d) 
or Sec. 13.218(f)(1-4) of this subpart instead of filing an answer, not 
later than 30 days after service of the complaint. The answer may be in 
the form of a letter but must be dated and signed by the person 
responding to the complaint. An answer may be typewritten or may be 
legibly handwritten.
    (b) Filing and address. A person filing an answer shall personally 
deliver or mail the original and one copy of the answer for filing with 
the hearing docket clerk, not later than 30 days after service of the 
complaint, to the Hearing Docket, Federal Aviation Administration, 800 
Independence Avenue, SW., Room 924A, Washington, DC 20591, Attention: 
Hearing Docket Clerk. The person filing an answer should suggest a 
location for the hearing when filing the answer.
    (c) Service. A person filing an answer shall serve a copy of the 
answer on the agency attorney who filed the complaint.
    (d) Contents. An answer shall specifically state any affirmative 
defense that the respondent intends to assert at the hearing. A person 
filing an answer may include a brief statement of any relief requested 
in the answer.
    (e) Specific denial of allegations required. A person filing an 
answer shall admit, deny, or state that the person is without sufficient 
knowledge or information to admit or deny, each numbered paragraph of 
the complaint. Any statement or allegation contained in the complaint 
that is not specifically denied in the answer may be deemed an admission 
of the truth of that allegation. A general denial of the complaint is 
deemed a failure to file an answer.
    (f) Failure to file answer. A person's failure to file an answer 
without good cause shall be deemed an admission of the truth of each 
allegation contained in the complaint.

[[Page 55]]



Sec. 13.210  Filing of documents.

    (a) Address and method of filing. A person tendering a document for 
filing shall personally deliver or mail the signed original and one copy 
of each document to the Hearing Docket, Federal Aviation Administration, 
800 Independence Avenue, SW., Room 924A, Washington, DC 20591, 
Attention: Hearing Docket Clerk. A person shall serve a copy of each 
document on each party in accordance with Sec. 13.211 of this subpart.
    (b) Date of filing. A document shall be considered to be filed on 
the date of personal delivery; or if mailed, the mailing date shown on 
the certificate of service, the date shown on the postmark if there is 
no certificate of service, or other mailing date shown by other evidence 
if there is no certificate of service or postmark.
    (c) Form. Each document shall be typewritten or legibly handwritten.
    (d) Contents. Unless otherwise specified in this subpart, each 
document must contain a short, plain statement of the facts on which the 
person's case rests and a brief statement of the action requested in the 
document.

[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990]



Sec. 13.211  Service of documents.

    (a) General. A person shall serve a copy of any document filed with 
the Hearing Docket on each party at the time of filing. Service on a 
party's attorney of record or a party's designated representative may be 
considered adequate service on the party.
    (b) Type of service. A person may serve documents by personal 
delivery or by mail.
    (c) Certificate of service. A person may attach a certificate of 
service to a document tendered for filing with the hearing docket clerk. 
A certificate of service shall consist of a statement, dated and signed 
by the person filing the document, that the document was personally 
delivered or mailed to each party on a specific date.
    (d) Date of service. The date of service shall be the date of 
personal delivery; or if mailed, the mailing date shown on the 
certificate of service, the date shown on the postmark if there is no 
certificate of service, or other mailing date shown by other evidence if 
there is no certificate of service or postmark.
    (e) Additional time after service by mail. Whenever a party has a 
right or a duty to act or to make any response within a prescribed 
period after service by mail, or on a date certain after service by 
mail, 5 days shall be added to the prescribed period.
    (f) Service by the administrative law judge. The administrative law 
judge shall serve a copy of each document including, but not limited to, 
notices of prehearing conferences and hearings, rulings on motions, 
decisions, and orders, upon each party to the proceedings by personal 
delivery or by mail.
    (g) Valid service. A document that was properly addressed, was sent 
in accordance with this subpart, and that was returned, that was not 
claimed, or that was refused, is deemed to have been served in 
accordance with this subpart. The service shall be considered valid as 
of the date and the time that the document was deposited with a contract 
or express messenger, the document was mailed, or personal delivery of 
the document was refused.
    (h) Presumption of service. There shall be a presumption of service 
where a party or a person, who customarily receives mail, or receives it 
in the ordinary course of business, at either the person's residence or 
the person's principal place of business, acknowledges receipt of the 
document.



Sec. 13.212  Computation of time.

    (a) This section applies to any period of time prescribed or allowed 
by this subpart, by notice or order of the administrative law judge, or 
by any applicable statute.
    (b) The date of an act, event, or default, after which a designated 
time period begins to run, is not included in a computation of time 
under this subpart.
    (c) The last day of a time period is included in a computation of 
time unless it is a Saturday, Sunday, or a legal holiday. If the last 
day of the time period is a Saturday, Sunday, or legal holiday, the time 
period runs until the end of the next day that is not a Saturday, 
Sunday, or legal holiday.

[[Page 56]]



Sec. 13.213  Extension of time.

    (a) Oral requests. The parties may agree to extend for a reasonable 
period the time for filing a document under this subpart. If the parties 
agree, the administrative law judge shall grant one extension of time to 
each party. The party seeking the extension of time shall submit a draft 
order to the administrative law judge to be signed by the administrative 
law judge and filed with the hearing docket clerk. The administrative 
law judge may grant additional oral requests for an extension of time 
where the parties agree to the extension.
    (b) Written motion. A party shall file a written motion for an 
extension of time with the administrative law judge not later than 7 
days before the document is due unless good cause for the late filing is 
shown. A party filing a written motion for an extension of time shall 
serve a copy of the motion on each party. The administrative law judge 
may grant the extension of time if good cause for the extension is 
shown.
    (c) Failure to rule. If the administrative law judge fails to rule 
on a written motion for an extension of time by the date the document 
was due, the motion for an extension of time is deemed granted for no 
more than 20 days after the original date the document was to be filed.



Sec. 13.214  Amendment of pleadings.

    (a) Filing and service. A party shall file the amendment with the 
administrative law judge and shall serve a copy of the amendment on all 
parties to the proceeding.
    (b) Time. A party shall file an amendment to a complaint or an 
answer within the following:
    (1) Not later than 15 days before the scheduled date of a hearing, a 
party may amend a complaint or an answer without the consent of the 
administrative law judge.
    (2) Less than 15 days before the scheduled date of a hearing, the 
administrative law judge may allow amendment of a complaint or an answer 
only for good cause shown in a motion to amend.
    (c) Responses. The administrative law judge shall allow a reasonable 
time, but not more than 20 days from the date of filing, for other 
parties to respond if an amendment to a complaint, answer, or other 
pleading has been filed with the administrative law judge.



Sec. 13.215  Withdrawal of complaint or request for hearing.

    At any time before or during a hearing, an agency attorney may 
withdraw a complaint or a party may withdraw a request for a hearing 
without the consent of the administrative law judge. If an agency 
attorney withdraws the complaint or a party withdraws the request for a 
hearing and the answer, the administrative law judge shall dismiss the 
proceedings under this subpart with prejudice.



Sec. 13.216  Waivers.

    Waivers of any rights provided by statute or regulation shall be in 
writing or by stipulation made at a hearing and entered into the record. 
The parties shall set forth the precise terms of the waiver and any 
conditions.



Sec. 13.217  Joint procedural or discovery schedule.

    (a) General. The parties may agree to submit a schedule for filing 
all prehearing motions, a schedule for conducting discovery in the 
proceedings, or a schedule that will govern all prehearing motions and 
discovery in the proceedings.
    (b) Form and content of schedule. If the parties agree to a joint 
procedural or discovery schedule, one of the parties shall file the 
joint schedule with the administrative law judge, setting forth the 
dates to which the parties have agreed, and shall serve a copy of the 
joint schedule on each party.
    (1) The joint schedule may include, but need not be limited to, 
requests for discovery, any objections to discovery requests, responses 
to discovery requests to which there are no objections, submission of 
prehearing motions, responses to prehearing motions, exchange of 
exhibits to be introduced at the hearing, and a list of witnesses that 
may be called at the hearing.
    (2) Each party shall sign the original joint schedule to be filed 
with the administrative law judge.

[[Page 57]]

    (c) Time. The parties may agree to submit all prehearing motions and 
responses and may agree to close discovery in the proceedings under the 
joint schedule within a reasonable time before the date of the hearing, 
but not later than 15 days before the hearing.
    (d) Order establishing joint schedule. The administrative law judge 
shall approve the joint schedule filed by the parties. One party shall 
submit a draft order establishing a joint schedule to the administrative 
law judge to be signed by the administrative law judge and filed with 
the hearing docket clerk.
    (e) Disputes. The administrative law judge shall resolve disputes 
regarding discovery or disputes regarding compliance with the joint 
schedule as soon as possible so that the parties may continue to comply 
with the joint schedule.
    (f) Sanctions for failure to comply with joint schedule. If a party 
fails to comply with the administrative law judge's order establishing a 
joint schedule, the administrative law judge may direct that party to 
comply with a motion to discovery request or, limited to the extent of 
the party's failure to comply with a motion or discovery request, the 
administrative law judge may:
    (1) Strike that portion of a party's pleadings;
    (2) Preclude prehearing or discovery motions by that party;
    (3) Preclude admission of that portion of a party's evidence at the 
hearing, or
    (4) Preclude that portion of the testimony of that party's witnesses 
at the hearing.



Sec. 13.218  Motions.

    (a) General. A party applying for an order or ruling not 
specifically provided in this subpart shall do so by motion. A party 
shall comply with the requirements of this section when filing a motion 
with the administrative law judge. A party shall serve a copy of each 
motion on each party.
    (b) Form and contents. A party shall state the relief sought by the 
motion and the particular grounds supporting that relief. If a party has 
evidence in support of a motion, the party shall attach any supporting 
evidence, including affidavits, to the motion.
    (c) Filing of motions. A motion made prior to the hearing must be in 
writing. Unless otherwise agreed by the parties or for good cause shown, 
a party shall file any prehearing motion, and shall serve a copy on each 
party, not later than 30 days before the hearing. Motions introduced 
during a hearing may be made orally on the record unless the 
administrative law judge directs otherwise.
    (d) Answers to motions. Any party may file an answer, with 
affidavits or other evidence in support of the answer, not later than 10 
days after service of a written motion on that party. When a motion is 
made during a hearing, the answer may be made at the hearing on the 
record, orally or in writing, within a reasonable time determined by the 
administrative law judge.
    (e) Rulings on motions. The administrative law judge shall rule on 
all motions as follows:
    (1) Discovery motions. The administrative law judge shall resolve 
all pending discovery motions not later than 10 days before the hearing.
    (2) Prehearing motions. The administrative law judge shall resolve 
all pending prehearing motions not later than 7 days before the hearing. 
If the administrative law judge issues a ruling or order orally, the 
administrative law judge shall serve a written copy of the ruling or 
order, within 3 days, on each party. In all other cases, the 
administrative law judge shall issue rulings and orders in writing and 
shall serve a copy of the ruling or order on each party.
    (3) Motions made during the hearing. The administrative law judge 
may issue rulings and orders on motions made during the hearing orally. 
Oral rulings or orders on motions must be made on the record.
    (f) Specific motions. A party may file the following motions with 
the administrative law judge:
    (1) Motion to dismiss for insufficiency. A respondent may file a 
motion to dismiss the complaint for insufficiency instead of filing an 
answer. If the administrative law judge denies the motion

[[Page 58]]

to dismiss the complaint for insufficiency, the respondent shall file an 
answer not later than 10 days after service of the administrative law 
judge's denial of the motion. A motion to dismiss the complaint for 
insufficiency must show that the complaint fails to state a violation of 
the Federal Aviation Act of 1958, as amended, or a rule, regulation, or 
order issued thereunder, or a violation of the Hazardous Materials 
Transportation Act, or a rule, regulation, or order issued thereunder.
    (2) Motion to dismiss. A party may file a motion to dismiss, 
specifying the grounds for dismissal. If an administrative law judge 
grants a motion to dismiss in part, a party may appeal the 
administrative law judge's ruling on the motion to dismiss under 
Sec. 13.219(b) of this subpart.
    (i) Motion to dismiss a request for a hearing. An agency attorney 
may file a motion to dismiss a request for a hearing instead of filing a 
complaint. If the motion to dismiss is not granted, the agency attorney 
shall file the complaint and shall serve a copy of the complaint on each 
party not later than 10 days after service of the administrative law 
judge's ruling or order on the motion to dismiss. If the motion to 
dismiss is granted and the proceedings are terminated without a hearing, 
the respondent may file an appeal pursuant to Sec. 13.233 of this 
subpart. If required by the decision on appeal, the agency attorney 
shall file a complaint and shall serve a copy of the complaint on each 
party not later than 10 days after service of the decision on appeal.
    (ii) Motion to dismiss a complaint. A respondent may file a motion 
to dismiss a complaint instead of filing an answer. If the motion to 
dismiss is not granted, the respondent shall file an answer and shall 
serve a copy of the answer on each party not later than 10 days after 
service of the administrative law judge's ruling or order on the motion 
to dismiss. If the motion to dismiss is granted and the proceedings are 
terminated without a hearing, the agency attorney may file an appeal 
pursuant to Sec. 13.233 of this subpart. If required by the decision on 
appeal, the respondent shall file an answer and shall serve a copy of 
the answer on each party not later than 10 days after service of the 
decision on appeal.
    (3) Motion for more definite statement. A party may file a motion 
for more definite statement of any pleading which requires a response 
under this subpart. A party shall set forth, in detail, the indefinite 
or uncertain allegations contained in a complaint or response to any 
pleading and shall submit the details that the party believes would make 
the allegation or response definite and certain.
    (i) Complaint. A respondent may file a motion requesting a more 
definite statement of the allegations contained in the complaint instead 
of filing an answer. If the administrative law judge grants the motion, 
the agency attorney shall supply a more definite statement not later 
than 15 days after service of the ruling granting the motion. If the 
agency attorney fails to supply a more definite statement, the 
administrative law judge shall strike the allegations in the complaint 
to which the motion is directed. If the administrative law judge denies 
the motion, the respondent shall file an answer and shall serve a copy 
of the answer on each party not later than 10 days after service of the 
order of denial.
    (ii) Answer. An agency attorney may file a motion requesting a more 
definite statement if an answer fails to respond clearly to the 
allegations in the complaint. If the administrative law judge grants the 
motion, the respondent shall supply a more definite statement not later 
than 15 days after service of the ruling on the motion. If the 
respondent fails to supply a more definite statement, the administrative 
law judge shall strike those statements in the answer to which the 
motion is directed. The respondent's failure to supply a more definite 
statement may be deemed an admission of unanswered allegations in the 
complaint.
    (4) Motion to strike. Any party may make a motion to strike any 
insufficient allegation or defense, or any redundant, immaterial, or 
irrelevant matter in a pleading. A party shall file a motion to strike 
with the administrative law judge and shall serve a copy

[[Page 59]]

on each party before a response is required under this subpart or, if a 
response is not required, not later than 10 days after service of the 
pleading.
    (5) Motion for decision. A party may make a motion for decision, 
regarding all or any part of the proceedings, at any time before the 
administrative law judge has issued an initial decision in the 
proceedings. The administrative law judge shall grant a party's motion 
for decision if the pleadings, depositions, answers to interrogatories, 
admissions, matters that the administrative law judge has officially 
noticed, or evidence introduced during the hearing show that there is no 
genuine issue of material fact and that the party making the motion is 
entitled to a decision as a matter of law. The party making the motion 
for decision has the burden of showing that there is no genuine issue of 
material fact disputed by the parties.
    (6) Motion for disqualification. A party may file a motion for 
disqualification with the administrative law judge and shall serve a 
copy on each party. A party may file the motion at any time after the 
administrative law judge has been assigned to the proceedings but shall 
make the motion before the administrative law judge files an initial 
decision in the proceedings.
    (i) Motion and supporting affidavit. A party shall state the grounds 
for disqualification, including, but not limited to, personal bias, 
pecuniary interest, or other factors showing disqualification, in the 
motion for disqualification. A party shall submit an affidavit with the 
motion for disqualification that sets forth, in detail, the matters 
alleged to constitute grounds for disqualification.
    (ii) Answer. A party shall respond to the motion for 
disqualification not later than 5 days after service of the motion for 
disqualification.
    (iii) Decision on motion for disqualification. The administrative 
law judge shall render a decision on the motion for disqualification not 
later than 15 days after the motion has been filed. If the 
administrative law judge finds that the motion for disqualification and 
supporting affidavit show a basis for disqualification, the 
administrative law judge shall withdraw from the proceedings 
immediately. If the administrative law judge finds that disqualification 
is not warranted, the administrative law judge shall deny the motion and 
state the grounds for the denial on the record. If the administrative 
law judge fails to rule on a party's motion for disqualification within 
15 days after the motion has been filed, the motion is deemed granted.
    (iv) Appeal. A party may appeal the administrative law judge's 
denial of the motion for disqualification in accordance with 
Sec. 13.219(b) of this subpart.



Sec. 13.219  Interlocutory appeals.

    (a) General. Unless otherwise provided in this subpart, a party may 
not appeal a ruling or decision of the administrative law judge to the 
FAA decisionmaker until the initial decision has been entered on the 
record. A decision or order of the FAA decisionmaker on the 
interlocutory appeal does not constitute a final order of the 
Administrator for the purposes of judicial appellate review under 
section 1006 of the Federal Aviation Act of 1958, as amended.
    (b) Interlocutory appeal for cause. If a party files a written 
request for an interlocutory appeal for cause with the administrative 
law judge, or orally requests an interlocutory appeal for cause, the 
proceedings are stayed until the administrative law judge issues a 
decision on the request. If the administrative law judge grants the 
request, the proceedings are stayed until the FAA decisionmaker issues a 
decision on the interlocutory appeal. The administrative law judge shall 
grant an interlocutory appeal for cause if a party shows that delay of 
the appeal would be detrimental to the public interest or would result 
in undue prejudice to any party.
    (c) Interlocutory appeals of right. If a party notifies the 
administrative law judge of an interlocutory appeal of right, the 
proceedings are stayed until the FAA decisionmaker issues a decision on 
the interlocutory appeal. A party may file an interlocutory appeal with 
the FAA decisionmaker, without the consent of the administrative law 
judge, before an initial decision has been entered in the case of:

[[Page 60]]

    (1) A ruling or order by the administrative law judge barring a 
person from the proceedings.
    (2) Failure of the administrative law judge to dismiss the 
proceedings in accordance with Sec. 13.215 of this subpart.
    (3) A ruling or order by the administrative law judge in violation 
of Sec. 13.205(b) of this subpart.
    (d) Procedure. A party shall file a notice of interlocutory appeal, 
with supporting documents, with the FAA decisionmaker and the hearing 
docket clerk, and shall serve a copy of the notice and supporting 
documents on each party and the administrative law judge, not later than 
10 days after the administrative law judge's decision forming the basis 
of an interlocutory appeal of right or not later than 10 days after the 
administrative law judge's decision granting an interlocutory appeal for 
cause, whichever is appropriate. A party shall file a reply brief, if 
any, with the FAA decisionmaker and serve a copy of the reply brief on 
each party, not later than 10 days after service of the appeal brief. 
The FAA decisionmaker shall render a decision on the interlocutory 
appeal, on the record and as a part of the decision in the proceedings, 
within a reasonable time after receipt of the interlocutory appeal.
    (e) The FAA decisionmaker may reject frivolous, repetitive, or 
dilatory appeals, and may issue an order precluding one or more parties 
from making further interlocutory appeals in a proceeding in which there 
have been frivolous, repetitive, or dilatory interlocutory appeals.

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-23, 55 
FR 45983, Oct. 31, 1990]



Sec. 13.220  Discovery.

    (a) Initiation of discovery. Any party may initiate discovery 
described in this section, without the consent or approval of the 
administrative law judge, at any time after a complaint has been filed 
in the proceedings.
    (b) Methods of discovery. The following methods of discovery are 
permitted under this section: depositions on oral examination or written 
questions of any person; written interrogatories directed to a party; 
requests for production of documents or tangible items to any person; 
and requests for admission by a party. A party is not required to file 
written interrogatories and responses, requests for production of 
documents or tangible items and responses, and requests for admission 
and response with the administrative law judge or the hearing docket 
clerk. In the event of a discovery dispute, a party shall attach a copy 
of these documents in support of a motion made under this section.
    (c) Service on the agency. A party shall serve each discovery 
request directed to the agency or any agency employee on the agency 
attorney of record.
    (d) Time for response to discovery requests. Unless otherwise 
directed by this subpart or agreed by the parties, a party shall respond 
to a request for discovery, including filing objections to a request for 
discovery, not later than 30 days of service of the request.
    (e) Scope of discovery. Subject to the limits on discovery set forth 
in paragraph (f) of this section, a party may discover any matter that 
is not privileged and that is relevant to the subject matter of the 
proceeding. A party may discover information that relates to the claim 
or defense of any party including the existence, description, nature, 
custody, condition, and location of any document or other tangible item 
and the identity and location of any person having knowledge of 
discoverable matter. A party may discover facts known, or opinions held, 
by an expert who any other party expects to call to testify at the 
hearing. A party has no ground to object to a discovery request on the 
basis that the information sought would not be admissible at the hearing 
if the information sought during discovery is reasonably calculated to 
lead to the discovery of admissible evidence.
    (f) Limiting discovery. The administrative law judge shall limit the 
frequency and extent of discovery permitted by this section if a party 
shows that--
    (1) The information requested is cumulative or repetitious;
    (2) The information requested can be obtained from another less 
burdensome and more convenient source;

[[Page 61]]

    (3) The party requesting the information has had ample opportunity 
to obtain the information through other discovery methods permitted 
under this section; or
    (4) The method or scope of discovery requested by the party is 
unduly burdensome or expensive.
    (g) Confidential orders. A party or person who has received a 
discovery request for information that is related to a trade secret, 
confidential or sensitive material, competitive or commercial 
information, proprietary data, or information on research and 
development, may file a motion for a confidential order with the 
administrative law judge and shall serve a copy of the motion for a 
confidential order on each party.
    (1) The party or person making the motion must show that the 
confidential order is necessary to protect the information from 
disclosure to the public.
    (2) If the administrative law judge determines that the requested 
material is not necessary to decide the case, the administrative law 
judge shall preclude any inquiry into the matter by any party.
    (3) If the administrative law judge determines that the requested 
material may be disclosed during discovery, the administrative law judge 
may order that the material may be discovered and disclosed under 
limited conditions or may be used only under certain terms and 
conditions.
    (4) If the administrative law judge determines that the requested 
material is necessary to decide the case and that a confidential order 
is warranted, the administrative law judge shall provide:
    (i) An opportunity for review of the document by the parties off the 
record;
    (ii) Procedures for excluding the information from the record; and
    (iii) Order that the parties shall not disclose the information in 
any manner and the parties shall not use the information in any other 
proceeding.
    (h) Protective orders. A party or a person who has received a 
request for discovery may file a motion for protective order with the 
administrative law judge and shall serve a copy of the motion for 
protective order on each party. The party or person making the motion 
must show that the protective order is necessary to protect the party or 
the person from annoyance, embarrassment, oppression, or undue burden or 
expense. As part of the protective order, the administrative law judge 
may:
    (1) Deny the discovery request;
    (2) Order that discovery be conducted only on specified terms and 
conditions, including a designation of the time or place for discovery 
or a determination of the method of discovery; or
    (3) Limit the scope of discovery or preclude any inquiry into 
certain matters during discovery.
    (i) Duty to supplement or amend responses. A party who has responded 
to a discovery request has a duty to supplement or amend the response, 
as soon as the information is known, as follows:
    (1) A party shall supplement or amend any response to a question 
requesting the identity and location of any person having knowledge of 
discoverable matters.
    (2) A party shall supplement or amend any response to a question 
requesting the identity of each person who will be called to testify at 
the hearing as an expert witness and the subject matter and substance of 
that witness' testimony.
    (3) A party shall supplement or amend any response that was 
incorrect when made or any response that was correct when made but is no 
longer correct, accurate, or complete.
    (j) Depositions. The following rules apply to depositions taken 
pursuant to this section:
    (1) Form. A deposition shall be taken on the record and reduced to 
writing. The person being deposed shall sign the deposition unless the 
parties agree to waive the requirement of a signature.
    (2) Administration of oaths. Within the United States, or a 
territory or possession subject to the jurisdiction of the United 
States, a party shall take a deposition before a person authorized to 
administer oaths by the laws of the United States or authorized by the 
law of the place where the examination is held. In foreign countries, a 
party shall take a deposition in any manner allowed by the Federal Rules 
of Civil Procedure.

[[Page 62]]

    (3) Notice of deposition. A party shall serve a notice of 
deposition, stating the time and place of the deposition and the name 
and address of each person to be examined, on the person to be deposed, 
on the administrative law judge, on the hearing docket clerk, and on 
each party not later than 7 days before the deposition. A party may 
serve a notice of deposition less than 7 days before the deposition only 
with consent of the administrative law judge. If a subpoena duces tecum 
is to be served on the person to be examined, the party shall attach a 
copy of the subpoena duces tecum that describes the materials to be 
produced at the deposition to the notice of deposition.
    (4) Use of depositions. A party may use any part or all of a 
deposition at a hearing authorized under this subpart only upon a 
showing of good cause. The deposition may be used against any party who 
was present or represented at the deposition or who had reasonable 
notice of the deposition.
    (k) Interrogatories. A party, the party's attorney, or the party's 
representative may sign the party's responses to interrogatories. A 
party shall answer each interrogatory separately and completely in 
writing.If a party objects to an interrogatory, the party shall state 
the objection and the reasons for the objection. An opposing party may 
use any part or all of a party's responses to interrogatories at a 
hearing authorized under this subpart to the extent that the response is 
relevant, material, and not repetitious.
    (1) A party shall not serve more than 30 interrogatories to each 
other party. Each subpart of an interrogatory shall be counted as a 
separate interrogatory.
    (2) A party shall file a motion for leave to serve additional 
interrogatories on a party with the administrative law judge before 
serving additional interrogatories on a party. The administrative law 
judge shall grant the motion only if the party shows good cause for the 
party's failure to inquire about the information previously and that the 
information cannot reasonably be obtained using less burdensome 
discovery methods or be obtained from other sources.
    (l) Requests for admission. A party may serve a written request for 
admission of the truth of any matter within the scope of discovery under 
this section or the authenticity of any document described in the 
request. A party shall set forth each request for admission separately. 
A party shall serve copies of documents referenced in the request for 
admission unless the documents have been provided or are reasonably 
available for inspection and copying.
    (1) Time. A party's failure to respond to a request for admission, 
in writing and signed by the attorney or the party, not later than 30 
days after service of the request, is deemed an admission of the truth 
of the statement or statements contained in the request for admission. 
The administrative law judge may determine that a failure to respond to 
a request for admission is not deemed an admission of the truth if a 
party shows that the failure was due to circumstances beyond the control 
of the party or the party's attorney.
    (2) Response. A party may object to a request for admission and 
shall state the reasons for objection. A party may specifically deny the 
truth of the matter or describe the reasons why the party is unable to 
truthfully deny or admit the matter. If a party is unable to deny or 
admit the truth of the matter, the party shall show that the party has 
made reasonable inquiry into the matter or that the information known 
to, or readily obtainable by, the party is insufficient to enable the 
party to admit or deny the matter. A party may admit or deny any part of 
the request for admission. If the administrative law judge determines 
that a response does not comply with the requirements of this rule or 
that the response is insufficient, the matter is deemed admitted.
    (3) Effect of admission. Any matter admitted or deemed admitted 
under this section is conclusively established for the purpose of the 
hearing and appeal.
    (m) Motion to compel discovery. A party may make a motion to compel 
discovery if a person refuses to answer a question during a deposition, 
a party fails or refuses to answer an interrogatory, if a person gives 
an evasive or incomplete answer during a deposition or when responding 
to an interrogatory, or a party fails or refuses to

[[Page 63]]

produce documents or tangible items. During a deposition, the proponent 
of a question may complete the deposition or may adjourn the examination 
before making a motion to compel if a person refuses to answer.
    (n) Failure to comply with a discovery order or order to compel. If 
a party fails to comply with a discovery order or an order to compel, 
the administrative law judge, limited to the extent of the party's 
failure to comply with the discovery order or motion to compel, may:
    (1) Strike that portion of a party's pleadings;
    (2) Preclude prehearing or discovery motions by that party;
    (3) Preclude admission of that portion of a party's evidence at the 
hearing; or
    (4) Preclude that portion of the testimony of that party's witnesses 
at the hearing.

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-23, 55 
FR 45983, Oct. 31, 1990]



Sec. 13.221  Notice of hearing.

    (a) Notice. The administrative law judge shall give each party at 
least 60 days notice of the date, time, and location of the hearing.
    (b) Date, time, and location of the hearing. The administrative law 
judge to whom the proceedings have been assigned shall set a reasonable 
date, time, and location for the hearing. The administrative law judge 
shall consider the need for discovery and any joint procedural or 
discovery schedule submitted by the parties when determining the hearing 
date. The administrative law judge shall give due regard to the 
convenience of the parties, the location where the majority of the 
witnesses reside or work, and whether the location is served by a 
scheduled air carrier.
    (c) Earlier hearing. With the consent of the administrative law 
judge, the parties may agree to hold the hearing on an earlier date than 
the date specified in the notice of hearing.



Sec. 13.222  Evidence.

    (a) General. A party is entitled to present the party's case or 
defense by oral, documentary, or demonstrative evidence, to submit 
rebuttal evidence, and to conduct any cross-examination that may be 
required for a full and true disclosure of the facts.
    (b) Admissibility. A party may introduce any oral, documentary, or 
demonstrative evidence in support of the party's case or defense. The 
administrative law judge shall admit any oral, documentary, or 
demonstrative evidence introduced by a party but shall exclude 
irrelevant, immaterial, or unduly repetitious evidence.
    (c) Hearsay evidence. Hearsay evidence is admissible in proceedings 
governed by this subpart. The fact that evidence submitted by a party is 
hearsay goes only to the weight of the evidence and does not affect its 
admissibility.



Sec. 13.223  Standard of proof.

    The administrative law judge shall issue an initial decision or 
shall rule in a party's favor only if the decision or ruling is 
supported by, and in accordance with, the reliable, probative, and 
substantial evidence contained in the record. In order to prevail, the 
party with the burden of proof shall prove the party's case or defense 
by a preponderance of reliable, probative, and substantial evidence.



Sec. 13.224  Burden of proof.

    (a) Except in the case of an affirmative defense, the burden of 
proof is on the agency.
    (b) Except as otherwise provided by statute or rule, the proponent 
of a motion, request, or order has the burden of proof.
    (c) A party who has asserted an affirmative defense has the burden 
of proving the affirmative defense.



Sec. 13.225  Offer of proof.

    A party whose evidence has been excluded by a ruling of the 
administrative law judge may offer the evidence for the record on 
appeal.



Sec. 13.226  Public disclosure of evidence.

    (a) The administrative law judge may order that any information 
contained in the record be withheld from public disclosure. Any person 
may object to disclosure of information in the record by filing a 
written motion to withhold

[[Page 64]]

specific information with the administrative law judge and serving a 
copy of the motion on each party. The party shall state the specific 
grounds for nondisclosure in the motion.
    (b) The administrative law judge shall grant the motion to withhold 
information in the record if, based on the motion and any response to 
the motion, the administrative law judge determines that disclosure 
would be detrimental to aviation safety, disclosure would not be in the 
public interest, or that the information is not otherwise required to be 
made available to the public.



Sec. 13.227  Expert or opinion witnesses.

    An employee of the agency may not be called as an expert or opinion 
witness, for any party other than the FAA, in any proceeding governed by 
this subpart. An employee of a respondent may not be called by an agency 
attorney as an expert or opinion witness for the FAA in any proceeding 
governed by this subpart to which the respondent is a party.



Sec. 13.228  Subpoenas.

    (a) Request for subpoena. A party may obtain a subpoena to compel 
the attendance of a witness at a deposition or hearing or to require the 
production of documents or tangible items from the hearing docket clerk. 
The hearing docket clerk shall deliver the subpoena, signed by the 
hearing docket clerk or an administrative law judge but otherwise in 
blank, to the party. The party shall complete the subpoena, stating the 
title of the action and the date and time for the witness' attendance or 
production of documents or items. The party who obtained the subpoena 
shall serve the subpoena on the witness.
    (b) Motion to quash or modify the subpoena. A party, or any person 
upon whom a subpoena has been served, may file a motion to quash or 
modify the subpoena with the administrative law judge at or before the 
time specified in the subpoena for compliance. The applicant shall 
describe, in detail, the basis for the application to quash or modify 
the supoena including, but not limited to, a statement that the 
testimony, document, or tangible evidence is not relevant to the 
proceeding, that the subpoena is not reasonably tailored to the scope of 
the proceeding, or that the subpoena is unreasonable and oppressive. A 
motion to quash or modify the subpoena will stay the effect of the 
subpoena pending a decision by the administrative law judge on the 
motion.
    (c) Enforcement of subpoena. Upon a showing that a person has failed 
or refused to comply with a subpoena, a party may apply to the local 
Federal district court to seek judicial enforcement of the subpoena in 
accordance with section 1004 of the Federal Aviation Act of 1958, as 
amended.



Sec. 13.229  Witness fees.

    (a) General. Unless otherwise authorized by the administrative law 
judge, the party who applies for a subpoena to compel the attendance of 
a witness at a deposition or hearing, or the party at whose request a 
witness appears at a deposition or hearing, shall pay the witness fees 
described in this section.
    (b) Amount. Except for an employee of the agency who appears at the 
direction of the agency, a witness who appears at a deposition or 
hearing is entitled to the same fees and mileage expenses as are paid to 
a witness in a court of the United States in comparable circumstances.



Sec. 13.230  Record.

    (a) Exclusive record. The transcript of all testimony in the 
hearing, all exhibits received into evidence, and all motions, 
applications, requests, and rulings shall constitute the exclusive 
record for decision of the proceedings and the basis for the issuance of 
any orders in the proceeding. Any proceedings regarding the 
disqualification of an administrative law judge shall be included in the 
record.
    (b) Examination and copying of record. Any person may examine the 
record at the Hearing Docket, Federal Aviation Administration, 800 
Independence Avenue, SW., Room 924A, Washington, DC 20591. Any person 
may have a copy of the record after payment of reasonable costs to copy 
the record.

[[Page 65]]



Sec. 13.231  Argument before the administrative law judge.

    (a) Arguments during the hearing. During the hearing, the 
administrative law judge shall give the parties a reasonable opportunity 
to present arguments on the record supporting or opposing motions, 
objections, and rulings if the parties request an opportunity for 
argument. The administrative law judge may request written arguments 
during the hearing if the administrative law judge finds that submission 
of written arguments would be reasonable.
    (b) Final oral argument. At the conclusion of the hearing and before 
the administrative law judge issues an initial decision in the 
proceedings, the parties are entitled to submit oral proposed findings 
of fact and conclusions of law, exceptions to rulings of the 
administrative law judge, and supporting arguments for the findings, 
conclusions, or exceptions. At the conclusion of the hearing, a party 
may waive final oral argument.
    (c) Posthearing briefs. The administrative law judge may request 
written posthearing briefs before the administrative law judge issues an 
initial decision in the proceedings if the administrative law judge 
finds that submission of written arguments would be reasonable. If a 
party files a written posthearing brief, the party shall include 
proposed findings of fact and conclusions of law, exceptions to rulings 
of the administrative law judge, and supporting arguments for the 
findings, conclusions, or exceptions. The administrative law judge shall 
give the parties a reasonable opportunity, not more than 30 days after 
receipt of the transcript, to prepare and submit the briefs.



Sec. 13.232  Initial decision.

    (a) Contents. The administrative law judge shall issue an initial 
decision at the conclusion of the hearing. In each oral or written 
decision, the administrative law judge shall include findings of fact 
and conclusions of law, and the grounds supporting those findings and 
conclusions, upon all material issues of fact, the credibility of 
witnesses, the applicable law, any exercise of the administrative law 
judge's discretion, the amount of any civil penalty found appropriate by 
the administrative law judge, and a discussion of the basis for any 
order issued in the proceedings. The administrative law judge is not 
required to provide a written explanation for rulings on objections, 
procedural motions, and other matters not directly relevant to the 
substance of the initial decision. If the administrative law judge 
refers to any previous unreported or unpublished initial decision, the 
administrative law judge shall make copies of that initial decision 
available to all parties and the FAA decisionmaker.
    (b) Oral decision. Except as provided in paragraph (c) of this 
section, at the conclusion of the hearing, the administrative law judge 
shall issue the initial decision and order orally on the record.
    (c) Written decision. The administrative law judge may issue a 
written initial decision not later than 30 days after the conclusion of 
the hearing or submission of the last posthearing brief if the 
administrative law judge finds that issuing a written initial decision 
is reasonable. The administrative law judge shall serve a copy of any 
written initial decision on each party.
    (d) Order assessing civil penalty. Unless appealed pursuant to 
Sec. 13.233 of this subpart, the initial decision issued by the 
administrative law judge shall be considered an order assessing civil 
penalty if the administrative law judge finds that an alleged violation 
occurred and determines that a civil penalty, in an amount found 
appropriate by the administrative law judge, is warranted.



Sec. 13.233  Appeal from initial decision.

    (a) Notice of appeal. A party may appeal the initial decision, and 
any decision not previously appealed pursuant to Sec. 13.219, by filing 
a notice of appeal with the FAA decisionmaker. A party shall file the 
notice of appeal with the Federal Aviation Administration, 800 
Independence Avenue, SW., Room 924A, Washington, DC 20591, Attention: 
Appellate Docket Clerk. A party shall file the notice of appeal not 
later than 10 days after entry of the oral initial decision on the 
record or service of the written initial decision on the parties and 
shall serve a copy of the notice of appeal on each party.

[[Page 66]]

    (b) Issues on appeal. A party may appeal only the following issues:
    (1) Whether each filing of fact is supported by a preponderance of 
reliable, probative, and substantial evidence;
    (2) Whether each conclusion of law is made in accordance with 
applicable law, precedent, and public policy; and
    (3) Whether the administrative law judge committed any prejudicial 
errors during the hearing that support the appeal.
    (c) Perfecting an appeal. Unless otherwise agreed by the parties, a 
party shall perfect an appeal, not later than 50 days after entry of the 
oral initial decision on the record or service of the written initial 
decision on the party, by filing an appeal brief with the FAA 
decisionmaker.
    (1) Extension of time by agreement of the parties. The parties may 
agree to extend the time for perfecting the appeal with the consent of 
the FAA decisionmaker. If the FAA decisionmaker grants an extension of 
time to perfect the appeal, the appellate docket clerk shall serve a 
letter confirming the extension of time on each party.
    (2) Written motion for extension. If the parties do not agree to an 
extension of time for perfecting an appeal, a party desiring an 
extension of time may file a written motion for an extension with the 
FAA decisionmaker and shall serve a copy of the motion on each party. 
The FAA decisionmaker may grant an extension if good cause for the 
extension is shown in the motion.
    (d) Appeal briefs. A party shall file the appeal brief with the FAA 
decisionmaker and shall serve a copy of the appeal brief on each party.
    (1) A party shall set forth, in detail, the party's specific 
objections to the initial decision or rulings in the appeal brief. A 
party also shall set forth, in detail, the basis for the appeal, the 
reasons supporting the appeal, and the relief requested in the appeal. 
If the party relies on evidence contained in the record for the appeal, 
the party shall specifically refer to the pertinent evidence contained 
in the transcript in the appeal brief.
    (2) The FAA decisionmaker may dismiss an appeal, on the FAA 
decisionmaker's own initiative or upon motion of any other party, where 
a party has filed a notice of appeal but fails to perfect the appeal by 
timely filing an appeal brief with the FAA decisionmaker.
    (e) Reply brief. Unless otherwise agreed by the parties, any party 
may file a reply brief with the FAA decisionmaker not later than 35 days 
after the appeal brief has been served on that party. The party filing 
the reply brief shall serve a copy of the reply brief on each party. If 
the party relies on evidence contained in the record for the reply, the 
party shall specifically refer to the pertinent evidence contained in 
the transcript in the reply brief.
    (1) Extension of time by agreement of the parties. The parties may 
agree to extend the time for filing a reply brief with the consent of 
the FAA decisionmaker. If the FAA decisionmaker grants an extension of 
time to file the reply brief, the appellate docket clerk shall serve a 
letter confirming the extension of time on each party.
    (2) Written motion for extension. If the parties do not agree to an 
extension of time for filing a reply brief, a party desiring an 
extension of time may file a written motion for an extension with the 
FAA decisionmaker and shall serve a copy of the motion on each party. 
The FAA decisionmaker may grant an extension if good cause for the 
extension is shown in the motion.
    (f) Other briefs. The FAA decisionmaker may allow any person to 
submit an amicus curiae brief in an appeal of an initial decision. A 
party may not file more than one appeal brief or reply brief. A party 
may petition the FAA decisionmaker, in writing, for leave to file an 
additional brief and shall serve a copy of the petition on each party. 
The party may not file the additional brief with the petition. The FAA 
decisionmaker may grant leave to file an additional brief if the party 
demonstrates good cause for allowing additional argument on the appeal. 
The FAA decisionmaker will allow a reasonable time for the party to file 
the additional brief.
    (g) Number of copies. A party shall file the original appeal brief 
or the original reply brief, and two copies of the brief, with the FAA 
decisionmaker.
    (h) Oral argument. The FAA decisionmaker has sole discretion to 
permit

[[Page 67]]

oral argument on the appeal. On the FAA decisionmaker's own initiative 
or upon written motion by any party, the FAA decisionmaker may find that 
oral argument will contribute substantially to the development of the 
issues on appeal and may grant the parties an opportunity for oral 
argument.
    (i) Waiver of objections on appeal. If a party fails to object to 
any alleged error regarding the proceedings in an appeal or a reply 
brief, the party waives any objection to the alleged error. The FAA 
decisionmaker is not required to consider any objection in an appeal 
brief or any argument in the reply brief if a party's objection is based 
on evidence contained on the record and the party does not specifically 
refer to the pertinent evidence from the record in the brief.
    (j) FAA decisionmaker's decision on appeal. The FAA decisionmaker 
will review the briefs on appeal and the oral argument, if any, to 
determine if the administrative law judge committed prejudicial error in 
the proceedings or that the initial decision should be affirmed, 
modified, or reversed. The FAA decisionmaker may affirm, modify, or 
reverse the initial decision, make any necessary findings, or may remand 
the case for any proceedings that the FAA decisionmaker determines may 
be necessary.
    (1) The FAA decisionmaker may raise any issue, on the FAA 
decisionmaker's own initiative, that is required for proper disposition 
of the proceedings. The FAA decisionmaker will give the parties a 
reasonable opportunity to submit arguments on the new issues before 
making a decision on appeal. If an issue raised by the FAA decisionmaker 
requires the consideration of additional testimony or evidence, the FAA 
decisionmaker will remand the case to the administrative law judge for 
further proceedings and an initial decision related to that issue. If an 
issue raised by the FAA decisionmaker is solely an issue of law or the 
issue was addressed at the hearing but was not raised by a party in the 
briefs on appeal, a remand of the case to the administrative law judge 
for further proceedings is not required but may be provided in the 
discretion of the FAA decisionmaker.
    (2) The FAA decisionmaker will issue the final decision and order of 
the Administrator on appeal in writing and will serve a copy of the 
decision and order on each party. Unless a petition for review is filed 
pursuant to Sec. 13.235, a final decision and order of the Administrator 
shall be considered an order assessing civil penalty if the FAA 
decisionmaker finds that an alleged violation occurred and a civil 
penalty is warranted.
    (3) A final decision and order of the Administrator after appeal is 
precedent in any other civil penalty action. Any issue, finding or 
conclusion, order, ruling, or initial decision of an administrative law 
judge that has not been appealed to the FAA decisionmaker is not 
precedent in any other civil penalty action.



Sec. 13.234  Petition to reconsider or modify a final decision and order of the FAA decisionmaker on appeal.

    (a) General. Any party may petition the FAA decisionmaker to 
reconsider or modify a final decision and order issued by the FAA 
decisionmaker on appeal from an initial decision. A party shall file a 
petition to reconsider or modify with the FAA decisionmaker not later 
than 30 days after service of the FAA decisionmaker's final decision and 
order on appeal and shall serve a copy of the petition on each party. 
The FAA decisionmaker will not reconsider or modify an initial decision 
and order issued by an administrative law judge that has not been 
appealed by any party to the FAA decisionmaker.
    (b) Form and number of copies. A party shall file a petition to 
reconsider or modify, in writing, with the FAA decisionmaker. The party 
shall file the original petition with the FAA decisionmaker and shall 
serve a copy of the petition on each party.
    (c) Contents. A party shall state briefly and specifically the 
alleged errors in the final decision and order on appeal, the relief 
sought by the party, and the grounds that support, the petition to 
reconsider or modify.
    (1) If the petition is based, in whole or in part, on allegations 
regarding the

[[Page 68]]

consequences of the FAA decisionmaker's decision, the party shall 
describe these allegations and shall describe, and support, the basis 
for the allegations.
    (2) If the petition is based, in whole or in part, on new material 
not previously raised in the proceedings, the party shall set forth the 
new material and include affidavits of prospective witnesses and 
authenticated documents that would be introduced in support of the new 
material. The party shall explain, in detail, why the new material was 
not discovered through due diligence prior to the hearing.
    (d) Repetitious and frivolous petitions. The FAA decisionmaker will 
not consider repetitious or frivolous petitions. The FAA decisionmaker 
may summarily dismiss repetitious or frivolous petitions to reconsider 
or modify.
    (e) Reply petitions. Any other party may reply to a petition to 
reconsider or modify, not later than 10 days after service of the 
petition on that party, by filing a reply with the FAA decisionmaker. A 
party shall serve a copy of the reply on each party.
    (f) Effect of filing petition. Unless otherwise ordered by the FAA 
decisionmaker, filing of a petition pursuant to this section will not 
stay or delay the effective date of the FAA decisionmaker's final 
decision and order on appeal and shall not toll the time allowed for 
judicial review.
    (g) FAA decisionmaker's decision on petition. The FAA decisionmaker 
has sole discretion to grant or deny a petition to reconsider or modify. 
The FAA decisionmaker will grant or deny a petition to reconsider or 
modify within a reasonable time after receipt of the petition or receipt 
of the reply petition, if any. The FAA decisionmaker may affirm, modify, 
or reverse the final decision and order on appeal, or may remand the 
case for any proceedings that the FAA decisionmaker determines may be 
necessary.

[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990; 
Amdt. 13-23, 55 FR 45983, Oct. 31, 1990]



Sec. 13.235  Judicial review of a final decision and order.

    A person may seek judicial review of a final decision and order of 
the Administrator as provided in section 1006 of the Federal Aviation 
Act of 1958, as amended. A party seeking judicial review of a final 
decision and order shall file a petition for review not later than 60 
days after the final decision and order has been served on the party.



         Subpart H--Civil Monetary Penalty Inflation Adjustment

    Source: Docket No. 28762, 61 FR 67445, Dec. 20, 1996, unless 
otherwise noted.



Sec. 13.301  Scope and purpose.

    (a) This subpart provides a mechanism for the regular adjustment for 
inflation of civil monetary penalties in conformity with the Federal 
Civil Penalties Inflation Adjustment Act of 1990, 28 U.S.C. 2461 (note), 
as amended by the Debt Collection Improvement Act of 1996, Public Law 
104-134, April 26, 1996, in order to maintain the deterrent effect of 
civil monetary penalties and to promote compliance with the law. This 
subpart also sets out the current adjusted maximum civil monetary 
penalties or range of minimum and maximum civil monetary penalties for 
each statutory civil penalty subject to the FAA's jurisdiction.
    (b) Each adjustment to the maximum civil monetary penalty or the 
range of minimum and maximum civil monetary penalties, as applicable, 
made in accordance with this subpart applies prospectively from the date 
it becomes effective to actions initiated under this part, 
notwithstanding references to a specific maximum civil monetary penalty 
or range of minimum and maximum civil monetary penalties contained 
elsewhere in this part.



Sec. 13.303  Definitions.

    (a) Civil Monetary Penalty means any penalty, fine, or other 
sanction that:
    (1) Is for a specific monetary amount as provided by Federal law or 
has a maximum amount provided by Federal law;
    (2) Is assessed or enforced by the FAA pursuant to Federal law; and
    (3) Is assessed or enforced pursuant to an administrative proceeding 
or a civil action in the Federal courts.
    (b) Consumer Price Index means the Consumer Price Index for all 
urban

[[Page 69]]

consumers published by the Department of Labor.



Sec. 13.305  Cost of living adjustments of civil monetary penalties.

    (a) Except for the limitation to the initial adjustment to statutory 
maximum civil monetary penalties or range of minimum and maximum civil 
monetary penalties set forth in paragraph (c) of this section, the 
inflation adjustment under this subpart is determined by increasing the 
maximum civil monetary penalty or range of minimum and maximum civil 
monetary penalty for each civil monetary penalty by the cost-of-living 
adjustment. Any increase determined under paragraph (a) of this section 
is rounded to the nearest:
    (1) Multiple of $10 in the case of penalties less than or equal to 
$100;
    (2) Multiple of $100 in the case of penalties greater than $100 but 
less than or equal to $1,000;
    (3) Multiple of $1,000 in the case of penalties greater than $1,000 
but less than or equal to $10,000;
    (4) Multiple of $5,000 in the case of penalties greater than $10,000 
but less than or equal to $100,000;
    (5) Multiple of $10,000 in the case of penalties greater than 
$100,000 but less than or equal to $200,000; and
    (6) Multiple of $25,000 in the case of penalties greater than 
$200,000.
    (b) For purposes of paragraph (a) of this section, the term ``cost-
of-living adjustment'' means the percentage (if any) for each civil 
monetary penalty by which the Consumer Price Index for the month of June 
of the calendar year preceding the adjustment exceeds the Consumer Price 
Index for the month of June of the calendar year in which the amount of 
such civil monetary penalty was last set or adjusted pursuant to law.
    (c) Limitation on initial adjustment. The initial adjustment of 
maximum civil penalty or range of minimum and maximum civil monetary 
penalties made pursuant to this subpart does not exceed 10 percent of 
the statutory maximum civil penalty before an adjustment under this 
subpart is made. This limitation applies only to the initial adjustment, 
effective on January 21, 1997.
    (d) Inflation adjustment. Minimum and maximum civil monetary 
penalties within the jurisdiction of the FAA are adjusted for inflation 
as follows:

             Minimum and Maximum Civil Penalties--Adjusted for Inflation, Effective January 21, 1997
----------------------------------------------------------------------------------------------------------------
                                                     Minimum      New adjusted
                                Civil monetary   penalty amount     minimum     Maximum penalty    New adjusted
 United States Code  citation       penalty       as of  10/23/     penalty     amount as of 10/ maximum penalty
                                  description          96            amount          26/96            amount
----------------------------------------------------------------------------------------------------------------
49 U.S.C. 5123(a) (changed     Violations of     $250 per        $250 per       $25,000 per      $27,500 per
 1990).                         hazardous         violation per   violation      violation per    violation per
                                materials         day             per day        day.             day.
                                transportation
                                law or
                                regulations.
49 U.S.C. 46301(a)(1) (1958).  Violations of     N/A             N/A            $1,000 per       $1,100 per
                                FAA statute or                                   violation per    violation per
                                regulations by                                   day or per       day or per
                                a person.                                        flight.          flight.
49 U.S.C. 46301(a)(2)          Violations of     N/A             N/A            $10,000 per      $11,000 per
 (changed 1987).                FAA statute or                                   violation per    violation per
                                regulations by                                   day or per       day or per
                                a person                                         flight.          flight.
                                operating an
                                aircraft for
                                the
                                transportation
                                of passengers
                                or property for
                                compensation.
49 U.S.C. 46301(a)(3)(A)       Violations of     N/A             N/A            $10,000 per      $11,000 per
 (1974).                        FAA statute or                                   violation per    violation per
                                regulations                                      day or per       day or per
                                involving the                                    flight.          flight.
                                transportation
                                of hazardous
                                materials by
                                air.
49 U.S.C. 463(a)(3)(B) (1988)  Violations of     N/A             N/A            $10,000 per      $11,000 per
                                FAA statute or                                   violation per    violation per
                                regulations                                      day or per       day or per
                                involving the                                    flight.          flight.
                                registration or
                                recordation
                                under chapter
                                441 of aircraft
                                not used to
                                provide air
                                transportation.
49 U.S.C. 46301(b) (1987)....  Tampering with a  N/A             N/A            $2,000 per       $2,200 per
                                smoke alarm                                      violation.       violation.
                                device.

[[Page 70]]

 
49 U.S.C. 46302 (1984).......  Knowingly         N/A             N/A            $10,000 per      $11,000 per
                                providing false                                  violation.       violation.
                                information
                                about alleged
                                violations
                                involving the
                                special
                                aircraft
                                jurisdiction of
                                the United
                                States.
49 U.S.C. 46303 (1984).......  Carrying a        N/A             N/A            $10,000 per      $11,000 per
                                concealed                                        violation.       violation.
                                deadly or
                                dangerous
                                weapon.
----------------------------------------------------------------------------------------------------------------

[61 FR 67445, Dec. 20, 1996, as amended by Amdt. 13-28, 62 FR 4134, Jan. 
29, 1997]



PART 14--RULES IMPLEMENTING THE EQUAL ACCESS TO JUSTICE ACT OF 1980--Table of Contents




                      Subpart A--General Provisions

Sec.
14.01  Purpose of these rules.
14.02  Proceedings covered.
14.03  Eligibility of applicants.
14.04  Standards for awards.
14.05  Allowance fees and expenses.

             Subpart B--Information Required From Applicants

14.10  Contents of application.
14.11  Net worth exhibit.
14.12  Documentation of fees and expenses.

           Subpart C--Procedures for Considering Applications

14.20  When an application may be filed.
14.21  Filing and service of documents.
14.22  Answer to application.
14.23  Reply.
14.24  Comments by other parties.
14.25  Settlement.
14.26  Further proceedings.
14.27  Decision.
14.28  Review by FAA decisionmaker.
14.29  Judicial review.
14.30  Payment of award.

    Authority: 5 U.S.C. 504; 49 U.S.C. 106(f), 40113, 46104 and 47122.

    Source: 54 FR 46199, Nov. 1, 1989, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 14.01  Purpose of these rules.

    The Equal Access to Justice Act, 5 U.S.C. 504 (the Act), provides 
for the award of attorney fees and other expenses to eligible 
individuals and entities who are parties to certain administrative 
proceedings (adversary adjudications) before the Federal Aviation 
Administration (FAA). An eligible party may receive an award when it 
prevails over the FAA, unless the agency's position in the proceeding 
was substantially justified or special circumstances make an award 
unjust. The rules in this part describe the parties eligible for awards 
and the proceedings that are covered. They also explain how to apply for 
awards, and the procedures and standards that the FAA Decisionmaker will 
use to make them. As used hereinafter, the term ``agency'' applies to 
the FAA.



Sec. 14.02  Proceedings covered.

    (a) The Act applies to certain adversary adjudications conducted by 
the FAA under 49 CFR part 17 and the Acquisition Management System 
(AMS). These are adjudications under 5 U.S.C. 554, in which the position 
of the FAA is represented by an attorney or other representative who 
enters an appearance and participates in the proceeding. This subpart 
applies to proceedings under 49 U.S.C. 46301, 46302, and 46303 and to 
the Default Adjudicative Process under part 17 of this chapter and the 
AMS.
    (b) If a proceeding includes both matters covered by the Act and 
matters specifically excluded from coverage, any award made will include 
only fees and expenses related to covered issues.
    (c) Fees and other expenses may not be awarded to a party for any 
portion of the adversary adjudication in which

[[Page 71]]

such party has unreasonably protracted the proceedings.

[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32935, June 
18, 1999]



Sec. 14.03  Eligibility of applicants.

    (a) To be eligible for an award of attorney fees and other expenses 
under the Act, the applicant must be a party to the adversary 
adjudication for which it seeks an award. The term ``party'' is defined 
in 5 U.S.C. 504(b)(1)(B) and 5 U.S.C. 551(3). The applicant must show 
that it meets all conditions or eligibility set out in this subpart.
    (b) The types of eligible applicants are as follows:
    (1) An individual with a net worth of not more than $2 million at 
the time the adversary adjudication was initiated;
    (2) The sole owner of an unincorporated business who has a net worth 
of not more than $7 million, including both personal and business 
interests, and not more than 500 employees at the time the adversary 
adjudication was initiated;
    (3) A charitable or other tax-exempt organization described in 
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) 
with not more than 500 employees at the time the adversary adjudication 
was initiated; and
    (4) A cooperative association as defined in section 15(a) of the 
Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500 
employees at the time the adversary adjudication was initiated; and
    (5) Any other partnership, corporation, association, or public or 
private organization with a net worth of not more than $7 million and 
not more than 500 employees at the time the adversary adjudication was 
initiated.
    (c) For the purpose of eligibility, the net worth and number of 
employees of an applicant shall be determined as of the date the 
proceeding was initiated.
    (d) An applicant who owns an unincorporated business will be 
considered an ``individual'' rather than a ``sole owner of an 
unincorporated business'' if the issues on which the applicant prevails 
are related primarily to personal interests rather than to business 
interest.
    (e) The employees of an applicant include all persons who regularly 
perform services for remuneration for the applicant, under the 
applicant's direction and control. Part-time employees shall be included 
on a proportional basis.
    (f) The net worth and number of employees of the applicant and all 
of its affiliates shall be aggregated to determine eligibility. Any 
individual, corporation, or other entity that directly or indirectly 
controls or owns a majority of the voting shares or other interest of 
the applicant, or any corporation or other entity of which the applicant 
directly or indirectly owns or controls a majority of the voting shares 
or other interest, will be considered an affiliate for purposes of this 
part, unless the ALJ or adjudicative officer determines that such 
treatment would be unjust and contrary to the purposes of the Act in 
light of the actual relationship between the affiliated entities. In 
addition, the ALJ or adjudicative officer may determine that financial 
relationships of the applicant, other than those described in this 
paragraph, constitute special circumstances that would make an award 
unjust.
    (g) An applicant that participates in a proceeding primarily on 
behalf of one or more other persons or entities that would be ineligible 
if not itself eligible for an award.

[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32935, June 
18, 1999]



Sec. 14.04  Standards for awards.

    (a) A prevailing applicant may receive an award for attorney fees 
and other expenses incurred in connection with a proceeding, or in a 
significant and discrete substantive portion of the proceeding, unless 
the position of the agency over which the applicant has prevailed was 
substantially justified. Whether or not the position of the FAA was 
substantially justified shall be determined on the basis of the record 
(including the record with respect to the action or failure to act by 
the agency upon which the civil action is based) which was made in the 
civil action for which fees and other expenses are sought. The burden of 
proof that an

[[Page 72]]

award should not be made to an eligible prevailing applicant is on the 
agency counsel, who may avoid an award by showing that the agency's 
position was reasonable in law and fact.
    (b) An award will be reduced or denied if the applicant has unduly 
or unreasonably protracted the proceeding or if special circumstances 
make the award sought unjust.



Sec. 14.05  Allowance fees and expenses.

    (a) Awards will be based on rates customarily charged by persons 
engaged in the business of acting as attorneys, agents, and expert 
witnesses, even if the services were made available without charge or at 
a reduced rate to the applicant.
    (b) No award for the fee of an attorney or agent under this part may 
exceed $125 per hour, or such rate as prescribed by 5 U.S.C. 504. No 
award to compensate an expert witness may exceed the highest rate at 
which the agency pays expert witnesses. However, an award may also 
include the reasonable expenses of the attorney, agent, or witness as a 
separate item, if the attorney, agent, or witness ordinarily charges 
clients separately for such expenses.
    (c) In determining the reasonableness of the fee sought for an 
attorney, agent, or expert witness, the ALJ or adjudicative officer 
shall consider the following:
    (1) If the attorney, agent, or witness is in private practice, his 
or her customary fee for similar services, or if an employee of the 
applicant, the fully allocated cost of the services;
    (2) The prevailing rate for similar services in the community in 
which the attorney, agent, or witness ordinarily performs services;
    (3) The time actually spent in the representation of the applicant;
    (4) The time reasonably spent in light of the difficulty or 
complexity of the issues in the proceeding; and
    (5) Such other factors as may bear on the value of the services 
provided.
    (d) The reasonable cost of any study, analysis, engineering report, 
test, project, or similar matter prepared on behalf of a party may be 
awarded, to the extent that the charge for the service does not exceed 
the prevailing rate for similar services, and the study or other matter 
was necessary for preparation of the applicant's case.
    (e) Fees may be awarded only for work performed after the issuance 
of a complaint, or in the Default Adjudicative Process for a protest or 
contract dispute under part 17 of this chapter and the AMS.

[Amdt. 13-18, 53 FR 34655, Sept. 7, 1988, as amended by Amdt. 14-1, 55 
FR 15131, Apr. 20, 1990; Amdt. 14-03, 64 FR 32935, June 18, 1999]



             Subpart B--Information Required From Applicants



Sec. 14.10  Contents of application.

    (a) An application for an award of fees and expenses under the Act 
shall identify the applicant and the proceeding for which an award is 
sought. The application shall show that the applicant has prevailed and 
identify the position of the agency in the proceeding that the applicant 
alleges was not substantially justified. Unless the applicant is an 
individual, the application shall also state the number of employees of 
the applicant and describe briefly the type and purpose of its 
organization or business.
    (b) The application shall also include a statement that the 
applicant's net worth does not exceed $2 million (if an individual) or 
$7 million (for all other applicants, including their affiliates) at the 
time the adversary adjudication was initiated. However, an applicant may 
omit this statement if:
    (1) It attaches a copy of a ruling by the Internal Revenue Service 
that it qualifies as an organization described in section 501(c)(3) of 
the Internal Revenue Code (26 U.S.C. 501(c)(3)), or in the case of a 
tax-exempt organization not required to obtain a ruling from the 
Internal Revenue Service on its exempt status, a statement that 
describes the basis for the applicant's belief that it qualifies under 
such section; or
    (2) It states that it is a cooperative association as defined in 
section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)).
    (c) The application shall state the amount of fees and expenses for 
which an award is sought.
    (d) The application may also include any other matters that the 
applicant

[[Page 73]]

wishes this agency to consider in determining whether and in what amount 
an award should be made.
    (e) The application shall be signed by the applicant or an 
authorized officer or attorney for the applicant. It shall also contain 
or be accompanied by a written verification under oath or under penalty 
of perjury that the information provided in the application is true and 
correct.
    (f) If the applicant is a partnership, corporation, association, 
organization, or sole owner of an unincorporated business, the 
application shall state that the applicant did not have more than 500 
employees at the time the adversary adjudication was initiated, giving 
the number of its employees and describing briefly the type and purpose 
of its organization or business.



Sec. 14.11  Net worth exhibit.

    (a) Each applicant except a qualified tax-exempt organization or 
cooperative association must provide with its application a detailed 
exhibit showing the net worth of the applicant and any affiliates when 
the proceeding was initiated. If any individual, corporation, or other 
entity directly or indirectly controls or owns a majority of the voting 
shares or other interest of the applicant, or if the applicant directly 
or indirectly owns or controls a majority of the voting shares or other 
interest of any corporation or other entity, the exhibit must include a 
showing of the net worth of all such affiliates or of the applicant 
including the affiliates. The exhibit may be in any form convenient to 
the applicant that provides full disclosure of the applicant's and its 
affiliates' assets and liabilities and is sufficient to determine 
whether the applicant qualifies under the standards in this part. The 
administrative law judge may require an applicant to file additional 
information to determine the eligibility for an award.
    (b) The net worth exhibit shall describe any transfers of assets 
from, or obligations incurred by, the applicant or any affiliate, 
occurring in the one-year period prior to the date on which the 
proceeding was initiated, that reduced the net worth of the applicant 
and its affiliates below the applicable net worth ceiling. If there were 
no such transactions, the applicant shall so state.
    (c) Ordinarily, the net worth exhibit will be included in the public 
record of the proceeding. However, an applicant that objects to public 
disclosure of the net worth exhibit, or any part of it, may submit that 
portion of the exhibit directly to the ALJ or adjudicative officer in a 
sealed envelope labeled ``Confidential Financial Information,'' 
accompanied by a motion to withhold the information.
    (1) The motion shall describe the information sought to be withheld 
and explain, in detail, why it should be exempt under applicable law or 
regulation, why public disclosure would adversely affect the applicant, 
and why disclosure is not required in the public interest.
    (2) The net worth exhibit shall be served on the FAA counsel, but 
need not be served on any other party to the proceeding.
    (3) If the ALJ or adjudicative officer finds that the net worth 
exhibit, or any part of it, should not be withheld from disclosure, it 
shall be placed in the public record of the proceeding. Otherwise, any 
request to inspect or copy the exhibit shall be disposed of in 
accordance with the FAA's established procedures.

[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32935, June 
18, 1999]



Sec. 14.12  Documentation of fees and expenses.

    The application shall be accompanied by full documentation of the 
fees and expenses, including the cost of any study, analysis, 
engineering report, test, project or similar matter, for which an award 
is sought. A separate itemized statement shall be submitted for each 
professional firm or individual whose services are covered by the 
application, showing the hours spent in connection with the proceedings 
by each individual, a description of the specific services performed, 
the rate at which each fee has been computed, any expenses for which 
reimbursement is sought, the total amount claimed, and the total amount 
paid or payable by the applicant or by any other person or entity for 
the services provided. The administrative law judge may require

[[Page 74]]

the applicant to provide vouchers, receipts, or other substantiation for 
any expenses claimed.



           Subpart C--Procedures for Considering Applications



Sec. 14.20  When an application may be filed.

    (a) An application may be filed whenever the applicant has prevailed 
in the proceeding, but in no case later than 30 days after the FAA 
Decisionmaker's final disposition of the proceeding, or service of the 
order of the Administrator in a proceeding under the AMS.
    (b) If review or reconsideration is sought or taken of a decision to 
which an applicant believes it has prevailed, proceedings for the award 
of fees shall be stayed pending final disposition of the underlying 
controversy.
    (c) For purposes of this part, final disposition means the later of:
    (1) Under part 17 of this chapter and the AMS, the date on which the 
order of the Administrator is served;
    (2) The date on which an unappealed initial decision becomes 
administratively final;
    (3) Issuance of an order disposing of any petitions for 
reconsideration of the FAA Decisionmaker's final order in the 
proceeding;
    (4) If no petition for reconsideration is filed, the last date on 
which such a petition could have been filed; or
    (5) Issuance of a final order or any other final resolution of a 
proceeding, such as a settlement or voluntary dismissal, which is not 
subject to a petition for reconsideration.

[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32936, June 
18, 1999]



Sec. 14.21  Filing and service of documents.

    Any application for an award or other pleading or document related 
to an application shall be filed and served on all parties to the 
proceeding in the same manner as other pleadings in the proceeding, 
except as provided in Sec. 14.11(b) for confidential financial 
information. Where the proceeding was held under part 17 of this chapter 
and the AMS, the application shall be filed with the FAA's attorney and 
with the Office of Dispute Resolution for Acquisition.

[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999]



Sec. 14.22  Answer to application.

    (a) Within 30 days after service of an application, counsel 
representing the agency against which an award is sought may file an 
answer to the application. Unless agency counsel requests an extension 
of time for filing or files a statement of intent to negotiate under 
paragraph (b) of the section, failure to file an answer within the 30-
day period may be treated as a consent to the award requested.
    (b) If the FAA's counsel and the applicant believe that the issues 
in the fee application can be settled, they may jointly file a statement 
of their intent to negotiate a settlement. The filing of this statement 
shall extend the time for filing an answer for an additional 30 days, 
and further extensions may be granted by the ALJ or adjudicative officer 
upon request by the FAA's counsel and the applicant.
    (c) The answer shall explain in detail any objections to the award 
requested and identify the facts relied on in support of agency 
counsel's position. If the answer is based on any alleged facts not 
already in the record of the proceeding, agency counsel shall include 
with the answer either supporting affidavits or a request for further 
proceedings under Sec. 14.26.

[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32936, June 
18, 1999]



Sec. 14.23  Reply.

    Within 15 days after service of an answer, the applicant may file a 
reply. If the reply is based on any alleged facts not already in the 
record of the proceeding, the applicant shall include with the reply 
either supporting affidavits or a request for further proceedings under 
Sec. 14.26.



Sec. 14.24  Comments by other parties.

    Any party to a proceeding other than the applicant and the FAA's 
counsel may file comments on an application within 30 days after it is 
served, or on an answer within 15 days after it is served. A commenting 
party may not

[[Page 75]]

participate further in proceedings on the application unless the ALJ or 
adjudicative officer determines that the public interest requires such 
participation in order to permit full exploration of matters raised in 
the comments.

[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999]



Sec. 14.25  Settlement.

    The applicant and agency counsel may agree on a proposed settlement 
of the award before final action on the application, either in 
connection with a settlement of the underlying proceeding, or after the 
underlying proceeding has been concluded. If a prevailing party and 
agency counsel agree on a proposed settlement of an award before an 
application has been filed, the application shall be filed with the 
proposed settlement.



Sec. 14.26  Further proceedings.

    (a) Ordinarily the determination of an award will be made on the 
basis of the written record; however, on request of either the applicant 
or agency counsel, or on his or her own initiative, the ALJ or 
adjudicative officer assigned to the matter may order further 
proceedings, such as an informal conference, oral argument, additional 
written submissions, or an evidentiary hearing. Such further proceedings 
shall be held only when necessary for full and fair resolution of the 
issues arising from the application and shall be conducted as promptly 
as possible.
    (b) A request that the administrative law judge order further 
proceedings under this section shall specifically identify the 
information sought or the disputed issues and shall explain why the 
additional proceedings are necessary to resolve the issues.

[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32936, June 
18, 1999]



Sec. 14.27  Decision.

    (a) The ALJ shall issue an initial decision on the application 
within 60 days after completion of proceedings on the application.
    (b) An adjudicative officer in a proceeding under part 17 of this 
chapter and the AMS shall prepare a findings and recommendations for the 
Office of Dispute Resolution for Acquisition.
    (c) A decision under paragraph (a) or (b) of this section shall 
include written findings and conclusions on the applicant's eligibility 
and status as prevailing party and an explanation of the reasons for any 
difference between the amount requested and the amount awarded. The 
decision shall also include, if at issue, findings on whether the FAA's 
position was substantially justified, or whether special circumstances 
make an award unjust.

[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999]



Sec. 14.28  Review by FAA decisionmaker.

    (a) In proceedings other than those under part 17 of this chapter 
and the AMS, either the applicant or the FAA counsel may seek review of 
the initial decision on the fee application. Additionally, the FAA 
Decisionmaker may decide to review the decision on his/her own 
initiative. If neither the applicant nor the FAA's counsel seeks review 
within 30 days after the decision is issued, it shall become final. 
Whether to review a decision is a matter within the discretion of the 
FAA Decisionmaker. If review is taken, the FAA Decisionmaker will issue 
a final decision on the application or remand the application to the ALJ 
who issue the initial fee award determination for further proceedings.
    (b) In proceedings under part 17 of this chapter and the AMS, the 
adjudicative officer shall prepare findings and recommendations for the 
Office of Dispute Resolution for Acquisition with recommendations as to 
whether or not an award should be made, the amount of the award, and the 
reasons therefor. The Office of Dispute Resolution for Acquisition shall 
submit a recommended order to the Administrator after the completion of 
all submissions related to the EAJA application. Upon the 
Administrator's action, the order shall become final, and may be 
reviewed under 49 U.S.C. 46110.

[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999]

[[Page 76]]



Sec. 14.29  Judicial review.

    If an applicant is dissatisfied with the determination of fees and 
other expenses made under this subsection, pursuant 5 U.S.C. 504(c)(2), 
that applicant may, within thirty (30) days after the determination is 
made, appeal the determination to the court of the United States having 
jurisdiction to review the merits of the underlying decision of the FAA 
adversary adjudication. The court's determination on any appeal heard 
under this paragraph shall be based solely on the factual record made 
before the FAA. The court may modify the determination of fees and other 
expenses only if the court finds that the failure to make an award of 
fees and other expenses, or the calculation of the amount of the award, 
was unsupported by substantial evidence.



Sec. 14.30  Payment of award.

    An applicant seeking payment of an award shall submit to the 
disbursing official of the FAA a copy of the FAA Decisionmaker's final 
decision granting the award, accompanied by a statement that the 
applicant will not seek review of the decision in the United States 
courts. Applications for award grants in cases involving the FAA shall 
be sent to: The Office of Accounting and Audit, AAA-1, Federal Aviation 
Administration, 800 Independence Avenue, SW., Washington, DC 20591. The 
agency will pay the amount awarded to the applicant within 60 days, 
unless judicial review of the award or of the underlying decision of the 
adversary adjudication has been sought by the applicant or any other 
party to the proceeding.



PART 15--ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT--Table of Contents




                      Subpart A--General Procedures

Sec.
15.1  Scope of regulations.
15.3  Administrative claim, when presented; appropriate office.
15.5  Administrative claim, who may file.
15.7  Administrative claims; evidence and information to be submitted.
15.9  Investigation and examination.

 Subpart B--Indemnification Under Section 1118 of the Federal Aviation 
                               Act of 1958

15.101  Applicability.
15.103  Exclusions.
15.105  Filing of requests for indemnification.
15.107  Notification requirements.
15.109  Settlements.
15.111  Conduct of litigation.
15.113  Indemnification agreements.
15.115  Payment.

    Authority: 5 U.S.C. 301; 28 U.S.C. 2672, 2675; 49 U.S.C. 106(g), 
40113, 44721.



                      Subpart A--General Procedures

    Source: Docket No. 25264, 52 FR 18171, May 13, 1987, unless 
otherwise noted.



Sec. 15.1  Scope of regulations.

    (a) These regulations apply to claims asserted under the Federal 
Tort Claims Act, as amended, for money damages against the United States 
for injury to, or loss of property, or for personal injury or death, 
caused by the negligent or wrongful act or omission of an employee of 
the FAA acting within the scope of office or employment. The regulations 
in this part supplement the Attorney General's regulations in 28 CFR 
Part 14, as amended. The regulations in 28 CFR Part 14, as amended, and 
the regulations in this part apply to consideration by the FAA of 
administrative claims under the Federal Tort Claims Act.



Sec. 15.3  Administrative claim, when presented; appropriate office.

    (a) A claim is deemed to have been presented when the FAA receives, 
at a place designated in paragraph (b) of this section, an executed 
Standard Form 95 or other written notification of an incident, 
accompanied by a claim for money damages in a sum certain for injury to, 
or loss of, property or for personal injury or death, alleged to have 
occurred by reason of the incident. A claim which should have been 
presented to the FAA but which was mistakenly filed with another Federal 
agency, is deemed presented to the FAA on the date the claim is received 
by the FAA at a place designated in paragraph (b) of this section. A 
claim addressed to, or filed with, the FAA by

[[Page 77]]

mistake will be transferred to the appropriate Federal agency, if that 
agency can be determined, or returned to the claimant.
    (b) Claims shall be delivered or mailed to the Assistant Chief 
Counsel, Litigation Division, AGC-400, Federal Aviation Administration, 
800 Independence Avenue, SW., Washington, DC 20591, or alternatively, 
may be mailed or delivered to the Regional Counsel in any of the FAA 
Regional Offices or the Assistant Chief Counsel, Europe, Africa, and 
Middle East Area Office.
    (d) A claim presented in accordance with this section may be amended 
by the claimant at any time prior to final FAA action or prior to the 
exercise of the claimant's option, under 28 U.S.C. 2675(a), to deem the 
agency's failure to make a final disposition of his or her claim within 
6 months after it was filed as a final denial. Each amendment to a claim 
shall be submitted in writing and signed by the claimant or the 
claimant's duly authorized agent or legal representative. Upon the 
timely filing of an amendment to a pending claim, the FAA has 6 months 
thereafter in which to make a final disposition of the claim as amended, 
and the claimant's option under 28 U.S.C. 2675(a) does not accrue until 
6 months after the filing of the amendment.

[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 15-1, 54 
FR 39290, Sept. 25, 1989; Amdt. 15-4, 62 FR 46866, Sept. 4, 1997]



Sec. 15.5  Administrative claim, who may file.

    (a) A claim for injury to, or loss of, property may be presented by 
the owner of the property interest which is the subject of the claim or 
by the owner's duly authorized agent or legal representative.
    (b) A claim for personal injury may be presented by the injured 
person or that person's duly authorized agent or legal representative.
    (c) A claim based on death may be presented by the executor or 
administrator of the decedent's estate or by any other person legally 
entitled to assert such a claim under applicable State law.
    (d) A claim for loss wholly compensated by an insurer with the 
rights of a subrogee may be presented by the insurer. A claim for loss 
partially compensated by an insurer with the rights of a subrogee may be 
presented by the insurer or the insured individually, as their 
respective interest appear, or jointly. Whenever an insurer presents a 
claim asserting the rights of a subrogee, it shall present with its 
claim appropriate evidence that it has the rights of a subrogee.
    (e) A claim presented by an agent or legal representative shall be 
presented in the name of the claimant, be signed by the agent or legal 
representative, show the title or legal capacity of the person signing, 
and be accompanied by evidence of authority to present a claim on behalf 
of the claimant as agent, executor, administrator, parent, guardian, or 
other representative.



Sec. 15.7  Administrative claims; evidence and information to be submitted.

    (a) Death. In support of a claim based on death, the claimant may be 
required to submit the following evidence or information:
    (1) An authenticated death certificate or other competent evidence 
showing cause of death, date of death, and age of the decedent.
    (2) The decedent's employment or occupation at time of death, 
including monthly or yearly salary or earnings (if any), and the 
duration of last employment or occupation.
    (3) Full names, addresses, birth dates, kinship, and marital status 
of the decedent's survivors, including identification of those survivors 
who were dependent for support upon the decedent at the time of death.
    (4) Degree of support afforded by the decedent to each survivor 
dependent upon decedent for support at the time of death.
    (5) Decedent's general, physical, and mental conditions before 
death.
    (6) Itemized bills for medical and burial expenses incurred by 
reason of the incident causing death or itemized receipts of payment for 
such expenses.
    (7) If damages for pain and suffering prior to death are claimed, a 
physician's detailed statement specifying the injuries suffered, 
duration of pain and suffering, any drugs administered for pain, and the 
decedent's physical

[[Page 78]]

condition in the interval between injury and death.
    (8) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the death or the 
amount of damages claimed.
    (b) Personal injury. In support of a claim for personal injury, 
including pain and suffering, the claimant may be required to submit the 
following evidence or information:
    (1) A written report by the attending physician or dentist setting 
forth the nature and extent of the injuries, nature and extent of 
treatment, any degree of temporary or permanent disability, the 
prognosis, period of hospitalization, and any diminished earning 
capacity.
    (2) In addition to the report required by paragraph (b)(1) of this 
section, the claimant may be required to submit to a physical or mental 
examination by a physician employed by the FAA or another Federal 
agency. A copy of the report of the examining physician is made 
available to the claimant upon the claimant's written request if the 
claimant has, upon request, furnished the report required by paragraph 
(b)(1), and has made or agrees to make available to the FAA any other 
physician's reports previously or thereafter made on the physical or 
mental condition which is the subject matter of the claim.
    (3) Itemized bills for medical, dental, and hospital expenses 
incurred or itemized receipts of payment for such expenses.
    (4) If the prognosis reveals the necessity for future treatment, a 
statement of expected expenses for such treatment.
    (5) If a claim is made for loss of time from employment, a written 
statement from the claimant's employer showing actual time lost from 
employment, whether the claimant is a full or part-time employee, and 
wages or salary actually lost.
    (6) If a claim is made for loss of income and the claimant is self-
employed, documentary evidence showing the amount of earnings actually 
lost.
    (7) Any other evidence or information which may have a bearing on 
the responsibility of the United States for the personal injury or the 
damages claimed.
    (c) Property damage. In support of a claim for injury to or loss of 
property, real or personal, the claimant may be required to submit the 
following evidence or information:
    (1) Proof of ownership of the property interest which is the subject 
of the claim.
    (2) A detailed statement of the amount claimed with respect to each 
item of property.
    (3) An itemized receipt of payment for necessary repairs or itemized 
written estimates of the cost of such repairs.
    (4) A statement listing date of purchase, purchase price, and 
salvage value, where repair is not economical.
    (5) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the injury to or loss 
of property or the damages claimed.



Sec. 15.9  Investigation and examination.

    The FAA may investigate a claim or conduct a physical examination of 
a claimant. The FAA may request any other Federal agency to investigate 
a claim or conduct a physical examination of a claimant and provide a 
report of the investigation or examination to the FAA.



 Subpart B--Indemnification Under Section 1118 of the Federal Aviation 
                               Act of 1958

    Source: Amdt. 15-2, 55 FR 18710, May 3, 1990, unless otherwise 
noted.



Sec. 15.101  Applicability.

    This subpart prescribes procedural requirements for the 
indemnification of a publisher of aeronautical charts or maps under 
section 1118 of the Federal Aviation Act of 1958, as amended, when the 
publisher incurs liability as a result of publishing--
    (a) A chart or map accurately depicting a defective or deficient 
flight procedure or airway that was promulgated by the FAA; or
    (b) Aeronautical data that--
    (1) Is visually displayed in the cockpit of an aircraft; and

[[Page 79]]

    (2) When visually displayed, accurately depicts a defective or 
deficient flight procedure or airway promulgated by the FAA.



Sec. 15.103  Exclusions.

    A publisher that requests indemnification under this part will not 
be indemnified if--
    (a) The complaint filed against the publisher, or demand for payment 
against the publisher, first occurred before December 19, 1985;
    (b) The publisher does not negotiate a good faith settlement;
    (c) The publisher does not conduct a good faith defense;
    (d) The defective or deficient flight procedure or airway--
    (1) Was not promulgated by the FAA;
    (2) Was not accurately depicted on the publisher's chart or map;
    (3) Was not accurately displayed on a visual display in the cockpit, 
or
    (4) Was obviously defective or deficient;
    (e) The publisher does not give notice as required by Sec. 15.107 of 
this part and that failure is prejudicial to the Government; or
    (f) The publisher does not appeal a lower court's decision pursuant 
to a request by the Administrator under Sec. 15.111(d)(2) of this part.



Sec. 15.105  Filing of requests for indemnification.

    A request for indemnification under this part--
    (a) May be filed by--
    (1) A publisher described in Sec. 15.101 of this part; or
    (2) The publisher's duly authorized agent or legal representative;
    (b) Shall be filed with the Chief Counsel, Federal Aviation 
Administration, 800 Independence Avenue SW., Washington, DC 20591; and
    (c) Shall state the basis for the publisher's assertion that 
indemnification under this part is required.



Sec. 15.107  Notification requirements.

    A request for indemnification will not be considered by the FAA 
unless the following conditions are met:
    (a) The publisher must notify the Chief Counsel of the FAA, within 
the time limits prescribed in paragraph (b) or (c) of this section, of 
the publisher's first receipt of a demand for payment, or service of a 
complaint in any proceeding, federal or state, in which it appears that 
indemnification under this part may be required.
    (b) For each complaint filed, or demand for payment made, on or 
after December 19, 1985, and before June 4, 1990, the notice required by 
paragraph (a) of this section must be received by the FAA on or before 
July 2, 1990.
    (c) For each complaint filed, or demand for payment made, on or 
after June 4, 1990, the notice required by paragraph (a) of this section 
must be received by the FAA within 60 days after the day the publisher 
first receives the demand for payment or service of the complaint.
    (d) Within 5 days after the day a judgment is rendered against the 
publisher in any proceeding, or within 30 days of the denial of an 
appeal, whichever is later, the publisher must notify the FAA Chief 
Counsel that--
    (1) There is an adverse judgment against the publisher; and
    (2) The publisher has a claim for indemnification against the FAA 
arising out of that judgment.



Sec. 15.109  Settlements.

    (a) A publisher may not settle a claim with another party, for which 
the publisher has sought, or intends to seek, indemnification under this 
part, unless--
    (1) The publisher submits a copy of the proposed settlement, and a 
statement justifying the settlement, to the Chief Counsel of the FAA; 
and
    (2) The Administrator and where necessary, the appropriate official 
of the Department of Justice, approves the proposed settlement.
    (3) The publisher submits a signed release that clearly releases the 
United States from any further liability to the publisher and the 
claimant.
    (b) If the Administrator does not approve the proposed settlement, 
the Administrator will--
    (1) So notify the publisher by registered mail within 60 days of 
receipt of the proposed settlement; and
    (2) Explain why the request for indemnification was not approved.

[[Page 80]]

    (c) If the Administrator approves the proposed settlement, the 
Administrator will so notify the publisher by registered mail within 60 
days after the FAA's receipt of the proposed settlement.
    (d) If the Administrator does not have sufficient information to 
approve or disapprove the proposed settlement, the Administrator will 
request, within 60 days after receipt of the proposed settlement, the 
additional information needed to make a determination.



Sec. 15.111  Conduct of litigation.

    (a) If a lawsuit is filed against the publisher and the publisher 
has sought, or intends to seek, indemnification under this part, the 
publisher shall--
    (1) Give notice as required by Sec. 15.107 of this part;
    (2) If requested by the United States--
    (i) Implead the United States as a third-party defendant in the 
action; and
    (ii) Arrange for the removal of the action to Federal Court;
    (3) Promptly provide any additional information requested by the 
United States; and
    (4) Cooperate with the United States in the defense of the lawsuit.
    (b) If the lawsuit filed against the publisher results in a proposed 
settlement, the publisher shall submit that proposed settlement to the 
FAA for approval in accordance with Sec. 15.109 of this part.
    (c) If the lawsuit filed against the publisher results in a judgment 
against the publisher and the publisher has sought, or intends to seek, 
indemnification under this part as a result of the adverse judgment, the 
publisher shall--
    (1) Give notice to the FAA as required by Sec. 15.107(d) of this 
part;
    (2) Submit a copy of the trial court's decision to the FAA Chief 
Counsel not more than 5 business days after the adverse judgment is 
rendered; and
    (3) If an appeal is taken from the adverse judgment, submit a copy 
of the appellate decision to the FAA Chief Counsel not more than 30 days 
after that decision is rendered.
    (d) Within 60 days after receipt of the trial court's decision, the 
Administrator by registered mail will--
    (1) Notify the publisher that indemnification is required under this 
part;
    (2) Request that the publisher appeal the trial court's adverse 
decision; or
    (3) Notify the publisher that it is not entitled to indemnification 
under this part and briefly state the basis for the denial.



Sec. 15.113  Indemnification agreements.

    (a) Upon a finding of the Administrator that indemnification is 
required under this part, and after obtaining the concurrence of the 
United States Department of Justice, the FAA will promptly enter into an 
indemnification agreement providing for the payment of the costs 
specified in paragraph (c) of this section.
    (b) The indemnification agreement will be signed by the Chief 
Counsel and the publisher.
    (c) The FAA will indemnify the publisher for--
    (1) Compensatory damages awarded by the court against the publisher;
    (2) Reasonable costs and fees, including reasonable attorney fees at 
a rate not to exceed that permitted under the Equal Access to Justice 
Act (5 U.S.C. 504), and any postjudgment interest, if the publisher 
conducts a good faith defense, or pursues a good faith appeal, at the 
request, or with the concurrence, of the FAA.
    (d) Except as otherwise provided in this section, the FAA will not 
indemnify the publisher for--
    (1) Punitive or exemplary damages;
    (2) Civil or criminal fines or any other litigation sanctions;
    (3) Postjudgment interest;
    (4) Costs;
    (5) Attorney fees; or
    (6) Other incidental expenses.
    (e) The indemnification agreement must provide that the Government 
will be subrogated to all claims or rights of the publisher, including 
third-party claims, cross-claims, and counterclaims.



Sec. 15.115  Payment.

    After execution of the indemnification agreement, the FAA will 
submit

[[Page 81]]

the agreement to the United States Department of Justice and request 
payment, in accordance with the agreement, from the Judgment Fund.



PART 16--RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS--Table of Contents




                      Subpart A--General Provisions

Sec.
16.1  Applicability and description of part.
16.3  Definitions.
16.5  Separation of functions.

Subpart B--General Rules Applicable to Complaints, Proceedings Initiated 
                         by the FAA, and Appeals

16.11  Expedition and other modification of process.
16.13  Filing of documents.
16.15  Service of documents on the parties and the agency.
16.17  Computation of time.
16.19  Motions.

            Subpart C--Special Rules Applicable to Complaints

16.21  Pre-complaint resolution.
16.23  Complaints, answers, replies, rebuttals, and other documents.
16.25  Dismissals.
16.27  Incomplete complaints.
16.29  Investigations.
16.31  Director's determinations after investigations.
16.33  Final decisions without hearing.

 Subpart D--Special Rules Applicable to Proceedings Initiated by the FAA

16.101  Basis for the initiation of agency action.
16.103  Notice of investigation.
16.105  Failure to resolve informally.

                Subpart E--Proposed Orders of Compliance

16.109  Orders terminating eligibility for grants, cease and desist 
          orders, and other compliance orders.

                           Subpart F--Hearings

16.201  Notice and order of hearing.
16.202  Powers of a hearing officer.
16.203  Appearances, parties, and rights of parties.
16.207  Intervention and other participation.
16.209  Extension of time.
16.211  Prehearing conference.
16.213  Discovery.
16.215  Depositions.
16.217  Witnesses.
16.219  Subpoenas.
16.221  Witness fees.
16.223  Evidence.
16.225  Public disclosure of evidence.
16.227  Standard of proof.
16.229  Burden of proof.
16.231  Offer of proof.
16.233  Record.
16.235  Argument before the hearing officer.
16.237  Waiver of procedures.

            Subpart G--Initial Decisions, Orders and Appeals

16.241  Initial decisions, orders, and appeals.
16.243  Consent orders.

                       Subpart H--Judicial Review

16.247  Judicial review of a final decision and order.

                   Subpart I--Ex Parte Communications

16.301  Definitions.
16.303  Prohibited ex parte communications.
16.305  Procedures for handling ex parte communications.
16.307  Requirement to show cause and imposition of sanction.

    Authority: 49 U.S.C. 106(g), 322, 1110, 1111, 1115, 1116, 1718 (a) 
and (b), 1719, 1723, 1726, 1727, 40103(e), 40113, 40116, 44502(b), 
46101, 46104, 46110, 47104, 47106(e), 47107, 47108, 47111(d), 47122, 
47123-47125, 47151-47153, 48103.

    Source: Docket No. 27783, 61 FR 54004, October 16, 1996, unless 
otherwise noted.



                      Subpart A--General Provisions



Sec. 16.1  Applicability and description of part.

    (a) General. The provisions of this part govern all proceedings 
involving Federally-assisted airports, except for disputes between U.S. 
and foreign air carriers and airport proprietors concerning the 
reasonableness of airport fees covered by 14 CFR part 302, whether the 
proceedings are instituted by order of the FAA or by filing with the FAA 
a complaint, under the following authorities:
    (1) 49 U.S.C. 40103(e), prohibiting the grant of exclusive rights 
for the use of any landing area or air navigation facility on which 
Federal funds have been expended (formerly section 308 of the Federal 
Aviation Act of 1958, as amended).

[[Page 82]]

    (2) Requirements of the Anti-Head Tax Act, 49 U.S.C. 40116.
    (3) The assurances contained in grant-in-aid agreements issued under 
the Federal Airport Act of 1946, 49 U.S.C. 1101 et seq (repealed 1970).
    (4) The assurances contained in grant-in-aid agreements issued under 
the Airport and Airway Development Act of 1970, as amended, 49 U.S.C. 
1701 et seq.
    (5) The assurances contained in grant-in-aid agreements issued under 
the Airport and Airway Improvement Act of 1982 (AAIA), as amended, 49 
U.S.C. 47101 et seq., specifically section 511(a), 49 U.S.C. 47107(a) 
and (b).
    (6) Section 505(d) of the Airport and Airway Improvement Act of 
1982, as amended, 49 U.S.C. 47113.
    (7) Obligations contained in property deeds for property transferred 
pursuant to section 16 of the Federal Airport Act (49 U.S.C. 1115), 
section 23 of the Airport and Airway Development Act (49 U.S.C. 1723), 
or section 516 of the Airport and Airway Improvement Act (49 U.S.C. 
47125).
    (8) Obligations contained in property deeds for property transferred 
under the Surplus Property Act (49 U.S.C. 47151-47153).
    (b) Other agencies. Where a grant assurance concerns a statute, 
executive order, regulation, or other authority that provides an 
administrative process for the investigation or adjudication of 
complaints by a Federal agency other than the FAA, persons shall use the 
administrative process established by those authorities. Where a grant 
assurance concerns a statute, executive order, regulation, or other 
authority that enables a Federal agency other than the FAA to 
investigate, adjudicate, and enforce compliance under those authorities 
on its own initiative, the FAA may defer to that Federal agency.
    (c) Other enforcement. If a complaint or action initiated by the FAA 
involves a violation of the 49 U.S.C. subtitle VII or FAA regulations, 
except as specified in paragraphs (a)(1) and (a)(2) of this section, the 
FAA may take investigative and enforcement action under 14 CFR part 13, 
``Investigative and Enforcement Procedures.''
    (d) Effective date. This part applies to a complaint filed with the 
FAA and to an investigation initiated by the FAA on or after December 
16, 1996.



Sec. 16.3  Definitions.

    Terms defined in the Acts are used as so defined. As used in this 
part:
    Act means a statute listed in Sec. 16.1 and any regulation, 
agreement, or document of conveyance issued or made under that statute.
    Agency attorney means the Deputy Chief Counsel; the Assistant Chief 
Counsel and attorneys in the Airports/Environmental Law Division of the 
Office of the Chief Counsel; the Assistant Chief Counsel and attorneys 
in an FAA region or center who represent the FAA during the 
investigation of a complaint or at a hearing on a complaint, and who 
prosecute on behalf of the FAA, as appropriate. An agency attorney shall 
not include the Chief Counsel; the Assistant Chief Counsel for 
Litigation, or any attorney on the staff of the Assistant Chief Counsel 
for Litigation, who advises the Associate Administrator regarding an 
initial decision of the hearing officer or any appeal to the Associate 
Administrator or who is supervised in that action by a person who 
provides such advice in an action covered by this part.
    Agency employee means any employee of the U.S. Department of 
Transportation.
    Associate Administrator means the Associate Administrator for 
Airports or a designee.
    Complainant means the person submitting a complaint.
    Complaint means a written document meeting the requirements of this 
part filed with the FAA by a person directly and substantially affected 
by anything allegedly done or omitted to be done by any person in 
contravention of any provision of any Act, as defined in this section, 
as to matters within the jurisdiction of the Administrator.
    Director means the Director of the Office of Airport Safety and 
Standards.
    Director's determination means the initial determination made by the 
Director following an investigation, which is a non-final agency 
decision.
    File means to submit written documents to the FAA for inclusion in 
the

[[Page 83]]

Part 16 Airport Proceedings Docket or to a hearing officer.
    Final decision and order means a final agency decision that disposes 
of a complaint or determines a respondent's compliance with any Act, as 
defined in this section, and directs appropriate action.
    Hearing officer means an attorney designated by the FAA in a hearing 
order to serve as a hearing officer in a hearing under this part. The 
following are not designated as hearing officers: the Chief Counsel and 
Deputy Chief Counsel; the Assistant Chief Counsel and attorneys in the 
FAA region or center in which the noncompliance has allegedly occurred 
or is occurring; the Assistant Chief Counsel and attorneys in the 
Airports and Environmental Law Division of the FAA Office of the Chief 
Counsel; and the Assistant Chief Counsel and attorneys in the Litigation 
Division of the FAA Office of Chief Counsel.
    Initial decision means a decision made by the hearing officer in a 
hearing under subpart F of this part.
    Mail means U.S. first class mail; U.S. certified mail; and U.S. 
express mail.
    Noncompliance means anything done or omitted to be done by any 
person in contravention of any provision of any Act, as defined in this 
section, as to matters within the jurisdiction of the Administrator.
    Party means the complainant(s) and the respondent(s) named in the 
complaint and, after an initial determination providing an opportunity 
for hearing is issued under Sec. 16.31 and subpart E of this part, the 
agency.
    Person in addition to its meaning under 49 U.S.C. 40102(a)(33), 
includes a public agency as defined in 49 U.S.C. 47102(a)(15).
    Personal delivery means hand delivery or overnight express delivery 
service.
    Respondent means any person named in a complaint as a person 
responsible for noncompliance.
    Sponsor means:
    (1) Any public agency which, either individually or jointly with one 
or more other public agencies, has received Federal financial assistance 
for airport development or planning under the Federal Airport Act, 
Airport and Airway Development Act or Airport and Airway Improvement 
Act;
    (2) Any private owner of a public-use airport that has received 
financial assistance from the FAA for such airport; and
    (3) Any person to whom the Federal Government has conveyed property 
for airport purposes under section 13(g) of the Surplus Property Act of 
1944, as amended.



Sec. 16.5  Separation of functions.

    (a) Proceedings under this part, including hearings under subpart F 
of this part, will be prosecuted by an agency attorney.
    (b) After issuance of an initial determination in which the FAA 
provides the opportunity for a hearing, an agency employee engaged in 
the performance of investigative or prosecutorial functions in a 
proceeding under this part will not, in that case or a factually related 
case, participate or give advice in an initial decision by the hearing 
officer, or a final decision by the Associate Administrator or designee 
on written appeal, and will not, except as counsel or as witness in the 
public proceedings, engage in any substantive communication regarding 
that case or a related case with the hearing officer, the Associate 
Administrator on written appeal, or agency employees advising those 
officials in that capacity.
    (c) The Chief Counsel, the Assistant Chief Counsel for Litigation, 
or an attorney on the staff of the Assistant Chief Counsel for 
Litigation advises the Associate Administrator regarding an initial 
decision, an appeal, or a final decision regarding any case brought 
under this part.



Subpart B--General Rules Applicable to Complaints, Proceedings Initiated 
                         by the FAA, and Appeals



Sec. 16.11  Expedition and other modification of process.

    (a) Under the authority of 49 U.S.C. 40113 and 47121, the Director 
may conduct investigations, issue orders, and take such other actions as 
are necessary to fulfill the purposes of this part, including the 
extension of any

[[Page 84]]

time period prescribed where necessary or appropriate for a fair and 
complete hearing of matters before the agency.
    (b) Notwithstanding any other provision of this part, upon finding 
that circumstances require expedited handling of a particular case or 
controversy, the Director may issue an order directing any of the 
following prior to the issuance of the Director's determination:
    (1) Shortening the time period for any action under this part 
consistent with due process;
    (2) If other adequate opportunity to respond to pleadings is 
available, eliminating the reply, rebuttal, or other actions prescribed 
by this part;
    (3) Designating alternative methods of service; or
    (4) Directing such other measures as may be required.



Sec. 16.13  Filing of documents.

    Except as otherwise provided in this part, documents shall be filed 
with the FAA during a proceeding under this part as follows:
    (a) Filing address. Documents to be filed with the FAA shall be 
filed with the Office of the Chief Counsel, Attention: FAA Part 16 
Airport Proceedings Docket, AGC-610, Federal Aviation Administration, 
800 Independence Ave., SW., Washington, DC, 20591. Documents to be filed 
with a hearing officer shall be filed at the address stated in the 
hearing order.
    (b) Date and method of filing. Filing of any document shall be by 
personal delivery or mail as defined in this part, or by facsimile (when 
confirmed by filing on the same date by one of the foregoing methods). 
Unless the date is shown to be inaccurate, documents to be filed with 
the FAA shall be deemed to be filed on the date of personal delivery, on 
the mailing date shown on the certificate of service, on the date shown 
on the postmark if there is no certificate of service, on the send date 
shown on the facsimile (provided filing has been confirmed through one 
of the foregoing methods), or on the mailing date shown by other 
evidence if there is no certificate of service and no postmark.
    (c) Number of copies. Unless otherwise specified, an executed 
original and three copies of each document shall be filed with the FAA 
Part 16 Airport Proceedings Docket. Copies need not be signed, but the 
name of the person signing the original shall be shown. If a hearing 
order has been issued in the case, one of the three copies shall be 
filed with the hearing officer. If filing by facsimile, the facsimile 
copy does not constitute one of the copies required under this section.
    (d) Form. Documents filed with the FAA shall be typewritten or 
legibly printed. In the case of docketed proceedings, the document shall 
include the docket number of the proceeding on the front page.
    (e) Signing of documents and other papers. The original of every 
document filed shall be signed by the person filing it or the person's 
duly authorized representative. The signature shall serve as a 
certification that the signer has read the document and, based on 
reasonable inquiry and to the best of the signer's knowledge, 
information, and belief, the document is--
    (1) Consistent with this part;
    (2) Warranted by existing law or that a good faith argument exists 
for extension, modification, or reversal of existing law; and
    (3) Not interposed for any improper purpose, such as to harass or to 
cause unnecessary delay or needless increase in the cost of the 
administrative process.
    (f) Designation of person to receive service. The initial document 
filed by any person shall state on the first page the name, post office 
address, telephone number, and facsimile number, if any, of the 
person(s) to be served with documents in the proceeding. If any of these 
items change during the proceeding, the person shall promptly file 
notice of the change with the FAA Part 16 Airport Proceedings Docket and 
the hearing officer and shall serve the notice on all parties.
    (g) Docket numbers. Each submission identified as a complaint under 
this part by the submitting person will be assigned a docket number.

[[Page 85]]



Sec. 16.15  Service of documents on the parties and the agency.

    Except as otherwise provided in this part, documents shall be served 
as follows:
    (a) Who must be served. Copies of all documents filed with the FAA 
Part 16 Airport Proceedings Docket shall be served by the persons filing 
them on all parties to the proceeding. A certificate of service shall 
accompany all documents when they are tendered for filing and shall 
certify concurrent service on the FAA and all parties. Certificates of 
service shall be in substantially the following form:

    I hereby certify that I have this day served the foregoing [name of 
document] on the following persons at the following addresses and 
facsimile numbers (if also served by facsimile) by [specify method of 
service]:

[list persons, addresses, facsimile numbers]

    Dated this ______ day of ______, 19____.
[signature], for [party]

    (b) Method of service. Except as otherwise agreed by the parties and 
the hearing officer, the method of service is the same as set forth in 
Sec. 16.13(b) for filing documents.
    (c) Where service shall be made. Service shall be made to the 
persons identified in accordance with Sec. 16.13(f). If no such person 
has been designated, service shall be made on the party.
    (d) Presumption of service. There shall be a presumption of lawful 
service--
    (1) When acknowledgment of receipt is by a person who customarily or 
in the ordinary course of business receives mail at the address of the 
party or of the person designated under Sec. 16.13(f); or
    (2) When a properly addressed envelope, sent to the most current 
address submitted under Sec. 16.13(f), has been returned as 
undeliverable, unclaimed, or refused.
    (e) Date of service. The date of service shall be determined in the 
same manner as the filing date under Sec. 16.13(b).



Sec. 16.17  Computation of time.

    This section applies to any period of time prescribed or allowed by 
this part, by notice or order of the hearing officer, or by an 
applicable statute.
    (a) The date of an act, event, or default, after which a designated 
time period begins to run, is not included in a computation of time 
under this part.
    (b) The last day of a time period is included in a computation of 
time unless it is a Saturday, Sunday, or legal holiday for the FAA, in 
which case, the time period runs until the end of the next day that is 
not a Saturday, Sunday, or legal holiday.
    (c) Whenever a party has the right or is required to do some act 
within a prescribed period after service of a document upon the party, 
and the document is served on the party by mail, 3 days shall be added 
to the prescribed period.



Sec. 16.19  Motions.

    (a) General. An application for an order or ruling not otherwise 
specifically provided for in this part shall be by motion. Unless 
otherwise ordered by the agency, the filing of a motion will not stay 
the date that any action is permitted or required by this part.
    (b) Form and contents. Unless made during a hearing, motions shall 
be made in writing, shall state with particularity the relief sought and 
the grounds for the relief sought, and shall be accompanied by 
affidavits or other evidence relied upon. Motions introduced during 
hearings may be made orally on the record, unless the hearing officer 
directs otherwise.
    (c) Answers to motions. Except as otherwise provided in this part, 
or except when a motion is made during a hearing, any party may file an 
answer in support of or in opposition to a motion, accompanied by 
affidavits or other evidence relied upon, provided that the answer to 
the motion is filed within 10 days after the motion has been served upon 
the person answering, or any other period set by the hearing officer. 
Where a motion is made during a hearing, the answer and the ruling 
thereon may be made at the hearing, or orally or in writing within the 
time set by the hearing officer.

[[Page 86]]



            Subpart C--Special Rules Applicable to Complaints



Sec. 16.21  Pre-complaint resolution.

    (a) Prior to filing a complaint under this part, a person directly 
and substantially affected by the alleged noncompliance shall initiate 
and engage in good faith efforts to resolve the disputed matter 
informally with those individuals or entities believed responsible for 
the noncompliance. These efforts at informal resolution may include, 
without limitation, at the parties' expense, mediation, arbitration, or 
the use of a dispute resolution board, or other form of third party 
assistance. The FAA Airports District Office, FAA Airports Field Office, 
or FAA Regional Airports Division responsible for administrating 
financial assistance to the respondent airport proprietor, will be 
available upon request to assist the parties with informal resolution.
    (b) A complaint under this part will not be considered unless the 
person or authorized representative filing the complaint certifies that 
substantial and reasonable good faith efforts to resolve the disputed 
matter informally prior to filing the complaint have been made and that 
there appears no reasonable prospect for timely resolution of the 
dispute. This certification shall include a brief description of the 
party's efforts to obtain informal resolution but shall not include 
information on monetary or other settlement offers made but not agreed 
upon in writing by all parties.



Sec. 16.23  Complaints, answers, replies, rebuttals, and other documents.

    (a) A person directly and substantially affected by any alleged 
noncompliance may file a complaint with the Administrator. A person 
doing business with an airport and paying fees or rentals to the airport 
shall be considered directly and substantially affected by alleged 
revenue diversion as defined in 49 U.S.C. 47107(b).
    (b) Complaints filed under this part shall--
    (1) State the name and address of each person who is the subject of 
the complaint and, with respect to each person, the specific provisions 
of each Act that the complainant believes were violated;
    (2) Be served, in accordance with Sec. 16.15, along with all 
documents then available in the exercise of reasonable diligence, 
offered in support of the complaint, upon all persons named in the 
complaint as persons responsible for the alleged action(s) or 
omission(s) upon which the complaint is based;
    (3) Provide a concise but complete statement of the facts relied 
upon to substantiate each allegation; and
    (4) Describe how the complainant was directly and substantially 
affected by the things done or omitted to be done by the respondents.
    (c) Unless the complaint is dismissed pursuant to Sec. 16.25 or 
Sec. 16.27, the FAA notifies the complainant and respondents in writing 
within 20 days after the date the FAA receives the complaint that the 
complaint has been docketed and that respondents are required to file an 
answer within 20 days of the date of service of the notification.
    (d) The respondent shall file an answer within 20 days of the date 
of service of the FAA notification.
    (e) The complainant may file a reply within 10 days of the date of 
service of the answer.
    (f) The respondent may file a rebuttal within 10 days of the date of 
service of the complainant's reply.
    (g) The answer, reply, and rebuttal shall, like the complaint, be 
accompanied by supporting documentation upon which the parties rely.
    (h) The answer shall deny or admit the allegations made in the 
complaint or state that the person filing the document is without 
sufficient knowledge or information to admit or deny an allegation, and 
shall assert any affirmative defense.
    (i) The answer, reply, and rebuttal shall each contain a concise but 
complete statement of the facts relied upon to substantiate the answers, 
admissions, denials, or averments made.
    (j) The respondent's answer may include a motion to dismiss the 
complaint, or any portion thereof, with a supporting memorandum of 
points and authorities. If a motion to dismiss is filed, the complainant 
may respond as part of its reply notwithstanding the

[[Page 87]]

10-day time limit for answers to motions in Sec. 16.19(c).



Sec. 16.25  Dismissals.

    Within 20 days after the receipt of the complaint, the Director will 
dismiss a complaint, or any claim made in a complaint, with prejudice 
if:
    (a) It appears on its face to be outside the jurisdiction of the 
Administrator under the Acts listed in Sec. 16.1;
    (b) On its face it does not state a claim that warrants an 
investigation or further action by the FAA; or
    (c) The complainant lacks standing to file a complaint under 
Secs. 16.3 and 16.23. The Director's dismissal will include the reasons 
for the dismissal.



Sec. 16.27  Incomplete complaints.

    If a complaint is not dismissed pursuant to Sec. 16.25 of this part, 
but is deficient as to one or more of the requirements set forth in 
Sec. 16.21 or Sec. 16.23(b), the Director will dismiss the complaint 
within 20 days after receiving it. Dismissal will be without prejudice 
to the refiling of the complaint after amendment to correct the 
deficiency. The Director's dismissal will include the reasons for the 
dismissal.



Sec. 16.29  Investigations.

    (a) If, based on the pleadings, there appears to be a reasonable 
basis for further investigation, the FAA investigates the subject matter 
of the complaint.
    (b) The investigation may include one or more of the following, at 
the sole discretion of the FAA:
    (1) A review of the written submissions or pleadings of the parties, 
as supplemented by any informal investigation the FAA considers 
necessary and by additional information furnished by the parties at FAA 
request. In rendering its initial determination, the FAA may rely 
entirely on the complaint and the responsive pleadings provided under 
this subpart. Each party shall file documents that it considers 
sufficient to present all relevant facts and argument necessary for the 
FAA to determine whether the sponsor is in compliance.
    (2) Obtaining additional oral and documentary evidence by use of the 
agency's authority to compel production of such evidence under section 
313 Aviation Act, 49 U.S.C. 40113 and 46104, and section 519 of the 
Airport and Airway Improvement Act, 49 U.S.C. 47122. The Administrator's 
statutory authority to issue compulsory process has been delegated to 
the Chief Counsel, the Deputy Chief Counsel, the Assistant Chief Counsel 
for Airports and Environmental Law, and each Assistant Chief Counsel for 
a region or center.
    (3) Conducting or requiring that a sponsor conduct an audit of 
airport financial records and transactions as provided in 49 U.S.C. 
47107 and 47121.



Sec. 16.31  Director's determinations after investigations.

    (a) After consideration of the pleadings and other information 
obtained by the FAA after investigation, the Director will render an 
initial determination and provide it to each party by certified mail 
within 120 days of the date the last pleading specified in Sec. 16.23 
was due.
    (b) The Director's determination will set forth a concise 
explanation of the factual and legal basis for the Director's 
determination on each claim made by the complainant.
    (c) A party adversely affected by the Director's determination may 
appeal the initial determination to the Associate Administrator as 
provided in Sec. 16.33.
    (d) If the Director's determination finds the respondent in 
noncompliance and proposes the issuance of a compliance order, the 
initial determination will include notice of opportunity for a hearing 
under subpart F of this part, if such an opportunity is provided by the 
FAA. The respondent may elect or waive a hearing as provided in subpart 
E of this part.



Sec. 16.33  Final decisions without hearing.

    (a) The Associate Administrator will issue a final decision on 
appeal from the Director's determination, without a hearing, where--
    (1) The complaint is dismissed after investigation;
    (2) A hearing is not required by statute and is not otherwise made 
available by the FAA; or

[[Page 88]]

    (3) The FAA provides opportunity for a hearing to the respondent and 
the respondent waives the opportunity for a hearing as provided in 
subpart E of this part.
    (b) In the cases described in paragraph (a) of this section, a party 
adversely affected by the Director's determination may file an appeal 
with the Associate Administrator within 30 days after the date of 
service of the initial determination.
    (c) A reply to an appeal may be filed with the Associate 
Administrator within 20 days after the date of service of the appeal.
    (d) The Associate Administrator will issue a final decision and 
order within 60 days after the due date of the reply.
    (e) If no appeal is filed within the time period specified in 
paragraph (b) of this section, the Director's determination becomes the 
final decision and order of the FAA without further action. A Director's 
determination that becomes final because there is no administrative 
appeal is not judicially reviewable.



 Subpart D--Special Rules Applicable to Proceedings Initiated by the FAA



Sec. 16.101  Basis for the initiation of agency action.

    The FAA may initiate its own investigation of any matter within the 
applicability of this part without having received a complaint. The 
investigation may include, without limitation, any of the actions 
described in Sec. 16.29(b).



Sec. 16.103  Notice of investigation.

    Following the initiation of an investigation under Sec. 16.101, the 
FAA sends a notice to the person(s) subject to investigation. The notice 
will set forth the areas of the agency's concern and the reasons 
therefor; request a response to the notice within 30 days of the date of 
service; and inform the respondent that the FAA will, in its discretion, 
invite good faith efforts to resolve the matter.



Sec. 16.105  Failure to resolve informally.

    If the matters addressed in the FAA notices are not resolved 
informally, the FAA may issue a Director's determination under 
Sec. 16.31.



                Subpart E--Proposed Orders of Compliance



Sec. 16.109  Orders terminating eligibility for grants, cease and desist orders, and other compliance orders.

    This section applies to initial determinations issued under 
Sec. 16.31 that provide the opportunity for a hearing.
    (a) The agency will provide the opportunity for a hearing if, in the 
Director's determination, the agency proposes to issue an order 
terminating eligibility for grants pursuant to 49 U.S.C. 47106(e) and 
47111(d), an order suspending the payment of grant funds, an order 
withholding approval of any new application to impose a passenger 
facility charge pursuant to section 112 of the Federal Aviation 
Administration Act of 1994, 49 U.S.C. 47111(e), a cease and desist 
order, an order directing the refund of fees unlawfully collected, or 
any other compliance order issued by the Administrator to carry out the 
provisions of the Acts, and required to be issued after notice and 
opportunity for a hearing. In cases in which a hearing is not required 
by statute, the FAA may provide opportunity for a hearing at its 
discretion.
    (b) In a case in which the agency provides the opportunity for a 
hearing, the Director's determination issued under Sec. 16.31 will 
include a statement of the availability of a hearing under subpart F of 
this part.
    (c) Within 20 days after service of a Director's determination under 
Sec. 16.31 and paragraph (b) of this section, a person subject to the 
proposed compliance order may--
    (1) Request a hearing under subpart F of this part;
    (2) Waive hearing and appeal the Director's determination in writing 
to the Associate Administrator, as provided in Sec. 16.33;
    (3) File, jointly with a complainant, a motion to withdraw the 
complaint and to dismiss the proposed compliance action; or
    (4) Submit, jointly with the agency attorney, a proposed consent 
order under Sec. 16.243(e).

[[Page 89]]

    (d) If the respondent fails to request a hearing or to file an 
appeal in writing within the time periods provided in paragraph (c) of 
this section, the Director's determination becomes final.



                           Subpart F--Hearings



Sec. 16.201  Notice and order of hearing.

    (a) If a respondent is provided the opportunity for hearing in an 
initial determination and does not waive hearing, the Deputy Chief 
Counsel within 10 days after the respondent elects a hearing will issue 
and serve on the respondent and complainant a hearing order. The hearing 
order will set forth:
    (1) The allegations in the complaint, or notice of investigation, 
and the chronology and results of the investigation preliminary to the 
hearing;
    (2) The relevant statutory, judicial, regulatory, and other 
authorities;
    (3) The issues to be decided;
    (4) Such rules of procedure as may be necessary to supplement the 
provisions of this part;
    (5) The name and address of the person designated as hearing 
officer, and the assignment of authority to the hearing officer to 
conduct the hearing in accordance with the procedures set forth in this 
part; and
    (6) The date by which the hearing officer is directed to issue an 
initial decision.
    (b) Where there are no genuine issues of material fact requiring 
oral examination of witnesses, the hearing order may contain a direction 
to the hearing officer to conduct a hearing by submission of briefs and 
oral argument without the presentation of testimony or other evidence.



Sec. 16.202  Powers of a hearing officer.

    In accordance with the rules of this subpart, a hearing officer may:
    (a) Give notice of, and hold, prehearing conferences and hearings;
    (b) Administer oaths and affirmations;
    (c) Issue subpoenas authorized by law and issue notices of 
deposition requested by the parties;
    (d) Limit the frequency and extent of discovery;
    (e) Rule on offers of proof;
    (f) Receive relevant and material evidence;
    (g) Regulate the course of the hearing in accordance with the rules 
of this part to avoid unnecessary and duplicative proceedings in the 
interest of prompt and fair resolution of the matters at issue;
    (h) Hold conferences to settle or to simplify the issues by consent 
of the parties;
    (i) Dispose of procedural motions and requests;
    (j) Examine witnesses; and
    (k) Make findings of fact and conclusions of law, and issue an 
initial decision.



Sec. 16.203  Appearances, parties, and rights of parties.

    (a) Appearances. Any party may appear and be heard in person.
    (1) Any party may be accompanied, represented, or advised by an 
attorney licensed by a State, the District of Columbia, or a territory 
of the United States to practice law or appear before the courts of that 
State or territory, or by another duly authorized representative.
    (2) An attorney, or other duly authorized representative, who 
represents a party shall file a notice of appearance in accordance with 
Sec. 16.13.
    (b) Parties and agency participation.
    (1) The parties to the hearing are the respondent (s) named in the 
hearing order, the complainant(s), and the agency.
    (2) Unless otherwise specified in the hearing order, the agency 
attorney will serve as prosecutor for the agency from the date of 
issuance of the Director's determination providing an opportunity for 
hearing.



Sec. 16.207  Intervention and other participation.

    (a) A person may submit a motion for leave to intervene as a party. 
Except for good cause shown, a motion for leave to intervene shall be 
submitted not later than 10 days after the notice of hearing and hearing 
order.
    (b) If the hearing officer finds that intervention will not unduly 
broaden the issues or delay the proceedings and, if the person has a 
property or financial interest that may not be addressed

[[Page 90]]

adequately by the parties, the hearing officer may grant a motion for 
leave to intervene. The hearing officer may determine the extent to 
which an intervenor may participate in the proceedings.
    (c) Other persons may petition the hearing officer for leave to 
participate in the hearing. Participation is limited to the filing of 
post-hearing briefs and reply to the hearing officer and the Associate 
Administrator. Such briefs shall be filed and served on all parties in 
the same manner as the parties' post hearing briefs are filed.
    (d) Participation under this section is at the discretion of the 
FAA, and no decision permitting participation shall be deemed to 
constitute an expression by the FAA that the participant has such a 
substantial interest in the proceeding as would entitle it to judicial 
review of such decision.



Sec. 16.209  Extension of time.

    (a) Extension by oral agreement. The parties may agree to extend for 
a reasonable period of time for filing a document under this part. If 
the parties agree, the hearing officer shall grant one extension of time 
to each party. The party seeking the extension of time shall submit a 
draft order to the hearing officer to be signed by the hearing officer 
and filed with the hearing docket. The hearing officer may grant 
additional oral requests for an extension of time where the parties 
agree to the extension.
    (b) Extension by motion. A party shall file a written motion for an 
extension of time with the hearing officer not later than 7 days before 
the document is due unless good cause for the late filing is shown. A 
party filing a written motion for an extension of time shall serve a 
copy of the motion on each party.
    (c) Failure to rule. If the hearing officer fails to rule on a 
written motion for an extension of time by the date the document was 
due, the motion for an extension of time is deemed denied.
    (d) Effect on time limits. In a hearing required by section 519(b) 
of the Airport and Airways Improvement Act, as amended in 1987, 49 
U.S.C. 47106(e) and 47111(d), the due date for the hearing officer's 
initial decision and for the final agency decision are extended by the 
length of the extension granted by the hearing officer only if the 
hearing officer grants an extension of time as a result of an agreement 
by the parties as specified in paragraph (a) of this section or, if the 
hearing officer grants an extension of time as a result of the sponsor's 
failure to adhere to the hearing schedule. In any other hearing, an 
extension of time granted by the hearing officer for any reason extends 
the due date for the hearing officer's initial decision and for the 
final agency decision by the length of time of the hearing officer's 
decision.



Sec. 16.211  Prehearing conference.

    (a) Prehearing conference notice. The hearing officer schedules a 
prehearing conference and serves a prehearing conference notice on the 
parties promptly after being designated as a hearing officer.
    (1) The prehearing conference notice specifies the date, time, 
place, and manner (in person or by telephone) of the prehearing 
conference.
    (2) The prehearing conference notice may direct the parties to 
exchange proposed witness lists, requests for evidence and the 
production of documents in the possession of another party, responses to 
interrogatories, admissions, proposed procedural schedules, and proposed 
stipulations before the date of the prehearing conference.
    (b) The prehearing conference. The prehearing conference is 
conducted by telephone or in person, at the hearing officer's 
discretion. The prehearing conference addresses matters raised in the 
prehearing conference notice and such other matters as the hearing 
officer determines will assist in a prompt, full and fair hearing of the 
issues.
    (c) Prehearing conference report. At the close of the prehearing 
conference, the hearing officer rules on any requests for evidence and 
the production of documents in the possession of other parties, 
responses to interrogatories, and admissions; on any requests for 
depositions; on any proposed stipulations; and on any pending 
applications for subpoenas as permitted by Sec. 16.219. In addition, the 
hearing officer establishes the schedule, which shall provide for the 
issuance of an initial decision

[[Page 91]]

not later than 110 days after issuance of the Director's determination 
order unless otherwise provided in the hearing order.



Sec. 16.213  Discovery.

    (a) Discovery is limited to requests for admissions, requests for 
production of documents, interrogatories, and depositions as authorized 
by Sec. 16.215.
    (b) The hearing officer shall limit the frequency and extent of 
discovery permitted by this section if a party shows that--
    (1) The information requested is cumulative or repetitious;
    (2) The information requested may be obtained from another less 
burdensome and more convenient source;
    (3) The party requesting the information has had ample opportunity 
to obtain the information through other discovery methods permitted 
under this section; or
    (4) The method or scope of discovery requested by the party is 
unduly burdensome or expensive.



Sec. 16.215  Depositions.

    (a) General. For good cause shown, the hearing officer may order 
that the testimony of a witness may be taken by deposition and that the 
witness produce documentary evidence in connection with such testimony. 
Generally, an order to take the deposition of a witness is entered only 
if:
    (1) The person whose deposition is to be taken would be unavailable 
at the hearing;
    (2) The deposition is deemed necessary to perpetuate the testimony 
of the witness; or
    (3) The taking of the deposition is necessary to prevent undue and 
excessive expense to a party and will not result in undue burden to 
other parties or in undue delay.
    (b) Application for deposition. Any party desiring to take the 
deposition of a witness shall make application therefor to the hearing 
officer in writing, with a copy of the application served on each party. 
The application shall include:
    (1) The name and residence of the witness;
    (2) The time and place for the taking of the proposed deposition;
    (3) The reasons why such deposition should be taken; and
    (4) A general description of the matters concerning which the 
witness will be asked to testify.
    (c) Order authorizing deposition. If good cause is shown, the 
hearing officer, in his or her discretion, issues an order authorizing 
the deposition and specifying the name of the witness to be deposed, the 
location and time of the deposition and the general scope and subject 
matter of the testimony to be taken.
    (d) Procedures for deposition.
    (1) Witnesses whose testimony is taken by deposition shall be sworn 
or shall affirm before any questions are put to them. Each question 
propounded shall be recorded and the answers of the witness transcribed 
verbatim.
    (2) Objections to questions or evidence shall be recorded in the 
transcript of the deposition. The interposing of an objection shall not 
relieve the witness of the obligation to answer questions, except where 
the answer would violate a privilege.
    (3) The written transcript shall be subscribed by the witness, 
unless the parties by stipulation waive the signing, or the witness is 
ill, cannot be found, or refuses to sign. The reporter shall note the 
reason for failure to sign.



Sec. 16.217  Witnesses.

    (a) Each party may designate as a witness any person who is able and 
willing to give testimony that is relevant and material to the issues in 
the hearing case, subject to the limitation set forth in paragraph (b) 
of this section.
    (b) The hearing officer may exclude testimony of witnesses that 
would be irrelevant, immaterial, or unduly repetitious.
    (c) Any witness may be accompanied by counsel. Counsel representing 
a nonparty witness has no right to examine the witness or otherwise 
participate in the development of testimony.



Sec. 16.219  Subpoenas.

    (a) Request for subpoena. A party may apply to the hearing officer, 
within the time specified for such applications in the prehearing 
conference report, for a

[[Page 92]]

subpoena to compel testimony at a hearing or to require the production 
of documents only from the following persons:
    (1) Another party;
    (2) An officer, employee, or agent of another party;
    (3) Any other person named in the complaint as participating in or 
benefiting from the actions of the respondent alleged to have violated 
any Act;
    (4) An officer, employee, or agent of any other person named in the 
complaint as participating in or benefiting from the actions of the 
respondent alleged to have violated any Act.
    (b) Issuance and service of subpoena.
    (1) The hearing officer issues the subpoena if the hearing officer 
determines that the evidence to be obtained by the subpoena is relevant 
and material to the resolution of the issues in the case.
    (2) Subpoenas shall be served by personal service, or upon an agent 
designated in writing for the purpose, or by certified mail, return 
receipt addressed to such person or agent. Whenever service is made by 
registered or certified mail, the date of mailing shall be considered as 
the time when service is made.
    (3) A subpoena issued under this part is effective throughout the 
United States or any territory or possession thereof.
    (c) Motions to quash or modify subpoena.
    (1) A party or any person upon whom a subpoena has been served may 
file a motion to quash or modify the subpoena with the hearing officer 
at or before the time specified in the subpoena for the filing of such 
motions. The applicant shall describe in detail the basis for the 
application to quash or modify the subpoena including, but not limited 
to, a statement that the testimony, document, or tangible evidence is 
not relevant to the proceeding, that the subpoena is not reasonably 
tailored to the scope of the proceeding, or that the subpoena is 
unreasonable and oppressive.
    (2) A motion to quash or modify the subpoena stays the effect of the 
subpoena pending a decision by the hearing officer on the motion.



Sec. 16.221  Witness fees.

    (a) The party on whose behalf a witness appears is responsible for 
paying any witness fees and mileage expenses.
    (b) Except for employees of the United States summoned to testify as 
to matters related to their public employment, witnesses summoned by 
subpoena shall be paid the same fees and mileage expenses as are paid to 
a witness in a court of the United States in comparable circumstances.



Sec. 16.223  Evidence.

    (a) General. A party may submit direct and rebuttal evidence in 
accordance with this section.
    (b) Requirement for written testimony and evidence. Except in the 
case of evidence obtained by subpoena, or in the case of a special 
ruling by the hearing officer to admit oral testimony, a party's direct 
and rebuttal evidence shall be submitted in written form in advance of 
the oral hearing pursuant to the schedule established in the hearing 
officer's prehearing conference report. Written direct and rebuttal fact 
testimony shall be certified by the witness as true and correct. Subject 
to the same exception (for evidence obtained by subpoena or subject to a 
special ruling by the hearing officer), oral examination of a party's 
own witness is limited to certification of the accuracy of written 
evidence, including correction and updating, if necessary, and 
reexamination following cross-examination by other parties.
    (c) Subpoenaed testimony. Testimony of witnesses appearing under 
subpoena may be obtained orally.
    (d) Cross-examination. A party may conduct cross-examination that 
may be required for disclosure of the facts, subject to control by the 
hearing officer for fairness, expedition and exclusion of extraneous 
matters.
    (e) Hearsay evidence. Hearsay evidence is admissible in proceedings 
governed by this part. The fact that evidence is hearsay goes to the 
weight of evidence and does not affect its admissibility.
    (f) Admission of evidence. The hearing officer admits evidence 
introduced by a

[[Page 93]]

party in support of its case in accordance with this section, but may 
exclude irrelevant, immaterial, or unduly repetitious evidence.
    (g) Expert or opinion witnesses. An employee of the FAA or DOT may 
not be called as an expert or opinion witness for any party other than 
the agency except as provided in Department of Transportation 
regulations at 49 CFR part 9.



Sec. 16.225  Public disclosure of evidence.

    (a) Except as provided in this section, the hearing shall be open to 
the public.
    (b) The hearing officer may order that any information contained in 
the record be withheld from public disclosure. Any person may object to 
disclosure of information in the record by filing a written motion to 
withhold specific information with the hearing officer. The person shall 
state specific grounds for nondisclosure in the motion.
    (c) The hearing officer shall grant the motion to withhold 
information from public disclosure if the hearing officer determines 
that disclosure would be in violation of the Privacy Act, would reveal 
trade secrets or privileged or confidential commercial or financial 
information, or is otherwise prohibited by law.



Sec. 16.227  Standard of proof.

    The hearing officer shall issue an initial decision or shall rule in 
a party's favor only if the decision or ruling is supported by, and in 
accordance with, reliable, probative, and substantial evidence contained 
in the record and is in accordance with law.



Sec. 16.229  Burden of proof.

    (a) The burden of proof of noncompliance with an Act or any 
regulation, order, agreement or document of conveyance issued under the 
authority of an Act is on the agency.
    (b) Except as otherwise provided by statute or rule, the proponent 
of a motion, request, or order has the burden of proof.
    (c) A party who has asserted an affirmative defense has the burden 
of proving the affirmative defense.



Sec. 16.231  Offer of proof.

    A party whose evidence has been excluded by a ruling of the hearing 
officer may offer the evidence on the record when filing an appeal.



Sec. 16.233  Record.

    (a) Exclusive record. The transcript of all testimony in the 
hearing, all exhibits received into evidence, all motions, applications 
requests and rulings, and all documents included in the hearing record 
shall constitute the exclusive record for decision in the proceedings 
and the basis for the issuance of any orders.
    (b) Examination and copy of record. Any interested person may 
examine the record at the Part 16 Airport Proceedings Docket, AGC-600, 
Federal Aviation Administration, 800 Independence Avenue, SW., 
Washington, DC 20591. Any person may have a copy of the record after 
payment of reasonable costs for search and reproduction of the record.



Sec. 16.235  Argument before the hearing officer.

    (a) Argument during the hearing. During the hearing, the hearing 
officer shall give the parties reasonable opportunity to present oral 
argument on the record supporting or opposing motions, objections, and 
rulings if the parties request an opportunity for argument. The hearing 
officer may direct written argument during the hearing if the hearing 
officer finds that submission of written arguments would not delay the 
hearing.
    (b) Posthearing briefs. The hearing officer may request or permit 
the parties to submit posthearing briefs. The hearing officer may 
provide for the filing of simultaneous reply briefs as well, if such 
filing will not unduly delay the issuance of the hearing officer's 
initial decision. Posthearing briefs shall include proposed findings of 
fact and conclusions of law; exceptions to rulings of the hearing 
officer; references to the record in support of the findings of fact; 
and supporting arguments for the proposed findings, proposed 
conclusions, and exceptions.

[[Page 94]]



Sec. 16.237  Waiver of procedures.

    (a) The hearing officer shall waive such procedural steps as all 
parties to the hearing agree to waive before issuance of an initial 
decision.
    (b) Consent to a waiver of any procedural step bars the raising of 
this issue on appeal.
    (c) The parties may not by consent waive the obligation of the 
hearing officer to enter an initial decision on the record.



            Subpart G--Initial Decisions, Orders and Appeals



Sec. 16.241  Initial decisions, order, and appeals.

    (a) The hearing officer shall issue an initial decision based on the 
record developed during the proceeding and shall send the initial 
decision to the parties not later than 110 days after the Director's 
determination unless otherwise provided in the hearing order.
    (b) Each party adversely affected by the hearing officer's initial 
decision may file an appeal with the Associate Administrator within 15 
days of the date the initial decision is issued. Each party may file a 
reply to an appeal within 10 days after it is served on the party. 
Filing and service of appeals and replies shall be by personal delivery.
    (c) If an appeal is filed, the Associate Administrator reviews the 
entire record and issues a final agency decision and order within 30 
days of the due date of the reply. If no appeal is filed, the Associate 
Administrator may take review of the case on his or her own motion. If 
the Associate Administrator finds that the respondent is not in 
compliance with any Act or any regulation, agreement, or document of 
conveyance issued or made under such Act, the final agency order 
includes a statement of corrective action, if appropriate, and 
identifies sanctions for continued noncompliance.
    (d) If no appeal is filed, and the Associate Administrator does not 
take review of the initial decision on the Associate Administrator's own 
motion, the initial decision shall take effect as the final agency 
decision and order on the sixteenth day after the actual date the 
initial decision is issued.
    (e) The failure to file an appeal is deemed a waiver of any rights 
to seek judicial review of an initial decision that becomes a final 
agency decision by operation of paragraph (d) of this section.
    (f) If the Associate Administrator takes review on the Associate 
Administrator's own motion, the Associate Administrator issues a notice 
of review by the sixteenth day after the actual date the initial 
decision is issued.
    (1) The notice sets forth the specific findings of fact and 
conclusions of law in the initial decision that are subject to review by 
the Associate Administrator.
    (2) Parties may file one brief on review to the Associate 
Administrator or rely on their posthearing briefs to the hearing 
officer. Briefs on review shall be filed not later than 10 days after 
service of the notice of review. Filing and service of briefs on review 
shall be by personal delivery.
    (3) The Associate Administrator issues a final agency decision and 
order within 30 days of the due date of the briefs on review. If the 
Associate Administrator finds that the respondent is not in compliance 
with any Act or any regulation, agreement or document of conveyance 
issued under such Act, the final agency order includes a statement of 
corrective action, if appropriate, and identifies sanctions for 
continued noncompliance.



Sec. 16.243  Consent orders.

    (a) The agency attorney and the respondents may agree at any time 
before the issuance of a final decision and order to dispose of the case 
by issuance of a consent order. Good faith efforts to resolve a 
complaint through issuance of a consent order may continue throughout 
the administrative process. Except as provided in Sec. 16.209, such 
efforts may not serve as the basis for extensions of the times set forth 
in this part.
    (b) A proposal for a consent order, specified in paragraph (a) of 
this section, shall include:
    (1) A proposed consent order;
    (2) An admission of all jurisdictional facts;

[[Page 95]]

    (3) An express waiver of the right to further procedural steps and 
of all rights of judicial review; and
    (4) The hearing order, if issued, and an acknowledgment that the 
hearing order may be used to construe the terms of the consent order.
    (c) If the issuance of a consent order has been agreed upon by all 
parties to the hearing, the proposed consent order shall be filed with 
the hearing officer, along with a draft order adopting the consent 
decree and dismissing the case, for the hearing officer's adoption.
    (d) The deadline for the hearing officer's initial decision and the 
final agency decision is extended by the amount of days elapsed between 
the filing of the proposed consent order with the hearing officer and 
the issuance of the hearing officer's order continuing the hearing.
    (e) If the agency attorney and sponsor agree to dispose of a case by 
issuance of a consent order before the FAA issues a hearing order, the 
proposal for a consent order is submitted jointly to the official 
authorized to issue a hearing order, together with a request to adopt 
the consent order and dismiss the case. The official authorized to issue 
the hearing order issues the consent order as an order of the FAA and 
terminates the proceeding.



                       Subpart H--Judicial Review



Sec. 16.247  Judicial review of a final decision and order.

    (a) A person may seek judicial review, in a United States Court of 
Appeals, of a final decision and order of the Associate Administrator as 
provided in 49 U.S.C. 46110 or section 519(b)(4) of the Airport and 
Airway Improvement Act of 1982, as amended, (AAIA), 49 U.S.C. 47106(d) 
and 47111(d). A party seeking judicial review of a final decision and 
order shall file a petition for review with the Court not later than 60 
days after a final decision and order under the AAIA has been served on 
the party or within 60 days after the entry of an order under 49 U.S.C. 
40101 et seq.
    (b) The following do not constitute final decisions and orders 
subject to judicial review:
    (1) An FAA decision to dismiss a complaint without prejudice, as set 
forth in Sec. 16.27;
    (2) A Director's determination;
    (3) An initial decision issued by a hearing officer at the 
conclusion of a hearing;
    (4) A Director's determination or an initial decision of a hearing 
officer that becomes the final decision of the Associate Administrator 
because it was not appealed within the applicable time periods provided 
under Secs. 16.33(b) and 16.241(b).



                   Subpart I--Ex Parte Communications



Sec. 16.301  Definitions.

    As used in this subpart:
    Decisional employee means the Administrator, Deputy Administrator, 
Associate Administrator, Director, hearing officer, or other FAA 
employee who is or who may reasonably be expected to be involved in the 
decisional process of the proceeding.
    Ex parte communication means an oral or written communication not on 
the public record with respect to which reasonable prior notice to all 
parties is not given, but it shall not include requests for status 
reports on any matter or proceeding covered by this part, or 
communications between FAA employees who participate as parties to a 
hearing pursuant to 16.203(b) of this part and other parties to a 
hearing.



Sec. 16.303  Prohibited ex parte communications.

    (a) The prohibitions of this section shall apply from the time a 
proceeding is noticed for hearing unless the person responsible for the 
communication has knowledge that it will be noticed, in which case the 
prohibitions shall apply at the time of the acquisition of such 
knowledge.
    (b) Except to the extent required for the disposition of ex parte 
matters as authorized by law:
    (1) No interested person outside the FAA and no FAA employee 
participating as a party shall make or knowingly cause to be made to any 
decisional employee an ex parte communication relevant to the merits of 
the proceeding;

[[Page 96]]

    (2) No FAA employee shall make or knowingly cause to be made to any 
interested person outside the FAA an ex parte communication relevant to 
the merits of the proceeding; or
    (3) Ex parte communications regarding solely matters of agency 
procedure or practice are not prohibited by this section.



Sec. 16.305  Procedures for handling ex parte communications.

    A decisional employee who receives or who makes or knowingly causes 
to be made a communication prohibited by Sec. 16.303 shall place in the 
public record of the proceeding:
    (a) All such written communications;
    (b) Memoranda stating the substance of all such oral communications; 
and
    (c) All written responses, and memoranda stating the substance of 
all oral responses, to the materials described in paragraphs (a) and (b) 
of this section.



Sec. 16.307  Requirement to show cause and imposition of sanction.

    (a) Upon receipt of a communication knowingly made or knowingly 
caused to be made by a party in violation of Sec. 16.303, the Associate 
Administrator or his designee or the hearing officer may, to the extent 
consistent with the interests of justice and the policy of the 
underlying statutes, require the party to show cause why his or her 
claim or interest in the proceeding should not be dismissed, denied, 
disregarded, or otherwise adversely affected on account of such 
violation.
    (b) The Associate Administrator may, to the extent consistent with 
the interests of justice and the policy of the underlying statutes 
administered by the FAA, consider a violation of this subpart sufficient 
grounds for a decision adverse to a party who has knowingly committed 
such violation or knowingly caused such violation to occur.



PART 17--PROCEDURES FOR PROTESTS AND CONTRACTS DISPUTES--Table of Contents




                           Subpart A--General

Sec.
17.1  Applicability.
17.3  Definitions.
17.5  Delegation of authority.
17.7  Filing and computation of time.
17.9  Protective orders.

                           Subpart B--Protests

17.11  Matters not subject to protest.
17.13  Dispute resolution process for protests.
17.15  Filing a protest.
17.17  Initial protest procedures.
17.19  Dismissal or summary decision of protest.
17.21  Protest remedies.

                      Subpart C--Contract Disputes

17.23  Dispute resolution process for contract disputes.
17.25  Filing a contract dispute.
17.27  Submission of joint or separate statements.
17.29  Dismissal or summary decision of contract disputes.

                Subpart D--Alternative Dispute Resolution

17.31  Use of alternative dispute resolution.
17.33  Election of alternative dispute resolution process.
17.35  Selection of neutrals for the alternative dispute resolution 
          process.

                 Subpart E--Default Adjudicative Process

17.37  Default adjudicative process for protests.
17.39  Default adjudicative process for contract disputes.

                     Subpart F--Finality and Review

17.41  Final orders.
17.43  Judicial review.
17.45  Conforming amendments.

Appendix A to Part 17--Alternative Dispute Resolution (ADR)

    Authority: 5 U.S.C. 570-581, 49 U.S.C. 106(f)(2), 40110, 40111, 
40112, 46102, 46014, 46105, 46109, and 46110.

    Source: Docket No. FAA-1998-4379, 64 FR 32936, June 18, 1999, unless 
otherwise noted.]



                           Subpart A--General



Sec. 17.1  Applicability.

    This part applies to all protests or contract disputes against the 
FAA that are brought on or after June 28, 1999, with the exception of 
those contract disputes arising under or related to FAA contracts 
entered into prior to April 1, 1996.

[[Page 97]]



Sec. 17.3  Definitions.

    (a) Accrual mean to come into existence as a legally enforceable 
claim.
    (b) Accrual of a contract claim means that all events relating to a 
claim have occurred which fix liability of either the government or the 
contractor and permit assertion of the claim, regardless of when the 
claimant actually discovered those events. For liability to be fixed, 
some injury must have occurred. Monetary damages need not have been 
incurred, but if the claim is for money, such damages must be capable of 
reasonable estimation. The accrual of a claim or the running of the 
limitations period may be tolled on such equitable grounds as where the 
office of Dispute Resolution for Acquisition determines that there has 
been active concealment or fraud or where it finds that the facts were 
inherently unknowable.
    (c) Acquisition Management System (AMS) establishes the policies, 
guiding principles, and internal procedures for the FAA's acquisition 
system.
    (d) Administrator means the Administrator of the Federal Aviation 
Administration.
    (e) Alternative Dispute Resolution (ADR) is the primary means of 
dispute resolution that would be employed by the FAA's Office of Dispute 
Resolution for Acquisition. See Appendix A of this part.
    (f) Compensated Neutral refers to an impartial third party chosen by 
the parties to act as a facilitator, mediator, or arbitrator functioning 
to resolve the protest or contract dispute under the auspices of the 
Office of Dispute Resolution for Acquisition. The parties pay equally 
for the services of a Compensated Neutral, unless otherwise agreed to by 
the parties. A Dispute Resolution Officer (DRO) or Neutral cannot be a 
Compensated Neutral.
    (g) Contract dispute, as used in this part, means a written request 
to the Office of Dispute Resolution for Acquisition seeking resolution, 
under an existing FAA contract subject to the AMS, of a claim for the 
payment of money in a sum certain, the adjustment or interpretation of 
contract terms, or for other relief arising under, relating to or 
involving an alleged breach of that contract. A contract dispute does 
not require, as a prerequisite, the issuance of a Contracting Officer 
final decision. Contract disputes for purposes of ADR only may also 
involve contracts not subject to the AMS.
    (h) Default Adjudicative Process is an adjudicative process used to 
resolve protests or contract disputes where the parties cannot achieve 
resolution through informal communication or the use of ADR. The Default 
Adjudicative Process is conducted by a DRO or Special Master selected by 
the Office of Dispute Resolution for Acquisition to serve as 
``adjudicative officers,'' as that term is used in part 14 of this 
chapter.
    (i) Discovery is the procedure where opposing parties in a protest 
or contract dispute may, either voluntarily or to the extent directed by 
the Office of Dispute Resolution for Acquisition, obtain testimony from, 
or documents and information held by, other parties or non-parties.
    (j) Dispute Resolution Officer (DRO) is a licensed attorney 
reporting to the Office of Dispute Resolution for Acquisition. The term 
DRO can include the Director of the Office of Dispute Resolution for 
Acquisition, Office of Dispute Resolution for Acquisition staff 
attorneys or other FAA attorneys assigned to the Office of Dispute 
Resolution for Acquisition.
    (k) An interested party, in the context of a bid protest, is one 
whose direct economic interest has been or would be affected by the 
award or failure to award an FAA contract. Proposed subcontractors are 
not ``interested parties'' within this definition and are not eligible 
to submit protests to the Office of Dispute Resolution for Acquisition.
    (l) An intervenor is an interested party other than the protester 
whose participation in a protest is allowed by the Office of Dispute 
Resolution for Acquisition. For a post-award protest, the awardee of the 
contract that is the subject of the protest shall be allowed, upon 
request, to participate as an intervenor in the protest. In such a 
protest, no other interested parties shall be allowed to participate as 
intervenors.
    (m) Neutral refers to an impartial third party in the ADR process 
chosen by the Office of Dispute Resolution for

[[Page 98]]

Acquisition to act as a facilitator, mediator, arbitrator, or otherwise 
to resolve a protest or contract dispute. A Neutral can be a DRO or a 
person not an employee of the FAA who serves on behalf of the Office of 
Dispute Resolution for Acquisition.
    (n) The Office of Dispute Resolution for Acquisition (ODRA), under 
the direction of the Director, acts on behalf of the Administrator to 
manage the FAA Dispute Resolution Process, and to recommend action to be 
the Administrator on matters concerning protests or contract disputes.
    (o) Parties include the protester(s) or (in the case of a contract 
dispute) the contractor, the FAA, and any intervenor(s).
    (p) Product Team, as used in these rules, refers to the FAA 
organization(s) responsible for the procurement activity, without regard 
to funding source, and includes the Contracting Officer (CO) and 
assigned FAA legal counsel, when the FAA organization(s) represent(s) 
the FAA as a party to a protest or contract dispute before the Office of 
Dispute Resolution for Acquisition. The CO is responsible for all 
Product Team communications with and submissions to the Office of 
Dispute Resolution for Acquisition through assigned FAA counsel.
    (q) Screening Information Request (SIR) means a request by the FAA 
for documentation, information, presentations, proposals, or binding 
offers concerning an approach to meeting potential acquisition 
requirements established by the FAA. The purpose of a SIR is for the FAA 
to obtain information needed for it to proceed with a source selection 
decision and contract award.
    (r) A Special Master is an attorney, usually with extensive 
adjudicative experience, who has been assigned by the Office of Dispute 
Resolution for Acquisition to act as its finder of fact, and to make 
findings and recommendations based upon AMS policy and applicable law 
and authorities in the Default Adjudicative Process.



Sec. 17.5   Delegation of authority.

    (a) The authority of the Administrator to conduct dispute resolution 
proceedings concerning acquisition matters, is delegated to the Director 
of the Office of Dispute Resolution for Acquisition.
    (b) The Director of the Office of Dispute Resolution for Acquisition 
may redelegate to Special Masters and DROs such delegated authority in 
paragraph (a) of this section as is deemed necessary by the Director for 
efficient resolution of an assigned protest or contract dispute, 
including the imposition of sanctions or other disciplinary actions.



Sec. 17.7   Filing and computation of time.

    (a) Filing of a protest or contract dispute may be accomplished by 
mail, overnight delivery, hand delivery, or by facsimile. A protest or 
contract dispute is considered to be filed on the date it is received by 
the Office of Dispute Resolution for Acquisition during normal business 
hours. The Office of Dispute Resolution for Acquisition's normal 
business hours are from 8:30 a.m. to 5 p.m. est or edt, whichever is in 
use. A protest or contract dispute received via mail, after the time 
period prescribed for filing, shall not be considered timely filed even 
though it may be postmarked within the time period prescribed for 
filing.
    (b) Submissions to the Office of Dispute Resolution for Acquisition 
after the initial filing of a contract dispute may be accomplished by 
any means available in paragraph (a) of this section. Submissions to the 
Office of Dispute Resolution for Acquisition after the initial filing of 
a protest may only be accomplished by overnight delivery, hand delivery 
or facsimile.
    (c) The time limits stated in this part are calculated in business 
days, which exclude weekends and Federal holidays. In computing time, 
the day of the event beginning a period of time shall not be included. 
If the last day of a period falls on a weekend or a Federal holiday, the 
first business day following the weekend or holiday shall be considered 
the last day of the period.



Sec. 17.9   Protective orders.

    (a) The Office of Dispute Resolution for Acquisition may issue 
protective

[[Page 99]]

orders addressing the treatment of protected information, either at the 
request of a party or upon its own initiative. Such information may 
include proprietary, confidential, or source-selection-sensitive 
material, or other information the release of which could result in a 
competitive advantage to one or more firms.
    (b) The terms of the Office of Dispute Resolution for Acquisition's 
standard protective order may be altered to suit particular 
circumstances, by negotiation of the parties, subject to the approval of 
the Office of Dispute Resolution for Acquisition. The protective order 
establishes procedures for application for access to protected 
information, identification and safeguarding of that information, and 
submission of redacted copies of documents omitting protected 
information.
    (c) After a protective order has been issued, counsel or consultants 
retained by counsel appearing on behalf of a party may apply for access 
to the material under the order by submitting an application to the 
Office of Dispute Resolution for Acquisition, with copies furnished 
simultaneously to all parties. The application shall establish that the 
applicant is not involved in competitive decisionmaking for any firm 
that could gain a competitive advantage from access to the protected 
information and that the applicant will diligently protect any protected 
information received from inadvertent disclosure. Objections to an 
applicant's admission shall be raised within two (2) days of the 
application, although the Office of Dispute Resolution for Acquisition 
may consider objections raised after that time for good cause.
    (d) Any violation of the terms of a protective order may result in 
the imposition of sanctions or the taking of the actions as the Office 
of Dispute Resolution for Acquisition deems appropriate.
    (e) The parties are permitted to agree upon what material is to be 
covered by a protective order, subject to approval by the Office of 
Dispute Resolution for Acquisition.



                           Subpart B--Protests



Sec. 17.11  Matters not subject to protest.

    The following matters may not be protested before the Office of 
Dispute Resolution for Acquisition:
    (a) FAA purchases from or through, state, local, and tribal 
governments and public authorities;
    (b) FAA purchases from or through other federal agencies;
    (c) Grants;
    (d) Cooperative agreements;
    (e) Other transactions which do not fall into the category of 
procurement contracts subject to the AMS.



Sec. 17.13  Dispute resolution process for protests.

    (a) Protests concerning FAA SIRs or contract awards shall be 
resolved pursuant to this part.
    (b) The offeror initially should attempt to resolve any issues 
concerning potential protests with the CO. The CO, in coordination with 
FAA legal counsel, will make reasonable efforts to answer questions 
promptly and completely, and, where possible, to resolve concerns or 
controversies.
    (c) Offerors or prospective offerors shall file a protest with the 
Office of Dispute Resolution for Acquisition in accordance with 
Sec. 17.15. The protest time limitations set forth in Sec. 17.15 will 
not be extended by attempts to resolve a potential protest with the CO. 
Other than the time limitations specified in Sec. 17.15 for the filing 
of protests, the Office of Dispute Resolution for Acquisition retains 
the discretion to modify any time constraints imposed in connection with 
protests.
    (d) In accordance with Sec. 17.17, the Office of Dispute Resolution 
for Acquisition shall convene a status conference for the protest. Under 
the procedures set forth in that section, the parties generally will 
either decide to utilize Alternative Dispute Resolution (ADR) techniques 
to resolve the protest, pursuant to subpart D of this part, or they will 
proceed under the Default Adjudicative Process set forth in subpart E of 
this part. However, as provided in Sec. 17.31(c), informal ADR 
techniques

[[Page 100]]

may be utilized simultaneously with ongoing adjudication.
    (e) The Office of Dispute Resolution for Acquisition Director shall 
designate Dispute Resolution Officers (DROs) or Special Masters for 
protests.
    (f) Multiple protests concerning the same SIR, solicitation, or 
contract award may be consolidated at the discretion of the Office of 
Dispute Resolution for Acquisition, and assigned to a single DRO or 
Special Master for adjudication.
    (g) Procurement activities, and, where applicable, contractor 
performance pending resolution of a protest shall continue during the 
pendency of a protest, unless there is a compelling reason to suspend or 
delay all or part of the procurement activities. Pursuant to 
Secs. 17.15(d) and 17.17(b), the Office of Dispute Resolution for 
Acquisition may recommend suspension of award or delay of contract 
performance, in whole or in part, for a compelling reason. A decision to 
suspend or delay procurement activities or contractor performance would 
be made in writing by the FAA Administrator or the Administrator's 
delegee.



Sec. 17.15  Filing a protest.

    (a) Only an interested party may file a protest, and shall initiate 
a protest by filing a written protest with the Office of Dispute 
Resolution for Acquisition within the times set forth below, or the 
protest shall be dismissed as untimely:
    (1) Protests based upon alleged improprieties in a solicitation or a 
SIR that are apparent prior to bid opening or the time set for receipt 
of initial proposals shall be filed prior to bid opening or the time set 
for the receipt of initial proposals.
    (2) In procurements where proposals are requested, alleged 
improprieties that do not exist in the initial solicitation, but which 
are subsequently incorporated into the solicitation, must be protested 
not later than the next closing time for receipt of proposals following 
the incorporation;
    (3) For protests other than those related to alleged solicitation 
improprieties, the protest must be filed on the later of the following 
two dates:
    (i) Not later than seven (7) business days after the date the 
protester knew or should have known of the grounds for the protest; or
    (ii) If the protester has requested a post-award debriefing from the 
FAA Product Team, not later than five (5) business days after the date 
on which the Product Team holds that debriefing.
    (b) Protest shall be filed at:
    (1) Office of Dispute Resolution for Acquisition, AGC-70, Federal 
Aviation Administration, 400 7th Street, SW., Room 8332, Washington, DC 
20590, Telephone: (202) 366-6400, Facsimile: (202) 366-7400; or
    (2) Other address as shall be published from time to time in the 
Federal Register.
    (c) A Protest shall be in writing, and set forth:
    (1) The protester's name, address, telephone number, and facsimile 
(FAX) number;
    (2) The name, address, telephone number, and FAX number of a person 
designated by the protester (Protester Designee), and who shall be duly 
authorized to represent the protester, to be the point of contact;
    (3) The SIR number or, if available, the contract number and the 
name of the CO;
    (4) The basis for the protester's status as an interested party;
    (5) The facts supporting the timeliness of the protest;
    (6) Whether the protester requests a protective order, the material 
to be protected, and attach a redacted copy of that material;
    (7) A detailed statement of both the legal and factual grounds of 
the protest, and attach one (1) copy of each relevant document;
    (8) The remedy or remedies sought by the protester, as set forth in 
Sec. 17.21;
    (9) The signature of the Protester Designee, or another person duly 
authorized to represent the protester.
    (d) If the protester wishes to request a suspension or delay of the 
procurement, in whole or in part, and believes there are compelling 
reasons that, if known to the FAA, would cause the FAA to suspend or 
delay the procurement because of the protested action, the protester 
shall:

[[Page 101]]

    (1) Set forth each such compelling reason, supply all facts 
supporting the protester's position, identify each person with knowledge 
of the facts supporting each compelling reason, and identify all 
documents that support each compelling reason.
    (2) Clearly identify any adverse consequences to the protester, the 
FAA, or any interested party, should the FAA not suspend or delay the 
procurement.
    (e) At the same time as filing the protest with the Office of 
Dispute Resolution for Acquisition, the protester shall serve a copy of 
the protest on the CO and any other official designated in the SIR for 
receipt of protests by means reasonably calculated to be received by the 
CO on the same day as it is to be received by the Office of Dispute 
Resolution for Acquisition. The protest shall include a signed statement 
from the protester, certifying to the Office of Dispute Resolution for 
Acquisition the manner of service, date, and time when a copy of the 
protest was served on the CO and other designated official(s).
    (f) Upon receipt of the protest, the CO shall inform the Office of 
Dispute Resolution for Acquisition of the names, addresses, and 
telephone and facsimile numbers of the awardee and/or other interested 
parties, if known, and shall, in such notice, designate a person as the 
point of contact for the Office of Dispute Resolution for Acquisition by 
facsimile. The CO shall also notify the awardee and/or interested 
parties in writing of the existence of the protest the same day as the 
CO provides the foregoing information to the Office of Dispute 
Resolution for Acquisition. The awardee and/or interested parties shall 
notify the ODRA in writing, of their interest in participating in the 
protest as intervenors within two (2) business days of receipt of the 
CO's notification, and shall, in such notice, designate a person as the 
point of contact for the ODRA. Such notice may be submitted to the ODRA 
by facsimile.
    (g) The Office of Dispute Resolution for Acquisition has discretion 
to designate the parties who shall participate in the protest as 
intervenors. For awarded contracts, only the awardee may participate as 
an intervenor.

[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999; 64 FR 47362, Aug. 
31, 1999]



Sec. 17.17  Initial protest procedures.

    (a) If, as part of a protest, the protester requests a suspension or 
delay of procurement, in whole or in part, pursuant to Sec. 17.15(d), 
the Product Team shall submit a response to the request to the Office of 
Dispute Resolution for Acquisition within two (2) business days of 
receipt of the protest. Copies of the response shall be furnished to the 
protester and any intervenor(s) so as to be received within the same two 
(2) business days. The protester and any intervenor(s) shall have the 
opportunity of providing additional comments on the response within an 
additional period of two (2) business days. Based on its review of such 
submissions, the Office of Dispute Resolution for Acquisition, in its 
discretion, may recommend such suspension or delay to the Administrator 
or the Administrator's designee.
    (b) Within five (5) business days of the filing of a protest, or as 
soon thereafter as practicable, the Office of Dispute Resolution for 
Acquisition shall convene a status conference to--
    (1) Review procedures;
    (2) Identify and develop issues related to summary dismissal and 
suspension recommendations;
    (3) Handle issues related to protected information and the issuance 
of any needed protective order;
    (4) Encourage the parties to use ADR;
    (5) Conduct or arrange for early neutral evaluation of the protest 
by a DRO or Neutral or Compensated Neutral, at the discretion of the 
Office of Dispute Resolution for Acquisition and/or based upon the 
agreement or request of any party(ies) seeking such evaluation; and
    (6) For any other reason deemed appropriate by the DRO or by the 
Office of Dispute Resolution for Acquisition.
    (c) On the fifth business day following the status conference, the 
Product Team and protester will file with the Office of Dispute 
Resolution for Acquisition--
    (1) A joint statement that they have decided to pursue ADR 
proceedings in

[[Page 102]]

lieu of adjudication in order to resolve the protest; or
    (2) Joint or separate written explanations as to why ADR proceedings 
will not be used and why the Default Adjudicative Process will be 
needed..
    (d) Should the Product Team and protester elect to utilize ADR 
proceedings to resolve the protest, they will agree upon the neutral to 
conduct the ADR proceedings (either an Office of Dispute Resolution for 
Acquisition-designated Neutral or a Compensated Neutral of their own 
choosing) pursuant to Sec. 17.33(c), and shall execute and file with the 
Office of Dispute Resolution for Acquisition a written ADR agreement 
within five (5) business days after the status conference. Agreement of 
any intervenor(s) to the use of ADR or the resolution of a dispute 
through ADR shall not be required.
    (e) Should the Product Team or protester indicate at the status 
conference that ADR proceedings will not be used, then within ten (10) 
business days following the status conference, the Product Team will 
file with the Office of Dispute Resolution for Acquisition a Product 
Team Response to the protest. The Office of Dispute Resolution for 
Acquisition may alter the schedule for filing of the Product Team 
Response to accommodate the requirements of a particular protest.
    (f) The Product Team Response shall consist of a written 
chronological statement of pertinent facts, and a written presentation 
of applicable legal or other defenses. The Product Team Response shall 
cite to and be accompanied by all relevant documents, which shall be 
chronologically indexed and tabbed. A copy of the response shall be 
furnished so as to be received by the protester and any intervenor(s) on 
the same date it is filed with the Office of Dispute Resolution for 
Acquisition, if practicable, but in any event no later than one (1) 
business day after the date if it is filed with the Office of Dispute 
Resolution for Acquisition. In all cases, the Product Team shall 
indicate the method of service used.
    (g) Should the parties pursue ADR proceedings under subpart D of 
this part and fail to achieve a complete resolution of the protest via 
ADR, the Office of Dispute Resolution for Acquisition, upon notification 
of that fact by any of the parties, shall designate a DRO or Special 
Master for purposes of adjudication under subpart E of this part, and 
the DRO or Special Master shall convene a status conference, wherein he/
she shall establish a schedule for the filing of the Product Team 
Response and further submissions.
    (h) Upon submission of the Product Team Response, the protest will 
proceed under the Default Adjudicative Process pursuant to Sec. 17.37.
    (i) The time limitations of this section maybe extended by the 
Office of Dispute Resolution for Acquisition for good cause.



Sec. 17.19   Dismissal or summary decision of protests.

    (a) At any time during the protest, any party may request, by motion 
to the Office of Dispute Resolution for Acquisition, that--
    (1) The protest, or any count or portion of a protest, be dismissed 
for lack of jurisdiction, if the protester fails to establish that the 
protest is timely, or that the protester has no standing to pursue the 
protest;
    (2) The protest, or any count or portion of a protest, be dismissed, 
if frivolous or without basis in fact or law, or for failure to state a 
claim upon which relief may be had;
    (3) A summary decision be issued with respect to the protest, or any 
count or portion of a protest, if:
    (i) The undisputed material facts demonstrate a rational basis for 
the Product Team action or inaction in question, and there are no other 
material facts in dispute that would overcome a finding of such a 
rational basis; or
    (ii) The undisputed material facts demonstrate, that no rational 
basis exists for the Product Team action or inaction in question, and 
there are no material facts in dispute that would overcome a finding of 
the lack of such a rational basis.
    (b) In connection with any request for dismissal or summary 
decision, the Office of Dispute Resolution for Acquisition shall 
consider any material facts in dispute, in a light most favorable to the 
party against whom the request is made.

[[Page 103]]

    (c) Either upon motion by a party or on its own initiative, the 
Office of Dispute Resolution for Acquisition may, at any time, exercise 
its discretion to:
    (1) Recommend to the Administrator dismissal or the issuance of a 
summary decision with respect to the entire protest;
    (2) Dismiss the entire protest or issue a summary decision with 
respect to the entire protest, if delegated that authority by the 
Administrator; or
    (3) Dismiss or issue a summary decision with respect to any count or 
portion of a protest.
    (d) A dismissal or summary decision regarding the entire protest by 
either the Administrator, or the Office of Dispute Resolution for 
Acquisition by delegation, shall be construed as a final agency order. A 
dismissal or summary decision that does not resolve all counts or 
portions of a protest shall not constitute a final agency order, unless 
and until such dismissal or decision is incorporated or otherwise 
adopted in a decision by the Administrator (or the Office of Dispute 
Resolution for Acquisition, by delegation) regarding the entire protest.
    (e) Prior to recommending or entering either a dismissal or a 
summary decision, either in whole or in part, the Office of Dispute 
Resolution for Acquisition shall afford all parties against whom the 
dismissal or summary decision is to be entered the opportunity to 
respond to the proposed dismissal or summary decision.



Sec. 17.21  Protest remedies.

    (a) The Office of Dispute Resolution for Acquisition has broad 
discretion to recommend remedies for a successful protest that are 
consistent with the AMS and applicable statutes. Such remedies may 
include, but are not limited to one or more, or a combination of, the 
following--
    (1) Amend the SIR;
    (2) Refrain from exercising options under the contract;
    (3) Issue a new SIR;
    (4) Require recompetition;
    (5) Terminate an existing contract for the FAA's convenience;
    (6) Direct an award to the protester;
    (7) Award bid and proposal costs; or
    (8) Any combination of the above remedies, or any other action 
consistent with the AMS that is appropriate under the circumstances.
    (b) In determining the appropriate recommendation, the Office of 
Dispute Resolution for Acquisition should consider the circumstances 
surrounding the procurement or proposed procurement including, but not 
limited to: the nature of the procurement deficiency; the degree of 
prejudice to other parties or to the integrity of the acquisition 
system; the good faith of the parties; the extent of performance 
completed; the cost of any proposed remedy to the FAA; the urgency of 
the procurement; and the impact of the recommendation on the FAA.
    (c) Attorney's fees of a prevailing protester are allowable to the 
extent permitted by the Equal Access to Justice Act, 5 U.S.C. 
504(a)(1)(EAJA).



                      Subpart C--Contract Disputes



Sec. 17.23  Dispute resolution process for contract disputes.

    (a) All contract disputes arising under contracts subject to the AMS 
shall be resolved under this subpart.
    (b) Contractors shall file contract disputes with the Office of 
Dispute Resolution for Acquisition and the CO pursuant to Sec. 17.25.
    (c) After filing the contract dispute, the contractor should seek 
informal resolution with the CO:
    (1) The CO, with the advice of FAA legal counsel, has full 
discretion to settle contract disputes, except where the matter involves 
fraud;
    (2) The parties shall have up to twenty (20) business days within 
which to resolve the dispute informally, and may contact the Office of 
Dispute Resolution for Acquisition for assistance in facilitating such a 
resolution; and
    (3) If no informal resolution is achieved during the twenty (20) 
business day period, the parties shall file joint or separate statements 
with the Office of Dispute Resolution for Acquisition pursuant to 
Sec. 17.27.
    (d) If informal resolution of the contract dispute appears probable, 
the Office of Dispute Resolution for Acquisition shall extend the time 
for the filing of the joint statement under Sec. 17.27 for

[[Page 104]]

up to an additional twenty (20) business days, upon joint request of the 
CO and contractor.
    (e) The Office of Dispute Resolution for Acquisition shall hold a 
status conference with the parties within ten (10) business days after 
receipt of the joint statement required by Sec. 17.27, or as soon 
thereafter as is practicable, in order to establish the procedures to be 
utilized to resolve the contract dispute.
    (f) The Office of Dispute Resolution for Acquisition has broad 
discretion to recommend remedies for a successful contract dispute, that 
are consistent with the AMS and applicable law.



Sec. 17.25  Filing a contract dispute.

    (a) Contract disputes are to be in writing and shall contain:
    (1) The contractor's name, address, telephone and fax numbers and 
the name, address, telephone and fax numbers of the contractor's legal 
representative(s) (if any) for the contract dispute;
    (2) The contract number and the name of the Contracting Officer;
    (3) A detailed chronological statement of the facts and of the legal 
grounds for the contractor's positions regarding each element or count 
of the contract dispute (i.e., broken down by individual claim item), 
citing to relevant contract provisions and documents and attaching 
copies of those provisions and documents;
    (4) All information establishing that the contract dispute was 
timely filed;
    (5) A request for a specific remedy, and if a monetary remedy is 
requested, a sum certain must be specified and pertinent cost 
information and documentation (e.g., invoices and cancelled checks) 
attached, broken down by individual claim item and summarized; and
    (6) The signature of a duly authorized representative of the 
initiating party.
    (b) Contract disputes shall be filed by mail, in person, by 
overnight delivery or by facsimile at the following address:
    (1) Office of Dispute Resolution for Acquisition, AGC-70, Federal 
Aviation Administration, 400 7th Street, SW., Room 8332, Washington, DC 
20590, Telephone: (202) 366-6400, Facsimile: (202) 366-7400; or
    (2) Other address as shall be published from time to time in the 
Federal Register.
    (c) A contract dispute against the FAA shall be filed with the 
Office of Dispute Resolution for Acquisition within two (2) years of the 
accrual of the contract claim involved. A contract dispute by the FAA 
against a contractor (excluding contract disputes alleging warranty 
issues, fraud or latent defects) likewise shall be filed within two (2) 
years after the accrual of the contract claim. If an underlying contract 
entered into prior to the effective date of this part provides for time 
limitations for filing of contract disputes with The Office of Dispute 
Resolution for Acquisition which differ from the aforesaid two (2) year 
period, the limitation periods in the contract shall control over the 
limitation period of this section. In no event will either party be 
permitted to file with the Office of Dispute Resolution for Acquisition 
a contract dispute seeking an equitable adjustment or other damages 
after the contractor has accepted final contract payment, with the 
exception of FAA claims related to warranty issues, gross mistakes 
amounting to fraud or latent defects. FAA claims against the contractor 
based on warranty issues must be filed within the time specified under 
applicable contract warranty provisions. Any FAA claims against the 
contractor based on gross mistakes amounting to fraud or latent defects 
shall be filed with the Office of Dispute Resolution for Acquisition 
within two (2) years of the date on which the FAA knew or should have 
known of the presence of the fraud or latent defect.
    (d) A party shall serve a copy of the contract dispute upon the 
other party, by means reasonably calculated to be received on the same 
day as the filing is to be received by the Office of Dispute Resolution 
for Acquisition.



Sec. 17.27  Submission of joint or separate statements.

    (a) If the matter has not been resolved informally, the parties 
shall file joint or separate statements with the

[[Page 105]]

Office of Dispute Resolution for Acquisition no later than twenty (20) 
business days after the filing of the contract dispute. The Office of 
Dispute Resolution for Acquisition may extend this time, pursuant to 
Sec. 17.23(d).
    (b) The statement(s) shall include either--
    (1) A joint request for ADR, and an executed ADR agreement, pursuant 
to Sec. 17.33(d), specifying which ADR techniques will be employed; or
    (2) Written explanation(s) as to why ADR proceedings will not be 
used and why the Default Adjudicative Process will be needed.
    (c) Such statements shall be directed to the following address:
    (1) Office of Dispute Resolution for Acquisition, AGC-70, Federal 
Aviation Administration, 400 7th Street, SW., Room 8332, Washington, DC 
20590, Telephone: (202) 366-6400, Facsimile: (202) 366-7400; or
    (2) Other address as shall be published from time to time in the 
Federal Register.
    (d) The submission of a statement which indicates that ADR will not 
be utilized will not in any way preclude the parties from engaging in 
informal ADR techniques with the Office of Dispute Resolution for 
Acquisition (neutral evaluation and/or informal mediation) concurrently 
with ongoing adjudication under the Default Adjudicative Process, 
pursuant to Sec. 17.31(c).



Sec. 17.29  Dismissal or summary decision of contract disputes.

    (a) Any party may request, by motion to the Office of Dispute 
Resolution for Acquisition, that a contract dispute be dismissed, or 
that a count or portion of a contract dispute be stricken, if:
    (1) It was not timely filed with the Office of Dispute Resolution 
for Acquisition;
    (2) It was filed by a subcontractor;
    (3) It fails to state a matter upon which relief may be had; or
    (4) It involves a matter not subject to the jurisdiction of the 
Office of Dispute Resolution for Acquisition.
    (b) In connection with any request for dismissal of a contract 
dispute, or to strike a count or portion thereof, the Office of Dispute 
Resolution for Acquisition should consider any material facts in dispute 
in a light most favorable to the party against whom the request for 
dismissal is made.
    (c) At any time, whether pursuant to a motion or request or on its 
own initiative and at its discretion, the Office of Dispute Resolution 
for Acquisition may--
    (1) Dismiss or strike a count or portion of a contract dispute;
    (2) Recommend to the Administrator that the entire contract dispute 
be dismissed; or
    (3) With delegation from the Administrator, dismiss the entire 
contract dispute.
    (d) An order of dismissal of the entire contract dispute, issued 
either by the Administrator or by the Office of Dispute Resolution for 
Acquisition where delegation exists, on the grounds set forth in this 
section, shall constitute a final agency order. An Office of Dispute 
Resolution for Acquisition order dismissing or striking a count or 
portion of a contract dispute shall not constitute a final agency order, 
unless and until such Office of Dispute Resolution for Acquisition order 
is incorporated or otherwise adopted in a decision of the Administrator 
or the Administrator's delegee.
    (e) Prior to recommending or entering either a dismissal or a 
summary decision, either in whole or in part, the Office of Dispute 
Resolution for Acquisition shall afford all parties against whom the 
dismissal or summary decision is to be entered the opportunity to 
respond to a proposed dismissal or summary decision.



                Subpart D--Alternative Dispute Resolution



Sec. 17.31  Use of alternative dispute resolution.

    (a) The Office of Dispute Resolution for Acquisition shall encourage 
the parties to utilize ADR as their primary means to resolve protests 
and contract disputes.
    (b) The parties shall make a good faith effort to explore ADR 
possibilities in all cases and to employ ADR in every appropriate case. 
The Office of Dispute Resolution for Acquisition will encourage use of 
ADR techniques such as mediation, neutral evaluation, or

[[Page 106]]

minitrials, or variations of these techniques as agreed by the parties 
and approved by the Office of Dispute Resolution for Acquisition. The 
Office of Dispute Resolution for Acquisition shall assign a DRO to 
explore ADR options with the parties and to arrange for an early neutral 
evaluation of the merits of a case, if requested by any party.
    (c) The Default Adjudicative Process will be used where the parties 
cannot achieve agreement on the use of ADR; or where ADR has been 
employed but has not resolved all pending issues in dispute; or where 
the Office of Dispute Resolution for Acquisition concludes that ADR will 
not provide an expeditious means of resolving a particular dispute. Even 
where the Default Adjudicative Process is to be used, the Office of 
Dispute Resolution for Acquisition, with the parties consent, may employ 
informal ADR techniques concurrently with and in parallel to 
adjudication.



Sec. 17.33  Election of alternative dispute resolution process.

    (a) The Office of Dispute Resolution for Acquisition will make its 
personnel available to serve as Neutrals in ADR proceedings and, upon 
request by the parties, will attempt to make qualified non-FAA personnel 
available to serve as Neutrals through neutral-sharing programs and 
other similar arrangements. The parties may elect to employ a mutually 
Compensated Neutral, if the parties agree as to how the costs of any 
such Compensated Neutral are to be shared.
    (b) The parties using an ADR process to resolve a protest shall 
submit an executed ADR agreement containing the information outlined in 
paragraph (d) of this section to the Office of Dispute Resolution for 
Acquisition within five (5) business days after the Office of Dispute 
Resolution for Acquisition conducts a status conference pursuant to 
Sec. 17.17(c). The Office of Dispute Resolution for Acquisition may 
extend this time for good cause.
    (c) The parties using an ADR process to resolve a contract dispute 
shall submit an executed ADR agreement containing the information 
outlined in paragraph (d) of this section to the Office of Dispute 
Resolution for Acquisition as part of the joint statement specified 
under Sec. 17.27.
    (d) The parties to a protest or contract dispute who elect to use 
ADR must submit to the Office of Dispute Resolution for Acquisition an 
ADR agreement setting forth:
    (1) The type of ADR technique(s) to be used;
    (2) The agreed-upon manner of using the ADR process; and
    (3) Whether the parties agree to use a Neutral through The Office of 
Dispute Resolution for Acquisition or to use a Compensated Neutral of 
their choosing, and, if a Compensated Neutral is to be used, how the 
cost of the Compensated Neutral's services will be shared.
    (e) Non-binding ADR techniques are not mutually exclusive, and may 
be used in combination if the parties agree that a combination is most 
appropriate to the dispute. The techniques to be employed must be 
determined in advance by the parties and shall be expressly described in 
their ADR agreement. The agreement may provide for the use of any fair 
and reasonable ADR technique that is designed to achieve a prompt 
resolution of the matter. An ADR agreement for non-binding ADR shall 
provide for a termination of ADR proceedings and the commencement of 
adjudication under the Default Adjudicative Process, upon the election 
of any party. Notwithstanding such termination, the parties may still 
engage with the Office of Dispute Resolution for Acquisition in informal 
ADR techniques (neutral evaluation and/or informal mediation) 
concurrently with adjudication, pursuant to Sec. 17.31(c).
    (f) Binding arbitration may be permitted by the Office of Dispute 
Resolution for Acquisition on a case-by-case basis; and shall be subject 
to the provisions of 5 U.S.C. 575(a), (b), and (c), and any other 
applicable law. Arbitration that is binding on the parties, subject to 
the Administrator's right to approve or disapprove the arbitrator's 
decision, may also be permitted.
    (g) For protests, the ADR process shall be completed within twenty 
(20) business days from the filing of an executed ADR agreement with the 
Office of Dispute Resolution for Acquisition unless the parties request, 
and are

[[Page 107]]

granted an extension of time from the Office of Dispute Resolution for 
Acquisition.
    (h) For contract disputes, the ADR process shall be completed within 
forty (40) business days from the filing of an executed ADR agreement 
with the Office of Dispute Resolution for Acquisition, unless the 
parties request, and are granted an extension of time from the Office of 
Dispute Resolution for Acquisition.
    (i) The parties shall submit to the Office of Dispute Resolution for 
Acquisition an agreed-upon protective order, if necessary, in accordance 
with the requirements of Sec. 17.9.



Sec. 17.35  Selection of neutrals for the alternative dispute resolution process.

    (a) In connection with the ADR process, the parties may select a 
Compensated Neutral acceptable to both, or may request the Office of 
Dispute Resolution for Acquisition to provide the services of a DRO or 
other Neutral.
    (b) In cases where the parties select a Compensated Neutral who is 
not familiar with Office of Dispute Resolution for Acquisition 
procedural matters, the parties or Compensated Neutral may request the 
Office of Dispute Resolution for Acquisition for the services of a DRO 
to advise on such matters.



                 Subpart E--Default Adjudicative Process



Sec. 17.37  Default adjudicative process for protests.

    (a) Other than for the resolution of preliminary or dispositive 
matters, the Default Adjudicative Process for protests will commence 
upon the submission of the Product Team Response to the Office of 
Dispute Resolution for Acquisition, pursuant to Sec. 17.17.
    (b) The Director of the Office of Dispute Resolution for Acquisition 
shall select a DRO or a Special Master to conduct fact-finding 
proceedings and to provide findings and recommendations concerning some 
or all of the matters in controversy.
    (c) The DRO or Special Master may prepare procedural orders for the 
proceedings as deemed appropriate; and may require additional 
submissions from the parties. As a minimum, the protester and any 
intervenor(s) must submit to the Office of Dispute Resolution for 
Acquisition written comments with respect to the Product Team Response 
within five (5) business days of the Response having been filed with the 
Office of Dispute Resolution for Acquisition or within five (5) business 
days of their receipt of the Response, whichever is later. Copies of 
such comments shall be provided to the other participating parties by 
the same means and on the same date as they are furnished to the Office 
of Dispute Resolution for Acquisition.
    (d) The DRO or Special Master may convene the parties and/or their 
representatives, as needed, to pursue the Default Adjudicative Process.
    (e) If, in the sole judgment of the DRO or Special Master, the 
parties have presented written material sufficient to allow the protest 
to be decided on the record presented, the DRO or Special Master shall 
have the discretion to decide the protest on that basis.
    (f) The parties may engage in voluntary discovery with one another 
and, if justified, with non-parties, so as to obtain information 
relevant to the allegations of the protest. The DRO or Special Master 
may also direct the parties to exchange, in an expedited manner, 
relevant, non-privileged documents. Where justified, the DRO or Special 
Master may direct the taking of deposition testimony, however, the FAA 
dispute resolution process does not contemplate extensive discovery. The 
DRO or Special Master shall manage the discovery process, including 
limiting its length and availability, and shall establish schedules and 
deadlines for discovery, which are consistent with time frames 
established in this part and with the FAA policy of providing fair and 
expeditious dispute resolution.
    (g) The DRO or Special Master may conduct hearings, and may limit 
the hearings to the testimony of specific witnesses and/or presentations 
regarding specific issues. The DRO or Special Master shall control the 
nature and conduct of all hearings, including the sequence and extent of 
any testimony. Hearings will be conducted:

[[Page 108]]

    (1) Where the DRO or Special Master determines that there are 
complex factual issues in dispute that cannot adequately or efficiently 
be developed solely by means of written presentations and/or that 
resolution of the controversy will be dependent on his/her assessment of 
the credibility of statements provided by individuals with first-hand 
knowledge of the facts; or
    (2) Upon request of any party to the protest, unless the DRO or 
Special Master finds specifically that a hearing is unnecessary and that 
no party will be prejudiced by limiting the record in the adjudication 
to the parties' written submissions. All witnesses at any such hearing 
shall be subject to cross-examination by the opposing party and to 
questioning by the DRO or Special Master.
    (h) The Director of the Office of Dispute Resolution for Acquisition 
may review the status of any protest in the Default Adjudicative Process 
with the DRO or Special Master during the pendency of the process.
    (i) Within thirty (30) business days of the commencement of the 
Default Adjudicative Process, or at the discretion of the Office of 
Dispute Resolution for Acquisition, the DRO or Special Master will 
submit findings and recommendations to the Office of Dispute Resolution 
for Acquisition that shall contain the following:
    (1) Findings of fact;
    (2) Application of the principles of the AMS, and any applicable law 
or authority to the findings of fact;
    (3) A recommendation for a final FAA order; and
    (4) If appropriate, suggestions for future FAA action.
    (j) In arriving at findings and recommendations relating to 
protests, the DRO or Special Master shall consider whether or not the 
Product Team actions in question had a rational basis, and whether or 
not the Product Team decision under question was arbitrary, capricious 
or an abuse of discretion. Findings of fact underlying the 
recommendations must be supported by substantial evidence.
    (k) The DRO or Special Master has broad discretion to recommend a 
remedy that is consistent with Sec. 17.21.
    (l) A DRO or Special Master shall submit findings and 
recommendations only to the Director of the Office of Dispute Resolution 
for Acquisition. The findings and recommendations will be released to 
the parties and to the public, only upon issuance of the final FAA order 
in the case. Should an Office of Dispute Resolution for Acquisition 
protective order be issued in connection with the protest, a redacted 
version of the findings and recommendations, omitting any protected 
information, shall be prepared wherever possible and released to the 
public along with a copy of the final FAA order. Only persons admitted 
by the Office of Dispute Resolution for Acquisition under the protective 
order and Government personnel shall be provided copies of the 
unredacted findings and recommendations.
    (m) The time limitations set forth in this section may be extended 
by the Office of Dispute Resolution for Acquisition for good cause.



Sec. 17.39  Default adjudicative process for contract disputes.

    (a) The Default Adjudicative Process for contract disputes will 
commence on the latter of:
    (1) The parties' submission to the Office of Dispute Resolution for 
Acquisition of a joint statement pursuant to Sec. 17.27 which indicates 
that ADR will not be utilized; or
    (2) The parties' submission to the Office of Dispute Resolution for 
Acquisition of notification by any party that the parties have not 
settled some or all of the dispute issues via ADR, and it is unlikely 
that they can do so within the time period allotted and/or any 
reasonable extension.
    (b) Within twenty (2) business days of the commencement of the 
Default Adjudicative Process, the Product Team shall prepare and submit 
to the Office of Dispute Resolution for Acquisition, with a copy to the 
contractor, a chronologically arranged and indexed Dispute File, 
containing all documents which are relevant to the facts and issues in 
dispute. The contractor will be entitled to supplement such a Dispute 
File with additional documents.
    (c) The Director of the Office of Dispute Resolution for Acquisition 
shall

[[Page 109]]

assign a DRO or a Special Master to conduct fact-finding proceedings and 
provide findings and recommendations concerning the issues in dispute.
    (d) The Director of the Office of Dispute Resolution for Acquisition 
may delegate authority to the DRO or Special Master to conduct a Status 
Conference within ten (10) business days of the commencement of the 
Default Adjudicative Process, and, may further delegate to the DRO or 
Special Master the authority to issue such orders or decisions to 
promote the efficient resolution of the contract dispute.
    (e) At any such Status Conference, or as necessary during the 
Default Adjudicative Process, the DRO or Special Master will:
    (1) Determine the appropriate amount of discovery required to 
resolve the dispute;
    (2) Review the need for a protective order, and if one is needed, 
prepare a protective order pursuant to Sec. 17.9;
    (3) Determine whether any issue can be stricken; and
    (4) Prepare necessary procedural orders for the proceedings.
    (f) At a time or at times determined by the DRO or Special Master, 
and in advance of the decision of the case, the parties shall make final 
submissions to the Office of Dispute Resolution for Acquisition and to 
the DRO or Special Master, which submissions shall include the 
following:
    (1) A joint statement of the issues;
    (2) A joint statement of undisputed facts related to each issue;
    (3) Separate statements of disputed facts related to each issue, 
with appropriate citations to documents in the Dispute File, to pages of 
transcripts of any hearing or deposition, or to any affidavit or exhibit 
which a party may wish to submit with its statement;
    (4) Separate legal analyses in support of the parties' respective 
positions on disputed issues.
    (g) Each party shall serve a copy of its final submission on the 
other party by means reasonable calculated so that the other party 
receives such submissions on the same day it is received by the Office 
of Dispute Resolution for Acquisition.
    (h) The DRO or Special Master may decide the contract dispute on the 
basis of the record and the submissions referenced in this section, or 
may, in the DRO or Special Master's discretion, allow the parties to 
make additional presentations in writing. The DRO or Special Master may 
conduct hearings, and may limit the hearings to the testimony of 
specific witnesses and/or presentations regarding specific issues. The 
DRO or Special Master shall control the nature and conduct of all 
hearings, including the sequence and extent of any testimony. Hearings 
on the record shall be conducted by the ODRA:
    (1) Where the DRO or Special Master determines that there are 
complex factual issues in dispute that cannot adequately or efficiently 
be developed solely by means of written presentations and/or that 
resolution of the controversy will be dependent on his/her assessment of 
the credibility of statements provided by individuals with first-hand 
knowledge of the facts; or
    (2) Upon request of any party to the contract dispute, unless the 
DRO or Special Master finds specifically that a hearing is unnecessary 
and that no party will be prejudiced by limiting the record in the 
adjudication to the parties written submissions. All witnesses at any 
such hearing shall be subject to cross-examination by the opposing party 
and to questioning by the DRO or Special Master.
    (i) The DRO or Special Master shall prepare findings and 
recommendations within thirty (30) business days from receipt of the 
final submissions of the parties, unless that time is extended by the 
Officer of Dispute Resolution for Acquisition for good cause. The 
findings and recommendations shall contain findings of fact, application 
of the principles of the AMS and other law or authority applicable to 
the findings of fact, a recommendation for a final FAA order, and, if 
appropriate, suggestions for future FAA action.
    (j) As a party of the findings and recommendations, the DRO or 
Special Master shall review the disputed issue or issues in the context 
of the contract, any applicable law and the AMS. Any finding of fact set 
forth in the fundings and recommendation must be supported by 
substantial evidence.

[[Page 110]]

    (k) The Director of the Office of Dispute Resolution for Acquisition 
may review the status of any contract dispute in the Default 
Adjudicative Process with the DRO or Special Master during the pendency 
of the process.
    (l) A DRO or Special Master shall submit findings and 
recommendations only to the Director of the Office of Dispute Resolution 
for Acquisition. The findings and recommendations will be released to 
the parties and to the public, upon issuance of the final FAA order in 
the case. Should an Office of Dispute Resolution for Acquisition 
protective order be issued in connection with the contract dispute, a 
redacted version of the findings and recommendations omitting any 
protected information, shall be prepared wherever possible and released 
to the public along with a copy of the final FAA order. Only persons 
admitted by the Office of Dispute Resolution for Acquisition under the 
protective order and Government personal shall be provided copies of the 
unredacted findings and recommendation.
    (m) The time limitations set forth in this section may be extended 
by the Office of Dispute Resolution for Acquisition for good cause.
    (n) Attorneys fees of a qualified prevailing contractor are 
allowable to the extent permitted by the EAJA, 5 U.S.C. 504 (a)(1).

[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999; 64 FR 47362, Aug. 
31, 1999]



                     Subpart F--Finality and Review



Sec. 17.41  Final orders.

    All final FAA orders regarding protests or connect disputes under 
this part are to be issued by the FAA Administrator or by a delegee of 
the Administrator.



Sec. 17.43  Judicial review.

    (a) A protestor or contractor may seek of a final FAA order, 
pursuant to 49 U.S.C. 46110, only after the administrative remedies of 
this part have been exhausted.
    (b) A copy of the petition for review shall be filed with the Office 
of Dispute Resolution for Acquisition and the FAA Chief Counsel on the 
date that the petition for review is filed with the appropriate circuit 
court of appeals.



Sec. 17.45  Conforming amendments.

    The FAA shall amend pertinent provisions of the AMS, standard 
contract forms and clauses, and any guidance to contracting officials, 
so as to conform to the provisions of this part.

       Appendix A to Part 17--Alternative Dispute Resolution (ADR)

    A. The FAA dispute resolution procedures encourage the parties to 
protests and contract disputes to use ADR as the primary means to 
resolve protests and contract disputes, pursuant to the Administrative 
Dispute Resolution Act of 1996, Pub. L. 104-320, 5 U.S.C. 570-579, and 
Department of Transportation and FAA policies to utilize ADR to the 
maximum extent practicable. Under the procedures presented in this part, 
the Office of Dispute Resolution for Acquisition would encourage parties 
to consider ADR techniques such as case evaluation, mediation, or 
arbitration.
    B. ADR encompasses a number of processes and techniques for 
resolving protests or contract disputes. The most commonly used types 
include:
    (1) Mediation. The Neutral or Compensated Neutral ascertains the 
needs and interests of both parties and facilitates discussions between 
or among the parties and an amicable resolution of their differences, 
seeking approaches to bridge the gaps between the parties' respective 
positions. The Neutral or Compensated Neutral can meet with the parties 
separately, conduct joint meetings with the parties' representatives, or 
employ both methods in appropriate cases.
    (2) Neutral Evaluation. At any stage during the ADR process, as the 
parties may agree, the Neutral or Compensated Neutral will provide a 
candid assessment and opinion of the strengths and weaknesses of the 
parties' positions as to the facts and law, so as to facilitate further 
discussion and resolution.
    (3) Minitrial. The minitrial resembles adjudication, but is less 
formal. It is used to provide an efficient process for airing and 
resolving more complex, fact-intensive disputes. The parties select 
principal representatives who should be senior officials of their 
respective organizations, having authority to negotiate a complete 
settlement. It is preferable that the principals be individuals who were 
not directly involved in the events leading to the dispute and who, 
thus, may be able to maintain a degree of impartiality during the 
proceeding. In order to maintain such impartiality, the principals 
typically serve as ``judges'' over the mini-trial proceeding together 
with the Neutral or Compensated Neutral. The proceeding is aimed at

[[Page 111]]

informing the principal representatives and the Neutral or Compensated 
Neutral of the underlying bases of the parties' positions. Each party is 
given the opportunity and responsibility to present its position. The 
presentations may be made through the parties' counsel and/or through 
some limited testimony of fact witnesses or experts, which may be 
subject to cross-examination or rebuttal. Normally, witnesses are not 
sworn in and transcripts are not made of the proceedings. Similarly, 
rules of evidence are not directly applicable, though it is recommended 
that the Neutral or Compensated Neutral be provided authority by the 
parties' ADR agreement to exclude evidence which is not relevant to the 
issues in dispute, for the sake of an efficient proceeding. Frequently, 
minitrials are followed either by direct one-on-one negotiations by the 
parties' principals or by meetings between the Neutral/Compensated 
Neutral and the parties' principals, at which the Neutral/Compensated 
Neutral may offer his or her views on the parties' positions (i.e., 
Neutral Evaluation) and/or facilitate negotiations and ultimate 
resolution via Mediation.

[[Page 112]]





                         SUBCHAPTER C--AIRCRAFT




PART 21--CERTIFICATION PROCEDURES FOR PRODUCTS AND PARTS--Table of Contents




                  Special Federal Aviation Regulations

SFAR No. 26
SFAR No. 41

                           Subpart A--General

Sec.
21.1  Applicability.
21.2  Falsification of applications, reports, or records.
21.3  Reporting of failures, malfunctions, and defects.
21.5  Airplane or Rotorcraft Flight Manual.

                      Subpart B--Type Certificates

21.11  Applicability.
21.13  Eligibility.
21.15  Application for type certificate.
21.16  Special conditions.
21.17  Designation of applicable regulations.
21.19  Changes requiring a new type certificate.
21.21  Issue of type certificate: normal, utility, acrobatic, commuter, 
          and transport category aircraft; manned free balloons; special 
          classes of aircraft; aircraft engines; propellers.
21.23  [Reserved]
21.24  Issuance of type certificate: primary category aircraft.
21.25  Issue of type certificate: Restricted category aircraft.
21.27  Issue of type certificate: surplus aircraft of the Armed Forces.
21.29  Issue of type certificate: import products.
21.31  Type design.
21.33  Inspection and tests.
21.35  Flight tests.
21.37  Flight test pilot.
21.39  Flight test instrument calibration and correction report.
21.41  Type certificate.
21.43  Location of manufacturing facilities.
21.45  Privileges.
21.47  Transferability.
21.49  Availability.
21.50  Instructions for continued airworthiness and manufacturer's 
          maintenance manuals having airworthiness limitations sections.
21.51  Duration.
21.53  Statement of conformity.

                Subpart C--Provisional Type Certificates

21.71  Applicability.
21.73  Eligibility.
21.75  Application.
21.77  Duration.
21.79  Transferability.
21.81  Requirements for issue and amendment of Class I provisional type 
          certificates.
21.83  Requirements for issue and amendment of Class II provisional type 
          certificates.
21.85  Provisional amendments to type certificates.

                 Subpart D--Changes to Type Certificates

21.91  Applicability.
21.93  Classification of changes in type design.
21.95  Approval of minor changes in type design.
21.97  Approval of major changes in type design.
21.99  Required design changes.
21.101  Designation of applicable regulations.

                Subpart E--Supplemental Type Certificates

21.111  Applicability.
21.113  Requirement of supplemental type certificate.
21.115  Applicable requirements.
21.117  Issue of supplemental type certificates.
21.119  Privileges.

            Subpart F--Production Under Type Certificate Only

21.121  Applicability.
21.123  Production under type certificate.
21.125  Production inspection system: Materials Review Board.
21.127  Tests: aircraft.
21.128  Tests: aircraft engines.
21.129  Tests: propellers.
21.130  Statement of conformity.

                   Subpart G--Production Certificates

21.131  Applicability.
21.133  Eligibility.
21.135  Requirements for issuance.
21.137  Location of manufacturing facilities.
21.139  Quality control.
21.143  Quality control data requirements; prime manufacturer.
21.147  Changes in quality control system.
21.149  Multiple products.
21.151  Production limitation record.
21.153  Amendment of the production certificates.
21.155  Transferability.
21.157  Inspections and tests.
21.159  Duration.

[[Page 113]]

21.161  Display.
21.163  Privileges.
21.165  Responsibility of holder.

                  Subpart H--Airworthiness Certificates

21.171  Applicability.
21.173  Eligibility.
21.175  Airworthiness certificates: classification.
21.177  Amendment or modification.
21.179  Transferability.
21.181  Duration.
21.182  Aircraft identification.
21.183  Issue of standard airworthiness certificates for normal, 
          utility, acrobatic, commuter, and transport category aircraft; 
          manned free balloons; and special classes of aircraft.
21.184  Issue of special airworthiness certificates for primary category 
          aircraft.
21.185  Issue of airworthiness certificates for restricted category 
          aircraft.
21.187  Issue of multiple airworthiness certification.
21.189  Issue of airworthiness certificate for limited category 
          aircraft.
21.191  Experimental certificates.
21.193  Experimental certificates: general.
21.195  Experimental certificates: Aircraft to be used for market 
          surveys, sales demonstrations, and customer crew training.
21.197  Special flight permits.
21.199  Issue of special flight permits.

            Subpart I--Provisional Airworthiness Certificates

21.211  Applicability.
21.213  Eligibility.
21.215  Application.
21.217  Duration.
21.219  Transferability.
21.221  Class I provisional airworthiness certificates.
21.223  Class II provisional airworthiness certificates.
21.225  Provisional airworthiness certificates corresponding with 
          provisional amendments to type certificates.

          Subpart J--Delegation Option Authorization Procedures

21.231  Applicability.
21.235  Application.
21.239  Eligibility.
21.243  Duration.
21.245  Maintenance of eligibility.
21.247  Transferability.
21.249  Inspections.
21.251  Limits of applicability.
21.253  Type certificates: application.
21.257  Type certificates: issue.
21.261  Equivalent safety provisions.
21.267  Production certificates.
21.269  Export airworthiness approvals.
21.271  Airworthiness approval tags.
21.273  Airworthiness certificates other than experimental.
21.275  Experimental certificates.
21.277  Data review and service experience.
21.289  Major repairs, rebuilding and alteration.
21.293  Current records.

   Subpart K--Approval of Materials, Parts, Processes, and Appliances

21.301  Applicability.
21.303  Replacement and modification parts.
21.305  Approval of materials, parts, processes, and appliances.

                Subpart L--Export Airworthiness Approvals

21.321  Applicability.
21.323  Eligibility.
21.325  Export airworthiness approvals.
21.327  Application.
21.329  Issue of export certificates of airworthiness for Class I 
          products.
21.331  Issue of airworthiness approval tags for Class II products.
21.333  Issue of export airworthiness approval tags for Class III 
          products.
21.335  Responsibilities of exporters.
21.337  Performance of inspections and overhauls.
21.339  Special export airworthiness approval for aircraft.

    Subpart M--Designated Alteration Station Authorization Procedures

21.431  Applicability.
21.435  Application.
21.439  Eligibility.
21.441  Procedure manual.
21.443  Duration.
21.445  Maintenance of eligibility.
21.447  Transferability.
21.449  Inspections.
21.451  Limits of applicability.
21.461  Equivalent safety provisions.
21.463  Supplemental type certificates.
21.473  Airworthiness certificates other than experimental.
21.475  Experimental certificates.
21.477  Data review and service experience.
21.493  Current records.

   Subpart N--Approval of Engines, Propellers, Materials, Parts, and 
                           Appliances: Import

21.500  Approval of engines and propellers.
21.502  Approval of materials, parts, and appliances.

           Subpart O--Technical Standard Order Authorizations

21.601  Applicability.

[[Page 114]]

21.603  TSO marking and privileges.
21.605  Application and issue.
21.607  General rules governing holders of TSO authorizations.
21.609  Approval for deviation.
21.611  Design changes.
21.613  Recordkeeping requirements.
21.615  FAA inspection.
21.617  Issue of letters of TSO design approval: import appliances.
21.619  Noncompliance.
21.621  Transferability and duration.

    Authority: 42 U.S.C. 7572; 49 U.S.C. 106(g), 40105, 40113, 44701-
44702, 44707, 44709, 44711, 44713, 44715, 45303.

    Editorial Note: For miscellaneous amendments to cross references in 
this Part 21 see Amdt. 21-10, 31 FR 9211, July 6, 1966.

                  Special Federal Aviation Regulations

                               SFAR No. 26

    Contrary provisions of Secs. 21.29, 21.500, and 21.502 of the 
Federal Aviation Regulations notwithstanding--
    1. A type certificate may be issued under Sec. 21.29 for an aircraft 
engine or propeller manufactured in a foreign country with which the 
United States has a currently effective bilateral agreement for the 
acceptance of powered aircraft for export and import and that is to be 
imported into the United States if (i) a type certificate has previously 
been issued by the Administrator for a product manufactured in that 
country which is of the same kind as the product for which a type 
certificate is requested; and (ii) the Administrator determines that the 
design standards and practices, the quality control standards, and the 
certification procedures utilized by such country for the particular 
product being imported are the equivalent of those required in the 
United States.
    2. Aircraft engines, propellers, materials, parts (including 
subassemblies), or appliances (hereinafter referred to as aircraft 
components), manufactured in a foreign country with which the United 
States has a currently effective bilateral agreement for the acceptance 
of powered aircraft may be approved under Sec. 21.500 or Sec. 21.502, as 
applicable, if (i) an approval has previously been issued by the 
Administrator for an aircraft component manufactured in that country 
which is of the same kind as the aircraft component for which approval 
is requested; and (ii) the Administrator determines that the quality 
control standards and the certification and approval procedures utilized 
by such country for the particular aircraft component being imported are 
the equivalent of those required in the United States.
    3. Aircraft subassemblies not covered under paragraph 2 that are to 
be incorporated on aircraft designed and manufactured in the United 
States, and that are manufactured in a foreign country with which the 
United States has a currently effective bilateral agreement for the 
acceptance of powered aircraft may be approved if (i) an approval has 
previously been issued by the Administrator for any other subassembly 
manufactured in that country; (ii) the Administrator determines that the 
quality control standards and the certification and approval procedures 
utilized by that country for the particular subassembly being imported 
are equivalent to those required in the United States; and (iii) the 
competent aeronautical authorities of the country certify that the 
subassembly meets the applicable design requirements.
    4. Appropriate procedures for the execution of the provisions 
contained in paragraphs 1, 2, and 3 of the regulation may be embodied in 
agreements between the Administrator and the competent aeronautical 
authorities of the country of manufacture of the aircraft component.
    5. In the event that the Administrator determines that the quality 
control standards and certification and approval procedures being 
utilized in the foreign countries to which this regulation is applicable 
no longer meet the quality control and certification and approval 
requirements equivalent to those required in the United States, the 
approval given under this regulation for the import into the United 
States of those aeronautical products covered by the regulation will be 
terminated.
    6. After October 1, 1977, this special regulation applies only to 
aircraft components and subassemblies produced in Japan pursuant to 
contracts between Japanese manufacturers and United States product 
manufacturers entered into prior to October 1, 1977.
    This special regulation shall terminate December 1, 1977, unless 
sooner rescinded or superseded.

[35 FR 12749, Aug. 12, 1970, as amended at 40 FR 28604, July 8, 1975; 41 
FR 27954, July 8, 1976; Doc. No. 10492, 42 FR 35634, July 11, 1977; 
Amdt. 26-11, 42 FR 54408, Oct. 6, 1977]

                               SFAR No. 41

    1. Applicability.
    (a) Contrary provisions of Parts 21 and 23 of the Federal Aviation 
Regulations notwithstanding, an applicant is entitled to an amended or 
supplemental type certificate in the normal category for a reciprocating 
or turbopropeller-powered multiengine small airplane originally type 
certificated prior to October 17, 1979 in accordance with Part 23 of the 
Federal Aviation Regulations in effect on March 13, 1971, or later, that 
is to be certificated with a passenger seating configuration, excluding 
pilot seats, of 10 seats or

[[Page 115]]

more (but not more than 19 seats) at a maximum certificated takeoff 
weight of 12,500 pounds or less, if the applicant complies with--
    (1) The regulations incorporated in the type certificate; and
    (2) The requirements of appendix A of Part 135 of the Federal 
Aviation Regulations in effect on September 26, 1978, except that the 
landing distance must be determined for standard atmosphere at each 
weight, altitude, and wind within the operating limits established by 
the applicant in accordance with Sec. 23.75(a) of this chapter in effect 
on September 26, 1978. Instead of a gliding approach specified in 
Sec. 23.75(a), the landing may be preceded by a steady approach down to 
the 50-foot height at a gradient of descent not greater than 5.2 percent 
(3 deg.) at a calibrated airspeed not less than 1.3Vs1.
    (b) Contrary provisions of Parts 1, 21, 23, 91, 121, and 135 of the 
Federal Aviation Regulations notwithstanding, an applicant is entitled 
to an amended or supplemental type certificate in the normal category 
for a reciprocating or turbopropeller powered multiengine airplane 
originally type certified prior to October 17, 1979 that is to be 
certificated with a maximum takeoff weight in excess of 12,500 pounds, a 
specified maximum zero fuel weight to be established by the applicant, 
and, where requested by the applicant, an increase in passenger seating 
configuration, (but not more than 19 passenger seats), if the applicant 
complies with--
    (1) The regulations incorporated in the type certificate;
    (2) The requirements of appendix A of Part 135 of the Federal 
Aviation Regulations in effect on September 26, 1978 with the exceptions 
specified in section 5 of this Special Federal Aviation Regulation; and
    (3) The additional requirements specified in sections 7 through 14 
of this Special Federal Aviation Regulation applicable to takeoff 
weights in excess of 12,500 pounds.
    (c) Contrary provisions of Part 1 of the Federal Aviation 
Regulations notwithstanding, an airplane certificated under paragraph 
(b) of this section is considered to be a small airplane for purposes of 
Parts 21, 23, 36, 121, 135, and 139 of the Federal Aviation Regulations, 
and a large airplane for purposes of Parts 61 and 91. Compliance with 
the small airplane provisions of Part 36 of the Federal Aviation 
Regulations must be shown at the maximum certificated takeoff weight 
approved under this Special Federal Aviation Regulation.
    2. Eligibility. Any person may apply for a supplemental type 
certificate (or an amended type certificate in the case of a type 
certificate holder) under this Special Federal Aviation Regulation.
    3. Production limitation. An amended or supplemental type 
certificate issued pursuant to section 1.(b) of this Special Federal 
Aviation Regulation is effective for the purpose of obtaining an 
original or an amended airworthiness certificate, until October 17, 1991 
unless the type certificate is sooner surrendered, suspended, revoked, 
or terminated.
    4. Restrictions. For airplanes certificated under section 1.(b) of 
this Special Federal Aviation Regulation--
    (a) The maximum zero fuel weight of the airplane must be established 
as an operating limitation; and
    (b) Except as provided in paragraph (c) of this section the 
airworthiness certificate shall be endorsed ``This airplane at weights 
in excess of 5,700 kg does not meet the airworthiness requirements of 
ICAO, as prescribed by Annex 8 of the Convention on International Civil 
Aviation.''
    (c) An applicant is entitled to type certificate amendment or a 
supplemental type certificate that shows compliance with ICAO Annex 8 if 
the airplane meets SFAR 41 and the following requirements prescribed by 
the Administrator in effect on October 17, 1979:
    (1) At each weight, altitude, and temperature within the operational 
limits selected by the applicant--
    (i) For approach climb performance, comply with Secs. 25.121(d) and 
25.1533(a)(2).
    (ii) For takeoff performance, comply with Secs. 25.105(d), 25.111, 
25.113(a), and 25.115.
    (2) For gust loads design at rough air gust speed VB, 
comply with Secs. 25.335(d), 25.341(a)(1), and 25.351(b).
    (3) For smoke evacuation design, comply with Sec. 25.831(d).
    (4) For engine rotation and restarting design, comply with 
Sec. 25.903 (c) and (e).
    (5) For engine cooling design, comply with Sec. 25.1521(e).
    5. Exceptions. For purposes of obtaining an amended or supplemental 
type certificate under section 1.(b) of this Special Federal Aviation 
Regulation, the following exceptions apply. All references in this 
section to specific sections of Parts 23 and 25 of this chapter are to 
those in effect on September 26, 1978 if no other date is given:
    (a) Compliance with section 1 of appendix A of Part 135 of the 
Federal Aviation Regulations is not required.
    (b) Compliance may be shown with the applicable regulations 
incorporated in the type certificate in lieu of the requirements of 
appendix A of Part 135 of the Federal Aviation Regulations for takeoff 
weights of 12,500 pounds or less, if the airplane was type 
certificated--
    (1) Under FAR Part 23 in effect prior to Amendment 23-10 and the 
airplane is to be used only in FAR Part 91 operations;
    (2) Before July 19, 1970, in the normal category with a passenger 
seating configuration, excluding any pilot seat, of 10 seats or more, 
(but not to exceed 19 passenger seats), and meets special conditions 
issued by the

[[Page 116]]

Administrator for airplanes intended for use in operations under FAR 
Part 135; or
    (3) Before July 19, 1970, in the normal category with a passenger 
seating configuration, excluding any pilot seat, of 10 seats or more, 
(but not to exceed 19 passenger seats), and meets the additional 
airworthiness standards in Special Federal Aviation Regulation No. 23.
    (c) In lieu of compliance with sections 7., and 19.(c) of appendix A 
of Part 135 of the Federal Aviation Regulations, comply with the 
following at takeoff weights in excess of 12,500 pounds:

                                 Landing

    (a) The landing distance must be determined for standard atmosphere 
at each weight, altitude, and wind within the operational limits 
established by the applicant in accordance with Sec. 23.75(a) of this 
chapter. Instead of a gliding approach specified in Sec. 23.75(a), the 
landing may be preceded by a steady approach down to the 50-foot height 
at a gradient of descent not greater than 5.2 percent (3 deg.) at a 
calibrated airspeed not less than 1.3 VS1.
    (b) The landing distance data must include correction factors for 
not more than 50 percent of the nominal wind components along the 
landing path opposite to the direction of landing, and not less than 150 
percent of the nominal wind components along the landing path in the 
direction of landing.
    (d) In lieu of compliance with section 28 of appendix A of Part 135 
of the Federal Aviation Regulations, comply with the following:
    Fatigue evaluation of flight structure. Unless it is shown that the 
structure, operating stress levels, materials, and expected use are 
comparable from a fatigue standpoint to a similar design which has had 
substantial satifactory service experience, the strength, detail design, 
and the fabrication of those parts of the wing, wing carrythrough, 
vertical fin, horizortal stabilizer, and attaching structure whose 
failure would be catastrophic must be evaluted under either--
    (a) A fatigue strength investigation in which the structure is shown 
by analysis, tests, or both, to be able to withstand the repeated loads 
of variable magnitude expected in service. Analysis alone is acceptable 
only when it is conservative and applied to simple structures; or
    (b) A fail-safe strength investigation in which it is shown by 
analysis, tests, or both, that catastrophic failure of the structure is 
not probable after fatigue, or obvious partial failure, of a principal 
structural element, and that the remaining structure is able to 
withstand a static ultimate load factor of 75 percent of the critical 
limit load factor at VC. These loads must be multiplied by a 
factor of 1.15 unless the dynamic effects of failure under static load 
are otherwise considered.
    (e) In lieu of compliance with section 32 of appendix A of Part 135 
of the Federal Aviation Regulations, comply with the following:
    Doors and exits. The airplane must meet the requirements of 
Secs. 23.783 and 23.807 (a)(3), (b), and (c) of this chapter, and in 
addition the following requirements:
    (a) Each cabin must have at least one easily accessible external 
door.
    (b) There must be a means to lock and safeguard each external door 
against opening in flight (either inadvertently by persons or as a 
result of mechanical failure or failure of a single structural element). 
Each external door must be operable from both the inside and the 
outside, even though persons may be crowded against the door on the 
inside of the airplane. Inward opening doors may be used if there are 
means to prevent occupants from crowding against the door to an extent 
that would interfere with the opening of the door. The means of opening 
must be simple and obvious and must be arranged and marked so that it 
can be readily located and operated, even in darkness. Auxiliary locking 
devices may be used.
    (c) Each external door must be reasonably free from jamming as a 
result of fuselage deformation in a minor crash.
    (d) Each external door must be located where persons using it will 
not be endangered by the propellers when appropriate operating 
procedures are used.
    (e) There must be a provision for direct visual inspection of the 
locking mechanism by crewmembers to determine whether external doors, 
for which the initial opening movement is outward (including passenger, 
crew, service, and cargo doors), are fully locked. In addition, there 
must be a visual means to signal to appropriate crewmembers when 
normally used external doors are closed and fully locked.
    (f) Cargo and service doors not suitable for use as exits in an 
emergency need only meet paragraph (e) of section 5(e) of this 
regulation and be safeguarded against opening in flight as a result of 
mechanical failure or failure of a single structural element.
    (g) The passenger entrance door must qualify as a floor level 
emergency exit. If an integral stair is installed at such a passenger 
entry door, the stair must be designed so that when subjected to the 
inertia forces specified in Sec. 23.561 of this chapter, and following 
the collapse of one or more legs of the landing gear, it will not 
interfere to an extent that will reduce the effectiveness of emergency 
egress through the passenger entry door. Each additional required 
emergency exit except floor level exits must be located over the wing or 
must be provided with acceptable means to assist the occupants in 
descending to the ground. In addition to the passenger entrance door--
    (1) For a total passenger seating capacity of 15 or less, an 
emergency exit, as defined in

[[Page 117]]

Sec. 23.807(b) of this chapter, is required on each side of the cabin; 
and
    (2) For a total passenger seating capacity of 16 through 19, three 
emergency exits, as defined in Sec. 23.807(b) of this chapter, are 
required with one on the same side as the door and two on the side 
opposite the door.
    (h) An evacuation demonstration must be conducted utilizing the 
maximum number of occupants for which certification is desired. It must 
be conducted under simulated night conditions utilizing only the 
emergency exits on the most critical side of the aircraft. The 
participants must be representative of average airline passengers with 
no prior practice or rehearsal for the demonstration. Evacuation must be 
completed within 90 seconds.
    (i) Each emergency exit must be marked with the word ``Exit'' by a 
sign which has white letters 1 inch high on a red background 2 inches 
high, be self-illuminated or independently internally electrically 
illuminated, and have a minimum luminescence (brightness) of at least 
160 microlamberts. The colors may be reversed if the passenger 
compartment illumination is essentially the same.
    (j) Access to window type emergency exits may not be obstructed by 
seats or seat backs.
    (k) The width of the main passenger aisle at any point between seats 
must equal or exceed the values in the following table:

------------------------------------------------------------------------
                                    Minimum main passenger aisle width
                                 ---------------------------------------
    Number of passenger seats        Less than 25     25 inches and more
                                   inches from floor      from floor
------------------------------------------------------------------------
10 through 19...................  9 inches..........  15 inches.
------------------------------------------------------------------------

    (f) In lieu of compliance with Section 45 of appendix A of Part 135 
of the Federal Aviation Regulations, comply with Sec. 23.954 of this 
chapter.
    (g) In lieu of compliance with Section 56 of appendix A of Part 135 
of the Federal Aviation Regulations, comply with the following:
    Cowlings. The airplane must be designed and constructed so that no 
fire originating in any engine compartment can enter, either through 
openings or by burn through, any other region where it would create 
additional hazards.
    (h) In lieu of complaince with Section 57 of appendix A of Part 135 
of the Federal Aviation Regulations, comply with Sec. 25.863 of this 
chapter.
    6. Additional requirements--general. The additional requirements 
specified in sections 7 through 14 apply to the certification of 
airplanes pursuant to section 1.(b) of this Special Federal Aviation 
Regulation.
    7. Compartment interiors.
    (a) If smoking is to be prohibited, there must be a placard so 
stating, and if smoking is to be allowed--
    (1) There must be an adequate number of self-contained removable 
ashtrays; and
    (2) Where the crew compartment is separated from the passenger 
compartment, there must be at least one sign (using either letters or 
symbols) notifying all passengers when smoking is prohibited. Signs 
which notify when smoking is prohibited must--
    (i) Be legible to each passenger seated in the passenger cabin under 
all probable lighting conditions; and
    (ii) When illuminated, be so constructed that the crew can turn them 
on and off.
    (b) Each disposal receptacle for towels, paper, or waste must be 
fully enclosed and constructed of at least fire resistant materials, and 
must contain fires likely to occur in it under normal use. The ability 
of the disposal receptacle to contain those fires under all probable 
conditions of wear, misalignment, and ventilation expected in service 
must be demonstrated by test. A placard containing the legible words 
``No Cigarette Disposal'' must be located on or near each disposal 
receptacle door.
    (c) Lavatories must have ``No Smoking'' or ``No Smoking in 
Lavatory'' placards located conspicuously on each side of the entry 
door, and self-contained removable ashtrays located conspicuously on or 
near the entry side of each lavatory door, except that one ashtray may 
serve more than one lavatory door if it can be seen from the cabin side 
of each lavatory door served. The placards must have red letters at 
least one-half inch high on a white background at least one inch high. 
(A ``No smoking'' symbol may be included on the placard).
    (d) There must be at least one hand fire extinguisher conventiently 
located in the pilot compartment.
    (e) There must be at least one hand fire extinguisher conventiently 
located in the passenger compartment.
    8. Landing gear. Comply with Sec. 25.721(a)(2), (b), and (c) of this 
chapter in effect on September 26, 1978.
    9. Fuel system components crashworthiness. Comply with 
Secs. 25.963(d) and 25.994 of this chapter in effect on September 26, 
1978.
    10. Shutoff means. Comply with Sec. 23.1189 of this chapter in 
effect on September 26, 1978.
    11. Fire detector and extinguishing systems--(a) Fire detector 
systems. (1) There must be a means which ensures the prompt detection of 
a fire in an engine compartment.
    (2) Each fire detector must be constructed and installed to 
withstand the vibration, inertia, and other loads to which it may be 
subjected in operation.
    (3) No fire detector may be affected by any oil, water, other 
fluids, or fumes that might be present.

[[Page 118]]

    (4) There must be means to allow the crew to check, in flight, the 
function of each fire detector electric circuit.
    (5) Wiring and other components of each fire detector system in an 
engine compartment must be at least fire resistant.
    (b) Fire extinguishing systems. (1) Except for combustor, turbine, 
and tail pipe sections of turbine engine installations that contain 
lines or components carrying flammable fluids or gases for which it is 
shown that a fire originating in these sections can be controlled, there 
must be a fire extinguisher system serving each engine compartment.
    (2) The fire extinguishing system, the quantity of the extinguishing 
agent, the rate of discharge, and the discharge distribution must be 
adequate to extinguish fires. An individual ``one shot'' system may be 
used.
    (3) The fire-extinguishing system for a nacelle must be able to 
simultaneously protect each compartment of the nacelle for which 
protection is provided.
    12. Fire extinguishing agents. Comply with Sec. 25.1197 of this 
chapter in effect on September 26, 1978.
    13. Extinguishing agent containers. Comply with Sec. 25.1199 of this 
chapter in effect on September 26, 1978.
    14. Fire extinguishing system materials. Comply with Sec. 25.1201 of 
this chapter in effect on September 26, 1978.
    15. Expiration. This Special Federal Aviation Regulation terminates 
on September 13, 1983, unless sooner rescinded or superseded.

[Doc. No. 18315, 44 FR 53729, Sept. 17, 1979; 45 FR 25047, Apr. 14, 
1980; 45 FR 80973, Dec. 8, 1980, as amended by Doc. No. 21716, 47 FR 
35153, Aug. 12, 1982]



                           Subpart A--General



Sec. 21.1  Applicability.

    (a) This part prescribes--
    (1) Procedural requirements for the issue of type certificates and 
changes to those certificates; the issue of production certificates; the 
issue of airworthiness certificates; and the issue of export 
airworthiness approvals.
    (2) Rules governing the holders of any certificate specified in 
paragraph (a)(1) of this section; and
    (3) Procedural requirements for the approval of certain materials, 
parts, processes, and appliances.
    (b) For the purposes of this part, the word ``product'' means an 
aircraft, aircraft engine, or propeller. In addition, for the purposes 
of Subpart L only, it includes components and parts of aircraft, of 
aircraft engines, and of propellers; also parts, materials, and 
appliances, approved under the Technical Standard Order system.

[Doc. No. 5085, 29 FR 14563, Oct. 24, 1964, as amended by Amdt. 21-2, 30 
FR 8465, July 2, 1965; Amdt. 21-6, 30 FR 11379, Sept. 8, 1965]



Sec. 21.2  Falsification of applications, reports, or records.

    (a) No person shall make or cause to be made--
    (1) Any fraudulent or intentionally false statement on any 
application for a certificate or approval under this part;
    (2) Any fraudulent or intentionally false entry in any record or 
report that is required to be kept, made, or used to show compliance 
with any requirement for the issuance or the exercise of the privileges 
of any certificate or approval issued under this part;
    (3) Any reproduction for a fraudulent purpose of any certificate or 
approval issued under this part.
    (4) Any alteration of any certificate or approval issued under this 
part.
    (b) The commission by any person of an act prohibited under 
paragraph (a) of this section is a basis for suspending or revoking any 
certificate or approval issued under this part and held by that person.

[Doc. No. 23345, 57 FR 41367, Sept. 9, 1992]



Sec. 21.3  Reporting of failures, malfunctions, and defects.

    (a) Except as provided in paragraph (d) of this section, the holder 
of a Type Certificate (including a Supplemental Type Certificate), a 
Parts Manufacturer Approval (PMA), or a TSO authorization, or the 
licensee of a Type Certificate shall report any failure, malfunction, or 
defect in any product, part, process, or article manufactured by it that 
it determines has resulted in any of the occurrences listed in paragraph 
(c) of this section.
    (b) The holder of a Type Certificate (including a Supplemental Type 
Certificate), a Parts Manufacturer Approval (PMA), or a TSO 
authorization, or the licensee of a Type of Certificate shall report any 
defect in any product, part, or article manufactured by it that has left 
its quality control system and that it determines could result in any of 
the occurrences listed in paragraph (c) of this section.

[[Page 119]]

    (c) The following occurrences must be reported as provided in 
paragraphs (a) and (b) of this section:
    (1) Fires caused by a system or equipment failure, malfunction, or 
defect.
    (2) An engine exhaust system failure, malfunction, or defect which 
causes damage to the engine, adjacent aircraft structure, equipment, or 
components.
    (3) The accumulation or circulation of toxic or noxious gases in the 
crew compartment or passenger cabin.
    (4) A malfunction, failure, or defect of a propeller control system.
    (5) A propeller or rotorcraft hub or blade structural failure.
    (6) Flammable fluid leakage in areas where an ignition source 
normally exists.
    (7) A brake system failure caused by structural or material failure 
during operation.
    (8) A significant aircraft primary structural defect or failure 
caused by any autogenous condition (fatigue, understrength, corrosion, 
etc.).
    (9) Any abnormal vibration or buffeting caused by a structural or 
system malfunction, defect, or failure.
    (10) An engine failure.
    (11) Any structural or flight control system malfunction, defect, or 
failure which causes an interference with normal control of the aircraft 
for which derogates the flying qualities.
    (12) A complete loss of more than one electrical power generating 
system or hydraulic power system during a given operation of the 
aircraft.
    (13) A failure or malfunction of more than one attitude, airspeed, 
or altitude instrument during a given operation of the aircraft.
    (d) The requirements of paragraph (a) of this section do not apply 
to--
    (1) Failures, malfunctions, or defects that the holder of a Type 
Certificate (including a Supplemental Type Certificate), Parts 
Manufacturer Approval (PMA), or TSO authorization, or the licensee of a 
Type Certificate--
    (i) Determines were caused by improper maintenance, or improper 
usage;
    (ii) Knows were reported to the FAA by another person under the 
Federal Aviation Regulations; or
    (iii) Has already reported under the accident reporting provisions 
of Part 430 of the regulations of the National Transportation Safety 
Board.
    (2) Failures, malfunctions, or defects in products, parts, or 
articles manufactured by a foreign manufacturer under a U.S. Type 
Certificate issued under Sec. 21.29 or Sec. 21.617, or exported to the 
United States under Sec. 21.502.
    (e) Each report required by this section--
    (1) Shall be made to the Aircraft Certification Office in the region 
in which the person required to make the report is located within 24 
hours after it has determined that the failure, malfunction, or defect 
required to be reported has occurred. However, a report that is due on a 
Saturday or a Sunday may be delivered on the following Monday and one 
that is due on a holiday may be delivered on the next workday;
    (2) Shall be transmitted in a manner and form acceptable to the 
Administrator and by the most expeditious method available; and
    (3) Shall include as much of the following information as is 
available and applicable:
    (i) Aircraft serial number.
    (ii) When the failure, malfunction, or defect is associated with an 
article approved under a TSO authorization, the article serial number 
and model designation, as appropriate.
    (iii) When the failure, malfunction, or defect is associated with an 
engine or propeller, the engine or propeller serial number, as 
appropriate.
    (iv) Product model.
    (v) Identification of the part, component, or system involved. The 
identification must include the part number.
    (vi) Nature of the failure, malfunction, or defect.
    (f) Whenever the investigation of an accident or service difficulty 
report shows that an article manufactured under a TSO authorization is 
unsafe because of a manufacturing or design defect, the manufacturer 
shall, upon request of the Administrator, report to the Administrator 
the results of its investigation and any action taken or proposed by the 
manufacturer to correct that defect. If action is required to correct 
the defect in existing articles, the manufacturer shall submit the data 
necessary for the issuance of an appropriate airworthiness directive to 
the

[[Page 120]]

Manager of the Aircraft Certification Office for the geographic area of 
the FAA regional office in the region in which it is located.

[Amdt. 21-36, 35 FR 18187, Nov. 28, 1970, as amended by Amdt. 21-37, 35 
FR 18450, Dec. 4, 1970; Amdt. 21-50, 45 FR 38346, June 9, 1980; Amdt. 
21-67, 54 FR 39291, Sept. 25, 1989]



Sec. 21.5  Airplane or Rotorcraft Flight Manual.

    (a) With each airplane or rotorcraft that was not type certificated 
with an Airplane or Rotorcraft Flight Manual and that has had no flight 
time prior to March 1, 1979, the holder of a Type Certificate (including 
a Supplemental Type Certificate) or the licensee of a Type Certificate 
shall make available to the owner at the time of delivery of the 
aircraft a current approved Airplane or Rotorcraft Flight Manual.
    (b) The Airplane or Rotorcraft Flight Manual required by paragraph 
(a) of this section must contain the following information:
    (1) The operating limitations and information required to be 
furnished in an Airplane or Rotorcraft Flight Manual or in manual 
material, markings, and placards, by the applicable regulations under 
which the airplane or rotorcraft was type certificated.
    (2) The maximum ambient atmospheric temperature for which engine 
cooling was demonstrated must be stated in the performance information 
section of the Flight Manual, if the applicable regulations under which 
the aircraft was type certificated do not require ambient temperature on 
engine cooling operating limitations in the Flight Manual.

[Amdt. 21-46, 43 FR 2316, Jan. 16, 1978]



                      Subpart B--Type Certificates

    Source: Docket No. 5085, 29 FR 14564, Oct. 24, 1964, unless 
otherwise noted.



Sec. 21.11  Applicability.

    This subpart prescribes--
    (a) Procedural requirements for the issue of type certificates for 
aircraft, aircraft engines, and propellers; and
    (b) Rules governing the holders of those certificates.



Sec. 21.13  Eligibility.

    Any interested person may apply for a type certificate.

[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]



Sec. 21.15  Application for type certificate.

    (a) An application for a type certificate is made on a form and in a 
manner prescribed by the Administrator and is submitted to the 
appropriate Aircraft Certification Office.
    (b) An application for an aircraft type certificate must be 
accompanied by a three-view drawing of that aircraft and available 
preliminary basic data.
    (c) An application for an aircraft engine type certificate must be 
accompanied by a description of the engine design features, the engine 
operating characteristics, and the proposed engine operating 
limitations.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-40, 
39 FR 35459, Oct. 1, 1974; Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]



Sec. 21.16  Special conditions.

    If the Administrator finds that the airworthiness regulations of 
this subchapter do not contain adequate or appropriate safety standards 
for an aircraft, aircraft engine, or propeller because of a novel or 
unusual design feature of the aircraft, aircraft engine or propeller, he 
prescribes special conditions and amendments thereto for the product. 
The special conditions are issued in accordance with Part 11 of this 
chapter and contain such safety standards for the aircraft, aircraft 
engine or propeller as the Administrator finds necessary to establish a 
level of safety equivalent to that established in the regulations.

[Amdt. 21-19, 32 FR 17851, Dec. 13, 1967; as amended by Amdt. 21-51, 45 
FR 60170, Sept. 11, 1980]



Sec. 21.17  Designation of applicable regulations.

    (a) Except as provided in Sec. 23.2, Sec. 25.2, Sec. 27.2, Sec. 29.2 
and in parts 34 and 36 of this chapter, an applicant for a type 
certificate must show that the aircraft, aircraft engine, or propeller 
concerned meets--
    (1) The applicable requirements of this subchapter that are 
effective on

[[Page 121]]

the date of application for that certificate unless--
    (i) Otherwise specified by the Administrator; or
    (ii) Compliance with later effective amendments is elected or 
required under this section; and
    (2) Any special conditions prescribed by the Administrator.
    (b) For special classes of aircraft, including the engines and 
propellers installed thereon (e.g., gliders, airships, and other 
nonconventional aircraft), for which airworthiness standards have not 
been issued under this subchapter, the applicable requirements will be 
the portions of those other airworthiness requirements contained in 
Parts 23, 25, 27, 29, 31, 33, and 35 found by the Administrator to be 
appropriate for the aircraft and applicable to a specific type design, 
or such airworthiness criteria as the Administrator may find provide an 
equivalent level of safety to those parts.
    (c) An application for type certification of a transport category 
aircraft is effective for 5 years and an application for any other type 
certificate is effective for 3 years, unless an applicant shows at the 
time of application that his product requires a longer period of time 
for design, development, and testing, and the Administrator approves a 
longer period.
    (d) In a case where a type certificate has not been issued, or it is 
clear that a type certificate will not be issued, within the time limit 
established under paragraph (c) of this section, the applicant may--
    (1) File a new application for a type certificate and comply with 
all the provisions of paragraph (a) of this section applicable to an 
original application; or
    (2) File for an extension of the original application and comply 
with the applicable airworthiness requirements of this subchapter that 
were effective on a date, to be selected by the applicant, not earlier 
than the date which precedes the date of issue of the type certificate 
by the time limit established under paragraph (c) of this section for 
the original application.
    (e) If an applicant elects to comply with an amendment to this 
subchapter that is effective after the filing of the application for a 
type certificate, he must also comply with any other amendment that the 
Administrator finds is directly related.
    (f) For primary category aircraft, the requirements are:
    (1) The applicable airworthiness requirements contained in parts 23, 
27, 31, 33, and 35 of this subchapter, or such other airworthiness 
criteria as the Administrator may find appropriate and applicable to the 
specific design and intended use and provide a level of safety 
acceptable to the Administrator.
    (2) The noise standards of part 36 applicable to primary category 
aircraft.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-19, 
32 FR 17851, Dec. 13, 1967; Amdt. 21-24, 34 FR 364, Jan. 10, 1969; Amdt. 
21-42, 40 FR 1033, Jan. 6, 1975; Amdt. 21-58, 50 FR 46877, Nov. 13, 
1985; Amdt. 21-60, 52 FR 8042, Mar. 13, 1987; Amdt. 21-68, 55 FR 32860, 
Aug. 10, 1990; Amdt. 21-69, 56 FR 41051, Aug. 16, 1991; Amdt. 21-70, 57 
FR 41367, Sept. 9, 1992]



Sec. 21.19  Changes requiring a new type certificate.

    Each person who proposes to change a product must apply for a new 
type certificate if the Administrator finds that the proposed change in 
design, power, thrust, or weight is so extensive that a substantially 
complete investigation of compliance with the applicable regulations is 
required.

[Doc. No. 28903, 65 FR 36265, June 7, 2000]



Sec. 21.21  Issue of type certificate: normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; special classes of aircraft; 
          aircraft engines; propellers.

    An applicant is entitled to a type certificate for an aircraft in 
the normal, utility, acrobatic, commuter, or transport category, or for 
a manned free balloon, special class of aircraft, or an aircraft engine 
or propeller, if--
    (a) The product qualifies under Sec. 21.27; or
    (b) The applicant submits the type design, test reports, and 
computations necessary to show that the product to be certificated meets 
the applicable

[[Page 122]]

airworthiness, aircraft noise, fuel venting, and exhaust emission 
requirements of the Federal Aviation Regulations and any special 
conditions prescribed by the Administrator, and the Administrator 
finds--
    (1) Upon examination of the type design, and after completing all 
tests and inspections, that the type design and the product meet the 
applicable noise, fuel venting, and emissions requirements of the 
Federal Aviation Regulations, and further finds that they meet the 
applicable airworthiness requirements of the Federal Aviation 
Regulations or that any airworthiness provisions not complied with are 
compensated for by factors that provide an equivalent level of safety; 
and
    (2) For an aircraft, that no feature or characteristic makes it 
unsafe for the category in which certification is requested.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-15, 
32 FR 3735, Mar. 4, 1967; Amdt. 21-27, 34 FR 18368, Nov. 18, 1969; Amdt. 
21-60, 52 FR 8042, Mar. 13, 1987; Amdt. 21-68, 55 FR 32860, Aug. 10, 
1990]



Sec. 21.23  [Reserved]



Sec. 21.24  Issuance of type certificate: primary category aircraft.

    (a) The applicant is entitled to a type certificate for an aircraft 
in the primary category if--
    (1) The aircraft--
    (i) Is unpowered; is an airplane powered by a single, naturally 
aspirated engine with a 61-knot or less Vso stall speed as 
defined in Sec. 23.49; or is a rotorcraft with a 6-pound per square foot 
main rotor disc loading limitation, under sea level standard day 
conditions;
    (ii) Weighs not more than 2,700 pounds; or, for seaplanes, not more 
than 3,375 pounds;
    (iii) Has a maximum seating capacity of not more than four persons, 
including the pilot; and
    (iv) Has an unpressurized cabin.
    (2) The applicant has submitted--
    (i) Except as provided by paragraph (c) of this section, a 
statement, in a form and manner acceptable to the Administrator, 
certifying that: the applicant has completed the engineering analysis 
necessary to demonstrate compliance with the applicable airworthiness 
requirements; the applicant has conducted appropriate flight, 
structural, propulsion, and systems tests necessary to show that the 
aircraft, its components, and its equipment are reliable and function 
properly; the type design complies with the airworthiness standards and 
noise requirements established for the aircraft under Sec. 21.17(f); and 
no feature or characteristic makes it unsafe for its intended use;
    (ii) The flight manual required by Sec. 21.5(b), including any 
information required to be furnished by the applicable airworthiness 
standards;
    (iii) Instructions for continued airworthiness in accordance with 
Sec. 21.50(b); and
    (iv) A report that: summarizes how compliance with each provision of 
the type certification basis was determined; lists the specific 
documents in which the type certification data information is provided; 
lists all necessary drawings and documents used to define the type 
design; and lists all the engineering reports on tests and computations 
that the applicant must retain and make available under Sec. 21.49 to 
substantiate compliance with the applicable airworthiness standards.
    (3) The Administrator finds that--
    (i) The aircraft complies with those applicable airworthiness 
requirements approved under Sec. 21.17(f) of this part; and
    (ii) The aircraft has no feature or characteristic that makes it 
unsafe for its intended use.
    (b) An applicant may include a special inspection and preventive 
maintenance program as part of the aircraft's type design or 
supplemental type design.
    (c) For aircraft manufactured outside of the United States in a 
country with which the United States has a bilateral airworthiness 
agreement for the acceptance of these aircraft, and from which the 
aircraft is to be imported into the United States--
    (1) The statement required by paragraph (a)(2)(i) of this section 
must be made by the civil airworthiness authority of the exporting 
country; and
    (2) The required manuals, placards, listings, instrument markings, 
and documents required by paragraphs (a)

[[Page 123]]

and (b) of this section must be submitted in English.

[Doc. No. 23345, 57 FR 41367, Sept. 9, 1992; as amended by Amdt. 21-75, 
62 FR 62808, Nov. 25, 1997]



Sec. 21.25  Issue of type certificate: Restricted category aircraft.

    (a) An applicant is entitled to a type certificate for an aircraft 
in the restricted category for special purpose operations if he shows 
compliance with the applicable noise requirements of Part 36 of this 
chapter, and if he shows that no feature or characteristic of the 
aircraft makes it unsafe when it is operated under the limitations 
prescribed for its intended use, and that the aircraft--
    (1) Meets the airworthiness requirements of an aircraft category 
except those requirements that the Administrator finds inappropriate for 
the special purpose for which the aircraft is to be used; or
    (2) Is of a type that has been manufactured in accordance with the 
requirements of and accepted for use by, an Armed Force of the United 
States and has been later modified for a special purpose.
    (b) For the purposes of this section, ``special purpose operations'' 
includes--
    (1) Agricultural (spraying, dusting, and seeding, and livestock and 
predatory animal control);
    (2) Forest and wildlife conservation;
    (3) Aerial surveying (photography, mapping, and oil and mineral 
exploration);
    (4) Patrolling (pipelines, power lines, and canals);
    (5) Weather control (cloud seeding);
    (6) Aerial advertising (skywriting, banner towing, airborne signs 
and public address systems); and
    (7) Any other operation specified by the Administrator.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-42, 
40 FR 1033, Jan. 6, 1975]



Sec. 21.27  Issue of type certificate: surplus aircraft of the Armed Forces.

    (a) Except as provided in paragraph (b) of this section an applicant 
is entitled to a type certificate for an aircraft in the normal, 
utility, acrobatic, commuter, or transport category that was designed 
and constructed in the United States, accepted for operational use, and 
declared surplus by, an Armed Force of the United States, and that is 
shown to comply with the applicable certification requirements in 
paragraph (f) of this section.
    (b) An applicant is entitled to a type certificate for a surplus 
aircraft of the Armed Forces of the United States that is a counterpart 
of a previously type certificated civil aircraft, if he shows compliance 
with the regulations governing the original civil aircraft type 
certificate.
    (c) Aircraft engines, propellers, and their related accessories 
installed in surplus Armed Forces aircraft, for which a type certificate 
is sought under this section, will be approved for use on those aircraft 
if the applicant shows that on the basis of the previous military 
qualifications, acceptance, and service record, the product provides 
substantially the same level of airworthiness as would be provided if 
the engines or propellers were type certificated under Part 33 or 35 of 
the Federal Aviation Regulations.
    (d) The Administrator may relieve an applicant from strict 
compliance with a specific provision of the applicable requirements in 
paragraph (f) of this section, if the Administrator finds that the 
method of compliance proposed by the applicant provides substantially 
the same level of airworthiness and that strict compliance with those 
regulations would impose a severe burden on the applicant. The 
Administrator may use experience that was satisfactory to an Armed Force 
of the United States in making such a determination.
    (e) The Administrator may require an applicant to comply with 
special conditions and later requirements than those in paragraphs (c) 
and (f) of this section, if the Administrator finds that compliance with 
the listed regulations would not ensure an adequate level of 
airworthiness for the aircraft.
    (f) Except as provided in paragraphs (b) through (e) of this 
section, an applicant for a type certificate under this section must 
comply with the appropriate regulations listed in the following table:

[[Page 124]]



------------------------------------------------------------------------
                                Date accepted for
                                 operational use
       Type of aircraft            by the Armed       Regulations that
                                  Forces of the           apply\1\
                                  United States
------------------------------------------------------------------------
Small reciprocating-engine      Before May 16,     CAR Part 3, as
 powered airplanes.              1956.              effective May 15,
                                After May 15,       1956.
                                 1956.             CAR Part 3, or FAR
                                                    Part 23.
Small turbine engine-powered    Before Oct. 2,     CAR Part 3, as
 airplanes.                      1959.              effective Oct. 1,
                                After Oct. 1,       1959.
                                 1959.             CAR Part 3 or FAR
                                                    Part 23.
Commuter category airplanes...  After (Feb. 17,
                                 1987).
                                FAR Part 23 as of
                                 (Feb. 17, 1987)..
Large reciprocating-engine      Before Aug. 26,    CAR Part 4b, as
 powered airplanes.              1955.              effective Aug. 25,
                                After Aug. 25,      1955.
                                 1959.             CAR Part 4b or FAR
                                                    Part 25.
Large turbine engine-powered    Before Oct. 2,     CAR Part 4b, as
 airplanes.                      1959.              effective Oct. 1,
                                After Oct. 1,       1959.
                                 1959.             CAR Part 4b or FAR
                                                    Part 25.
Rotorcraft with maximum
 certificated takeoff weight
 of:
  6,000 pounds or less........  Before Oct. 2,     CAR Part 6, as
                                 1959.              effective Oct. 1,
                                After Oct. 1,       1959.
                                 1959.             CAR Part 6, or FAR
                                                    Part 27.
  Over 6,000 pounds...........  Before Oct. 2,     CAR Part 7, as
                                 1959.              effective Oct. 1,
                                After Oct. 1,       1959.
                                 1959.             CAR Part 7, or FAR
                                                    Part 29.
------------------------------------------------------------------------
\1\ Where no specific date is listed, the applicable regulations are
  those in effect on the date that the first aircraft of the particular
  model was accepted for operational use by the Armed Forces.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-59, 
52 FR 1835, Jan. 15, 1987; 52 FR 7262, Mar. 9, 1987]



Sec. 21.29  Issue of type certificate: import products.

    (a) A type certificate may be issued for a product that is 
manufactured in a foreign country with which the United States has an 
agreement for the acceptance of these products for export and import and 
that is to be imported into the United States if--
    (1) The country in which the product was manufactured certifies that 
the product has been examined, tested, and found to meet--
    (i) The applicable aircraft noise, fuel venting and exhaust 
emissions requirements of this subchapter as designated in Sec. 21.17, 
or the applicable aircraft noise, fuel venting and exhaust emissions 
requirements of the country in which the product was manufactured, and 
any other requirements the Administrator may prescribe to provide noise, 
fuel venting and exhaust emission levels no greater than those provided 
by the applicable aircraft noise, fuel venting, and exhaust emission 
requirements of this subchapter as designated in Sec. 21.17; and
    (ii) The applicable airworthiness requirements of this subchapter as 
designated in Sec. 21.17, or the applicable airworthiness requirements 
of the country in which the product was manufactured and any other 
requirements the Administrator may prescribe to provide a level of 
safety equivalent to that provided by the applicable airworthiness 
requirements of this subchapter as designated in Sec. 21.17;
    (2) The applicant has submitted the technical data, concerning 
aircraft noise and airworthiness, respecting the product required by the 
Administrator; and
    (3) The manuals, placards, listings, and instrument markings 
required by the applicable airworthiness (and noise, where applicable) 
requirements are presented in the English language.
    (b) A product type certificated under this section is considered to 
be type certificated under the noise standards of part 36, and the fuel 
venting and exhaust emission standards of part 34, of the Federal 
Aviation Regulations where compliance therewith is certified under 
paragraph (a)(1)(i) of this section, and under the airworthiness 
standards of that part of the Federal Aviation Regulations with which 
compliance is certified under paragraph (a)(1)(ii) of this section or to 
which an equivalent level of safety is certified under paragraph 
(a)(1)(ii) of this section.

[Amdt. 21-27, 34 FR 18363, Nov. 18, 1969, as amended by Amdt. 21-68, 55 
FR 32860, Aug. 10, 1990; 55 FR 37287, Sept. 10, 1990]



Sec. 21.31  Type design.

    The type design consists of--

[[Page 125]]

    (a) The drawings and specifications, and a listing of those drawings 
and specifications, necessary to define the configuration and the design 
features of the product shown to comply with the requirements of that 
part of this subchapter applicable to the product;
    (b) Information on dimensions, materials, and processes necessary to 
define the structural strength of the product;
    (c) The Airworthiness Limitations section of the Instructions for 
Continued Airworthiness as required by Parts 23, 25, 27, 29, 31, 33, and 
35 of this chapter or as otherwise required by the Administrator; and as 
specified in the applicable airworthiness criteria for special classes 
of aircraft defined in Sec. 21.17(b); and
    (d) For primary category aircraft, if desired, a special inspection 
and preventive maintenance program designed to be accomplished by an 
appropriately rated and trained pilot-owner.
    (e) Any other data necessary to allow, by comparison, the 
determination of the airworthiness, noise characteristics, fuel venting, 
and exhaust emissions (where applicable) of later products of the same 
type.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-27, 
34 FR 18363, Nov. 18, 1969; Amdt. 21-51, 45 FR 60170, Sept. 11, 1980; 
Amdt. 21-60, 52 FR 8042, Mar. 13, 1987; Amdt. 21-68, 55 FR 32860, Aug. 
10, 1990; Amdt. 21-70, 57 FR 41368, Sept. 9, 1992]



Sec. 21.33  Inspection and tests.

    (a) Each applicant must allow the Administrator to make any 
inspection and any flight and ground test necessary to determine 
compliance with the applicable requirements of the Federal Aviation 
Regulations. However, unless otherwise authorized by the Administrator--
    (1) No aircraft, aircraft engine, propeller, or part thereof may be 
presented to the Administrator for test unless compliance with 
paragraphs (b)(2) through (b)(4) of this section has been shown for that 
aircraft, aircraft engine, propeller, or part thereof; and
    (2) No change may be made to an aircraft, aircraft engine, 
propeller, or part thereof between the time that compliance with 
paragraphs (b)(2) through (b)(4) of this section is shown for that 
aircraft, aircraft engine, propeller, or part thereof and the time that 
it is presented to the Administrator for test.
    (b) Each applicant must make all inspections and tests necessary to 
determine--
    (1) Compliance with the applicable airworthiness, aircraft noise, 
fuel venting, and exhaust emission requirements;
    (2) That materials and products conform to the specifications in the 
type design;
    (3) That parts of the products conform to the drawings in the type 
design; and
    (4) That the manufacturing processes, construction and assembly 
conform to those specified in the type design.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-17, 
32 FR 14926, Oct. 28, 1967; Amdt. 21-27, 34 FR 18363, Nov. 18, 1969; 
Amdt. 21-44, 41 FR 55463, Dec. 20, 1976; Amdt. 21-68, 55 FR 32860, Aug. 
10, 1990; Amdt. 21-68, 55 FR 32860, Aug. 10, 1990]



Sec. 21.35  Flight tests.

    (a) Each applicant for an aircraft type certificate (other than 
under Secs. 21.24 through 21.29) must make the tests listed in paragraph 
(b) of this section. Before making the tests the applicant must show--
    (1) Compliance with the applicable structural requirements of this 
subchapter;
    (2) Completion of necessary ground inspections and tests;
    (3) That the aircraft conforms with the type design; and
    (4) That the Administrator received a flight test report from the 
applicant (signed, in the case of aircraft to be certificated under Part 
25 [New] of this chapter, by the applicant's test pilot) containing the 
results of his tests.
    (b) Upon showing compliance with paragraph (a) of this section, the 
applicant must make all flight tests that the Administrator finds 
necessary--
    (1) To determine compliance with the applicable requirements of this 
subchapter; and
    (2) For aircraft to be certificated under this subchapter, except 
gliders and except airplanes of 6,000 lbs. or less maximum certificated 
weight that are to be certificated under Part 23 of this chapter, to 
determine whether there is

[[Page 126]]

reasonable assurance that the aircraft, its components, and its 
equipment are reliable and function properly.
    (c) Each applicant must, if practicable, make the tests prescribed 
in paragraph (b)(2) of this section upon the aircraft that was used to 
show compliance with--
    (1) Paragraph (b)(1) of this section; and
    (2) For rotorcraft, the rotor drive endurance tests prescribed in 
Sec. 27.923 or Sec. 29.923 of this chapter, as applicable.
    (d) Each applicant must show for each flight test (except in a 
glider or a manned free balloon) that adequate provision is made for the 
flight test crew for emergency egress and the use of parachutes.
    (e) Except in gliders and manned free balloons, an applicant must 
discontinue flight tests under this section until he shows that 
corrective action has been taken, whenever--
    (1) The applicant's test pilot is unable or unwilling to make any of 
the required flight tests; or
    (2) Items of noncompliance with requirements are found that may make 
additional test data meaningless or that would make further testing 
unduly hazardous.
    (f) The flight tests prescribed in paragraph (b)(2) of this section 
must include--
    (1) For aircraft incorporating turbine engines of a type not 
previously used in a type certificated aircraft, at least 300 hours of 
operation with a full complement of engines that conform to a type 
certificate; and
    (2) For all other aircraft, at least 150 hours of operation.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-40, 
39 FR 35459, Oct. 1, 1974; Amdt. 21-51, 45 FR 60170, Sept. 11, 1980; 
Amdt. 21-70, 57 FR 41368, Sept. 9, 1992]



Sec. 21.37  Flight test pilot.

    Each applicant for a normal, utility, acrobatic, commuter, or 
transport category aircraft type certificate must provide a person 
holding an appropriate pilot certificate to make the flight tests 
required by this part.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-59, 
52 FR 1835, Jan. 15, 1987]



Sec. 21.39  Flight test instrument calibration and correction report.

    (a) Each applicant for a normal, utility, acrobatic, commuter, or 
transport category aircraft type certificate must submit a report to the 
Administrator showing the computations and tests required in connection 
with the calibration of instruments used for test purposes and in the 
correction of test results to standard atmospheric conditions.
    (b) Each applicant must allow the Administrator to conduct any 
flight tests that he finds necessary to check the accuracy of the report 
submitted under paragraph (a) of this section.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-59, 
52 FR 1835, Jan. 15, 1987]



Sec. 21.41  Type certificate.

    Each type certificate is considered to include the type design, the 
operating limitations, the certificate data sheet, the applicable 
regulations of this subchapter with which the Administrator records 
compliance, and any other conditions or limitations prescribed for the 
product in this subchapter.



Sec. 21.43  Location of manufacturing facilities.

    Except as provided in Sec. 21.29, the Administrator does not issue a 
type certificate if the manufacturing facilities for the product are 
located outside of the United States, unless the Administrator finds 
that the location of the manufacturer's facilities places no undue 
burden on the FAA in administering applicable airworthiness 
requirements.



Sec. 21.45  Privileges.

    The holder or licensee of a type certificate for a product may--
    (a) In the case of aircraft, upon compliance with Secs. 21.173 
through 21.189, obtain airworthiness certificates;
    (b) In the case of aircraft engines or propellers, obtain approval 
for installation or certified aircraft;
    (c) In the case of any product, upon compliance with Secs. 21.133 
through 21.163, obtain a production certificate for the type 
certificated product;

[[Page 127]]

    (d) Obtain approval of replacement parts for that product.



Sec. 21.47  Transferability.

    A type certificate may be transferred to or made available to third 
persons by licensing agreements. Each grantor shall, within 30 days 
after the transfer of a certificate or execution or termination of a 
licensing agreement, notify in writing the appropriate Aircraft 
Certification Office. The notification must state the name and address 
of the transferee or licensee, date of the transaction, and in the case 
of a licensing agreement, the extent of authority granted the licensee.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-67, 
54 FR 39291, Sept. 25, 1989]



Sec. 21.49  Availability.

    The holder of a type certificate shall make the certificate 
available for examination upon the request of the Administrator or the 
National Transportation Safety Board.

[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Doc. No. 8084, 
32 FR 5769, Apr. 11, 1967]



Sec. 21.50  Instructions for continued airworthiness and manufacturer's maintenance manuals having airworthiness limitations sections.

    (a) The holder of a type certificate for a rotorcraft for which a 
Rotorcraft Maintenance Manual containing an ``Airworthiness 
Limitations'' section has been issued under Sec. 27.1529 (a)(2) or 
Sec. 29.1529 (a)(2) of this chapter, and who obtains approval of changes 
to any replacement time, inspection interval, or related procedure in 
that section of the manual, shall make those changes available upon 
request to any operator of the same type of rotorcraft.
    (b) The holder of a design approval, including either the type 
certificate or supplemental type certificate for an aircraft, aircraft 
engine, or propeller for which application was made after January 28, 
1981, shall furnish at least one set of complete Instructions for 
Continued Airworthiness, prepared in accordance with Secs. 23.1529, 
25.1529, 27.1529, 29.1529, 31.82, 33.4, or 35.4 of this chapter, or as 
specified in the applicable airworthiness criteria for special classes 
of aircraft defined in Sec. 21.17(b), as applicable, to the owner of 
each type of aircraft, aircraft engine, or propeller upon its delivery, 
or upon issuance of the first standard airworthiness certificate for the 
affected aircraft, whichever occurs later, and thereafter make those 
instructions available to any other person required by this chapter to 
comply with any of the terms of these instructions. In addition, changes 
to the Instructions for Continued Airworthiness shall be made available 
to any person required by this chapter to comply with any of those 
instructions.

[Amdt. No. 21-23, 33 FR 14105, Sept. 18, 1968, as amended by Amdt. No 
21-51, 45 FR 60170, Sept. 11, 1980; Amdt. 21-60, 52 FR 8042, Mar. 13, 
1987]



Sec. 21.51  Duration.

    A type certificate is effective until surrendered, suspended, 
revoked, or a termination date is otherwise established by the 
Administrator.



Sec. 21.53  Statement of conformity.

    (a) Each applicant must submit a statement of conformity (FAA Form 
317) to the Administrator for each aircraft engine and propeller 
presented to the Administrator for type certification. This statement of 
conformity must include a statement that the aircraft engine or 
propeller conforms to the type design therefor.
    (b) Each applicant must submit a statement of conformity to the 
Administrator for each aircraft or part thereof presented to the 
Administrator for tests. This statement of conformity must include a 
statement that the applicant has complied with Sec. 21.33(a) (unless 
otherwise authorized under that paragraph).

[Amdt. 21-17, 32 FR 14926, Oct. 28, 1967]



                Subpart C--Provisional Type Certificates

    Source: Docket No. 5085, 29 FR 14566, Oct. 24, 1964, unless 
otherwise noted.



Sec. 21.71  Applicability.

    This subpart prescribes--
    (a) Procedural requirements for the issue of provisional type 
certificates,

[[Page 128]]

amendments to provisional type certificates, and provisional amendments 
to type certificates; and
    (b) Rules governing the holders of those certificates.



Sec. 21.73  Eligibility.

    (a) Any manufacturer of aircraft manufactured within the United 
States who is a United States citizen may apply for Class I or Class II 
provisional type certificates, for amendments to provisional type 
certificates held by him, and for provisional amendments to type 
certificates held by him.
    (b) Any manufacturer of aircraft manufactured in a foreign country 
with which the United States has an agreement for the acceptance of 
those aircraft for export and import may apply for a Class II 
provisional type certificate, for amendments to provisional type 
certificates held by him, and for provisional amendments to type 
certificates held by him.
    (c) An aircraft engine manufacturer who is a United States citizen 
and who has altered a type certificated aircraft by installing different 
type certificated aircraft engines manufactured by him within the United 
States may apply for a Class I provisional type certificate for the 
aircraft, and for amendments to Class I provisional type certificates 
held by him, if the basic aircraft, before alteration, was type 
certificated in the normal, utility, acrobatic, commuter, or transport 
category.

[Doc. No. 5085, 29 FR 14566, Oct. 24, 1964, as amended by Amdt. 21-12, 
31 FR 13380, Oct. 15, 1966; Amdt. 21-59, 52 FR 1836, Jan. 15, 1987]



Sec. 21.75  Application.

    Applications for provisional type certificates, for amendments 
thereto, and for provisional amendments to type certificates must be 
submitted to the Manager of the Aircraft Certification Office for the 
geographic area in which the applicant is located (or in the case of 
European, African, Middle East Region, the Manager, Aircraft Engineering 
Division), and must be accompanied by the pertinent information 
specified in this subpart.

[Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]



Sec. 21.77  Duration.

    (a) Unless sooner surrendered, superseded, revoked, or otherwise 
terminated, provisional type certificates and amendments thereto are 
effective for the periods specified in this section.
    (b) A Class I provisional type certificate is effective for 24 
months after the date of issue.
    (c) A Class II provisional type certificate is effective for twelve 
months after the date of issue.
    (d) An amendment to a Class I or Class II provisional type 
certificate is effective for the duration of the amended certificate.
    (e) A provisional amendment to a type certificate is effective for 
six months after its approval or until the amendment of the type 
certificate is approved, whichever is first.

[Doc. No. 5085, 29 FR 14566, Oct. 24, 1964 as amended by Amdt. 21-7, 30 
FR 14311, Nov. 16, 1965]



Sec. 21.79  Transferability.

    Provisional type certificates are not transferable.



Sec. 21.81  Requirements for issue and amendment of Class I provisional type certificates.

    (a) An applicant is entitled to the issue or amendment of a Class I 
provisional type certificate if he shows compliance with this section 
and the Administrator finds that there is no feature, characteristic, or 
condition that would make the aircraft unsafe when operated in 
accordance with the limitations established in paragraph (e) of this 
section and in Sec. 91.317 of this chapter.
    (b) The applicant must apply for the issue of a type or supplemental 
type certificate for the aircraft.
    (c) The applicant must certify that--
    (1) The aircraft has been designed and constructed in accordance 
with the airworthiness requirements applicable to the issue of the type 
or supplemental type certificate applied for;
    (2) The aircraft substantially meets the applicable flight 
characteristic requirements for the type or supplemental type 
certificate applied for; and

[[Page 129]]

    (3) The aircraft can be operated safely under the appropriate 
operating limitations specified in paragraph (a) of this section.
    (d) The applicant must submit a report showing that the aircraft had 
been flown in all maneuvers necessary to show compliance with the flight 
requirements for the issue of the type or supplemental type certificate 
applied for, and to establish that the aircraft can be operated safely 
in accordance with the limitations contained in this subchapter.
    (e) The applicant must establish all limitations required for the 
issue of the type or supplemental type certificate applied for, 
including limitations on weights, speeds, flight maneuvers, loading, and 
operation of controls and equipment unless, for each limitation not so 
established, appropriate operating restrictions are established for the 
aircraft.
    (f) The applicant must establish an inspection and maintenance 
program for the continued airworthiness of the aircraft.
    (g) The applicant must show that a prototype aircraft has been flown 
for at least 50 hours under an experimental certificate issued under 
Secs. 21.191 through 21.195, or under the auspices of an Armed Force of 
the United States. However, in the case of an amendment to a provisional 
type certificate, the Administrator may reduce the number of required 
flight hours.

[Doc. No. 5085, 29 FR 14566, Oct. 24, 1964, as amended by Amdt. 21-66, 
54 FR 34329, Aug. 18, 1989]



Sec. 21.83  Requirements for issue and amendment of Class II provisional type certificates.

    (a) An applicant who manufactures aircraft within the United States 
is entitled to the issue or amendment of a Class II provisional type 
certificate if he shows compliance with this section and the 
Administrator finds that there is no feature, characteristic, or 
condition that would make the aircraft unsafe when operated in 
accordance with the limitations in paragraph (h) of this section, and 
Secs. 91.317 and 121.207 of this chapter.
    (b) An applicant who manufactures aircraft in a country with which 
the United States has an agreement for the acceptance of those aircraft 
for export and import is entitled to the issue or amendment of a Class 
II provisional type certificate if the country in which the aircraft was 
manufactured certifies that the applicant has shown compliance with this 
section, that the aircraft meets the requirements of paragraph (f) of 
this section and that there is no feature, characteristic, or condition 
that would make the aircraft unsafe when operated in accordance with the 
limitations in paragraph (h) of this section and Secs. 91.317 and 
121.207 of this chapter.
    (c) The applicant must apply for a type certificate, in the 
transport category, for the aircraft.
    (d) The applicant must hold a U.S. type certificate for at least one 
other aircraft in the same transport category as the subject aircraft.
    (e) The FAA's official flight test program or the flight test 
program conducted by the authorities of the country in which the 
aircraft was manufactured, with respect to the issue of a type 
certificate for that aircraft, must be in progress.
    (f) The applicant or, in the case of a foreign manufactured 
aircraft, the country in which the aircraft was manufactured, must 
certify that--
    (1) The aircraft has been designed and constructed in accordance 
with the airworthiness requirements applicable to the issue of the type 
certificate applied for;
    (2) The aircraft substantially complies with the applicable flight 
characteristic requirements for the type certificate applied for; and
    (3) The aircraft can be operated safely under the appropriate 
operating limitations in this subchapter.
    (g) The applicant must submit a report showing that the aircraft has 
been flown in all maneuvers necessary to show compliance with the flight 
requirements for the issue of the type certificate and to establish that 
the aircraft can be operated safely in accordance with the limitations 
in this subchapter.
    (h) The applicant must prepare a provisional aircraft flight manual 
containing all limitations required for the issue of the type 
certificate applied for,

[[Page 130]]

including limitations on weights, speeds, flight maneuvers, loading, and 
operation of controls and equipment unless, for each limitation not so 
established, appropriate operating restrictions are established for the 
aircraft.
    (i) The applicant must establish an inspection and maintenance 
program for the continued airworthiness of the aircraft.
    (j) The applicant must show that a prototype aircraft has been flown 
for at least 100 hours. In the case of an amendment to a provisional 
type certificate, the Administrator may reduce the number of required 
flight hours.

[Amdt. 21-12, 31 FR 13386, Oct. 15, 1966, as amended by Amdt. 21-66, 54 
FR 34329, Aug. 18, 1989]



Sec. 21.85  Provisional amendments to type certificates.

    (a) An applicant who manufactures aircraft within the United States 
is entitled to a provisional amendment to a type certificate if he shows 
compliance with this section and the Administrator finds that there is 
no feature, characteristic, or condition that would make the aircraft 
unsafe when operated under the appropriate limitations contained in this 
subchapter.
    (b) An applicant who manufactures aircraft in a foreign country with 
which the United States has an agreement for the acceptance of those 
aircraft for export and import is entitled to a provisional amendment to 
a type certificate if the country in which the aircraft was manufactured 
certifies that the applicant has shown compliance with this section, 
that the aircraft meets the requirements of paragraph (e) of this 
section and that there is no feature, characteristic, or condition that 
would make the aircraft unsafe when operated under the appropriate 
limitations contained in this subchapter.
    (c) The applicant must apply for an amendment to the type 
certificate.
    (d) The FAA's official flight test program or the flight test 
program conducted by the authorities of the country in which the 
aircraft was manufactured, with respect to the amendment of the type 
certificate, must be in progress.
    (e) The applicant or, in the case of foreign manufactured aircraft, 
the country in which the aircraft was manufactured, must certify that--
    (1) The modification involved in the amendment to the type 
certificate has been designed and constructed in accordance with the 
airworthiness requirements applicable to the issue of the type 
certificate for the aircraft;
    (2) The aircraft substantially complies with the applicable flight 
characteristic requirements for the type certificate; and
    (3) The aircraft can be operated safely under the appropriate 
operating limitations in this subchapter.
    (f) The applicant must submit a report showing that the aircraft 
incorporating the modifications involved has been flown in all maneuvers 
necessary to show compliance with the flight requirements applicable to 
those modifications and to establish that the aircraft can be operated 
safely in accordance with the limitations specified in Secs. 91.317 and 
121.207 of this chapter.
    (g) The applicant must establish and publish, in a provisional 
aircraft flight manual or other document and on appropriate placards, 
all limitations required for the issue of the type certificate applied 
for, including weight, speed, flight maneuvers, loading, and operation 
of controls and equipment, unless, for each limitation not so 
established, appropriate operating restrictions are established for the 
aircraft.
    (h) The applicant must establish an inspection and maintenance 
program for the continued airworthiness of the aircraft.
    (i) The applicant must operate a prototype aircraft modified in 
accordance with the corresponding amendment to the type certificate for 
the number of hours found necessary by the Administrator.

[Amdt. 21-12, 31 FR 13388, Oct. 15, 1966, as amended by Amdt. 21-66, 54 
FR 34329, Aug. 18, 1989]



                 Subpart D--Changes to Type Certificates

    Source: Docket No. 5085, 29 FR 14567, Oct. 24, 1964, unless 
otherwise noted.

[[Page 131]]



Sec. 21.91  Applicability.

    This subpart prescribes procedural requirements for the approval of 
changes to type certificates.



Sec. 21.93  Classification of changes in type design.

    (a) In addition to changes in type design specified in paragraph (b) 
of this section, changes in type design are classified as minor and 
major. A ``minor change'' is one that has no appreciable effect on the 
weight, balance, structural strength, reliability, operational 
characteristics, or other characteristics affecting the airworthiness of 
the product. All other changes are ``major changes'' (except as provided 
in paragraph (b) of this section).
    (b) For the purpose of complying with Part 36 of this chapter, and 
except as provided in paragraphs (b)(2), (b)(3), and (b)(4) of this 
section, any voluntary change in the type design of an aircraft that may 
increase the noise levels of that aircraft is an ``acoustical change'' 
(in addition to being a minor or major change as classified in paragraph 
(a) of this section) for the following aircraft:
    (1) Transport category large airplanes.
    (2) Turbojet powered airplanes (regardless of category). For 
airplanes to which this paragraph applies, ``acoustical changes'' do not 
include changes in type design that are limited to one of the 
following--
    (i) Gear down flight with one or more retractable landing gear down 
during the entire flight, or
    (ii) Spare engine and nacelle carriage external to the skin of the 
airplane (and return of the pylon or other external mount), or
    (iii) Time-limited engine and/or nacelle changes, where the change 
in type design specifies that the airplane may not be operated for a 
period of more than 90 days unless compliance with the applicable 
acoustical change provisions of Part 36 of this chapter is shown for 
that change in type design.
    (3) Propeller driven commuter category and small airplanes in the 
primary, normal, utility, acrobatic, transport, and restricted 
categories, except for airplanes that are:
    (i) Designated for ``agricultural aircraft operations'' (as defined 
in Sec. 137.3 of this chapter, effective January 1, 1966) to which 
Sec. 36.1583 of this chapter does not apply, or
    (ii) Designated for dispensing fire fighting materials to which 
Sec. 36.1583 of this chapter does not apply, or
    (iii) U.S. registered, and that had flight time prior to January 1, 
1955 or
    (iv) Land configured aircraft reconfigured with floats or skis. This 
reconfiguration does not permit further exception from the requirements 
of this section upon any acoustical change not enumerated in 
Sec. 21.93(b).
    (4) Helicopters except:
    (i) Those helicopters that are designated exclusively:
    (A) For ``agricultural aircraft operations'', as defined in 
Sec. 137.3 of this chapter, as effective on January 1, 1966;
    (B) For dispensing fire fighting materials; or
    (C) For carrying external loads, as defined in Sec. 133.1(b) of this 
chapter, as effective on December 20, 1976.
    (ii) Those helicopters modified by installation or removal of 
external equipment. For purposes of this paragraph, ``external 
equipment'' means any instrument, mechanism, part, apparatus, 
appurtenance, or accessory that is attached to, or extends from, the 
helicopter exterior but is not used nor is intended to be used in 
operating or controlling a helicopter in flight and is not part of an 
airframe or engine. An ``acoustical change'' does not include:
    (A) Addition or removal of external equipment;
    (B) Changes in the airframe made to accommodate the addition or 
removal of external equipment, to provide for an external load attaching 
means, to facilitate the use of external equipment or external loads, or 
to facilitate the safe operation of the helicopter with external 
equipment mounted to, or external loads carried by, the helicopter;
    (C) Reconfiguration of the helicopter by the addition or removal of 
floats and skis;
    (D) Flight with one or more doors and/or windows removed or in an 
open position; or
    (E) Any changes in the operational limitations placed on the 
helicopter as a consequence of the addition or removal of external 
equipment, floats,

[[Page 132]]

and skis, or flight operations with doors and/or windows removed or in 
an open position.
    (c) For purposes of complying with part 34 of this chapter, any 
voluntary change in the type design of the airplane or engine which may 
increase fuel venting or exhaust emissions is an ``emissions change.''

[Amdt. 21-27, 34 FR 18363, Nov. 18, 1969, as amended by Amdt. 21-42, 40 
FR 1033, Jan. 6, 1975; Amdt. 21-47, 43 FR 28419, June 29, 1978; Amdt. 
21-56, 47 FR 758, Jan. 7, 1982; Amdt. 21-61, 53 FR 3539, Feb. 5, 1988; 
Amdt. 21-62, 53 FR 16365, May 6, 1988; Amdt. 21-63, 53 FR 47399, Nov. 
22, 1988; Amdt. 21-68, 55 FR 32860, Aug. 10, 1990; Amdt. 21-70, 57 FR 
41368, Sept. 9, 1992; Amdt. 21-73, 61 FR 20699, May 7, 1996; 61 FR 
57002, Nov. 5, 1996]



Sec. 21.95  Approval of minor changes in type design.

    Minor changes in a type design may be approved under a method 
acceptable to the Administrator before submitting to the Administrator 
any substantiating or descriptive data.



Sec. 21.97  Approval of major changes in type design.

    (a) In the case of a major change in type design, the applicant must 
submit substantiating data and necessary descriptive data for inclusion 
in the type design.
    (b) Approval of a major change in the type design of an aircraft 
engine is limited to the specific engine configuration upon which the 
change is made unless the applicant identifies in the necessary 
descriptive data for inclusion in the type design the other 
configurations of the same engine type for which approval is requested 
and shows that the change is compatible with the other configurations.

[Amdt. 21-40, 39 FR 35459, Oct. 1, 1974]



Sec. 21.99  Required design changes.

    (a) When an Airworthiness Directive is issued under Part 39 the 
holder of the type certificate for the product concerned must--
    (1) If the Administrator finds that design changes are necessary to 
correct the unsafe condition of the product, and upon his request, 
submit appropriate design changes for approval; and
    (2) Upon approval of the design changes, make available the 
descriptive data covering the changes to all operators of products 
previously certificated under the type certificate.
    (b) In a case where there are no current unsafe conditions, but the 
Administrator or the holder of the type certificate finds through 
service experience that changes in type design will contribute to the 
safety of the product, the holder of the type certificate may submit 
appropriate design changes for approval. Upon approval of the changes, 
the manufacturer shall make information on the design changes available 
to all operators of the same type of product.

[Doc. No. 5085, 29 FR 14567, Oct. 24, 1964, as amended by Amdt. 21-3, 30 
FR 8826, July 24, 1965]



Sec. 21.101  Designation of applicable regulations.

    (a) An applicant for a change to a type certificate must show that 
the changed product complies with the airworthiness requirements 
applicable to the category of the product in effect on the date of the 
application for the change and with parts 34 and 36 of this chapter. 
Exceptions are detailed in paragraphs (b) and (c) of this section.
    (b) If paragraphs (b)(1), (2), or (3) of this section apply, an 
applicant may show that the changed product complies with an earlier 
amendment of a regulation required by paragraph (a) of this section, and 
of any other regulation the Administrator finds is directly related. 
However, the earlier amended regulation may not precede either the 
corresponding regulation incorporated by reference in the type 
certificate, or any regulation in Secs. 23.2, 25.2, 27.2, or 29.2 of 
this chapter that is related to the change. The applicant may show 
compliance with an earlier amendment of a regulation for any of the 
following:
    (1) A change that the Administrator finds not to be significant. In 
determining whether a specific change is significant, the Administrator 
considers the change in context with all previous relevant design 
changes and all related revisions to the applicable regulations 
incorporated in the type certificate for the product. Changes that meet 
one of the following criteria

[[Page 133]]

are automatically considered significant:
    (i) The general configuration or the principles of construction are 
not retained.
    (ii) The assumptions used for certification of the product to be 
changed do not remain valid.
    (2) Each area, system, component, equipment, or appliance that the 
Administrator finds is not affected by the change.
    (3) Each area, system, component, equipment, or appliance that is 
affected by the change, for which the Administrator finds that 
compliance with a regulation described in paragraph (a) of this section 
would not contribute materially to the level of safety of the changed 
product or would be impractical.
    (c) An applicant for a change to an aircraft (other than a 
rotorcraft) of 6,000 pounds or less maximum weight, or to a non-turbine 
rotorcraft of 3,000 pounds or less maximum weight may show that the 
changed product complies with the regulations incorporated by reference 
in the type certificate. However, if the Administrator finds that the 
change is significant in an area, the Administrator may designate 
compliance with an amendment to the regulation incorporated by reference 
in the type certificate that applies to the change and any regulation 
that the Administrator finds is directly related, unless the 
Administrator also finds that compliance with that amendment or 
regulation would not contribute materially to the level of safety of the 
changed product or would be impractical.
    (d) If the Administrator finds that the regulations in effect on the 
date of the application for the change do not provide adequate standards 
with respect to the proposed change because of a novel or unusual design 
feature, the applicant must also comply with special conditions, and 
amendments to those special conditions, prescribed under the provisions 
of Sec. 21.16, to provide a level of safety equal to that established by 
the regulations in effect on the date of the application for the change.
    (e) An application for a change to a type certificate for a 
transport category aircraft is effective for 5 years, and an application 
for a change to any other type certificate is effective for 3 years. If 
the change has not been approved, or if it is clear that it will not be 
approved under the time limit established under this paragraph, the 
applicant may do either of the following:
    (1) File a new application for a change to the type certificate and 
comply with all the provisions of paragraph (a) of this section 
applicable to an original application for a change.
    (2) File for an extension of the original application and comply 
with the provisions of paragraph (a) of this section. The applicant must 
then select a new application date. The new application date may not 
precede the date the change is approved by more than the time period 
established under this paragraph (e).
    (f) For aircraft certificated under Secs. 21.17(b), 21.24, 21.25, 
and 21.27 the airworthiness requirements applicable to the category of 
the product in effect on the date of the application for the change 
include each airworthiness requirement that the Administrator finds to 
be appropriate for the type certification of the aircraft in accordance 
with those sections.

[Doc. No. 28903, 65 FR 36266, June 7, 2000]



                Subpart E--Supplemental Type Certificates

    Source: Docket No. 5085, 29 FR 14568, Oct. 24, 1964, unless 
otherwise noted.



Sec. 21.111  Applicability.

    This subpart prescribes procedural requirements for the issue of 
supplemental type certificates.



Sec. 21.113  Requirement of supplemental type certificate.

    Any person who alters a product by introducing a major change in 
type design, not great enough to require a new application for a type 
certificate under Sec. 21.19, shall apply to the Administrator for a 
supplemental type certificate, except that the holder of a type 
certificate for the product may apply for amendment of the original type 
certificate. The application must be made in

[[Page 134]]

a form and manner prescribed by the Administrator.



Sec. 21.115  Applicable requirements.

    (a) Each applicant for a supplemental type certificate must show 
that the altered product meets applicable requirements specified in 
Sec. 21.101 and, in the case of an acoustical change described in 
Sec. 21.93(b), show compliance with the applicable noise requirements of 
part 36 of this chapter and, in the case of an emissions change 
described in Sec. 21.93(c), show compliance with the applicable fuel 
venting and exhaust emissions requirements of part 34 of this chapter.
    (b) Each applicant for a supplemental type certificate must meet 
Secs. 21.33 and 21.53 with respect to each change in the type design.

[Amdt. 21-17, 32 FR 14927, Oct. 28, 1967, as amended by Amdt. 21-42, 40 
FR 1033, Jan. 6, 1975; Amdt. 21-52A, 45 FR 79009, Nov. 28, 1980; Amdt. 
21-61, 53 FR 3540, Feb. 5, 1988; Amdt. 21-68, 55 FR 32860, Aug. 10, 
1990; Amdt. 21-71, 57 FR 42854, Sept. 16, 1992; Amdt. 21-77, 65 FR 
36266, June 7, 2000]



Sec. 21.117  Issue of supplemental type certificates.

    (a) An applicant is entitled to a supplemental type certificate if 
he meets the requirements of Secs. 21.113 and 21.115.
    (b) A supplemental type certificate consists of--
    (1) The approval by the Administrator of a change in the type design 
of the product; and
    (2) The type certificate previously issued for the product.



Sec. 21.119  Privileges.

    The holder of a supplemental type certificate may--
    (a) In the case of aircraft, obtain airworthiness certificates;
    (b) In the case of other products, obtain approval for installation 
on certificated aircraft; and
    (c) Obtain a production certificate for the change in the type 
design that was approved by that supplemental type certificate.



            Subpart F--Production Under Type Certificate Only

    Source: Docket No. 5085, 29 FR 14568, Oct. 24, 1964, unless 
otherwise noted.



Sec. 21.121  Applicability.

    This subpart prescribes rules for production under a type 
certificate only.



Sec. 21.123  Production under type certificate.

    Each manufacturer of a product being manufactured under a type 
certificate only shall--
    (a) Make each product available for inspection by the Administrator;
    (b) Maintain at the place of manufacture the technical data and 
drawings necessary for the Administrator to determine whether the 
product and its parts conform to the type design;
    (c) Except as otherwise authorized by the Aircraft Certification 
Directorate Manager for the geographic area which the manufacturer is 
located, for products manufactured more than 6 months after the date of 
issue of the type certificate, establish and maintain an approved 
production inspection system that insures that each product conforms to 
the type design and is in condition for safe operation; and
    (d) Upon the establishment of the approved production inspection 
system (as required by paragraph (c) of this section) submit to the 
Administrator a manual that describes that system and the means for 
making the determinations required by Sec. 21.125(b).

[Doc. No. 5085, 29 FR 14568, Oct. 24, 1964, as amended by Amdt. 21-34, 
35 FR 13008, Aug. 15, 1970; Amdt. 21-51, 45 FR 60170, Sept. 11, 1980; 
Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]



Sec. 21.125  Production inspection system: Materials Review Board.

    (a) Each manufacturer required to establish a production inspection 
system by Sec. 21.123(c) shall--
    (1) Establish a Materials Review Board (to include representatives 
from the inspection and engineering departments) and materials review 
procedures; and
    (2) Maintain complete records of Materials Review Board action for 
at least two years.
    (b) The production inspection system required in Sec. 21.123(c) must 
provide a means for determining at least the following:
    (1) Incoming materials, and bought or subcontracted parts, used in 
the finished product must be as specified in

[[Page 135]]

the type design data, or must be suitable equivalents.
    (2) Incoming materials, and bought or subcontracted parts, must be 
properly identified if their physical or chemical properties cannot be 
readily and accurately determined.
    (3) Materials subject to damage and deterioration must be suitably 
stored and adequately protected.
    (4) Processes affecting the quality and safety of the finished 
product must be accomplished in accordance with acceptable industry or 
United States specifications.
    (5) Parts and components in process must be inspected for conformity 
with the type design data at points in production where accurate 
determinations can be made.
    (6) Current design drawings must be readily available to 
manufacturing and inspection personnel, and used when necessary.
    (7) Design changes, including material substitutions, must be 
controlled and approved before being incorporated in the finished 
product.
    (8) Rejected materials and parts must be segregated and identified 
in a manner that precludes installation in the finished product.
    (9) Materials and parts that are withheld because of departures from 
design data or specifications, and that are to be considered for 
installation in the finished product, must be processed through the 
Materials Review Board. Those materials and parts determined by the 
Board to be serviceable must be properly identified and reinspected if 
rework or repair is necessary. Materials and parts rejected by the Board 
must be marked and disposed of to ensure that they are not incorporated 
in the final product.
    (10) Inspection records must be maintained, identified with the 
completed product where practicable, and retained by the manufacturer 
for at least two years.



Sec. 21.127  Tests: aircraft.

    (a) Each person manufacturing aircraft under a type certificate only 
shall establish an approved production flight test procedure and flight 
check-off form, and in accordance with that form, flight test each 
aircraft produced.
    (b) Each production flight test procedure must include the 
following:
    (1) An operational check of the trim, controllability, or other 
flight characteristics to establish that the production aircraft has the 
same range and degree of control as the prototype aircraft.
    (2) An operational check of each part or system operated by the crew 
while in flight to establish that, during flight, instrument readings 
are within normal range.
    (3) A determination that all instruments are properly marked, and 
that all placards and required flight manuals are installed after flight 
test.
    (4) A check of the operational characteristics of the aircraft on 
the ground.
    (5) A check on any other items peculiar to the aircraft being tested 
that can best be done during the ground or flight operation of the 
aircraft.



Sec. 21.128  Tests: aircraft engines.

    (a) Each person manufacturing aircraft engines under a type 
certificate only shall subject each engine (except rocket engines for 
which the manufacturer must establish a sampling technique) to an 
acceptable test run that includes the following:
    (1) Break-in runs that include a determination of fuel and oil 
consumption and a determination of power characteristics at rated 
maximum continuous power or thrust and, if applicable, at rated takeoff 
power or thrust.
    (2) At least five hours of operation at rated maximum continuous 
power or thrust. For engines having a rated takeoff power or thrust 
higher than rated maximum continuous power or thrust, the five-hour run 
must include 30 minutes at rated takeoff power or thrust.
    (b) The test runs required by paragraph (a) of this section may be 
made with the engine appropriately mounted and using current types of 
power and thrust measuring equipment.

[Doc. No. 5085, 29 FR 14568, Oct. 24, 1964, as amended by Amdt. 21-5, 32 
FR 3735, Mar. 4, 1967]

[[Page 136]]



Sec. 21.129  Tests: propellers.

    Each person manufacturing propellers under a type certificate only 
shall give each variable pitch propeller an acceptable functional test 
to determine if it operates properly throughout the normal range of 
operation.



Sec. 21.130  Statement of conformity.

    Each holder or licensee of a type certificate only, for a product 
manufactured in the United States, shall, upon the initial transfer by 
him of the ownership of such product manufactured under that type 
certificate, or upon application for the original issue of an aircraft 
airworthiness certificate or an aircraft engine or propeller 
airworthiness approval tag (FAA Form 8130-3), give the Administrator a 
statement of conformity (FAA Form 317). This statement must be signed by 
an authorized person who holds a responsible position in the 
manufacturing organization, and must include--
    (a) For each product, a statement that the product conforms to its 
type certificate and is in condition for safe operation;
    (b) For each aircraft, a statement that the aircraft has been flight 
checked; and
    (c) For each aircraft engine or variable pitch propeller, a 
statement that the engine or propeller has been subjected by the 
manufacturer to a final operational check.

However, in the case of a product manufactured for an Armed Force of the 
United States, a statement of conformity is not required if the product 
has been accepted by that Armed Force.

[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]



                   Subpart G--Production Certificates

    Source: Docket No. 5085, 29 FR 14569, Oct. 24, 1964, unless 
otherwise noted.



Sec. 21.131  Applicability.

    This subpart prescribes procedural requirements for the issue of 
production certificates and rules governing the holders of those 
certificates.



Sec. 21.133  Eligibility.

    (a) Any person may apply for a production certificate if he holds, 
for the product concerned, a--
    (1) Current type certificate;
    (2) Right to the benefits of that type certificate under a licensing 
agreement; or
    (3) Supplemental type certificate.
    (b) Each application for a production certificate must be made in a 
form and manner prescribed by the Administrator.



Sec. 21.135  Requirements for issuance.

    An applicant is entitled to a production certificate if the 
Administrator finds, after examination of the supporting data and after 
inspection of the organization and production facilities, that the 
applicant has complied with Secs. 21.139 and 21.143.



Sec. 21.137  Location of manufacturing facilities.

    The Administrator does not issue a production certificate if the 
manufacturing facilities concerned are located outside the United 
States, unless the Administrator finds no undue burden on the United 
States in administering the applicable requirements of the Federal 
Aviation Act of 1958 or of the Federal Aviation Regulations.



Sec. 21.139  Quality control.

    The applicant must show that he has established and can maintain a 
quality control system for any product, for which he requests a 
production certificate, so that each article will meet the design 
provisions of the pertinent type certificate.



Sec. 21.143  Quality control data requirements; prime manufacturer.

    (a) Each applicant must submit, for approval, data describing the 
inspection and test procedures necessary to ensure that each article 
produced conforms to the type design and is in a condition for safe 
operation, including as applicable--
    (1) A statement describing assigned responsibilities and delegated 
authority of the quality control organization, together with a chart 
indicating the functional relationship of the quality control 
organization to management

[[Page 137]]

and to other organizational components, and indicating the chain of 
authority and responsibility within the quality control organization;
    (2) A description of inspection procedures for raw materials, 
purchased items, and parts and assemblies produced by manufacturers' 
suppliers including methods used to ensure acceptable quality of parts 
and assemblies that cannot be completely inspected for conformity and 
quality when delivered to the prime manufacturer's plant;
    (3) A description of the methods used for production inspection of 
individual parts and complete assemblies, including the identification 
of any special manufacturing processes involved, the means used to 
control the processes, the final test procedure for the complete 
product, and, in the case of aircraft, a copy of the manufacturer's 
production flight test procedures and checkoff list;
    (4) An outline of the materials review system, including the 
procedure for recording review board decisions and disposing of rejected 
parts;
    (5) An outline of a system for informing company inspectors of 
current changes in engineering drawings, specifications, and quality 
control procedures; and
    (6) A list or chart showing the location and type of inspection 
stations.
    (b) Each prime manufacturer shall make available to the 
Administrator information regarding all delegation of authority to 
suppliers to make major inspections of parts or assemblies for which the 
prime manufacturer is responsible.

[Doc. No. 5085, 29 FR 14569, Oct. 24, 1964, as amended by Amdt. 21-51, 
45 FR 60170, Sept. 11, 1980]



Sec. 21.147  Changes in quality control system.

    After the issue of a production certificate, each change to the 
quality control system is subject to review by the Administrator. The 
holder of a production certificate shall immediately notify the 
Administrator, in writing of any change that may affect the inspection, 
conformity, or airworthiness of the product.



Sec. 21.149  Multiple products.

    The Administrator may authorize more than one type certificated 
product to be manufactured under the terms of one production 
certificate, if the products have similar production characteristics.



Sec. 21.151  Production limitation record.

    A production limitation record is issued as part of a production 
certificate. The record lists the type certificate of every product that 
the applicant is authorized to manufacture under the terms of the 
production certificate.



Sec. 21.153  Amendment of the production certificates.

    The holder of a production certificate desiring to amend it to add a 
type certificate or model, or both, must apply therefor in a form and 
manner prescribed by the Administrator. The applicant must comply with 
the applicable requirements of Secs. 21.139, 21.143, and 21.147.



Sec. 21.155  Transferability.

    A production certificate is not transferable.



Sec. 21.157  Inspections and tests.

    Each holder of a production certificate shall allow the 
Administrator to make any inspections and tests necessary to determine 
compliance with the applicable regulations in this subchapter.



Sec. 21.159  Duration.

    A production certificate is effective until surrendered, suspended, 
revoked, or a termination date is otherwise established by the 
Administrator, or the location of the manufacturing facility is changed.



Sec. 21.161  Display.

    The holder of a production certificate shall display it prominently 
in the main office of the factory in which the product concerned is 
manufactured.



Sec. 21.163  Privileges.

    (a) The holder of a production certificate may--

[[Page 138]]

    (1) Obtain an aircraft airworthiness certificate without further 
showing, except that the Administrator may inspect the aircraft for 
conformity with the type design; or
    (2) In the case of other products, obtain approval for installation 
on type certificated aircraft.
    (b) Notwithstanding the provisions of Sec. 147.3 of this chapter, 
the holder of a production certificate for a primary category aircraft, 
or for a normal, utility, or acrobatic category aircraft of a type 
design that is eligible for a special airworthiness certificate in the 
primary category under Sec. 21.184(c), may--
    (1) Conduct training for persons in the performance of a special 
inspection and preventive maintenance program approved as a part of the 
aircraft's type design under Sec. 21.24(b), provided the training is 
given by a person holding a mechanic certificate with appropriate 
airframe and powerplant ratings issued under part 65 of this chapter; 
and
    (2) Issue a certificate of competency to persons successfully 
completing the approved training program, provided the certificate 
specifies the aircraft make and model to which the certificate applies.

[Doc. No. 23345, 57 FR 41368, Sept. 9, 1992]



Sec. 21.165  Responsibility of holder.

    The holder of a production certificate shall--
    (a) Maintain the quality control system in conformity with the data 
and procedures approved for the production certificate; and
    (b) Determine that each part and each completed product, including 
primary category aircraft assembled under a production certificate by 
another person from a kit provided by the holder of the production 
certificate, submitted for airworthiness certification or approval 
conforms to the approved design and is in a condition for safe 
operation.

[Doc. No. 5085, 29 FR 14569, Oct. 24, 1964, as amended by Amdt. 21-64, 
53 FR 48521, Dec. 1, 1988; Amdt. 21-70, 57 FR 41368, Sept. 9, 1992]



                  Subpart H--Airworthiness Certificates

    Source: Docket No. 5085, 29 FR 14569, Oct. 24, 1964, unless 
otherwise noted.



Sec. 21.171  Applicability.

    This subpart prescribes procedural requirements for the issue of 
airworthiness certificates.



Sec. 21.173  Eligibility.

    Any registered owner of a U.S.-registered aircraft (or the agent of 
the owner) may apply for an airworthiness certificate for that aircraft. 
An application for an airworthiness certificate must be made in a form 
and manner acceptable to the Administrator, and may be submitted to any 
FAA office.

[Amdt. 21-26, 34 FR 15244, Sept. 30, 1969]



Sec. 21.175  Airworthiness certificates: classification.

    (a) Standard airworthiness certificates are airworthiness 
certificates issued for aircraft type certificated in the normal, 
utility, acrobatic, commuter, or transport category, and for manned free 
balloons, and for aircraft designated by the Administrator as special 
classes of aircraft.
    (b) Special airworthiness certificates are primary, restricted, 
limited, and provisional airworthiness certificates, special flight 
permits, and experimental certificates.

[Amdt. 21-21, 33 FR 6858, May 7, 1968, as amended by Amdt. 21-60, 52 FR 
8043, Mar. 13, 1987; Amdt. 21-70, 57 FR 41368, Sept. 9, 1992]



Sec. 21.177  Amendment or modification.

    An airworthiness certificate may be amended or modified only upon 
application to the Administrator.



Sec. 21.179  Transferability.

    An airworthiness certificate is transferred with the aircraft.



Sec. 21.181  Duration.

    (a) Unless sooner surrendered, suspended, revoked, or a termination 
date is otherwise established by the Administrator, airworthiness 
certificates are effective as follows:

[[Page 139]]

    (1) Standard airworthiness certificates, special airworthiness 
certificates--primary category, and airworthiness certificates issued 
for restricted or limited category aircraft are effective as long as the 
maintenance, preventive maintenance, and alterations are performed in 
accordance with Parts 43 and 91 of this chapter and the aircraft are 
registered in the United States.
    (2) A special flight permit is effective for the period of time 
specified in the permit.
    (3) An experimental certificate for research and development, 
showing compliance with regulations, crew training, or market surveys is 
effective for one year after the date of issue or renewal unless a 
shorter period is prescribed by the Administrator. The duration of 
amateur-built, exhibition, and air-racing experimental certificates will 
be unlimited unless the Administrator finds for good cause that a 
specific period should be established.
    (b) The owner, operator, or bailee of the aircraft shall, upon 
request, make it available for inspection by the Administrator.
    (c) Upon suspension, revocation, or termination by order of the 
Administrator of an airworthiness certificate, the owner, operator, or 
bailee of an aircraft shall, upon request, surrender the certificate to 
the Administrator.

[Amdt. 21-21, 33 FR 6858, May 7, 1968, as amended by Amdt. 21-49, 44 FR 
46781, Aug. 9, 1979; Amdt. 21-70, 57 FR 41368, Sept. 9, 1992]



Sec. 21.182  Aircraft identification.

    (a) Except as provided in paragraph (b) of this section, each 
applicant for an airworthiness certificate under this subpart must show 
that his aircraft is identified as prescribed in Sec. 45.11.
    (b) Paragraph (a) of this section does not apply to applicants for 
the following:
    (1) A special flight permit.
    (2) An experimental certificate for an aircraft that is not amateur-
built or kit-built.
    (3) A change from one airworthiness classification to another, for 
an aircraft already identified as prescribed in Sec. 45.11.

[Amdt. 21-13, 32 FR 188, Jan. 10, 1967, as amended by Amdt. 21-51, 45 FR 
60170, Sept. 11, 1980; Amdt. 21-70, 57 FR 41368, Sept. 9, 1992]



Sec. 21.183  Issue of standard airworthiness certificates for normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; and 
          special classes of aircraft.

    (a) New aircraft manufactured under a production certificate. An 
applicant for a standard airworthiness certificate for a new aircraft 
manufactured under a production certificate is entitled to a standard 
airworthiness certificate without further showing, except that the 
Administrator may inspect the aircraft to determine conformity to the 
type design and condition for safe operation.
    (b) New aircraft manufactured under type certificate only. An 
applicant for a standard airworthiness certificate for a new aircraft 
manufactured under a type certificate only is entitled to a standard 
airworthiness certificate upon presentation, by the holder or licensee 
of the type certificate, of the statement of conformity prescribed in 
Sec. 21.130 if the Administrator finds after inspection that the 
aircraft conforms to the type design and is in condition for safe 
operation.
    (c) Import aircraft. An applicant for a standard airworthiness 
certificate for an import aircraft type certificated in accordance with 
Sec. 21.29 is entitled to an airworthiness certificate if the country in 
which the aircraft was manufactured certifies, and the Administrator 
finds, that the aircraft conforms to the type design and is in condition 
for safe operation.
    (d) Other aircraft. An applicant for a standard airworthiness 
certificate for aircraft not covered by paragraphs (a) through (c) of 
this section is entitled to a standard airworthiness certificate if--
    (1) He presents evidence to the Administrator that the aircraft 
conforms to a type design approved under a type certificate or a 
supplemental type certificate and to applicable Airworthiness 
Directives;

[[Page 140]]

    (2) The aircraft (except an experimentally certificated aircraft 
that previously had been issued a different airworthiness certificate 
under this section) has been inspected in accordance with the 
performance rules for 100-hour inspections set forth in Sec. 43.15 of 
this chapter and found airworthy by--
    (i) The manufacturer;
    (ii) The holder of a repair station certificate as provided in Part 
145 of this chapter;
    (iii) The holder of a mechanic certificate as authorized in Part 65 
of this chapter; or
    (iv) The holder of a certificate issued under Part 121 or 127 of 
this chapter, and having a maintenance and inspection organization 
appropriate to the aircraft type; and
    (3) The Administrator finds after inspection, that the aircraft 
conforms to the type design, and is in condition for safe operation.
    (e) Noise requirements. Notwithstanding all other provisions of this 
section, the following must be complied with for the original issuance 
of a standard airworthiness certificate:
    (1) For transport category large airplanes and turbojet powered 
airplanes that have not had any flight time before the dates specified 
in Sec. 36.1(d), no standard airworthiness certificate is originally 
issued under this section unless the Administrator finds that the type 
design complies with the noise requirements in Sec. 36.1(d) in addition 
to the applicable airworthiness requirements in this section. For import 
airplanes, compliance with this paragraph is shown if the country in 
which the airplane was manufactured certifies, and the Administrator 
finds, that Sec. 36.1(d) (or the applicable airplane noise requirements 
of the country in which the airplane was manufactured and any other 
requirements the Administrator may prescribe to provide noise levels no 
greater than those provided by compliance with Sec. 36.1(d)) and 
paragraph (c) of this section are complied with.
    (2) For normal, utility, acrobatic, commuter, or transport category 
propeller driven small airplanes (except for those airplanes that are 
designed for ``agricultural aircraft operations'' (as defined in 
Sec. 137.3 of this chapter, as effective on January 1, 1966) or for 
dispensing fire fighting materials to which Sec. 36.1583 of this chapter 
does not apply) that have not had any flight time before the applicable 
date specified in Part 36 of this chapter, no standard airworthiness 
certificate is originally issued under this section unless the applicant 
shows that the type design complies with the applicable noise 
requirements of Part 36 of this chapter in addition to the applicable 
airworthiness requirements in this section. For import airplanes, 
compliance with this paragraph is shown if the country in which the 
airplane was manufactured certifies, and the Administrator finds, that 
the applicable requirements of Part 36 of this chapter (or the 
applicable airplane noise requirements of the country in which the 
airplane was manufactured and any other requirements the Administrator 
may prescribe to provide noise levels no greater than those provided by 
compliance with the applicable requirements of Part 36 of this chapter) 
and paragraph (c) of this section are complied with.
    (f) Passenger emergency exit requirements. Notwithstanding all other 
provisions of this section, each applicant for issuance of a standard 
airworthiness certificate for a transport category airplane manufactured 
after October 16, 1987, must show that the airplane meets the 
requirements of Sec. 25.807(c)(7) in effect on July 24, 1989. For the 
purposes of this paragraph, the date of manufacture of an airplane is 
the date the inspection acceptance records reflect that the airplane is 
complete and meets the FAA-approved type design data.
    (g) Fuel venting and exhaust emission requirements. Notwithstanding 
all other provisions of this section, and irrespective of the date of 
application, no airworthiness certificate is issued, on and after the 
dates specified in part 34 for the airplanes specified therein, unless

[[Page 141]]

the airplane complies with the applicable requirements of that part.

[Amdt. 21-17, 32 FR 14927, Oct. 28, 1967, as amended by Amdt. 21-20, 33 
FR 3055, Feb. 16, 1968; Amdt. 21-25, 34 FR 14068, Sept. 5, 1969; Amdt. 
21-42, 40 FR 1033, Jan. 6, 1975; Amdt. 21-47, 43 FR 28419, June 29, 
1978; Amdt. 21-52, 45 FR 67066, Oct. 9, 1980; Amdt. 21-59, 52 FR 1836, 
Jan. 15, 1987; Amdt. 21-60, 52 FR 8043, Mar. 13, 1987; Amdt. 21-65, 54 
FR 26695, June 23, 1989; Amdt. 21-68, 55 FR 32860, Aug. 10, 1990]



Sec. 21.184  Issue of special airworthiness certificates for primary category aircraft.

    (a) New primary category aircraft manufactured under a production 
certificate. An applicant for an original, special airworthiness 
certificate-primary category for a new aircraft that meets the criteria 
of Sec. 21.24(a)(1), manufactured under a production certificate, 
including aircraft assembled by another person from a kit provided by 
the holder of the production certificate and under the supervision and 
quality control of that holder, is entitled to a special airworthiness 
certificate without further showing, except that the Administrator may 
inspect the aircraft to determine conformity to the type design and 
condition for safe operation.
    (b) Imported aircraft. An applicant for a special airworthiness 
certificate-primary category for an imported aircraft type certificated 
under Sec. 21.29 is entitled to a special airworthiness certificate if 
the civil airworthiness authority of the country in which the aircraft 
was manufactured certifies, and the Administrator finds after 
inspection, that the aircraft conforms to an approved type design that 
meets the criteria of Sec. 21.24(a)(1) and is in a condition for safe 
operation.
    (c) Aircraft having a current standard airworthiness certificate. An 
applicant for a special airworthiness certificate-primary category, for 
an aircraft having a current standard airworthiness certificate that 
meets the criteria of Sec. 21.24(a)(1), may obtain the primary category 
certificate in exchange for its standard airworthiness certificate 
through the supplemental type certification process. For the purposes of 
this paragraph, a current standard airworthiness certificate means that 
the aircraft conforms to its approved normal, utility, or acrobatic type 
design, complies with all applicable airworthiness directives, has been 
inspected and found airworthy within the last 12 calendar months in 
accordance with Sec. 91.409(a)(1) of this chapter, and is found to be in 
a condition for safe operation by the Administrator.
    (d) Other aircraft. An applicant for a special airworthiness 
certificate-primary category for an aircraft that meets the criteria of 
Sec. 21.24(a)(1), and is not covered by paragraph (a), (b), or (c) of 
this section, is entitled to a special airworthiness certificate if--
    (1) The applicant presents evidence to the Administrator that the 
aircraft conforms to an approved primary, normal, utility, or acrobatic 
type design, including compliance with all applicable airworthiness 
directives;
    (2) The aircraft has been inspected and found airworthy within the 
past 12 calendar months in accordance with Sec. 91.409(a)(1) of this 
chapter and;
    (3) The aircraft is found by the Administrator to conform to an 
approved type design and to be in a condition for safe operation.
    (e) Multiple-category airworthiness certificates in the primary 
category and any other category will not be issued; a primary category 
aircraft may hold only one airworthiness certificate.

[Doc. No. 23345, 57 FR 41368, Sept. 9, 1992, as amended by Amdt. 21-70, 
57 FR 43776, Sept. 22, 1992]



Sec. 21.185  Issue of airworthiness certificates for restricted category aircraft.

    (a) Aircraft manufactured under a production certificate or type 
certificate only. An applicant for the original issue of a restricted 
category airworthiness certificate for an aircraft type certificated in 
the restricted category, that was not previously type certificated in 
any other category, must comply with the appropriate provisions of 
Sec. 21.183.
    (b) Other aircraft. An applicant for a restricted category 
airworthiness certificate for an aircraft type certificated in the 
restricted category, that was either a surplus aircraft of the Armed 
Forces or previously type certificated in another category, is entitled 
to an airworthiness certificate if the aircraft

[[Page 142]]

has been inspected by the Administrator and found by him to be in a good 
state of preservation and repair and in a condition for safe operation.
    (c) Import aircraft. An applicant for the original issue of a 
restricted category airworthiness certificate for an import aircraft 
type certificated in the restricted category only in accordance with 
Sec. 21.29 is entitled to an airworthiness certificate if the country in 
which the aircraft was manufactured certifies, and the Administrator 
finds, that the aircraft conforms to the type design and is in a 
condition for safe operation.
    (d) Noise requirements. For propeller-driven small airplanes (except 
airplanes designed for ``agricultural aircraft operations,'' as defined 
in Sec. 137.3 of this chapter, as effective on January 1, 1966, or for 
dispensing fire fighting materials) that have not had any flight time 
before the applicable date specified in Part 36 of this chapter, and 
notwithstanding the other provisions of this section, no original 
restricted category airworthiness certificate is issued under this 
section unless the Administrator finds that the type design complies 
with the applicable noise requirements of Part 36 of this chapter in 
addition to the applicable airworthiness requirements of this section. 
For import airplanes, compliance with this paragraph is shown if the 
country in which the airplane was manufactured certifies, and the 
Administrator finds, that the applicable requirements of Part 36 of this 
chapter (or the applicable airplane noise requirements of the country in 
which the airplane was manufactured and any other requirements the 
Administrator may prescribe to provide noise levels no greater than 
those provided by compliance with the applicable requirements of Part 36 
of this chapter) and paragraph (c) of this section are complied with.

[Amdt. 21-10, 31 FR 9211, July 6, 1966; as amended by Amdt. 21-32, 35 FR 
10202, June 23, 1970; Amdt. 21-42, 40 FR 1034, Jan. 6, 1975]



Sec. 21.187  Issue of multiple airworthiness certification.

    (a) An applicant for an airworthiness certificate in the restricted 
category, and in one or more other categories except primary category, 
is entitled to the certificate, if--
    (1) He shows compliance with the requirements for each category, 
when the aircraft is in the configuration for that category; and
    (2) He shows that the aircraft can be converted from one category to 
another by removing or adding equipment by simple mechanical means.
    (b) The operator of an aircraft certificated under this section 
shall have the aircraft inspected by the Administrator, or by a 
certificated mechanic with an appropriate airframe rating, to determine 
airworthiness each time the aircraft is converted from the restricted 
category to another category for the carriage of passengers for 
compensation or hire, unless the Administrator finds this unnecessary 
for safety in a particular case.
    (c) The aircraft complies with the applicable requirements of part 
34.

[Doc. No. 5085, 29 FR 14569, Oct. 24, 1964, as amended by Amdt. 21-68, 
55 FR 32860, Aug. 10, 1990; Amdt. 21-70, 57 FR 41369, Sept. 9, 1992]



Sec. 21.189  Issue of airworthiness certificate for limited category aircraft.

    (a) An applicant for an airworthiness certificate for an aircraft in 
the limited category is entitled to the certificate when--
    (1) He shows that the aircraft has been previously issued a limited 
category type certificate and that the aircraft conforms to that type 
certificate; and
    (2) The Administrator finds, after inspection (including a flight 
check by the applicant), that the aircraft is in a good state of 
preservation and repair and is in a condition for safe operation.
    (b) The Administrator prescribes limitations and conditions 
necessary for safe operation.

[Doc. No. 5085, 29 FR 14570, Oct. 24, 1964, as amended by Amdt. 21-4, 30 
FR 9437, July 29, 1965]



Sec. 21.191  Experimental certificates.

    Experimental certificates are issued for the following purposes:
    (a) Research and development. Testing new aircraft design concepts, 
new aircraft equipment, new aircraft installations, new aircraft 
operating techniques, or new uses for aircraft.

[[Page 143]]

    (b) Showing compliance with regulations. Conducting flight tests and 
other operations to show compliance with the airworthiness regulations 
including flights to show compliance for issuance of type and 
supplemental type certificates, flights to substantiate major design 
changes, and flights to show compliance with the function and 
reliability requirements of the regulations.
    (c) Crew training. Training of the applicant's flight crews.
    (d) Exhibition. Exhibiting the aircraft's flight capabilities, 
performance, or unusual characteristics at air shows, motion picture, 
television, and similar productions, and the maintenance of exhibition 
flight proficiency, including (for persons exhibiting aircraft) flying 
to and from such air shows and productions.
    (e) Air racing. Participating in air races, including (for such 
participants) practicing for such air races and flying to and from 
racing events.
    (f) Market surveys. Use of aircraft for purposes of conducting 
market surveys, sales demonstrations, and customer crew training only as 
provided in Sec. 21.195.
    (g) Operating amateur-built aircraft. Operating an aircraft the 
major portion of which has been fabricated and assembled by persons who 
undertook the construction project solely for their own education or 
recreation.
    (h) Operating kit-built aircraft. Operating a primary category 
aircraft that meets the criteria of Sec. 21.24(a)(1) that was assembled 
by a person from a kit manufactured by the holder of a production 
certificate for that kit, without the supervision and quality control of 
the production certificate holder under Sec. 21.184(a).

[Amdt. 21-21, 38 FR 6858, May 7, 1968, as amended by Amdt. 21-57, 49 FR 
39651, Oct. 9, 1984; Amdt. 21-70, 57 FR 41369, Sept. 9, 1992]



Sec. 21.193  Experimental certificates: general.

    An applicant for an experimental certificate must submit the 
following information:
    (a) A statement, in a form and manner prescribed by the 
Administrator setting forth the purpose for which the aircraft is to be 
used.
    (b) Enough data (such as photographs) to identify the aircraft.
    (c) Upon inspection of the aircraft, any pertinent information found 
necessary by the Administrator to safeguard the general public.
    (d) In the case of an aircraft to be used for experimental 
purposes--
    (1) The purpose of the experiment;
    (2) The estimated time or number of flights required for the 
experiment;
    (3) The areas over which the experiment will be conducted; and
    (4) Except for aircraft converted from a previously certificated 
type without appreciable change in the external configuration, three-
view drawings or three-view dimensioned photographs of the aircraft.



Sec. 21.195  Experimental certificates: Aircraft to be used for market surveys, sales demonstrations, and customer crew training.

    (a) A manufacturer of aircraft manufactured within the United States 
may apply for an experimental certificate for an aircraft that is to be 
used for market surveys, sales demonstrations, or customer crew 
training.
    (b) A manufacturer of aircraft engines who has altered a type 
certificated aircraft by installing different engines, manufactured by 
him within the United States, may apply for an experimental certificate 
for that aircraft to be used for market surveys, sales demonstrations, 
or customer crew training, if the basic aircraft, before alteration, was 
type certificated in the normal, acrobatic, commuter, or transport 
category.
    (c) A person who has altered the design of a type certificated 
aircraft may apply for an experimental certificate for the altered 
aircraft to be used for market surveys, sales demonstrations, or 
customer crew training if the basic aircraft, before alteration, was 
type certificated in the normal, utility, acrobatic, or transport 
category.
    (d) An applicant for an experimental certificate under this section 
is entitled to that certificate if, in addition to meeting the 
requirements of Sec. 21.193--
    (1) He has established an inspection and maintenance program for the 
continued airworthiness of the aircraft; and

[[Page 144]]

    (2) He shows that the aircraft has been flown for at least 50 hours, 
or for at least 5 hours if it is a type certificated aircraft which has 
been modified.

[Amdt. 21-21, 33 FR 6858, May 7, 1968, as amended by Amdt. 21-28, 35 FR 
2818, Feb. 11, 1970; Amdt. 21-57, 49 FR 39651, Oct. 9, 1984; Amdt. 21-
59, 52 FR 1836, Jan. 15, 1987]



Sec. 21.197  Special flight permits.

    (a) A special flight permit may be issued for an aircraft that may 
not currently meet applicable airworthiness requirements but is capable 
of safe flight, for the following purposes:
    (1) Flying the aircraft to a base where repairs, alterations, or 
maintenance are to be performed, or to a point of storage.
    (2) Delivering or exporting the aircraft.
    (3) Production flight testing new production aircraft.
    (4) Evacuating aircraft from areas of impending danger.
    (5) Conducting customer demonstration flights in new production 
aircraft that have satisfactorily completed production flight tests.
    (b) A special flight permit may also be issued to authorize the 
operation of an aircraft at a weight in excess of its maximum 
certificated takeoff weight for flight beyond the normal range over 
water, or over land areas where adequate landing facilities or 
appropriate fuel is not available. The excess weight that may be 
authorized under this paragraph is limited to the additional fuel, fuel-
carrying facilities, and navigation equipment necessary for the flight.
    (c) Upon application, as prescribed in Secs. 121.79, 127.27, and 
135.17 of this chapter, a special flight permit with a continuing 
authorization may be issued for aircraft that may not meet applicable 
airworthiness requirements but are capable of safe flight for the 
purpose of flying aircraft to a base where maintenance or alterations 
are to be performed. The permit issued under this paragraph is an 
authorization, including conditions and limitations for flight, which is 
set forth in the certificate holder's operations specifications. The 
permit issued under this paragraph may be issued to--
    (1) Certificate holders authorized to conduct operations under Part 
121 or Part 127 of this chapter; or
    (2) Certificate holders authorized to conduct operations under Part 
135 for those aircraft they operate and maintain under a continuous 
airworthiness maintenance program prescribed by Sec. 135.411 (a)(2) or 
(b) of that part.

The permit issued under this paragraph is an authorization, including 
any conditions and limitations for flight, which is set forth in the 
certificate holder's operations specifications.

[Doc. No. 5085, 29 FR 14570, Oct. 24, 1964, as amended by Amdt. 21-21, 
33 FR 6859, May 7, 1968; Amdt. 21--51, 45 FR 60170, Sept. 11, 1980; 
Amdt. 21-54, 46 FR 37878, July 23, 1981]



Sec. 21.199  Issue of special flight permits.

    (a) Except as provided in Sec. 21.197(c), an applicant for a special 
flight permit must submit a statement in a form and manner prescribed by 
the Administrator, indicating--
    (1) The purpose of the flight.
    (2) The proposed itinerary.
    (3) The crew required to operate the aircraft and its equipment, 
e.g., pilot, co-pilot, navigator, etc.
    (4) The ways, if any, in which the aircraft does not comply with the 
applicable airworthiness requirements.
    (5) Any restriction the applicant considers necessary for safe 
operation of the aircraft.
    (6) Any other information considered necessary by the Administrator 
for the purpose of prescribing operating limitations.
    (b) The Administrator may make, or require the applicant to make 
appropriate inspections or tests necessary for safety.

[Doc. No. 5085, 29 FR 14570, Oct. 24, 1964, as amended by Amdt. 21-21, 
33 FR 6859, May 7, 1968; Amdt. 21-22, 33 FR 11901, Aug. 22, 1968]



            Subpart I--Provisional Airworthiness Certificates

    Source: Docket No. 5085, 29 FR 14571, Oct. 24, 1964, unless 
otherwise noted.



Sec. 21.211  Applicability.

    This subpart prescribes procedural requirements for the issue of 
provisional airworthiness certificates.

[[Page 145]]



Sec. 21.213  Eligibility.

    (a) A manufacturer who is a United States citizen may apply for a 
Class I or Class II provisional airworthiness certificate for aircraft 
manufactured by him within the U.S.
    (b) Any holder of an air carrier operating certificate under Part 
121 or Part 127 of this chapter who is a United States citizen may apply 
for a Class II provisional airworthiness certificate for transport 
category aircraft that meet either of the following:
    (1) The aircraft has a current Class II provisional type certificate 
or an amendment thereto.
    (2) The aircraft has a current provisional amendment to a type 
certificate that was preceded by a corresponding Class II provisional 
type certificate.
    (c) An aircraft engine manufacturer who is a United States citizen 
and who has altered a type certificated aircraft by installing different 
type certificated engines, manufactured by him within the United States, 
may apply for a Class I provisional airworthiness certificate for that 
aircraft, if the basic aircraft, before alteration, was type 
certificated in the normal, utility, acrobatic, commuter, or transport 
category.

[Doc. No. 5085, 29 FR 14571, Oct. 24, 1964, as amended by Amdt. 21-59, 
52 FR 1836, Jan. 15, 1987]



Sec. 21.215  Application.

    Applications for provisional airworthiness certificates must be 
submitted to the Manufacturing Inspection District Office in the 
geographic area in which the manufacturer or air carrier is located. The 
application must be accompanied by the pertinent information specified 
in this subpart.

[Amdt. 21-67, 54 FR 39291, Sept. 25, 1989; 54 FR 52872, Dec. 22, 1989]



Sec. 21.217  Duration.

    Unless sooner surrendered, superseded, revoked, or otherwise 
terminated, provisional airworthiness certificates are effective for the 
duration of the corresponding provisional type certificate, amendment to 
a provisional type certificate, or provisional amendment to the type 
certificate.



Sec. 21.219  Transferability.

    Class I provisional airworthiness certificates are not transferable. 
Class II provisional airworthiness certificates may be transferred to an 
air carrier eligible to apply for a certificate under Sec. 21.213(b).



Sec. 21.221  Class I provisional airworthiness certificates.

    (a) Except as provided in Sec. 21.225, an applicant is entitled to a 
Class I provisional airworthiness certificate for an aircraft for which 
a Class I provisional type certificate has been issued if--
    (1) He meets the eligibility requirements of Sec. 21.213 and he 
complies with this section; and
    (2) The Administrator finds that there is no feature, characteristic 
or condition of the aircraft that would make the aircraft unsafe when 
operated in accordance with the limitations established in 
Secs. 21.81(e) and 91.317 of this subchapter.
    (b) The manufacturer must hold a provisional type certificate for 
the aircraft.
    (c) The manufacturer must submit a statement that the aircraft 
conforms to the type design corresponding to the provisional type 
certificate and has been found by him to be in safe operating condition 
under all applicable limitations.
    (d) The aircraft must be flown at least five hours by the 
manufacturer.
    (e) The aircraft must be supplied with a provisional aircraft flight 
manual or other document and appropriate placards containing the 
limitations established by Secs. 21.81(e) and 91.317.

[Doc. No. 5085, 29 FR 14571, Oct. 24, 1964, as amended by Amdt. 21-66, 
54 FR 34329, Aug. 18, 1989]s



Sec. 21.223  Class II provisional airworthiness certificates.

    (a) Except as provided in Sec. 21.225, an applicant is entitled to a 
Class II provisional airworthiness certificate for an aircraft for which 
a Class II provisional type certificate has been issued if--
    (1) He meets the eligibility requirements of Sec. 21.213 and he 
complies with this section; and
    (2) The Administrator finds that there is no feature, 
characteristic, or condition of the aircraft that would

[[Page 146]]

make the aircraft unsafe when operated in accordance with the 
limitations established in Secs. 21.83(h), 91.317, and 121.207 of this 
chapter.
    (b) The applicant must show that a Class II provisional type 
certificate for the aircraft has been issued to the manufacturer.
    (c) The applicant must submit a statement by the manufacturer that 
the aircraft has been manufactured under a quality control system 
adequate to ensure that the aircraft conforms to the type design 
corresponding with the provisional type certificate.
    (d) The applicant must submit a statement that the aircraft has been 
found by him to be in a safe operating condition under the applicable 
limitations.
    (e) The aircraft must be flown at least five hours by the 
manufacturer.
    (f) The aircraft must be supplied with a provisional aircraft flight 
manual containing the limitations established by Secs. 21.83(h), 91.317, 
and 121.207 of this chapter.

[Doc. No. 5085, 29 FR 14571, Oct. 24, 1964, as amended by Amdt. 21-12, 
31 FR 13389, Oct. 15, 1966; Amdt. 21-66, 54 FR 34329, Aug. 18, 1989]



Sec. 21.225  Provisional airworthiness certificates corresponding with provisional amendments to type certificates.

    (a) An applicant is entitled to a Class I or a Class II provisional 
airworthiness certificate, for an aircraft, for which a provisional 
amendment to the type certificate has been issued, if--
    (1) He meets the eligibility requirements of Sec. 21.213 and he 
complies with this section; and
    (2) The Administrator finds that there is no feature, 
characteristic, or condition of the aircraft, as modified in accordance 
with the provisionally amended type certificate, that would make the 
aircraft unsafe when operated in accordance with the applicable 
limitations established in Secs. 21.85(g), 91.317, and 121.207 of this 
chapter.
    (b) The applicant must show that the modification was made under a 
quality control system adequate to ensure that the modification conforms 
to the provisionally amended type certificate.
    (c) The applicant must submit a statement that the aircraft has been 
found by him to be in a safe operating condition under the applicable 
limitations.
    (d) The aircraft must be flown at least five hours by the 
manufacturer.
    (e) The aircraft must be supplied with a provisional aircraft flight 
manual or other document and appropriate placards containing the 
limitations required by Secs. 21.85(g), 91.317, and 121.207 of this 
chapter.

[Doc. No. 5085, 29 FR 14571, Oct. 24, 1964, as amended by Amdt. 21-12, 
31 FR 13389, Oct. 15, 1966; Amdt. 21-66, 54 FR 34329, Aug. 18, 1989]



          Subpart J--Delegation Option Authorization Procedures

    Source: Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, unless otherwise 
noted.



Sec. 21.231  Applicability.

    This subpart prescribes procedures for--
    (a) Obtaining and using a delegation option authorization for type, 
production, and airworthiness certification (as applicable) of--
    (1) Small airplanes and small gliders;
    (2) Commuter category airplanes;
    (3) Normal category rotorcraft;
    (4) Turbojet engines of not more than 1,000 pounds thrust;
    (5) Turbopropeller and reciprocating engines of not more than 500 
brake horsepower; and
    (6) Propellers manufactured for use on engines covered by paragraph 
(a)(4) of this section; and
    (b) Issuing airworthiness approval tags for engines, propellers, and 
parts of products covered by paragraph (a) of this section.

[Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, as amended by Amdt. 21-59, 52 
FR 1836, Jan. 15, 1987]



Sec. 21.235  Application.

    (a) An application for a delegation option authorization must be 
submitted, in a form and manner prescribed by the Administrator, to the 
Aircraft Certification Office for the area in which the manufacturer is 
located.
    (b) The application must include the names, signatures, and titles 
of the persons for whom authorization to sign

[[Page 147]]

airworthiness certificates, repair and alteration forms, and inspection 
forms is requested.

[Doc. No. 5085, 29 FR 14574, Oct. 24, 1964, as amended by Amdt. 21-67, 
54 FR 39291, Sept. 25, 1989]



Sec. 21.239  Eligibility.

    To be eligible for a delegation option authorization, the applicant 
must--
    (a) Hold a current type certificate, issued to him under the 
standard procedures, for a product type certificated under the same part 
as the products for which the delegation option authorization is sought;
    (b) Hold a current production certificate issued under the standard 
procedures;
    (c) Employ a staff of engineering, flight test, production and 
inspection personnel who can determine compliance with the applicable 
airworthiness requirements of this chapter; and
    (d) Meet the requirements of this subpart.



Sec. 21.243  Duration.

    A delegation option authorization is effective until it is 
surrendered or the Administrator suspends, revokes, or otherwise 
terminates it.



Sec. 21.245  Maintenance of eligibility.

    The holder of a delegation option authorization shall continue to 
meet the requirements for issue of the authorization or shall notify the 
Administrator within 48 hours of any change (including a change of 
personnel) that could affect the ability of the holder to meet those 
requirements.



Sec. 21.247  Transferability.

    A delegation option authorization is not transferable.



Sec. 21.249  Inspections.

    Upon request, each holder of a delegation option authorization and 
each applicant shall let the Administrator inspect his organization, 
facilities, product, and records.



Sec. 21.251  Limits of applicability.

    (a) Delegation option authorizations apply only to products that are 
manufactured by the holder of the authorization.
    (b) Delegation option authorizations may be used for--
    (1) Type certification;
    (2) Changes in the type design of products for which the 
manufacturer holds, or obtains, a type certificate;
    (3) The amendment of a production certificate held by the 
manufacturer to include additional models or additional types for which 
he holds or obtains a type certificate; and
    (4) The issue of--
    (i) Experimental certificates for aircraft for which the 
manufacturer has applied for a type certificate or amended type 
certificate under Sec. 21.253, to permit the operation of those aircraft 
for the purpose of research and development, crew training, market 
surveys, or the showing of compliance with the applicable airworthiness 
requirements;
    (ii) Airworthiness certificates (other than experimental 
certificates) for aircraft for which the manufacturer holds a type 
certificate and holds or is in the process of obtaining a production 
certificate;
    (iii) Airworthiness approval tags (FAA Form 8130-3) for engines and 
propellers for which the manufacturer holds a type certificate and holds 
or is in the process of obtaining a production certificate; and
    (iv) Airworthiness approval tags (FAA Form 8130-3) for parts of 
products covered by this section.
    (c) Delegation option procedures may be applied to one or more types 
selected by the manufacturer, who must notify the FAA of each model, and 
of the first serial number of each model manufactured by him under the 
delegation option procedures. Other types or models may remain under the 
standard procedures.
    (d) Delegation option authorizations are subject to any additional 
limitations prescribed by the Administrator after inspection of the 
applicant's facilities or review of the staff qualifications.

[Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, as amended by Amdt. 21-31, 35 
FR 7292, May 9, 1970; Amdt. 21-43, 40 FR 2576, Jan. 14, 1975]

[[Page 148]]



Sec. 21.253  Type certificates: application.

    (a) To obtain, under the delegation option authorization, a type 
certificate for a new product or an amended type certificate, the 
manufacturer must submit to the Administrator--
    (1) An application for a type certificate (FAA Form 312);
    (2) A statement listing the airworthiness requirements of this 
chapter (by part number and effective date) that the manufacturer 
considers applicable;
    (3) After determining that the type design meets the applicable 
requirements, a statement certifying that this determination has been 
made;
    (4) After placing the required technical data and type inspection 
report in the technical data file required by Sec. 21.293(a)(1)(i), a 
statement certifying that this has been done;
    (5) A proposed type certificate data sheet; and
    (6) An Aircraft Flight Manual (if required) or a summary of required 
operating limitations and other information necessary for safe operation 
of the product.



Sec. 21.257  Type certificates: issue.

    An applicant is entitled to a type certificate for a product 
manufactured under a delegation option authorization if the 
Administrator finds that the product meets the applicable airworthiness, 
noise, fuel venting, and exhaust emission requirements (including 
applicable acoustical change or emissions change requirements in the 
case of changes in type design).

[Amdt. 21-68, 55 FR 32860, Aug. 10, 1990]



Sec. 21.261  Equivalent safety provisions.

    The manufacturer shall obtain the Administrator's concurrence on the 
application of all equivalent safety provisions applied under 
Sec. 21.21.



Sec. 21.267  Production certificates.

    To have a new model or new type certificate listed on his production 
certificate (issued under Subpart G of this part), the manufacturer must 
submit to the Administrator--
    (a) An application for an amendment to the production certificate;
    (b) After determining that the production certification requirements 
of Subpart G, with respect to the new model or type, are met, a 
statement certifying that this determination has been made;
    (c) A statement identifying the type certificate number under which 
the product is being manufactured; and
    (d) After placing the manufacturing and quality control data 
required by Sec. 21.143 with the data required by Sec. 21.293(a)(1)(ii), 
a statement certifying that this has been done.



Sec. 21.269  Export airworthiness approvals.

    The manufacturer may issue export airworthiness approvals.



Sec. 21.271  Airworthiness approval tags.

    (a) A manufacturer may issue an airworthiness approval tag (FAA Form 
8130-3) for each engine and propeller covered by Sec. 21.251(b)(4), and 
may issue an airworthiness approval tag for parts of each product 
covered by that section, if he finds, on the basis of inspection and 
operation tests, that those products conform to a type design for which 
he holds a type certificate and are in condition for safe operation.
    (b) When a new model has been included on the Production Limitation 
Record, the production certification number shall be stamped on the 
engine or propeller identification data place instead of issuing an 
airworthiness approval tag.

[Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, as amended by Amdt. 21-43, 40 
FR 2577, Jan. 14, 1975]



Sec. 21.273  Airworthiness certificates other than experimental.

    (a) The manufacturer may issue an airworthiness certificate for 
aircraft manufactured under a delegation option authorization if he 
finds, on the basis of the inspection and production flight check, that 
each aircraft conforms to a type design for which he holds a type 
certificate and is in a condition for safe operation.
    (b) The manufacturer may authorize any employee to sign 
airworthiness certificates if that employee--
    (1) Performs, or is in direct charge of, the inspection specified in 
paragraph (a) of this section; and

[[Page 149]]

    (2) Is listed on the manufacturer's application for the delegation 
option authorization, or on amendments thereof.

[Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, as amended by Amdt. 21-18, 32 
FR 15472, Nov. 7, 1967]



Sec. 21.275  Experimental certificates.

    (a) The manufacturer shall, before issuing an experimental 
certificate, obtain from the Administration any limitations and 
conditions that the Administrator considers necessary for safety.
    (b) For experimental certificates issued by the manufacturer, under 
this subpart, for aircraft for which the manufacturer holds the type 
certificate and which have undergone changes to the type design 
requiring flight test, the manufacturer may prescribe any operating 
limitations that he considers necessary.



Sec. 21.277  Data review and service experience.

    (a) If the Administrator finds that a product for which a type 
certificate was issued under this subpart does not meet the applicable 
airworthiness requirements, or that an unsafe feature or characteristic 
caused by a defect in design or manufacture exists, the manufacturer, 
upon notification by the Administrator, shall investigate the matter and 
report to the Administrator the results of the investigation and the 
action, if any, taken or proposed.
    (b) If corrective action by the user of the product is necessary for 
safety because of any noncompliance or defect specified in paragraph (a) 
of this section, the manufacturer shall submit the information necessary 
for the issue of an Airworthiness Directive under Part 39.



Sec. 21.289  Major repairs, rebuilding and alteration.

    For types covered by a delegation option authorization, a 
manufacturer may--
    (a) After finding that a major repair or major alteration meets the 
applicable airworthiness requirements of this chapter, approve that 
repair or alteration; and
    (b) Authorize any employee to execute and sign FAA Form 337 and make 
required log book entries if that employee--
    (1) Inspects, or is in direct charge of inspecting, the repair, 
rebuilding, or alteration; and
    (2) Is listed on the application for the delegation option 
authorization, or on amendments thereof.



Sec. 21.293  Current records.

    (a) The manufacturer shall maintain at his factory, for each product 
type certificated under a delegation option authorization, current 
records containing the following:
    (1) For the duration of the manufacturing operating under the 
delegation option authorization--
    (i) A technical data file that includes the type design drawings, 
specifications, reports on tests prescribed by this part, and the 
original type inspection report and amendments to that report;
    (ii) The data (including amendments) required to be submitted with 
the original application for each production certificate; and
    (iii) A record of any rebuilding and alteration performed by the 
manufacturer on products manufactured under the delegation option 
authorization.
    (2) For 2 years--
    (i) A complete inspection record for each product manufactured, by 
serial number, and data covering the processes and tests to which 
materials and parts are subjected; and
    (ii) A record of reported service difficulties.
    (b) The records and data specified in paragraph (a) of this section 
shall be--
    (1) Made available, upon the Administrator's request, for 
examination by the Administrator at any time; and
    (2) Identified and sent to the Administrator as soon as the 
manufacturer no longer operates under the delegation option procedures.



   Subpart K--Approval of Materials, Parts, Processes, and Appliances

    Source: Docket No. 5085, 29 FR 14574, Oct. 24, 1964, unless 
otherwise noted.

[[Page 150]]



Sec. 21.301  Applicability.

    This subpart prescribes procedural requirements for the approval of 
certain materials, parts, processes, and appliances.



Sec. 21.303  Replacement and modification parts.

    (a) Except as provided in paragraph (b) of this section, no person 
may produce a modification or replacement part for sale for installation 
on a type certificated product unless it is produced pursuant to a Parts 
Manufacturer Approval issued under this subpart.
    (b) This section does not apply to the following:
    (1) Parts produced under a type or production certificate.
    (2) Parts produced by an owner or operator for maintaining or 
altering his own product.
    (3) Parts produced under an FAA Technical Standard Order.
    (4) Standard parts (such as bolts and nuts) conforming to 
established industry or U.S. specifications.
    (c) An application for a Parts Manufacturer Approval is made to the 
Manager of the Aircraft Certification Office for the geographic area in 
which the manufacturing facility is located and must include the 
following:
    (1) The identity of the product on which the part is to be 
installed.
    (2) The name and address of the manufacturing facilities at which 
these parts are to be manufactured.
    (3) The design of the part, which consists of--
    (i) Drawings and specifications necessary to show the configuration 
of the part; and
    (ii) Information on dimensions, materials, and processes necessary 
to define the structural strength of the part.
    (4) Test reports and computations necessary to show that the design 
of the part meets the airworthiness requirements of the Federal Aviation 
Regulations applicable to the product on which the part is to be 
installed, unless the applicant shows that the design of the part is 
identical to the design of a part that is covered under a type 
certificate. If the design of the part was obtained by a licensing 
agreement, evidence of that agreement must be furnished.
    (d) An applicant is entitled to a Parts Manufacturer Approval for a 
replacement or modification part if--
    (1) The Administrator finds, upon examination of the design and 
after completing all tests and inspections, that the design meets the 
airworthiness requirements of the Federal Aviation Regulations 
applicable to the product on which the part is to be installed; and
    (2) He submits a statement certifying that he has established the 
fabrication inspection system required by paragraph (h) of this section.
    (e) Each applicant for a Parts Manufacturer Approval must allow the 
Administrator to make any inspection or test necessary to determine 
compliance with the applicable Federal Aviation Regulations. However, 
unless otherwise authorized by the Administrator--
    (1) No part may be presented to the Administrator for an inspection 
or test unless compliance with paragraphs (f)(2) through (4) of this 
section has been shown for that part; and
    (2) No change may be made to a part between the time that compliance 
with paragraphs (f)(2) through (4) of this section is shown for that 
part and the time that the part is presented to the Administrator for 
the inspection or test.
    (f) Each applicant for a Parts Manufacturer Approval must make all 
inspections and tests necessary to determine--
    (1) Compliance with the applicable airworthiness requirements;
    (2) That materials conform to the specifications in the design;
    (3) That the part conforms to the drawings in the design; and
    (4) That the fabrication processes, construction, and assembly 
conform to those specified in the design.
    (g) The Administrator does not issue a Parts Manufacturer Approval 
if the manufacturing facilities for the part are located outside of the 
United States, unless the Administrator finds that the location of the 
manufacturing facilities places no burden on the FAA in administering 
applicable airworthiness requirements.

[[Page 151]]

    (h) Each holder of a Parts Manufacturer Approval shall establish and 
maintain a fabrication inspection system that ensures that each 
completed part conforms to its design data and is safe for installation 
on applicable type certificated products. The system shall include the 
following:
    (1) Incoming materials used in the finished part must be as 
specified in the design data.
    (2) Incoming materials must be properly identified if their physical 
and chemical properties cannot otherwise be readily and accurately 
determined.
    (3) Materials subject to damage and deterioration must be suitably 
stored and adequately protected.
    (4) Processes affecting the quality and safety of the finished 
product must be accomplished in accordance with acceptable 
specifications.
    (5) Parts in process must be inspected for conformity with the 
design data at points in production where accurate determination can be 
made. Statistical quality control procedures may be employed where it is 
shown that a satisfactory level of quality will be maintained for the 
particular part involved.
    (6) Current design drawings must be readily available to 
manufacturing and inspection personnel, and used when necessary.
    (7) Major changes to the basic design must be adequately controlled 
and approved before being incorporated in the finished part.
    (8) Rejected materials and components must be segregated and 
identified in such a manner as to preclude their use in the finished 
part.
    (9) Inspection records must be maintained, identified with the 
completed part, where practicable, and retained in the manufacturer's 
file for a period of at least 2 years after the part has been completed.
    (i) A Parts Manufacturer Approval issued under this section is not 
transferable and is effective until surrendered or withdrawn or 
otherwise terminated by the Administrator.
    (j) The holder of a Parts Manufacturer Approval shall notify the FAA 
in writing within 10 days from the date the manufacturing facility at 
which the parts are manufactured is relocated or expanded to include 
additional facilities at other locations.
    (k) Each holder of a Parts Manufacturer Approval shall determine 
that each completed part conforms to the design data and is safe for 
installation on type certificated products.

[Amdt. 21-38, 37 FR 10659, May 26, 1972, as amended by Amdt. 21-41, 39 
FR 41965, Dec. 4, 1974; Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]



Sec. 21.305  Approval of materials, parts, processes, and appliances.

    Whenever a material, part, process, or appliance is required to be 
approved under this chapter, it may be approved--
    (a) Under a Parts Manufacturer Approval issued under Sec. 21.303;
    (b) Under a Technical Standard Order issued by the Administrator. 
Advisory Circular 20-110 contains a list of Technical Standard Orders 
that may be used to obtain approval. Copies of the Advisory Circular may 
be obtained from the U.S. Department of Transportation, Publication 
Section (M-443.1), Washington, D.C. 20590;
    (c) In conjunction with type certification procedures for a product; 
or
    (d) In any other manner approved by the Administrator.

[Amdt. 21-38, 37 FR 10659, May 26, 1972, as amended by Amdt. 21-50, 45 
FR 38346, June 9, 1980]



                Subpart L--Export Airworthiness Approvals

    Source: Amdt. 21-2, 30 FR 8465, July 2, 1965, unless otherwise 
noted.



Sec. 21.321  Applicability.

    (a) This subpart prescribes--
    (1) Procedural requirements for the issue of export airworthiness 
approvals; and
    (2) Rules governing the holders of those approvals.
    (b) For the purposes of this subpart--
    (1) A Class I product is a complete aircraft, aircraft engine, or 
propeller, which--
    (i) Has been type certificated in accordance with the applicable 
Federal Aviation Regulations and for which Federal Aviation 
Specifications or type

[[Page 152]]

certificate data sheets have been issued; or
    (ii) Is identical to a type certificated product specified in 
paragraph (b)(1)(i) of this section in all respects except as is 
otherwise acceptable to the civil aviation authority of the importing 
state.
    (2) A Class II product is a major component of a Class I product 
(e.g., wings, fuselages, empennage assemblies, landing gears, power 
transmissions, control surfaces, etc), the failure of which would 
jeopardize the safety of a Class I product; or any part, material, or 
appliance, approved and manufactured under the Technical Standard Order 
(TSO) system in the ``C'' series.
    (3) A Class III product is any part or component which is not a 
Class I or Class II product and includes standard parts, i.e., those 
designated as AN, NAS, SAE, etc.
    (4) The words ``newly overhauled'' when used to describe a product 
means that the product has not been operated or placed in service, 
except for functional testing, since having been overhauled, inspected 
and approved for return to service in accordance with the applicable 
Federal Aviation Regulations.

[Amdt. 21-2, 30 FR 11375, July 2, 1965, as amended by Amdt. 21-48, 44 FR 
15649, Mar. 15, 1979]



Sec. 21.323  Eligibility.

    (a) Any exporter or his authorized representative may obtain an 
export airworthiness approval for a Class I or Class II product.
    (b) Any manufacturer may obtain an export airworthiness approval for 
a Class III product if the manufacturer--
    (1) Has in his employ a designated representative of the 
Administrator who has been authorized to issue that approval; and
    (2) Holds for that product--
    (i) A production certificate;
    (ii) An approved production inspection system;
    (iii) An FAA Parts Manufacturer Approval (PMA); or
    (iv) A Technical Standard Order authorization.



Sec. 21.325  Export airworthiness approvals.

    (a) Kinds of approvals. (1) Export airworthiness approval of Class I 
products is issued in the form of Export Certificates of Airworthiness, 
FAA Form 8130-4. Such a certificate does not authorize the operation of 
aircraft.
    (2) Export airworthiness approval of Class II and III products is 
issued in the form of Airworthiness Approval Tags, FAA Form 8130-3.
    (b) Products which may be approved. Export airworthiness approvals 
are issued for--
    (1) New aircraft that are assembled and that have been flight-
tested, and other Class I products located in the United States, except 
that export airworthiness approval may be issued for any of the 
following without assembly or flight-test:
    (i) A small airplane type certificated under Part 3 or 4a of the 
Civil Air Regulations, or Part 23 of the Federal Aviation Regulations, 
and manufactured under a production certificate;
    (ii) A glider type certificated under Sec. 21.23 of this part and 
manufactured under a production certificate; or
    (iii) A normal category rotorcraft type certificated under Part 6 of 
the Civil Air Regulations or Part 27 of the Federal Aviation Regulations 
and manufactured under a production certificate.
    (2) Used aircraft possessing a valid U.S. airworthiness certificate, 
or other used Class I products that have been maintained in accordance 
with the applicable CAR's or FAR's and are located in a foreign country, 
if the Administrator finds that the location places no undue burden upon 
the FAA in administering the provisions of this regulation.
    (3) Class II and III products that are manufactured and located in 
the United States.
    (c) Export airworthiness approval exceptions. If the export 
airworthiness approval is issued on the basis of a written statement by 
the importing state as provided for in Sec. 21.327(e)(4), the 
requirements that are not met and the differences in configuration, if 
any, between the product to be exported and the related type 
certificated product,

[[Page 153]]

are listed on the export airworthiness approval as exceptions.

[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-14, 32 FR 
2999, Feb. 17, 1967; Amdt. 21-43, 40 FR 2577, Jan. 14, 1975; Amdt. 21-
48, 44 FR 15649, Mar. 15, 1979]



Sec. 21.327  Application.

    (a) Except as provided in paragraph (b) of this section, an 
application for export airworthiness approval for a Class I or Class II 
product is made on a form and in a manner prescribed by the 
Administrator and is submitted to the appropriate Flight Standards 
District Office or to the nearest international field office.
    (b) A manufacturer holding a production certificate may apply orally 
to the appropriate Flight Standards District Office or the nearest 
international field office for export airworthiness approval of a Class 
II product approved under his production certificate.
    (c) Application for export airworthiness approval of Class III 
products is made to the designated representative of the Administrator 
authorized to issue those approvals.
    (d) A separate application must be made for--
    (1) Each aircraft;
    (2) Each engine and propeller, except that one application may be 
made for more than one engine or propeller, if all are of the same type 
and model and are exported to the same purchaser and country; and
    (3) Each type of Class II product, except that one application may 
be used for more than one type of Class II product when--
    (i) They are separated and identified in the application as to the 
type and model of the related Class I product; and
    (ii) They are to be exported to the same purchaser and country.
    (e) Each application must be accompanied by a written statement from 
the importing country that will validate the export airworthiness 
approval if the product being exported is--
    (1) An aircraft manufactured outside the United States and being 
exported to a country with which the United States has a reciprocal 
agreement concerning the validation of export certificates;
    (2) An unassembled aircraft which has not been flight-tested;
    (3) A product that does not meet the special requirement of the 
importing country; or
    (4) A product that does not meet a requirement specified in 
Secs. 21.329, 21.331, or 21.333, as applicable, for the issuance of an 
export airworthiness approval. The written statement must list the 
requirements not met.
    (f) Each application for export airworthiness approval of a Class I 
product must include, as applicable:
    (1) A Statement of Conformity, FAA Form 8130-9, for each new product 
that has not been manufactured under a production certificate.
    (2) A weight and balance report, with a loading schedule when 
applicable, for each aircraft in accordance with Part 43 of this 
chapter. For transport aircraft and commuter category airplanes this 
report must be based on an actual weighing of the aircraft within the 
preceding twelve months, but after any major repairs or alterations to 
the aircraft. Changes in equipment not classed as major changes that are 
made after the actual weighing may be accounted for on a ``computed'' 
basis and the report revised accordingly. Manufacturers of new 
nontransport category airplanes, normal category rotorcraft, and gliders 
may submit reports having computed weight and balance data, in place of 
an actual weighing of the aircraft, if fleet weight control procedures 
approved by the FAA have been established for such aircraft. In such a 
case, the following statement must be entered in each report: ``The 
weight and balance data shown in this report are computed on the basis 
of Federal Aviation Administration approved procedures for establishing 
fleet weight averages.'' The weight and balance report must include an 
equipment list showing weights and moment arms of all required and 
optional items of equipment that are included in the certificated empty 
weight.
    (3) A maintenance manual for each new product when such a manual is 
required by the applicable airworthiness rules.
    (4) Evidence of compliance with the applicable airworthiness 
directives. A

[[Page 154]]

suitable notation must be made when such directives are not complied 
with.
    (5) When temporary installations are incorporated in an aircraft for 
the purpose of export delivery, the application form must include a 
general description of the installations together with a statement that 
the installation will be removed and the aircraft restored to the 
approved configuration upon completion of the delivery flight.
    (6) Historical records such as aircraft and engine log books, repair 
and alteration forms, etc., for used aircraft and newly overhauled 
products.
    (7) For products intended for overseas shipment, the application 
form must describe the methods used, if any, for the preservation and 
packaging of such products to protect them against corrosion and damage 
while in transit or storage. The description must also indicate the 
duration of the effectiveness of such methods.
    (8) The Airplane or Rotorcraft Flight Manual when such material is 
required by the applicable airworthiness regulations for the particular 
aircraft.
    (9) A statement as to the date when title passed or is expected to 
pass to a foreign purchaser.
    (10) The data required by the special requirements of the importing 
country.

[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Doc. No. 8084, 32 
FR 5769, Apr. 11, 1967; Amdt. 21-48, 44 FR 15650, Mar. 15, 1979; Amdt. 
21-59, 52 FR 1836, Jan. 15, 1987]



Sec. 21.329  Issue of export certificates of airworthiness for Class I products.

    An applicant is entitled to an export certificate of airworthiness 
for a Class I product if that applicant shows at the time the product is 
submitted to the Administrator for export airworthiness approval that it 
meets the requirements of paragraphs (a) through (f) of this section, as 
applicable, except as provided in paragraph (g) of this section:
    (a) New or used aircraft manufactured in the United States must meet 
the airworthiness requirement for a standard U.S. airworthiness 
certificate under Sec. 21.183, or meet the airworthiness certification 
requirements for a ``restricted'' airworthiness certificate under 
Sec. 21.185.
    (b) New or used aircraft manufactured outside the United States must 
have a valid U.S. standard airworthiness certificate.
    (c) Used aircraft must have undergone an annual type inspection and 
be approved for return to service in accordance with Part 43 of this 
chapter. The inspection must have been performed and properly documented 
within 30 days before the date the application is made for an export 
certificate of airworthiness. In complying with this paragraph, 
consideration may be given to the inspections performed on an aircraft 
maintained in accordance with a continuous airworthiness maintenance 
program under Part 121 or 127 of this chapter or a progressive 
inspection program under Part 91 of this chapter, within the 30 days 
prior to the date the application is made for an export certificate of 
airworthiness.
    (d) New engines and propellers must conform to the type design and 
must be in a condition for safe operation.
    (e) Used engines and propellers which are not being exported as part 
of a certificated aircraft must have been newly overhauled.
    (f) The special requirements of the importing country must have been 
met.
    (g) A product need not meet a requirement specified in paragraphs 
(a) through (f) of this section, as applicable, if acceptable to the 
importing country and the importing country indicates that acceptability 
in accordance with Sec. 21.327(e)(4) of this part.

[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-8, 31 FR 
2421, Feb. 5, 1966; Amdt. 21-9, 31 FR 3336, Mar. 3, 1966; Amdt. 21-48, 
44 FR 15650, Mar. 15, 1979]



Sec. 21.331  Issue of airworthiness approval tags for Class II products.

    (a) An applicant is entitled to an export airworthiness approval tag 
for Class II products if that applicant shows, except as provided in 
paragraph (b) of this section, that--
    (1) The products are new or have been newly overhauled and conform 
to the approved design data;
    (2) The products are in a condition for safe operation;
    (3) The products are identified with at least the manufacturer's 
name, part

[[Page 155]]

number, model designation (when applicable), and serial number or 
equivalent; and
    (4) The products meet the special requirements of the importing 
country.
    (b) A product need not meet a requirement specified in paragraph (a) 
of this section if acceptable to the importing country and the importing 
country indicates that acceptability in accordance with 
Sec. 21.327(e)(4) of this part.

[Amdt. 21-2, 30 FR 8465, July 2, l965, as amended by Amdt. 21-48, 44 FR 
15650, Mar. 15, 1979]



Sec. 21.333  Issue of export airworthiness approval tags for Class III products.

    (a) An applicant is entitled to an export airworthiness approval tag 
for Class III products if that applicant shows, except as provided in 
paragraph (b) of this section, that--
    (1) The products conform to the approved design data applicable to 
the Class I or Class II product of which they are a part;
    (2) The products are in a condition for safe operation; and
    (3) The products comply with the special requirements of the 
importing country.
    (b) A product need not meet a requirement specified in paragraph (a) 
of this section if acceptable to the importing country and the importing 
country indicates that acceptability in accordance with 
Sec. 21.327(e)(4) of this part.

[Amdt. 21-2, 30 FR 8465, July 2, l965, as amended by Amdt. 21-48, 44 FR 
15650, Mar. 15, 1979]



Sec. 21.335  Responsibilities of exporters.

    Each exporter receiving an export airworthiness approval for a 
product shall--
    (a) Forward to the air authority of the importing country all 
documents and information necessary for the proper operation of the 
products being exported, e.g., Flight Manuals, Maintenance Manuals, 
Service Bulletins, and assembly instructions, and such other material as 
is stipulated in the special requirements of the importing country. The 
documents, information, and material may be forwarded by any means 
consistent with the special requirements of the importing country;
    (b) Forward the manufacturer's assembly instructions and an FAA-
approved flight test checkoff form to the air authority of the importing 
country when unassembled aircraft are being exported. These instructions 
must be in sufficient detail to permit whatever rigging, alignment, and 
ground testing is necessary to ensure that the aircraft will conform to 
the approved configuration when assembled;
    (c) Remove or cause to be removed any temporary installation 
incorporated on an aircraft for the purpose of export delivery and 
restore the aircraft to the approved configuration upon completion of 
the delivery flight;
    (d) Secure all proper foreign entry clearances from all the 
countries involved when conducting sales demonstrations or delivery 
flights; and
    (e) When title to an aircraft passes or has passed to a foreign 
purchaser--
    (1) Request cancellation of the U.S. registration and airworthiness 
certificates, giving the date of transfer of title, and the name and 
address of the foreign owner;
    (2) Return the Registration and Airworthiness Certificates, AC Form 
8050.3 and FAA Form 8100-2, to the FAA; and
    (3) Submit a statement certifying that the United States' 
identification and registration numbers have been removed from the 
aircraft in compliance with Sec. 45.33.

[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-48, 44 FR 
15650, Mar. 15, 1979]



Sec. 21.337  Performance of inspections and overhauls.

    Unless otherwise provided for in this subpart, each inspection and 
overhaul required for export airworthiness approval of Class I and Class 
II products must be performed and approved by one of the following:
    (a) The manufacturer of the product.
    (b) An appropriately certificated domestic repair station.
    (c) An appropriately certificated foreign repair station having 
adequate overhaul facilities, and maintenance organization appropriate 
to the product involved, when the product is a Class I product located 
in a foreign

[[Page 156]]

country and an international office of Flight Standards Service has 
approved the use of such foreign repair station.
    (d) The holder of an inspection authorization as provided in Part 65 
of this chapter.
    (e) An air carrier, when the product is one that the carrier has 
maintained under its own or another air carrier's continuous 
airworthiness maintenance program and maintenance manuals as provided in 
Part 121 or 127 of this chapter.
    (f) A commercial operator, when the product is one that the operator 
has maintained under its continuous airworthiness maintenance program 
and maintenance manual as provided in Part 121 of this chapter.

[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-8, 31 FR 
2421, Feb. 5, 1966]



Sec. 21.339  Special export airworthiness approval for aircraft.

    A special export certificate of airworthiness may be issued for an 
aircraft located in the United States that is to be flown to several 
foreign countries for the purpose of sale, without returning the 
aircraft to the United States for the certificate if--
    (a) The aircraft possesses either--
    (1) A standard U.S. certificate of airworthiness; or
    (2) A special U.S. certificate of airworthiness in the restricted 
category issued under Sec. 21.185;
    (b) The owner files an application as required by Sec. 21.327 except 
that items 3 and 4 of the application (FAA Form 8130-1) need not be 
completed;
    (c) The aircraft is inspected by the Administrator before leaving 
the United States and is found to comply with all the applicable 
requirements;
    (d) A list of foreign countries in which it is intended to conduct 
sales demonstrations, together with the expected dates and duration of 
such demonstration, is included in the application;
    (e) For each prospective importing country, the applicant shows 
that--
    (1) He has met that country's special requirements, other than those 
requiring that documents, information, and materials be furnished; and
    (2) He has the documents, information, and materials necessary to 
meet the special requirements of that country; and
    (f) All other requirements for the issuance of a Class I export 
certificate of airworthiness are met.

[Amdt. 21-12, 31 FR 12565, Sept. 23, 1966, as amended by Amdt. 21-43, 40 
FR 2577, Jan. 14, 1975; Amdt. 21-55, 46 FR 44737, Sept. 8, 1981]



    Subpart M--Designated Alteration Station Authorization Procedures

    Source: Amdt. 21-6, 30 FR 11379, Sept. 8, 1965; 30 FR 11849, Sept. 
16, 1965, unless otherwise noted.



Sec. 21.431  Applicability.

    (a) This subpart prescribes Designated Alteration Station (DAS) 
authorization procedures for--
    (1) Issuing supplemental type certificates;
    (2) Issuing experimental certificates; and
    (3) Amending standard airworthiness certificates.
    (b) This subpart applies to domestic repair stations, air carriers, 
commercial operators of large aircraft, and manufacturers of products.

[Amdt. 21-6, 30 FR 11379, Sept. 8, 1965; 30 FR 11849, Sept. 16, 1965, as 
amended by Amdt. 21-74, 62 FR 13253, Mar. 19, 1997]



Sec. 21.435  Application.

    The applicant for a DAS authorization must submit an application, in 
writing and signed by an official of the applicant, to the Aircraft 
Certification Office responsible for the geographic area in which the 
applicant is located. The application must contain--
    (a) The repair station certificate number held by the repair station 
applicant, and the current ratings covered by the certificate;
    (b) The air carrier or commercial operator operating certificate 
number held by the air carrier or commercial operator applicant, and the 
products that it may operate and maintain under the certificate;
    (c) A statement by the manufacturer applicant of the products for 
which he holds the type certificate;

[[Page 157]]

    (d) The names, signatures, and titles of the persons for whom 
authorization to issue supplemental type certificates or experimental 
certificates, or amend airworthiness certificates, is requested; and
    (e) A description of the applicant's facilities, and of the staff 
with which compliance with Sec. 21.439(a)(4) is to be shown.

[Amdt. 21-6, 30 FR 11379, Sept. 8, 1965; 30 FR 11849, Sept. 16, 1965, as 
amended by Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]



Sec. 21.439  Eligibility.

    (a) To be eligible for a DAS authorization, the applicant must--
    (1) Hold a current domestic repair station certificate under Part 
145, or air carrier or commercial operator operating certificate under 
Part 121;
    (2) Be a manufacturer of a product for which it has alteration 
authority under Sec. 43.3(i) of this subchapter;
    (3) Have adequate maintenance facilities and personnel, in the 
United States, appropriate to the products that it may operate and 
maintain under its certificate; and
    (4) Employ, or have available, a staff of engineering, flight test, 
and inspection personnel who can determine compliance with the 
applicable airworthiness requirements of this chapter.
    (b) At least one member of the staff required by paragraph (a)(4) of 
this section must have all of the following qualifications:
    (1) A thorough working knowledge of the applicable requirements of 
this chapter.
    (2) A position, on the applicant's staff, with authority to 
establish alteration programs that ensure that altered products meet the 
applicable requirements of this chapter.
    (3) At least one year of satisfactory experience in direct contact 
with the FAA (or its predecessor agency (CAA)) while processing 
engineering work for type certification or alteration projects.
    (4) At least eight years of aeronautical engineering experience 
(which may include the one year required by paragraph (b)(3) of this 
section).
    (5) The general technical knowledge and experience necessary to 
determine that altered products, of the types for which a DAS 
authorization is requested, are in condition for safe operation.



Sec. 21.441  Procedure manual.

    (a) No DAS may exercise any authority under this subpart unless it 
submits, and obtains approval of, a procedure manual containing--
    (1) The procedures for issuing STCs; and
    (2) The names, signatures, and responsibilities of officials and of 
each staff member required by Sec. 21.439(a)(4), identifying those 
persons who--
    (i) Have authority to make changes in procedures that require a 
revision to the procedure manual; and
    (ii) Are to conduct inspections (including conformity and compliance 
inspections) or approve inspection reports, prepare or approve data, 
plan or conduct tests, approve the results of tests, amend airworthiness 
certificates, issue experimental certificates, approve changes to 
operating limitations or Aircraft Flight Manuals, and sign supplemental 
type certificates.
    (b) No DAS may continue to perform any DAS function affected by any 
change in facilities or staff necessary to continue to meet the 
requirements of Sec. 21.439, or affected by any change in procedures 
from those approved under paragraph (a) of this section, unless that 
change is approved and entered in the manual. For this purpose, the 
manual shall contain a log-of-revisions page with space for the 
identification of each revised item, page, or date, and the signature of 
the person approving the change for the Administrator.



Sec. 21.443  Duration.

    (a) A DAS authorization is effective until it is surrendered or the 
Administrator suspends, revokes, or otherwise terminates it.
    (b) The DAS shall return the authorization certificate to the 
Administrator when it is no longer effective.



Sec. 21.445  Maintenance of eligibility.

    The DAS shall continue to meet the requirements for issue of the 
authorization or shall notify the Administrator within 48 hours of any 
change (including a change of personnel) that

[[Page 158]]

could affect the ability of the DAS to meet those requirements.



Sec. 21.447  Transferability.

    A DAS authorization is not transferable.



Sec. 21.449  Inspections.

    Upon request, each DAS and each applicant shall let the 
Administrator inspect his facilities, products, and records.



Sec. 21.451  Limits of applicability.

    (a) DAS authorizations apply only to products--
    (1) Covered by the ratings of the repair station applicant;
    (2) Covered by the operating certificate and maintenance manual of 
the air carrier or commercial operator applicant; and
    (3) For which the manufacturer applicant has alteration authority 
under Sec. 43.3(i) of this subchapter.
    (b) DAS authorizations may be used for--
    (1) The issue of supplemental type certificates;
    (2) The issue of experimental certificates for aircraft that--
    (i) Are altered by the DAS under a supplemental type certificate 
issued by the DAS; and
    (ii) Require flight tests in order to show compliance with the 
applicable airworthiness requirements of this chapter; and
    (3) The amendment of standard airworthiness certificates for 
aircraft altered under this subpart.
    (c) DAS authorizations are subject to any additional limitations 
prescribed by the Administrator after inspection of the applicant's 
facilities or review of the staff qualifications.
    (d) Notwithstanding any other provision of this subpart, a DAS may 
not issue a supplemental type certificate involving the exhaust 
emissions change requirements of part 34 or the acoustical change 
requirements of part 36 of this chapter until the Administrator finds 
that those requirements are met.

[Amdt. 21-6, 30 FR 11379, Sept. 8, 1965; 30 FR 11849, Sept. 16, 1965, as 
amended by Amdt. 21-42, 40 FR 1034, Jan. 6, 1975; Amdt. 21-68, 55 FR 
32860, Aug. 10, 1990]



Sec. 21.461  Equivalent safety provisions.

    The DAS shall obtain the Administrator's concurrence on the 
application of all equivalent safety provisions applied under 
Sec. 21.21.



Sec. 21.463  Supplemental type certificates.

    (a) For each supplemental type certificate issued under this 
subpart, the DAS shall follow the procedure manual prescribed in 
Sec. 21.441 and shall, before issuing the certificate--
    (1) Submit to the Administrator a statement describing--
    (i) The type design change;
    (ii) The airworthiness requirements of this chapter (by part and 
effective date) that the DAS considers applicable; and
    (iii) The proposed program for meeting the applicable airworthiness 
requirements;
    (2) Find that each applicable airworthiness requirement is met; and
    (3) Find that the type of product for which the STC is to be issued, 
as modified by the supplemental type design data upon which the STC is 
based, is of proper design for safe operation.
    (b) Within 30 days after the date of issue of the STC, the DAS shall 
submit to the Administrator--
    (1) Two copies of the STC;
    (2) One copy of the design data approved by the DAS and referred to 
in the STC;
    (3) One copy of each inspection and test report; and
    (4) Two copies of each revision to the Aircraft Flight Manual or to 
the operating limitations, and any other information necessary for safe 
operation of the product.



Sec. 21.473  Airworthiness certificates other than experimental.

    For each amendment made to a standard airworthiness certificate 
under this subpart, the DAS shall follow the procedure manual prescribed 
in Sec. 21.441 and shall, before making that amendment--
    (a) Complete each flight test necessary to meet the applicable 
airworthiness requirements of this chapter;

[[Page 159]]

    (b) Find that each applicable airworthiness requirement of this 
chapter is met; and
    (c) Find that the aircraft is in condition for safe operation.



Sec. 21.475  Experimental certificates.

    The DAS shall, before issuing an experimental certificate, obtain 
from the Administrator any limitations and conditions that the 
Administrator considers necessary for safety.



Sec. 21.477  Data review and service experience.

    (a) If the Administrator finds that a product for which an STC was 
issued under this subpart does not meet the applicable airworthiness 
requirements, or that an unsafe feature or characteristic caused by a 
defect in design or manufacture exists, the DAS, upon notification by 
the Administrator, shall investigate the matter and report to the 
Administrator the results of the investigation and the action, if any, 
taken or proposed.
    (b) If corrective action by the user of the product is necessary for 
safety because of any noncompliance or defect specified in paragraph (a) 
of this section, the DAS shall submit the information necessary for the 
issue of an Airworthiness Directive under Part 39.



Sec. 21.493  Current records.

    (a) The DAS shall maintain, at its facility, current records 
containing--
    (1) For each product for which it has issued an STC under this 
subpart, a technical data file that includes any data and amendments 
thereto (including drawings, photographs, specifications, instructions, 
and reports) necessary for the STC;
    (2) A list of products by make, model, manufacturer's serial number 
and, if applicable, any FAA identification, that have been altered under 
the DAS authorization; and
    (3) A file of information from all available sources on alteration 
difficulties of products altered under the DAS authorization.
    (b) The records prescribed in paragraph (a) of this section shall 
be--
    (1) Made available by the DAS, upon the Administrator's request, for 
examination by the Administrator at any time; and
    (2) In the case of the data file prescribed in paragraph (a)(1) of 
this section, identified by the DAS and sent to the Administrator as 
soon as the DAS no longer operates under this subpart.



   Subpart N--Approval of Engines, Propellers, Materials, Parts, and 
                           Appliances: Import



Sec. 21.500  Approval of engines and propellers.

    Each holder or licensee of a U.S. type certificate for an aircraft 
engine or propeller manufactured in a foreign country with which the 
United States has an agreement for the acceptance of those products for 
export and import, shall furnish with each such aircraft engine or 
propeller imported into this country, a certificate of airworthiness for 
export issued by the country of manufacture certifying that the 
individual aircraft engine or propeller--
    (a) Conforms to its U.S. type certificate and is in condition for 
safe operation; and
    (b) Has been subjected by the manufacturer to a final operational 
check.

[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]



Sec. 21.502  Approval of materials, parts, and appliances.

    (a) A material, part, or appliance, manufactured in a foreign 
country with which the United States has an agreement for the acceptance 
of those materials, parts, or appliances for export and import, is 
considered to meet the requirements for approval in the Federal Aviation 
Regulations when the country of manufacture issues a certificate of 
airworthiness for export certifying that the individual material, part, 
or appliance meets those requirements, unless the Administrator finds, 
based on the technical data submitted under paragraph (b) of this 
section, that the material, part, or appliance is otherwise not 
consistent with the intent of the Federal Aviation Regulations.
    (b) An applicant for approval of a material, part, or appliance 
must, upon request, submit to the Administrator

[[Page 160]]

any technical data respecting that material, part, or appliance.

[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]



           Subpart O--Technical Standard Order Authorizations

    Source: Docket No. 19589, 45 FR 38346, June 9, 1980, unless 
otherwise noted.



Sec. 21.601  Applicability.

    (a) This subpart prescribes--
    (1) Procedural requirements for the issue of Technical Standard 
Order authorizations;
    (2) Rules governing the holders of Technical Standard Order 
authorizations; and
    (3) Procedural requirements for the issuance of a letter of 
Technical Standard Order design approval.
    (b) For the purpose of this subpart--
    (1) A Technical Standard Order (referred to in this subpart as 
``TSO'') is issued by the Administrator and is a minimum performance 
standard for specified articles (for the purpose of this subpart, 
articles means materials, parts, processes, or appliances) used on civil 
aircraft.
    (2) A TSO authorization is an FAA design and production approval 
issued to the manufacturer of an article which has been found to meet a 
specific TSO.
    (3) A letter of TSO design approval is an FAA design approval for a 
foreign-manufactured article which has been found to meet a specific TSO 
in accordance with the procedures of Sec. 21.617.
    (4) An article manufactured under a TSO authorization, an FAA letter 
of acceptance as described in Sec. 21.603(b), or an appliance 
manufactured under a letter of TSO design approval described in 
Sec. 21.617 is an approved article or appliance for the purpose of 
meeting the regulations of this chapter that require the article to be 
approved.
    (5) An article manufacturer is the person who controls the design 
and quality of the article produced (or to be produced, in the case of 
an application), including the parts of them and any processes or 
services related to them that are procured from an outside source.
    (c) The Administrator does not issue a TSO authorization if the 
manufacturing facilities for the product are located outside of the 
United States, unless the Administrator finds that the location of the 
manufacturer's facilities places no undue burden on the FAA in 
administering applicable airworthiness requirements.



Sec. 21.603  TSO marking and privileges.

    (a) Except as provided in paragraph (b) of this section and 
Sec. 21.617(c), no person may identify an article with a TSO marking 
unless that person holds a TSO authorization and the article meets 
applicable TSO performance standards.
    (b) The holder of an FAA letter of acceptance of a statement of 
conformance issued for an article before July 1, 1962, or any TSO 
authorization issued after July 1, 1962, may continue to manufacture 
that article without obtaining a new TSO authorization but shall comply 
with the requirements of Secs. 21.3, 21.607 through 21.615, 21.619, and 
21.621.
    (c) Notwithstanding paragraphs (a) and (b) of this section, after 
August 6, 1976, no person may identify or mark an article with any of 
the following TSO numbers:
    (1) TSO-C18, -C18a, -C18b, -C18c.
    (2) TSO-C24.
    (3) TSO-C33.
    (4) TSO-C61 or C61a.



Sec. 21.605  Application and issue.

    (a) The manufacturer (or an authorized agent) shall submit an 
application for a TSO authorization, together with the following 
documents, to the Manager of the Aircraft Certification Office for the 
geographic area in which the applicant is located:
    (1) A statement of conformance certifying that the applicant has met 
the requirements of this subpart and that the article concerned meets 
the applicable TSO that is effective on the date of application for that 
article.
    (2) One copy of the technical data required in the applicable TSO.
    (3) A description of its quality control system in the detail 
specified in Sec. 21.143. In complying with this section, the applicant 
may refer to current quality control data filed with the FAA

[[Page 161]]

as part of a previous TSO authorization application.
    (b) When a series of minor changes in accordance with Sec. 21.611 is 
anticipated, the applicant may set forth in its application the basic 
model number of the article and the part number of the components with 
open brackets after it to denote that suffix change letters or numbers 
(or combinations of them) will be added from time to time.
    (c) After receiving the application and other documents required by 
paragraph (a) of this section to substantiate compliance with this part, 
and after a determination has been made of its ability to produce 
duplicate articles under this part, the Administrator issues a TSO 
authorization (including all TSO deviations granted to the applicant) to 
the applicant to identify the article with the applicable TSO marking.
    (d) If the application is deficient, the applicant must, when 
requested by the Administrator, submit any additional information 
necessary to show compliance with this part. If the applicant fails to 
submit the additional information within 30 days after the 
Administrator's request, the application is denied and the applicant is 
so notified.
    (e) The Administrator issues or denies the application within 30 
days after its receipt or, if additional information has been requested, 
within 30 days after receiving that information.

[Doc. No. 19589, 45 FR 38346, June 9, 1980, as amended by Amdt. 21-67, 
54 FR 39291, Sept. 25, 1989]



Sec. 21.607  General rules governing holders of TSO authorizations.

    Each manufacturer of an article for which a TSO authorization has 
been issued under this part shall--
    (a) Manufacture the article in accordance with this part and the 
applicable TSO;
    (b) Conduct all required tests and inspections and establish and 
maintain a quality control system adequate to ensure that the article 
meets the requirements of paragraph (a) of this section and is in 
condition for safe operation;
    (c) Prepare and maintain, for each model of each article for which a 
TSO authorization has been issued, a current file of complete technical 
data and records in accordance with Sec. 21.613; and
    (d) Permanently and legibly mark each article to which this section 
applies with the following information:
    (1) The name and address of the manufacturer.
    (2) The name, type, part number, or model designation of the 
article.
    (3) The serial number or the date of manufacture of the article or 
both.
    (4) The applicable TSO number.



Sec. 21.609  Approval for deviation.

    (a) Each manufacturer who requests approval to deviate from any 
performance standard of a TSO shall show that the standards from which a 
deviation is requested are compensated for by factors or design features 
providing an equivalent level of safety.
    (b) The request for approval to deviate, together with all pertinent 
data, must be submitted to the Manager of the Aircraft Certification 
Office for the geographic area in which the manufacturer is located. If 
the article is manufactured in another country, the request for approval 
to deviate, together with all pertinent data, must be submitted through 
the civil aviation authority in that country to the FAA.

[Doc. No. 19589, 45 FR 38346, June 9, 1980, as amended by Amdt. 21-67, 
54 FR 39291, Sept. 25, 1989]



Sec. 21.611  Design changes.

    (a) Minor changes by the manufacturer holding a TSO authorization. 
The manufacturer of an article under an authorization issued under this 
part may make minor design changes (any change other than a major 
change) without further approval by the Administrator. In this case, the 
changed article keeps the original model number (part numbers may be 
used to identify minor changes) and the manufacturer shall forward to 
the appropriate Aircraft Certification Office for the geographic area, 
any revised data that are necessary for compliance with Sec. 21.605(b).
    (b) Major changes by manufacturer holding a TSO authorization. Any 
design change by the manufacturer that is extensive enough to require a 
substantially complete investigation to determine compliance with a TSO 
is a major

[[Page 162]]

change. Before making such a change, the manufacturer shall assign a new 
type or model designation to the article and apply for an authorization 
under Sec. 21.605.
    (c) Changes by person other than manufacturer. No design change by 
any person (other than the manufacturer who submitted the statement of 
conformance for the article) is eligible for approval under this part 
unless the person seeking the approval is a manufacturer and applies 
under Sec. 21.605(a) for a separate TSO authorization. Persons other 
than a manufacturer may obtain approval for design changes under Part 43 
or under the applicable airworthiness regulations.

[Doc. No. 19589, 45 FR 38346, June 9, 1980, as amended by Amdt. 21-67, 
54 FR 39291, Sept. 25, 1989]



Sec. 21.613  Recordkeeping requirements.

    (a) Keeping the records. Each manufacturer holding a TSO 
authorization under this part shall, for each article manufactured under 
that authorization, keep the following records at its factory:
    (1) A complete and current technical data file for each type or 
model article, including design drawings and specifications.
    (2) Complete and current inspection records showing that all 
inspections and tests required to ensure compliance with this part have 
been properly completed and documented.
    (b) Retention of records. The manufacturer shall retain the records 
described in paragraph (a)(1) of this section until it no longer 
manufactures the article. At that time, copies of these records shall be 
sent to the Administrator. The manufacturer shall retain the records 
described in paragraph (a)(2) of this section for a period of at least 2 
years.



Sec. 21.615  FAA inspection.

    Upon the request of the Administrator, each manufacturer of an 
article under a TSO authorization shall allow the Administrator to--
    (a) Inspect any article manufactured under that authorization;
    (b) Inspect the manufacturer's quality control system;
    (c) Witness any tests;
    (d) Inspect the manufacturing facilities; and
    (e) Inspect the technical data files on that article.



Sec. 21.617  Issue of letters of TSO design approval: import appliances.

    (a) A letter of TSO design approval may be issued for an appliance 
that is manufactured in a foreign country with which the United States 
has an agreement for the acceptance of these appliances for export and 
import and that is to be imported into the United States if--
    (1) The country in which the appliance was manufactured certifies 
that the appliance has been examined, tested, and found to meet the 
applicable TSO designated in Sec. 21.305(b) or the applicable 
performance standards of the country in which the appliance was 
manufactured and any other performance standards the Administrator may 
prescribe to provide a level of safety equivalent to that provided by 
the TSO designated in Sec. 21.305(b); and
    (2) The manufacturer has submitted one copy of the technical data 
required in the applicable performance standard through its civil 
aviation authority.
    (b) The letter of TSO design approval will be issued by the 
Administrator and must list any deviation granted to the manufacturer 
under Sec. 21.609.
    (c) After the Administrator has issued a letter of TSO design 
approval and the country of manufacture issues a Certificate of 
Airworthiness for Export as specified in Sec. 21.502(a), the 
manufacturer shall be authorized to identify the appliance with the TSO 
marking requirements described in Sec. 21.607(d) and in the applicable 
TSO. Each appliance must be accompanied by a Certificate of 
Airworthiness for Export as specified in Sec. 21.502(a) issued by the 
country of manufacture.



Sec. 21.619  Noncompliance.

    The Administrator may, upon notice, withdraw the TSO authorization 
or letter of TSO design approval of any manufacturer who identifies with 
a TSO marking an article not meeting the performance standards of the 
applicable TSO.

[[Page 163]]



Sec. 21.621  Transferability and duration.

    A TSO authorization or letter of TSO design approval issued under 
this part is not transferable and is effective until surrendered, 
withdrawn, or otherwise terminated by the Administrator.



PART 23--AIRWORTHINESS STANDARDS: NORMAL, UTILITY, ACROBATIC, AND COMMUTER CATEGORY AIRPLANES--Table of Contents




                  Special Federal Aviation Regulations

SFAR No. 23
SFAR No. 41 [Note]

                           Subpart A--General

Sec.
23.1  Applicability.
23.2  Special retroactive requirements.
23.3  Airplane categories.

                            Subpart B--Flight

                                 General

23.21  Proof of compliance.
23.23  Load distribution limits.
23.25  Weight limits.
23.29  Empty weight and corresponding center of gravity.
23.31  Removable ballast.
23.33  Propeller speed and pitch limits.

                               Performance

23.45  General.
23.49  Stalling period.
23.51  Takeoff speeds.
23.53  Takeoff performance.
23.55  Accelerate-stop distance.
23.57  Takeoff path.
23.59  Takeoff distance and takeoff run.
23.61  Takeoff flight path.
23.63  Climb: General.
23.65  Climb: All engines operating.
23.66  Takeoff climb: One-engine inoperative.
23.67  Climb: One engine inoperative.
23.69  Enroute climb/descent.
23.71  Glide: Single-engine airplanes.
23.73  Reference landing approach speed.
23.75  Landing distance.
23.77  Balked landing.

                         Flight Characteristics

23.141  General.

                   Controllability and Maneuverability

23.143  General.
23.145  Longitudinal control.
23.147  Directional and lateral control.
23.149  Minimum control speed.
23.151  Acrobatic maneuvers.
23.153  Control during landings.
23.155  Elevator control force in maneuvers.
23.157  Rate of roll.

                                  Trim

23.161  Trim.

                                Stability

23.171  General.
23.173  Static longitudinal stability.
23.175  Demonstration of static longitudinal stability.
23.177  Static directional and lateral stability.
23.181  Dynamic stability.

                                 Stalls

23.201  Wings level stall.
23.203  Turning flight and accelerated turning stalls.
23.207  Stall warning.

                                Spinning

23.221  Spinning.

                Ground and Water Handling Characteristics

23.231  Longitudinal stability and control.
23.233  Directional stability and control.
23.235  Operation on unpaved surfaces.
23.237  Operation on water.
23.239  Spray characteristics.

                    Miscellaneous Flight Requirements

23.251  Vibration and buffeting.
23.253  High speed characteristics.

                          Subpart C--Structure

                                 General

23.301  Loads.
23.302  Canard or tandem wing configurations.
23.303  Factor of safety.
23.305  Strength and deformation.
23.307  Proof of structure.

                              Flight Loads

23.321  General.
23.331  Symmetrical flight conditions.
23.333  Flight envelope.
23.335  Design airspeeds.
23.337  Limit maneuvering load factors.
23.341  Gust loads factors.
23.343  Design fuel loads.
23.345  High lift devices.
23.347  Unsymmetrical flight conditions.
23.349  Rolling conditions.
23.351  Yawing conditions.
23.361  Engine torque.
23.363  Side load on engine mount.
23.365  Pressurized cabin loads.
23.367  Unsymmetrical loads due to engine failure.
23.369  Rear lift truss.
23.371  Gyroscopic and aerodynamic loads.

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23.373  Speed control devices.

                    Control Surface and System Loads

23.391  Control surface loads.
23.393  Loads parallel to hinge line.
23.395  Control system loads.
23.397  Limit control forces and torques.
23.399  Dual control system.
23.405  Secondary control system.
23.407  Trim tab effects.
23.409  Tabs.
23.415  Ground gust conditions.

              Horizontal Stabilizing and Balancing Surfaces

23.421  Balancing loads.
23.423  Maneuvering loads.
23.425  Gust loads.
23.427  Unsymmetrical loads.

                            Vertical Surfaces

23.441  Maneuvering loads.
23.443  Gust loads.
23.445  Outboard fins or winglets.

                      Ailerons and Special Devices

23.455  Ailerons.
23.459  Special devices.

                              Ground Loads

23.471  General.
23.473  Ground load conditions and assumptions.
23.477  Landing gear arrangement.
23.479  Level landing conditions.
23.481  Tail down landing conditions.
23.483  One-wheel landing conditions.
23.485  Side load conditions.
23.493  Braked roll conditions.
23.497  Supplementary conditions for tail wheels.
23.499  Supplementary conditions for nose wheels.
23.505  Supplementary conditions for ski-planes.
23.507  Jacking loads.
23.509  Towing loads.
23.511  Ground load; unsymmetrical loads on multiple-wheel units.

                               Water Loads

23.521  Water load conditions.
23.523  Design weights and center of gravity positions.
23.525  Application of loads.
23.527  Hull and main float load factors.
23.529  Hull and main float landing conditions.
23.531  Hull and main float takeoff condition.
23.533  Hull and main float bottom pressures.
23.535  Auxiliary float loads.
23.537  Seawing loads.

                      Emergency Landing Conditions

23.561  General.
23.562  Emergency landing dynamic conditions.

                           Fatigue Evaluation

23.571  Metallic pressurized cabin structures.
23.572  Metallic wing, empennage, and associated structures.
23.573  Damage tolerance and fatigue evaluation of structure.
23.574  Metallic damage tolerance and fatigue evaluation of commuter 
          category airplanes.
23.575  Inspections and other procedures.

                   Subpart D--Design and Construction

23.601  General.
23.603  Materials and workmanship.
23.605  Fabrication methods.
23.607  Fasteners.
23.609  Protection of structure.
23.611  Accessibility provisions.
23.613  Material strength properties and design values.
23.619  Special factors.
23.621  Casting factors.
23.623  Bearing factors.
23.625  Fitting factors.
23.627  Fatigue strength.
23.629  Flutter.

                                  Wings

23.641  Proof of strength.

                            Control Surfaces

23.651  Proof of strength.
23.655  Installation.
23.657  Hinges.
23.659  Mass balance.

                             Control Systems

23.671  General.
23.672  Stability augmentation and automatic and power-operated systems.
23.673  Primary flight controls.
23.675  Stops.
23.677  Trim systems.
23.679  Control system locks.
23.681  Limit load static tests.
23.683  Operation tests.
23.685  Control system details.
23.687  Spring devices.
23.689  Cable systems.
23.691  Artificial stall barrier system.
23.693  Joints.
23.697  Wing flap controls.
23.699  Wing flap position indicator.
23.701  Flap interconnection.
23.703  Takeoff warning system.

                              Landing Gear

23.721  General.
23.723  Shock absorption tests.

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23.725  Limit drop tests.
23.726  Ground load dynamic tests.
23.727  Reserve energy absorption drop test.
23.729  Landing gear extension and retraction system.
23.731  Wheels.
23.733  Tires.
23.735  Brakes.
23.737  Skis.
23.745  Nose/tail wheel steering.

                            Floats and Hulls

23.751  Main float buoyancy.
23.753  Main float design.
23.755  Hulls.
23.757  Auxiliary floats.

                   Personnel and Cargo Accommodations

23.771  Pilot compartment.
23.773  Pilot compartment view.
23.775  Windshields and windows.
23.777  Cockpit controls.
23.779  Motion and effect of cockpit controls.
23.781  Cockpit control knob shape.
23.783  Doors.
23.785  Seats, berths, litters, safety belts, and shoulder harnesses.
23.787  Baggage and cargo compartments.
23.791  Passenger information signs.
23.803  Emergency evacuation.
23.805  Flightcrew emergency exits.
23.807  Emergency exits.
23.811  Emergency exit marking.
23.812  Emergency lighting.
23.813  Emergency exit access.
23.815  Width of aisle.
23.831  Ventilation.

                             Pressurization

23.841  Pressurized cabins.
23.843  Pressurization tests.

                             Fire Protection

23.851  Fire extinguishers.
23.853  Passenger and crew compartment interiors.
23.855  Cargo and baggage compartment fire protection.
23.859  Combustion heater fire protection.
23.863  Flammable fluid fire protection.
23.865  Fire protection of flight controls, engine mounts, and other 
          flight structure.

               Electrical Bonding and Lightning Protection

23.867  Electrical bonding and protection against lightning and static 
          electricity.

                              Miscellaneous

23.871  Leveling means.

                          Subpart E--Powerplant

                                 General

23.901  Installation.
23.903  Engines.
23.904  Automatic power reserve system.
23.905  Propellers.
23.907  Propeller vibration.
23.909  Turbocharger systems.
23.925  Propeller clearance.
23.929  Engine installation ice protection.
23.933  Reversing systems.
23.934  Turbojet and turbofan engine thrust reverser systems tests.
23.937  Turbopropeller-drag limiting systems.
23.939  Powerplant operating characteristics.
23.943  Negative acceleration.

                               Fuel System

23.951  General.
23.953  Fuel system independence.
23.954  Fuel system lightning protection.
23.955  Fuel flow.
23.957  Flow between interconnected tanks.
23.959  Unusable fuel supply.
23.961  Fuel system hot weather operation.
23.963  Fuel tanks: General.
23.965  Fuel tank tests.
23.967  Fuel tank installation.
23.969  Fuel tank expansion space.
23.971  Fuel tank sump.
23.973  Fuel tank filler connection.
23.975  Fuel tank vents and carburetor vapor vents.
23.977  Fuel tank outlet.
23.979  Pressure fueling systems.

                         Fuel System Components

23.991  Fuel pumps.
23.993  Fuel system lines and fittings.
23.994  Fuel system components.
23.995  Fuel valves and controls.
23.997  Fuel strainer or filter.
23.999  Fuel system drains.
23.1001  Fuel jettisoning system.

                               Oil System

23.1011  General.
23.1013  Oil tanks.
23.1015  Oil tank tests.
23.1017  Oil lines and fittings.
23.1019  Oil strainer or filter.
23.1021  Oil system drains.
23.1023  Oil radiators.
23.1027  Propeller feathering system.

                                 Cooling

23.1041  General.
23.1043  Cooling tests.
23.1045  Cooling test procedures for turbine engine powered airplanes.
23.1047  Cooling test procedures for reciprocating engine powered 
          airplanes.

                             Liquid Cooling

23.1061  Installation.
23.1063  Coolant tank tests.

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                            Induction System

23.1091  Air induction system.
23.1093  Induction system icing protection.
23.1095  Carburetor deicing fluid flow rate.
23.1097  Carburetor deicing fluid system capacity.
23.1099  Carburetor deicing fluid system detail design.
23.1101  Induction air preheater design.
23.1103  Induction system ducts.
23.1105  Induction system screens.
23.1107  Induction system filters.
23.1109  Turbocharger bleed air system.
23.1111  Turbine engine bleed air system.

                             Exhaust System

23.1121  General.
23.1123  Exhaust system.
23.1125  Exhaust heat exchangers.

                   Powerplant Controls and Accessories

23.1141  Powerplant controls: General.
23.1142  Auxiliary power unit controls.
23.1143  Engine controls.
23.1145  Ignition switches.
23.1147  Mixture controls.
23.1149  Propeller speed and pitch controls.
23.1153  Propeller feathering controls.
23.1155  Turbine engine reverse thrust and propeller pitch settings 
          below the flight regime.
23.1157  Carburetor air temperature controls.
23.1163  Powerplant accessories.
23.1165  Engine ignition systems.

                       Powerplant Fire Protection

23.1181  Designated fire zones; regions included.
23.1182  Nacelle areas behind firewalls.
23.1183  Lines, fittings, and components.
23.1189  Shutoff means.
23.1191  Firewalls.
23.1192  Engine accessory compartment diaphragm.
23.1193  Cowling and nacelle.
23.1195  Fire extinguishing systems.
23.1197  Fire extinguishing agents.
23.1199  Extinguishing agent containers.
23.1201  Fire extinguishing systems materials.
23.1203  Fire detector system.

                          Subpart F--Equipment

                                 General

23.1301  Function and installation.
23.1303  Flight and navigation instruments.
23.1305  Powerplant instruments.
23.1307  Miscellaneous equipment.
23.1309  Equipment, systems, and installations.

                        Instruments: Installation

23.1311  Electronic display instrument systems.
23.1321  Arrangement and visibility.
23.1322  Warning, caution, and advisory lights.
23.1323  Airspeed indicating system.
23.1325  Static pressure system.
23.1326  Pitot heat indication systems.
23.1327  Magnetic direction indicator.
23.1329  Automatic pilot system.
23.1331  Instruments using a power source.
23.1335  Flight director systems.
23.1337  Powerplant instruments installation.

                    Electrical Systems and Equipment

23.1351  General.
23.1353  Storage battery design and installation.
23.1357  Circuit protective devices.
23.1359  Electrical system fire protection.
23.1361  Master switch arrangement.
23.1365  Electric cables and equipment.
23.1367  Switches.

                                 Lights

23.1381  Instrument lights.
23.1383  Taxi and landing lights.
23.1385  Position light system installation.
23.1387  Position light system dihedral angles.
23.1389  Position light distribution and intensities.
23.1391  Minimum intensities in the horizontal plane of position lights.
23.1393  Minimum intensities in any vertical plane of position lights.
23.1395  Maximum intensities in overlapping beams of position lights.
23.1397  Color specifications.
23.1399  Riding light.
23.1401  Anticollision light system.

                            Safety Equipment

23.1411  General.
23.1415  Ditching equipment.
23.1416  Pneumatic de-icer boot system.
23.1419  Ice protection.

                         Miscellaneous Equipment

23.1431  Electronic equipment.
23.1435  Hydraulic systems.
23.1437  Accessories for multiengine airplanes.
23.1438  Pressurization and pneumatic systems.
23.1441  Oxygen equipment and supply.
23.1443  Minimum mass flow of supplemental oxygen.
23.1445  Oxygen distribution system.
23.1447  Equipment standards for oxygen dispensing units.
23.1449  Means for determining use of oxygen.
23.1450  Chemical oxygen generators.
23.1451  Fire protection for oxygen equipment.

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23.1453  Protection of oxygen equipment from rupture.
23.1457  Cockpit voice recorders.
23.1459  Flight recorders.
23.1461  Equipment containing high energy rotors.

            Subpart G--Operating Limitations and Information

23.1501  General.
23.1505  Airspeed limitations.
23.1507  Operating maneuvering speed.
23.1511  Flap extended speed.
23.1513  Minimum control speed.
23.1519  Weight and center of gravity.
23.1521  Powerplant limitations.
23.1522  Auxiliary power unit limitations.
23.1523  Minimum flight crew.
23.1524  Maximum passenger seating configuration.
23.1525  Kinds of operation.
23.1527  Maximum operating altitude.
23.1529  Instructions for Continued Airworthiness.

                          Markings and Placards

23.1541  General.
23.1543  Instrument markings: General.
23.1545  Airspeed indicator.
23.1547  Magnetic direction indicator.
23.1549  Powerplant and auxiliary power unit instruments.
23.1551  Oil quantity indicator.
23.1553  Fuel quantity indicator.
23.1555  Control markings.
23.1557  Miscellaneous markings and placards.
23.1559  Operating limitations placard.
23.1561  Safety equipment.
23.1563  Airspeed placards.
23.1567  Flight maneuver placard.

           Airplane Flight Manual and Approved Manual Material

23.1581  General.
23.1583  Operating limitations.
23.1585  Operating procedures.
23.1587  Performance information.
23.1589  Loading information.

Appendix A to Part 23--Simplified Design Load Criteria
Appendix B to Part 23 [Reserved]
Appendix C to Part 23--Basic Landing Conditions
Appendix D to Part 23--Wheel Spin-Up and Spring-Back Loads
Appendix E to Part 23 [Reserved]
Appendix F to Part 23--Test Procedure
Appendix G to Part 23--Instructions for Continued Airworthiness
Appendix H to Part 23--Installation of An Automatic Power Reserve (APR) 
          System
Appendix I to Part 23--Seaplane Loads

    Authority: 49 U.S.C. 106(g), 40113, 44701-44702, 44704.

    Source: Docket No. 4080, 29 FR 17955, Dec. 18. 1964; 30 FR 258, Jan. 
9, 1965, unless otherwise noted.

            Special Federal Aviation Regulations SFAR No. 23

    1. Applicability. An applicant is entitled to a type certificate in 
the normal category for a reciprocating or turbopropeller multiengine 
powered small airplane that is to be certificated to carry more than 10 
occupants and that is intended for use in operations under Part 135 of 
the Federal Aviation Regulations if he shows compliance with the 
applicable requirements of Part 23 of the Federal Aviation Regulations, 
as supplemented or modified by the additional airworthiness requirements 
of this regulation.
    2. References. Unless otherwise provided, all references in this 
regulation to specific sections of Part 23 of the Federal Aviation 
Regulations are those sections of Part 23 in effect on March 30, 1967.

                           Flight Requirements

    3. General. Compliance must be shown with the applicable 
requirements of Subpart B of Part 23 of the Federal Aviation Regulations 
in effect on March 30, 1967, as supplemented or modified in sections 4 
through 10 of this regulation.

                               Performance

    4. General. (a) Unless otherwise prescribed in this regulation, 
compliance with each applicable performance requirement in sections 4 
through 7 of this regulation must be shown for ambient atmospheric 
conditions and still air.
    (b) The performance must correspond to the propulsive thrust 
available under the particular ambient atmospheric conditions and the 
particular flight condition. The available propulsive thrust must 
correspond to engine power or thrust, not exceeding the approved power 
or thrust less--
    (1) Installation losses; and
    (2) The power or equivalent thrust absorbed by the accessories and 
services appropriate to the particular ambient atmospheric conditions 
and the particular flight condition.
    (c) Unless otherwise prescribed in this regulation, the applicant 
must select the take-off, en route, and landing configurations for the 
airplane.
    (d) The airplane configuration may vary with weight, altitude, and 
temperature, to the extent they are compatible with the operating 
procedures required by paragraph (e) of this section.
    (e) Unless otherwise prescribed in this regulation, in determining 
the critical engine

[[Page 168]]

inoperative takeoff performance, the accelerate-stop distance, takeoff 
distance, changes in the airplane's configuration, speed, power, and 
thrust, must be made in accordance with procedures established by the 
applicant for operation in service.
    (f) Procedures for the execution of balked landings must be 
established by the applicant and included in the Airplane Flight Manual.
    (g) The procedures established under paragraphs (e) and (f) of this 
section must--
    (1) Be able to be consistently executed in service by a crew of 
average skill;
    (2) Use methods or devices that are safe and reliable; and
    (3) Include allowance for any time delays, in the execution of the 
procedures, that may reasonably be expected in service.
    5. Takeoff--(a) General. The takeoff speeds described in paragraph 
(b), the accelerate-stop distance described in paragraph (c), and the 
takeoff distance described in paragraph (d), must be determined for--
    (1) Each weight, altitude, and ambient temperature within the 
operational limits selected by the applicant;
    (2) The selected configuration for takeoff;
    (3) The center of gravity in the most unfavorable position;
    (4) The operating engine within approved operating limitation; and
    (5) Takeoff data based on smooth, dry, hard-surface runway.
    (b) Takeoff speeds. (1) The decision speed V1 is the 
calibrated airspeed on the ground at which, as a result of engine 
failure or other reasons, the pilot is assumed to have made a decision 
to continue or discontinue the takeoff. The speed V1 must be 
selected by the applicant but may not be less than--
    (i) 1.10 Vs1;
    (ii) 1.10 VMC;
    (iii) A speed that permits acceleration to V1 and stop in 
accordance with paragraph (c) allowing credit for an overrun distance 
equal to that required to stop the airplane from a ground speed of 35 
knots utilizing maximum braking; or
    (iv) A speed at which the airplane can be rotated for takeoff and 
shown to be adequate to safely continue the takeoff, using normal 
piloting skill, when the critical engine is suddenly made inoperative.
    (2) Other essential takeoff speeds necessary for safe operation of 
the airplane must be determined and shown in the Airplane Flight Manual.
    (c) Accelerate-stop distance. (1) The accelerate-stop distance is 
the sum of the distances necessary to--
    (i) Accelerate the airplane from a standing start to V1; 
and
    (ii) Decelerate the airplane from V1 to a speed not 
greater than 35 knots, assuming that in the case of engine failure, 
failure of the critical engine is recognized by the pilot at the speed 
V1. The landing gear must remain in the extended position and 
maximum braking may be utilized during deceleration.
    (2) Means other than wheel brakes may be used to determine the 
accelerate-stop distance if that means is available with the critical 
engine inoperative and--
    (i) Is safe and reliable;
    (ii) Is used so that consistent results can be expected under normal 
operating conditions; and
    (iii) Is such that exceptional skill is not required to control the 
airplane.
    (d) All engines operating takeoff distance. The all engine operating 
takeoff distance is the horizontal distance required to takeoff and 
climb to a height of 50 feet above the takeoff surface according to 
procedures in FAR 23.51(a).
    (e) One-engine-inoperative takeoff. The maximum weight must be 
determined for each altitude and temperature within the operational 
limits established for the airplane, at which the airplane has takeoff 
capability after failure of the critical engine at or above V1 
determined in accordance with paragraph (b) of this section. This 
capability may be established--
    (1) By demonstrating a measurably positive rate of climb with the 
airplane in the takeoff configuration, landing gear extended; or
    (2) By demonstrating the capability of maintaining flight after 
engine failure utilizing procedures prescribed by the applicant.
    6. Climb--(a) Landing climb: All-engines-operating. The maximum 
weight must be determined with the airplane in the landing 
configuration, for each altitude, and ambient temperature within the 
operational limits established for the airplane and with the most 
unfavorable center of gravity and out-of-ground effect in free air, at 
which the steady gradient of climb will not be less than 3.3 percent, 
with:
    (1) The engines at the power that is available 8 seconds after 
initiation of movement of the power or thrust controls from the mimimum 
flight idle to the takeoff position.
    (2) A climb speed not greater than the approach speed established 
under section 7 of this regulation and not less than the greater of 
1.05MC or 1.10VS1.
    (b) En route climb, one-engine-inoperative. (1) the maximum weight 
must be determined with the airplane in the en route configuration, the 
critical engine inoperative, the remaining engine at not more than 
maximum continuous power or thrust, and the most unfavorable center of 
gravity, at which the gradient at climb will be not less than--
    (i) 1.2 percent (or a gradient equivalent to 0.20 Vso 2, 
if greater) at 5,000 feet and an ambient temperature of 41 deg. F. or

[[Page 169]]

    (ii) 0.6 percent (or a gradient equivalent to 0.01 Vso 2, 
if greater) at 5,000 feet and ambient temperature of 81 deg. F.
    (2) The minimum climb gradient specified in subdivisions (i) and 
(ii) of subparagraph (1) of this paragraph must vary linearly between 
41 deg. F. and 81 deg. F. and must change at the same rate up to the 
maximum operational temperature approved for the airplane.
    7. Landing. The landing distance must be determined for standard 
atmosphere at each weight and altitude in accordance with FAR 23.75(a), 
except that instead of the gliding approach specified in FAR 
23.75(a)(1), the landing may be preceded by a steady approach down to 
the 50-foot height at a gradient of descent not greater than 5.2 percent 
(3 deg.) at a calibrated airspeed not less than 1.3s1.

                                  Trim

    8. Trim--(a) Lateral and directional trim. The airplane must 
maintain lateral and directional trim in level flight at a speed of 
Vh or VMO/MMO, whichever is lower, with 
landing gear and wing flaps retracted.
    (b) Longitudinal trim. The airplane must maintain longitudinal trim 
during the following conditions, except that it need not maintain trim 
at a speed greater than VMO/MMO:
    (1) In the approach conditions specified in FAR 23.161(c)(3) 
through (5), except that instead of the speeds specified therein, trim 
must be maintained with a stick force of not more than 10 pounds down to 
a speed used in showing compliance with section 7 of this regulation or 
1.4 Vs1 whichever is lower.
    (2) In level flight at any speed from VH or 
VMO/MMO, whichever is lower, to either Vx or 1.4 
Vs1, with the landing gear and wing flaps retracted.

                                Stability

    9. Static longitudinal stability. (a) In showing compliance with the 
provisions of FAR 23.175(b) and with paragraph (b) of this section, the 
airspeed must return to within plus-minus7\1/2\ percent of 
the trim speed.
    (b) Cruise stability. The stick force curve must have a stable slope 
for a speed range of plus-minus50 knots from the trim speed 
except that the speeds need not exceed VFC/MFC or 
be less than 1.4 Vs1. This speed range will be considered to 
begin at the outer extremes of the friction band and the stick force may 
not exceed 50 pounds with--
    (i) Landing gear retracted;
    (ii) Wing flaps retracted;
    (iii) The maximum cruising power as selected by the applicant as an 
operating limitation for turbine engines or 75 percent of maximum 
continuous power for reciprocating engines except that the power need 
not exceed that required at VMO/MMO:
    (iv) Maximum takeoff weight; and
    (v) The airplane trimmed for level flight with the power specified 
in subparagraph (iii) of this paragraph.
    VFC/MFC may not be less than a speed midway 
between VMO/MMO and VDF/MDF, 
except that, for altitudes where Mach number is the limiting factor, 
MFC need not exceed the Mach number at which effective speed 
warning occurs.
    (c) Climb stability. For turbopropeller powered airplanes only. In 
showing compliance with FAR 23.175(a), an applicant must in lieu of the 
power specified in FAR 23.175(a)(4), use the maximum power or thrust 
selected by the applicant as an operating limitation for use during 
climb at the best rate of climb speed except that the speed need not be 
less than 1.4 Vs1.

                                 Stalls

    10. Stall warning. If artificial stall warning is required to comply 
with the requirements of FAR 23.207, the warning device must give 
clearly distinguishable indications under expected conditions of flight. 
The use of a visual warning device that requires the attention of the 
crew within the cockpit is not acceptable by itself.

                             Control Systems

    11. Electric trim tabs. The airplane must meet the requirements of 
FAR 23.677 and in addition it must be shown that the airplane is safely 
controllable and that a pilot can perform all the maneuvers and 
operations necessary to effect a safe landing following any probable 
electric trim tab runaway which might be reasonably expected in service 
allowing for appropriate time delay after pilot recognition of the 
runaway. This demonstration must be conducted at the critical airplane 
weights and center of gravity positions.

                        Instruments: Installation

    12. Arrangement and visibility. Each instrument must meet the 
requirements of FAR 23.1321 and in addition--
    (a) Each flight, navigation, and powerplant instrument for use by 
any pilot must be plainly visible to him from his station with the 
minimum practicable deviation from his normal position and line of 
vision when he is looking forward along the flight path.
    (b) The flight instruments required by FAR 23.1303 and by the 
applicable operating rules must be grouped on the instrument panel and 
centered as nearly as practicable about the vertical plane of each 
pilot's forward vision. In addition--
    (1) The instrument that most effectively indicates the attitude must 
be on the panel in the top center position;
    (2) The instrument that most effectively indicates airspeed must be 
adjacent to and

[[Page 170]]

directly to the left of the instrument in the top center position;
    (3) The instrument that most effectively indicates altitude must be 
adjacent to and directly to the right of the instrument in the top 
center position; and
    (4) The instrument that most effectively indicates direction of 
flight must be adjacent to and directly below the instrument in the top 
center position.
    13. Airspeed indicating system. Each airspeed indicating system must 
meet the requirements of FAR 23.1323 and in addition--
    (a) Airspeed indicating instruments must be of an approved type and 
must be calibrated to indicate true airspeed at sea level in the 
standard atmosphere with a mimimum practicable instrument calibration 
error when the corresponding pilot and static pressures are supplied to 
the instruments.
    (b) The airspeed indicating system must be calibrated to determine 
the system error, i.e., the relation between IAS and CAS, in flight and 
during the accelerate takeoff ground run. The ground run calibration 
must be obtained between 0.8 of the mimimum value of V1 and 
1.2 times the maximum value of V1, considering the approved 
ranges of altitude and weight. The ground run calibration will be 
determined assuming an engine failure at the mimimum value of 
V1.
    (c) The airspeed error of the installation excluding the instrument 
calibration error, must not exceed 3 percent or 5 knots whichever is 
greater, throughout the speed range from VMO to 1.3S1 
with flaps retracted and from 1.3 VSO to VFE with 
flaps in the landing position.
    (d) Information showing the relationship between IAS and CAS must be 
shown in the Airplane Flight Manual.
    14. Static air vent system. The static air vent system must meet the 
requirements of FAR 23.1325. The altimeter system calibration must be 
determined and shown in the Airplane Flight Manual.

                  Operating Limitations and Information

    15. Maximum operating limit speed VMO/MMO. 
Instead of establishing operating limitations based on VME 
and VNO, the applicant must establish a maximum operating 
limit speed VMO/MMO in accordance with the 
following:
    (a) The maximum operating limit speed must not exceed the design 
cruising speed Vc and must be sufficiently below VD/MD 
or VDF/MDF to make it highly improbable that the 
latter speeds will be inadvertently exceeded in flight.
    (b) The speed Vmo must not exceed 0.8 VD/MD or 
0.8 VDF/MDF unless flight demonstrations involving 
upsets as specified by the Administrator indicates a lower speed margin 
will not result in speeds exceeding VD/MD or 
VDF. Atmospheric variations, horizontal gusts, and equipment 
errors, and airframe production variations will be taken into account.
    16. Minimum flight crew. In addition to meeting the requirements of 
FAR 23.1523, the applicant must establish the minimum number and type of 
qualified flight crew personnel sufficient for safe operation of the 
airplane considering--
    (a) Each kind of operation for which the applicant desires approval;
    (b) The workload on each crewmember considering the following:
    (1) Flight path control.
    (2) Collision avoidance.
    (3) Navigation.
    (4) Communications.
    (5) Operation and monitoring of all essential aircraft systems.
    (6) Command decisions; and
    (c) The accessibility and ease of operation of necessary controls by 
the appropriate crewmember during all normal and emergency operations 
when at his flight station.
    17. Airspeed indicator. The airspeed indicator must meet the 
requirements of FAR 23.1545 except that, the airspeed notations and 
markings in terms of VNO and VNE must be replaced 
by the VMO/MMO notations. The airspeed indicator 
markings must be easily read and understood by the pilot. A placard 
adjacent to the airspeed indicator is an acceptable means of showing 
compliance with the requirements of FAR 23.1545(c).

                         Airplane Flight Manual

    18. General. The Airplane Flight Manual must be prepared in 
accordance with the requirements of FARs 23.1583 and 23.1587, and in 
addition the operating limitations and performance information set forth 
in sections 19 and 20 must be included.
    19. Operating limitations. The Airplane Flight Manual must include 
the following limitations--
    (a) Airspeed limitations. (1) The maximum operating limit speed 
VMO/MMO and a statement that this speed limit may 
not be deliberately exceeded in any regime of flight (climb, cruise, or 
descent) unless a higher speed is authorized for flight test or pilot 
training;
    (2) If an airspeed limitation is based upon compressibility effects, 
a statement to this effect and information as to any symptoms, the 
probable behavior of the airplane, and the recommended recovery 
procedures; and
    (3) The airspeed limits, shown in terms of VMO/MMO 
instead of VNO and VNE.
    (b) Takeoff weight limitations. The maximum takeoff weight for each 
airport elevation, ambient temperature, and available takeoff runway 
length within the range selected by the applicant. This weight may not 
exceed the weight at which:
    (1) The all-engine operating takeoff distance determined in 
accordance with section

[[Page 171]]

5(d) or the accelerate-stop distance determined in accordance with 
section 5(c), which ever is greater, is equal to the available runway 
length;
    (2) The airplane complies with the one-engine-inoperative takeoff 
requirements specified in section 5(e); and
    (3) The airplane complies with the one-engine-inoperative en route 
climb requirements specified in section 6(b), assuming that a standard 
temperature lapse rate exists from the airport elevation to the altitude 
of 5,000 feet, except that the weight may not exceed that corresponding 
to a temperature of 41 deg. F at 5,000 feet.
    20. Performance information. The Airplane Flight Manual must contain 
the performance information determined in accordance with the provisions 
of the performance requirements of this regulation. The information must 
include the following:
    (a) Sufficient information so that the take-off weight limits 
specified in section 19(b) can be determined for all temperatures and 
altitudes within the operation limitations selected by the applicant.
    (b) The conditions under which the performance information was 
obtained, including the airspeed at the 50-foot height used to determine 
landing distances.
    (c) The performance information (determined by extrapolation and 
computed for the range of weights between the maximum landing and 
takeoff weights) for--
    (1) Climb in the landing configuration; and
    (2) Landing distance.
    (d) Procedure established under section 4 of this regulation related 
to the limitations and information required by this section in the form 
of guidance material including any relevant limitations or information.
    (e) An explanation of significant or unusual flight or ground 
handling characteristics of the airplane.
    (f) Airspeeds, as indicated airspeeds, corresponding to those 
determined for takeoff in accordance with section 5(b).
    21. Maximum operating altitudes. The maximum operating altitude to 
which operation is permitted, as limited by flight, structural, 
powerplant, functional, or equipment characteristics, must be specified 
in the Airplane Flight Manual.
    22. Stowage provision for Airplane Flight Manual. Provision must be 
made for stowing the Airplane Flight Manual in a suitable fixed 
container which is readily accessible to the pilot.
    23. Operating procedures. Procedures for restarting turbine engines 
in flight (including the effects of altitude) must be set forth in the 
Airplane Flight Manual.

                          Airframe Requirements

                              flight loads

    24. Engine torque. (a) Each turbopropeller engine mount and its 
supporting structure must be designed for the torque effects of--
    (1) The conditions set forth in FAR 23.361(a).
    (2) The limit engine torque corresponding to takeoff power and 
propeller speed, multiplied by a factor accounting for propeller control 
system malfunction, including quick feathering action, simultaneously 
with 1 g level flight loads. In the absence of a rational analysis, a 
factor of 1.6 must be used.
    (b) The limit torque is obtained by multiplying the mean torque by a 
factor of 1.25.
    25. Turbine engine gyroscopic loads. Each turbopropeller engine 
mount and its supporting structure must be designed for the gyroscopic 
loads that result, with the engines at maximum continuous r.p.m., under 
either--
    (a) The conditions prescribed in FARs 23.351 and 23.423; or
    (b) All possible combinations of the following:
    (1) A yaw velocity of 2.5 radius per second.
    (2) A pitch velocity of 1.0 radians per second.
    (3) A normal load factor of 2.5.
    (4) Maximum continuous thrust.
    26. Unsymmetrical loads due to engine failure. (a) Turbopropeller 
powered airplanes must be designed for the unsymmetrical loads resulting 
from the failure of the critical engine including the following 
conditions in combination with a single malfunction of the propeller 
drag limiting system, considering the probable pilot corrective action 
on the flight controls.
    (1) At speeds between VMC and VD, the loads 
resulting from power failure because of fuel flow interruption are 
considered to be limit loads.
    (2) At speeds between VMC and VC, the loads 
resulting from the disconnection of the engine compressor from the 
turbine or from loss of the turbine blades are considered to be ultimate 
loads.
    (3) The time history of the thrust decay and drag buildup occurring 
as a result of the prescribed engine failures must be substantiated by 
test or other data applicable to the particular engine-propeller 
combination.
    (4) The timing and magnitude of the probable pilot corrective action 
must be conservatively estimated, considering the characteristics of the 
particular engine-propeller-airplane combination.
    (b) Pilot corrective action may be assumed to be initiated at the 
time maximum yawing velocity is reached, but not earlier than two 
seconds after the engine failure. The magnitude of the corrective action 
may be based on the control forces specified in FAR 23.397 except that 
lower forces may be assumed

[[Page 172]]

where it is shown by analysis or test that these forces can control the 
yaw and roll resulting from the prescribed engine failure conditions.

                              Ground Loads

    27. Dual wheel landing gear units. Each dual wheel landing gear unit 
and its supporting structure must be shown to comply with the following:
    (a) Pivoting. The airplane must be assumed to pivot about one side 
of the main gear with the brakes on that side locked. The limit vertical 
load factor must be 1.0 and the coefficient of friction 0.8. This 
condition need apply only to the main gear and its supporting structure.
    (b) Unequal tire inflation. A 60-40 percent distribution of the 
loads established in accordance with FAR 23.471 through FAR 23.483 must 
be applied to the dual wheels.
    (c) Flat tire. (1) Sixty percent of the loads specified in FAR 
23.471 through FAR 23.483 must be applied to either wheel in a unit.
    (2) Sixty percent of the limit drag and side loads and 100 percent 
of the limit vertical load established in accordance with FARs 23.493 
and 23.485 must be applied to either wheel in a unit except that the 
vertical load need not exceed the maximum vertical load in paragraph 
(c)(1) of this section.

                           Fatigue Evaluation

    28. Fatigue evaluation of wing and associated structure. Unless it 
is shown that the structure, operating stress levels, materials, and 
expected use are comparable from a fatigue standpoint to a similar 
design which has had substantial satisfactory service experience, the 
strength, detail design, and the fabrication of those parts of the wing, 
wing carrythrough, and attaching structure whose failure would be 
catastrophic must be evaluated under either--
    (a) A fatigue strength investigation in which the structure is shown 
by analysis, tests, or both to be able to withstand the repeated loads 
of variable magnitude expected in service; or
    (b) A fail-safe strength investigation in which it is shown by 
analysis, tests, or both that catastrophic failure of the structure is 
not probable after fatigue, or obvious partial failure, of a principal 
structural element, and that the remaining structure is able to 
withstand a static ultimate load factor of 75 percent of the critical 
limit load factor at Vc. These loads must be multiplied by a 
factor of 1.15 unless the dynamic effects of failure under static load 
are otherwise considered.

                         Design and Construction

    29. Flutter. For Multiengine turbopropeller powered airplanes, a 
dynamic evaluation must be made and must include--
    (a) The significant elastic, inertia, and aerodynamic forces 
associated with the rotations and displacements of the plane of the 
propeller; and
    (b) Engine-propeller-nacelle stiffness and damping variations 
appropriate to the particular configuration.

                              Landing Gear

    30. Flap operated landing gear warning device. Airplanes having 
retractable landing gear and wing flaps must be equipped with a warning 
device that functions continuously when the wing flaps are extended to a 
flap position that activates the warning device to give adequate warning 
before landing, using normal landing procedures, if the landing gear is 
not fully extended and locked. There may not be a manual shut off for 
this warning device. The flap position sensing unit may be installed at 
any suitable location. The system for this device may use any part of 
the system (including the aural warning device) provided for other 
landing gear warning devices.

                   Personnel and Cargo Accommodations

    31. Cargo and baggage compartments. Cargo and baggage compartments 
must be designed to meet the requirements of FAR 23.787 (a) and (b), and 
in addition means must be provided to protect passengers from injury by 
the contents of any cargo or baggage compartment when the ultimate 
forward inertia force is 9g.
    32. Doors and exits. The airplane must meet the requirements of FAR 
23.783 and FAR 23.807 (a)(3), (b), and (c), and in addition:
    (a) There must be a means to lock and safeguard each external door 
and exit against opening in flight either inadvertently by persons, or 
as a result of mechanical failure. Each external door must be operable 
from both the inside and the outside.
    (b) There must be means for direct visual inspection of the locking 
mechanism by crewmembers to determine whether external doors and exits, 
for which the initial opening movement is outward, are fully locked. In 
addition, there must be a visual means to signal to crewmembers when 
normally used external doors are closed and fully locked.
    (c) The passenger entrance door must qualify as a floor level 
emergency exit. Each additional required emergency exit except floor 
level exits must be located over the wing or must be provided with 
acceptable means to assist the occupants in descending to the ground. In 
addition to the passenger entrance door:
    (1) For a total seating capacity of 15 or less, an emergency exit as 
defined in FAR 23.807(b) is required on each side of the cabin.
    (2) For a total seating capacity of 16 through 23, three emergency 
exits as defined in 23.807(b) are required with one on the same

[[Page 173]]

side as the door and two on the side opposite the door.
    (d) An evacuation demonstration must be conducted utilizing the 
maximum number of occupants for which certification is desired. It must 
be conducted under simulated night conditions utilizing only the 
emergency exits on the most critical side of the aircraft. The 
participants must be representative of average airline passengers with 
no prior practice or rehearsal for the demonstration. Evacuation must be 
completed within 90 seconds.
    (e) Each emergency exit must be marked with the word ``Exit'' by a 
sign which has white letters 1 inch high on a red background 2 inches 
high, be self-illuminated or independently internally electrically 
illuminated, and have a minimum luminescence (brightness) of at least 
160 microlamberts. The colors may be reversed if the passenger 
compartment illumination is essentially the same.
    (f) Access to window type emergency exits must not be obstructed by 
seats or seat backs.
    (g) The width of the main passenger aisle at any point between seats 
must equal or exceed the values in the following table.

------------------------------------------------------------------------
                                    Minimum main passenger aisle width
                                 ---------------------------------------
     Total seating capacity          Less than 25     25 inches and more
                                   inches from floor      from floor
------------------------------------------------------------------------
10 through 23...................  9 inches..........  15 inches.
------------------------------------------------------------------------

                              Miscellaneous

    33. Lightning strike protection. Parts that are electrically 
insulated from the basic airframe must be connected to it through 
lightning arrestors unless a lightning strike on the insulated part--
    (a) Is improbable because of shielding by other parts; or
    (b) Is not hazardous.
    34. Ice protection. If certification with ice protection provisions 
is desired, compliance with the following requirements must be shown:
    (a) The recommended procedures for the use of the ice protection 
equipment must be set forth in the Airplane Flight Manual.
    (b) An analysis must be performed to establish, on the basis of the 
airplane's operational needs, the adequacy of the ice protection system 
for the various components of the airplane. In addition, tests of the 
ice protection system must be conducted to demonstrate that the airplane 
is capable of operating safely in continuous maximum and intermittent 
maximum icing conditions as described in FAR 25, appendix C.
    (c) Compliance with all or portions of this section may be 
accomplished by reference, where applicable because of similarity of the 
designs, to analysis and tests performed by the applicant for a type 
certificated model.
    35. Maintenance information. The applicant must make available to 
the owner at the time of delivery of the airplane the information he 
considers essential for the proper maintenance of the airplane. That 
information must include the following:
    (a) Description of systems, including electrical, hydraulic, and 
fuel controls.
    (b) Lubrication instructions setting forth the frequency and the 
lubricants and fluids which are to be used in the various systems.
    (c) Pressures and electrical loads applicable to the various 
systems.
    (d) Tolerances and adjustments necessary for proper functioning.
    (e) Methods of leveling, raising, and towing.
    (f) Methods of balancing control surfaces.
    (g) Identification of primary and secondary structures.
    (h) Frequency and extent of inspections necessary to the proper 
operation of the airplane.
    (i) Special repair methods applicable to the airplane.
    (j) Special inspection techniques, including those that require X-
ray, ultrasonic, and magnetic particle inspection.
    (k) List of special tools.

                               Propulsion

                                 general

    36. Vibration characteristics. For turbopropeller powered airplanes, 
the engine installation must not result in vibration characteristics of 
the engine exceeding those established during the type certification of 
the engine.
    37. In-flight restarting of engine. If the engine on turbopropeller 
powered airplanes cannot be restarted at the maximum cruise altitude, a 
determination must be made of the altitude below which restarts can be 
consistently accomplished. Restart information must be provided in the 
Airplane Flight Manual.
    38. Engines--(a) For turbopropeller powered airplanes. The engine 
installation must comply with the following requirements:
    (1) Engine isolation. The powerplants must be arranged and isolated 
from each other to allow operation, in at least one configuration, so 
that the failure or malfunction of any engine, or of any system that can 
affect the engine, will not--
    (i) Prevent the continued safe operation of the remaining engines; 
or
    (ii) Require immediate action by any crewmember for continued safe 
operation.
    (2) Control of engine rotation. There must be a means to 
individually stop and restart the rotation of any engine in flight 
except that

[[Page 174]]

engine rotation need not be stopped if continued rotation could not 
jeopardize the safety of the airplane. Each component of the stopping 
and restarting system on the engine side of the firewall, and that might 
be exposed to fire, must be at least fire resistant. If hydraulic 
propeller feathering systems are used for this purpose, the feathering 
lines must be at least fire resistant under the operating conditions 
that may be expected to exist during feathering.
    (3) Engine speed and gas temperature control devices. The powerplant 
systems associated with engine control devices, systems, and 
instrumentation must provide reasonable assurance that those engine 
operating limitations that adversely affect turbine rotor structural 
integrity will not be exceeded in service.
    (b) For reciprocating-engine powered airplanes. To provide engine 
isolation, the powerplants must be arranged and isolated from each other 
to allow operation, in at least one configuration, so that the failure 
or malfunction of any engine, or of any system that can affect that 
engine, will not--
    (1) Prevent the continued safe operation of the remaining engines; 
or
    (2) Require immediate action by any crewmember for continued safe 
operation.
    39. Turbopropeller reversing systems. (a) Turbopropeller reversing 
systems intended for ground operation must be designed so that no single 
failure or malfunction of the system will result in unwanted reverse 
thrust under any expected operating condition. Failure of structural 
elements need not be considered if the probability of this kind of 
failure is extremely remote.
    (b) Turbopropeller reversing systems intended for in-flight use must 
be designed so that no unsafe condition will result during normal 
operation of the system, or from any failure (or reasonably likely 
combination of failures) of the reversing system, under any anticipated 
condition of operation of the airplane. Failure of structural elements 
need not be considered if the probability of this kind of failure is 
extremely remote.
    (c) Compliance with this section may be shown by failure analysis, 
testing, or both for propeller systems that allow propeller blades to 
move from the flight low-pitch position to a position that is 
substantially less than that at the normal flight low-pitch stop 
position. The analysis may include or be supported by the analysis made 
to show compliance with the type certification of the propeller and 
associated installation components. Credit will be given for pertinent 
analysis and testing completed by the engine and propeller 
manufacturers.
    40. Turbopropeller drag-limiting systems. Turbopropeller drag-
limiting systems must be designed so that no single failure or 
malfunction of any of the systems during normal or emergency operation 
results in propeller drag in excess of that for which the airplane was 
designed. Failure of structural elements of the drag-limiting systems 
need not be considered if the probability of this kind of failure is 
extremely remote.
    41. Turbine engine powerplant operating characteristics. For 
turbopropeller powered airplanes, the turbine engine powerplant 
operating characteristics must be investigated in flight to determine 
that no adverse characteristics (such as stall, surge, or flameout) are 
present to a hazardous degree, during normal and emergency operation 
within the range of operating limitations of the airplane and of the 
engine.
    42. Fuel flow. (a) For turbopropeller powered airplanes--
    (1) The fuel system must provide for continuous supply of fuel to 
the engines for normal operation without interruption due to depletion 
of fuel in any tank other than the main tank; and
    (2) The fuel flow rate for turbopropeller engine fuel pump systems 
must not be less than 125 percent of the fuel flow required to develop 
the standard sea level atmospheric conditions takeoff power selected and 
included as an operating limitation in the Airplane Flight Manual.
    (b) For reciprocating engine powered airplanes, it is acceptable for 
the fuel flow rate for each pump system (main and reserve supply) to be 
125 percent of the takeoff fuel consumption of the engine.

                         Fuel System Components

    43. Fuel pumps. For turbopropeller powered airplanes, a reliable and 
independent power source must be provided for each pump used with 
turbine engines which do not have provisions for mechanically driving 
the main pumps. It must be demonstrated that the pump installations 
provide a reliability and durability equivalent to that provided by FAR 
23.991(a).
    44. Fuel strainer or filter. For turbopropeller powered airplanes, 
the following apply:
    (a) There must be a fuel strainer or filter between the tank outlet 
and the fuel metering device of the engine. In addition, the fuel 
strainer or filter must be--
    (1) Between the tank outlet and the engine-driven positive 
displacement pump inlet, if there is an engine-driven positive 
displacement pump;
    (2) Accessible for drainage and cleaning and, for the strainer 
screen, easily removable; and
    (3) Mounted so that its weight is not supported by the connecting 
lines or by the inlet or outlet connections of the strainer or filter 
itself.
    (b) Unless there are means in the fuel system to prevent the 
accumulation of ice on the filter, there must be means to automatically 
maintain the fuel flow if ice-clogging of the filter occurs; and

[[Page 175]]

    (c) The fuel strainer or filter must be of adequate capacity (with 
respect to operating limitations established to insure proper service) 
and of appropriate mesh to insure proper engine operation, with the fuel 
contaminated to a degree (with respect to particle size and density) 
that can be reasonably expected in service. The degree of fuel filtering 
may not be less than that established for the engine type certification.
    45. Lightning strike protection. Protection must be provided against 
the ignition of flammable vapors in the fuel vent system due to 
lightning strikes.

                                 Cooling

    46. Cooling test procedures for turbopropeller powered airplanes. 
(a) Turbopropeller powered airplanes must be shown to comply with the 
requirements of FAR 23.1041 during takeoff, climb en route, and landing 
stages of flight that correspond to the applicable performance 
requirements. The cooling test must be conducted with the airplane in 
the configuration and operating under the conditions that are critical 
relative to cooling during each stage of flight. For the cooling tests a 
temperature is ``stabilized'' when its rate of change is less than 
2 deg. F. per minute.
    (b) Temperatures must be stabilized under the conditions from which 
entry is made into each stage of flight being investigated unless the 
entry condition is not one during which component and engine fluid 
temperatures would stabilize, in which case, operation through the full 
entry condition must be conducted before entry into the stage of flight 
being investigated in order to allow temperatures to reach their natural 
levels at the time of entry. The takeoff cooling test must be preceded 
by a period during which the powerplant component and engine fluid 
temperatures are stabilized with the engines at ground idle.
    (c) Cooling tests for each stage of flight must be continued until--
    (1) The component and engine fluid temperatures stabilize;
    (2) The stage of flight is completed; or
    (3) An operating limitation is reached.

                            Induction System

    47. Air induction. For turbopropeller powered airplanes--
    (a) There must be means to prevent hazardous quantities of fuel 
leakage or overflow from drains, vents, or other components of flammable 
fluid systems from entering the engine intake system; and
    (b) The air inlet ducts must be located or protected so as to 
minimize the ingestion of foreign matter during takeoff, landing, and 
taxiing.
    48. Induction system icing protection. For turbopropeller powered 
airplanes, each turbine engine must be able to operate throughout its 
flight power range without adverse effect on engine operation or serious 
loss of power or thrust, under the icing conditions specified in 
appendix C of FAR 25. In addition, there must be means to indicate to 
appropriate flight crewmembers the functioning of the powerplant ice 
protection system.
    49. Turbine engine bleed air systems. Turbine engine bleed air 
systems of turbopropeller powered airplanes must be investigated to 
determine--
    (a) That no hazard to the airplane will result if a duct rupture 
occurs. This condition must consider that a failure of the duct can 
occur anywhere between the engine port and the airplane bleed service; 
and
    (b) That if the bleed air system is used for direct cabin 
pressurization, it is not possible for hazardous contamination of the 
cabin air system to occur in event of lubrication system failure.

                             Exhaust System

    50. Exhaust system drains. Turbopropeller engine exhaust systems 
having low spots or pockets must incorporate drains at such locations. 
These drains must discharge clear of the airplane in normal and ground 
attitudes to prevent the accumulation of fuel after the failure of an 
attempted engine start.

                   Powerplant Controls and Accessories

    51. Engine controls. If throttles or power levers for turbopropeller 
powered airplanes are such that any position of these controls will 
reduce the fuel flow to the engine(s) below that necessary for 
satisfactory and safe idle operation of the engine while the airplane is 
in flight, a means must be provided to prevent inadvertent movement of 
the control into this position. The means provided must incorporate a 
positive lock or stop at this idle position and must require a separate 
and distinct operation by the crew to displace the control from the 
normal engine operating range.
    52. Reverse thrust controls. For turbopropeller powered airplanes, 
the propeller reverse thrust controls must have a means to prevent their 
inadvertent operation. The means must have a positive lock or stop at 
the idle position and must require a separate and distinct operation by 
the crew to displace the control from the flight regime.
    53. Engine ignition systems. Each turbopropeller airplane ignition 
system must be considered an essential electrical load.
    54. Powerplant accessories. The powerplant accessories must meet the 
requirements of FAR 23.1163, and if the continued rotation of any 
accessory remotely driven by the engine is hazardous when malfunctioning 
occurs, there must be means to prevent rotation without interfering with 
the continued operation of the engine.

[[Page 176]]

                       Powerplant Fire Protection

    55. Fire detector system. For turbopropeller powered airplanes, the 
following apply:
    (a) There must be a means that ensures prompt detection of fire in 
the engine compartment. An overtemperature switch in each engine cooling 
air exit is an acceptable method of meeting this requirement.
    (b) Each fire detector must be constructed and installed to 
withstand the vibration, inertia, and other loads to which it may be 
subjected in operation.
    (c) No fire detector may be affected by any oil, water, other 
fluids, or fumes that might be present.
    (d) There must be means to allow the flight crew to check, in 
flight, the functioning of each fire detector electric circuit.
    (e) Wiring and other components of each fire detector system in a 
fire zone must be at least fire resistant.
    56. Fire protection, cowling and nacelle skin. For reciprocating 
engine powered airplanes, the engine cowling must be designed and 
constructed so that no fire originating in the engine compartment can 
enter, either through openings or by burn through, any other region 
where it would create additional hazards.
    57. Flammable fluid fire protection. If flammable fluids or vapors 
might be liberated by the leakage of fluid systems in areas other than 
engine compartments, there must be means to--
    (a) Prevent the ignition of those fluids or vapors by any other 
equipment; or
    (b) Control any fire resulting from that ignition.

                                Equipment

    58. Powerplant instruments. (a) The following are required for 
turbopropeller airplanes:
    (1) The instruments required by FAR 23.1305 (a)(1) through (4), 
(b)(2) and (4).
    (2) A gas temperature indicator for each engine.
    (3) Free air temperature indicator.
    (4) A fuel flowmeter indicator for each engine.
    (5) Oil pressure warning means for each engine.
    (6) A torque indicator or adequate means for indicating power output 
for each engine.
    (7) Fire warning indicator for each engine.
    (8) A means to indicate when the propeller blade angle is below the 
low-pitch position corresponding to idle operation in flight.
    (9) A means to indicate the functioning of the ice protection system 
for each engine.
    (b) For turbopropeller powered airplanes, the turbopropeller blade 
position indicator must begin indicating when the blade has moved below 
the flight low-pitch position.
    (c) The following instruments are required for reciprocating-engine 
powered airplanes:
    (1) The instruments required by FAR 23.1305.
    (2) A cylinder head temperature indicator for each engine.
    (3) A manifold pressure indicator for each engine.

                         Systems and Equipments

                                 general

    59. Function and installation. The systems and equipment of the 
airplane must meet the requirements of FAR 23.1301, and the following:
    (a) Each item of additional installed equipment must--
    (1) Be of a kind and design appropriate to its intended function;
    (2) Be labeled as to its identification, function, or operating 
limitations, or any applicable combination of these factors, unless 
misuse or inadvertent actuation cannot create a hazard;
    (3) Be installed according to limitations specified for that 
equipment; and
    (4) Function properly when installed.
    (b) Systems and installations must be designed to safeguard against 
hazards to the aircraft in the event of their malfunction or failure.
    (c) Where an installation, the functioning of which is necessary in 
showing compliance with the applicable requirements, requires a power 
supply, such installation must be considered an essential load on the 
power supply, and the power sources and the distribution system must be 
capable of supplying the following power loads in probable operation 
combinations and for probable durations:
    (1) All essential loads after failure of any prime mover, power 
converter, or energy storage device.
    (2) All essential loads after failure of any one engine on two-
engine airplanes.
    (3) In determining the probable operating combinations and durations 
of essential loads for the power failure conditions described in 
subparagraphs (1) and (2) of this paragraph, it is permissible to assume 
that the power loads are reduced in accordance with a monitoring 
procedure which is consistent with safety in the types of operations 
authorized.
    60. Ventilation. The ventilation system of the airplane must meet 
the requirements of FAR 23.831, and in addition, for pressurized 
aircraft the ventilating air in flight crew and passenger compartments 
must be free of harmful or hazardous concentrations of gases and vapors 
in normal operation and in the event of reasonably probable failures or 
malfunctioning of the ventilating, heating, pressurization, or other 
systems, and equipment. If accumulation of hazardous quantities of smoke 
in the cockpit area is reasonably probable, smoke evacuation must be 
readily accomplished.

[[Page 177]]

                    Electrical Systems and Equipment

    61. General. The electrical systems and equipment of the airplane 
must meet the requirements of FAR 23.1351, and the following:
    (a) Electrical system capacity. The required generating capacity, 
and number and kinds of power sources must--
    (1) Be determined by an electrical load analysis, and
    (2) Meet the requirements of FAR 23.1301.
    (b) Generating system. The generating system includes electrical 
power sources, main power busses, transmission cables, and associated 
control, regulation, and protective devices. It must be designed so 
that--
    (1) The system voltage and frequency (as applicable) at the 
terminals of all essential load equipment can be maintained within the 
limits for which the equipment is designed, during any probable 
operating conditions;
    (2) System transients due to switching, fault clearing, or other 
causes do not make essential loads inoperative, and do not cause a smoke 
or fire hazard;
    (3) There are means, accessible in flight to appropriate 
crewmembers, for the individual and collective disconnection of the 
electrical power sources from the system; and
    (4) There are means to indicate to appropriate crewmembers the 
generating system quantities essential for the safe operation of the 
system, including the voltage and current supplied by each generator.
    62. Electrical equipment and installation. Electrical equipment 
controls, and wiring must be installed so that operation of any one unit 
or system of units will not adversely affect the simultaneous operation 
of to the safe operation.
    63. Distribution system. (a) For the purpose of complying with this 
section, the distribution system includes the distribution busses, their 
associated feeders and each control and protective device.
    (b) Each system must be designed so that essential load circuits can 
be supplied in the event of reasonably probable faults or open circuits, 
including faults in heavy current carrying cables.
    (c) If two independent sources of electrical power for particular 
equipment or systems are required by this regulation, their electrical 
energy supply must be insured by means such as duplicate electrical 
equipment, throwover switching, or multichannel or loop circuits 
separately routed.
    64. Circuit protective devices. The circuit protective devices for 
the electrical circuits of the airplane must meet the requirements of 
FAR 23.1357, and in addition circuits for loads which are essential to 
safe operation must have individual and exclusive circuit protection.

[Doc. No. 8070, 34 FR 189, Jan. 7, 1969, as amended by SFAR 23-1, 34 FR 
20176, Dec. 24, 1969; 35 FR 1102, Jan. 28, 1970]

                               SFAR No. 41

    Editorial Note: For the text of SFAR No. 41, see part 21 of this 
chapter.



                           Subpart A--General



Sec. 23.1  Applicability.

    (a) This part prescribes airworthiness standards for the issue of 
type certificates, and changes to those certificates, for airplanes in 
the normal, utility, acrobatic, and commuter categories.
    (b) Each person who applies under Part 21 for such a certificate or 
change must show compliance with the applicable requirements of this 
part.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-34, 
52 FR 1825, Jan. 15, 1987]



Sec. 23.2  Special retroactive requirements.

    (a) Notwithstanding Secs. 21.17 and 21.101 of this chapter and 
irrespective of the type certification basis, each normal, utility, and 
acrobatic category airplane having a passenger seating configuration, 
excluding pilot seats, of nine or less, manufactured after December 12, 
1986, or any such foreign airplane for entry into the United States must 
provide a safety belt and shoulder harness for each forward- or aft-
facing seat which will protect the occupant from serious head injury 
when subjected to the inertia loads resulting from the ultimate static 
load factors prescribed in Sec. 23.561(b)(2) of this part, or which will 
provide the occupant protection specified in Sec. 23.562 of this part 
when that section is applicable to the airplane. For other seat 
orientations, the seat/restraint system must be designed to provide a 
level of occupant protection equivalent to that provided for forward- or 
aft-facing seats with a safety belt and shoulder harness installed.
    (b) Each shoulder harness installed at a flight crewmember station, 
as required by this section, must allow the

[[Page 178]]

crewmember, when seated with the safety belt and shoulder harness 
fastened, to perform all functions necessary for flight operations.
    (c) For the purpose of this section, the date of manufacture is:
    (1) The date the inspection acceptance records, or equivalent, 
reflect that the airplane is complete and meets the FAA approved type 
design data; or
    (2) In the case of a foreign manufactured airplane, the date the 
foreign civil airworthiness authority certifies the airplane is complete 
and issues an original standard airworthiness certificate, or the 
equivalent in that country.

[Amdt. 23-36, 53 FR 30812, Aug. 15, 1988]



Sec. 23.3  Airplane categories.

    (a) The normal category is limited to airplanes that have a seating 
configuration, excluding pilot seats, of nine or less, a maximum 
certificated takeoff weight of 12,500 pounds or less, and intended for 
nonacrobatic operation. Nonacrobatic operation includes:
    (1) Any maneuver incident to normal flying;
    (2) Stalls (except whip stalls); and
    (3) Lazy eights, chandelles, and steep turns, in which the angle of 
bank is not more than 60 degrees.
    (b) The utility category is limited to airplanes that have a seating 
configuration, excluding pilot seats, of nine or less, a maximum 
certificated takeoff weight of 12,500 pounds or less, and intended for 
limited acrobatic operation. Airplanes certificated in the utility 
category may be used in any of the operations covered under paragraph 
(a) of this section and in limited acrobatic operations. Limited 
acrobatic operation includes:
    (1) Spins (if approved for the particular type of airplane); and
    (2) Lazy eights, chandelles, and steep turns, or similar maneuvers, 
in which the angle of bank is more than 60 degrees but not more than 90 
degrees.
    (c) The acrobatic category is limited to airplanes that have a 
seating configuration, excluding pilot seats, of nine or less, a maximum 
certificated takeoff weight of 12,500 pounds or less, and intended for 
use without restrictions, other than those shown to be necessary as a 
result of required flight tests.
    (d) The commuter category is limited to propeller-driven, 
multiengine airplanes that have a seating configuration, excluding pilot 
seats, of 19 or less, and a maximum certificated takeoff weight of 
19,000 pounds or less. The commuter category operation is limited to any 
maneuver incident to normal flying, stalls (except whip stalls), and 
steep turns, in which the angle of bank is not more than 60 degrees.
    (e) Except for commuter category, airplanes may be type certificated 
in more than one category if the requirements of each requested category 
are met.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-4, 32 
FR 5934, Apr. 14, 1967; Amdt. 23-34, 52 FR 1825, Jan. 15, 1987; 52 FR 
34745, Sept. 14, 1987; Amdt. 23-50, 61 FR 5183, Feb. 9, 1996]



                            Subpart B--Flight

                                 General



Sec. 23.21  Proof of compliance.

    (a) Each requirement of this subpart must be met at each appropriate 
combination of weight and center of gravity within the range of loading 
conditions for which certification is requested. This must be shown--
    (1) By tests upon an airplane of the type for which certification is 
requested, or by calculations based on, and equal in accuracy to, the 
results of testing; and
    (2) By systematic investigation of each probable combination of 
weight and center of gravity, if compliance cannot be reasonably 
inferred from combinations investigated.
    (b) The following general tolerances are allowed during flight 
testing. However, greater tolerances may be allowed in particular tests:

------------------------------------------------------------------------
                   Item                               Tolerance
------------------------------------------------------------------------
Weight....................................  +5%, -10%.
Critical items affected by weight.........  +5%, -1%.
C.G.......................................  plus-minus7% total travel.
------------------------------------------------------------------------



Sec. 23.23  Load distribution limits.

    (a) Ranges of weights and centers of gravity within which the 
airplane may be safely operated must be established.

[[Page 179]]

If a weight and center of gravity combination is allowable only within 
certain lateral load distribution limits that could be inadvertently 
exceeded, these limits must be established for the corresponding weight 
and center of gravity combinations.
    (b) The load distribution limits may not exceed any of the 
following:
    (1) The selected limits;
    (2) The limits at which the structure is proven; or
    (3) The limits at which compliance with each applicable flight 
requirement of this subpart is shown.

[Doc. No. 26269, 58 FR 42156, Aug. 6, 1993]



Sec. 23.25  Weight limits.

    (a) Maximum weight. The maximum weight is the highest weight at 
which compliance with each applicable requirement of this part (other 
than those complied with at the design landing weight) is shown. The 
maximum weight must be established so that it is--
    (1) Not more than the least of--
    (i) The highest weight selected by the applicant; or
    (ii) The design maximum weight, which is the highest weight at which 
compliance with each applicable structural loading condition of this 
part (other than those complied with at the design landing weight) is 
shown; or
    (iii) The highest weight at which compliance with each applicable 
flight requirement is shown, and
    (2) Not less than the weight with--
    (i) Each seat occupied, assuming a weight of 170 pounds for each 
occupant for normal and commuter category airplanes, and 190 pounds for 
utility and acrobatic category airplanes, except that seats other than 
pilot seats may be placarded for a lesser weight; and
    (A) Oil at full capacity, and
    (B) At least enough fuel for maximum continuous power operation of 
at least 30 minutes for day-VFR approved airplanes and at least 45 
minutes for night-VFR and IFR approved airplanes; or
    (ii) The required minimum crew, and fuel and oil to full tank 
capacity.
    (b) Minimum weight. The minimum weight (the lowest weight at which 
compliance with each applicable requirement of this part is shown) must 
be established so that it is not more than the sum of--
    (1) The empty weight determined under Sec. 23.29;
    (2) The weight of the required minimum crew (assuming a weight of 
170 pounds for each crewmember); and
    (3) The weight of--
    (i) For turbojet powered airplanes, 5 percent of the total fuel 
capacity of that particular fuel tank arrangement under investigation, 
and
    (ii) For other airplanes, the fuel necessary for one-half hour of 
operation at maximum continuous power.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13086, Aug. 13, 1969; Amdt. 23-21, 43 FR 2317, Jan. 16, 1978; Amdt. 
23-34, 52 FR 1825, Jan. 15, 1987; Amdt. 23-45, 58 FR 42156, Aug. 6, 
1993; Amdt. 23-50, 61 FR 5183, Feb. 9, 1996]



Sec. 23.29  Empty weight and corresponding center of gravity.

    (a) The empty weight and corresponding center of gravity must be 
determined by weighing the airplane with--
    (1) Fixed ballast;
    (2) Unusable fuel determined under Sec. 23.959; and
    (3) Full operating fluids, including--
    (i) Oil;
    (ii) Hydraulic fluid; and
    (iii) Other fluids required for normal operation of airplane 
systems, except potable water, lavatory precharge water, and water 
intended for injection in the engines.
    (b) The condition of the airplane at the time of determining empty 
weight must be one that is well defined and can be easily repeated.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-21, 43 FR 2317, Jan. 16, 1978]



Sec. 23.31  Removable ballast.

    Removable ballast may be used in showing compliance with the flight 
requirements of this subpart, if--
    (a) The place for carrying ballast is properly designed and 
installed, and is marked under Sec. 23.1557; and
    (b) Instructions are included in the airplane flight manual, 
approved manual material, or markings and placards, for the proper 
placement of the removable ballast under each loading

[[Page 180]]

condition for which removable ballast is necessary.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-13, 37 FR 20023, Sept. 23, 1972]



Sec. 23.33  Propeller speed and pitch limits.

    (a) General. The propeller speed and pitch must be limited to values 
that will assure safe operation under normal operating conditions.
    (b) Propellers not controllable in flight. For each propeller whose 
pitch cannot be controlled in flight--
    (1) During takeoff and initial climb at the all engine(s) operating 
climb speed specified in Sec. 23.65, the propeller must limit the engine 
r.p.m., at full throttle or at maximum allowable takeoff manifold 
pressure, to a speed not greater than the maximum allowable takeoff 
r.p.m.; and
    (2) During a closed throttle glide, at VNE, the propeller 
may not cause an engine speed above 110 percent of maximum continuous 
speed.
    (c) Controllable pitch propellers without constant speed controls. 
Each propeller that can be controlled in flight, but that does not have 
constant speed controls, must have a means to limit the pitch range so 
that--
    (1) The lowest possible pitch allows compliance with paragraph 
(b)(1) of this section; and
    (2) The highest possible pitch allows compliance with paragraph 
(b)(2) of this section.
    (d) Controllable pitch propellers with constant speed controls. Each 
controllable pitch propeller with constant speed controls must have--
    (1) With the governor in operation, a means at the governor to limit 
the maximum engine speed to the maximum allowable takeoff r.p.m.; and
    (2) With the governor inoperative, the propeller blades at the 
lowest possible pitch, with takeoff power, the airplane stationary, and 
no wind, either--
    (i) A means to limit the maximum engine speed to 103 percent of the 
maximum allowable takeoff r.p.m., or
    (ii) For an engine with an approved overspeed, a means to limit the 
maximum engine and propeller speed to not more than the maximum approved 
overspeed.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42156, Aug. 6, 1993; Amdt. 23-50, 61 FR 5183, Feb. 9, 1996]

                               Performance



Sec. 23.45  General.

    (a) Unless otherwise prescribed, the performance requirements of 
this part must be met for--
    (1) Still air and standard atmosphere; and
    (2) Ambient atmospheric conditions, for commuter category airplanes, 
for reciprocating engine-powered airplanes of more than 6,000 pounds 
maximum weight, and for turbine engine-powered airplanes.
    (b) Performance data must be determined over not less than the 
following ranges of conditions--
    (1) Airport altitudes from sea level to 10,000 feet; and
    (2) For reciprocating engine-powered airplanes of 6,000 pounds, or 
less, maximum weight, temperature from standard to 30  deg.C above 
standard; or
    (3) For reciprocating engine-powered airplanes of more than 6,000 
pounds maximum weight and turbine engine-powered airplanes, temperature 
from standard to 30  deg.C above standard, or the maximum ambient 
atmospheric temperature at which compliance with the cooling provisions 
of Sec. 23.1041 to Sec. 23.1047 is shown, if lower.
    (c) Performance data must be determined with the cowl flaps or other 
means for controlling the engine cooling air supply in the position used 
in the cooling tests required by Sec. 23.1041 to Sec. 23.1047.
    (d) The available propulsive thrust must correspond to engine power, 
not exceeding the approved power, less--
    (1) Installation losses; and
    (2) The power absorbed by the accessories and services appropriate 
to the particular ambient atmospheric conditions and the particular 
flight condition.
    (e) The performance, as affected by engine power or thrust, must be 
based on a relative humidity:
    (1) Of 80 percent at and below standard temperature; and

[[Page 181]]

    (2) From 80 percent, at the standard temperature, varying linearly 
down to 34 percent at the standard temperature plus 50  deg.F.
    (f) Unless otherwise prescribed, in determining the takeoff and 
landing distances, changes in the airplane's configuration, speed, and 
power must be made in accordance with procedures established by the 
applicant for operation in service. These procedures must be able to be 
executed consistently by pilots of average skill in atmospheric 
conditions reasonably expected to be encountered in service.
    (g) The following, as applicable, must be determined on a smooth, 
dry, hard-surfaced runway--
    (1) Takeoff distance of Sec. 23.53(b);
    (2) Accelerate-stop distance of Sec. 23.55;
    (3) Takeoff distance and takeoff run of Sec. 23.59; and
    (4) Landing distance of Sec. 23.75.
    Note:  The effect on these distances of operation on other types of 
surfaces (for example, grass, gravel) when dry, may be determined or 
derived and these surfaces listed in the Airplane Flight Manual in 
accordance with Sec. 23.1583(p).
    (h) For commuter category airplanes, the following also apply:
    (1) Unless otherwise prescribed, the applicant must select the 
takeoff, enroute, approach, and landing configurations for the airplane.
    (2) The airplane configuration may vary with weight, altitude, and 
temperature, to the extent that they are compatible with the operating 
procedures required by paragraph (h)(3) of this section.
    (3) Unless otherwise prescribed, in determining the critical-engine-
inoperative takeoff performance, takeoff flight path, and accelerate-
stop distance, changes in the airplane's configuration, speed, and power 
must be made in accordance with procedures established by the applicant 
for operation in service.
    (4) Procedures for the execution of discontinued approaches and 
balked landings associated with the conditions prescribed in 
Sec. 23.67(c)(4) and Sec. 23.77(c) must be established.
    (5) The procedures established under paragraphs (h)(3) and (h)(4) of 
this section must--
    (i) Be able to be consistently executed by a crew of average skill 
in atmospheric conditions reasonably expected to be encountered in 
service;
    (ii) Use methods or devices that are safe and reliable; and
    (iii) Include allowance for any reasonably expected time delays in 
the execution of the procedures.

[Doc. No. 27807, 61 FR 5184, Feb. 9, 1996]



Sec. 23.49  Stalling period.

    (a) VSO and VS1 are the stalling speeds or the 
minimum steady flight speeds, in knots (CAS), at which the airplane is 
controllable with--
    (1) For reciprocating engine-powered airplanes, the engine(s) 
idling, the throttle(s) closed or at not more than the power necessary 
for zero thrust at a speed not more than 110 percent of the stalling 
speed;
    (2) For turbine engine-powered airplanes, the propulsive thrust not 
greater than zero at the stalling speed, or, if the resultant thrust has 
no appreciable effect on the stalling speed, with engine(s) idling and 
throttle(s) closed;
    (3) The propeller(s) in the takeoff position;
    (4) The airplane in the condition existing in the test, in which 
VSO and VS1 are being used;
    (5) The center of gravity in the position that results in the 
highest value of VSO and VS1; and
    (6) The weight used when VSO and VS1 are being 
used as a factor to determine compliance with a required performance 
standard.
    (b) VSO and VS1 must be determined by flight 
tests, using the procedure and meeting the flight characteristics 
specified in Sec. 23.201.
    (c) Except as provided in paragraph (d) of this section, 
VSO and VS1 at maximum weight must not exceed 61 
knots for--
    (1) Single-engine airplanes; and
    (2) Multiengine airplanes of 6,000 pounds or less maximum weight 
that cannot meet the minimum rate of climb specified in Sec. 23.67(a) 
(1) with the critical engine inoperative.
    (d) All single-engine airplanes, and those multiengine airplanes of 
6,000 pounds or less maximum weight with a VSO of more than 
61 knots that do not

[[Page 182]]

meet the requirements of Sec. 23.67(a)(1), must comply with 
Sec. 23.562(d).

[Doc. No. 27807, 61 FR 5184, Feb. 9, 1996]



Sec. 23.51  Takeoff speeds.

    (a) For normal, utility, and acrobatic category airplanes, rotation 
speed, VR, is the speed at which the pilot makes a control 
input, with the intention of lifting the airplane out of contact with 
the runway or water surface.
    (1) For multiengine landplanes, VR, must not be less than 
the greater of 1.05 VMC; or 1.10 VS1;
    (2) For single-engine landplanes, VR, must not be less 
than VS1; and
    (3) For seaplanes and amphibians taking off from water, 
VR, may be any speed that is shown to be safe under all 
reasonably expected conditions, including turbulence and complete 
failure of the critical engine.
    (b) For normal, utility, and acrobatic category airplanes, the speed 
at 50 feet above the takeoff surface level must not be less than:
    (1) or multiengine airplanes, the highest of--
    (i) A speed that is shown to be safe for continued flight (or 
emergency landing, if applicable) under all reasonably expected 
conditions, including turbulence and complete failure of the critical 
engine;
    (ii) 1.10 VMC; or
    (iii) 1.20 VS1.
    (2) For single-engine airplanes, the higher of--
    (i) A speed that is shown to be safe under all reasonably expected 
conditions, including turbulence and complete engine failure; or
    (ii) 1.20 VS1.
    (c) For commuter category airplanes, the following apply:
    (l) V1 must be established in relation to VEF 
as follows:
    (i) VEF is the calibrated airspeed at which the critical 
engine is assumed to fail. VEF must be selected by the 
applicant but must not be less than 1.05 VMC determined under 
Sec. 23.149(b) or, at the option of the applicant, not less than 
VMCG determined under Sec. 23.149(f).
    (ii) The takeoff decision speed, V1, is the calibrated 
airspeed on the ground at which, as a result of engine failure or other 
reasons, the pilot is assumed to have made a decision to continue or 
discontinue the takeoff. The takeoff decision speed, V1, must 
be selected by the applicant but must not be less than VEF 
plus the speed gained with the critical engine inoperative during the 
time interval between the instant at which the critical engine is failed 
and the instant at which the pilot recognizes and reacts to the engine 
failure, as indicated by the pilot's application of the first retarding 
means during the accelerate-stop determination of Sec. 23.55.
    (2) The rotation speed, VR, in terms of calibrated 
airspeed, must be selected by the applicant and must not be less than 
the greatest of the following:
    (i) V1;
    (ii) 1.05 VMC determined under Sec. 23.149(b);
    (iii) 1.10 VS1; or
    (iv) The speed that allows attaining the initial climb-out speed, 
V2, before reaching a height of 35 feet above the takeoff 
surface in accordance with Sec. 23.57(c)(2).
    (3) For any given set of conditions, such as weight, altitude, 
temperature, and configuration, a single value of VR must be 
used to show compliance with both the one-engine-inoperative takeoff and 
all-engines-operating takeoff requirements.
    (4) The takeoff safety speed, V2, in terms of calibrated 
airspeed, must be selected by the applicant so as to allow the gradient 
of climb required in Sec. 23.67 (c)(1) and (c)(2) but mut not be less 
than 1.10 VMC or less than 1.20 VS1.
    (5) The one-engine-inoperative takeoff distance, using a normal 
rotation rate at a speed 5 knots less than VR, established in 
accordance with paragraph (c)(2) of this section, must be shown not to 
exceed the corresponding one-engine-inoperative takeoff distance, 
determined in accordance with Sec. 23.57 and Sec. 23.59(a)(1), using the 
established VR. The takeoff, otherwise performed in 
accordance with Sec. 23.57, must be continued safely from the point at 
which the airplane is 35 feet above the takeoff surface and at a speed 
not less than the established V2 minus 5 knots.
    (6) The applicant must show, with all engines operating, that marked 
increases in the scheduled takeoff distances, determined in accordance 
with

[[Page 183]]

Sec. 23.59(a)(2), do not result from over-rotation of the airplane or 
out-of-trim conditions.

[Doc. No. 27807, 61 FR 5184, Feb. 9, 1996]



Sec. 23.53  Takeoff performance.

    (a) For normal, utility, and acrobatic category airplanes, the 
takeoff distance must be determined in accordance with paragraph (b) of 
this section, using speeds determined in accordance with Sec. 23.51 (a) 
and (b).
    (b) For normal, utility, and acrobatic category airplanes, the 
distance required to takeoff and climb to a height of 50 feet above the 
takeoff surface must be determined for each weight, altitude, and 
temperature within the operational limits established for takeoff with--
    (1) Takeoff power on each engine;
    (2) Wing flaps in the takeoff position(s); and
    (3) Landing gear extended.
    (c) For commuter category airplanes, takeoff performance, as 
required by Secs. 23.55 through 23.59, must be determined with the 
operating engine(s) within approved operating limitations.

[Doc. No. 27807, 61 FR 5185, Feb. 9, 1996]



Sec. 23.55  Accelerate-stop distance.

    For each commuter category airplane, the accelerate-stop distance 
must be determined as follows:
    (a) The accelerate-stop distance is the sum of the distances 
necessary to--
    (1) Accelerate the airplane from a standing start to VEF 
with all engines operating;
    (2) Accelerate the airplane from VEF to V1, 
assuming the critical engine fails at VEF; and
    (3) Come to a full stop from the point at which V1 is 
reached.
    (b) Means other than wheel brakes may be used to determine the 
accelerate-stop distances if that means--
    (1) Is safe and reliable;
    (2) Is used so that consistent results can be expected under normal 
operating conditions; and
    (3) Is such that exceptional skill is not required to control the 
airplane.

[Amdt. 23-34, 52 FR 1826, Jan. 15, 1987, as amended by Amdt. 23-50, 61 
FR 5185, Feb. 9, 1996]



Sec. 23.57  Takeoff path.

    For each commuter category airplane, the takeoff path is as follows:
    (a) The takeoff path extends from a standing start to a point in the 
takeoff at which the airplane is 1500 feet above the takeoff surface at 
or below which height the transition from the takeoff to the enroute 
configuration must be completed; and
    (1) The takeoff path must be based on the procedures prescribed in 
Sec. 23.45;
    (2) The airplane must be accelerated on the ground to VEF 
at which point the critical engine must be made inoperative and remain 
inoperative for the rest of the takeoff; and
    (3) After reaching VEF, the airplane must be accelerated 
to V2.
    (b) During the acceleration to speed V2, the nose gear 
may be raised off the ground at a speed not less than VR. 
However, landing gear retraction must not be initiated until the 
airplane is airborne.
    (c) During the takeoff path determination, in accordance with 
paragraphs (a) and (b) of this section--
    (1) The slope of the airborne part of the takeoff path must not be 
negative at any point;
    (2) The airplane must reach V2 before it is 35 feet above 
the takeoff surface, and must continue at a speed as close as practical 
to, but not less than V2, until it is 400 feet above the 
takeoff surface;
    (3) At each point along the takeoff path, starting at the point at 
which the airplane reaches 400 feet above the takeoff surface, the 
available gradient of climb must not be less than--
    (i) 1.2 percent for two-engine airplanes;
    (ii) 1.5 percent for three-engine airplanes;
    (iii) 1.7 percent for four-engine airplanes; and
    (4) Except for gear retraction and automatic propeller feathering, 
the airplane configuration must not be changed, and no change in power 
that requires action by the pilot may be made, until the airplane is 400 
feet above the takeoff surface.
    (d) The takeoff path to 35 feet above the takeoff surface must be 
determined by a continuous demonstrated takeoff.

[[Page 184]]

    (e) The takeoff path to 35 feet above the takeoff surface must be 
determined by synthesis from segments; and
    (1) The segments must be clearly defined and must be related to 
distinct changes in configuration, power, and speed;
    (2) The weight of the airplane, the configuration, and the power 
must be assumed constant throughout each segment and must correspond to 
the most critical condition prevailing in the segment; and
    (3) The takeoff flight path must be based on the airplane's 
performance without utilizing ground effect.

[Amdt. 23-34, 52 FR 1827, Jan. 15, 1987, as amended by Amdt. 23-50, 61 
FR 5185, Feb. 9, 1996]



Sec. 23.59  Takeoff distance and takeoff run.

    For each commuter category airplane, the takeoff distance and, at 
the option of the applicant, the takeoff run, must be determined.
    (a) Takeoff distance is the greater of--
    (1) The horizontal distance along the takeoff path from the start of 
the takeoff to the point at which the airplane is 35 feet above the 
takeoff surface as determined under Sec. 23.57; or
    (2) With all engines operating, 115 percent of the horizontal 
distance from the start of the takeoff to the point at which the 
airplane is 35 feet above the takeoff surface, determined by a procedure 
consistent with Sec. 23.57.
    (b) If the takeoff distance includes a clearway, the takeoff run is 
the greater of--
    (1) The horizontal distance along the takeoff path from the start of 
the takeoff to a point equidistant between the liftoff point and the 
point at which the airplane is 35 feet above the takeoff surface as 
determined under Sec. 23.57; or
    (2) With all engines operating, 115 percent of the horizontal 
distance from the start of the takeoff to a point equidistant between 
the liftoff point and the point at which the airplane is 35 feet above 
the takeoff surface, determined by a procedure consistent with 
Sec. 23.57.

[Amdt. 23-34, 52 FR 1827, Jan. 15, 1987, as amended by Amdt. 23-50, 61 
FR 5185, Feb. 9, 1996]



Sec. 23.61  Takeoff flight path.

    For each commuter category airplane, the takeoff flight path must be 
determined as follows:
    (a) The takeoff flight path begins 35 feet above the takeoff surface 
at the end of the takeoff distance determined in accordance with 
Sec. 23.59.
    (b) The net takeoff flight path data must be determined so that they 
represent the actual takeoff flight paths, as determined in accordance 
with Sec. 23.57 and with paragraph (a) of this section, reduced at each 
point by a gradient of climb equal to--
    (1) 0.8 percent for two-engine airplanes;
    (2) 0.9 percent for three-engine airplanes; and
    (3) 1.0 percent for four-engine airplanes.
    (c) The prescribed reduction in climb gradient may be applied as an 
equivalent reduction in acceleration along that part of the takeoff 
flight path at which the airplane is accelerated in level flight.

[Amdt. 23-34, 52 FR 1827, Jan. 15, 1987]



Sec. 23.63  Climb: General.

    (a) Compliance with the requirements of Secs. 23.65, 23.66, 23.67, 
23.69, and 23.77 must be shown--
    (1) Out of ground effect; and
    (2) At speeds that are not less than those at which compliance with 
the powerplant cooling requirements of Secs. 23.1041 to 23.1047 has been 
demonstrated; and
    (3) Unless otherwise specified, with one engine inoperative, at a 
bank angle not exceeding 5 degrees.
    (b) For normal, utility, and acrobatic category reciprocating 
engine-powered airplanes of 6,000 pounds or less maximum weight, 
compliance must be shown with Sec. 23.65(a), Sec. 23.67(a), where 
appropriate, and Sec. 23.77(a) at maximum takeoff or landing weight, as 
appropriate, in a standard atmosphere.
    (c) For normal, utility, and acrobatic category reciprocating 
engine-powered airplanes of more than 6,000 pounds maximum weight, and 
turbine engine-powered airplanes in the normal, utility, and acrobatic 
category, compliance must be shown at weights as a

[[Page 185]]

function of airport altitude and ambient temperature, within the 
operational limits established for takeoff and landing, respectively, 
with--
    (1) Sections 23.65(b) and 23.67(b) (1) and (2), where appropriate, 
for takeoff, and
    (2) Section 23.67(b)(2), where appropriate, and Sec. 23.77(b), for 
landing.
    (d) For commuter category airplanes, compliance must be shown at 
weights as a function of airport altitude and ambient temperature within 
the operational limits established for takeoff and landing, 
respectively, with--
    (1) Sections 23.67(c)(1), 23.67(c)(2), and 23.67(c)(3) for takeoff; 
and
    (2) Sections 23.67(c)(3), 23.67(c)(4), and 23.77(c) for landing.

[Doc. No. 27807, 61 FR 5186, Feb. 9, 1996]



Sec. 23.65  Climb: All engines operating.

    (a) Each normal, utility, and acrobatic category reciprocating 
engine-powered airplane of 6,000 pounds or less maximum weight must have 
a steady climb gradient at sea level of at least 8.3 percent for 
landplanes or 6.7 percet for seaplanes and amphibians with--
    (1) Not more than maximum continuous power on each engine;
    (2) The landing gear retracted;
    (3) The wing flaps in the takeoff position(s); and
    (4) A climb speed not less than the greater of 1.1 VMC 
and 1.2 VS1 for multiengine airplanes and not less than 1.2 
VS1 for single--engine airplanes.
    (b) Each normal, utility, and acrobatic category reciprocating 
engine-powered airplane of more than 6,000 pounds maximum weight and 
turbine engine-powered airplanes in the normal, utility, and acrobatic 
category must have a steady gradient of climb after takeoff of at least 
4 percent with
    (1) Take off power on each engine;
    (2) The landing gear extended, except that if the landing gear can 
be retracted in not more than sven seconds, the test may be conducted 
with the gear retracted;
    (3) The wing flaps in the takeoff position(s); and
    (4) A climb speed as specified in Sec. 23.65(a)(4).

[Doc. No. 27807, 61 FR 5186, Feb. 9, 1996]



Sec. 23.66  Takeoff climb: One-engine inoperative.

    For normal, utility, and acrobatic category reciprocating engine-
powered airplanes of more than 6,000 pounds maximum weight, and turbine 
engine-powered airplanes in the normal, utility, and acrobatic category, 
the steady gradient of climb or descent must be determined at each 
weight, altitude, and ambient temperature within the operational limits 
established by the applicant with--
    (a) The critical engine inoperative and its propeller in the 
position it rapidly and automatically assumes;
    (b) The remaining engine(s) at takeoff power;
    (c) The landing gear extended, except that if the landing gear can 
be retracted in not more than seven seconds, the test may be conducted 
with the gear retracted;
    (d) The wing flaps in the takeoff position(s):
    (e) The wings level; and
    (f) A climb speed equal to that achieved at 50 feet in the 
demonstration of Sec. 23.53.

[Doc. No. 27807, 61 FR 5186, Feb. 9, 1996]



Sec. 23.67  Climb: One engine inoperative.

    (a) For normal, utility, and acrobatic category reciprocating 
engine-powered airplanes of 6,000 pounds or less maximum weight, the 
following apply:
    (1) Except for those airplanes that meet the requirements prescribed 
in Sec. 23.562(d), each airplane with a VSO of more than 61 
knots must be able to maintain a steady climb gradient of at least 1.5 
percent at a pressure altitude of 5,000 feet with the--
    (i) Critical engine inoperative and its propeller in the minimum 
drag position;
    (ii) Remaining engine(s) at not more than maximum continuous power;
    (iii) Landing gear retracted;
    (iv) Wing flaps retracted; and
    (v) Climb speed not less than 1.2 VS1.
    (2) For each airplane that meets the requirements prescribed in 
Sec. 23.562(d), or that has a VSO of 61 knots or less, the 
steady gradient of climb or descent at a pressure altitude of 5,000 feet 
must be determined with the--

[[Page 186]]

    (i) Critical engine inoperative and its propeller in the minimum 
drag position;
    (ii) Remaining engine(s) at not more than maximum continuous power;
    (iii) Landing gear retracted;
    (iv) Wing flaps retracted; and
    (v) Climb speed not less than 1.2VS1.
    (b) For normal, utility, and acrobatic category reciprocating 
engine-powered airplanes of more than 6,000 pounds maximum weight, and 
turbine engine-powered airplanes in the normal, utility, and acrobatic 
category--
    (1) The steady gradient of climb at an altitude of 400 feet above 
the takeoff must be measurably positive with the--
    (i) Critical engine inoperative and its propeller in the minimum 
drag position;
    (ii) Remaining engine(s) at takeoff power;
    (iii) Landing gear retracted;
    (iv) Wing flaps in the takeoff position(s); and
    (v) Climb speed equal to that achieved at 50 feet in the 
demonstration of Sec. 23.53.
    (2) The steady gradient of climb must not be less than 0.75 percent 
at an altitude of 1,500 feet above the takeoff surface, or landing 
surface, as appropriate, with the--
    (i) Critical engine inoperative and its propeller in the minimum 
drag position;
    (ii) Remaining engine(s) at not more than maximum continuous power;
    (iii) Landing gear retracted;
    (iv) Wing flaps retracted; and
    (v) Climb speed not less than 1.2 VS1.
    (c) For commuter category airplanes, the following apply:
    (1) Takeoff; landing gear extended. The steady gradient of climb at 
the altitude of the takeoff surface must be measurably positive for two-
engine airplanes, not less than 0.3 percent for three-engine airplanes, 
or 0.5 percent for four-engine airplanes with--
    (i) The critical engine inoperative and its propeller in the 
position it rapidly and automatically assumes;
    (ii) The remaining engine(s) at takeoff power;
    (iii) The landing gear extended, and all landing gear doors open;
    (iv) The wing flaps in the takeoff position(s);
    (v) The wings level; and
    (vi) A climb speed equal to V2.
    (2) Takeoff; landing gear retracted. The steady gradient of climb at 
an altitude of 400 feet above the takeoff surface must be not less than 
2.0 percent of two-engine airplanes, 2.3 percent for three-engine 
airplanes, and 2.6 percent for four-engine airplanes with--
    (i) The critical engine inoperative and its propeller in the 
position it rapidly and automatically assumes;
    (ii) The remaining engine(s) at takeoff power;
    (iii) The landing gear retracted;
    (iv) The wing flaps in the takeoff position(s);
    (v) A climb speed equal to V2.
    (3) Enroute. The steady gradient of climb at an altitude of 1,500 
feet above the takeoff or landing surface, as appropriate, must be not 
less than 1.2 percent for two-engine airplanes, 1.5 percent for three-
engine airplanes, and 1.7 percent for four-engine airplanes with--
    (i) The critical engine inoperative and its propeller in the minimum 
drag position;
    (ii) The remaining engine(s) at not more than maximum continuous 
power;
    (iii) The landing gear retracted;
    (iv) The wing flaps retracted; and
    (v) A climb speed not less than 1.2 VS1.
    (4) Discontinued approach. The steady gradient of climb at an 
altitude of 400 feet above the landing surface must be not less than 2.1 
percent for two-engine airplanes, 2.4 percent for three-engine 
airplanes, and 2.7 percent for four-engine airplanes, with--
    (i) The critical engine inoperative and its propeller in the minimum 
drag position;
    (ii) The remaining engine(s) at takeoff power;
    (iii) Landing gear retracted;
    (iv) Wing flaps in the approach position(s) in which VS1 
for these position(s) does not exceed 110 percent of the VS1 
for the related all-engines-operated landing position(s); and
    (v) A climb speed established in connection with normal landing 
procedures but not exceeding 1.5 VS1.

[Doc. No. 27807, 61 FR 5186, Feb. 9, 1996]

[[Page 187]]



Sec. 23.69  Enroute climb/descent.

    (a) All engines operating. The steady gradient and rate of climb 
must be determined at each weight, altitude, and ambient temperature 
within the operational limits established by the applicant with--
    (1) Not more than maximum continuous power on each engine;
    (2) The landing gear retracted;
    (3) The wing flaps retracted; and
    (4) A climb speed not less than 1.3 VS1.
    (b) One engine inoperative. The steady gradient and rate of climb/
descent must be determined at each weight, altitude, and ambient 
temperature within the operational limits established by the applicant 
with--
    (1) The critical engine inoperative and its propeller in the minimum 
drag position;
    (2) The remaining engine(s) at not more than maximum continuous 
power;
    (3) The landing gear retracted;
    (4) The wing flaps retracted; and
    (5) A climb speed not less than 1.2 VS1.

[Doc. No. 27807, 61 FR 5187, Feb. 9, 1996]



Sec. 23.71  Glide: Single-engine airplanes.

    The maximum horizontal distance traveled in still air, in nautical 
miles, per 1,000 feet of altitude lost in a glide, and the speed 
necessary to achieve this must be determined with the engine 
inoperative, its propeller in the minimum drag position, and landing 
gear and wing flaps in the most favorable available position.

[Doc. No. 27807, 61 FR 5187, Feb. 9, 1996]



Sec. 23.73  Reference landing approach speed.

    (a) For normal, utility, and acrobatic category reciprocating 
engine-powered airplanes of 6,000 pounds or less maximum weight, the 
reference landing approach speed, VREF, must not be less than 
the greater of VMC, determined in Sec. 23.149(b) with the 
wing flaps in the most extended takeoff position, and 1.3 
VSO.
    (b) For normal, utility, and acrobatic category reciprocating 
engine-powered airplanes of more than 6,000 pounds maximum weight, and 
turbine engine-powered airplanes in the normal, utility, and acrobatic 
category, the reference landing approach speed, VREF, must 
not be less than the greater of VMC, determined in 
Sec. 23.149(c), and 1.3 VSO.
    (c) For commuter category airplanes, the reference landing approach 
speed, VREF, must not be less than the greater of 1.05 
VMC, determined in Sec. 23.149(c), and 1.3 VSO.

[Doc. No. 27807, 61 FR 5187, Feb. 9, 1996]



Sec. 23.75  Landing distance.

    The horizontal distance necessary to land and come to a complete 
stop from a point 50 feet above the landing surface must be determined, 
for standard temperatures at each weight and altitude within the 
operational limits established for landing, as follows:
    (a) A steady approach at not less than VREF, determined 
in accordance with Sec. 23.73 (a), (b), or (c), as appropriate, must be 
maintained down to the 50 foot height and--
    (1) The steady approach must be at a gradient of descent not greater 
than 5.2 percent (3 degrees) down to the 50-foot height.
    (2) In addition, an applicant may demonstrate by tests that a 
maximum steady approach gradient steeper than 5.2 percent, down to the 
50-foot height, is safe. The gradient must be established as an 
operating limitation and the information necessary to display the 
gradient must be available to the pilot by an appropriate instrument.
    (b) A constant configuration must be maintained throughout the 
maneuver.
    (c) The landing must be made without excessive vertical acceleration 
or tendency to bounce, nose over, ground loop, porpoise, or water loop.
    (d) It must be shown that a safe transition to the balked landing 
conditions of Sec. 23.77 can be made from the conditions that exist at 
the 50 foot height, at maximum landing weight, or at the maximum landing 
weight for altitude and temperature of Sec. 23.63 (c)(2) or (d)(2), as 
appropriate.
    (e) The brakes must be used so as to not cause excessive wear of 
brakes or tires.
    (f) Retardation means other than wheel brakes may be used if that 
means--

[[Page 188]]

    (1) Is safe and reliable; and
    (2) Is used so that consistent results can be expected in service.
    (g) If any device is used that depends on the operation of any 
engine, and the landing distance would be increased when a landing is 
made with that engine inoperative, the landing distance must be 
determined with that engine inoperative unless the use of other 
compensating means will result in a landing distance not more than that 
with each engine operating.

[Amdt. 23-21, 43 FR 2318, Jan. 16, 1978, as amended by Amdt. 23-34, 52 
FR 1828, Jan. 15, 1987; Amdt. 23-42, 56 FR 351, Jan. 3, 1991; Amdt. 23-
50, 61 FR 5187, Feb. 9, 1996]



Sec. 23.77  Balked landing.

    (a) Each normal, utility, and acrobatic category reciprocating 
engine-powered airplane at 6,000 pounds or less maximum weight must be 
able to maintain a steady gradient of climb at sea level of at least 3.3 
percent with--
    (1) Takeoff power on each engine;
    (2) The landing gear extended;
    (3) The wing flaps in the landing position, except that if the flaps 
may safely be retracted in two seconds or less without loss of altitude 
and without sudden changes of angle of attack, they may be retracted; 
and
    (4) A climb speed equal to VREF, as defined in 
Sec. 23.73(a).
    (b) Each normal, utility, and acrobatic category reciprocating 
engine-powered airplane of more than 6,000 pounds maximum weight and 
each normal, utility, and acrobatic category turbine engine-powered 
airplane must be able to maintain a steady gradient of climb of at least 
2.5 percent with--
    (1) Not more than the power that is available on each engine eight 
seconds after initiation of movement of the power controls from minimum 
flight-idle position;
    (2) The landing gear extended;
    (3) The wing flaps in the landing position; and
    (4) A climb speed equal to VREF, as defined in 
Sec. 23.73(b).
    (c) Each commuter category airplane must be able to maintain a 
steady gradient of climb of at least 3.2 percent with--
    (1) Not more than the power that is available on each engine eight 
seconds after initiation of movement of the power controls from the 
minimum flight idle position;
    (2) Landing gear extended;
    (3) Wing flaps in the landing position; and
    (4) A climb speed equal to VREF, as defined in 
Sec. 23.73(c).

[Doc. No. 27807, 61 FR 5187, Feb. 9, 1996]

                         Flight Characteristics



Sec. 23.141  General.

    The airplane must meet the requirements of Secs. 23.143 through 
23.253 at all practical loading conditions and operating altitudes for 
which certification has been requested, not exceeding the maximum 
operating altitude established under Sec. 23.1527, and without requiring 
exceptional piloting skill, alertness, or strength.

[Doc. No. 26269, 58 FR 42156, Aug. 6, 1993]

                   Controllability and Maneuverability



Sec. 23.143  General.

    (a) The airplane must be safely controllable and maneuverable during 
all flight phases including--
    (1) Takeoff;
    (2) Climb;
    (3) Level flight;
    (4) Descent;
    (5) Go-around; and
    (6) Landing (power on and power off) with the wing flaps extended 
and retracted.
    (b) It must be possible to make a smooth transition from one flight 
condition to another (including turns and slips) without danger of 
exceeding the limit load factor, under any probable operating condition 
(including, for multiengine airplanes, those conditions normally 
encountered in the sudden failure of any engine).
    (c) If marginal conditions exist with regard to required pilot 
strength, the control forces necessary must be determined by 
quantitative tests. In no case may the control forces under the 
conditions specified in paragraphs (a) and (b) of this section exceed 
those prescribed in the following table:

[[Page 189]]



------------------------------------------------------------------------
    Values in pounds force applied to the
               relevant control                 Pitch     Roll     Yaw
------------------------------------------------------------------------
(a) For temporary application:
  Stick......................................       60       30  .......
  Wheel (Two hands on rim)...................       75       50  .......
  Wheel (One hand on rim)....................       50       25  .......
  Rudder Pedal...............................  .......  .......      150
(b) For prolonged application................       10        5       20
------------------------------------------------------------------------


[Doc. No, 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-14, 
38 FR 31819, Nov. 19, 1973; Amdt. 23-17, 41 FR 55464, Dec. 20, 1976; 
Amdt. 23-45, 58 FR 42156, Aug. 6, 1993; Amdt. 23-50, 61 FR 5188, Feb. 9, 
1996]



Sec. 23.145  Longitudinal control.

    (a) With the airplane as nearly as possible in trim at 1.3 
VS1, it must be possible, at speeds below the trim speed, to 
pitch the nose downward so that the rate of increase in airspeed allows 
prompt acceleration to the trim speed with--
    (1) Maximum continuous power on each engine;
    (2) Power off; and
    (3) Wing flap and landing gear--
    (i) retracted, and
    (ii) extended.
    (b) Unless otherwise required, it must be possible to carry out the 
following maneuvers without requiring the application of single-handed 
control forces exceeding those specified in Sec. 23.143(c). The trimming 
controls must not be adjusted during the maneuvers:
    (1) With the landing gear extended, the flaps retracted, and the 
airplanes as nearly as possible in trim at 1.4 VS1, extend 
the flaps as rapidly as possible and allow the airspeed to transition 
from 1.4VS1 to 1.4 VSO:
    (i) With power off; and
    (ii) With the power necessary to maintain level flight in the 
initial condition.
    (2) With landing gear and flaps extended, power off, and the 
airplane as nearly as possible in trim at 1.3 VSO, quickly 
apply takeoff power and retract the flaps as rapidly as possible to the 
recommended go around setting and allow the airspeed to transition from 
1.3 VSO to 1.3 VS1. Retract the gear when a 
positive rate of climb is established.
    (3) With landing gear and flaps extended, in level flight, power 
necessary to attain level flight at 1.1 VSO, and the airplane 
as nearly as possible in trim, it must be possible to maintain 
approximately level flight while retracting the flaps as rapidly as 
possible with simultaneous application of not more than maximum 
continuous power. If gated flat positions are provided, the flap 
retraction may be demonstrated in stages with power and trim reset for 
level flight at 1.1 VS1, in the initial configuration for 
each stage--
    (i) From the fully extended position to the most extended gated 
position;
    (ii) Between intermediate gated positions, if applicable; and
    (iii) From the least extended gated position to the fully retracted 
position.
    (4) With power off, flaps and landing gear retracted and the 
airplane as nearly as possible in trim at 1.4 VS1, apply 
takeoff power rapidly while maintaining the same airspeed.
    (5) With power off, landing gear and flaps extended, and the 
airplane as nearly as possible in trim at VREF, obtain and 
maintain airspeeds between 1.1 VSO, and either 1.7 
VSO or VFE, whichever is lower without requiring 
the application of two-handed control forces exceeding those specified 
in Sec. 23.143(c).
    (6) With maximum takeoff power, landing gear retracted, flaps in the 
takeoff position, and the airplane as nearly as possible in trim at 
VFE appropriate to the takeoff flap position, retract the 
flaps as rapidly as possible while maintaining constant speed.
    (c) At speeds above VMO/MMO, and up to the 
maximum speed shown under Sec. 23.251, a maneuvering capability of 1.5 g 
must be demonstrated to provide a margin to recover from upset or 
inadvertent speed increase.
    (d) It must be possible, with a pilot control force of not more than 
10 pounds, to maintain a speed of not more than VREF during a 
power-off glide with landing gear and wing flaps extended, for any 
weight of the airplane, up to and including the maximum weight.
    (e) By using normal flight and power controls, except as otherwise 
noted in paragraphs (e)(1) and (e)(2) of this section, it must be 
possible to establish a zero rate of descent at an attitude suitable for 
a controlled landing without

[[Page 190]]

exceeding the operational and structural limitations of the airplane, as 
follows:
    (1) For single-engine and multiengine airplanes, without the use of 
the primary longitudinal control system.
    (2) For multiengine airplanes--
    (i) Without the use of the primary directional control; and
    (ii) If a single failure of any one connecting or transmitting link 
would affect both the longitudinal and directional primary control 
system, without the primary longitudinal and directional control system.

[Doc. No. 26269, 58 FR 42157, Aug. 6, 1993; Amdt. 23-45, 58 FR 51970, 
Oct. 5, 1993, as amended by Amdt. 23-50, 61 FR 5188, Feb. 9, 1996]



Sec. 23.147  Directional and lateral control.

    (a) For each multiengine airplane, it must be possible, while 
holding the wings level within five degrees, to make sudden changes in 
heading safely in both directions. This ability must be shown at 1.4 
VS1 with heading changes up to 15 degrees, except that the 
heading change at which the rudder force corresponds to the limits 
specified in Sec. 23.143 need not be exceeded, with the--
    (1) Critical engine inoperative and its propeller in the minimum 
drag position;
    (2) Remaining engines at maximum continuous power;
    (3) Landing gear--
    (i) Retracted; and
    (ii) Extended; and
    (4) Flaps retracted.
    (b) For each multiengine airplane, it must be possible to regain 
full control of the airplane without exceeding a bank angle of 45 
degrees, reaching a dangerous attitude or encountering dangerous 
characteristics, in the event of a sudden and complete failure of the 
critical engine, making allowance for a delay of two seconds in the 
initiation of recovery action appropriate to the situation, with the 
airplane initially in trim, in the following condition:
    (1) Maximum continuous power on each engine;
    (2) The wing flaps retracted;
    (3) The landing gear retracted;
    (4) A speed equal to that at which compliance with Sec. 23.69(a) has 
been shown; and
    (5) All propeller controls in the position at which compliance with 
Sec. 23.69(a) has been shown.
    (c) For all airplanes, it must be shown that the airplane is safely 
controllable without the use of the primary lateral control system in 
any all-engine configuration(s) and at any speed or altitude within the 
approved operating envelope. It must also be shown that the airplane's 
flight characteristics are not impaired below a level needed to permit 
continued safe flight and the ability to maintain attitudes suitable for 
a controlled landing without exceeding the operational and structural 
limitations of the airplane. If a single failure of any one connecting 
or transmitting link in the lateral control system would also cause the 
loss of additional control system(s), compliance with the above 
requirement must be shown with those additional systems also assumed to 
be inoperative.

[Doc. No. 27807, 61 FR 5188, Feb. 9, 1996]



Sec. 23.149  Minimum control speed.

    (a) VMC is the calibrated airspeed at which, when the 
critical engine is suddenly made inoperative, it is possible to maintain 
control of the airplane with that engine still inoperative, and 
thereafter maintain straight flight at the same speed with an angle of 
bank of not more than 5 degrees. The method used to simulate critical 
engine failure must represent the most critical mode of powerplant 
failure expected in service with respect to controllability.
    (b) VMC for takeoff must not exceed 1.2 VS1, 
where VS1 is determined at the maximum takeoff weight. 
VMC must be determined with the most unfavorable weight and 
center of gravity position and with the airplane airborne and the ground 
effect negligible, for the takeoff configuration(s) with--
    (1) Maximum available takeoff power initially on each engine;
    (2) The airplane trimmed for takeoff;
    (3) Flaps in the takeoff position(s);
    (4) Landing gear retracted; and
    (5) All propeller controls in the recommended takeoff position 
throughout.

[[Page 191]]

    (c) For all airplanes except reciprocating engine-powered airplanes 
of 6,000 pounds or less maximum weight, the conditions of paragraph (a) 
of this section must also be met for the landing configuration with--
    (1) Maximum available takeoff power initially on each engine;
    (2) The airplane trimmed for an approach, with all engines 
operating, at VREF, at an approach gradient equal to the 
steepest used in the landing distance demonstration of Sec. 23.75;
    (3) Flaps in the landing position;
    (4) Landing gear extended; and
    (5) All propeller controls in the position recommended for approach 
with all engines operating.
    (d) A minimum speed to intentionally render the critical engine 
inoperative must be established and designated as the safe, intentional, 
one-engine-inoperative speed, VSSE.
    (e) At VMC, the rudder pedal force required to maintain 
control must not exceed 150 pounds and it must not be necessary to 
reduce power of the operative engine(s). During the maneuver, the 
airplane must not assume any dangerous attitude and it must be possible 
to prevent a heading change of more than 20 degrees.
    (f) At the option of the applicant, to comply with the requirements 
of Sec. 23.51(c)(1), VMCG may be determined. VMCG 
is the minimum control speed on the ground, and is the calibrated 
airspeed during the takeoff run at which, when the critical engine is 
suddenly made inoperative, it is possible to maintain control of the 
airplane using the rudder control alone (without the use of nosewheel 
steering), as limited by 150 pounds of force, and using the lateral 
control to the extent of keeping the wings level to enable the takeoff 
to be safely continued. In the determination of VMCG, 
assuming that the path of the airplane accelerating with all engines 
operating is along the centerline of the runway, its path from the point 
at which the critical engine is made inoperative to the point at which 
recovery to a direction parallel to the centerline is completed may not 
deviate more than 30 feet laterally from the centerline at any point. 
VMCG must be established with--
    (1) The airplane in each takeoff configuration or, at the option of 
the applicant, in the most critical takeoff configuration;
    (2) Maximum available takeoff power on the operating engines;
    (3) The most unfavorable center of gravity;
    (4) The airplane trimmed for takeoff; and
    (5) The most unfavorable weight in the range of takeoff weights.

[Doc. No. 27807, 61 FR 5189, Feb. 9, 1996]



Sec. 23.151  Acrobatic maneuvers.

    Each acrobatic and utility category airplane must be able to perform 
safely the acrobatic maneuvers for which certification is requested. 
Safe entry speeds for these maneuvers must be determined.



Sec. 23.153  Control during landings.

    It must be possible, while in the landing configuration, to safely 
complete a landing without exceeding the one-hand control force limits 
specified in Sec. 23.143(c) following an approach to land--
    (a) At a speed of VREF minus 5 knots;
    (b) With the airplane in trim, or as nearly as possible in trim and 
without the trimming control being moved throughout the maneuver;
    (c) At an approach gradient equal to the steepest used in the 
landing distance demonstration of Sec. 23.75; and
    (d) With only those power changes, if any, that would be made when 
landing normally from an approach at VREF.

[Doc. No. 27807, 61 FR 5189, Feb. 9, 1996]



Sec. 23.155  Elevator control force in maneuvers.

    (a) The elevator control force needed to achieve the positive limit 
maneuvering load factor may not be less than:
    (1) For wheel controls, W/100 (where W is the maximum weight) or 20 
pounds, whichever is greater, except that it need not be greater than 50 
pounds; or
    (2) For stick controls, W/140 (where W is the maximum weight) or 15 
pounds, whichever is greater, except that it need not be greater than 35 
pounds.

[[Page 192]]

    (b) The requirement of paragraph (a) of this section must be met at 
75 percent of maximum continuous power for reciprocating engines, or the 
maximum continuous power for turbine engines, and with the wing flaps 
and landing gear retracted--
    (1) In a turn, with the trim setting used for wings level flight at 
VO; and
    (2) In a turn with the trim setting used for the maximum wings level 
flight speed, except that the speed may not exceed VNE or 
VMO/MMO, whichever is appropriate.
    (c) There must be no excessive decrease in the gradient of the curve 
of stick force versus maneuvering load factor with increasing load 
factor.

[Amdt. 23-14, 38 FR 31819, Nov. 19, 1973; 38 FR 32784, Nov. 28, 1973, as 
amended by Amdt. 23-45, 58 FR 42158, Aug. 6, 1993; Amdt. 23-50, 61 FR 
5189 Feb. 9, 1996]



Sec. 23.157  Rate of roll.

    (a) Takeoff. It must be possible, using a favorable combination of 
controls, to roll the airplane from a steady 30-degree banked turn 
through an angle of 60 degrees, so as to reverse the direction of the 
turn within:
    (1) For an airplane of 6,000 pounds or less maximum weight, 5 
seconds from initiation of roll; and
    (2) For an airplane of over 6,000 pounds maximum weight,

                              (W+500)/1,300

seconds, but not more than 10 seconds, where W is the weight in pounds.
    (b) The requirement of paragraph (a) of this section must be met 
when rolling the airplane in each direction with--
    (1) Flaps in the takeoff position;
    (2) Landing gear retracted;
    (3) For a single-engine airplane, at maximum takeoff power; and for 
a multiengine airplane with the critical engine inoperative and the 
propeller in the minimum drag position, and the other engines at maximum 
takeoff power; and
    (4) The airplane trimmed at a speed equal to the greater of 1.2 
VS1 or 1.1 VMC, or as nearly as possible in trim 
for straight flight.
    (c) Approach. It must be possible, using a favorable combination of 
controls, to roll the airplane from a steady 30-degree banked turn 
through an angle of 60 degrees, so as to reverse the direction of the 
turn within:
    (1) For an airplane of 6,000 pounds or less maximum weight, 4 
seconds from initiation of roll; and
    (2) For an airplane of over 6,000 pounds maximum weight,

                             (W+2,800)/2,200

seconds, but not more than 7 seconds, where W is the weight in pounds.
    (d) The requirement of paragraph (c) of this section must be met 
when rolling the airplane in each direction in the following 
conditions--
    (1) Flaps in the landing position(s);
    (2) Landing gear extended;
    (3) All engines operating at the power for a 3 degree approach; and
    (4) The airplane trimmed at VREF.

[Amdt. 23-14, 38 FR 31819, Nov. 19, 1973, as amended by Amdt. 23-45, 58 
FR 42158, Aug. 6, 1993; Amdt. 23-50, 61 FR 5189, Feb. 9, 1996]

                                  Trim



Sec. 23.161  Trim.

    (a) General. Each airplane must meet the trim requirements of this 
section after being trimmed and without further pressure upon, or 
movement of, the primary controls or their corresponding trim controls 
by the pilot or the automatic pilot. In addition, it must be possible, 
in other conditions of loading, configuration, speed and power to ensure 
that the pilot will not be unduly fatigued or distracted by the need to 
apply residual control forces exceeding those for prolonged application 
of Sec. 23.143(c). This applies in normal operation of the airplane and, 
if applicable, to those conditions associated with the failure of one 
engine for which performance characteristics are established.
    (b) Lateral and directional trim. The airplane must maintain lateral 
and directional trim in level flight with the landing gear and wing 
flaps retracted as follows:
    (1) For normal, utility, and acrobatic category airplanes, at a 
speed of 0.9 VH, VC, or VMO/
MO, whichever is lowest; and
    (2) For commuter category airplanes, at all speeds from 1.4 
VS1 to the lesser of VH or VMO/
MMO.

[[Page 193]]

    (c) Longitudinal trim. The airplane must maintain longitudinal trim 
under each of the following conditions:
    (1) A climb with--
    (i) Takeoff power, landing gear retracted, wing flaps in the takeoff 
position(s), at the speeds used in determining the climb performance 
required by Sec. 23.65; and
    (ii) Maximum continuous power at the speeds and in the configuration 
used in determining the climb performance required by Sec. 23.69(a).
    (2) Level flight at all speeds from the lesser of VH and 
either VNO or VMO/MMO (as appropriate), 
to 1.4 VS1, with the landing gear and flaps retracted.
    (3) A descent at VNO or VMO/MMO, 
whichever is applicable, with power off and with the landing gear and 
flaps retracted.
    (4) Approach with landing gear extended and with--
    (i) A 3 degree angle of descent, with flaps retracted and at a speed 
of 1.4 VS1;
    (ii) A 3 degree angle of descent, flaps in the landing position(s) 
at VREF; and
    (iii) An approach gradient equal to the steepest used in the landing 
distance demonstrations of Sec. 23.75, flaps in the landing position(s) 
at VREF.
    (d) In addition, each multiple airplane must maintain longitudinal 
and directional trim, and the lateral control force must not exceed 5 
pounds at the speed used in complying with Sec. 23.67(a), (b)(2), or 
(c)(3), as appropriate, with--
    (1) The critical engine inoperative, and if applicable, its 
propeller in the minimum drag position;
    (2) The remaining engines at maximum continuous power;
    (3) The landing gear retracted;
    (4) Wing flaps retracted; and
    (5) An angle of bank of not more than five degrees.
    (e) In addition, each commuter category airplane for which, in the 
determination of the takeoff path in accordance with Sec. 23.57, the 
climb in the takeoff configuration at V2 extends beyond 400 
feet above the takeoff surface, it must be possible to reduce the 
longitudinal and lateral control forces to 10 pounds and 5 pounds, 
respectively, and the directional control force must not exceed 50 
pounds at V2 with--
    (1) The critical engine inoperative and its propeller in the minimum 
drag position;
    (2) The remaining engine(s) at takeoff power;
    (3) Landing gear retracted;
    (4) Wing flaps in the takeoff position(s); and
    (5) An angle of bank not exceeding 5 degrees.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-21, 
43 FR 2318, Jan. 16, 1978; Amdt. 23-34, 52 FR 1828, Jan. 15, 1987; Amdt. 
23-42, 56 FR 351, Jan. 3, 1991; 56 FR 5455, Feb. 11, 1991; Amdt. 23-50, 
61 FR 5189, Feb. 9, 1996]

                                Stability



Sec. 23.171  General.

    The airplane must be longitudinally, directionally, and laterally 
stable under Secs. 23.173 through 23.181. In addition, the airplane must 
show suitable stability and control ``feel'' (static stability) in any 
condition normally encountered in service, if flight tests show it is 
necessary for safe operation.



Sec. 23.173  Static longitudinal stability.

    Under the conditions specified in Sec. 23.175 and with the airplane 
trimmed as indicated, the characteristics of the elevator control forces 
and the friction within the control system must be as follows:
    (a) A pull must be required to obtain and maintain speeds below the 
specified trim speed and a push required to obtain and maintain speeds 
above the specified trim speed. This must be shown at any speed that can 
be obtained, except that speeds requiring a control force in excess of 
40 pounds or speeds above the maximum allowable speed or below the 
minimum speed for steady unstalled flight, need not be considered.
    (b) The airspeed must return to within the tolerances specified for 
applicable categories of airplanes when the control force is slowly 
released at any speed within the speed range specified in paragraph (a) 
of this section. The applicable tolerances are--
    (1) The airspeed must return to within plus or minus 10 percent of 
the original trim airspeed; and

[[Page 194]]

    (2) For commuter category airplanes, the airspeed must return to 
within plus or minus 7.5 percent of the original trim airspeed for the 
cruising condition specified in Sec. 23.175(b).
    (c) The stick force must vary with speed so that any substantial 
speed change results in a stick force clearly perceptible to the pilot.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-14, 
38 FR 31820 Nov. 19, 1973; Amdt. 23-34, 52 FR 1828, Jan. 15, 1987]



Sec. 23.175  Demonstration of static longitudinal stability.

    Static longitudinal stability must be shown as follows:
    (a) Climb. The stick force curve must have a stable slope at speeds 
between 85 and 115 percent of the trim speed, with--
    (1) Flaps retracted;
    (2) Landing gear retracted;
    (3) Maximum continuous power; and
    (4) The airplane trimmed at the speed used in determining the climb 
performance required by Sec. 23.69(a).
    (b) Cruise. With flaps and landing gear retracted and the airplane 
in trim with power for level flight at representative cruising speeds at 
high and low altitudes, including speeds up to VNO or 
VMO/MMO, as appropriate, except that the speed 
need not exceed VH--
    (1) For normal, utility, and acrobatic category airplanes, the stick 
force curve must have a stable slope at all speeds within a range that 
is the greater of 15 percent of the trim speed plus the resulting free 
return speed range, or 40 knots plus the resulting free return speed 
range, above and below the trim speed, except that the slope need not be 
stable--
    (i) At speeds less than 1.3 VS1; or
    (ii) For airplanes with VNE established under 
Sec. 23.1505(a), at speeds greater than VNE; or
    (iii) For airplanes with VMO/MMO established 
under Sec. 23.1505(c), at speeds greater than VFC/
MFC.
    (2) For commuter category airplanes, the stick force curve must have 
a stable slope at all speeds within a range of 50 knots plus the 
resulting free return speed range, above and below the trim speed, 
except that the slope need not be stable--
    (i) At speeds less than 1.4 VS1; or
    (ii) At speeds greater than VFC/MFC; or
    (iii) At speeds that require a stick force greater than 50 pounds.
    (c) Landing. The stick force curve must have a stable slope at 
speeds between 1.1 VS1 and 1.8 VS1 with--
    (1) Flaps in the landing position;
    (2) Landing gear extended; and
    (3) The airplane trimmed at--
    (i) VREF, or the minimum trim speed if higher, with power 
off; and
    (ii) VREF with enough power to maintain a 3 degree angle 
of descent.

[Doc. No. 27807, 61 FR 5190, Feb. 9, 1996]



Sec. 23.177  Static directional and lateral stability.

    (a) The static directional stability, as shown by the tendency to 
recover from a wings level sideslip with the rudder free, must be 
positive for any landing gear and flap position appropriate to the 
takeoff, climb, cruise, approach, and landing configurations. This must 
be shown with symmetrical power up to maximum continuous power, and at 
speeds from 1.2 VS1 up to the maximum allowable speed for the 
condition being investigated. The angel of sideslip for these tests must 
be appropriate to the type of airplane. At larger angles of sideslip, up 
to that at which full rudder is used or a control force limit in 
Sec. 23.143 is reached, whichever occurs first, and at speeds from 1.2 
VS1 to VO, the rudder pedal force must not 
reverse.
    (b) The static lateral stability, as shown by the tendency to raise 
the low wing in a sideslip, must be positive for all landing gear and 
flap positions. This must be shown with symmetrical power up to 75 
percent of maximum continuous power at speeds above 1.2 VS1 
in the take off configuration(s) and at speeds above 1.3 VS1 
in other configurations, up to the maximum allowable speed for the 
configuration being investigated, in the takeoff, climb, cruise, and 
approach configurations. For the landing configuration, the power must 
be that necessary to maintain a 3 degree angle of descent in coordinated 
flight. The static lateral stability must not be negative at 1.2 
VS1 in the takeoff configuration, or at 1.3 VS1 in 
other configurations. The angle of

[[Page 195]]

sideslip for these tests must be appropriate to the type of airplane, 
but in no case may the constant heading sideslip angle be less than that 
obtainable with a 10 degree bank, or if less, the maximum bank angle 
obtainable with full rudder deflection or 150 pound rudder force.
    (c) Paragraph (b) of this section does not apply to acrobatic 
category airplanes certificated for inverted flight.
    (d) In straight, steady slips at 1.2 VS1 for any landing 
gear and flap positions, and for any symmetrical power conditions up to 
50 percent of maximum continuous power, the aileron and rudder control 
movements and forces must increase steadily, but not necessarily in 
constant proportion, as the angle of sideslip is increased up to the 
maximum appropriate to the type of airplane. At larger slip angles, up 
to the angle at which full rudder or aileron control is used or a 
control force limit contained in Sec. 23.143 is reached, the aileron and 
rudder control movements and forces must not reverse as the angle of 
sideslip is increased. Rapid entry into, and recovery from, a maximum 
sideslip considered appropriate for the airplane must not result in 
uncontrollable flight characteristics.

[Doc. No. 27807, 61 FR 5190, Feb. 9, 1996]



Sec. 23.181  Dynamic stability.

    (a) Any short period oscillation not including combined lateral-
directional oscillations occurring between the stalling speed and the 
maximum allowable speed appropriate to the configuration of the airplane 
must be heavily damped with the primary controls--
    (1) Free; and
    (2) In a fixed position.
    (b) Any combined lateral-directional oscillations (``Dutch roll'') 
occurring between the stalling speed and the maximum allowable speed 
appropriate to the configuration of the airplane must be damped to 1/10 
amplitude in 7 cycles with the primary controls--
    (1) Free; and
    (2) In a fixed position.
    (c) If it is determined that the function of a stability 
augmentation system, reference Sec. 23.672, is needed to meet the flight 
characteristic requirements of this part, the primary control 
requirements of paragraphs (a)(2) and (b)(2) of this section are not 
applicable to the tests needed to verify the acceptability of that 
system.
    (d) During the conditions as specified in Sec. 23.175, when the 
longitudinal control force required to maintain speeds differing from 
the trim speed by at least plus and minus 15 percent is suddenly 
released, the response of the airplane must not exhibit any dangerous 
characteristics nor be excessive in relation to the magnitude of the 
control force released. Any long-period oscillation of flight path, 
phugoid oscillation, that results must not be so unstable as to increase 
the pilot's workload or otherwise endanger the airplane.

[Amdt. 23-21, 43 FR 2318, Jan. 16, 1978, as amended by Amdt. 23-45, 58 
FR 42158, Aug. 6, 1993]

                                 Stalls



Sec. 23.201  Wings level stall.

    (a) It must be possible to produce and to correct roll by unreversed 
use of the rolling control and to produce and to correct yaw by 
unreversed use of the directional control, up to the time the airplane 
stalls.
    (b) The wings level stall characteristics must be demonstrated in 
flight as follows. Starting from a speed at least 10 knots above the 
stall speed, the elevator control must be pulled back so that the rate 
of speed reduction will not exceed one knot per second until a stall is 
produced, as shown by either:
    (1) An uncontrollable downward pitching motion of the airplane;
    (2) A downward pitching motion of the airplane that results from the 
activation of a stall avoidance device (for example, stick pusher); or
    (3) The control reaching the stop.
    (c) Normal use of elevator control for recovery is allowed after the 
downward pitching motion of paragraphs (b)(1) or (b)(2) of this section 
has unmistakably been produced, or after the control has been held 
against the stop for not less than the longer of two seconds or the time 
employed in the minimum steady slight speed determination of Sec. 23.49.
    (d) During the entry into and the recovery from the maneuver, it 
must be possible to prevent more than 15 degrees of roll or yaw by the 
normal use of controls.

[[Page 196]]

    (e) Compliance with the requirements of this section must be shown 
under the following conditions:
    (1) Wing flaps. Retracted, fully extended, and each intermediate 
normal operating position.
    (2) Landing gear. Retracted and extended.
    (3) Cowl flaps. Appropriate to configuration.
    (4) Power:
    (i) Power off; and
    (ii) 75 percent of maximum continuous power. However, if the power-
to-weight ratio at 75 percent of maximum continuous power result in 
extreme nose-up attitudes, the test may be carried out with the power 
required for level flight in the landing configuration at maximum 
landing weight and a speed of 1.4 VSO, except that the power 
may not be less than 50 percent of maximum continuous power.
    (5) Trim. The airplane trimmed at a speed as near 1.5 VS1 
as practicable.
    (6) Propeller. Full increase r.p.m. position for the power off 
condition.

[Doc. No. 27807, 61 FR 5191, Feb. 9, 1996]



Sec. 23.203  Turning flight and accelerated turning stalls.

    Turning flight and accelerated turning stalls must be demonstrated 
in tests as follows:
    (a) Establish and maintain a coordinated turn in a 30 degree bank. 
Reduce speed by steadily and progressively tightening the turn with the 
elevator until the airplane is stalled, as defined in Sec. 23.201(b). 
The rate of speed reduction must be constant, and--
    (1) For a turning flight stall, may not exceed one knot per second; 
and
    (2) For an accelerated turning stall, be 3 to 5 knots per second 
with steadily increasing normal acceleration.
    (b) After the airplane has stalled, as defined in Sec. 23.201(b), it 
must be possible to regain wings level flight by normal use of the 
flight controls, but without increasing power and without--
    (1) Excessive loss of altitude;
    (2) Undue pitchup;
    (3) Uncontrollable tendency to spin;
    (4) Exceeding a bank angle of 60 degrees in the original direction 
of the turn or 30 degrees in the opposite direction in the case of 
turning flight stalls;
    (5) Exceeding a bank angle of 90 degrees in the original direction 
of the turn or 60 degrees in the opposite direction in the case of 
accelerated turning stalls; and
    (6) Exceeding the maximum permissible speed or allowable limit load 
factor.
    (c) Compliance with the requirements of this section must be shown 
under the following conditions:
    (1) Wing flaps: Retracted, fully extended, and each intermediate 
normal operating position;
    (2) Landing gear: Retracted and extended;
    (3) Cowl flaps: Appropriate to configuration;
    (4) Power:
    (i) Power off; and
    (ii) 75 percent of maximum continuous power. However, if the power-
to-weight ratio at 75 percent of maximum continuous power results in 
extreme nose-up attitudes, the test may be carried out with the power 
required for level flight in the landing configuration at maximum 
landing weight and a speed of 1.4 VSO, except that the power 
may not be less than 50 percent of maximum continuous power.
    (5) Trim: The airplane trimmed at a speed as near 1.5 VS1 
as practicable.
    (6) Propeller. Full increase rpm position for the power off 
condition.

[Amdt. 23-14, 38 FR 31820, Nov. 19, 1973, as amended by Amdt. 23-45, 58 
FR 42159, Aug. 6, 1993; Amdt. 23-50, 61 FR 5191, Feb. 9, 1996]



Sec. 23.207  Stall warning.

    (a) There must be a clear and distinctive stall warning, with the 
flaps and landing gear in any normal position, in straight and turning 
flight.
    (b) The stall warning may be furnished either through the inherent 
aerodynamic qualities of the airplane or by a device that will give 
clearly distinguishable indications under expected conditions of flight. 
However, a visual stall warning device that requires the attention of 
the crew within the cockpit is not acceptable by itself.
    (c) During the stall tests required by Sec. 23.201(b) and 
Sec. 23.203(a)(1), the stall warning must begin at a speed exceeding the 
stalling speed by a margin of not less than 5 knots and must continue 
until the stall occurs.

[[Page 197]]

    (d) When following procedures furnished in accordance with 
Sec. 23.1585, the stall warning must not occur during a takeoff with all 
engines operating, a takeoff continued with one engine inoperative, or 
during an approach to landing.
    (e) During the stall tests required by Sec. 23.203(a)(2), the stall 
warning must begin sufficiently in advance of the stall for the stall to 
be averted by pilot action taken after the stall warning first occurs.
    (f) For acrobatic category airplanes, an artificial stall warning 
may be mutable, provided that it is armed automatically during takeoff 
and rearmed automatically in the approach configuration.

[Amdt. 23-7, 34 FR 13087, Aug. 13, 1969, as amended by Amdt. 23-45, 58 
FR 42159, Aug. 6, 1993; Amdt. 23-50, 61 FR 5191, Feb. 9, 1996]

                                Spinning



Sec. 23.221  Spinning.

    (a) Normal category airplanes. A single-engine, normal category 
airplane must be able to recover from a one-turn spin or a three-second 
spin, whichever takes longer, in not more than one additional turn after 
initiation of the first control action for recovery, or demonstrate 
compliance with the optional spin resistant requirements of this 
section.
    (1) The following apply to one turn or three second spins:
    (i) For both the flaps-retracted and flaps-extended conditions, the 
applicable airspeed limit and positive limit maneuvering load factor 
must not be exceeded;
    (ii) No control forces or characteristic encountered during the spin 
or recovery may adversely affect prompt recovery;
    (iii) It must be impossible to obtain unrecoverable spins with any 
use of the flight or engine power controls either at the entry into or 
during the spin; and
    (iv) For the flaps-extended condition, the flaps may be retracted 
during the recovery but not before rotation has ceased.
    (2) At the applicant's option, the airplane may be demonstrated to 
be spin resistant by the following:
    (i) During the stall maneuver contained in Sec. 23.201, the pitch 
control must be pulled back and held against the stop. Then, using 
ailerons and rudders in the proper direction, it must be possible to 
maintain wings-level flight within 15 degrees of bank and to roll the 
airplane from a 30 degree bank in one direction to a 30 degree bank in 
the other direction;
    (ii) Reduce the airplane speed using pitch control at a rate of 
approximately one knot per second until the pitch control reaches the 
stop; then, with the pitch control pulled back and held against the 
stop, apply full rudder control in a manner to promote spin entry for a 
period of seven seconds or through a 360 degree heading change, 
whichever occurs first. If the 360 degree heading change is reached 
first, it must have taken no fewer than four seconds. This maneuver must 
be performed first with the ailerons in the neutral position, and then 
with the ailerons deflected opposite the direction of turn in the most 
adverse manner. Power and airplane configuration must be set in 
accordance with Sec. 23.201(e) without change during the maneuver. At 
the end of seven seconds or a 360 degree heading change, the airplane 
must respond immediately and normally to primary flight controls applied 
to regain coordinated, unstalled flight without reversal of control 
effect and without exceeding the temporary control forces specified by 
Sec. 23.143(c); and
    (iii) Compliance with Secs. 23.201 and 23.203 must be demonstrated 
with the airplane in uncoordinated flight, corresponding to one ball 
width displacement on a slip-skid indicator, unless one ball width 
displacement cannot be obtained with full rudder, in which case the 
demonstration must be with full rudder applied.
    (b) Utility category airplanes. A utility category airplane must 
meet the requirements of paragraph (a) of this section. In addition, the 
requirements of paragraph (c) of this section and Sec. 23.807(b)(7) must 
be met if approval for spinning is requested.
    (c) Acrobatic category airplanes. An acrobatic category airplane 
must meet the spin requirements of paragraph (a) of this section and 
Sec. 23.807(b)(6). In addition, the following requirements must

[[Page 198]]

be met in each configuration for which approval for spinning is 
requested:
    (1) The airplane must recover from any point in a spin up to and 
including six turns, or any greater number of turns for which 
certification is requested, in not more than one and one-half additional 
turns after initiation of the first control action for recovery. 
However, beyond three turns, the spin may be discontinued if spiral 
characteristics appear.
    (2) The applicable airspeed limits and limit maneuvering load 
factors must not be exceeded. For flaps-extended configurations for 
which approval is requested, the flaps must not be retracted during the 
recovery.
    (3) It must be impossible to obtain unrecoverable spins with any use 
of the flight or engine power controls either at the entry into or 
during the spin.
    (4) There must be no characteristics during the spin (such as 
excessive rates of rotation or extreme oscillatory motion) that might 
prevent a successful recovery due to disorientation or incapacitation of 
the pilot.

[Doc. No. 27807, 61 FR 5191, Feb. 9, 1996]

                Ground and Water Handling Characteristics



Sec. 23.231  Longitudinal stability and control.

    (a) A landplane may have no uncontrollable tendency to nose over in 
any reasonably expected operating condition, including rebound during 
landing or takeoff. Wheel brakes must operate smoothly and may not 
induce any undue tendency to nose over.
    (b) A seaplane or amphibian may not have dangerous or uncontrollable 
porpoising characteristics at any normal operating speed on the water.



Sec. 23.233  Directional stability and control.

    (a) A 90 degree cross-component of wind velocity, demonstrated to be 
safe for taxiing, takeoff, and landing must be established and must be 
not less than 0.2 VSO.
    (b) The airplane must be satisfactorily controllable in power-off 
landings at normal landing speed, without using brakes or engine power 
to maintain a straight path until the speed has decreased to at least 50 
percent of the speed at touchdown.
    (c) The airplane must have adequate directional control during 
taxiing.
    (d) Seaplanes must demonstrate satisfactory directional stability 
and control for water operations up to the maximum wind velocity 
specified in paragraph (a) of this section.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42159, Aug. 6, 1993; Amdt. 23-50, 61 FR 5192, Feb. 9, 1996]



Sec. 23.235  Operation on unpaved surfaces.

    The airplane must be demonstrated to have satisfactory 
characteristics and the shock-absorbing mechanism must not damage the 
structure of the airplane when the airplane is taxied on the roughest 
ground that may reasonably be expected in normal operation and when 
takeoffs and landings are performed on unpaved runways having the 
roughest surface that may reasonably be expected in normal operation.

[Doc. No. 27807, 61 FR 5192, Feb. 9, 1996]



Sec. 23.237  Operation on water.

    A wave height, demonstrated to be safe for operation, and any 
necessary water handling procedures for seaplanes and amphibians must be 
established.

[Doc. No. 27807, 61 FR 5192, Feb. 9, 1996]



Sec. 23.239  Spray characteristics.

    Spray may not dangerously obscure the vision of the pilots or damage 
the propellers or other parts of a seaplane or amphibian at any time 
during taxiing, takeoff, and landing.

                    Miscellaneous Flight Requirements



Sec. 23.251  Vibration and buffeting.

    There must be no vibration or buffeting severe enough to result in 
structural damage, and each part of the airplane must be free from 
excessive vibration, under any appropriate speed and power conditions up 
to VD/MD. In addition, there must be no buffeting 
in any normal flight condition severe enough to interfere with the 
satisfactory control of the airplane or cause excessive fatigue to the 
flight crew.

[[Page 199]]

Stall warning buffeting within these limits is allowable.

[Doc. No. 26269, 58 FR 42159, Aug. 6, 1993]



Sec. 23.253  High speed characteristics.

    If a maximum operating speed VMO/MMO is 
established under Sec. 23.1505(c), the following speed increase and 
recovery characteristics must be met:
    (a) Operating conditions and characteristics likely to cause 
inadvertent speed increases (including upsets in pitch and roll) must be 
simulated with the airplane trimmed at any likely speed up to 
VMO/MMO. These conditions and characteristics 
include gust upsets, inadvertent control movements, low stick force 
gradients in relation to control friction, passenger movement, leveling 
off from climb, and descent from Mach to airspeed limit altitude.
    (b) Allowing for pilot reaction time after occurrence of the 
effective inherent or artificial speed warning specified in 
Sec. 23.1303, it must be shown that the airplane can be recovered to a 
normal attitude and its speed reduced to VMO/MMO, 
without--
    (1) Exceeding VD/MD, the maximum speed shown 
under Sec. 23.251, or the structural limitations; or
    (2) Buffeting that would impair the pilot's ability to read the 
instruments or to control the airplane for recovery.
    (c) There may be no control reversal about any axis at any speed up 
to the maximum speed shown under Sec. 23.251. Any reversal of elevator 
control force or tendency of the airplane to pitch, roll, or yaw must be 
mild and readily controllable, using normal piloting techniques.

[Amdt. 23-7, 34 FR 13087, Aug. 13, 1969; as amended by Amdt. 23-26, 45 
FR 60170, Sept. 11, 1980; Amdt. 23-45, 58 FR 42160, Aug. 6, 1993; Amdt. 
23-50, 61 FR 5192, Feb. 9, 1996]



                          Subpart C--Structure

                                 General



Sec. 23.301  Loads.

    (a) Strength requirements are specified in terms of limit loads (the 
maximum loads to be expected in service) and ultimate loads (limit loads 
multiplied by prescribed factors of safety). Unless otherwise provided, 
prescribed loads are limit loads.
    (b) Unless otherwise provided, the air, ground, and water loads must 
be placed in equilibrium with inertia forces, considering each item of 
mass in the airplane. These loads must be distributed to conservatively 
approximate or closely represent actual conditions. Methods used to 
determine load intensities and distribution on canard and tandem wing 
configurations must be validated by flight test measurement unless the 
methods used for determining those loading conditions are shown to be 
reliable or conservative on the configuration under consideration.
    (c) If deflections under load would significantly change the 
distribution of external or internal loads, this redistribution must be 
taken into account.
    (d) Simplified structural design criteria may be used if they result 
in design loads not less than those prescribed in Secs. 23.331 through 
23.521. For airplane configurations described in appendix A, Sec. 23.1, 
the design criteria of appendix A of this part are an approved 
equivalent of Secs. 23.321 through 23.459. If appendix A of this part is 
used, the entire appendix must be substituted for the corresponding 
sections of this part.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-28, 47 FR 13315, Mar. 29, 1982; Amdt. 23-42, 56 FR 
352, Jan. 3, 1991; Amdt. 23-48, 61 FR 5143, Feb. 9, 1996]



Sec. 23.302  Canard or tandem wing configurations.

    The forward structure of a canard or tandem wing configuration must:
    (a) Meet all requirements of subpart C and subpart D of this part 
applicable to a wing; and
    (b) Meet all requirements applicable to the function performed by 
these surfaces.

[Amdt. 23-42, 56 FR 352, Jan. 3, 1991]



Sec. 23.303  Factor of safety.

    Unless otherwise provided, a factor of safety of 1.5 must be used.



Sec. 23.305  Strength and deformation.

    (a) The structure must be able to support limit loads without 
detrimental, permanent deformation. At

[[Page 200]]

any load up to limit loads, the deformation may not interfere with safe 
operation.
    (b) The structure must be able to support ultimate loads without 
failure for at least three seconds, except local failures or structural 
instabilities between limit and ultimate load are acceptable only if the 
structure can sustain the required ultimate load for at least three 
seconds. However when proof of strength is shown by dynamic tests 
simulating actual load conditions, the three second limit does not 
apply.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42160, Aug. 6, 1993]



Sec. 23.307  Proof of structure.

    (a) Compliance with the strength and deformation requirements of 
Sec. 23.305 must be shown for each critical load condition. Structural 
analysis may be used only if the structure conforms to those for which 
experience has shown this method to be reliable. In other cases, 
substantiating load tests must be made. Dynamic tests, including 
structural flight tests, are acceptable if the design load conditions 
have been simulated.
    (b) Certain parts of the structure must be tested as specified in 
Subpart D of this part.

                              Flight Loads



Sec. 23.321  General.

    (a) Flight load factors represent the ratio of the aerodynamic force 
component (acting normal to the assumed longitudinal axis of the 
airplane) to the weight of the airplane. A positive flight load factor 
is one in which the aerodynamic force acts upward, with respect to the 
airplane.
    (b) Compliance with the flight load requirements of this subpart 
must be shown--
    (1) At each critical altitude within the range in which the airplane 
may be expected to operate;
    (2) At each weight from the design minimum weight to the design 
maximum weight; and
    (3) For each required altitude and weight, for any practicable 
distribution of disposable load within the operating limitations 
specified in Secs. 23.1583 through 23.1589.
    (c) When significant, the effects of compressibility must be taken 
into account.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42160, Aug. 6, 1993]



Sec. 23.331  Symmetrical flight conditions.

    (a) The appropriate balancing horizontal tail load must be accounted 
for in a rational or conservative manner when determining the wing loads 
and linear inertia loads corresponding to any of the symmetrical flight 
conditions specified in Secs. 23.333 through 23.341.
    (b) The incremental horizontal tail loads due to maneuvering and 
gusts must be reacted by the angular inertia of the airplane in a 
rational or conservative manner.
    (c) Mutual influence of the aerodynamic surfaces must be taken into 
account when determining flight loads.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-42, 56 FR 352, Jan. 3, 1991]



Sec. 23.333  Flight envelope.

    (a) General. Compliance with the strength requirements of this 
subpart must be shown at any combination of airspeed and load factor on 
and within the boundaries of a flight envelope (similar to the one in 
paragraph (d) of this section) that represents the envelope of the 
flight loading conditions specified by the maneuvering and gust criteria 
of paragraphs (b) and (c) of this section respectively.
    (b) Maneuvering envelope. Except where limited by maximum (static) 
lift coefficients, the airplane is assumed to be subjected to 
symmetrical maneuvers resulting in the following limit load factors:
    (1) The positive maneuvering load factor specified in Sec. 23.337 at 
speeds up to VD;
    (2) The negative maneuvering load factor specified in Sec. 23.337 at 
VC; and
    (3) Factors varying linearly with speed from the specified value at 
VC to 0.0 at VD for the normal and commuter 
category, and --1.0 at VD for the acrobatic and utility 
categories.

[[Page 201]]

    (c) Gust envelope. (1) The airplane is assumed to be subjected to 
symmetrical vertical gusts in level flight. The resulting limit load 
factors must correspond to the conditions determined as follows:
    (i) Positive (up) and negative (down) gusts of 50 f.p.s. at VC 
must be considered at altitudes between sea level and 20,000 feet. The 
gust velocity may be reduced linearly from 50 f.p.s. at 20,000 feet to 
25 f.p.s. at 50,000 feet.
    (ii) Positive and negative gusts of 25 f.p.s. at VD must 
be considered at altitudes between sea level and 20,000 feet. The gust 
velocity may be reduced linearly from 25 f.p.s. at 20,000 feet to 12.5 
f.p.s. at 50,000 feet.
    (iii) In addition, for commuter category airplanes, positive (up) 
and negative (down) rough air gusts of 66 f.p.s. at V must be 
considered at altitudes between sea level and 20,000 feet. The gust 
velocity may be reduced linearly from 66 f.p.s. at 20,000 feet to 38 
f.p.s. at 50,000 feet.
    (2) The following assumptions must be made:
    (i) The shape of the gust is--
    [GRAPHIC] [TIFF OMITTED] TC28SE91.000
    
Where--

s =Distance penetrated into gust (ft.);
C =Mean geometric chord of wing (ft.); and
Ude =Derived gust velocity referred to in subparagraph (1) of this 
section.

    (ii) Gust load factors vary linearly with speed between VC 
and VD .
    (d) Flight envelope.
    [GRAPHIC] [TIFF OMITTED] TC28SE91.001
    
[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13087, Aug. 13, 1969; Amdt. 23-34, 52 FR 1829, Jan. 15, 1987]



Sec. 23.335  Design airspeeds.

    Except as provided in paragraph (a)(4) of this section, the selected 
design airspeeds are equivalent airspeeds (EAS).
    (a) Design cruising speed, VC. For VC the 
following apply:
    (1) Where W/S'=wing loading at the design maximum takeoff weight, 
Vc (in knots) may not be less than--
    (i) 33 (W/S) (for normal, utility, and commuter category 
airplanes);
    (ii) 36 (W/S) (for acrobatic category airplanes).

[[Page 202]]

    (2) For values of W/S more than 20, the multiplying factors may be 
decreased linearly with W/S to a value of 28.6 where W/S =100.
    (3) VC need not be more than 0.9 VH at sea 
level.
    (4) At altitudes where an MD is established, a cruising 
speed MC limited by compressibility may be selected.
    (b) Design dive speed VD. For VD, the 
following apply:
    (1) VD/MD may not be less than 1.25 
VC/MC; and
    (2) With VC!min, the required minimum design cruising 
speed, VD (in knots) may not be less than--
    (i) 1.40 Vc min (for normal and commuter category 
airplanes);
    (ii) 1.50 VC!min (for utility category airplanes); and
    (iii) 1.55 VC!min (for acrobatic category airplanes).
    (3) For values of W/S more than 20, the multiplying factors in 
paragraph (b)(2) of this section may be decreased linearly with W/S to a 
value of 1.35 where W/S=100.
    (4) Compliance with paragraphs (b)(1) and (2) of this section need 
not be shown if VD/MD is selected so that the 
minimum speed margin between VC/MC and 
VD/MD is the greater of the following:
    (i) The speed increase resulting when, from the initial condition of 
stabilized flight at VC/MC, the airplane is 
assumed to be upset, flown for 20 seconds along a flight path 7.5 deg. 
below the initial path, and then pulled up with a load factor of 1.5 
(0.5 g. acceleration increment). At least 75 percent maximum continuous 
power for reciprocating engines, and maximum cruising power for 
turbines, or, if less, the power required for VC/MC 
for both kinds of engines, must be assumed until the pullup is 
initiated, at which point power reduction and pilot-controlled drag 
devices may be used; and either--
    (ii) Mach 0.05 for normal, utility, and acrobatic category airplanes 
(at altitudes where MD is established); or
    (iii) Mach 0.07 for commuter category airplanes (at altitudes where 
MD is established) unless a rational analysis, including the 
effects of automatic systems, is used to determine a lower margin. If a 
rational analysis is used, the minimum speed margin must be enough to 
provide for atmospheric variations (such as horizontal gusts), and the 
penetration of jet streams or cold fronts), instrument errors, airframe 
production variations, and must not be less than Mach 0.05.
    (c) Design maneuvering speed VA. For VA, the 
following applies:
    (1) VA may not be less than VSn 
where--
    (i) VS is a computed stalling speed with flaps retracted 
at the design weight, normally based on the maximum airplane normal 
force coefficients, CNA; and
    (ii) n is the limit maneuvering load factor used in design
    (2) The value of VA need not exceed the value of VC 
used in design.
    (d) Design speed for maximum gust intensity, VB. For 
VB, the following apply:
    (1) VB may not be less than the speed determined by the 
intersection of the line representing the maximum positive lift, 
CNMAX, and the line representing the rough air gust velocity 
on the gust V-n diagram, or VS1ng, 
whichever is less, where:
    (i) ng the positive airplane gust load factor due to 
gust, at speed VC (in accordance with Sec. 23.341), and at 
the particular weight under consideration; and
    (ii) VS1 is the stalling speed with the flaps retracted 
at the particular weight under consideration.
    (2) VB need not be greater than VC.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13088, Aug. 13, 1969; Amdt. 23-16, 40 FR 2577, Jan. 14, 1975; Amdt. 
23-34, 52 FR 1829, Jan. 15, 1987; Amdt. 23-24, 52 FR 34745, Sept. 14, 
1987; Amdt. 23-48, 61 FR 5143, Feb. 9, 1996]



Sec. 23.337  Limit maneuvering load factors.

    (a) The positive limit maneuvering load factor n may not be less 
than--
    (1) 2.1+(24,000(W+10,000)) for normal and commuter category 
airplanes, where W=design maximum takeoff weight, except that n need not 
be more than 3.8;
    (2) 4.4 for utility category airplanes; or
    (3) 6.0 for acrobatic category airplanes.
    (b) The negative limit maneuvering load factor may not be less 
than--

[[Page 203]]

    (1) 0.4 times the positive load factor for the normal utility and 
commuter categories; or
    (2) 0.5 times the positive load factor for the acrobatic category.
    (c) Maneuvering load factors lower than those specified in this 
section may be used if the airplane has design features that make it 
impossible to exceed these values in flight.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13088, Aug. 13, 1969; Amdt. 23-34, 52 FR 1829, Jan. 15, 1987; Amdt. 
23-48, 61 FR 5144, Feb. 9, 1996]



Sec. 23.341  Gust loads factors.

    (a) Each airplane must be designed to withstand loads on each 
lifting surface resulting from gusts specified in Sec. 23.333(c).
    (b) The gust load for a canard or tandem wing configuration must be 
computed using a rational analysis, or may be computed in accordance 
with paragraph (c) of this section, provided that the resulting net 
loads are shown to be conservative with respect to the gust criteria of 
Sec. 23.333(c).
    (c) In the absence of a more rational analysis, the gust load 
factors must be computed as follows--
[GRAPHIC] [TIFF OMITTED] TR09FE96.010

Where--

Kg=0.88g/5.3+g=gust 
          alleviation factor;
g=2(W/S)/ Cag=airplane mass ratio;
Ude=Derived gust velocities referred to in Sec. 23.333(c) 
          (f.p.s.);
=Density of air (slugs/cu.ft.);
W/S =Wing loading (p.s.f.) due to the applicable weight of the airplane 
          in the particular load case.
W/S =Wing loading (p.s.f.);
C =Mean geometric chord (ft.);
g =Acceleration due to gravity (ft./sec. 2)
V =Airplane equivalent speed (knots); and
a =Slope of the airplane normal force coefficient curve CNA 
          per radian if the gust loads are applied to the wings and 
          horizontal tail surfaces simultaneously by a rational method. 
          The wing lift curve slope CL per radian may be used 
          when the gust load is applied to the wings only and the 
          horizontal tail gust loads are treated as a separate 
          condition.

[Amdt. 23-7, 34 FR 13088, Aug. 13, 1969, as amended by Amdt. 23-42, 56 
FR 352, Jan. 3, 1991; Amdt. 23-48, 61 FR 5144, Feb. 9, 1996]



Sec. 23.343  Design fuel loads.

    (a) The disposable load combinations must include each fuel load in 
the range from zero fuel to the selected maximum fuel load.
    (b) If fuel is carried in the wings, the maximum allowable weight of 
the airplane without any fuel in the wing tank(s) must be established as 
``maximum zero wing fuel weight,'' if it is less than the maximum 
weight.
    (c) For commuter category airplanes, a structural reserve fuel 
condition, not exceeding fuel necessary for 45 minutes of operation at 
maximum continuous power, may be selected. If a structural reserve fuel 
condition is selected, it must be used as the minimum fuel weight 
condition for showing compliance with the flight load requirements 
prescribed in this part and--
    (1) The structure must be designed to withstand a condition of zero 
fuel in the wing at limit loads corresponding to:
    (i) Ninety percent of the maneuvering load factors defined in 
Sec. 23.337, and
    (ii) Gust velocities equal to 85 percent of the values prescribed in 
Sec. 23.333(c).
    (2) The fatigue evaluation of the structure must account for any 
increase in operating stresses resulting from the design condition of 
paragraph (c)(1) of this section.
    (3) The flutter, deformation, and vibration requirements must also 
be met with zero fuel in the wings.

[Doc. No. 27805, 61 FR 5144, Feb. 9, 1996]



Sec. 23.345  High lift devices.

    (a) If flaps or similar high lift devices are to be used for 
takeoff, approach or landing, the airplane, with the flaps fully 
extended at VF, is assumed to be subjected to symmetrical 
maneuvers and gusts within the range determined by--
    (1) Maneuvering, to a positive limit load factor of 2.0; and
    (2) Positive and negative gust of 25 feet per second acting normal 
to the flight path in level flight.
    (b) VF must be assumed to be not less than 1.4 
VS or 1.8 VSF, whichever is greater, where--

[[Page 204]]

    (1) VS is the computed stalling speed with flaps 
retracted at the design weight; and
    (2) VSF is the computed stalling speed with flaps fully 
extended at the design weight.
    (3) If an automatic flap load limiting device is used, the airplane 
may be designed for the critical combinations of airspeed and flap 
position allowed by that device.
    (c) In determining external loads on the airplane as a whole, 
thrust, slipstream, and pitching acceleration may be assumed to be zero.
    (d) The flaps, their operating mechanism, and their supporting 
structures, must be designed to withstand the conditions prescribed in 
paragraph (a) of this section. In addition, with the flaps fully 
extended at VF, the following conditions, taken separately, 
must be accounted for:
    (1) A head-on gust having a velocity of 25 feet per second (EAS), 
combined with propeller slipstream corresponding to 75 percent of 
maximum continuous power; and
    (2) The effects of propeller slipstream corresponding to maximum 
takeoff power.

[Doc. No. 27805, 61 FR 5144, Feb. 9, 1996]



Sec. 23.347  Unsymmetrical flight conditions.

    (a) The airplane is assumed to be subjected to the unsymmetrical 
flight conditions of Secs. 23.349 and 23.351. Unbalanced aerodynamic 
moments about the center of gravity must be reacted in a rational or 
conservative manner, considering the principal masses furnishing the 
reacting inertia forces.
    (b) Acrobatic category airplanes certified for flick maneuvers (snap 
roll) must be designed for additional asymmetric loads acting on the 
wing and the horizontal tail.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-48, 
61 FR 5144, Feb. 9, 1996]



Sec. 23.349  Rolling conditions.

    The wing and wing bracing must be designed for the following loading 
conditions:
    (a) Unsymmetrical wing loads appropriate to the category. Unless the 
following values result in unrealistic loads, the rolling accelerations 
may be obtained by modifying the symmetrical flight conditions in 
Sec. 23.333(d) as follows:
    (1) For the acrobatic category, in conditions A and F, assume that 
100 percent of the semispan wing airload acts on one side of the plane 
of symmetry and 60 percent of this load acts on the other side.
    (2) For normal, utility, and commuter categories, in Condition A, 
assume that 100 percent of the semispan wing airload acts on one side of 
the airplane and 75 percent of this load acts on the other side.
    (b) The loads resulting from the aileron deflections and speeds 
specified in Sec. 23.455, in combination with an airplane load factor of 
at least two thirds of the positive maneuvering load factor used for 
design. Unless the following values result in unrealistic loads, the 
effect of aileron displacement on wing torsion may be accounted for by 
adding the following increment to the basic airfoil moment coefficient 
over the aileron portion of the span in the critical condition 
determined in Sec. 23.333(d):

    cm=--0.01

where--

cm is the moment coefficient increment; and
 is the down aileron deflection in degrees in the critical 
condition.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13088, Aug. 13, 1969; Amdt. 23-34, 52 FR 1829, Jan. 15, 1987; Amdt. 
23-48, 61 FR 5144, Feb. 9, 1996]



Sec. 23.351  Yawing conditions.

    The airplane must be designed for yawing loads on the vertical 
surfaces resulting from the loads specified in Secs. 23.441 through 
23.445.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-42, 56 FR 352, Jan. 3, 1991]



Sec. 23.361  Engine torque.

    (a) Each engine mount and its supporting structure must be designed 
for the effects of--
    (1) A limit engine torque corresponding to takeoff power and 
propeller speed acting simultaneously with 75 percent of the limit loads 
from flight condition A of Sec. 23.333(d);

[[Page 205]]

    (2) A limit engine torque corresponding to maximum continuous power 
and propeller speed acting simultaneously with the limit loads from 
flight condition A of Sec. 23.333(d); and
    (3) For turbopropeller installations, in addition to the conditions 
specified in paragraphs (a)(1) and (a)(2) of this section, a limit 
engine torque corresponding to takeoff power and propeller speed, 
multiplied by a factor accounting for propeller control system 
malfunction, including quick feathering, acting simultaneously with lg 
level flight loads. In the absence of a rational analysis, a factor of 
1.6 must be used.
    (b) For turbine engine installations, the engine mounts and 
supporting structure must be designed to withstand each of the 
following:
    (1) A limit engine torque load imposed by sudden engine stoppage due 
to malfunction or structural failure (such as compressor jamming).
    (2) A limit engine torque load imposed by the maximum acceleration 
of the engine.
    (c) The limit engine torque to be considered under paragraph (a) of 
this section must be obtained by multiplying the mean torque by a factor 
of--
    (1) 1.25 for turbopropeller installations;
    (2) 1.33 for engines with five or more cylinders; and
    (3) Two, three, or four, for engines with four, three, or two 
cylinders, respectively.

[Amdt. 23-26, 45 FR 60171, Sept. 11, 1980, as amended by Amdt. 23-45, 58 
FR 42160, Aug. 6, 1993]



Sec. 23.363  Side load on engine mount.

    (a) Each engine mount and its supporting structure must be designed 
for a limit load factor in a lateral direction, for the side load on the 
engine mount, of not less than--
    (1) 1.33, or
    (2) One-third of the limit load factor for flight condition A.
    (b) The side load prescribed in paragraph (a) of this section may be 
assumed to be independent of other flight conditions.



Sec. 23.365  Pressurized cabin loads.

    For each pressurized compartment, the following apply:
    (a) The airplane structure must be strong enough to withstand the 
flight loads combined with pressure differential loads from zero up to 
the maximum relief valve setting.
    (b) The external pressure distribution in flight, and any stress 
concentrations, must be accounted for.
    (c) If landings may be made with the cabin pressurized, landing 
loads must be combined with pressure differential loads from zero up to 
the maximum allowed during landing.
    (d) The airplane structure must be strong enough to withstand the 
pressure differential loads corresponding to the maximum relief valve 
setting multiplied by a factor of 1.33, omitting other loads.
    (e) If a pressurized cabin has two or more compartments separated by 
bulkheads or a floor, the primary structure must be designed for the 
effects of sudden release of pressure in any compartment with external 
doors or windows. This condition must be investigated for the effects of 
failure of the largest opening in the compartment. The effects of 
intercompartmental venting may be considered.



Sec. 23.367  Unsymmetrical loads due to engine failure.

    (a) Turbopropeller airplanes must be designed for the unsymmetrical 
loads resulting from the failure of the critical engine including the 
following conditions in combination with a single malfunction of the 
propeller drag limiting system, considering the probable pilot 
corrective action on the flight controls:
    (1) At speeds between VMC and VD, the loads 
resulting from power failure because of fuel flow interruption are 
considered to be limit loads.
    (2) At speeds between VMC and VC, the loads 
resulting from the disconnection of the engine compressor from the 
turbine or from loss of the turbine blades are considered to be ultimate 
loads.
    (3) The time history of the thrust decay and drag buildup occurring 
as a result of the prescribed engine failures must be substantiated by 
test or other

[[Page 206]]

data applicable to the particular engine-propeller combination.
    (4) The timing and magnitude of the probable pilot corrective action 
must be conservatively estimated, considering the characteristics of the 
particular engine-propeller-airplane combination.
    (b) Pilot corrective action may be assumed to be initiated at the 
time maximum yawing velocity is reached, but not earlier than 2 seconds 
after the engine failure. The magnitude of the corrective action may be 
based on the limit pilot forces specified in Sec. 23.397 except that 
lower forces may be assumed where it is shown by analysis or test that 
these forces can control the yaw and roll resulting from the prescribed 
engine failure conditions.

[Amdt. 23-7, 34 FR 13089, Aug. 13, 1969]



Sec. 23.369  Rear lift truss.

    (a) If a rear lift truss is used, it must be designed to withstand 
conditions of reversed airflow at a design speed of--
    V = 8.7 (W/S) + 8.7 (knots), where W/S = wing loading at 
design maximum takeoff weight.
    (b) Either aerodynamic data for the particular wing section used, or 
a value of CL equalling -0.8 with a chordwise distribution 
that is triangular between a peak at the trailing edge and zero at the 
leading edge, must be used.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13089, Aug. 13, 1969; 34 FR 17509, Oct. 30, 1969; Amdt. 23-45, 58 FR 
42160, Aug. 6, 1993; Amdt. 23-48, 61 FR 5145, Feb. 9, 1996]



Sec. 23.371  Gyroscopic and aerodynamic loads.

    (a) Each engine mount and its supporting structure must be designed 
for the gyroscopic, inertial, and aerodynamic loads that result, with 
the engine(s) and propeller(s), if applicable, at maximum continuous 
r.p.m., under either:
    (1) The conditions prescribed in Sec. 23.351 and Sec. 23.423; or
    (2) All possible combinations of the following--
    (i) A yaw velocity of 2.5 radians per second;
    (ii) A pitch velocity of 1.0 radian per second;
    (iii) A normal load factor of 2.5; and
    (iv) Maximum continuous thrust.
    (b) For airplanes approved for aerobatic maneuvers, each engine 
mount and its supporting structure must meet the requirements of 
paragraph (a) of this section and be designed to withstand the load 
factors expected during combined maximum yaw and pitch velocities.
    (c) For airplanes certificated in the commuter category, each engine 
mount and its supporting structure must meet the requirements of 
paragraph (a) of this section and the gust conditions specified in 
Sec. 23.341 of this part.

[Doc. No. 27805, 61 FR 5145, Feb. 9, 1996]



Sec. 23.373  Speed control devices.

    If speed control devices (such as spoilers and drag flaps) are 
incorporated for use in enroute conditions--
    (a) The airplane must be designed for the symmetrical maneuvers and 
gusts prescribed in Secs. 23.333, 23.337, and 23.341, and the yawing 
maneuvers and lateral gusts in Secs. 23.441 and 23.443, with the device 
extended at speeds up to the placard device extended speed; and
    (b) If the device has automatic operating or load limiting features, 
the airplane must be designed for the maneuver and gust conditions 
prescribed in paragraph (a) of this section at the speeds and 
corresponding device positions that the mechanism allows.

[Amdt. 23-7, 34 FR 13089, Aug. 13, 1969]

                    Control Surface and System Loads



Sec. 23.391  Control surface loads.

    The control surface loads specified in Secs. 23.397 through 23.459 
are assumed to occur in the conditions described in Secs. 23.331 through 
23.351.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-48, 
61 FR 5145, Feb. 9, 1996]



Sec. 23.393  Loads parallel to hinge line.

    (a) Control surfaces and supporting hinge brackets must be designed 
to withstand inertial loads acting parallel to the hinge line.
    (b) In the absence of more rational data, the inertial loads may be 
assumed to be equal to KW, where--
    (1) K = 24 for vertical surfaces;

[[Page 207]]

    (2) K = 12 for horizontal surfaces; and
    (3) W = weight of the movable surfaces.

[Doc. No. 27805, 61 FR 5145, Feb. 9, 1996]



Sec. 23.395  Control system loads.

    (a) Each flight control system and its supporting structure must be 
designed for loads corresponding to at least 125 percent of the computed 
hinge moments of the movable control surface in the conditions 
prescribed in Secs. 23.391 through 23.459. In addition, the following 
apply:
    (1) The system limit loads need not exceed the higher of the loads 
that can be produced by the pilot and automatic devices operating the 
controls. However, autopilot forces need not be added to pilot forces. 
The system must be designed for the maximum effort of the pilot or 
autopilot, whichever is higher. In addition, if the pilot and the 
autopilot act in opposition, the part of the system between them may be 
designed for the maximum effort of the one that imposes the lesser load. 
Pilot forces used for design need not exceed the maximum forces 
prescribed in Sec. 23.397(b).
    (2) The design must, in any case, provide a rugged system for 
service use, considering jamming, ground gusts, taxiing downwind, 
control inertia, and friction. Compliance with this subparagraph may be 
shown by designing for loads resulting from application of the minimum 
forces prescribed in Sec. 23.397(b).
    (b) A 125 percent factor on computed hinge moments must be used to 
design elevator, aileron, and rudder systems. However, a factor as low 
as 1.0 may be used if hinge moments are based on accurate flight test 
data, the exact reduction depending upon the accuracy and reliability of 
the data.
    (c) Pilot forces used for design are assumed to act at the 
appropriate control grips or pads as they would in flight, and to react 
at the attachments of the control system to the control surface horns.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13089, Aug. 13, 1969]



Sec. 23.397  Limit control forces and torques.

    (a) In the control surface flight loading condition, the airloads on 
movable surfaces and the corresponding deflections need not exceed those 
that would result in flight from the application of any pilot force 
within the ranges specified in paragraph (b) of this section. In 
applying this criterion, the effects of control system boost and servo-
mechanisms, and the effects of tabs must be considered. The automatic 
pilot effort must be used for design if it alone can produce higher 
control surface loads than the human pilot.
    (b) The limit pilot forces and torques are as follows:

------------------------------------------------------------------------
                                   Maximum forces or
                                  torques for design
                                    weight, weight     Minimum forces or
             Control               equal to or less       torques \2\
                                   than 5,000 pounds
                                          \1\
------------------------------------------------------------------------
Aileron:
  Stick.........................  67 lbs............  40 lbs.
  Wheel \3\.....................  50 D in.-lbs \4\..  40 D in.-lbs.\4\
Elevator:
  Stick.........................  167 lbs...........  100 lbs.
  Wheel (symmetrical)...........  200 lbs...........  100 lbs.
  Wheel (unsymmetrical) \5\.....  ..................  100 lbs.
Rudder..........................  200 lbs...........  150 lbs.
------------------------------------------------------------------------
\1\ For design weight (W) more than 5,000 pounds, the specified maximum
  values must be increased linearly with weight to 1.18 times the
  specified values at a design weight of 12,500 pounds and for commuter
  category airplanes, the specified values must be increased linearly
  with weight to 1.35 times the specified values at a design weight of
  19,000 pounds.
\2\ If the design of any individual set of control systems or surfaces
  makes these specified minimum forces or torques inapplicable, values
  corresponding to the present hinge moments obtained under Sec.
  23.415, but not less than 0.6 of the specified minimum forces or
  torques, may be used.
\3\ The critical parts of the aileron control system must also be
  designed for a single tangential force with a limit value of 1.25
  times the couple force determined from the above criteria.
\4\ D=wheel diameter (inches).
\5\ The unsymmetrical force must be applied at one of the normal
  handgrip points on the control wheel.


[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13089, Aug. 13, 1969; Amdt. 23-17, 41 FR 55464, Dec. 20, 1976; Amdt. 
23-34, 52 FR 1829, Jan. 15, 1987; Amdt. 23-45, 58 FR 42160, Aug. 6, 
1993]



Sec. 23.399  Dual control system.

    (a) Each dual control system must be designed to withstand the force 
of the pilots operating in opposition, using individual pilot forces not 
less than the greater of--
    (1) 0.75 times those obtained under Sec. 23.395; or

[[Page 208]]

    (2) The minimum forces specified in Sec. 23.397(b).
    (b) Each dual control system must be designed to withstand the force 
of the pilots applied together, in the same direction, using individual 
pilot forces not less than 0.75 times those obtained under Sec. 23.395.

[Doc. No. 27805, 61 FR 5145, Feb. 9, 1996]



Sec. 23.405  Secondary control system.

    Secondary controls, such as wheel brakes, spoilers, and tab 
controls, must be designed for the maximum forces that a pilot is likely 
to apply to those controls.



Sec. 23.407  Trim tab effects.

    The effects of trim tabs on the control surface design conditions 
must be accounted for only where the surface loads are limited by 
maximum pilot effort. In these cases, the tabs are considered to be 
deflected in the direction that would assist the pilot. These 
deflections must correspond to the maximum degree of ``out of trim'' 
expected at the speed for the condition under consideration.



Sec. 23.409  Tabs.

    Control surface tabs must be designed for the most severe 
combination of airspeed and tab deflection likely to be obtained within 
the flight envelope for any usable loading condition.



Sec. 23.415  Ground gust conditions.

    (a) The control system must be investigated as follows for control 
surface loads due to ground gusts and taxiing downwind:
    (1) If an investigation of the control system for ground gust loads 
is not required by paragraph (a)(2) of this section, but the applicant 
elects to design a part of the control system of these loads, these 
loads need only be carried from control surface horns through the 
nearest stops or gust locks and their supporting structures.
    (2) If pilot forces less than the minimums specified in 
Sec. 23.397(b) are used for design, the effects of surface loads due to 
ground gusts and taxiing downwind must be investigated for the entire 
control system according to the formula:

H = K c S q

where--
H = limit hinge moment (ft.-lbs.);
c = mean chord of the control surface aft of the hinge line (ft.);
S = area of control surface aft of the hinge line (sq. ft.);
q = dynamic pressure (p.s.f.) based on a design speed not less than 14.6 
(W/S) + 14.6 (f.p.s.) where W/S = wing loading at design 
maximum weight, except that the design speed need not exceed 88 
(f.p.s.);
K = limit hinge moment factor for ground gusts derived in paragraph (b) 
of this section. (For ailerons and elevators, a positive value of K 
indicates a moment tending to depress the surface and a negative value 
of K indicates a moment tending to raise the surface).
    (b) The limit hinge moment factor K for ground gusts must be derived 
as follows:

------------------------------------------------------------------------
            Surface                 K          Position of controls
------------------------------------------------------------------------
(a) Aileron....................     0.75  Control column locked lashed
                                           in mid-position.
(b) Aileron....................  plus-mi  Ailerons at full throw; +
                                   n0.50   moment on one aileron, -
                                           moment on the other.
(c) Elevator...................  plus-mi  (c) Elevator full up (-).
                                   n0.75
(d) Elevator...................  .......  (d) Elevator full down (+).
(e) Rudder.....................  plus-mi  (e) Rudder in neutral.
                                   n0.75
(f) Rudder.....................  .......  (f) Rudder at full throw.
------------------------------------------------------------------------

    (c) At all weights between the empty weight and the maximum weight 
declared for tie-down stated in the appropriate manual, any declared 
tie-down points and surrounding structure, control system, surfaces and 
associated gust locks, must be designed to withstand the limit load 
conditions that exist when the airplane is tied down and that result 
from wind speeds of up to 65 knots horizontally from any direction.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13089, Aug. 13, 1969; Amdt. 23-45, 58 FR 42160, Aug. 6, 1993; Amdt. 
23-48, 61 FR 5145, Feb. 9, 1996]

              Horizontal Stabilizing and Balancing Surfaces



Sec. 23.421  Balancing loads.

    (a) A horizontal surface balancing load is a load necessary to 
maintain equilibrium in any specified flight condition with no pitching 
acceleration.

[[Page 209]]

    (b) Horizontal balancing surfaces must be designed for the balancing 
loads occurring at any point on the limit maneuvering envelope and in 
the flap conditions specified in Sec. 23.345.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13089, Aug. 13, 1969; Amdt. 23-42, 56 FR 352, Jan. 3, 1991]



Sec. 23.423  Maneuvering loads.

    Each horizontal surface and its supporting structure, and the main 
wing of a canard or tandem wing configuration, if that surface has pitch 
control, must be designed for the maneuvering loads imposed by the 
following conditions:
    (a) A sudden movement of the pitching control, at the speed 
VA, to the maximum aft movement, and the maximum forward 
movement, as limited by the control stops, or pilot effort, whichever is 
critical.
    (b) A sudden aft movement of the pitching control at speeds above 
VA, followed by a forward movement of the pitching control 
resulting in the following combinations of normal and angular 
acceleration:

------------------------------------------------------------------------
                                     Normal
           Condition              acceleration     Angular acceleration
                                       (n)            (radian/sec2)
------------------------------------------------------------------------
Nose-up pitching...............  1.0             +39nmV x (nm-1.
                                                  5)
Nose-down ptiching.............  nm              -39nmV x (nm-1.
                                                  5)
------------------------------------------------------------------------


where--
    (1) nm=positive limit maneuvering load factor used in the 
design of the airplane; and
    (2) V=initial speed in knots.
    The conditions in this paragraph involve loads corresponding to the 
loads that may occur in a ``checked maneuver'' (a maneuver in which the 
pitching control is suddenly displaced in one direction and then 
suddenly moved in the opposite direction). The deflections and timing of 
the ``checked maneuver'' must avoid exceeding the limit maneuvering load 
factor. The total horizontal surface load for both nose-up and nose-down 
pitching conditions is the sum of the balancing loads at V and the 
specified value of the normal load factor n, plus the maneuvering load 
increment due to the specified value of the angular acceleration.

[Amdt. 23-42, 56 FR 353, Jan. 3, 1991; 56 FR 5455, Feb. 11, 1991]



Sec. 23.425  Gust loads.

    (a) Each horizontal surface, other than a main wing, must be 
designed for loads resulting from--
    (1) Gust velocities specified in Sec. 23.333(c) with flaps 
retracted; and
    (2) Positive and negative gusts of 25 f.p.s. nominal intensity at 
VF corresponding to the flight conditions specified in 
Sec. 23.345(a)(2).
    (b) [Reserved]
    (c) When determining the total load on the horizontal surfaces for 
the conditions specified in paragraph (a) of this section, the initial 
balancing loads for steady unaccelerated flight at the pertinent design 
speeds VF, VC, and VD must first be 
determined. The incremental load resulting from the gusts must be added 
to the initial balancing load to obtain the total load.
    (d) In the absence of a more rational analysis, the incremental load 
due to the gust must be computed as follows only on airplane 
configurations with aft-mounted, horizontal surfaces, unless its use 
elsewhere is shown to be conservative:
[GRAPHIC] [TIFF OMITTED] TC28SE91.002

where--

Lht=Incremental horizontal tailload (lbs.);
Kg=Gust alleviation factor defined in Sec. 23.341;
Ude=Derived gust velocity (f.p.s.);
V=Airplane equivalent speed (knots);
aht=Slope of aft horizontal lift curve (per radian)
Sht=Area of aft horizontal lift surface (ft\2\); and
[GRAPHIC] [TIFF OMITTED] TC28SE91.003


[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13089 Aug. 13, 1969; Amdt. 23-42, 56 FR 353, Jan. 3, 1991]



Sec. 23.427  Unsymmetrical loads.

    (a) Horizontal surfaces other than main wing and their supporting 
structure must be designed for unsymmetrical loads arising from yawing 
and

[[Page 210]]

slipstream effects, in combination with the loads prescribed for the 
flight conditions set forth in Secs. 23.421 through 23.425.
    (b) In the absence of more rational data for airplanes that are 
conventional in regard to location of engines, wings, horizontal 
surfaces other than main wing, and fuselage shape:
    (1) 100 percent of the maximum loading from the symmetrical flight 
conditions may be assumed on the surface on one side of the plane of 
symmetry; and
    (2) The following percentage of that loading must be applied to the 
opposite side:

    Percent=100-10 (n-1), where n is the specified positive maneuvering 
load factor, but this value may not be more than 80 percent.

    (c) For airplanes that are not conventional (such as airplanes with 
horizontal surfaces other than main wing having appreciable dihedral or 
supported by the vertical tail surfaces) the surfaces and supporting 
structures must be designed for combined vertical and horizontal surface 
loads resulting from each prescribed flight condition taken separately.

[Amdt. 23-14, 38 FR 31820, Nov. 19, 1973, as amended by Amdt. 23-42, 56 
FR 353, Jan. 3, 1991]

                            Vertical Surfaces



Sec. 23.441  Maneuvering loads.

    (a) At speeds up to VA, the vertical surfaces must be 
designed to withstand the following conditions. In computing the loads, 
the yawing velocity may be assumed to be zero:
    (1) With the airplane in unaccelerated flight at zero yaw, it is 
assumed that the rudder control is suddenly displaced to the maximum 
deflection, as limited by the control stops or by limit pilot forces.
    (2) With the rudder deflected as specified in paragraph (a)(1) of 
this section, it is assumed that the airplane yaws to the overswing 
sideslip angle. In lieu of a rational analysis, an overswing angle equal 
to 1.5 times the static sideslip angle of paragraph (a)(3) of this 
section may be assumed.
    (3) A yaw angle of 15 degrees with the rudder control maintained in 
the neutral position (except as limited by pilot strength).
    (b) For commuter category airplanes, the loads imposed by the 
following additional maneuver must be substantiated at speeds from 
VA to VD/MD. When computing the tail 
loads--
    (1) The airplane must be yawed to the largest attainable steady 
state sideslip angle, with the rudder at maximum deflection caused by 
any one of the following:
    (i) Control surface stops;
    (ii) Maximum available booster effort;
    (iii) Maximum pilot rudder force as shown below:

[[Page 211]]

[GRAPHIC] [TIFF OMITTED] TR09FE96.006

    (2) The rudder must be suddenly displaced from the maximum 
deflection to the neutral position.
    (c) The yaw angles specified in paragraph (a)(3) of this section may 
be reduced if the yaw angle chosen for a particular speed cannot be 
exceeded in--

[[Page 212]]

    (1) Steady slip conditions;
    (2) Uncoordinated rolls from steep banks; or
    (3) Sudden failure of the critical engine with delayed corrective 
action.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13090, Aug. 13, 1969; Amdt. 23-14, 38 FR 31821, Nov. 19, 1973; Amdt. 
23-28, 47 FR 13315, Mar. 29, 1982; Amdt. 23-42, 56 FR 353, Jan. 3, 1991; 
Amdt. 23-48, 61 FR 5145, Feb. 9, 1996]



Sec. 23.443  Gust loads.

    (a) Vertical surfaces must be designed to withstand, in 
unaccelerated flight at speed VC, lateral gusts of the values 
prescribed for VC in Sec. 23.333(c).
    (b) In addition, for commuter category airplanes, the airplane is 
assumed to encounter derived gusts normal to the plane of symmetry while 
in unaccelerated flight at VB, VC, VD, 
and VF. The derived gusts and airplane speeds corresponding 
to these conditions, as determined by Secs. 23.341 and 23.345, must be 
investigated. The shape of the gust must be as specified in 
Sec. 23.333(c)(2)(i).
    (c) In the absence of a more rational analysis, the gust load must 
be computed as follows:
[GRAPHIC] [TIFF OMITTED] TR09FE96.000

Where--

Lvt=Vertical surface loads (lbs.);
[GRAPHIC] [TIFF OMITTED] TR09FE96.001

[GRAPHIC] [TIFF OMITTED] TR09FE96.002

Ude=Derived gust velocity (f.p.s.);
=Air density (slugs/cu.ft.);
W=the applicable weight of the airplane in the particular load case 
(lbs.);
Svt=Area of vertical surface (ft.\2\);
c8t=Mean geometric chord of vertical surface (ft.);
avt=Lift curve slope of vertical surface (per radian);
K=Radius of gyration in yaw (ft.);
lvt=Distance from airplane c.g. to lift center of vertical 
surface (ft.);
g=Acceleration due to gravity (ft./sec.\2\); and
V=Equivalent airspeed (knots).

[Amdt. 23-7, 34 FR 13090, Aug. 13, 1969, as amended by Amdt. 23-34, 52 
FR 1830, Jan. 15, 1987; 52 FR 7262, Mar. 9, 1987; Amdt. 23-24, 52 FR 
34745, Sept. 14, 1987; Amdt. 23-42, 56 FR 353, Jan. 3, 1991; Amdt. 23-
48, 61 FR 5147, Feb. 9, 1996]



Sec. 23.445  Outboard fins or winglets.

    (a) If outboard fins or winglets are included on the horizontal 
surfaces or wings, the horizontal surfaces or wings must be designed for 
their maximum load in combination with loads induced by the fins or 
winglets and moments or forces exerted on the horizontal surfaces or 
wings by the fins or winglets.
    (b) If outboard fins or winglets extend above and below the 
horizontal surface, the critical vertical surface loading (the load per 
unit area as determined under Secs. 23.441 and 23.443) must be applied 
to--
    (1) The part of the vertical surfaces above the horizontal surface 
with 80 percent of that loading applied to the part below the horizontal 
surface; and
    (2) The part of the vertical surfaces below the horizontal surface 
with 80 percent of that loading applied to the part above the horizontal 
surface.
    (c) The end plate effects of outboard fins or winglets must be taken 
into account in applying the yawing conditions of Secs. 23.441 and 
23.443 to the vertical surfaces in paragraph (b) of this section.
    (d) When rational methods are used for computing loads, the 
maneuvering loads of Sec. 23.441 on the vertical surfaces and the one-g 
horizontal surface load, including induced loads on the horizontal 
surface and moments or forces exerted on the horizontal surfaces by the 
vertical surfaces, must be applied simultaneously for the structural 
loading condition.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-14, 
38 FR 31821, Nov. 19, 1973; Amdt. 23-42, 56 FR 353, Jan. 3, 1991]

                      Ailerons and Special Devices



Sec. 23.455  Ailerons.

    (a) The ailerons must be designed for the loads to which they are 
subjected--

[[Page 213]]

    (1) In the neutral position during symmetrical flight conditions; 
and
    (2) By the following deflections (except as limited by pilot 
effort), during unsymmetrical flight conditions:
    (i) Sudden maximum displacement of the aileron control at 
VA. Suitable allowance may be made for control system 
deflections.
    (ii) Sufficient deflection at VC, where VC is 
more than VA, to produce a rate of roll not less than 
obtained in paragraph (a)(2)(i) of this section.
    (iii) Sufficient deflection at VD to produce a rate of 
roll not less than one-third of that obtained in paragraph (a)(2)(i) of 
this section.
    (b) [Reserved]

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13090, Aug. 13, 1969; Amdt. 23-42, 56 FR 353, Jan. 3, 1991]



Sec. 23.459  Special devices.

    The loading for special devices using aerodynamic surfaces (such as 
slots and spoilers) must be determined from test data.

                              Ground Loads



Sec. 23.471  General.

    The limit ground loads specified in this subpart are considered to 
be external loads and inertia forces that act upon an airplane 
structure. In each specified ground load condition, the external 
reactions must be placed in equilibrium with the linear and angular 
inertia forces in a rational or conservative manner.



Sec. 23.473  Ground load conditions and assumptions.

    (a) The ground load requirements of this subpart must be complied 
with at the design maximum weight except that Secs. 23.479, 23.481, and 
23.483 may be complied with at a design landing weight (the highest 
weight for landing conditions at the maximum descent velocity) allowed 
under paragraphs (b) and (c) of this section.
    (b) The design landing weight may be as low as--
    (1) 95 percent of the maximum weight if the minimum fuel capacity is 
enough for at least one-half hour of operation at maximum continuous 
power plus a capacity equal to a fuel weight which is the difference 
between the design maximum weight and the design landing weight; or
    (2) The design maximum weight less the weight of 25 percent of the 
total fuel capacity.
    (c) The design landing weight of a multiengine airplane may be less 
than that allowed under paragraph (b) of this section if--
    (1) The airplane meets the one-engine-inoperative climb requirements 
of Sec. 23.67(b)(1) or (c); and
    (2) Compliance is shown with the fuel jettisoning system 
requirements of Sec. 23.1001.
    (d) The selected limit vertical inertia load factor at the center of 
gravity of the airplane for the ground load conditions prescribed in 
this subpart may not be less than that which would be obtained when 
landing with a descent velocity (V), in feet per second, equal to 4.4 
(W/S)\1/4\, except that this velocity need not be more than 10 feet per 
second and may not be less than seven feet per second.
    (e) Wing lift not exceeding two-thirds of the weight of the airplane 
may be assumed to exist throughout the landing impact and to act through 
the center of gravity. The ground reaction load factor may be equal to 
the inertia load factor minus the ratio of the above assumed wing lift 
to the airplane weight.
    (f) If energy absorption tests are made to determine the limit load 
factor corresponding to the required limit descent velocities, these 
tests must be made under Sec. 23.723(a).
    (g) No inertia load factor used for design purposes may be less than 
2.67, nor may the limit ground reaction load factor be less than 2.0 at 
design maximum weight, unless these lower values will not be exceeded in 
taxiing at speeds up to takeoff speed over terrain as rough as that 
expected in service.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13090, Aug. 13, 1969; Amdt. 23-28, 47 FR 13315, Mar. 29, 1982; Amdt. 
23-45, 58 FR 42160, Aug. 6, 1993; Amdt. 23-48, 61 FR 5147, Feb. 9, 1996]



Sec. 23.477  Landing gear arrangement.

    Sections 23.479 through 23.483, or the conditions in appendix C, 
apply to airplanes with conventional arrangements

[[Page 214]]

of main and nose gear, or main and tail gear.



Sec. 23.479  Level landing conditions.

    (a) For a level landing, the airplane is assumed to be in the 
following attitudes:
    (1) For airplanes with tail wheels, a normal level flight attitude.
    (2) For airplanes with nose wheels, attitudes in which--
    (i) The nose and main wheels contact the ground simultaneously; and
    (ii) The main wheels contact the ground and the nose wheel is just 
clear of the ground.

The attitude used in paragraph (a)(2)(i) of this section may be used in 
the analysis required under paragraph (a)(2)(ii) of this section.
    (b) When investigating landing conditions, the drag components 
simulating the forces required to accelerate the tires and wheels up to 
the landing speed (spin-up) must be properly combined with the 
corresponding instantaneous vertical ground reactions, and the forward-
acting horizontal loads resulting from rapid reduction of the spin-up 
drag loads (spring-back) must be combined with vertical ground reactions 
at the instant of the peak forward load, assuming wing lift and a tire-
sliding coefficient of friction of 0.8. However, the drag loads may not 
be less than 25 percent of the maximum vertical ground reactions 
(neglecting wing lift).
    (c) In the absence of specific tests or a more rational analysis for 
determining the wheel spin-up and spring-back loads for landing 
conditions, the method set forth in appendix D of this part must be 
used. If appendix D of this part is used, the drag components used for 
design must not be less than those given by appendix C of this part.
    (d) For airplanes with tip tanks or large overhung masses (such as 
turbo-propeller or jet engines) supported by the wing, the tip tanks and 
the structure supporting the tanks or overhung masses must be designed 
for the effects of dynamic responses under the level landing conditions 
of either paragraph (a)(1) or (a)(2)(ii) of this section. In evaluating 
the effects of dynamic response, an airplane lift equal to the weight of 
the airplane may be assumed.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-17, 
41 FR 55464, Dec. 20, 1976; Amdt. 23-45, 58 FR 42160, Aug. 6, 1993]



Sec. 23.481  Tail down landing conditions.

    (a) For a tail down landing, the airplane is assumed to be in the 
following attitudes:
    (1) For airplanes with tail wheels, an attitude in which the main 
and tail wheels contact the ground simultaneously.
    (2) For airplanes with nose wheels, a stalling attitude, or the 
maximum angle allowing ground clearance by each part of the airplane, 
whichever is less.
    (b) For airplanes with either tail or nose wheels, ground reactions 
are assumed to be vertical, with the wheels up to speed before the 
maximum vertical load is attained.



Sec. 23.483  One-wheel landing conditions.

    For the one-wheel landing condition, the airplane is assumed to be 
in the level attitude and to contact the ground on one side of the main 
landing gear. In this attitude, the ground reactions must be the same as 
those obtained on that side under Sec. 23.479.



Sec. 23.485  Side load conditions.

    (a) For the side load condition, the airplane is assumed to be in a 
level attitude with only the main wheels contacting the ground and with 
the shock absorbers and tires in their static positions.
    (b) The limit vertical load factor must be 1.33, with the vertical 
ground reaction divided equally between the main wheels.
    (c) The limit side inertia factor must be 0.83, with the side ground 
reaction divided between the main wheels so that--
    (1) 0.5 (W) is acting inboard on one side; and
    (2) 0.33 (W) is acting outboard on the other side.
    (d) The side loads prescribed in paragraph (c) of this section are 
assumed to be applied at the ground contact point

[[Page 215]]

and the drag loads may be assumed to be zero.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42160, Aug. 6, 1993]



Sec. 23.493  Braked roll conditions.

    Under braked roll conditions, with the shock absorbers and tires in 
their static positions, the following apply:
    (a) The limit vertical load factor must be 1.33.
    (b) The attitudes and ground contacts must be those described in 
Sec. 23.479 for level landings.
    (c) A drag reaction equal to the vertical reaction at the wheel 
multiplied by a coefficient of friction of 0.8 must be applied at the 
ground contact point of each wheel with brakes, except that the drag 
reaction need not exceed the maximum value based on limiting brake 
torque.



Sec. 23.497  Supplementary conditions for tail wheels.

    In determining the ground loads on the tail wheel and affected 
supporting structures, the following apply:
    (a) For the obstruction load, the limit ground reaction obtained in 
the tail down landing condition is assumed to act up and aft through the 
axle at 45 degrees. The shock absorber and tire may be assumed to be in 
their static positions.
    (b) For the side load, a limit vertical ground reaction equal to the 
static load on the tail wheel, in combination with a side component of 
equal magnitude, is assumed. In addition--
    (1) If a swivel is used, the tail wheel is assumed to be swiveled 90 
degrees to the airplane longitudinal axis with the resultant ground load 
passing through the axle;
    (2) If a lock, steering device, or shimmy damper is used, the tail 
wheel is also assumed to be in the trailing position with the side load 
acting at the ground contact point; and
    (3) The shock absorber and tire are assumed to be in their static 
positions.
    (c) If a tail wheel, bumper, or an energy absorption device is 
provided to show compliance with Sec. 23.925(b), the following apply:
    (1) Suitable design loads must be established for the tail wheel, 
bumper, or energy absorption device; and
    (2) The supporting structure of the tail wheel, bumper, or energy 
absorption device must be designed to withstand the loads established in 
paragraph (c)(1) of this section.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-48, 
61 FR 5147, Feb. 9, 1996]



Sec. 23.499  Supplementary conditions for nose wheels.

    In determining the ground loads on nose wheels and affected 
supporting structures, and assuming that the shock absorbers and tires 
are in their static positions, the following conditions must be met:
    (a) For aft loads, the limit force components at the axle must be--
    (1) A vertical component of 2.25 times the static load on the wheel; 
and
    (2) A drag component of 0.8 times the vertical load.
    (b) For forward loads, the limit force components at the axle must 
be--
    (1) A vertical component of 2.25 times the static load on the wheel; 
and
    (2) A forward component of 0.4 times the vertical load.
    (c) For side loads, the limit force components at ground contact 
must be--
    (1) A vertical component of 2.25 times the static load on the wheel; 
and
    (2) A side component of 0.7 times the vertical load.
    (d) For airplanes with a steerable nose wheel that is controlled by 
hydraulic or other power, at design takeoff weight with the nose wheel 
in any steerable position, the application of 1.33 times the full 
steering torque combined with a vertical reaction equal to 1.33 times 
the maximum static reaction on the nose gear must be assumed. However, 
if a torque limiting device is installed, the steering torque can be 
reduced to the maximum value allowed by that device.
    (e) For airplanes with a steerable nose wheel that has a direct 
mechanical connection to the rudder pedals, the mechanism must be 
designed to withstand the steering torque for the

[[Page 216]]

maximum pilot forces specified in Sec. 23.397(b).

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-48, 
61 FR 5147, Feb. 9, 1996]



Sec. 23.505  Supplementary conditions for skiplanes.

    In determining ground loads for skiplanes, and assuming that the 
airplane is resting on the ground with one main ski frozen at rest and 
the other skis free to slide, a limit side force equal to 0.036 times 
the design maximum weight must be applied near the tail assembly, with a 
factor of safety of 1.

[Amdt. 23-7, 34 FR 13090, Aug. 13, 1969]



Sec. 23.507  Jacking loads.

    (a) The airplane must be designed for the loads developed when the 
aircraft is supported on jacks at the design maximum weight assuming the 
following load factors for landing gear jacking points at a three-point 
attitude and for primary flight structure jacking points in the level 
attitude:
    (1) Vertical-load factor of 1.35 times the static reactions.
    (2) Fore, aft, and lateral load factors of 0.4 times the vertical 
static reactions.
    (b) The horizontal loads at the jack points must be reacted by 
inertia forces so as to result in no change in the direction of the 
resultant loads at the jack points.
    (c) The horizontal loads must be considered in all combinations with 
the vertical load.

[Amdt. 23-14, 38 FR 31821, Nov. 19, 1973]



Sec. 23.509  Towing loads.

    The towing loads of this section must be applied to the design of 
tow fittings and their immediate attaching structure.
    (a) The towing loads specified in paragraph (d) of this section must 
be considered separately. These loads must be applied at the towing 
fittings and must act parallel to the ground. In addition:
    (1) A vertical load factor equal to 1.0 must be considered acting at 
the center of gravity; and
    (2) The shock struts and tires must be in there static positions.
    (b) For towing points not on the landing gear but near the plane of 
symmetry of the airplane, the drag and side tow load components 
specified for the auxiliary gear apply. For towing points located 
outboard of the main gear, the drag and side tow load components 
specified for the main gear apply. Where the specified angle of swivel 
cannot be reached, the maximum obtainable angle must be used.
    (c) The towing loads specified in paragraph (d) of this section must 
be reacted as follows:
    (1) The side component of the towing load at the main gear must be 
reacted by a side force at the static ground line of the wheel to which 
the load is applied.
    (2) The towing loads at the auxiliary gear and the drag components 
of the towing loads at the main gear must be reacted as follows:
    (i) A reaction with a maximum value equal to the vertical reaction 
must be applied at the axle of the wheel to which the load is applied. 
Enough airplane inertia to achieve equilibrium must be applied.
    (ii) The loads must be reacted by airplane inertia.
    (d) The prescribed towing loads are as follows, where W is the 
design maximum weight:

----------------------------------------------------------------------------------------------------------------
                                                                                        Load
               Tow point                         Position         ----------------------------------------------
                                                                    Magnitude    No.            Direction
----------------------------------------------------------------------------------------------------------------
Main gear.............................  .........................      0.225W        1  Forward, parallel to
                                                                                     2   drag axis.
                                                                                     3  Forward, at 30 deg. to
                                                                                     4   drag axis.
                                                                                        Aft, parallel to drag
                                                                                         axis.
                                                                                        Aft, at 30 deg. to drag
                                                                                         axis.
----------------------------------------------------------------------------------------------------------------
Auxiliary gear........................  Swiveled forward.........        0.3W        5  Forward.
                                                                                     6  Aft.
                                        Swiveled aft.............        0.3W        7  Forward.
                                                                                     8  Aft.

[[Page 217]]

 
                                        Swiveled 45 deg. from           0.15W        9  Forward, in plane of
                                         forward.                                   10   wheel.
                                                                                        Aft, in plane of wheel.
                                        Swiveled 45 deg. from aft       0.15W       11  Forward, in plane of
                                                                                    12   wheel.
                                                                                        Aft, in plane of wheel.
----------------------------------------------------------------------------------------------------------------


[Amdt. 23-14, 38 FR 31821, Nov. 19, 1973]



Sec. 23.511  Ground load; unsymmetrical loads on multiple-wheel units.

    (a) Pivoting loads. The airplane is assumed to pivot about on side 
of the main gear with--
    (1) The brakes on the pivoting unit locked; and
    (2) Loads corresponding to a limit vertical load factor of 1, and 
coefficient of friction of 0.8 applied to the main gear and its 
supporting structure.
    (b) Unequal tire loads. The loads established under Secs. 23.471 
through 23.483 must be applied in turn, in a 60/40 percent distribution, 
to the dual wheels and tires in each dual wheel landing gear unit.
    (c) Deflated tire loads. For the deflated tire condition--
    (1) 60 percent of the loads established under Secs. 23.471 through 
23.483 must be applied in turn to each wheel in a landing gear unit; and
    (2) 60 percent of the limit drag and side loads, and 100 percent of 
the limit vertical load established under Secs. 23.485 and 23.493 or 
lesser vertical load obtained under paragraph (c)(1) of this section, 
must be applied in turn to each wheel in the dual wheel landing gear 
unit.

[Amdt. 23-7, 34 FR 13090, Aug. 13, 1969]

                               Water Loads



Sec. 23.521  Water load conditions.

    (a) The structure of seaplanes and amphibians must be designed for 
water loads developed during takeoff and landing with the seaplane in 
any attitude likely to occur in normal operation at appropriate forward 
and sinking velocities under the most severe sea conditions likely to be 
encountered.
    (b) Unless the applicant makes a rational analysis of the water 
loads, Secs. 23.523 through 23.537 apply.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42160, Aug. 6, 1993; Amdt. 23-48, 61 FR 5147, Feb. 9, 1996]



Sec. 23.523  Design weights and center of gravity positions.

    (a) Design weights. The water load requirements must be met at each 
operating weight up to the design landing weight except that, for the 
takeoff condition prescribed in Sec. 23.531, the design water takeoff 
weight (the maximum weight for water taxi and takeoff run) must be used.
    (b) Center of gravity positions. The critical centers of gravity 
within the limits for which certification is requested must be 
considered to reach maximum design loads for each part of the seaplane 
structure.

[Doc. No. 26269, 58 FR 42160, Aug. 6, 1993]



Sec. 23.525  Application of loads.

    (a) Unless otherwise prescribed, the seaplane as a whole is assumed 
to be subjected to the loads corresponding to the load factors specified 
in Sec. 23.527.
    (b) In applying the loads resulting from the load factors prescribed 
in Sec. 23.527, the loads may be distributed over the hull or main float 
bottom (in order to avoid excessive local shear loads and bending 
moments at the location of water load application) using pressures not 
less than those prescribed in Sec. 23.533(c).
    (c) For twin float seaplanes, each float must be treated as an 
equivalent hull on a fictitious seaplane with a weight equal to one-half 
the weight of the twin float seaplane.
    (d) Except in the takeoff condition of Sec. 23.531, the aerodynamic 
lift on the

[[Page 218]]

seaplane during the impact is assumed to be \2/3\ of the weight of the 
seaplane.

[Doc. No. 26269, 58 FR 42161, Aug. 6, 1993; 58 FR 51970, Oct. 5, 1993]



Sec. 23.527  Hull and main float load factors.

    (a) Water reaction load factors nw must be computed in 
the following manner:
    (1) For the step landing case
    [GRAPHIC] [TIFF OMITTED] TC28SE91.004
    
    (2) For the bow and stern landing cases
    [GRAPHIC] [TIFF OMITTED] TC28SE91.005
    
    (b) The following values are used:
    (1) nw=water reaction load factor (that is, the water 
reaction divided by seaplane weight).
    (2) C1=empirical seaplane operations factor equal to 
0.012 (except that this factor may not be less than that necessary to 
obtain the minimum value of step load factor of 2.33).
    (3) VSO=seaplane stalling speed in knots with flaps 
extended in the appropriate landing position and with no slipstream 
effect.
    (4) =Angle of dead rise at the longitudinal station at 
which the load factor is being determined in accordance with figure 1 of 
appendix I of this part.
    (5) W=seaplane landing weight in pounds.
    (6) K1=empirical hull station weighing factor, in 
accordance with figure 2 of appendix I of this part.
    (7) rx=ratio of distance, measured parallel to hull 
reference axis, from the center of gravity of the seaplane to the hull 
longitudinal station at which the load factor is being computed to the 
radius of gyration in pitch of the seaplane, the hull reference axis 
being a straight line, in the plane of symmetry, tangential to the keel 
at the main step.
    (c) For a twin float seaplane, because of the effect of flexibility 
of the attachment of the floats to the seaplane, the factor K1 
may be reduced at the bow and stern to 0.8 of the value shown in figure 
2 of appendix I of this part. This reduction applies only to the design 
of the carrythrough and seaplane structure.

[Doc. No. 26269, 58 FR 42161, Aug. 6, 1993; 58 FR 51970, Oct. 5, 1993]



Sec. 23.529  Hull and main float landing conditions.

    (a) Symmetrical step, bow, and stern landing. For symmetrical step, 
bow, and stern landings, the limit water reaction load factors are those 
computed under Sec. 23.527. In addition--
    (1) For symmetrical step landings, the resultant water load must be 
applied at the keel, through the center of gravity, and must be directed 
perpendicularly to the keel line;
    (2) For symmetrical bow landings, the resultant water load must be 
applied at the keel, one-fifth of the longitudinal distance from the bow 
to the step, and must be directed perpendicularly to the keel line; and
    (3) For symmetrical stern landings, the resultant water load must be 
applied at the keel, at a point 85 percent of the longitudinal distance 
from the step to the stern post, and must be directed perpendicularly to 
the keel line.
    (b) Unsymmetrical landing for hull and single float seaplanes. 
Unsymmetrical step, bow, and stern landing conditions must be 
investigated. In addition--
    (1) The loading for each condition consists of an upward component 
and a side component equal, respectively, to 0.75 and 0.25 tan  
times the resultant load in the corresponding symmetrical landing 
condition; and
    (2) The point of application and direction of the upward component 
of the load is the same as that in the symmetrical condition, and the 
point of application of the side component is at the same longitudinal 
station as the upward component but is directed inward perpendicularly 
to the plane of symmetry at a point midway between the keel and chine 
lines.
    (c) Unsymmetrical landing; twin float seaplanes. The unsymmetrical 
loading consists of an upward load at the step of each float of 0.75 and 
a side load of 0.25 tan  at one float times the step landing 
load reached under Sec. 23.527. The

[[Page 219]]

side load is directed inboard, perpendicularly to the plane of symmetry 
midway between the keel and chine lines of the float, at the same 
longitudinal station as the upward load.

[Doc. No. 26269, 58 FR 42161, Aug. 6, 1993]



Sec. 23.531  Hull and main float takeoff condition.

    For the wing and its attachment to the hull or main float--
    (a) The aerodynamic wing lift is assumed to be zero; and
    (b) A downward inertia load, corresponding to a load factor computed 
from the following formula, must be applied:
[GRAPHIC] [TIFF OMITTED] TC28SE91.006

Where--
n=inertia load factor;
CTO=empirical seaplane operations factor equal to 0.004;
VS1=seaplane stalling speed (knots) at the design takeoff 
    weight with the flaps extended in the appropriate takeoff position;
=angle of dead rise at the main step (degrees); and
W=design water takeoff weight in pounds.

[Doc. No. 26269, 58 FR 42161, Aug. 6, 1993]



Sec. 23.533  Hull and main float bottom pressures.

    (a) General. The hull and main float structure, including frames and 
bulkheads, stringers, and bottom plating, must be designed under this 
section.
    (b) Local pressures. For the design of the bottom plating and 
stringers and their attachments to the supporting structure, the 
following pressure distributions must be applied:
    (1) For an unflared bottom, the pressure at the chine is 0.75 times 
the pressure at the keel, and the pressures between the keel and chine 
vary linearly, in accordance with figure 3 of appendix I of this part. 
The pressure at the keel (p.s.i.) is computed as follows:
[GRAPHIC] [TIFF OMITTED] TC28SE91.007

where--
Pk=pressure (p.s.i.) at the keel;
C2=0.00213;
K2=hull station weighing factor, in accordance with figure 2 
    of appendix I of this part;
VS1=seaplane stalling speed (knots) at the design water 
    takeoff weight with flaps extended in the appropriate takeoff 
    position; and
K=angle of dead rise at keel, in accordance with 
    figure 1 of appendix I of this part.

    (2) For a flared bottom, the pressure at the beginning of the flare 
is the same as that for an unflared bottom, and the pressure between the 
chine and the beginning of the flare varies linearly, in accordance with 
figure 3 of appendix I of this part. The pressure distribution is the 
same as that prescribed in paragraph (b)(1) of this section for an 
unflared bottom except that the pressure at the chine is computed as 
follows:
[GRAPHIC] [TIFF OMITTED] TC28SE91.008

where--
Pch=pressure (p.s.i.) at the chine;
C3=0.0016;
K2=hull station weighing factor, in accordance with figure 2 
    of appendix I of this part;
VS1=seaplane stalling speed (knots) at the design water 
    takeoff weight with flaps extended in the appropriate takeoff 
    position; and
=angle of dead rise at appropriate station.

    The area over which these pressures are applied must simulate 
pressures occurring during high localized impacts on the hull or float, 
but need not extend over an area that would induce critical stresses in 
the frames or in the overall structure.
    (c) Distributed pressures. For the design of the frames, keel, and 
chine structure, the following pressure distributions apply:

[[Page 220]]

    (1) Symmetrical pressures are computed as follows:
    [GRAPHIC] [TIFF OMITTED] TC28SE91.009
    
where--
P=pressure (p.s.i.);
C4=0.078 C1 (with C1 computed under 
    Sec. 23.527);
K2=hull station weighing factor, determined in accordance 
    with figure 2 of appendix I of this part;
VS0=seaplane stalling speed (knots) with landing flaps 
    extended in the appropriate position and with no slipstream effect; 
    and
=angle of dead rise at appropriate station.

    (2) The unsymmetrical pressure distribution consists of the 
pressures prescribed in paragraph (c)(1) of this section on one side of 
the hull or main float centerline and one-half of that pressure on the 
other side of the hull or main float centerline, in accordance with 
figure 3 of appendix I of this part.
    (3) These pressures are uniform and must be applied simultaneously 
over the entire hull or main float bottom. The loads obtained must be 
carried into the sidewall structure of the hull proper, but need not be 
transmitted in a fore and aft direction as shear and bending loads.

[Doc. No. 26269, 58 FR 42161, Aug. 6, 1993; 58 FR 51970, Oct. 5, 1993]



Sec. 23.535  Auxiliary float loads.

    (a) General. Auxiliary floats and their attachments and supporting 
structures must be designed for the conditions prescribed in this 
section. In the cases specified in paragraphs (b) through (e) of this 
section, the prescribed water loads may be distributed over the float 
bottom to avoid excessive local loads, using bottom pressures not less 
than those prescribed in paragraph (g) of this section.
    (b) Step loading. The resultant water load must be applied in the 
plane of symmetry of the float at a point three-fourths of the distance 
from the bow to the step and must be perpendicular to the keel. The 
resultant limit load is computed as follows, except that the value of L 
need not exceed three times the weight of the displaced water when the 
float is completely submerged:
[GRAPHIC] [TIFF OMITTED] TC28SE91.010

where--
L=limit load (lbs.);
C5=0.0053;
VS0=seaplane stalling speed (knots) with landing flaps 
    extended in the appropriate position and with no slipstream effect;
W=seaplane design landing weight in pounds;
s=angle of dead rise at a station \3/4\ of the distance from 
    the bow to the step, but need not be less than 15 degrees; and
ry=ratio of the lateral distance between the center of 
    gravity and the plane of symmetry of the float to the radius of 
    gyration in roll.

    (c) Bow loading. The resultant limit load must be applied in the 
plane of symmetry of the float at a point one-fourth of the distance 
from the bow to the step and must be perpendicular to the tangent to the 
keel line at that point. The magnitude of the resultant load is that 
specified in paragraph (b) of this section.
    (d) Unsymmetrical step loading. The resultant water load consists of 
a component equal to 0.75 times the load specified in paragraph (a) of 
this section and a side component equal to 0.025 tan  times the 
load specified in paragraph (b) of this section. The side load must be 
applied perpendicularly to the plane of symmetry of the float at a point 
midway between the keel and the chine.
    (e) Unsymmetrical bow loading. The resultant water load consists of 
a component equal to 0.75 times the load specified in paragraph (b) of 
this section and a side component equal to 0.25 tan  times the 
load specified in paragraph (c) of this section. The side load must be 
applied perpendicularly to the plane of symmetry at a point midway 
between the keel and the chine.
    (f) Immersed float condition. The resultant load must be applied at 
the centroid of the cross section of the

[[Page 221]]

float at a point one-third of the distance from the bow to the step. The 
limit load components are as follows:
[GRAPHIC] [TIFF OMITTED] TC28SE91.011

where--
P=mass density of water (slugs/ft.\3\)
V=volume of float (ft.\3\);
CX=coefficient of drag force, equal to 0.133;
Cy=coefficient of side force, equal to 0.106;
K=0.8, except that lower values may be used if it is shown that the 
    floats are incapable of submerging at a speed of 0.8 Vso 
    in normal operations;
Vso=seaplane stalling speed (knots) with landing flaps 
    extended in the appropriate position and with no slipstream effect; 
    and
g=acceleration due to gravity (ft/sec\2\).
    (g) Float bottom pressures. The float bottom pressures must be 
established under Sec. 23.533, except that the value of K2 in 
the formulae may be taken as 1.0. The angle of dead rise to be used in 
determining the float bottom pressures is set forth in paragraph (b) of 
this section.

[Doc. No. 26269, 58 FR 42162, Aug. 6, 1993; 58 FR 51970, Oct. 5, 1993]



Sec. 23.537  Seawing loads.

    Seawing design loads must be based on applicable test data.

[Doc. No. 26269, 58 FR 42163, Aug. 6, 1993]

                      Emergency Landing Conditions



Sec. 23.561  General.

    (a) The airplane, although it may be damaged in emergency landing 
conditions, must be designed as prescribed in this section to protect 
each occupant under those conditions.
    (b) The structure must be designed to give each occupant every 
reasonable chance of escaping serious injury when--
    (1) Proper use is made of the seats, safety belts, and shoulder 
harnesses provided for in the design;
    (2) The occupant experiences the static inertia loads corresponding 
to the following ultimate load factors--
    (i) Upward, 3.0g for normal, utility, and commuter category 
airplanes, or 4.5g for acrobatic category airplanes;
    (ii) Forward, 9.0g;
    (iii) Sideward, 1.5g; and
    (iv) Downward, 6.0g when certification to the emergency exit 
provisions of Sec. 23.807(d)(4) is requested; and
    (3) The items of mass within the cabin, that could injure an 
occupant, experience the static inertia loads corresponding to the 
following ultimate load factors--
    (i) Upward, 3.0g;
    (ii) Forward, 18.0g; and
    (iii) Sideward, 4.5g.
    (c) Each airplane with retractable landing gear must be designed to 
protect each occupant in a landing--
    (1) With the wheels retracted;
    (2) With moderate descent velocity; and
    (3) Assuming, in the absence of a more rational analysis--
    (i) A downward ultimate inertia force of 3 g; and
    (ii) A coefficient of friction of 0.5 at the ground.
    (d) If it is not established that a turnover is unlikely during an 
emergency landing, the structure must be designed to protect the 
occupants in a complete turnover as follows:
    (1) The likelihood of a turnover may be shown by an analysis 
assuming the following conditions--
    (i) The most adverse combination of weight and center of gravity 
position;
    (ii) Longitudinal load factor of 9.0g;
    (iii) Vertical load factor of 1.0g; and
    (iv) For airplanes with tricycle landing gear, the nose wheel strut 
failed with the nose contacting the ground.
    (i) Maximum weight;
    (ii) Most forward center of gravity position;
    (iii) Longitudinal load factor of 9.0g;
    (iv) Vertical load factor of 1.0g; and
    (v) For airplanes with tricycle landing gear, the nose wheel strut 
failed with the nose contacting the ground.
    (2) For determining the loads to be applied to the inverted airplane 
after a

[[Page 222]]

turnover, an upward ultimate inertia load factor of 3.0g and a 
coefficient of friction with the ground of 0.5 must be used.
    (e) Except as provided in Sec. 23.787(c), the supporting structure 
must be designed to restrain, under loads up to those specified in 
paragraph (b)(3) of this section, each item of mass that could injure an 
occupant if it came loose in a minor crash landing.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13090, Aug. 13, 1969; Amdt. 23-24, 52 FR 34745, Sept. 14, 1987; Amdt. 
23-36, 53 FR 30812, Aug. 15, 1988; Amdt. 23-46, 59 FR 25772, May 17, 
1994; Amdt. 23-48, 61 FR 5147, Feb. 9, 1996]



Sec. 23.562  Emergency landing dynamic conditions.

    (a) Each seat/restraint system for use in a normal, utility, or 
acrobatic category airplane must be designed to protect each occupant 
during an emergency landing when--
    (1) Proper use is made of seats, safety belts, and shoulder 
harnesses provided for in the design; and
    (2) The occupant is exposed to the loads resulting from the 
conditions prescribed in this section.
    (b) Except for those seat/restraint systems that are required to 
meet paragraph (d) of this section, each seat/restraint system for crew 
or passenger occupancy in a normal, utility, or acrobatic category 
airplane, must successfully complete dynamic tests or be demonstrated by 
rational analysis supported by dynamic tests, in accordance with each of 
the following conditions. These tests must be conducted with an occupant 
simulated by an anthropomorphic test dummy (ATD) defined by 49 CFR Part 
572, Subpart B, or an FAA-approved equivalent, with a nominal weight of 
170 pounds and seated in the normal upright position.
    (1) For the first test, the change in velocity may not be less than 
31 feet per second. The seat/restraint system must be oriented in its 
nominal position with respect to the airplane and with the horizontal 
plane of the airplane pitched up 60 degrees, with no yaw, relative to 
the impact vector. For seat/restraint systems to be installed in the 
first row of the airplane, peak deceleration must occur in not more than 
0.05 seconds after impact and must reach a minimum of 19g. For all other 
seat/restraint systems, peak deceleration must occur in not more than 
0.06 seconds after impact and must reach a minimum of 15g.
    (2) For the second test, the change in velocity may not be less than 
42 feet per second. The seat/restraint system must be oriented in its 
nominal position with respect to the airplane and with the vertical 
plane of the airplane yawed 10 degrees, with no pitch, relative to the 
impact vector in a direction that results in the greatest load on the 
shoulder harness. For seat/restraint systems to be installed in the 
first row of the airplane, peak deceleration must occur in not more than 
0.05 seconds after impact and must reach a minimum of 26g. For all other 
seat/restraint systems, peak deceleration must occur in not more than 
0.06 seconds after impact and must reach a minimum of 21g.
    (3) To account for floor warpage, the floor rails or attachment 
devices used to attach the seat/restraint system to the airframe 
structure must be preloaded to misalign with respect to each other by at 
least 10 degrees vertically (i.e., pitch out of parallel) and one of the 
rails or attachment devices must be preloaded to misalign by 10 degrees 
in roll prior to conducting the test defined by paragraph (b)(2) of this 
section.
    (c) Compliance with the following requirements must be shown during 
the dynamic tests conducted in accordance with paragraph (b) of this 
section:
    (1) The seat/restraint system must restrain the ATD although seat/
restraint system components may experience deformation, elongation, 
displacement, or crushing intended as part of the design.
    (2) The attachment between the seat/restraint system and the test 
fixture must remain intact, although the seat structure may have 
deformed.
    (3) Each shoulder harness strap must remain on the ATD's shoulder 
during the impact.
    (4) The safety belt must remain on the ATD's pelvis during the 
impact.
    (5) The results of the dynamic tests must show that the occupant is 
protected from serious head injury.

[[Page 223]]

    (i) When contact with adjacent seats, structure, or other items in 
the cabin can occur, protection must be provided so that the head impact 
does not exceed a head injury criteria (HIC) of 1,000.
    (ii) The value of HIC is defined as--
    [GRAPHIC] [TIFF OMITTED] TC28SE91.012
    
Where: t1 is the initial integration time, expressed in 
          seconds, t2 is the final integration time, 
          expressed in seconds, (t2- t1) is the 
          time duration of the major head impact, expressed in seconds, 
          and a(t) is the resultant deceleration at the center of 
          gravity of the head form expressed as a multiple of g (units 
          of gravity).

    (iii) Compliance with the HIC limit must be demonstrated by 
measuring the head impact during dynamic testing as prescribed in 
paragraphs (b)(1) and (b)(2) of this section or by a separate showing of 
compliance with the head injury criteria using test or analysis 
procedures.
    (6) Loads in individual shoulder harness straps may not exceed 1,750 
pounds. If dual straps are used for retaining the upper torso, the total 
strap loads may not exceed 2,000 pounds.
    (7) The compression load measured between the pelvis and the lumbar 
spine of the ATD may not exceed 1,500 pounds.
    (d) For all single-engine airplanes with a VSO of more 
than 61 knots at maximum weight, and those multiengine airplanes of 
6,000 pounds or less maximum weight with a VSO of more than 
61 knots at maximum weight that do not comply with Sec. 23.67(a)(1);
    (1) The ultimate load factors of Sec. 23.561(b) must be increased by 
multiplying the load factors by the square of the ratio of the increased 
stall speed to 61 knots. The increased ultimate load factors need not 
exceed the values reached at a VS0 of 79 knots. The upward 
ultimate load factor for acrobatic category airplanes need not exceed 
5.0g.
    (2) The seat/restraint system test required by paragraph (b)(1) of 
this section must be conducted in accordance with the following 
criteria:
    (i) The change in velocity may not be less than 31 feet per second.
    (ii)(A) The peak deceleration (gp) of 19g and 15g must be 
increased and multiplied by the square of the ratio of the increased 
stall speed to 61 knots:

gp=19.0 (VS0/61)\2\ or gp=15.0 
(VS0/61)\2\

    (B) The peak deceleration need not exceed the value reached at a 
VS0 of 79 knots.
    (iii) The peak deceleration must occur in not more than time 
(tr), which must be computed as follows:
[GRAPHIC] [TIFF OMITTED] TC28SE91.013

where--
gp=The peak deceleration calculated in accordance with 
          paragraph (d)(2)(ii) of this section
tr=The rise time (in seconds) to the peak deceleration.
    (e) An alternate approach that achieves an equivalent, or greater, 
level of occupant protection to that required by this section may be 
used if substantiated on a rational basis.

[Amdt. 23-36, 53 FR 30812, Aug. 15, 1988, as amended by Amdt. 23-44, 58 
FR 38639, July 19, 1993; Amdt. 23-50, 61 FR 5192, Feb. 9, 1996]

                           Fatigue Evaluation



Sec. 23.571  Metallic pressurized cabin structures.

    For normal, utility, and acrobatic category airplanes, the strength, 
detail design, and fabrication of the metallic structure of the pressure 
cabin must be evaluated under one of the following:
    (a) A fatigue strength investigation in which the structure is shown 
by tests, or by analysis supported by test evidence, to be able to 
withstand the repeated loads of variable magnitude expected in service; 
or
    (b) A fail safe strength investigation, in which it is shown by 
analysis, tests, or both that catastrophic failure of the structure is 
not probable after fatigue failure, or obvious partial failure, of a 
principal structural element, and that the remaining structures are able 
to withstand a static ultimate load factor of 75 percent of the limit 
load factor at VC, considering the combined effects of normal 
operating pressures, expected

[[Page 224]]

external aerodynamic pressures, and flight loads. These loads must be 
multiplied by a factor of 1.15 unless the dynamic effects of failure 
under static load are otherwise considered.
    (c) The damage tolerance evaluation of Sec. 23.573(b).

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-14, 
38 FR 31821, Nov. 19, 1973; Amdt. 23-45, 58 FR 42163, Aug. 6, 1993; 
Amdt. 23-48, 61 FR 5147, Feb. 9, 1996]



Sec. 23.572  Metallic wing, empennage, and associated structures.

    (a) For normal, utility, and acrobatic category airplanes, the 
strength, detail design, and fabrication of those parts of the airframe 
structure whose failure would be catastrophic must be evaluated under 
one of the following unless it is shown that the structure, operating 
stress level, materials and expected uses are comparable, from a fatigue 
standpoint, to a similar design that has had extensive satisfactory 
service experience:
    (1) A fatigue strength investigation in which the structure is shown 
by tests, or by analysis supported by test evidence, to be able to 
withstand the repeated loads of variable magnitude expected in service; 
or
    (2) A fail-safe strength investigation in which it is shown by 
analysis, tests, or both, that catastrophic failure of the structure is 
not probable after fatigue failure, or obvious partial failure, of a 
principal structural element, and that the remaining structure is able 
to withstand a static ultimate load factor of 75 percent of the critical 
limit load factor at Vc. These loads must be multiplied by a 
factor of 1.15 unless the dynamic effects of failure under static load 
are otherwise considered.
    (3) The damage tolerance evaluation of Sec. 23.573(b).
    (b) Each evaluation required by this section must--
    (1) Include typical loading spectra (e.g. taxi, ground-air-ground 
cycles, maneuver, gust);
    (2) Account for any significant effects due to the mutual influence 
of aerodynamic surfaces; and
    (3) Consider any significant effects from propeller slipstream 
loading, and buffet from vortex impingements.

[Amdt. 23-7, 34 FR 13090, Aug. 13, 1969, as amended by Amdt. 23-14, 38 
FR 31821, Nov. 19, 1973; Amdt. 23-34, 52 FR 1830, Jan. 15, 1987; Amdt. 
23-38, 54 FR 39511, Sept. 26, 1989; Amdt. 23-45, 58 FR 42163, Aug. 6, 
1993; Amdt. 23-48, 61 FR 5147, Feb. 9, 1996]



Sec. 23.573  Damage tolerance and fatigue evaluation of structure.

    (a) Composite airframe structure. Composite airframe structure must 
be evaluated under this paragraph instead of Secs. 23.571 and 23.572. 
The applicant must evaluate the composite airframe structure, the 
failure of which would result in catastrophic loss of the airplane, in 
each wing (including canards, tandem wings, and winglets), empennage, 
their carrythrough and attaching structure, moveable control surfaces 
and their attaching structure fuselage, and pressure cabin using the 
damage-tolerance criteria prescribed in paragraphs (a)(1) through (a)(4) 
of this section unless shown to be impractical. If the applicant 
establishes that damage-tolerance criteria is impractical for a 
particular structure, the structure must be evaluated in accordance with 
paragraphs (a)(1) and (a)(6) of this section. Where bonded joints are 
used, the structure must also be evaluated in accordance with paragraph 
(a)(5) of this section. The effects of material variability and 
environmental conditions on the strength and durability properties of 
the composite materials must be accounted for in the evaluations 
required by this section.
    (1) It must be demonstrated by tests, or by analysis supported by 
tests, that the structure is capable of carrying ultimate load with 
damage up to the threshold of detectability considering the inspection 
procedures employed.
    (2) The growth rate or no-growth of damage that may occur from 
fatigue, corrosion, manufacturing flaws or impact damage, under repeated 
loads expected in service, must be established by tests or analysis 
supported by tests.
    (3) The structure must be shown by residual strength tests, or 
analysis supported by residual strength tests, to be able to withstand 
critical limit flight loads, considered as ultimate loads,

[[Page 225]]

with the extent of detectable damage consistent with the results of the 
damage tolerance evaluations. For pressurized cabins, the following 
loads must be withstood:
    (i) Critical limit flight loads with the combined effects of normal 
operating pressure and expected external aerodynamic pressures.
    (ii) The expected external aerodynamic pressures in 1g flight 
combined with a cabin differential pressure equal to 1.1 times the 
normal operating differential pressure without any other load.
    (4) The damage growth, between initial detectability and the value 
selected for residual strength demonstrations, factored to obtain 
inspection intervals, must allow development of an inspection program 
suitable for application by operation and maintenance personnel.
    (5) For any bonded joint, the failure of which would result in 
catastrophic loss of the airplane, the limit load capacity must be 
substantiated by one of the following methods--
    (i) The maximum disbonds of each bonded joint consistent with the 
capability to withstand the loads in paragraph (a)(3) of this section 
must be determined by analysis, tests, or both. Disbonds of each bonded 
joint greater than this must be prevented by design features; or
    (ii) Proof testing must be conducted on each production article that 
will apply the critical limit design load to each critical bonded joint; 
or
    (iii) Repeatable and reliable non-destructive inspection techniques 
must be established that ensure the strength of each joint.
    (6) Structural components for which the damage tolerance method is 
shown to be impractical must be shown by component fatigue tests, or 
analysis supported by tests, to be able to withstand the repeated loads 
of variable magnitude expected in service. Sufficient component, 
subcomponent, element, or coupon tests must be done to establish the 
fatigue scatter factor and the environmental effects. Damage up to the 
threshold of detectability and ultimate load residual strength 
capability must be considered in the demonstration.
    (b) Metallic airframe structure. If the applicant elects to use 
Sec. 23.571(a)(3) or Sec. 23.572(a)(3), then the damage tolerance 
evaluation must include a determination of the probable locations and 
modes of damage due to fatigue, corrosion, or accidental damage. The 
determination must be by analysis supported by test evidence and, if 
available, service experience. Damage at multiple sites due to fatigue 
must be included where the design is such that this type of damage can 
be expected to occur. The evaluation must incorporate repeated load and 
static analyses supported by test evidence. The extent of damage for 
residual strength evaluation at any time within the operational life of 
the airplane must be consistent with the initial detectability and 
subsequent growth under repeated loads. The residual strength evaluation 
must show that the remaining structure is able to withstand critical 
limit flight loads, considered as ultimate, with the extent of 
detectable damage consistent with the results of the damage tolerance 
evaluations. For pressurized cabins, the following load must be 
withstood:
    (1) The normal operating differential pressure combined with the 
expected external aerodynamic pressures applied simultaneously with the 
flight loading conditions specified in this part, and
    (2) The expected external aerodynamic pressures in 1g flight 
combined with a cabin differential pressure equal to 1.1 times the 
normal operating differential pressure without any other load.

[Doc. No. 26269, 58 FR 42163, Aug. 6, 1993; 58 FR 51970, Oct. 5, 1993, 
as amended by Amdt. 23-48, 61 FR 5147, Feb. 9, 1996]



Sec. 23.574  Metallic damage tolerance and fatigue evaluation of commuter category airplanes.

    For commuter category airplanes--
    (a) Metallic damage tolerance. An evaluation of the strength, detail 
design, and fabrication must show that catastrophic failure due to 
fatigue, corrosion, defects, or damage will be avoided throughout the 
operational life of the airplane. This evaluation must be conducted in 
accordance with the provisions of Sec. 23.573, except as specified in 
paragraph (b) of this section, for each

[[Page 226]]

part of the structure that could contribute to a catastrophic failure.
    (b) Fatigue (safe-life) evaluation. Compliance with the damage 
tolerance requirements of paragraph (a) of this section is not required 
if the applicant establishes that the application of those requirements 
is impractical for a particular structure. This structure must be shown, 
by analysis supported by test evidence, to be able to withstand the 
repeated loads of variable magnitude expected during its service life 
without detectable cracks. Appropriate safe-life scatter factors must be 
applied.

[Doc. No. 27805, 61 FR 5148, Feb. 9, 1996]



Sec. 23.575  Inspections and other procedures.

    Each inspection or other procedure, based on an evaluation required 
by Secs. 23.571, 23.572, 23.573 or 23.574, must be established to 
prevent catastrophic failure and must be included in the Limitations 
Section of the Instructions for Continued Airworthiness required by 
Sec. 23.1529.

[Doc. No. 27805, 61 FR 5148, Feb. 9, 1996]



                   Subpart D--Design and Construction



Sec. 23.601  General.

    The suitability of each questionable design detail and part having 
an important bearing on safety in operations, must be established by 
tests.



Sec. 23.603  Materials and workmanship.

    (a) The suitability and durability of materials used for parts, the 
failure of which could adversely affect safety, must--
    (1) Be established by experience or tests;
    (2) Meet approved specifications that ensure their having the 
strength and other properties assumed in the design data; and
    (3) Take into account the effects of environmental conditions, such 
as temperature and humidity, expected in service.
    (b) Workmanship must be of a high standard.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-17, 
41 FR 55464, Dec. 20, 1976; Amdt. 23-23, 43 FR 50592, Oct. 10, 1978]



Sec. 23.605  Fabrication methods.

    (a) The methods of fabrication used must produce consistently sound 
structures. If a fabrication process (such as gluing, spot welding, or 
heat-treating) requires close control to reach this objective, the 
process must be performed under an approved process specification.
    (b) Each new aircraft fabrication method must be substantiated by a 
test program.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-23, 43 FR 50592, Oct. 10, 1978]



Sec. 23.607  Fasteners.

    (a) Each removable fastener must incorporate two retaining devices 
if the loss of such fastener would preclude continued safe flight and 
landing.
    (b) Fasteners and their locking devices must not be adversely 
affected by the environmental conditions associated with the particular 
installation.
    (c) No self-locking nut may be used on any bolt subject to rotation 
in operation unless a non-friction locking device is used in addition to 
the self-locking device.

[Doc. No. 27805, 61 FR 5148, Feb. 9, 1996]



Sec. 23.609  Protection of structure.

    Each part of the structure must--
    (a) Be suitably protected against deterioration or loss of strength 
in service due to any cause, including--
    (1) Weathering;
    (2) Corrosion; and
    (3) Abrasion; and
    (b) Have adequate provisions for ventilation and drainage.



Sec. 23.611  Accessibility provisions.

    For each part that requires maintenance, inspection, or other 
servicing, appropriate means must be incorporated into the aircraft 
design to allow such servicing to be accomplished.

[Doc. No. 27805, 61 FR 5148, Feb. 9, 1996]



Sec. 23.613  Material strength properties and design values.

    (a) Material strength properties must be based on enough tests of 
material

[[Page 227]]

meeting specifications to establish design values on a statistical 
basis.
    (b) Design values must be chosen to minimize the probability of 
structural failure due to material variability. Except as provided in 
paragraph (e) of this section, compliance with this paragraph must be 
shown by selecting design values that ensure material strength with the 
following probability:
    (1) Where applied loads are eventually distributed through a single 
member within an assembly, the failure of which would result in loss of 
structural integrity of the component; 99 percent probability with 95 
percent confidence.
    (2) For redundant structure, in which the failure of individual 
elements would result in applied loads being safely distributed to other 
load carrying members; 90 percent probability with 95 percent 
confidence.
    (c) The effects of temperature on allowable stresses used for design 
in an essential component or structure must be considered where thermal 
effects are significant under normal operating conditions.
    (d) The design of the structure must minimize the probability of 
catastrophic fatigue failure, particularly at points of stress 
concentration.
    (e) Design values greater than the guaranteed minimums required by 
this section may be used where only guaranteed minimum values are 
normally allowed if a ``premium selection'' of the material is made in 
which a specimen of each individual item is tested before use to 
determine that the actual strength properties of that particular item 
will equal or exceed those used in design.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-23, 43 FR 50592, Oct. 30, 1978; Amdt. 23-45, 58 FR 
42163, Aug. 6, 1993]



Sec. 23.619  Special factors.

    The factor of safety prescribed in Sec. 23.303 must be multiplied by 
the highest pertinent special factors of safety prescribed in 
Secs. 23.621 through 23.625 for each part of the structure whose 
strength is--
    (a) Uncertain;
    (b) Likely to deteriorate in service before normal replacement; or
    (c) Subject to appreciable variability because of uncertainties in 
manufacturing processes or inspection methods.

[Amdt. 23-7, 34 FR 13091, Aug. 13, 1969]



Sec. 23.621  Casting factors.

    (a) General. The factors, tests, and inspections specified in 
paragraphs (b) through (d) of this section must be applied in addition 
to those necessary to establish foundry quality control. The inspections 
must meet approved specifications. Paragraphs (c) and (d) of this 
section apply to any structural castings except castings that are 
pressure tested as parts of hydraulic or other fluid systems and do not 
support structural loads.
    (b) Bearing stresses and surfaces. The casting factors specified in 
paragraphs (c) and (d) of this section--
    (1) Need not exceed 1.25 with respect to bearing stresses regardless 
of the method of inspection used; and
    (2) Need not be used with respect to the bearing surfaces of a part 
whose bearing factor is larger than the applicable casting factor.
    (c) Critical castings. For each casting whose failure would preclude 
continued safe flight and landing of the airplane or result in serious 
injury to occupants, the following apply:
    (1) Each critical casting must either--
    (i) Have a casting factor of not less than 1.25 and receive 100 
percent inspection by visual, radiographic, and either magnetic 
particle, penetrant or other approved equivalent non-destructive 
inspection method; or
    (ii) Have a casting factor of not less than 2.0 and receive 100 
percent visual inspection and 100 percent approved non-destructive 
inspection. When an approved quality control procedure is established 
and an acceptable statistical analysis supports reduction, non-
destructive inspection may be reduced from 100 percent, and applied on a 
sampling basis.
    (2) For each critical casting with a casting factor less than 1.50, 
three sample castings must be static tested and shown to meet--
    (i) The strength requirements of Sec. 23.305 at an ultimate load 
corresponding to a casting factor of 1.25; and

[[Page 228]]

    (ii) The deformation requirements of Sec. 23.305 at a load of 1.15 
times the limit load.
    (3) Examples of these castings are structural attachment fittings, 
parts of flight control systems, control surface hinges and balance 
weight attachments, seat, berth, safety belt, and fuel and oil tank 
supports and attachments, and cabin pressure valves.
    (d) Non-critical castings. For each casting other than those 
specified in paragraph (c) or (e) of this section, the following apply:
    (1) Except as provided in paragraphs (d)(2) and (3) of this section, 
the casting factors and corresponding inspections must meet the 
following table:

------------------------------------------------------------------------
              Casting factor                         Inspection
------------------------------------------------------------------------
2.0 or more..............................  100 percent visual.
Less than 2.0 but more than 1.5..........  100 percent visual, and
                                            magnetic particle or
                                            penetrant or equivalent
                                            nondestructive inspection
                                            methods.
1.25 through 1.50........................  100 percent visual, magnetic
                                            particle or penetrant, and
                                            radiographic, or approved
                                            equivalent nondestructive
                                            inspection methods.
------------------------------------------------------------------------

    (2) The percentage of castings inspected by nonvisual methods may be 
reduced below that specified in subparagraph (d)(1) of this section when 
an approved quality control procedure is established.
    (3) For castings procured to a specification that guarantees the 
mechanical properties of the material in the casting and provides for 
demonstration of these properties by test of coupons cut from the 
castings on a sampling basis--
    (i) A casting factor of 1.0 may be used; and
    (ii) The castings must be inspected as provided in paragraph (d)(1) 
of this section for casting factors of ``1.25 through 1.50'' and tested 
under paragraph (c)(2) of this section.
    (e) Non-structural castings. Castings used for non-structural 
purposes do not require evaluation, testing or close inspection.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42164, Aug. 6, 1993]



Sec. 23.623  Bearing factors.

    (a) Each part that has clearance (free fit), and that is subject to 
pounding or vibration, must have a bearing factor large enough to 
provide for the effects of normal relative motion.
    (b) For control surface hinges and control system joints, compliance 
with the factors prescribed in Secs. 23.657 and 23.693, respectively, 
meets paragraph (a) of this section.

[Amdt. 23-7, 34 FR 13091, Aug. 13, 1969]



Sec. 23.625  Fitting factors.

    For each fitting (a part or terminal used to join one structural 
member to another), the following apply:
    (a) For each fitting whose strength is not proven by limit and 
ultimate load tests in which actual stress conditions are simulated in 
the fitting and surrounding structures, a fitting factor of at least 
1.15 must be applied to each part of--
    (1) The fitting;
    (2) The means of attachment; and
    (3) The bearing on the joined members.
    (b) No fitting factor need be used for joint designs based on 
comprehensive test data (such as continuous joints in metal plating, 
welded joints, and scarf joints in wood).
    (c) For each integral fitting, the part must be treated as a fitting 
up to the point at which the section properties become typical of the 
member.
    (d) For each seat, berth, safety belt, and harness, its attachment 
to the structure must be shown, by analysis, tests, or both, to be able 
to withstand the inertia forces prescribed in Sec. 23.561 multiplied by 
a fitting factor of 1.33.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13091, Aug. 13, 1969]



Sec. 23.627  Fatigue strength.

    The structure must be designed, as far as practicable, to avoid 
points of stress concentration where variable stresses above the fatigue 
limit are likely to occur in normal service.



Sec. 23.629  Flutter.

    (a) It must be shown by the methods of paragraph (b) and either 
paragraph

[[Page 229]]

(c) or (d) of this section, that the airplane is free from flutter, 
control reversal, and divergence for any condition of operation within 
the limit V-n envelope and at all speeds up to the speed specified for 
the selected method. In addition--
    (1) Adequate tolerances must be established for quantities which 
affect flutter, including speed, damping, mass balance, and control 
system stiffness; and
    (2) The natural frequencies of main structural components must be 
determined by vibration tests or other approved methods.
    (b) Flight flutter tests must be made to show that the airplane is 
free from flutter, control reversal and divergence and to show that--
    (1) Proper and adequate attempts to induce flutter have been made 
within the speed range up to VD;
    (2) The vibratory response of the structure during the test 
indicates freedom from flutter;
    (3) A proper margin of damping exists at VD; and
    (4) There is no large and rapid reduction in damping as VD 
is approached.
    (c) Any rational analysis used to predict freedom from flutter, 
control reversal and divergence must cover all speeds up to 1.2 
VD.
    (d) Compliance with the rigidity and mass balance criteria (pages 4-
12), in Airframe and Equipment Engineering Report No. 45 (as corrected) 
``Simplified Flutter Prevention Criteria'' (published by the Federal 
Aviation Administration) may be accomplished to show that the airplane 
is free from flutter, control reversal, or divergence if--
    (1) VD/MD for the airplane is less than 260 
knots (EAS) and less than Mach 0.5,
    (2) The wing and aileron flutter prevention criteria, as represented 
by the wing torsional stiffness and aileron balance criteria, are 
limited in use to airplanes without large mass concentrations (such as 
engines, floats, or fuel tanks in outer wing panels) along the wing 
span, and
    (3) The airplane--
    (i) Does not have a T-tail or other unconventional tail 
configurations;
    (ii) Does not have unusual mass distributions or other 
unconventional design features that affect the applicability of the 
criteria, and
    (iii) Has fixed-fin and fixed-stabilizer surfaces.
    (e) For turbopropeller-powered airplanes, the dynamic evaluation 
must include--
    (1) Whirl mode degree of freedom which takes into account the 
stability of the plane of rotation of the propeller and significant 
elastic, inertial, and aerodynamic forces, and
    (2) Propeller, engine, engine mount, and airplane structure 
stiffness and damping variations appropriate to the particular 
configuration.
    (f) Freedom from flutter, control reversal, and divergence up to 
VD/MD must be shown as follows:
    (1) For airplanes that meet the criteria of paragraphs (d)(1) 
through (d)(3) of this section, after the failure, malfunction, or 
disconnection of any single element in any tab control system.
    (2) For airplanes other than those described in paragraph (f)(1) of 
this section, after the failure, malfunction, or disconnection of any 
single element in the primary flight control system, any tab control 
system, or any flutter damper.
    (g) For airplanes showing compliance with the fail-safe criteria of 
Secs. 23.571 and 23.572, the airplane must be shown by analysis to be 
free from flutter up to VD/MD after fatigue 
failure, or obvious partial failure, of a principal structural element.
    (h) For airplanes showing compliance with the damage tolerance 
criteria of Sec. 23.573, the airplane must be shown by analysis to be 
free from flutter up to VD/MD with the extent of 
damage for which residual strength is demonstrated.
    (i) For modifications to the type design that could affect the 
flutter characteristics, compliance with paragraph (a) of this section 
must be shown, except that analysis based on previously approved data 
may be used alone to show freedom from flutter, control reversal and 
divergence, for all speeds up

[[Page 230]]

to the speed specified for the selected method.

[Amdt. 23-23, 43 FR 50592, Oct. 30, 1978, as amended by Amdt. 23-31, 49 
FR 46867, Nov. 28, 1984; Amdt. 23-45, 58 FR 42164, Aug. 6, 1993; 58 FR 
51970, Oct. 5, 1993; Amdt. 23-48, 61 FR 5148, Feb. 9, 1996]

                                  Wings



Sec. 23.641  Proof of strength.

    The strength of stressed-skin wings must be proven by load tests or 
by combined structural analysis and load tests.

                            Control Surfaces



Sec. 23.651  Proof of strength.

    (a) Limit load tests of control surfaces are required. These tests 
must include the horn or fitting to which the control system is 
attached.
    (b) In structural analyses, rigging loads due to wire bracing must 
be accounted for in a rational or conservative manner.



Sec. 23.655  Installation.

    (a) Movable surfaces must be installed so that there is no 
interference between any surfaces, their bracing, or adjacent fixed 
structure, when one surface is held in its most critical clearance 
positions and the others are operated through their full movement.
    (b) If an adjustable stabilizer is used, it must have stops that 
will limit its range of travel to that allowing safe flight and landing.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42164, Aug. 6, 1993]



Sec. 23.657  Hinges.

    (a) Control surface hinges, except ball and roller bearing hinges, 
must have a factor of safety of not less than 6.67 with respect to the 
ultimate bearing strength of the softest material used as a bearing.
    (b) For ball or roller bearing hinges, the approved rating of the 
bearing may not be exceeded.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-48, 
61 FR 5148, Feb. 9, 1996]



Sec. 23.659  Mass balance.

    The supporting structure and the attachment of concentrated mass 
balance weights used on control surfaces must be designed for--
    (a) 24 g normal to the plane of the control surface;
    (b) 12 g fore and aft; and
    (c) 12 g parallel to the hinge line.

                             Control Systems



Sec. 23.671  General.

    (a) Each control must operate easily, smoothly, and positively 
enough to allow proper performance of its functions.
    (b) Controls must be arranged and identified to provide for 
convenience in operation and to prevent the possibility of confusion and 
subsequent inadvertent operation.



Sec. 23.672  Stability augmentation and automatic and power-operated systems.

    If the functioning of stability augmentation or other automatic or 
power-operated systems is necessary to show compliance with the flight 
characteristics requirements of this part, such systems must comply with 
Sec. 23.671 and the following:
    (a) A warning, which is clearly distinguishable to the pilot under 
expected flight conditions without requiring the pilot's attention, must 
be provided for any failure in the stability augmentation system or in 
any other automatic or power-operated system that could result in an 
unsafe condition if the pilot was not aware of the failure. Warning 
systems must not activate the control system.
    (b) The design of the stability augmentation system or of any other 
automatic or power-operated system must permit initial counteraction of 
failures without requiring exceptional pilot skill or strength, by 
either the deactivation of the system or a failed portion thereof, or by 
overriding the failure by movement of the flight controls in the normal 
sense.
    (c) It must be shown that, after any single failure of the stability 
augmentation system or any other automatic or power-operated system--

[[Page 231]]

    (1) The airplane is safely controllable when the failure or 
malfunction occurs at any speed or altitude within the approved 
operating limitations that is critical for the type of failure being 
considered;
    (2) The controllability and maneuverability requirements of this 
part are met within a practical operational flight envelope (for 
example, speed, altitude, normal acceleration, and airplane 
configuration) that is described in the Airplane Flight Manual (AFM); 
and
    (3) The trim, stability, and stall characteristics are not impaired 
below a level needed to permit continued safe flight and landing.

[Doc. No. 26269, 58 FR 42164, Aug. 6, 1993]



Sec. 23.673  Primary flight controls.

    Primary flight controls are those used by the pilot for the 
immediate control of pitch, roll, and yaw.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-48, 
61 FR 5148, Feb. 9, 1996]



Sec. 23.675  Stops.

    (a) Each control system must have stops that positively limit the 
range of motion of each movable aerodynamic surface controlled by the 
system.
    (b) Each stop must be located so that wear, slackness, or takeup 
adjustments will not adversely affect the control characteristics of the 
airplane because of a change in the range of surface travel.
    (c) Each stop must be able to withstand any loads corresponding to 
the design conditions for the control system.

[Amdt. 23-17, 41 FR 55464, Dec. 20, 1976]



Sec. 23.677  Trim systems.

    (a) Proper precautions must be taken to prevent inadvertent, 
improper, or abrupt trim tab operation. There must be means near the 
trim control to indicate to the pilot the direction of trim control 
movement relative to airplane motion. In addition, there must be means 
to indicate to the pilot the position of the trim device with respect to 
both the range of adjustment and, in the case of lateral and directional 
trim, the neutral position. This means must be visible to the pilot and 
must be located and designed to prevent confusion. The pitch trim 
indicator must be clearly marked with a position or range within which 
it has been demonstrated that take-off is safe for all center of gravity 
positions and each flap position approved for takeoff.
    (b) Trimming devices must be designed so that, when any one 
connecting or transmitting element in the primary flight control system 
fails, adequate control for safe flight and landing is available with--
    (1) For single-engine airplanes, the longitudinal trimming devices; 
or
    (2) For multiengine airplanes, the longitudinal and directional 
trimming devices.
    (c) Tab controls must be irreversible unless the tab is properly 
balanced and has no unsafe flutter characteristics. Irreversible tab 
systems must have adequate rigidity and reliability in the portion of 
the system from the tab to the attachment of the irreversible unit to 
the airplane structure.
    (d) It must be demonstrated that the airplane is safely controllable 
and that the pilot can perform all maneuvers and operations necessary to 
effect a safe landing following any probable powered trim system runaway 
that reasonably might be expected in service, allowing for appropriate 
time delay after pilot recognition of the trim system runaway. The 
demonstration must be conducted at critical airplane weights and center 
of gravity positions.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13091, Aug. 13, 1969; Amdt. 23-34, 52 FR 1830, Jan. 15, 1987; Amdt. 
23-42, 56 FR 353, Jan. 3, 1991; Amdt. 23-49, 61 FR 5165, Feb. 9, 1996]



Sec. 23.679  Control system locks.

    If there is a device to lock the control system on the ground or 
water:
    (a) There must be a means to--
    (1) Give unmistakable warning to the pilot when lock is engaged; or
    (2) Automatically disengage the device when the pilot operates the 
primary flight controls in a normal manner.
    (b) The device must be installed to limit the operation of the 
airplane so that, when the device is engaged, the

[[Page 232]]

pilot receives unmistakable warning at the start of the takeoff.
    (c) The device must have a means to preclude the possibility of it 
becoming inadvertently engaged in flight.

[Doc. No. 26269, 58 FR 42164, Aug. 6, 1993]



Sec. 23.681  Limit load static tests.

    (a) Compliance with the limit load requirements of this part must be 
shown by tests in which--
    (1) The direction of the test loads produces the most severe loading 
in the control system; and
    (2) Each fitting, pulley, and bracket used in attaching the system 
to the main structure is included.
    (b) Compliance must be shown (by analyses or individual load tests) 
with the special factor requirements for control system joints subject 
to angular motion.



Sec. 23.683  Operation tests.

    (a) It must be shown by operation tests that, when the controls are 
operated from the pilot compartment with the system loaded as prescribed 
in paragraph (b) of this section, the system is free from--
    (1) Jamming;
    (2) Excessive friction; and
    (3) Excessive deflection.
    (b) The prescribed test loads are--
    (1) For the entire system, loads corresponding to the limit airloads 
on the appropriate surface, or the limit pilot forces in Sec. 23.397(b), 
whichever are less; and
    (2) For secondary controls, loads not less than those corresponding 
to the maximum pilot effort established under Sec. 23.405.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13091, Aug. 13, 1969]



Sec. 23.685  Control system details.

    (a) Each detail of each control system must be designed and 
installed to prevent jamming, chafing, and interference from cargo, 
passengers, loose objects, or the freezing of moisture.
    (b) There must be means in the cockpit to prevent the entry of 
foreign objects into places where they would jam the system.
    (c) There must be means to prevent the slapping of cables or tubes 
against other parts.
    (d) Each element of the flight control system must have design 
features, or must be distinctively and permanently marked, to minimize 
the possibility of incorrect assembly that could result in 
malfunctioning of the control system.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-17, 
41 FR 55464, Dec. 20, 1976]



Sec. 23.687  Spring devices.

    The reliability of any spring device used in the control system must 
be established by tests simulating service conditions unless failure of 
the spring will not cause flutter or unsafe flight characteristics.



Sec. 23.689  Cable systems.

    (a) Each cable, cable fitting, turnbuckle, splice, and pulley used 
must meet approved specifications. In addition--
    (1) No cable smaller than \1/8\ inch diameter may be used in primary 
control systems;
    (2) Each cable system must be designed so that there will be no 
hazardous change in cable tension throughout the range of travel under 
operating conditions and temperature variations; and
    (3) There must be means for visual inspection at each fairlead, 
pulley, terminal, and turnbuckle.
    (b) Each kind and size of pulley must correspond to the cable with 
which it is used. Each pulley must have closely fitted guards to prevent 
the cables from being misplaced or fouled, even when slack. Each pulley 
must lie in the plane passing through the cable so that the cable does 
not rub against the pulley flange.
    (c) Fairleads must be installed so that they do not cause a change 
in cable direction of more than three degrees.
    (d) Clevis pins subject to load or motion and retained only by 
cotter pins may not be used in the control system.
    (e) Turnbuckles must be attached to parts having angular motion in a 
manner that will positively prevent binding throughout the range of 
travel.

[[Page 233]]

    (f) Tab control cables are not part of the primary control system 
and may be less than \1/8\ inch diameter in airplanes that are safely 
controllable with the tabs in the most adverse positions.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13091, Aug. 13, 1969]



Sec. 23.691  Artificial stall barrier system.

    If the function of an artificial stall barrier, for example, stick 
pusher, is used to show compliance with Sec. 23.201(c), the system must 
comply with the following:
    (a) With the system adjusted for operation, the plus and minus 
airspeeds at which downward pitching control will be provided must be 
established.
    (b) Considering the plus and minus airspeed tolerances established 
by paragraph (a) of this section, an airspeed must be selected for the 
activation of the downward pitching control that provides a safe margin 
above any airspeed at which any unsatisfactory stall characteristics 
occur.
    (c) In addition to the stall warning required Sec. 23.07, a warning 
that is clearly distinguishable to the pilot under all expected flight 
conditions without requiring the pilot's attention, must be provided for 
faults that would prevent the system from providing the required 
pitching motion.
    (d) Each system must be designed so that the artificial stall 
barrier can be quickly and positively disengaged by the pilots to 
prevent unwanted downward pitching of the airplane by a quick release 
(emergency) control that meets the requirements of Sec. 23.1329(b).
    (e) A preflight check of the complete system must be established and 
the procedure for this check made available in the Airplane Flight 
Manual (AFM). Preflight checks that are critical to the safety of the 
airplane must be included in the limitations section of the AFM.
    (f) For those airplanes whose design includes an autopilot system:
    (1) A quick release (emergency) control installed in accordance with 
Sec. 23.1329(b) may be used to meet the requirements of paragraph (d), 
of this section, and
    (2) The pitch servo for that system may be used to provide the stall 
downward pitching motion.
    (g) In showing compliance with Sec. 23.1309, the system must be 
evaluated to determine the effect that any announced or unannounced 
failure may have on the continued safe flight and landing of the 
airplane or the ability of the crew to cope with any adverse conditions 
that may result from such failures. This evaluation must consider the 
hazards that would result from the airplane's flight characteristics if 
the system was not provided, and the hazard that may result from 
unwanted downward pitching motion, which could result from a failure at 
airspeeds above the selected stall speed.

[Doc. No. 27806, 61 FR 5165, Feb. 9, 1996]



Sec. 23.693  Joints.

    Control system joints (in push-pull systems) that are subject to 
angular motion, except those in ball and roller bearing systems, must 
have a special factor of safety of not less than 3.33 with respect to 
the ultimate bearing strength of the softest material used as a bearing. 
This factor may be reduced to 2.0 for joints in cable control systems. 
For ball or roller bearings, the approved ratings may not be exceeded.



Sec. 23.697  Wing flap controls.

    (a) Each wing flap control must be designed so that, when the flap 
has been placed in any position upon which compliance with the 
performance requirements of this part is based, the flap will not move 
from that position unless the control is adjusted or is moved by the 
automatic operation of a flap load limiting device.
    (b) The rate of movement of the flaps in response to the operation 
of the pilot's control or automatic device must give satisfactory flight 
and performance characteristics under steady or changing conditions of 
airspeed, engine power, and attitude.
    (c) If compliance with Sec. 23.145(b)(3) necessitates wing flap 
retraction to positions that are not fully retracted, the wing flap 
control lever settings corresponding to those positions must be 
positively located such that a definite change of direction of movement 
of the

[[Page 234]]

lever is necessary to select settings beyond those settings.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-49, 
61 FR 5165, Feb. 9, 1996]



Sec. 23.699  Wing flap position indicator.

    There must be a wing flap position indicator for--
    (a) Flap installations with only the retracted and fully extended 
position, unless--
    (1) A direct operating mechanism provides a sense of ``feel'' and 
position (such as when a mechanical linkage is employed); or
    (2) The flap position is readily determined without seriously 
detracting from other piloting duties under any flight condition, day or 
night; and
    (b) Flap installation with intermediate flap positions if--
    (1) Any flap position other than retracted or fully extended is used 
to show compliance with the performance requirements of this part; and
    (2) The flap installation does not meet the requirements of 
paragraph (a)(1) of this section.



Sec. 23.701  Flap interconnection.

    (a) The main wing flaps and related movable surfaces as a system 
must--
    (1) Be synchronized by a mechanical interconnection between the 
movable flap surfaces that is independent of the flap drive system; or 
by an approved equivalent means; or
    (2) Be designed so that the occurrence of any failure of the flap 
system that would result in an unsafe flight characteristic of the 
airplane is extremely improbable; or
    (b) The airplane must be shown to have safe flight characteristics 
with any combination of extreme positions of individual movable surfaces 
(mechanically interconnected surfaces are to be considered as a single 
surface).
    (c) If an interconnection is used in multiengine airplanes, it must 
be designed to account for the unsummetrical loads resulting from flight 
with the engines on one side of the plane of symmetry inoperative and 
the remaining engines at takeoff power. For single-engine airplanes, and 
multiengine airplanes with no slipstream effects on the flaps, it may be 
assumed that 100 percent of the critical air load acts on one side and 
70 percent on the other.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-14, 
38 FR 31821, Nov. 19, 1973; Amdt. 23-42, 56 FR 353, Jan. 3, 1991; 56 FR 
5455, Feb. 11, 1991; Amdt. 23-49, 61 FR 5165, Feb. 9, 1996]



Sec. 23.703  Takeoff warning system.

    For commuter category airplanes, unless it can be shown that a lift 
or longitudinal trim device that affects the takeoff performance of the 
aircraft would not give an unsafe takeoff configuration when selection 
out of an approved takeoff position, a takeoff warning system must be 
installed and meet the following requirements:
    (a) The system must provide to the pilots an aural warning that is 
automatically activated during the initial portion of the takeoff role 
if the airplane is in a configuration that would not allow a safe 
takeoff. The warning must continue until--
    (1) The configuration is changed to allow safe takeoff, or
    (2) Action is taken by the pilot to abandon the takeoff roll.
    (b) The means used to activate the system must function properly for 
all authorized takeoff power settings and procedures and throughout the 
ranges of takeoff weights, altitudes, and temperatures for which 
certification is requested.

[Doc. No. 27806, 61 FR 5166, Feb. 9, 1996]

                              Landing Gear



Sec. 23.721  General.

    For commuter category airplanes that have a passenger seating 
configuration, excluding pilot seats, of 10 or more, the following 
general requirements for the landing gear apply:
    (a) The main landing-gear system must be designed so that if it 
fails due to overloads during takeoff and landing (assuming the 
overloads to act in the upward and aft directions), the failure mode is 
not likely to cause the spillage of enough fuel from any part of the 
fuel system to consitute a fire hazard.
    (b) Each airplane must be designed so that, with the airplane under 
control, it can be landed on a paved runway with any one or more 
landing-gear legs

[[Page 235]]

not extended without sustaining a structural component failure that is 
likely to cause the spillage of enough fuel to consitute a fire hazard.
    (c) Compliance with the provisions of this section may be shown by 
analysis or tests, or both.

[Amdt. 23-34, 52 FR 1830, Jan. 15, 1987]



Sec. 23.723  Shock absorption tests.

    (a) It must be shown that the limit load factors selected for design 
in accordance with Sec. 23.473 for takeoff and landing weights, 
respectively, will not be exceeded. This must be shown by energy 
absorption tests except that analysis based on tests conducted on a 
landing gear system with identical energy absorption characteristics may 
be used for increases in previously approved takeoff and landing 
weights.
    (b) The landing gear may not fail, but may yield, in a test showing 
its reserve energy absorption capacity, simulating a descent velocity of 
1.2 times the limit descent velocity, assuming wing lift equal to the 
weight of the airplane.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-23, 43 FR 50593, Oct. 30, 1978; Amdt. 23-49, 61 FR 
5166, Feb. 9, 1996]



Sec. 23.725  Limit drop tests.

    (a) If compliance with Sec. 23.723(a) is shown by free drop tests, 
these tests must be made on the complete airplane, or on units 
consisting of wheel, tire, and shock absorber, in their proper relation, 
from free drop heights not less than those determined by the following 
formula:

                 h (inches) = 3.6 (W/S) \1/2\

However, the free drop height may not be less than 9.2 inches and need 
not be more than 18.7 inches.
    (b) If the effect of wing lift is provided for in free drop tests, 
the landing gear must be dropped with an effective weight equal to
[GRAPHIC] [TIFF OMITTED] TC28SE91.014

where--

We =the effective weight to be used in the drop test (lbs.);
h = specified free drop height (inches);
d = deflection under impact of the tire (at the approved inflation 
          pressure) plus the vertical component of the axle travel 
          relative to the drop mass (inches);
W=WM for main gear units (lbs), equal to the static weight on 
          that unit with the airplane in the level attitude (with the 
          nose wheel clear in the case of nose wheel type airplanes);
W=WT for tail gear units (lbs.), equal to the static weight 
          on the tail unit with the airplane in the tail-down attitude;
W=WN for nose wheel units lbs.), equal to the vertical 
          component of the static reaction that would exist at the nose 
          wheel, assuming that the mass of the airplane acts at the 
          center of gravity and exerts a force of 1.0 g downward and 
          0.33 g forward; and
L= the ratio of the assumed wing lift to the airplane weight, but not 
          more than 0.667.

    (c) The limit inertia load factor must be determined in a rational 
or conservative manner, during the drop test, using a landing gear unit 
attitude, and applied drag loads, that represent the landing conditions.
    (d) The value of d used in the computation of We in 
paragraph (b) of this section may not exceed the value actually obtained 
in the drop test.
    (e) The limit inertia load factor must be determined from the drop 
test in paragraph (b) of this section according to the following 
formula:
[GRAPHIC] [TIFF OMITTED] TC28SE91.015

where--

nj=the load factor developed in the drop test (that is, the 
          acceleration (dv/dt) in g' s recorded in the drop test) plus 
          1.0; and
We, W, and L are the same as in the drop test computation.

    (f) The value of n determined in accordance with paragraph (e) may 
not be more than the limit inertia load factor used in the landing 
conditions in Sec. 23.473.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13091, Aug. 13, 1969; Amdt. 23-48, 61 FR 5148, Feb. 9, 1996]



Sec. 23.726  Ground load dynamic tests.

    (a) If compliance with the ground load requirements of Secs. 23.479 
through 23.483 is shown dynamically by drop test, one drop test must be 
conducted that meets Sec. 23.725 except that the drop height must be--

[[Page 236]]

    (1) 2.25 times the drop height prescribed in Sec. 23.725(a); or
    (2) Sufficient to develop 1.5 times the limit load factor.
    (b) The critical landing condition for each of the design conditions 
specified in Secs. 23.479 through 23.483 must be used for proof of 
strength.

[Amdt. 23-7, 34 FR 13091, Aug. 13, 1969]



Sec. 23.727  Reserve energy absorption drop test.

    (a) If compliance with the reserve energy absorption requirement in 
Sec. 23.723(b) is shown by free drop tests, the drop height may not be 
less than 1.44 times that specified in Sec. 23.725.
    (b) If the effect of wing lift is provided for, the units must be 
dropped with an effective mass equal to We=Wh/(h+d), when the 
symbols and other details are the same as in Sec. 23.725.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13091, Aug. 13, 1969]



Sec. 23.729  Landing gear extension and retraction system.

    (a) General. For airplanes with retractable landing gear, the 
following apply:
    (1) Each landing gear retracting mechanism and its supporting 
structure must be designed for maximum flight load factors with the gear 
retracted and must be designed for the combination of friction, inertia, 
brake torque, and air loads, occurring during retraction at any airspeed 
up to 1.6 VS1 with flaps retracted, and for any load factor 
up to those specified in Sec. 23.345 for the flaps-extended condition.
    (2) The landing gear and retracting mechanism, including the wheel 
well doors, must withstand flight loads, including loads resulting from 
all yawing conditions specified in Sec. 23.351, with the landing gear 
extended at any speed up to at least 1.6 VS1 with the flaps 
retracted.
    (b) Landing gear lock. There must be positive means (other than the 
use of hydraulic pressure) to keep the landing gear extended.
    (c) Emergency operation. For a landplane having retractable landing 
gear that cannot be extended manually, there must be means to extend the 
landing gear in the event of either--
    (1) Any reasonably probable failure in the normal landing gear 
operation system; or
    (2) Any reasonably probable failure in a power source that would 
prevent the operation of the normal landing gear operation system.
    (d) Operation test. The proper functioning of the retracting 
mechanism must be shown by operation tests.
    (e) Position indicator. If a retractable landing gear is used, there 
must be a landing gear position indicator (as well as necessary switches 
to actuate the indicator) or other means to inform the pilot that each 
gear is secured in the extended (or retracted) position. If switches are 
used, they must be located and coupled to the landing gear mechanical 
system in a manner that prevents an erroneous indication of either 
``down and locked'' if each gear is not in the fully extended position, 
or ``up and locked'' if each landing gear is not in the fully retracted 
position.
    (f) Landing gear warning. For landplanes, the following aural or 
equally effective landing gear warning devices must be provided:
    (1) A device that functions continuously when one or more throttles 
are closed beyond the power settings normally used for landing approach 
if the landing gear is not fully extended and locked. A throttle stop 
may not be used in place of an aural device. If there is a manual 
shutoff for the warning device prescribed in this paragraph, the warning 
system must be designed so that when the warning has been suspended 
after one or more throttles are closed, subsequent retardation of any 
throttle to, or beyond, the position for normal landing approach will 
activate the warning device.
    (2) A device that functions continuously when the wing flaps are 
extended beyond the maximum approach flap position, using a normal 
landing procedure, if the landing gear is not fully extended and locked. 
There may not be a manual shutoff for this warning device. The flap 
position sensing unit may be installed at any suitable location. The 
system for this device may use any part of the system (including the 
aural warning device) for the device required in paragraph (f)(1) of 
this section.

[[Page 237]]

    (g) Equipment located in the landing gear bay. If the landing gear 
bay is used as the location for equipment other than the landing gear, 
that equipment must be designed and installed to minimize damage from 
items such as a tire burst, or rocks, water, and slush that may enter 
the landing gear bay.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13091, Aug. 13, 1969; Amdt. 23-21, 43 FR 2318, Jan. 1978; Amdt. 23-
26, 45 FR 60171, Sept. 11, 1980; Amdt. 23-45, 58 FR 42164, Aug. 6, 1993; 
Amdt. 23-49, 61 FR 5166, Feb. 9, 1996]



Sec. 23.731  Wheels.

    (a) The maximum static load rating of each wheel may not be less 
than the corresponding static ground reaction with--
    (1) Design maximum weight; and
    (2) Critical center of gravity.
    (b) The maximum limit load rating of each wheel must equal or exceed 
the maximum radial limit load determined under the applicable ground 
load requirements of this part.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42165, Aug. 6, 1993]



Sec. 23.733  Tires.

    (a) Each landing gear wheel must have a tire whose approved tire 
ratings (static and dynamic) are not exceeded--
    (1) By a load on each main wheel tire) to be compared to the static 
rating approved for such tires) equal to the corresponding static ground 
reaction under the design maximum weight and critical center of gravity; 
and
    (2) By a load on nose wheel tires (to be compared with the dynamic 
rating approved for such tires) equal to the reaction obtained at the 
nose wheel, assuming the mass of the airplane to be concentrated at the 
most critical center of gravity and exerting a force of 1.0 W downward 
and 0.31 W forward (where W is the design maximum weight), with the 
reactions distributed to the nose and main wheels by the principles of 
statics and with the drag reaction at the ground applied only at wheels 
with brakes.
    (b) If specially constructed tires are used, the wheels must be 
plainly and conspicuously marked to that effect. The markings must 
include the make, size, number of plies, and identification marking of 
the proper tire.
    (c) Each tire installed on a retractable landing gear system must, 
at the maximum size of the tire type expected in service, have a 
clearance to surrounding structure and systems that is adequate to 
prevent contact between the tire and any part of the structure of 
systems.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13092, Aug. 13, 1969; Amdt. 23-17, 41 FR 55464, Dec. 20, 1976; Amdt. 
23-45, 58 FR 42165, Aug. 6, 1993]



Sec. 23.735  Brakes.

    (a) Brakes must be provided. The landing brake kinetic energy 
capacity rating of each main wheel brake assembly must not be less than 
the kinetic energy absorption requirements determined under either of 
the following methods:
    (1) The brake kinetic energy absorption requirements must be based 
on a conservative rational analysis of the sequence of events expected 
during landing at the design landing weight.
    (2) Instead of a rational analysis, the kinetic energy absorption 
requirements for each main wheel brake assembly may be derived from the 
following formula:

    KE=0.0443 WV2/N

where--

KE=Kinetic energy per wheel (ft.-lb.);
W=Design landing weight (lb.);
V=Airplane speed in knots. V must be not less than 
          VS, the poweroff stalling speed of the 
          airplane at sea level, at the design landing weight, and in 
          the landing configuration; and
N=Number of main wheels with brakes.

    (b) Brakes must be able to prevent the wheels from rolling on a 
paved runway with takeoff power on the critical engine, but need not 
prevent movement of the airplane with wheels locked.
    (c) During the landing distance determination required by 
Sec. 23.75, the pressure on the wheel braking system must not exceed the 
pressure specified by the brake manufacturer.
    (d) If antiskid devices are installed, the devices and associated 
systems must be designed so that no single

[[Page 238]]

probable malfunction or failure will result in a hazardous loss of 
braking ability or directional control of the airplane.
    (e) In addition, for commuter category airplanes, the rejected 
takeoff brake kinetic energy capacity rating of each main wheel brake 
assembly must not be less than the kinetic energy absorption 
requirements determined under either of the following methods--
    (1) The brake kinetic energy absorption requirements must be based 
on a conservative rational analysis of the sequence of events expected 
during a rejected takeoff at the design takeoff weight.
    (2) Instead of a rational analysis, the kinetic energy absorption 
requirements for each main wheel brake assembly may be derived from the 
following formula--

KE=0.0443 WV\2\N

where,
KE=Kinetic energy per wheel (ft.-lbs.);
W=Design takeoff weight (lbs.);
V=Ground speed, in knots, associated with the maximum value of 
V1 selected in accordance with Sec. 23.51(c)(1);
N=Number of main wheels with brakes.

[Amdt. 23-7, 34 FR 13092, Aug. 13, 1969, as amended by Amdt. 23-24, 44 
FR 68742, Nov. 29, 1979; Amdt. 23-42, 56 FR 354, Jan. 3, 1991; Amdt. 23-
49, 61 FR 5166, Feb. 9, 1996]



Sec. 23.737  Skis.

    The maximum limit load rating for each ski must equal or exceed the 
maximum limit load determined under the applicable ground load 
requirements of this part.

[Doc. No. 26269, 58 FR 42165, Aug. 6, 1993]



Sec. 23.745  Nose/tail wheel steering.

    (a) If nose/tail wheel steering is installed, it must be 
demonstrated that its use does not require exceptional pilot skill 
during takeoff and landing, in crosswinds, or in the event of an engine 
failure; or its use must be limited to low speed maneuvering.
    (b) Movement of the pilot's steering control must not interfere with 
the retraction or extension of the landing gear.

[Doc. No. 27806, 61 FR 5166, Feb. 9, 1996]

                            Floats and Hulls



Sec. 23.751  Main float buoyancy.

    (a) Each main float must have--
    (1) A buoyancy of 80 percent in excess of the buoyancy required by 
that float to support its portion of the maximum weight of the seaplane 
or amphibian in fresh water; and
    (2) Enough watertight compartments to provide reasonable assurance 
that the seaplane or amphibian will stay afloat without capsizing if any 
two compartments of any main float are flooded.
    (b) Each main float must contain at least four watertight 
compartments approximately equal in volume.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42165, Aug. 6, 1993]



Sec. 23.753  Main float design.

    Each seaplane main float must meet the requirements of Sec. 23.521.

[Doc. No. 26269, 58 FR 42165, Aug. 6, 1993]



Sec. 23.755  Hulls.

    (a) The hull of a hull seaplane or amphibian of 1,500 pounds or more 
maximum weight must have watertight compartments designed and arranged 
so that the hull auxiliary floats, and tires (if used), will keep the 
airplane afloat without capsizing in fresh water when--
    (1) For airplanes of 5,000 pounds or more maximum weight, any two 
adjacent compartments are flooded; and
    (2) For airplanes of 1,500 pounds up to, but not including, 5,000 
pounds maximum weight, any single compartment is flooded.
    (b) Watertight doors in bulkheads may be used for communication 
between compartments.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-45, 
58 FR 42165, Aug. 6, 1993; Amdt. 23-48, 61 FR 5148, Feb. 9, 1996]



Sec. 23.757  Auxiliary floats.

    Auxiliary floats must be arranged so that, when completely submerged 
in fresh water, they provide a righting moment of at least 1.5 times the 
upsetting moment caused by the seaplane or amphibian being tilted.

[[Page 239]]

                   Personnel and Cargo Accommodations



Sec. 23.771  Pilot compartment.

    For each pilot compartment--
    (a) The compartment and its equipment must allow each pilot to 
perform his duties without unreasonable concentration or fatigue;
    (b) Where the flight crew are separated from the passengers by a 
partition, an opening or openable window or door must be provided to 
facilitate communication between flight crew and the passengers; and
    (c) The aerodynamic controls listed in Sec. 23.779, excluding cables 
and control rods, must be located with respect to the propellers so that 
no part of the pilot or the controls lies in the region between the 
plane of rotation of any inboard propeller and the surface generated by 
a line passing through the center of the propeller hub making an angle 
of 5 degrees forward or aft of the plane of rotation of the propeller.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-14, 
38 FR 31821, Nov. 19, 1973]



Sec. 23.773  Pilot compartment view.

    (a) Each pilot compartment must be--
    (1) Arranged with sufficiently extensive, clear and undistorted view 
to enable the pilot to safely taxi, takeoff, approach, land, and perform 
any maneuvers within the operating limitations of the airplane.
    (2) Free from glare and reflections that could interfere with the 
pilot's vision. Compliance must be shown in all operations for which 
certification is requested; and
    (3) Designed so that each pilot is protected from the elements so 
that moderate rain conditions do not unduly impair the pilot's view of 
the flight path in normal flight and while landing.
    (b) Each pilot compartment must have a means to either remove or 
prevent the formation of fog or frost on an area of the internal portion 
of the windshield and side windows sufficiently large to provide the 
view specified in paragraph (a)(1) of this section. Compliance must be 
shown under all expected external and internal ambient operating 
conditions, unless it can be shown that the windshield and side windows 
can be easily cleared by the pilot without interruption of moral pilot 
duties.

[Doc. No. 26269, 58 FR 42165, Aug. 6, 1993]



Sec. 23.775  Windshields and windows.

    (a) The internal panels of windshields and windows must be 
constructed of a nonsplintering material, such as nonsplintering safety 
glass.
    (b) The design of windshields, windows, and canopies in pressurized 
airplanes must be based on factors peculiar to high altitude operation, 
including--
    (1) The effects of continuous and cyclic pressurization loadings;
    (2) The inherent characteristics of the material used; and
    (3) The effects of temperatures and temperature gradients.
    (c) On pressurized airplanes, if certification for operation up to 
and including 25,000 feet is requested, an enclosure canopy including a 
representative part of the installation must be subjected to special 
tests to account for the combined effects of continuous and cyclic 
pressurization loadings and flight loads, or compliance with the fail-
safe requirements of paragraph (d) of this section must be shown.
    (d) If certification for operation above 25,000 feet is requested 
the windshields, window panels, and canopies must be strong enough to 
withstand the maximum cabin pressure differential loads combined with 
critical aerodynamic pressure and temperature effects, after failure of 
any load-carrying element of the windshield, window panel, or canopy.
    (e) The windshield and side windows forward of the pilot's back when 
the pilot is seated in the normal flight position must have a luminous 
transmittance value of not less than 70 percent.
    (f) Unless operation in known or forecast icing conditions is 
prohibited by operating limitations, a means must be provided to prevent 
or to clear accumulations of ice from the windshield so that the pilot 
has adequate view for taxi, takeoff, approach, landing, and to perform 
any maneuvers within the operating limitations of the airplane.

[[Page 240]]

    (g) In the event of any probable single failure, a transparency 
heating system must be incapable of raising the temperature of any 
windshield or window to a point where there would be--
    (1) Structural failure that adversely affects the integrity of the 
cabin; or
    (2) There would be a danger of fire.
    (h) In addition, for commuter category airplanes, the following 
applies:
    (1) Windshield panes directly in front of the pilots in the normal 
conduct of their duties, and the supporting structures for these panes, 
must withstand, without penetration, the impact of a two-pound bird when 
the velocity of the airplane (relative to the bird along the airplane's 
flight path) is equal to the airplane's maximum approach flap speed.
    (2) The windshield panels in front of the pilots must be arranged so 
that, assuming the loss of vision through any one panel, one or more 
panels remain available for use by a pilot seated at a pilot station to 
permit continued safe flight and landing.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13092, Aug. 13, 1969; Amdt. 23-45, 58 FR 42165, Aug. 6, 1993; 58 FR 
51970, Oct. 5, 1993; Amdt. 23-49, 61 FR 5166, Feb. 9, 1996]



Sec. 23.777  Cockpit controls.

    (a) Each cockpit control must be located and (except where its 
function is obvious) identified to provide convenient operation and to 
prevent confusion and inadvertent operation.
    (b) The controls must be located and arranged so that the pilot, 
when seated, has full and unrestricted movement of each control without 
interference from either his clothing or the cockpit structure.
    (c) Powerplant controls must be located--
    (1) For multiengine airplanes, on the pedestal or overhead at or 
near the center of the cockpit;
    (2) For single and tandem seated single-engine airplanes, on the 
left side console or instrument panel;
    (3) For other single-engine airplanes at or near the center of the 
cockpit, on the pedestal, instrument panel, or overhead; and
    (4) For airplanes, with side-by-side pilot seats and with two sets 
of powerplant controls, on left and right consoles.
    (d) The control location order from left to right must be power 
(thrust) lever, propeller (rpm control), and mixture control (condition 
lever and fuel cutoff for turbine-powered airplanes). Power (thrust) 
levers must be at least one inch higher or longer to make them more 
prominent than propeller (rpm control) or mixture controls. Carburetor 
heat or alternate air control must be to the left of the throttle or at 
least eight inches from the mixture control when located other than on a 
pedestal. Carburetor heat or alternate air control, when located on a 
pedestal must be aft or below the power (thrust) lever. Supercharger 
controls must be located below or aft of the propeller controls. 
Airplanes with tandem seating or single-place airplanes may utilize 
control locations on the left side of the cabin compartment; however, 
location order from left to right must be power (thrust) lever, 
propeller (rpm control) and mixture control.
    (e) Identical powerplant controls for each engine must be located to 
prevent confusion as to the engines they control.
    (1) Conventional multiengine powerplant controls must be located so 
that the left control(s) operates the left engines(s) and the right 
control(s) operates the right engine(s).
    (2) On twin-engine airplanes with front and rear engine locations 
(tandem), the left powerplant controls must operate the front engine and 
the right powerplant controls must operate the rear engine.
    (f) Wing flap and auxiliary lift device controls must be located--
    (1) Centrally, or to the right of the pedestal or powerplant 
throttle control centerline; and
    (2) Far enough away from the landing gear control to avoid 
confusion.
    (g) The landing gear control must be located to the left of the 
throttle centerline or pedestal centerline.
    (h) Each fuel feed selector control must comply with Sec. 23.995 and 
be located and arranged so that the pilot can see and reach it without 
moving any seat or primary flight control when his seat is at any 
position in which it can be placed.

[[Page 241]]

    (1) For a mechanical fuel selector:
    (i) The indication of the selected fuel valve position must be by 
means of a pointer and must provide positive identification and feel 
(detent, etc.) of the selected position.
    (ii) The position indicator pointer must be located at the part of 
the handle that is the maximum dimension of the handle measured from the 
center of rotation.
    (2) For electrical or electronic fuel selector:
    (i) Digital controls or electrical switches must be properly 
labelled.
    (ii) Means must be provided to indicate to the flight crew the tank 
or function selected. Selector switch position is not acceptable as a 
means of indication. The ``off'' or ``closed'' position must be 
indicated in red.
    (3) If the fuel valve selector handle or electrical or digital 
selection is also a fuel shut-off selector, the off position marking 
must be colored red. If a separate emergency shut-off means is provided, 
it also must be colored red.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13092, Aug. 13, 1969; Amdt. 23-33, 51 FR 26656, July 24, 1986; Amdt. 
23-51, 61 FR 5136, Feb. 9, 1996]



Sec. 23.779  Motion and effect of cockpit controls.

    Cockpit controls must be designed so that they operate in accordance 
with the following movement and actuation:
    (a) Aerodynamic controls:

 
                                                Motion and effect
 
(1) Primary controls:
    Aileron...........................  Right (clockwise) for right wing
                                         down.
    Elevator..........................  Rearward for nose up.
    Rudder............................  Right pedal forward for nose
                                         right.
(2) Secondary controls:
    Flaps (or auxiliary lift devices).  Forward or up for flaps up or
                                         auxiliary device stowed;
                                         rearward or down for flaps down
                                         or auxiliary device deployed.
    Trim tabs (or equivalent).........  Switch motion or mechanical
                                         rotation of control to produce
                                         similar rotation of the
                                         airplane about an axis parallel
                                         to the axis control. Axis of
                                         roll trim control may be
                                         displaced to accommodate
                                         comfortable actuation by the
                                         pilot. For single-engine
                                         airplanes, direction of pilot's
                                         hand movement must be in the
                                         same sense as airplane response
                                         for rudder trim if only a
                                         portion of a rotational element
                                         is accessible.
 

    (b) Powerplant and auxiliary controls:

 
                                                Motion and effect
 
(1) Powerplant controls:
    Power (thrust) lever..............  Forward to increase forward
                                         thrust and rearward to increase
                                         rearward thrust.
    Propellers........................  Forward to increase rpm.
    Mixture...........................  Forward or upward for rich.
    Fuel..............................  Forward for open.
    Carburetor, air heat or alternate   Forward or upward for cold.
     air.
    Supercharger......................  Forward or upward for low
                                         blower.
    Turbosuperchargers................  Forward, upward, or clockwise to
                                         increase pressure.
    Rotary controls...................  Clockwise from off to full on.
(2) Auxiliary controls:
    Fuel tank selector................  Right for right tanks, left for
                                         left tanks.
    Landing gear......................  Down to extend.
    Speed brakes......................  Aft to extend.
 


[Amdt. 23-33, 51 FR 26656, July 24, 1986, as amended by Amdt. 23-51, 61 
FR 5136, Feb. 9, 1996]



Sec. 23.781  Cockpit control knob shape.

    (a) Flap and landing gear control knobs must conform to the general 
shapes (but not necessarily the exact sizes or specific proportions) in 
the following figure:

[[Page 242]]

[GRAPHIC] [TIFF OMITTED] TC28SE91.016


[[Page 243]]


[GRAPHIC] [TIFF OMITTED] TC28SE91.017

    (b) Powerplant control knobs must conform to the general shapes (but 
not necessarily the exact sizes or specific proportions) in the 
following figure:

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-33, 51 FR 26657, July 24, 1986]



Sec. 23.783  Doors.

    (a) Each closed cabin with passenger accommodations must have at 
least one adequate and easily accessible external door.
    (b) Passenger doors must not be located with respect to any 
propeller disk or any other potential hazard so as to endanger persons 
using the door.
    (c) Each external passenger or crew door must comply with the 
following requirements:
    (1) There must be a means to lock and safeguard the door against 
inadvertent opening during flight by persons, by cargo, or as a result 
of mechanical failure.
    (2) The door must be openable from the inside and the outside when 
the internal locking mechanism is in the locked position.

[[Page 244]]

    (3) There must be a means of opening which is simple and obvious and 
is arranged and marked inside and outside so that the door can be 
readily located, unlocked, and opened, even in darkness.
    (4) The door must meet the marking requirements of Sec. 23.811 of 
this part.
    (5) The door must be reasonably free from jamming as a result of 
fuselage deformation in an emergency landing.
    (6) Auxiliary locking devices that are actuated externally to the 
airplane may be used but such devices must be overridden by the normal 
internal opening means.
    (d) In addition, each external passenger or crew door, for a 
commuter category airplane, must comply with the following requirements:
    (1) Each door must be openable from both the inside and outside, 
even though persons may be crowded against the door on the inside of the 
airplane.
    (2) If inward opening doors are used, there must be a means to 
prevent occupants from crowding against the door to the extent that 
would interfere with opening the door.
    (3) Auxiliary locking devices may be used.
    (e) Each external door on a commuter category airplane, each 
external door forward of any engine or propeller on a normal, utility, 
or acrobatic category airplane, and each door of the pressure vessel on 
a pressurized airplane must comply with the following requirements:
    (1) There must be a means to lock and safeguard each external door, 
including cargo and service type doors, against inadvertent opening in 
flight, by persons, by cargo, or as a result of mechanical failure or 
failure of a single structural element, either during or after closure.
    (2) There must be a provision for direct visual inspection of the 
locking mechanism to determine if the external door, for which the 
initial opening movement is not inward, is fully closed and locked. The 
provisions must be discernible, under operating lighting conditions, by 
a crewmember using a flashlight or an equivalent lighting source.
    (3) There must be a visual warning means to signal a flight 
crewmember if the external door is not fully closed and locked. The 
means must be designed so that any failure, or combination of failures, 
that would result in an erroneous closed and locked indication is 
improbable for doors for which the initial opening movement is not 
inward.
    (f) In addition, for commuter category airplanes, the following 
requirements apply:
    (1) Each passenger entry door must qualify as a floor level 
emergency exit. This exit must have a rectangular opening of not less 
than 24 inches wide by 48 inches high, with corner radii not greater 
than one-third the width of the exit.
    (2) If an integral stair is installed at a passenger entry door, the 
stair must be designed so that, when subjected to the inertia loads 
resulting from the ultimate static load factors in Sec. 23.561(b)(2) and 
following the collapse of one or more legs of the landing gear, it will 
not reduce the effectiveness of emergency egress through the passenger 
entry door.
    (g) If lavatory doors are installed, they must be designed to 
preclude an occupant from becoming trapped inside the lavatory. If a 
locking mechanism is installed, it must be capable of being unlocked 
from outside of the lavatory.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-36, 53 FR 30813, Aug. 15, 1988; Amdt. 23-46, 59 FR 
25772, May 17, 1994; Amdt. 23-49, 61 FR 5166, Feb. 9, 1996]



Sec. 23.785  Seats, berths, litters, safety belts, and shoulder harnesses.

    There must be a seat or berth for each occupant that meets the 
following:
    (a) Each seat/restraint system and the supporting structure must be 
designed to support occupants weighing at least 215 pounds when 
subjected to the maximum load factors corresponding to the specified 
flight and ground load conditions, as defined in the approved operating 
envelope of the airplane. In addition, these loads must be multiplied by 
a factor of 1.33 in determining the strength of all fittings and the 
attachment of--

[[Page 245]]

    (1) Each seat to the structure; and
    (2) Each safety belt and shoulder harness to the seat or structure.
    (b) Each forward-facing or aft-facing seat/restraint system in 
normal, utility, or acrobatic category airplanes must consist of a seat, 
a safety belt, and a shoulder harness, with a metal-to-metal latching 
device, that are designed to provide the occupant protection provisions 
required in Sec. 23.562. Other seat orientations must provide the same 
level of occupant protection as a forward-facing or aft-facing seat with 
a safety belt and a shoulder harness, and must provide the protection 
provisions of Sec. 23.562.
    (c) For commuter category airplanes, each seat and the supporting 
structure must be designed for occupants weighing at least 170 pounds 
when subjected to the inertia loads resulting from the ultimate static 
load factors prescribed in Sec. 23.561(b)(2) of this part. Each occupant 
must be protected from serious head injury when subjected to the inertia 
loads resulting from these load factors by a safety belt and shoulder 
harness, with a metal-to-metal latching device, for the front seats and 
a safety belt, or a safety belt and shoulder harness, with a metal-to-
metal latching device, for each seat other than the front seats.
    (d) Each restraint system must have a single-point release for 
occupant evacuation.
    (e) The restraint system for each crewmember must allow the 
crewmember, when seated with the safety belt and shoulder harness 
fastened, to perform all functions necessary for flight operations.
    (f) Each pilot seat must be designed for the reactions resulting 
from the application of pilot forces to the primary flight controls as 
prescribed in Sec. 23.395 of this part.
    (g) There must be a means to secure each safety belt and shoulder 
harness, when not in use, to prevent interference with the operation of 
the airplane and with rapid occupant egress in an emergency.
    (h) Unless otherwise placarded, each seat in a utility or acrobatic 
category airplane must be designed to accommodate an occupant wearing a 
parachute.
    (i) The cabin area surrounding each seat, including the structure, 
interior walls, instrument panel, control wheel, pedals, and seats 
within striking distance of the occupant's head or torso (with the 
restraint system fastened) must be free of potentially injurious 
objects, sharp edges, protuberances, and hard surfaces. If energy 
absorbing designs or devices are used to meet this requirement, they 
must protect the occupant from serious injury when the occupant is 
subjected to the inertia loads resulting from the ultimate static load 
factors prescribed in Sec. 23.561(b)(2) of this part, or they must 
comply with the occupant protection provisions of Sec. 23.562 of this 
part, as required in paragraphs (b) and (c) of this section.
    (j) Each seat track must be fitted with stops to prevent the seat 
from sliding off the track.
    (k) Each seat/restraint system may use design features, such as 
crushing or separation of certain components, to reduce occupant loads 
when showing compliance with the requirements of Sec. 23.562 of this 
part; otherwise, the system must remain intact.
    (l) For the purposes of this section, a front seat is a seat located 
at a flight crewmember station or any seat located alongside such a 
seat.
    (m) Each berth, or provisions for a litter, installed parallel to 
the longitudinal axis of the airplane, must be designed so that the 
forward part has a padded end-board, canvas diaphragm, or equivalent 
means that can withstand the load reactions from a 215-pound occupant 
when subjected to the inertia loads resulting from the ultimate static 
load factors of Sec. 23.561(b)(2) of this part. In addition--
    (1) Each berth or litter must have an occupant restraint system and 
may not have corners or other parts likely to cause serious injury to a 
person occupying it during emergency landing conditions; and
    (2) Occupant restraint system attachments for the berth or litter 
must withstand the inertia loads resulting from the ultimate static load 
factors of Sec. 23.561(b)(2) of this part.
    (n) Proof of compliance with the static strength requirements of 
this section for seats and berths approved as

[[Page 246]]

part of the type design and for seat and berth installations may be 
shown by--
    (1) Structural analysis, if the structure conforms to conventional 
airplane types for which existing methods of analysis are known to be 
reliable;
    (2) A combination of structural analysis and static load tests to 
limit load; or
    (3) Static load tests to ultimate loads.

[Amdt. 23-36, 53 FR 30813, Aug. 15, 1988; Amdt. 23-36, 54 FR 50737, Dec. 
11, 1989; Amdt. 23-49, 61 FR 5167, Feb. 9, 1996]



Sec. 23.787  Baggage and cargo compartments.

    (a) Each baggage and cargo compartment must:
    (1) Be designed for its placarded maximum weight of contents and for 
the critical load distributions at the appropriate maximum load factors 
corresponding to the flight and ground load conditions of this part.
    (2) Have means to prevent the contents of any compartment from 
becoming a hazard by shifting, and to protect any controls, wiring, 
lines, equipment or accessories whose damage or failure would affect 
safe operations.
    (3) Have a means to protect occupants from injury by the contents of 
any compartment, located aft of the occupants and separated by 
structure, when the ultimate forward inertial load factor is 9g and 
assuming the maximum allowed baggage or cargo weight for the 
compartment.
    (b) Designs that provide for baggage or cargo to be carried in the 
same compartment as passengers must have a means to protect the 
occupants from injury when the baggage or cargo is subjected to the 
inertial loads resulting from the ultimate static load factors of 
Sec. 23.561(b)(3), assuming the maximum allowed baggage or cargo weight 
for the compartment.
    (c) For airplanes that are used only for the carriage of cargo, the 
flightcrew emergency exits must meet the requirements of Sec. 23.807 
under any cargo loading conditions.

[Doc. No. 27806, 61 FR 5167, Feb. 9, 1996]



Sec. 23.791  Passenger information signs.

    For those airplanes in which the flightcrew members cannot observe 
the other occupants' seats or where the flightcrew members' compartment 
is separated from the passenger compartment, there must be at least one 
illuminated sign (using either letters or symbols) notifying all 
passengers when seat belts should be fastened. Signs that notify when 
seat belts should be fastened must:
    (a) When illuminated, be legible to each person seated in the 
passenger compartment under all probable lighting conditions; and
    (b) Be installed so that a flightcrew member can, when seated at the 
flightcrew member's station, turn the illumination on and off.

[Doc. No. 27806, 61 FR 5167, Feb. 9, 1996]



Sec. 23.803  Emergency evacuation.

    (a) For commuter category airplanes, an evacuation demonstration 
must be conducted utilizing the maximum number of occupants for which 
certification is desired. The demonstration must be conducted under 
simulated night conditions using only the emergency exits on the most 
critical side of the airplane. The participants must be representative 
of average airline passengers with no prior practice or rehearsal for 
the demonstration. Evacuation must be completed within 90 seconds.
    (b) In addition, when certification to the emergency exit provisions 
of Sec. 23.807(d)(4) is requested, only the emergency lighting system 
required by Sec. 23.812 may be used to provide cabin interior 
illumination during the evacuation demonstration required in paragraph 
(a) of this section.

[Amdt. 23-34, 52 FR 1831, Jan. 15, 1987, as amended by Amdt. 23-46, 59 
FR 25773, May 17, 1994]



Sec. 23.805  Flightcrew emergency exits.

    For airplanes where the proximity of the passenger emergency exits 
to the flightcrew area does not offer a convenient and readily 
accessible means of evacuation for the flightcrew, the following apply:
    (a) There must be either one emergency exit on each side of the 
airplane, or a top hatch emergency exit, in the flightcrew area;

[[Page 247]]

    (b) Each emergency exit must be located to allow rapid evacuation of 
the crew and have a size and shape of at least a 19- by 20-inch 
unobstructed rectangular opening; and
    (c) For each emergency exit that is not less than six feet from the 
ground, an assisting means must be provided. The assisting means may be 
a rope or any other means demonstrated to be suitable for the purpose. 
If the assisting means is a rope, or an approved device equivalent to a 
rope, it must be--
    (1) Attached to the fuselage structure at or above the top of the 
emergency exit opening or, for a device at a pilot's emergency exit 
window, at another approved location if the stowed device, or its 
attachment, would reduce the pilot's view; and
    (2) Able (with its attachment) to withstand a 400-pound static load.

[Doc. No. 26324, 59 FR 25773, May 17, 1994]



Sec. 23.807  Emergency exits.

    (a) Number and location. Emergency exits must be located to allow 
escape without crowding in any probable crash attitude. The airplane 
must have at least the following emergency exits:
    (1) For all airplanes with a seating capacity of two or more, 
excluding airplanes with canopies, at least one emergency exit on the 
opposite side of the cabin from the main door specified in Sec. 23.783 
of this part.
    (2) [Reserved]
    (3) If the pilot compartment is separated from the cabin by a door 
that is likely to block the pilot's escape in a minor crash, there must 
be an exit in the pilot's compartment. The number of exits required by 
paragraph (a)(1) of this section must then be separately determined for 
the passenger compartment, using the seating capacity of that 
compartment.
    (4) Emergency exits must not be located with respect to any 
propeller disk or any other potential hazard so as to endanger persons 
using that exit.
    (b) Type and operation. Emergency exits must be movable windows, 
panels, canopies, or external doors, openable from both inside and 
outside the airplane, that provide a clear and unobstructed opening 
large enough to admit a 19-by-26-inch ellipse. Auxiliary locking devices 
used to secure the airplane must be designed to be overridden by the 
normal internal opening means. The inside handles of emergency exits 
that open outward must be adequately protected against inadvertent 
operation. In addition, each emergency exit must--
    (1) Be readily accessible, requiring no exceptional agility to be 
used in emergencies;
    (2) Have a method of opening that is simple and obvious;
    (3) Be arranged and marked for easy location and operation, even in 
darkness;
    (4) Have reasonable provisions against jamming by fuselage 
deformation; and
    (5) In the case of acrobatic category airplanes, allow each occupant 
to abandon the airplane at any speed between VSO and 
VD; and
    (6) In the case of utility category airplanes certificated for 
spinning, allow each occupant to abandon the airplane at the highest 
speed likely to be achieved in the maneuver for which the airplane is 
certificated.
    (c) Tests. The proper functioning of each emergency exit must be 
shown by tests.
    (d) Doors and exits. In addition, for commuter category airplanes, 
the following requirements apply:
    (1) In addition to the passenger entry door--
    (i) For an airplane with a total passenger seating capacity of 15 or 
fewer, an emergency exit, as defined in paragraph (b) of this section, 
is required on each side of the cabin; and
    (ii) For an airplane with a total passenger seating capacity of 16 
through 19, three emergency exits, as defined in paragraph (b) of this 
section, are required with one on the same side as the passenger entry 
door and two on the side opposite the door.
    (2) A means must be provided to lock each emergency exit and to 
safeguard against its opening in flight, either inadvertently by persons 
or as a result of mechanical failure. In addition, a means for direct 
visual inspection of the locking mechanism must be provided to determine 
that each emergency exit for which the initial opening movement is 
outward is fully locked.

[[Page 248]]

    (3) Each required emergency exit, except floor level exits, must be 
located over the wing or, if not less than six feet from the ground, 
must be provided with an acceptable means to assist the occupants to 
descend to the ground. Emergency exits must be distributed as uniformly 
as practical, taking into account passenger seating configuration.
    (4) Unless the applicant has complied with paragraph (d)(1) of this 
section, there must be an emergency exit on the side of the cabin 
opposite the passenger entry door, provided that--
    (i) For an airplane having a passenger seating configuration of nine 
or fewer, the emergency exit has a rectangular opening measuring not 
less than 19 inches by 26 inches high with corner radii not greater than 
one-third the width of the exit, located over the wing, with a step up 
inside the airplane of not more than 29 inches and a step down outside 
the airplane of not more than 36 inches;
    (ii) For an airplane having a passenger seating configuration of 10 
to 19 passengers, the emergency exit has a rectangular opening measuring 
not less than 20 inches wide by 36 inches high, with corner radii not 
greater than one-third the width of the exit, and with a step up inside 
the airplane of not more than 20 inches. If the exit is located over the 
wing, the step down outside the airplane may not exceed 27 inches; and
    (iii) The airplane complies with the additional requirements of 
Secs. 23.561(b)(2)(iv), 23.803(b), 23.811(c), 23.812, 23.813(b), and 
23.815.
    (e) For multiengine airplanes, ditching emergency exits must be 
provided in accordance with the following requirements, unless the 
emergency exits required by paragraph (a) or (d) of this section already 
comply with them:
    (1) One exit above the waterline on each side of the airplane having 
the dimensions specified in paragraph (b) or (d) of this section, as 
applicable; and
    (2) If side exits cannot be above the waterline, there must be a 
readily accessible overhead hatch emergency exit that has a rectangular 
opening measuring not less than 20 inches wide by 36 inches long, with 
corner radii not greater than one-third the width of the exit.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964, as amended by Amdt. 23-7, 34 
FR 13092, Aug. 13, 1969; Amdt. 23-10, 36 FR 2864, Feb. 11, 1971; Amdt. 
23-34, 52 FR 1831, Jan. 15, 1987; Amdt. 23-36, 53 FR 30814, Aug. 15, 
1988; 53 FR 34194, Sept. 2, 1988; Amdt. 23-46, 59 FR 25773, May 17, 
1994; Amdt. 23-49, 61 FR 5167, Feb. 9, 1996]



Sec. 23.811  Emergency exit marking.

    (a) Each emergency exit and external door in the passenger 
compartment must be externally marked and readily identifiable from 
outside the airplane by--
    (1) A conspicuous visual identification scheme; and
    (2) A permanent decal or placard on or adjacent to the emergency 
exit which shows the means of opening the emergency exit, including any 
special instructions, if applicable.
    (b) In addition, for commuter category airplanes, these exits and 
doors must be internally marked with the word ``exit'' by a sign which 
has white letters 1 inch high on a red background 2 inches high, be 
self-illuminated or independently, internally electrically illuminated, 
and have a minimum brightness of at least 160 microlamberts. The color 
may be reversed if the passenger compartment illumination is essentially 
the same.
    (c) In addition, when certification to the emergency exit provisions 
of Sec. 23.807(d)(4) is requested, the following apply:
    (1) Each emergency exit, its means of access, and its means of 
opening, must be conspicuously marked;
    (2) The identity and location of each emergency exit must be 
recognizable from a distance equal to the width of the cabin;
    (3) Means must be provided to assist occupants in locating the 
emergency exits in conditions of dense smoke;
    (4) The location of the operating handle and instructions for 
opening each emergency exit from inside the airplane must be shown by 
marking that is readable from a distance of 30 inches;
    (5) Each passenger entry door operating handle must--
    (i) Be self-illuminated with an initial brightness of at least 160 
microlamberts; or

[[Page 249]]

    (ii) Be conspicuously located and well illuminated by the emergency 
lighting even in conditions of occupant crowding at the door;
    (6) Each passenger entry door with a locking mechanism that is 
released by rotary motion of the handle must be marked--
    (i) With a red arrow, with a shaft of at least three-fourths of an 
inch wide and a head twice the width of the shaft, extending along at 
least 70 degrees of arc at a radius approximately equal to three-fourths 
of the handle length;
    (ii) So that the center line of the exit handle is within 
 one inch of the projected point of the arrow when the 
handle has reached full travel and has released the locking mechanism;
    (iii) With the word ``open'' in red letters, one inch high, placed 
horizontally near the head of the arrow; and
    (7) In addition to the requirements of paragraph (a) of this 
section, the external marking of each emergency exit must--
    (i) Include a 2-inch colorband outlining the exit; and
    (ii) Have a color contrast that is readily distinguishable from the 
surrounding fuselage surface. The contrast must be such that if the 
reflectance of the darker color is 15 percent or less, the reflectance 
of the lighter color must be at least 45 percent. ``Reflectance'' is the 
ratio of the luminous flux reflected by a body to the luminous flux it 
receives. When the reflectance of the darker color is greater than 15 
percent, at least a 30 percent difference between its reflectance and 
the reflectance of the lighter color must be provided.

[Amdt. 23-36, 53 FR 30814, Aug. 15, 1988; 53 FR 34194, Sept. 2, 1988, as 
amended by Amdt. 23-46, 59 FR 25773, May 17, 1994]



Sec. 23.812  Emergency lighting.

    When certification to the emergency exit provisions of 
Sec. 23.807(d)(4) is requested, the following apply:
    (a) An emergency lighting system, independent of the main cabin 
lighting system, must be installed. However, the source of general cabin 
illumination may be common to both the emergency and main lighting 
systems if the power supply to the emergency lighting system is 
independent of the power supply to the main lighting system.
    (b) There must be a crew warning light that illuminates in the 
cockpit when power is on in the airplane and the emergency lighting 
control device is not armed.
    (c) The emergency lights must be operable manually from the 
flightcrew station and be provided with automatic activation. The 
cockpit control device must have ``on,'' ``off,'' and ``armed'' 
positions so that, when armed in the cockpit, the lights will operate by 
automatic activation.
    (d) There must be a means to safeguard against inadvertent operation 
of the cockpit control device from the ``armed'' or ``on'' positions.
    (e) The cockpit control device must have provisions to allow the 
emergency lighting system to be armed or activated at any time that it 
may be needed.
    (f) When armed, the emergency lighting system must activate and 
remain lighted when--
    (1) The normal electrical power of the airplane is lost; or
    (2) The airplane is subjected to an impact that results in a 
deceleration in excess of 2g and a velocity change in excess of 3.5 
feet-per-second, acting along the longitudinal axis of the airplane; or
    (3) Any other emergency condition exists where automatic activation 
of the emergency lighting is necessary to aid with occupant evacuation.
    (g) The emergency lighting system must be capable of being turned 
off and reset by the flightcrew after automatic activation.
    (h) The emergency lighting system must provide internal lighting, 
including--
    (1) Illuminated emergency exit marking and locating signs, including 
those required in Sec. 23.811(b);
    (2) Sources of general illumination in the cabin that provide an 
average illumination of not less than 0.05 foot-candle and an 
illumination at any point of not less than 0.01 foot-candle when 
measured along the center line of the main passenger aisle(s) and at the 
seat armrest height; and
    (3) Floor proximity emergency escape path marking that provides 
emergency

[[Page 250]]

evacuation guidance for the airplane occupants when all sources of 
illumination more than 4 feet above the cabin aisle floor are totally 
obscured.
    (i) The energy supply to each emergency lighting unit must provide 
the required level of illumination for at least 10 minutes at the 
critical ambient conditions after activation of the emergency lighting 
system.
    (j) If rechargeable batteries are used as the energy supply for the 
emergency lighting system, they may be recharged from the main 
electrical power system of the airplane provided the charging circuit is 
designed to preclude inadvertent battery discharge into the charging 
circuit faults. If the emergency lighting system does not include a 
charging circuit, battery condition monitors are required.
    (k) Components of the emergency lighting system, including 
batteries, wiring, relays, lamps, and switches, must be capable of 
normal operation after being subjected to the inertia forces resulting 
from the ultimate load factors prescribed in Sec. 23.561(b)(2).
    (l) The emergency lighting system must be designed so that after any 
single transverse vertical separation of the fuselage during a crash 
landing:
    (1) At least 75 percent of all electrically illuminated emergency 
lights required by this section remain operative; and
    (2) Each electrically illuminated exit sign required by Sec. 23.811 
(b) and (c) remains operative, except those that are directly damaged by 
the fuselage separation.

[Doc. No. 26324, 59 FR 25774, May 17, 1994]



Sec. 23.813  Emergency exit access.

    (a) For commuter category airplanes, access to window-type emergency 
exits may not be obstructed by seats or seat backs.
    (b) In addition, when certification to the emergency exit provisions 
of Sec. 23.807(d)(4) is requested, the following emergency exit access 
must be provided:
    (1) The passageway leading from the aisle to the passenger entry 
door must be unobstructed and at least 20 inches wide.
    (2) There must be enough space next to the passenger entry door to 
allow assistance in evacuation of passengers without reducing the 
unobstructed width of the passageway below 20 inches.
    (3) If it is necessary to pass through a passageway between 
passenger compartments to reach a required emergency exit from any seat 
in the passenger cabin, the passageway must be unobstructed; however, 
curtains may be used if they allow free entry through the passageway.
    (4) No door may be installed in any partition between passenger 
compartments unless that door has a means to latch it in the open 
position. The latching means must be able to withstand the loads imposed 
upon it by the door when the door is subjected to the inertia loads 
resulting from the ultimate static load factors prescribed in 
Sec. 23.561(b)(2).
    (5) If it is necessary to pass through a doorway separating the 
passenger cabin from other areas to reach a required emergency exit from 
any passenger seat, the door must have a means to latch it in the open 
position. The latching means must be able to withstand the loads imposed 
upon it by the door when the door is subjected to the inertia loads 
resulting from the ultimate static load factors prescribed in 
Sec. 23.561(b)(2).

[Amdt. 23-36, 53 FR 30815, Aug. 15, 1988, as amended by Amdt. 23-46, 59 
FR 25774, May 17, 1994]



Sec. 23.815  Width of aisle.

    (a) Except as provided in paragraph (b) of this section, for 
commuter category airplanes, the width of the main passenger aisle at 
any point between seats must equal or exceed the values in the following 
table:

------------------------------------------------------------------------
                                    Minimum main passenger aisle width
                                 ---------------------------------------
    Number of passenger seats        Less than 25     25 inches and more
                                   inches from floor      from floor
------------------------------------------------------------------------
10 through 19...................  9 inches..........  15 inches.
------------------------------------------------------------------------

    (b) When certification to the emergency exist provisions of 
Sec. 23.807(d)(4) is requested, the main passenger aisle width at any 
point between the seats must equal or exceed the following values:

[[Page 251]]



------------------------------------------------------------------------
                                                 Minimum main passenger
                                                  aisle width (inches)
                                               -------------------------
           Number of passenger seats             Less than    25 inches
                                                 25 inches     and more
                                                 from floor   from floor
------------------------------------------------------------------------
10 or fewer...................................       \1\ 12           15
11 through 19.................................           12           20
------------------------------------------------------------------------
\1\ A narrower width not less than 9 inches may be approved when
  substantiated by tests found necessary by the Administrator.


[Amdt. 23-34, 52 FR 1831, Jan. 15, 1987, as amended by Amdt. 23-46, 59 
FR 25774, May 17, 1994]



Sec. 23.831  Ventilation.

    (a) Each passenger and crew compartment must be suitably ventilated. 
Carbon monoxide concentration may not exceed one part in 20,000 parts of 
air.
    (b) For pressurized airplanes, the ventilating air in the flightcrew 
and passenger compartments must be free of harmful or hazardous 
concentrations of gases and vapors in normal operations and in the event 
of reasonably probable failures or malfunctioning of the ventilating, 
heating, pressurization, or other systems and equipment. If accumulation 
of hazardous quantities of smoke in the cockpit area is reasonably 
probable, smoke evacuation must be readily accomplished starting with 
full pressurization and without depressurizing beyond safe limits.

[Doc. No. 4080, 29 FR 17955, Dec. 18, 1964; 30 FR 258, Jan. 9, 1965, as 
amended by Amdt. 23-34, 52 FR 1831, Jan. 15, 1987; Amdt. 23-42, 56 FR 
354, Jan. 3, 1991]

                             Pressurization



Sec. 23.841  Pressurized cabins.

    (a) If certification for operation over 25,000 feet is requested, 
the airplane must be able to maintain a cabin pressure altitude of not 
more than 15,000 feet in event of any probable failure or malfunction in 
the pressurization system.
    (b) Pressurized cabins must have at least the following valves, 
controls, and indicators, for controlling cabin pressure:
    (1) Two pressure relief valves to automatically limit the positive 
pressure differential to a predetermined value at the maximum rate of 
flow delivered by the pressure source. The combined capacity of the 
relief valves must be large enough so that the failure of any one valve 
would not cause an appreciable rise in the pressure differential. The 
pressure differential is positive when the internal pressure is greater 
than the external.
    (2) Two reverse pressure differential relief valves (or their 
equivalent) to automatically prevent a negative pressure differential 
that would damage the structure. However, one valve is enough if it is 
of a design that reasonably precludes its malfunctioning.
    (3) A means by which the pressure differential can be rapidly 
equalized.
    (4) An automatic or manual regulator for controlling the intake or 
exhaust airflow, or both, for maintaining the required internal 
pressures and airflow rates.
    (5) Instruments to indicate to the pilot the pressure differential, 
the cabin pressure altitude, and the rate of change of cabin pressure 
altitude.
    (6) Warning indication at the pilot station to indicate when the 
safe or preset pressure differential is exceeded and when a cabin 
pressure altitude of 10,000 feet is exceeded.
    (7) A warning placard for the pilot if the structure is not designed 
for pressure differentials up to the maximum relief valve setting in 
combination with landing loads.
    (8) A means to stop rotation of the compressor or to divert airflow 
from the cabin if continued rotation of an engine-driven cabin 
compressor or continued flow of any compressor bleed air will create a 
hazard if a malfunction occurs.

[Amdt. 23-14, 38 FR 31822, Nov. 19, 1973, as amended by Amdt. 23-17, 41 
FR 55464, Dec. 20, 1976; Amdt. 23-49, 61 FR 5167, Feb. 9, 1996]



Sec. 23.843  Pressurization tests.

    (a) Strength test. The complete pressurized cabin, including doors, 
windows, canopy, and valves, must be tested as a pressure vessel for the 
pressure differential specified in Sec. 23.365(d).
    (b) Functional tests. The following functional tests must be 
performed:
    (1) Tests of the functioning and capacity of the positive and 
negative pressure differential valves, and of the emergency release 
valve, to simulate the effects of closed regulator valves.

[[Page 252]]

    (2) Tests of the pressurization system to show proper functioning 
under each possible condition of pressure, temperature, and moisture, up 
to the maximum altitude for which certification is requested.
    (3) Flight tests, to show the performance of the pressure supply, 
pressure and flow regulators, indicators, and warning signals, in steady 
and stepped climbs and descents at rates corresponding to the maximum 
attainable within the operating limitations of the airplane, up to the 
maximum altitude for which certification is requested.
    (4) Tests of each door and emergency exit, to show that they operate 
properly after being subjected to the flight tests prescribed in 
paragraph (b)(3) of this section.

                             Fire Protection



Sec. 23.851  Fire extinguishers.

    (a) There must be at least one hand fire extinguisher for use in the 
pilot compartment that is located within easy access of the pilot while 
seated.
    (b) There must be at least one hand fire extinguisher located 
conveniently in the passenger compartment--
    (1) Of each airplane accommodating more than 6 passengers; and
    (2) Of each commuter category airplane.
    (c) For hand fire extinguishers, the following apply:
    (1) The type and quantity of each extinguishing agent used must be 
appropriate to the kinds of fire likely to occur where that agent is to 
be used.
    (2) Each extinguisher for use in a personnel compartment must be 
designed to minimize the hazard of toxic gas concentrations.

[Doc. No. 26269, 58 FR 42165, Aug. 6, 1993]



Sec. 23.853  Passenger and crew compartment interiors.

    For each compartment to be used by the crew or passengers:
    (a) The materials must be at least flame-resistant;
    (b) [Reserved]
    (c) If smoking is to be prohibited, there must be a placard so 
stating, and if smoking is to be allowed--
    (1) There must be an adequate number of self-contained, removable 
ashtrays; and
    (2) Where the crew compartment is separated from the passenger 
compartment, there must be at least one illuminated sign (using either 
letters or symbols) notifying all passengers when smoking is prohibited. 
Signs which notify when smoking is prohibited must--
    (i) When illuminated, be legible to each passenger seated in the 
passenger cabin under all probable lighting conditions; and
    (ii) Be so constructed that the crew can turn the illumination on 
and off; and
    (d) In addition, for commuter category airplanes the following 
requirements apply:
    (1) Each disposal receptacle for towels, paper, or waste must be 
fully enclosed and constructed of at least fire resistant materials and 
must contain fires likely to occur in it under normal use. The ability 
of the disposal receptacle to contain those fires under all probable 
conditions of wear, misalignment, and ventilation expected in service 
must be demonstrated by test. A placard containing the legible words 
``No Cigarette Disposal'' must be located on or near each disposal 
receptacle door.
    (2) Lavatories must have ``No Smoking'' or ``No Smoking in 
Lavatory'' placards located conspicuously on each side of the entry door 
and self-contained, removable ashtrays located conspicuously on or near 
the entry side of each lavatory door, except that one ashtray may serve 
more than one lavatory door if it can be seen from the cabin side of 
each lavatory door served. The placards must have red letters at least 
\1/2\ inch high on a white background at least 1 inch high (a ``No 
Smoking'' symbol may be included on the placard).
    (3) Materials (including finishes or decorative surfaces applied to 
the materials) used in each compartment occupied by the crew or 
passengers must meet the following test criteria as applicable:
    (i) Interior ceiling panels, interior wall panels, partitions, 
galley structure, large cabinet walls, structural

[[Page 253]]

flooring, and materials used in the construction of stowage compartments 
(other than underseat stowage compartments and compartments for stowing 
small items such as magazines and maps) must be self-extinguishing when 
tested vertically in accordance with the applicable portions of appendix 
F of this part or by other equivalent methods. The average burn length 
may not exceed 6 inches and the average flame time after removal of the 
flame source may not exceed 15 seconds. Drippings from the test specimen 
may not continue to flame for more than an average of 3 seconds after 
falling.
    (ii) Floor covering, textiles (including draperies and upholstery), 
seat cushions, padding, decorative and nondecorative coated fabrics, 
leather, trays and galley furnishings, electrical conduit, thermal and 
acoustical insulation and insulation covering, air ducting, joint and 
edge covering, cargo compartment liners, insulation blankets, cargo 
covers and transparencies, molded and thermoformed parts, air ducting 
joints, and trim strips (decorative and chafing), that are constructed 
of materials not covered in paragraph (d)(3)(iv) of this section must be 
self extinguishing when tested vertically in accordance with the 
applicable portions of appendix F of this part or other approved 
equivalent methods. The average burn length may not exceed 8 inches and 
the average flame time after removal of the flame source may not exceed 
15 seconds. Drippings from the test specimen may not continue to flame 
for more than an average of 5 seconds after falling.
    (iii) Motion picture film must be safety film meeting the Standard 
Specifications for Safety Photographic Film PH1.25 (available from the 
American National Standards Institute, 1430 Broadway, New York, N.Y. 
10018) or an FAA approved equivalent. If the film travels through ducts, 
the ducts must meet the requirements of paragraph (d)(3)(ii) of this 
section.
    (iv) Acrylic windows and signs, parts constructed in whole or in 
part of elastomeric materials, edge-lighted instrument assemblies 
consisting of two or more instruments in a common housing, seatbelts, 
shoulder harnesses, and cargo and baggage tiedown equipment, including 
containers, bins, pallets, etc., used in passenger or crew compartments, 
may not have an average burn rate greater than 2.5 inches per minute 
when tested horizontally in accordance with the applicable portions of 
appendix F of this part or by other approved equivalent methods.
    (v) Except for electrical wire cable insulation, and for small parts 
(such as knobs, handles, rollers, fasteners, clips, grommets, rub 
strips, pulleys, and small electrical parts) that the Administrator 
finds would not contribute significantly to the propagation of a fire, 
materials in items not specified in paragraphs (d)(3)(i), (ii), (iii), 
or (iv) of this section may not have a burn rate greater than 4.0 inches 
per minute when tested horizontally in accordance with the applicable 
portions of appendix F of this part or by other approved equivalent 
methods.
    (e) Lines, tanks, or equipment containing fuel, oil, or other 
flammable fluids may not be installed in such compartments unless 
adequately shielded, isolated, or otherwise protected so that any 
breakage or failure of such an item would not create a hazard.
    (f) Airplane materials located on the cabin side of the firewall 
must be self-extinguishing or be located at such a distance from the 
firewall, or otherwise protected, so that ignition will not occur if the 
firewall is subjected to a flame temperature of not less than 2,000 
degrees F for 15 minutes. For self-extinguishing materials (except 
electrical wire and cable insulation and small parts that the 
Administrator finds would not contribute significantly to the 
propagation of a fire), a vertifical self-extinguishing test must be 
conducted in accordance with appendix F of this part or an equivalent 
method approved by the Administrator. The average burn length of the 
material may not exceed 6 inches and the average flame time after 
removal of the flame source may not exceed 15 seconds. Drippings from 
the material test specimen may not continue to

[[Page 254]]

flame for more than an average of 3 seconds after falling.

[Amdt. 23-14, 23 FR 31822, Nov. 19, 1973, as amended by Amdt. 23-23, 43 
FR 50593, Oct. 30, 1978; Amdt. 23-25, 45 FR 7755, Feb. 4, 1980; Amdt. 
23-34, 52 FR 1831, Jan. 15, 1987]



Sec. 23.855  Cargo and baggage compartment fire protection.

    (a) Sources of heat within each cargo and baggage compartment that 
are capable of igniting the compartment contents must be shielded and 
insulated to prevent such ignition.
    (b) Each cargo and baggage compartment must be constructed of 
materials that meet the appropriate provisions of Sec. 23.853(d)(3).
    (c) In addition, for commuter category airplanes, each cargo and 
baggage compartment must:
    (1) Be located where the presence of a fire would be easily 
discovered by the pilots when seated at their duty station, or it must 
be equipped with a smoke or fire detector system to give a warning at 
the pilots' station, and provide sufficient access to enable a pilot to 
effectively reach any part of the compartment with the contents of a 
hand held fire extinguisher, or
    (2) Be equipped with a smoke or fire detector system to give a 
warning at the pilots' station and have ceiling and sidewall liners and 
floor panels constructed of materials that have been subjected to and 
meet the 45 degree angle test of appendix F of this part. The flame may 
not penetrate (pass through) the material during application of the 
flame or subsequent to its removal. The average flame time after removal 
of the flame source may not exceed 15 seconds, and the average glow time 
may not exceed 10 seconds. The compartment must be constructed to 
provide fire protection that is not less than that required of its 
individual panels; or
    (3) Be constructed and sealed to contain any fire within the 
compartment.

[Doc. No. 27806, 61 FR 5167, Feb. 9, 1996]



Sec. 23.859  Combustion heater fire protection.

    (a) Combustion heater fire regions. The following combustion heater 
fire regions must be protected from fire in accordance with the 
applicable provisions of Secs. 23.1182 through 23.1191 and 23.1203:
    (1) The region surrounding the heater, if this region contains any 
flammable fluid system components (excluding the heater fuel system) 
that could--
    (i) Be damaged by heater malfunctioning; or
    (ii) Allow flammable fluids or vapors to reach the heater in case of 
leakage.
    (2) The region surrounding the heater, if the heater fuel system has 
fittings that, if they leaked, would allow fuel vapor to enter this 
region.
    (3) The part of the ventilating air passage that surrounds the 
combustion chamber.
    (b) Ventilating air ducts. Each ventilating air duct passing through 
any fire region must be fireproof. In addition--
    (1) Unless isolation is provided by fireproof valves or by equally 
effective means, the ventilating air duct downstream of each heater must 
be fireproof for a distance great enough to ensure that any fire 
originating in the heater can be contained in the duct; and
    (2) Each part of any ventilating duct passing through any region 
having a flammable fluid system must be constructed or isolated from 
that system so that the malfunctioning of any component of that system 
cannot introduce flammable fluids or vapors into the ventilating 
airstream.
    (c) Combustion air ducts. Each combustion air duct must be fireproof 
for a distance great enough to prevent damage from backfiring or reverse 
flame propagation. In addition--
    (1) No combustion air duct may have a common opening with the 
ventilating airstream unless flames from backfires or reverse burning 
cannot enter the ventilating airstream under any operating condition, 
including reverse flow o