<LRH>14 CFR Ch. I (1-1-10 Edition)</LRH> <RRH>Federal Aviation Administration, DOT</RRH> <CFRTITLE> <TITLEHD> <PRTPAGE P="1"/> <HD SOURCE="HED">Title 14—Aeronautics and Space</HD> (This book contains parts 1 to 59) </TITLEHD> <CFRTOC> <PTHD>Part</PTHD> <CHAPTI> <SUBJECT> <E T="04">chapter i</E>—Federal Aviation Administration, Department of Transportation</SUBJECT> <PG>1</PG> </CHAPTI> </CFRTOC> </CFRTITLE> <CHAPTER> <TOC> <TOCHD> <PRTPAGE P="3"/> <HD SOURCE="HED">CHAPTER I—FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION</HD> </TOCHD> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER A—DEFINITIONS</HD> </SUBCHAP> <PTHD>Part</PTHD> <PGHD>Page</PGHD> <CHAPTI> <PT>1</PT> <SUBJECT>Definitions and abbreviations</SUBJECT> <PG>5</PG> <PT>3</PT> <SUBJECT>General requirements</SUBJECT> <PG>21</PG> </CHAPTI> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER B—PROCEDURAL RULES</HD> </SUBCHAP> <CHAPTI> <PT>11</PT> <SUBJECT>General rulemaking procedures</SUBJECT> <PG>22</PG> <PT>13</PT> <SUBJECT>Investigative and enforcement procedures</SUBJECT> <PG>33</PG> <PT>14</PT> <SUBJECT>Rules implementing the Equal Access to Justice Act of 1980</SUBJECT> <PG>80</PG> <PT>15</PT> <SUBJECT>Administrative claims under Federal Tort Claims Act</SUBJECT> <PG>86</PG> <PT>16</PT> <SUBJECT>Rules of practice for Federally-assisted airport enforcement proceedings.</SUBJECT> <PG>90</PG> <PT>17</PT> <SUBJECT>Procedures for protests and contracts disputes</SUBJECT> <PG>106</PG> </CHAPTI> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER C—AIRCRAFT</HD> </SUBCHAP> <CHAPTI> <PT>21</PT> <SUBJECT>Certification procedures for products and parts</SUBJECT> <PG>122</PG> <PT>23</PT> <SUBJECT>Airworthiness standards: Normal, utility, acrobatic, and commuter category airplanes</SUBJECT> <PG>189</PG> <PT>25</PT> <SUBJECT>Airworthiness standards: Transport category airplanes</SUBJECT> <PG>366</PG> <PT>26</PT> <SUBJECT>Continued airworthiness and safety improvements for transport category airplanes</SUBJECT> <PG>623</PG> <PT>27</PT> <SUBJECT>Airworthiness standards: Normal category rotorcraft</SUBJECT> <PG>635</PG> <PT>29</PT> <SUBJECT>Airworthiness standards: Transport category rotorcraft</SUBJECT> <PG>718</PG> <PT>31</PT> <SUBJECT>Airworthiness standards: Manned free balloons</SUBJECT> <PG>836</PG> <PT>33</PT> <SUBJECT>Airworthiness standards: Aircraft engines</SUBJECT> <PG>843</PG> <PT>34</PT> <SUBJECT>Fuel venting and exhaust emission requirements for turbine-engine powered airplanes</SUBJECT> <PG>883</PG> <PT>35</PT> <SUBJECT>Airworthiness standards: Propellers</SUBJECT> <PG>893<PRTPAGE P="4"/> </PG> <PT>36</PT> <SUBJECT>Noise standards: Aircraft type and airworthiness certification</SUBJECT> <PG>901</PG> <PT>39</PT> <SUBJECT>Airworthiness directives</SUBJECT> <PG>971</PG> <PT>43</PT> <SUBJECT>Maintenance, preventive maintenance, rebuilding, and alteration</SUBJECT> <PG>973</PG> <PT>45</PT> <SUBJECT>Identification and registration marking</SUBJECT> <PG>989</PG> <PT>47</PT> <SUBJECT>Aircraft registration</SUBJECT> <PG>997</PG> <PT>49</PT> <SUBJECT>Recording of aircraft titles and security documents</SUBJECT> <PG>1010</PG> <PT>50-59</PT> <RESERVED>[Reserved]</RESERVED> </CHAPTI> </TOC> <SUBCHAP TYPE="N"> <PRTPAGE P="5"/> <HD SOURCE="HED">SUBCHAPTER A—DEFINITIONS</HD> <PART> <EAR>Pt. 1</EAR> <HD SOURCE="HED">PART 1—DEFINITIONS AND ABBREVIATIONS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>1.1</SECTNO> <SUBJECT>General definitions.</SUBJECT> <SECTNO>1.2</SECTNO> <SUBJECT>Abbreviations and symbols.</SUBJECT> <SECTNO>1.3</SECTNO> <SUBJECT>Rules of construction.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 49 U.S.C. 106(g), 40113, 44701. </AUTH> <SECTION> <SECTNO>§ 1.1</SECTNO> <SUBJECT>General definitions.</SUBJECT> <EXT-XREF HREF="20091016" REFID="28">Link to an amendment published at 74 FR 53384, October 16, 2009.</EXT-XREF> As used in Subchapters A through K of this chapter, unless the context requires otherwise: <E T="03">Administrator</E> means the Federal Aviation Administrator or any person to whom he has delegated his authority in the matter concerned. <E T="03">Aerodynamic coefficients</E> means non-dimensional coefficients for aerodynamic forces and moments. <E T="03">Air carrier</E> means a person who undertakes directly by lease, or other arrangement, to engage in air transportation. <E T="03">Air commerce</E> 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. <E T="03">Aircraft</E> means a device that is used or intended to be used for flight in the air. <E T="03">Aircraft engine</E> 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. <E T="03">Airframe</E> 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. <E T="03">Airplane</E> 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. <E T="03">Airport</E> 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. <E T="03">Airship</E> means an engine-driven lighter-than-air aircraft that can be steered. <E T="03">Air traffic</E> means aircraft operating in the air or on an airport surface, exclusive of loading ramps and parking areas. <E T="03">Air traffic clearance</E> 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. <E T="03">Air traffic control</E> means a service operated by appropriate authority to promote the safe, orderly, and expeditious flow of air traffic. <E T="03">Air Traffic Service (ATS) route</E> is a specified route designated for channeling the flow of traffic as necessary for the provision of air traffic services. The term “ATS route” refers to a variety of airways, including jet routes, area navigation (RNAV) routes, and arrival and departure routes. An ATS route is defined by route specifications, which may include: (1) An ATS route designator; (2) The path to or from significant points; (3) Distance between significant points; (4) Reporting requirements; and (5) The lowest safe altitude determined by the appropriate authority. <E T="03">Air transportation</E> means interstate, overseas, or foreign air transportation or the transportation of mail by aircraft. <E T="03">Alert Area.</E> 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. <E T="03">Alternate airport</E> means an airport at which an aircraft may land if a landing at the intended airport becomes inadvisable. <E T="03">Altitude engine</E> means a reciprocating aircraft engine having a rated takeoff power that is producible from sea level to an established higher altitude. <E T="03">Amateur rocket</E> means an unmanned rocket that:<PRTPAGE P="6"/> (1) Is propelled by a motor or motors having a combined total impulse of 889,600 Newton-seconds (200,000 pound-seconds) or less; and (2) Cannot reach an altitude greater than 150 kilometers (93.2 statute miles) above the earth's surface. <E T="03">Appliance</E> 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. <E T="03">Approved,</E> unless used with reference to another person, means approved by the Administrator. <E T="03">Area navigation (RNAV)</E> is a method of navigation that permits aircraft operations on any desired flight path. <E T="03">Area navigation (RNAV) route</E> is an ATS route based on RNAV that can be used by suitably equipped aircraft. <E T="03">Armed Forces</E> means the Army, Navy, Air Force, Marine Corps, and Coast Guard, including their regular and reserve components and members serving without component status. <E T="03">Autorotation</E> means a rotorcraft flight condition in which the lifting rotor is driven entirely by action of the air when the rotorcraft is in motion. <E T="03">Auxiliary rotor</E> 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. <E T="03">Balloon</E> 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. <E T="03">Brake horsepower</E> means the power delivered at the propeller shaft (main drive or main output) of an aircraft engine. <E T="03">Calibrated airspeed</E> 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. <E T="03">Canard</E> means the forward wing of a canard configuration and may be a fixed, movable, or variable geometry surface, with or without control surfaces. <E T="03">Canard configuration</E> means a configuration in which the span of the forward wing is substantially less than that of the main wing. <E T="03">Category:</E> (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. <E T="03">Category A,</E> 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. <E T="03">Category B,</E> 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. <E T="03">Category II operations,</E> 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. <E T="03">Category III operations,</E> 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. <E T="03">Category IIIa operations,</E> 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). <E T="03">Category IIIb operations,</E> an ILS approach and landing with no DH, or with <PRTPAGE P="7"/>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). <E T="03">Category IIIc operations,</E> an ILS approach and landing with no DH and no runway visual range limitation. <E T="03">Ceiling</E> 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”. <E T="03">Civil aircraft</E> means aircraft other than public aircraft. <E T="03">Class:</E> (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. <E T="03">Clearway</E> 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. <E T="03">Climbout speed,</E> with respect to rotorcraft, means a referenced airspeed which results in a flight path clear of the height-velocity envelope during initial climbout. <E T="03">Commercial operator</E> 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. <E T="03">Configuration, Maintenance, and Procedures (CMP) document</E> means a document approved by the FAA that contains minimum configuration, operating, and maintenance requirements, hardware life-limits, and Master Minimum Equipment List (MMEL) constraints necessary for an airplane-engine combination to meet ETOPS type design approval requirements. <E T="03">Consensus standard</E> means, for the purpose of certificating light-sport aircraft, an industry-developed consensus standard that applies to aircraft design, production, and airworthiness. It includes, but is not limited to, standards for aircraft design and performance, required equipment, manufacturer quality assurance systems, production acceptance test procedures, operating instructions, maintenance and inspection procedures, identification and recording of major repairs and major alterations, and continued airworthiness. <E T="03">Controlled airspace</E> 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> <HD SOURCE="HED">Note:</HD> Controlled airspace is a generic term that covers Class A, Class B, Class C, Class D, and Class E airspace. </NOTE> <E T="03">Controlled Firing Area.</E> A controlled firing area is established to contain activities, which if not conducted in a controlled environment, would be hazardous to nonparticipating aircraft. <E T="03">Crewmember</E> means a person assigned to perform duty in an aircraft during flight time.<PRTPAGE P="8"/> <E T="03">Critical altitude</E> 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. <E T="03">Critical engine</E> means the engine whose failure would most adversely affect the performance or handling qualities of an aircraft. <E T="03">Decision altitude (DA)</E> is a specified altitude in an instrument approach procedure at which the pilot must decide whether to initiate an immediate missed approach if the pilot does not see the required visual reference, or to continue the approach. Decision altitude is expressed in feet above mean sea level. <E T="03">Decision height (DH)</E> is a specified height above the ground in an instrument approach procedure at which the pilot must decide whether to initiate an immediate missed approach if the pilot does not see the required visual reference, or to continue the approach. Decision height is expressed in feet above ground level. <E T="03">Early ETOPS</E> means ETOPS type design approval obtained without gaining non-ETOPS service experience on the candidate airplane-engine combination certified for ETOPS. <E T="03">Enhanced flight visibility (EFV)</E> means the average forward horizontal distance, from the cockpit of an aircraft in flight, at which prominent topographical objects may be clearly distinguished and identified by day or night by a pilot using an enhanced flight vision system. <E T="03">Enhanced flight vision system (EFVS)</E> means an electronic means to provide a display of the forward external scene topography (the natural or manmade features of a place or region especially in a way to show their relative positions and elevation) through the use of imaging sensors, such as a forward looking infrared, millimeter wave radiometry, millimeter wave radar, low light level image intensifying. <E T="03">Equivalent airspeed</E> 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. <E T="03">ETOPS Significant System</E> means an airplane system, including the propulsion system, the failure or malfunctioning of which could adversely affect the safety of an ETOPS flight, or the continued safe flight and landing of an airplane during an ETOPS diversion. Each ETOPS significant system is either an ETOPS group 1 significant system or an ETOPS group 2 significant system. (1) An ETOPS group 1 Significant System— (i) Has fail-safe characteristics directly linked to the degree of redundancy provided by the number of engines on the airplane. (ii) Is a system, the failure or malfunction of which could result in an IFSD, loss of thrust control, or other power loss. (iii) Contributes significantly to the safety of an ETOPS diversion by providing additional redundancy for any system power source lost as a result of an inoperative engine. (iv) Is essential for prolonged operation of an airplane at engine inoperative altitudes. (2) An ETOPS group 2 significant system is an ETOPS significant system that is not an ETOPS group 1 significant system. <E T="03">Extended Operations (ETOPS)</E> means an airplane flight operation, other than an all-cargo operation in an airplane with more than two engines, during which a portion of the flight is conducted beyond a time threshold identified in part 121 or part 135 of this chapter that is determined using an approved one-engine-inoperative cruise speed under standard atmospheric conditions in still air. <E T="03">Extended over-water operation</E> means— (1) With respect to aircraft other than helicopters, an operation over <PRTPAGE P="9"/>water at a horizontal distance of more 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. <E T="03">External load</E> means a load that is carried, or extends, outside of the aircraft fuselage. <E T="03">External-load attaching means</E> 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. <E T="03">Final approach fix (FAF)</E> defines the beginning of the final approach segment and the point where final segment descent may begin. <E T="03">Final takeoff speed</E> means the speed of the airplane that exists at the end of the takeoff path in the en route configuration with one engine inoperative. <E T="03">Fireproof</E>— (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. <E T="03">Fire resistant</E>— (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. <E T="03">Flame resistant</E> means not susceptible to combustion to the point of propagating a flame, beyond safe limits, after the ignition source is removed. <E T="03">Flammable,</E> with respect to a fluid or gas, means susceptible to igniting readily or to exploding. <E T="03">Flap extended speed</E> means the highest speed permissible with wing flaps in a prescribed extended position. <E T="03">Flash resistant</E> means not susceptible to burning violently when ignited. <E T="03">Flightcrew member</E> means a pilot, flight engineer, or flight navigator assigned to duty in an aircraft during flight time. <E T="03">Flight level</E> 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. <E T="03">Flight plan</E> means specified information, relating to the intended flight of an aircraft, that is filed orally or in writing with air traffic control. <E T="03">Flight simulation training device (FSTD)</E> means a flight simulator or a flight training device. <E T="03">Flight time</E> 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. <E T="03">Flight training device (FTD)</E> means a replica of aircraft instruments, equipment, panels, and controls in an open flight deck area or an enclosed aircraft cockpit replica. It includes the equipment and computer programs necessary to represent aircraft (or set of aircraft) operations in ground and flight conditions having the full range of capabilities of the systems installed in the device as described in part 60 of this chapter and the qualification performance standard (QPS) for a specific FTD qualification level. <E T="03">Flight visibility</E> means the average forward horizontal distance, from the cockpit of an aircraft in flight, at which prominent unlighted objects <PRTPAGE P="10"/>may be seen and identified by day and prominent lighted objects may be seen and identified by night. <E T="03">Foreign air carrier</E> means any person other than a citizen of the United States, who undertakes directly, by lease or other arrangement, to engage in air transportation. <E T="03">Foreign air commerce</E> 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. <E T="03">Foreign air transportation</E> 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 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. <E T="03">Forward wing</E> 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. <E T="03">Full flight simulator (FFS)</E> means a replica of a specific type; or make, model, and series aircraft cockpit. It includes the assemblage of equipment and computer programs necessary to represent aircraft operations in ground and flight conditions, a visual system providing an out-of-the-cockpit view, a system that provides cues at least equivalent to those of a three-degree-of-freedom motion system, and has the full range of capabilities of the systems installed in the device as described in part 60 of this chapter and the qualification performance standards (QPS) for a specific FFS qualification level. <E T="03">Glider</E> 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. <E T="03">Ground visibility</E> means prevailing horizontal visibility near the earth's surface as reported by the United States National Weather Service or an accredited observer. <E T="03">Go-around power or thrust setting</E> means the maximum allowable in-flight power or thrust setting identified in the performance data. <E T="03">Gyrodyne</E> 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. <E T="03">Gyroplane</E> 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. <E T="03">Helicopter</E> means a rotorcraft that, for its horizontal motion, depends principally on its engine-driven rotors. <E T="03">Heliport</E> means an area of land, water, or structure used or intended to be used for the landing and takeoff of helicopters. <E T="03">Idle thrust</E> 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. <E T="03">IFR conditions</E> means weather conditions below the minimum for flight under visual flight rules. <E T="03">IFR over-the-top,</E> 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”. <E T="03">Indicated airspeed</E> 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. <E T="03">In-flight shutdown (IFSD)</E> means, for ETOPS only, when an engine ceases to function (when the airplane is airborne) and is shutdown, whether self induced, flightcrew initiated or caused by an external influence. The FAA considers IFSD for all causes: for example, flameout, internal failure, flightcrew <PRTPAGE P="11"/>initiated shutdown, foreign object ingestion, icing, inability to obtain or control desired thrust or power, and cycling of the start control, however briefly, even if the engine operates normally for the remainder of the flight. This definition excludes the airborne cessation of the functioning of an engine when immediately followed by an automatic engine relight and when an engine does not achieve desired thrust or power but is not shutdown. <E T="03">Instrument</E> 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. <E T="03">Instrument approach procedure (IAP)</E> is a series of predetermined maneuvers by reference to flight instruments with specified protection from obstacles and assurance of navigation signal reception capability. It begins from the initial approach fix, or where applicable, from the beginning of a defined arrival route to a point: (1) From which a landing can be completed; or (2) If a landing is not completed, to a position at which holding or en route obstacle clearance criteria apply. <E T="03">Interstate air commerce</E> 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. <E T="03">Interstate air transportation</E> 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; <FP>Whether that commerce moves wholly by aircraft of partly by aircraft and partly by other forms of transportation.</FP> <E T="03">Intrastate air transportation</E> 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. <E T="03">Kite</E> 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. <E T="03">Landing gear extended speed</E> means the maximum speed at which an aircraft can be safely flown with the landing gear extended. <E T="03">Landing gear operating speed</E> means the maximum speed at which the landing gear can be safely extended or retracted. <E T="03">Large aircraft</E> means aircraft of more than 12,500 pounds, maximum certificated takeoff weight. <E T="03">Light-sport aircraft</E> means an aircraft, other than a helicopter or powered-lift that, since its original certification, has continued to meet the following: (1) A maximum takeoff weight of not more than— (i) 1,320 pounds (600 kilograms) for aircraft not intended for operation on water; or (ii) 1,430 pounds (650 kilograms) for an aircraft intended for operation on water. (2) A maximum airspeed in level flight with maximum continuous power (V<E T="52">H</E>) of not more than 120 knots CAS under standard atmospheric conditions at sea level. (3) A maximum never-exceed speed (V<E T="52">NE</E>) of not more than 120 knots CAS for a glider. (4) A maximum stalling speed or minimum steady flight speed without the use of lift-enhancing devices (V<E T="52">S1</E>) of not more than 45 knots CAS at the aircraft's maximum certificated takeoff <PRTPAGE P="12"/>weight and most critical center of gravity. (5) A maximum seating capacity of no more than two persons, including the pilot. (6) A single, reciprocating engine, if powered. (7) A fixed or ground-adjustable propeller if a powered aircraft other than a powered glider. (8) A fixed or autofeathering propeller system if a powered glider. (9) A fixed-pitch, semi-rigid, teetering, two-blade rotor system, if a gyroplane. (10) A nonpressurized cabin, if equipped with a cabin. (11) Fixed landing gear, except for an aircraft intended for operation on water or a glider. (12) Fixed or retractable landing gear, or a hull, for an aircraft intended for operation on water. (13) Fixed or retractable landing gear for a glider. <E T="03">Lighter-than-air aircraft</E> means aircraft that can rise and remain suspended by using contained gas weighing less than the air that is displaced by the gas. <E T="03">Load factor</E> 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. <E T="03">Long-range communication system (LRCS).</E> A system that uses satellite relay, data link, high frequency, or another approved communication system which extends beyond line of sight. <E T="03">Long-range navigation system (LRNS).</E> 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. <E T="03">Mach number</E> means the ratio of true airspeed to the speed of sound. <E T="03">Main rotor</E> means the rotor that supplies the principal lift to a rotorcraft. <E T="03">Maintenance</E> means inspection, overhaul, repair, preservation, and the replacement of parts, but excludes preventive maintenance. <E T="03">Major alteration</E> 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. <E T="03">Major repair</E> 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. <E T="03">Manifold pressure</E> means absolute pressure as measured at the appropriate point in the induction system and usually expressed in inches of mercury. <E T="03">Maximum engine overtorque</E>, as it applies to turbopropeller and turboshaft engines incorporating free power turbines for all ratings except one engine inoperative (OEI) ratings of two minutes or less, means the maximum torque of the free power turbine rotor assembly, the inadvertent occurrence of which, for periods of up to 20 seconds, will not require rejection of the engine from service, or any maintenance action other than to correct the cause. <E T="03">Maximum speed for stability characteristics, V</E> <E T="52">FC</E>/M<E T="52">FC</E> means a speed that may not be less than a speed midway between maximum operating limit speed (V<E T="52">MO</E>/M<E T="52">MO</E>) and demonstrated flight diving speed (V<E T="52">DF</E>/M<E T="52">DF</E>), except that, for altitudes where the Mach number is the limiting factor, M<E T="52">FC</E> need not exceed the Mach number at which effective speed warning occurs. <E T="03">Medical certificate</E> means acceptable evidence of physical fitness on a form prescribed by the Administrator. <E T="03">Military operations area.</E> 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.<PRTPAGE P="13"/> <E T="03">V</E> <E T="24">A</E>means design maneuvering speed. <E T="03">V</E> <E T="24">B</E>means design speed for maximum gust intensity. <E T="03">V</E> <E T="24">C</E>means design cruising speed. <E T="03">V</E> <E T="24">D</E>means design diving speed. <E T="03">V</E> <E T="24">DF</E>/<E T="03">M</E> <E T="24">DF</E>means demonstrated flight diving speed. <E T="03">V</E> <E T="24">EF</E>means the speed at which the critical engine is assumed to fail during takeoff. <E T="03">V</E> <E T="24">F</E>means design flap speed. <E T="03">V</E> <E T="24">FC</E>/<E T="03">M</E> <E T="24">FC</E>means maximum speed for stability characteristics. <E T="03">V</E> <E T="24">FE</E>means maximum flap extended speed. <E T="03">V</E> <E T="24">H</E>means maximum speed in level flight with maximum continuous power. <E T="03">V</E> <E T="24">LE</E>means maximum landing gear extended speed. <E T="03">V</E> <E T="24">LO</E>means maximum landing gear operating speed. <E T="03">V</E> <E T="24">LOF</E>means lift-off speed. <E T="03">V</E> <E T="24">MC</E>means minimum control speed with the critical engine inoperative. <E T="03">V</E> <E T="24">MO</E>/<E T="03">M</E> <E T="24">MO</E>means maximum operating limit speed. <E T="03">V</E> <E T="24">MU</E>means minimum unstick speed. <E T="03">V</E> <E T="24">NE</E>means never-exceed speed. <E T="03">V</E> <E T="24">NO</E>means maximum structural cruising speed. <E T="03">V</E> <E T="24">R</E>means rotation speed. <E T="03">V</E> <E T="24">S</E>means the stalling speed or the minimum steady flight speed at which the airplane is controllable. <E T="03">Minimum descent altitude (MDA)</E> is the lowest altitude specified in an instrument approach procedure, expressed in feet above mean sea level, to which descent is authorized on final approach or during circle-to-land maneuvering until the pilot sees the required visual references for the heliport or runway of intended landing. <E T="03">Minor alteration</E> means an alteration other than a major alteration. <E T="03">Minor repair</E> means a repair other than a major repair. <E T="03">National defense airspace</E> means airspace established by a regulation prescribed, or an order issued under, 49 U.S.C. 40103(b)(3). <E T="03">Navigable airspace</E> means airspace at and above the minimum flight altitudes prescribed by or under this chapter, including airspace needed for safe takeoff and landing. <E T="03">Night</E> means the time between the end of evening civil twilight and the beginning of morning civil twilight, as published in the American Air Almanac, converted to local time. <E T="03">Nonprecision approach procedure</E> means a standard instrument approach procedure in which no electronic glide slope is provided. <E T="03">Operate,</E> with respect to aircraft, means use, cause to use or authorize to use aircraft, for the purpose (except as provided in § 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). <E T="03">Operational control,</E> with respect to a flight, means the exercise of authority over initiating, conducting or terminating a flight. <E T="03">Overseas air commerce</E> 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. <E T="03">Overseas air transportation</E> 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. <E T="03">Over-the-top</E> means above the layer of clouds or other obscuring phenomena forming the ceiling. <E T="03">Parachute</E> means a device used or intended to be used to retard the fall of a body or object through the air. <E T="03">Person</E> means an individual, firm, partnership, corporation, company, association, joint-stock association, or <PRTPAGE P="14"/>governmental entity. It includes a trustee, receiver, assignee, or similar representative of any of them. <E T="03">Pilotage</E> means navigation by visual reference to landmarks. <E T="03">Pilot in command</E> 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. <E T="03">Pitch setting</E> 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. <E T="03">Positive control</E> means control of all air traffic, within designated airspace, by air traffic control. <E T="03">Powered parachute</E> means a powered aircraft comprised of a flexible or semi-rigid wing connected to a fuselage so that the wing is not in position for flight until the aircraft is in motion. The fuselage of a powered parachute contains the aircraft engine, a seat for each occupant and is attached to the aircraft's landing gear. <E T="03">Powered-lift</E> 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. <E T="03">Precision approach procedure</E> means a standard instrument approach procedure in which an electronic glide slope is provided, such as ILS and PAR. <E T="03">Preventive maintenance</E> means simple or minor preservation operations and the replacement of small standard parts not involving complex assembly operations. <E T="03">Prohibited area.</E> A prohibited area is airspace designated under part 73 within which no person may operate an aircraft without the permission of the using agency. <E T="03">Propeller</E> 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. <E T="03">Public aircraft</E> means any of the following aircraft when not being used for a commercial purpose or to carry an individual other than a crewmember or qualified non-crewmenber: (1) An aircraft used only for the United States Government; an aircraft owned by the Government and operated by any person for purposes related to crew training, equipment development, or demonstration; an aircraft owned and operated by the government of a State, the District of Columbia, or a territory or possession of the United States or a political subdivision of one of these governments; or an aircraft exclusively leased for at least 90 continuous days by the government of a State, the District of Columbia, or a territory or possession of the United States or a political subdivision of one of these governments. (i) For the sole purpose of determining public aircraft status, <E T="03">commercial purposes</E> means the transportation of persons or property for compensation or hire, but does not include the operation of an aircraft by the armed forces for reimbursement when that reimbursement is required by any Federal statute, regulation, or directive, in effect on November 1, 1999, or by one government on behalf of another government under a cost reimbursement agreement if the government on whose behalf the operation is conducted certifies to the Administrator of the Federal Aviation Administration that the operation is necessary to respond to a significant and imminent threat to life or property (including natural resources) and that no service by a private operator is reasonably available to meet the threat. (ii) For the sole purpose of determining public aircraft status, <E T="03">governmental function</E> means an activity undertaken by a government, such as national defense, intelligence missions, firefighting, search and rescue, law enforcement (including transport of prisoners, detainees, and illegal aliens), <PRTPAGE P="15"/>aeronautical research, or biological or geological resource management. (iii) For the sole purpose of determining public aircraft status, <E T="03">qualified non-crewmember</E> means an individual, other than a member of the crew, aboard an aircraft operated by the armed forces or an intelligence agency of the United States Government, or whose presence is required to perform, or is associated with the performance of, a governmental function. (2) An aircraft owned or operated by the armed forces or chartered to provide transportation to the armed forces if— (i) The aircraft is operated in accordance with title 10 of the United States Code; (ii) The aircraft is operated in the performance of a governmental function under title 14, 31, 32, or 50 of the United States Code and the aircraft is not used for commercial purposes; or (iii) The aircraft is chartered to provide transportation to the armed forces and the Secretary of Defense (or the Secretary of the department in which the Coast Guard is operating) designates the operation of the aircraft as being required in the national interest. (3) An aircraft owned or operated by the National Guard of a State, the District of Columbia, or any territory or possession of the United States, and that meets the criteria of paragraph (2) of this definition, qualifies as a public aircraft only to the extent that it is operated under the direct control of the Department of Defense. <E T="03">Rated 30-second OEI Power</E>, 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 continuation of one flight operation after the failure or shutdown of one engine in multiengine rotorcraft, for up to three periods of use no longer than 30 seconds each in any one flight, and followed by mandatory inspection and prescribed maintenance action. <E T="03">Rated 2-minute OEI Power</E>, 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 continuation of one flight operation after the failure or shutdown of one engine in multiengine rotorcraft, for up to three periods of use no longer than 2 minutes each in any one flight, and followed by mandatory inspection and prescribed maintenance action. <E T="03">Rated continuous OEI power</E>, 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 or shutdown of one engine of a multiengine rotorcraft. <E T="03">Rated maximum continuous augmented thrust,</E> 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. <E T="03">Rated maximum continuous power,</E> 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. <E T="03">Rated maximum continuous thrust,</E> 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. <E T="03">Rated takeoff augmented thrust,</E> with respect to turbojet engine type certification, means the approved jet thrust <PRTPAGE P="16"/>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. <E T="03">Rated takeoff power,</E> 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. <E T="03">Rated takeoff thrust,</E> 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. <E T="03">Rated 30-minute OEI power</E>, 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 one period of use no longer than 30 minutes after the failure or shutdown of one engine of a multiengine rotorcraft. <E T="03">Rated 2<FR>1/2</FR>-minute OEI power</E>, 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 periods of use no longer than 2<FR>1/2</FR> minutes each after the failure or shutdown of one engine of a multiengine rotorcraft. <E T="03">Rating</E> means a statement that, as a part of a certificate, sets forth special conditions, privileges, or limitations. <E T="03">Reference landing speed</E> means the speed of the airplane, in a specified landing configuration, at the point where it descends through the 50 foot height in the determination of the landing distance. <E T="03">Reporting point</E> means a geographical location in relation to which the position of an aircraft is reported. <E T="03">Restricted area.</E> A restricted area is airspace designated under part 73 within which the flight of aircraft, while not wholly prohibited, is subject to restriction. <E T="03">Rocket</E> 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. <E T="03">Rotorcraft</E> means a heavier-than-air aircraft that depends principally for its support in flight on the lift generated by one or more rotors. <E T="03">Rotorcraft-load combination</E> 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) <E T="03">Class A rotorcraft-load combination</E> means one in which the external load cannot move freely, cannot be jettisoned, and does not extend below the landing gear. (2) <E T="03">Class B rotorcraft-load combination</E> means one in which the external load is jettisonable and is lifted free of land or water during the rotorcraft operation. (3) <E T="03">Class C rotorcraft-load combination</E> means one in which the external load is jettisonable and remains in contact with land or water during the rotorcraft operation. (4) <E T="03">Class D rotorcraft-load combination</E> 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. <E T="03">Route segment</E> is a portion of a route bounded on each end by a fix or navigation aid (NAVAID). <E T="03">Sea level engine</E> means a reciprocating aircraft engine having a rated takeoff power that is producible only at sea level. <E T="03">Second in command</E> means a pilot who is designated to be second in command of an aircraft during flight time.<PRTPAGE P="17"/> <E T="03">Show,</E> unless the context otherwise requires, means to show to the satisfaction of the Administrator. <E T="03">Small aircraft</E> means aircraft of 12,500 pounds or less, maximum certificated takeoff weight. <E T="03">Special VFR conditions</E> 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. <E T="03">Special VFR operations</E> 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. <E T="03">Standard atmosphere</E> means the atmosphere defined in U.S. Standard Atmosphere, 1962 (Geopotential altitude tables). <E T="03">Stopway</E> 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. <E T="03">Suitable RNAV system</E> is an RNAV system that meets the required performance established for a type of operation, e.g. IFR; and is suitable for operation over the route to be flown in terms of any performance criteria (including accuracy) established by the air navigation service provider for certain routes (e.g. oceanic, ATS routes, and IAPs). An RNAV system's suitability is dependent upon the availability of ground and/or satellite navigation aids that are needed to meet any route performance criteria that may be prescribed in route specifications to navigate the aircraft along the route to be flown. Information on suitable RNAV systems is published in FAA guidance material. <E T="03">Synthetic vision</E> means a computer-generated image of the external scene topography from the perspective of the flight deck that is derived from aircraft attitude, high-precision navigation solution, and database of terrain, obstacles and relevant cultural features. <E T="03">Synthetic vision</E> system means an electronic means to display a synthetic vision image of the external scene topography to the flight crew. <E T="03">Takeoff power:</E> (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. <E T="03">Takeoff safety speed</E> means a referenced airspeed obtained after lift-off at which the required one-engine-inoperative climb performance can be achieved. <E T="03">Takeoff thrust,</E> 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. <E T="03">Tandem wing configuration</E> means a configuration having two wings of similar span, mounted in tandem. <E T="03">TCAS I</E> means a TCAS that utilizes interrogations of, and replies from, airborne radar beacon transponders and provides traffic advisories to the pilot. <E T="03">TCAS II</E> 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. <E T="03">TCAS III</E> means a TCAS that utilizes interrogation of, and replies from, airborne radar beacon transponders and <PRTPAGE P="18"/>provides traffic advisories and resolution advisories in the vertical and horizontal planes to the pilot. <E T="03">Time in service,</E> 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. <E T="03">Traffic pattern</E> means the traffic flow that is prescribed for aircraft landing at, taxiing on, or taking off from, an airport. <E T="03">True airspeed</E> means the airspeed of an aircraft relative to undisturbed air. True airspeed is equal to equivalent airspeed multiplied by (ρ0/ρ)<FR>1/2</FR>. <E T="03">Type:</E> (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 (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. <E T="03">United States,</E> 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. <E T="03">United States air carrier</E> means a citizen of the United States who undertakes directly by lease, or other arrangement, to engage in air transportation. <E T="03">VFR over-the-top,</E> 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. <E T="03">Warning area.</E> 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. <E T="03">Weight-shift-control aircraft</E> means a powered aircraft with a framed pivoting wing and a fuselage controllable only in pitch and roll by the pilot's ability to change the aircraft's center of gravity with respect to the wing. Flight control of the aircraft depends on the wing's ability to flexibly deform rather than the use of control surfaces. <E T="03">Winglet or tip fin</E> means an out-of-plane surface extending from a lifting surface. The surface may or may not have control surfaces. <CITA>[Doc. No. 1150, 27 FR 4588, May 15, 1962]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> For <E T="04">Federal Register</E> citations affecting § 1.1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. </EDNOTE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 1-64, 74 FR 53384, Oct. 16, 2009, § 1.1 was amended by revising the definition of “Approved”, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 1.1</SECTNO> <SUBJECT>General definitions.</SUBJECT> <STARS/> <E T="03">Approved</E>, unless used with reference to another person, means approved by the FAA or any person to whom the FAA has delegated its authority in the matter concerned, or approved under the provisions of a bilateral agreement between the United States and a foreign country or jurisdiction.<STARS/> </SECTION> <SECTION> <SECTNO>§ 1.2</SECTNO> <SUBJECT>Abbreviations and symbols.</SUBJECT> <EXT-XREF HREF="20091016" REFID="29">Link to an amendment published at 74 FR 53384, October 16, 2009.</EXT-XREF> In subchapters A through K of this chapter: <E T="03">AFM</E> means airplane flight manual. <E T="03">AGL</E> means above ground level. <E T="03">ALS</E> means approach light system. <E T="03">APU</E> means auxiliary power unit. <E T="03">ASR</E> means airport surveillance radar. <E T="03">ATC</E> means air traffic control. <E T="03">ATS</E> means Air Traffic Service. <E T="03">CAMP</E> means continuous airworthiness maintenance program. <E T="03">CAS</E> means calibrated airspeed. <E T="03">CAT II</E> means Category II. <E T="03">CHDO</E> means an FAA Flight Standards certificate holding district office.<PRTPAGE P="19"/> <E T="03">CMP</E> means configuration, maintenance, and procedures. <E T="03">CONSOL</E> or <E T="03">CONSOLAN</E> means a kind of low or medium frequency long range navigational aid. <E T="03">DH</E> means decision height. <E T="03">DME</E> means distance measuring equipment compatible with TACAN. <E T="03">EAS</E> means equivalent airspeed. <E T="03">EFVS</E> means enhanced flight vision system. <E T="03">Equi-Time Point</E> means a point on the route of flight where the flight time, considering wind, to each of two selected airports is equal. <E T="03">ETOPS</E> means extended operations. <E T="03">EWIS</E>, as defined by § 25.1701 of this chapter, means electrical wiring interconnection system. <E T="03">FAA</E> means Federal Aviation Administration. <E T="03">FFS</E> means full flight simulator. <E T="03">FM</E> means fan marker. <E T="03">FSTD</E> means flight simulation training device. <E T="03">FTD</E> means flight training device. <E T="03">GS</E> means glide slope. <E T="03">HIRL</E> means high-intensity runway light system. <E T="03">IAS</E> means indicated airspeed. <E T="03">ICAO</E> means International Civil Aviation Organization. <E T="03">IFR</E> means instrument flight rules. <E T="03">IFSD</E> means in-flight shutdown. <E T="03">ILS</E> means instrument landing system. <E T="03">IM</E> means ILS inner marker. <E T="03">INT</E> means intersection. <E T="03">LDA</E> means localizer-type directional aid. <E T="03">LFR</E> means low-frequency radio range. <E T="03">LMM</E> means compass locator at middle marker. <E T="03">LOC</E> means ILS localizer. <E T="03">LOM</E> means compass locator at outer marker. <E T="03">M</E> means mach number. <E T="03">MAA</E> means maximum authorized IFR altitude. <E T="03">MALS</E> means medium intensity approach light system. <E T="03">MALSR</E> means medium intensity approach light system with runway alignment indicator lights. <E T="03">MCA</E> means minimum crossing altitude. <E T="03">MDA</E> means minimum descent altitude. <E T="03">MEA</E> means minimum en route IFR altitude. <E T="03">MEL</E> means minimum equipment list. <E T="03">MM</E> means ILS middle marker. <E T="03">MOCA</E> means minimum obstruction clearance altitude. <E T="03">MRA</E> means minimum reception altitude. <E T="03">MSL</E> means mean sea level. <E T="03">NDB (ADF)</E> means nondirectional beacon (automatic direction finder). <E T="03">NM</E> means nautical mile. <E T="03">NOPAC</E> means North Pacific area of operation. <E T="03">NOPT</E> means no procedure turn required. <E T="03">OEI</E> means one engine inoperative. <E T="03">OM</E> means ILS outer marker. <E T="03">OPSPECS</E> means operations specifications. <E T="03">PACOTS</E> means Pacific Organized Track System. <E T="03">PAR</E> means precision approach radar. <E T="03">PTRS</E> means Performance Tracking and Reporting System. <E T="03">RAIL</E> means runway alignment indicator light system. <E T="03">RBN</E> means radio beacon. <E T="03">RCLM</E> means runway centerline marking. <E T="03">RCLS</E> means runway centerline light system. <E T="03">REIL</E> means runway end identification lights. <E T="03">RFFS</E> means rescue and firefighting services. <E T="03">RNAV</E> means area navigation. <E T="03">RR</E> means low or medium frequency radio range station. <E T="03">RVR</E> means runway visual range as measured in the touchdown zone area. <E T="03">SALS</E> means short approach light system. <E T="03">SATCOM</E> means satellite communications. <E T="03">SSALS</E> means simplified short approach light system. <E T="03">SSALSR</E> means simplified short approach light system with runway alignment indicator lights. <E T="03">TACAN</E> means ultra-high frequency tactical air navigational aid. <E T="03">TAS</E> means true airspeed. <E T="03">TCAS</E> means a traffic alert and collision avoidance system. <E T="03">TDZL</E> means touchdown zone lights. <E T="03">TVOR</E> means very high frequency terminal omnirange station.<PRTPAGE P="20"/> <E T="03">V</E> <E T="24">A</E>means design maneuvering speed. <E T="03">V</E> <E T="24">B</E>means design speed for maximum gust intensity. <E T="03">V</E> <E T="24">C</E>means design cruising speed. <E T="03">V</E> <E T="24">D</E>means design diving speed. <E T="03">V</E> <E T="24">DF</E>/<E T="03">M</E> <E T="24">DF</E>means demonstrated flight diving speed. <E T="03">V</E> <E T="24">EF</E>means the speed at which the critical engine is assumed to fail during takeoff. <E T="03">V</E> <E T="24">F</E>means design flap speed. <E T="03">V</E> <E T="24">FC</E>/<E T="03">M</E> <E T="24">FC</E>means maximum speed for stability characteristics. <E T="03">V</E> <E T="24">FE</E>means maximum flap extended speed. <E T="03">V</E> <E T="24">FTO</E>means final takeoff speed. <E T="03">V</E> <E T="24">H</E>means maximum speed in level flight with maximum continuous power. <E T="03">V</E> <E T="24">LE</E>means maximum landing gear extended speed. <E T="03">V</E> <E T="24">LO</E>means maximum landing gear operating speed. <E T="03">V</E> <E T="24">LOF</E>means lift-off speed. <E T="03">V</E> <E T="24">MC</E>means minimum control speed with the critical engine inoperative. <E T="03">V</E> <E T="24">MO</E>/<E T="03">M</E> <E T="24">MO</E>means maximum operating limit speed. <E T="03">V</E> <E T="24">MU</E>means minimum unstick speed. <E T="03">V</E> <E T="24">NE</E>means never-exceed speed. <E T="03">V</E> <E T="24">NO</E>means maximum structural cruising speed. <E T="03">V</E> <E T="24">R</E>means rotation speed. <E T="03">V</E> <E T="24">REF</E>means reference landing speed. <E T="03">V</E> <E T="24">S</E>means the stalling speed or the minimum steady flight speed at which the airplane is controllable. <E T="03">V</E> <E T="24">S</E> <E T="52">0</E>means the stalling speed or the minimum steady flight speed in the landing configuration. <E T="03">V</E> <E T="24">S</E> <E T="52">1</E>means the stalling speed or the minimum steady flight speed obtained in a specific configuration. <E T="03">V</E> <E T="24">SR</E>means reference stall speed. <E T="03">V</E> <E T="24">SR</E> <E T="52">O</E>means reference stall speed in the landing configuration. <E T="03">V</E> <E T="24">SR</E> <E T="52">1</E>means reference stall speed in a specific configuration. <E T="03">V</E> <E T="24">SW</E>means speed at which onset of natural or artificial stall warning occurs. V<E T="54">TOSS</E>means takeoff safety speed for Category A rotorcraft. <E T="03">V</E> <E T="24">X</E>means speed for best angle of climb. <E T="03">V</E> <E T="24">Y</E>means speed for best rate of climb. <E T="03">V</E> <E T="24">1</E>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. V<E T="52">1</E>also means the minimum speed in the takeoff, following a failure of the critical engine at V<E T="52">EF</E>, at which the pilot can continue the takeoff and achieve the required height above the takeoff surface within the takeoff distance. <E T="03">V</E> <E T="24">2</E>means takeoff safety speed. <E T="03">V</E> <E T="24">2min</E>means minimum takeoff safety speed. <E T="03">VFR</E>means visual flight rules. <E T="03">VHF</E>means very high frequency. <E T="03">VOR</E>means very high frequency omnirange station. <E T="03">VORTAC</E>means collocated VOR and TACAN. <CITA>[Doc. No. 1150, 27 FR 4590, May 15, 1962]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> For <E T="04">Federal Register</E> citations affecting § 1.2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. </EDNOTE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 1-64, 74 FR 53384, Oct. 16, 2009, § 1.2 was amended by adding the abbreviations <E T="03">PMA</E> and <E T="03">TSO</E>, effective Apr. 14, 2010. For the convenience of the user, the added text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 1.2</SECTNO> <SUBJECT>Abbreviations and symbols.</SUBJECT> <STARS/> <E T="03">PMA</E> means parts manufacturer approval.<STARS/> <E T="03">TSO</E> means technical standard order.<STARS/> </SECTION> <SECTION> <SECTNO>§ 1.3</SECTNO> <SUBJECT>Rules of construction.</SUBJECT> (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) <E T="03">Shall</E> is used in an imperative sense; (2) <E T="03">May</E> is used in a permissive sense to state authority or permission to do <PRTPAGE P="21"/>the act prescribed, and the words “no person may * * *” or “a person may not * * *” mean that no person is required, authorized, or permitted to do the act prescribed; and (3) <E T="03">Includes</E> means “includes but is not limited to”. <CITA>[Doc. No. 1150, 27 FR 4590, May 15, 1962, as amended by Amdt. 1-10, 31 FR 5055, Mar. 29, 1966]</CITA> </SECTION> <PART> <EAR>Pt. 3</EAR> <HD SOURCE="HED">PART 3—GENERAL REQUIREMENTS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>3.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>3.5</SECTNO> <SUBJECT>Statements about products, parts, appliances and materials.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 49 U.S.C. 106(g), 40113, 44701, and 44704. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> 70 FR 54832, Sept. 16, 2005, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 3.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> (a) This part applies to any person who makes a record regarding: (1) A type-certificated product, or (2) A product, part, appliance or material that may be used on a type-certificated product. (b) Section 3.5(b) does not apply to records made under part 43 of this chapter. </SECTION> <SECTION> <SECTNO>§ 3.5</SECTNO> <SUBJECT>Statements about products, parts, appliances and materials.</SUBJECT> (a) <E T="03">Definitions.</E> The following terms will have the stated meanings when used in this section: <E T="03">Airworthy</E> means the aircraft conforms to its type design and is in a condition for safe operation. <E T="03">Product</E> means an aircraft, aircraft engine, or aircraft propeller. <E T="03">Record</E> means any writing, drawing, map, recording, tape, film, photograph or other documentary material by which information is preserved or conveyed in any format, including, but not limited to, paper, microfilm, identification plates, stamped marks, bar codes or electronic format, and can either be separate from, attached to or inscribed on any product, part, appliance or material. (b) <E T="03">Prohibition against fraudulent and intentionally false statements.</E> When conveying information related to an advertisement or sales transaction, no person may make or cause to be made: (1) Any fraudulent or intentionally false statement in any record about the airworthiness of a type-certificated product, or the acceptability of any product, part, appliance, or material for installation on a type-certificated product. (2) Any fraudulent or intentionally false reproduction or alteration of any record about the airworthiness of any type-certificated product, or the acceptability of any product, part, appliance, or material for installation on a type-certificated product. (c) <E T="03">Prohibition against intentionally misleading statements.</E> (1) When conveying information related to an advertisement or sales transaction, no person may make, or cause to be made, a material representation that a type-certificated product is airworthy, or that a product, part, appliance, or material is acceptable for installation on a type-certificated product in any record if that representation is likely to mislead a consumer acting reasonably under the circumstances. (2) When conveying information related to an advertisement or sales transaction, no person may make, or cause to be made, through the omission of material information, a representation that a type-certificated product is airworthy, or that a product, part, appliance, or material is acceptable for installation on a type-certificated product in any record if that representation is likely to mislead a consumer acting reasonably under the circumstances. (d) The provisions of § 3.5(b) and § 3.5(c) shall not apply if a person can show that the product is airworthy or that the product, part, appliance or material is acceptable for installation on a type-certificated product. </SECTION> </PART> </REVTXT> </EFFDNOTP> </SECTION> </REVTXT> </EFFDNOTP> </SECTION> </PART> </SUBCHAP> <SUBCHAP TYPE="P"> <PRTPAGE P="22"/> <HD SOURCE="HED">SUBCHAPTER B—PROCEDURAL RULES</HD> <PART> <EAR>Pt. 11</EAR> <HD SOURCE="HED">PART 11—GENERAL RULEMAKING PROCEDURES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Rulemaking Procedures</HD> <SECHD>Sec.</SECHD> <SECTNO>11.1 </SECTNO> <SUBJECT>To what does this part apply?</SUBJECT> <SUBJGRP> <HD SOURCE="HED">Definition of Terms</HD> <SECTNO>11.3</SECTNO> <SUBJECT>What is an advance notice of proposed rulemaking?</SUBJECT> <SECTNO>11.5</SECTNO> <SUBJECT>What is a notice of proposed rulemaking?</SUBJECT> <SECTNO>11.7</SECTNO> <SUBJECT>What is a supplemental notice of proposed rulemaking?</SUBJECT> <SECTNO>11.9</SECTNO> <SUBJECT>What is a final rule?</SUBJECT> <SECTNO>11.11</SECTNO> <SUBJECT>What is a final rule with request for comments?</SUBJECT> <SECTNO>11.13</SECTNO> <SUBJECT>What is a direct final rule?</SUBJECT> <SECTNO>11.15</SECTNO> <SUBJECT>What is a petition for exemption?</SUBJECT> <SECTNO>11.17</SECTNO> <SUBJECT>What is a petition for rulemaking?</SUBJECT> <SECTNO>11.19</SECTNO> <SUBJECT>What is a special condition?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTNO>11.21</SECTNO> <SUBJECT>What are the most common kinds of rulemaking actions for which FAA follows the Administrative Procedure Act?</SUBJECT> <SECTNO>11.23</SECTNO> <SUBJECT>Does FAA follow the same procedures in issuing all types of rules?</SUBJECT> <SECTNO>11.25</SECTNO> <SUBJECT>How does FAA issue rules?</SUBJECT> <SECTNO>11.27</SECTNO> <SUBJECT>Are there other ways FAA collects specific rulemaking recommendations before we issue an NPRM?</SUBJECT> <SECTNO>11.29</SECTNO> <SUBJECT>May FAA change its regulations without first issuing an ANPRM or NPRM?</SUBJECT> <SECTNO>11.31</SECTNO> <SUBJECT>How does FAA process direct final rules?</SUBJECT> <SECTNO>11.33</SECTNO> <SUBJECT>How can I track FAA's rulemaking activities?</SUBJECT> <SECTNO>11.35</SECTNO> <SUBJECT>Does FAA include sensitive security information and proprietary information in the Federal Docket Management System (FDMS)?</SUBJECT> <SECTNO>11.37</SECTNO> <SUBJECT>Where can I find information about an Airworthiness Directive, an airspace designation, or a petition handled in a region?</SUBJECT> <SECTNO>11.38</SECTNO> <SUBJECT>What public comment procedures does FAA follow for Special Conditions?</SUBJECT> <SECTNO>11.39</SECTNO> <SUBJECT>How may I participate in FAA's rulemaking process?</SUBJECT> <SECTNO>11.40</SECTNO> <SUBJECT>Can I get more information about a rulemaking?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Written Comments</HD> <SECTNO>11.41</SECTNO> <SUBJECT>Who may file comments?</SUBJECT> <SECTNO>11.43</SECTNO> <SUBJECT>What information must I put in my written comments?</SUBJECT> <SECTNO>11.45</SECTNO> <SUBJECT>Where and when do I file my comments?</SUBJECT> <SECTNO>11.47</SECTNO> <SUBJECT>May I ask for more time to file my comments?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Public Meetings and Other Proceedings</HD> <SECTNO>11.51</SECTNO> <SUBJECT>May I request that FAA hold a public meeting on a rulemaking action?</SUBJECT> <SECTNO>11.53</SECTNO> <SUBJECT>What takes place at a public meeting?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Petitions for Rulemaking and for Exemptions</HD> <SECTNO>11.61</SECTNO> <SUBJECT>May I ask FAA to adopt, amend, or repeal a regulation, or grant relief from the requirements of a current regulation?</SUBJECT> <SECTNO>11.63</SECTNO> <SUBJECT>How and to whom do I submit my petition for rulemaking or petition for exemption?</SUBJECT> <SECTNO>11.71</SECTNO> <SUBJECT>What information must I include in my petition for rulemaking?</SUBJECT> <SECTNO>11.73</SECTNO> <SUBJECT>How does FAA process petitions for rulemaking?</SUBJECT> <SECTNO>11.75</SECTNO> <SUBJECT>Does FAA invite public comment on petitions for rulemaking?</SUBJECT> <SECTNO>11.77</SECTNO> <SUBJECT>Is there any additional information I must include in my petition for designating airspace?</SUBJECT> <SECTNO>11.81</SECTNO> <SUBJECT>What information must I include in my petition for an exemption?</SUBJECT> <SECTNO>11.83</SECTNO> <SUBJECT>How can I operate under an exemption outside the United States?</SUBJECT> <SECTNO>11.85</SECTNO> <SUBJECT>Does FAA invite public comment on petitions for exemption?</SUBJECT> <SECTNO>11.87</SECTNO> <SUBJECT>Are there circumstances in which FAA may decide not to publish a summary of my petition for exemption?</SUBJECT> <SECTNO>11.89</SECTNO> <SUBJECT>How much time do I have to submit comments to FAA on a petition for exemption?</SUBJECT> <SECTNO>11.91</SECTNO> <SUBJECT>How does FAA inform me of its decision on my petition for exemption?</SUBJECT> <SECTNO>11.101</SECTNO> <SUBJECT>May I ask FAA to reconsider my petition for rulemaking or petition for exemption if it is denied?</SUBJECT> <SECTNO>11.103</SECTNO> <SUBJECT>What exemption relief may be available to federal, state, and local governments when operating aircraft that are not public aircraft?</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Paperwork Reduction Act Control Numbers</HD> <SECTNO>11.201</SECTNO> <SUBJECT>Office of Management and Budget (OMB) control numbers assigned under the Paperwork Reduction Act.</SUBJECT> <APP>Appendix 1 to Part 11—Oral Communications With the Public During Rulemaking</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 49 U.S.C. 106(g), 40101, 40103, 40105, 40109, 40113, 44110, 44502, 44701-44702, 44711, and 46102. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, unless otherwise noted. </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> Nomenclature changes to part 11 appear at 61 FR 18052, April 24, 1996. </EDNOTE> <SUBPART> <PRTPAGE P="23"/> <HD SOURCE="HED">Subpart A—Rulemaking Procedures</HD> <SECTION> <SECTNO>§ 11.1</SECTNO> <SUBJECT>To what does this part apply?</SUBJECT> 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). </SECTION> <SUBJGRP> <HD SOURCE="HED">Definition of Terms</HD> <SECTION> <SECTNO>§ 11.3</SECTNO> <SUBJECT>What is an advance notice of proposed rulemaking?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.5</SECTNO> <SUBJECT>What is a notice of proposed rulemaking?</SUBJECT> A notice of proposed rulemaking (NPRM) proposes FAA's specific regulatory changes for public comment and contains supporting information. It includes proposed regulatory text. </SECTION> <SECTION> <SECTNO>§ 11.7</SECTNO> <SUBJECT>What is a supplemental notice of proposed rulemaking?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.9</SECTNO> <SUBJECT>What is a final rule?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.11</SECTNO> <SUBJECT>What is a final rule with request for comments?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.13</SECTNO> <SUBJECT>What is a direct final rule?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.15</SECTNO> <SUBJECT>What is a petition for exemption?</SUBJECT> A petition for exemption is a request to FAA by an individual or entity asking for relief from the requirements of a current regulation. </SECTION> <SECTION> <SECTNO>§ 11.17</SECTNO> <SUBJECT>What is a petition for rulemaking?</SUBJECT> A petition for rulemaking is a request to FAA by an individual or entity asking the FAA to adopt, amend, or repeal a regulation. </SECTION> <SECTION> <SECTNO>§ 11.19</SECTNO> <SUBJECT>What is a special condition?</SUBJECT> A special condition is a regulation that applies to a particular aircraft design. The FAA issues special conditions when we find that the airworthiness <PRTPAGE P="24"/>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. </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTION> <SECTNO>§ 11.21</SECTNO> <SUBJECT>What are the most common kinds of rulemaking actions for which FAA follows the Administrative Procedure Act?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.23</SECTNO> <SUBJECT>Does FAA follow the same procedures in issuing all types of rules?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.25</SECTNO> <SUBJECT>How does FAA issue rules?</SUBJECT> (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 <E T="04">Federal Register</E> unless we name and personally serve a copy of a rule on every person subject to it. We also make all documents available to the public by posting them in the Federal Docket Management System at <E T="03">http://www.regulations.gov.</E> (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. <CITA>[Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 11.27</SECTNO> <SUBJECT>Are there other ways FAA collects specific rulemaking recommendations before we issue an NPRM?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.29</SECTNO> <SUBJECT>May FAA change its regulations without first issuing an ANPRM or NPRM?</SUBJECT> 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 <PRTPAGE P="25"/>first issuing an ANPRM or NPRM in the following situations: (a) We may issue a final rule without first requesting public comment if, for good cause, we find that an NPRM is impracticable, unnecessary, or 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. </SECTION> <SECTION> <SECTNO>§ 11.31</SECTNO> <SUBJECT>How does FAA process direct final rules?</SUBJECT> (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 <E T="04">Federal Register.</E> 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 <E T="04">Federal Register,</E> 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 <E T="04">Federal Register</E> 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. </SECTION> <SECTION> <SECTNO>§ 11.33</SECTNO> <SUBJECT>How can I track FAA's rulemaking activities?</SUBJECT> The best ways to track FAA's rulemaking activities are with the docket number or the regulation identifier number. (a) <E T="03">Docket ID.</E> We assign a docket ID to each rulemaking document proceeding. Each rulemaking document FAA issues in a particular rulemaking proceeding, as well as public comments on the proceeding, will display the same docket ID. This ID allows you to search the Federal Docket Management System (FDMS) for information on most rulemaking proceedings. You can view and copy docket materials during regular business hours at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. Or you can view and download docketed materials through the Internet at <E T="03">http://www.regulations.gov.</E> If you can't find the material in the electronic docket, contact the person listed under <E T="02">FOR FURTHER INFORMATION CONTACT</E> in the document you are interested in. (b) <E T="03">Regulation identifier number.</E> 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 <E T="04">Federal Register</E> 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 <E T="04">Federal Register</E> and makes it easy for you to track those rulemaking proceedings in both the <E T="04">Federal Register</E> and the semiannual regulatory agenda. <CITA>[Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <PRTPAGE P="26"/> <SECTNO>§ 11.35</SECTNO> <SUBJECT>Does FAA include sensitive security information and proprietary information in the Federal Docket Management System (FDMS)?</SUBJECT> (a) <E T="03">Sensitive security information.</E> 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 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) <E T="03">Proprietary information.</E> 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. <CITA>[Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 11.37</SECTNO> <SUBJECT>Where can I find information about an Airworthiness Directive, an airspace designation, or a petition handled in a region?</SUBJECT> 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 <E T="02">FOR FURTHER INFORMATION CONTACT</E> in the <E T="04">Federal Register</E> document about the action. </SECTION> <SECTION> <SECTNO>§ 11.38</SECTNO> <SUBJECT>What public comment procedures does the FAA follow for Special Conditions?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.39</SECTNO> <SUBJECT>How may I participate in FAA's rulemaking process?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.40</SECTNO> <SUBJECT>Can I get more information about a rulemaking?</SUBJECT> You can contact the person listed under <E T="02">FOR FURTHER INFORMATION CONTACT</E> 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. </SECTION> </SUBJGRP> <SUBJGRP> <PRTPAGE P="27"/> <HD SOURCE="HED">Written Comments</HD> <SECTION> <SECTNO>§ 11.41</SECTNO> <SUBJECT>Who may file comments?</SUBJECT> Anyone may file written comments about proposals and final rules that request public comments. </SECTION> <SECTION> <SECTNO>§ 11.43</SECTNO> <SUBJECT>What information must I put in my written comments?</SUBJECT> (a) Your written comments must be in English and must contain the following: (1) The docket number of the rulemaking document you are commenting 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. </SECTION> <SECTION> <SECTNO>§ 11.45</SECTNO> <SUBJECT>Where and when do I file my comments?</SUBJECT> (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 Federal Document Management System, you may send them in either of the following ways: (1) By mail to: U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. (2) Through the Internet to <E T="03">http://www.regulations.gov.</E> (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 Federal Docket Management System Web site. <CITA>[Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 11.47</SECTNO> <SUBJECT>May I ask for more time to file my comments?</SUBJECT> 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 <E T="04">Federal Register.</E> 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. </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Public Meetings and Other Proceedings</HD> <SECTION> <SECTNO>§ 11.51</SECTNO> <SUBJECT>May I request that FAA hold a public meeting on a rulemaking action?</SUBJECT> 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 <PRTPAGE P="28"/>notice of the meeting in the <E T="04">Federal Register.</E> </SECTION> <SECTION> <SECTNO>§ 11.53</SECTNO> <SUBJECT>What takes place at a public meeting?</SUBJECT> A public meeting is a non-adversarial, fact-finding proceeding conducted by an FAA representative. Public meetings are announced in the <E T="04">Federal Register.</E> 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. </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Petitions for Rulemaking and for Exemption</HD> <SECTION> <SECTNO>§ 11.61</SECTNO> <SUBJECT>May I ask FAA to adopt, amend, or repeal a regulation, or grant relief from the requirements of a current regulation?</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 11.63</SECTNO> <SUBJECT>How and to whom do I submit my petition for rulemaking or petition for exemption?</SUBJECT> (a) To submit a petition for rulemaking or exemption— (1) By electronic submission, submit your petition for rulemaking or exemption to FAA through the Internet at <E T="03">http://www.regulations.gov</E>, the Federal Docket Management System Web site. For additional instructions, you may visit <E T="03">http://www.faa.gov/regulations</E>. (2) By paper submission, send the original signed copy of your petition for rulemaking or exemption to this address: U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. (b) Submit a petition for rulemaking or exemption from part 139 of this chapter— (1) To the appropriate FAA airport field office in whose area your airport is, or will be, established; and (2) To the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590 or by electronic submission to this Internet address: <E T="03">http://www.regulations.gov</E>. (c) The FAA may designate other means by which you can submit petitions in the future. (d) Submit your petition for exemption 120 days before you need the exemption to take effect. <CITA>[Amdt. 11-50, 69 FR 22386, Apr. 26, 2004, as amended at 72 FR 68474, Dec. 5, 2007; Amdt. 11-55, 74 FR 202, Jan. 5, 2009]</CITA> </SECTION> <SECTION> <SECTNO>§ 11.71</SECTNO> <SUBJECT>What information must I include in my petition for rulemaking?</SUBJECT> (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.<PRTPAGE P="29"/> (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. </SECTION> <SECTION> <SECTNO>§ 11.73</SECTNO> <SUBJECT>How does FAA process petitions for rulemaking?</SUBJECT> 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. (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. </SECTION> <SECTION> <SECTNO>§ 11.75</SECTNO> <SUBJECT>Does FAA invite public comment on petitions for rulemaking?</SUBJECT> Generally, FAA does not invite public comment on petitions for rulemaking. </SECTION> <SECTION> <SECTNO>§ 11.77</SECTNO> <SUBJECT>Is there any additional information I must include in my petition for designating airspace?</SUBJECT> 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 § 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. </SECTION> <SECTION> <SECTNO>§ 11.81</SECTNO> <SUBJECT>What information must I include in my petition for an exemption?</SUBJECT> 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 <PRTPAGE P="30"/>to that provided by the rule from which you seek the exemption; (f) A summary we can publish in the <E T="04">Federal Register,</E> 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. </SECTION> <SECTION> <SECTNO>§ 11.83</SECTNO> <SUBJECT>How can I operate under an exemption outside the United States?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.85</SECTNO> <SUBJECT>Does FAA invite public comment on petitions for exemption?</SUBJECT> Yes, FAA publishes information about petitions for exemption in the <E T="04">Federal Register.</E> 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. </SECTION> <SECTION> <SECTNO>§ 11.87</SECTNO> <SUBJECT>Are there circumstances in which FAA may decide not to publish a summary of my petition for exemption?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.89</SECTNO> <SUBJECT>How much time do I have to submit comments to FAA on a petition for exemption?</SUBJECT> The FAA states the specific time allowed for comments in the <E T="04">Federal Register</E> notice about the petition. We usually allow 20 days to comment on a petition for exemption. </SECTION> <SECTION> <SECTNO>§ 11.91</SECTNO> <SUBJECT>How does FAA inform me of its decision on my petition for exemption?</SUBJECT> The FAA will notify you in writing about its decision on your petition. A copy of this decision is also placed in the public docket. We will include the docket number associated with your petition in our letter to you. <CITA>[Docket No. FAA-2005-22982, 71 FR 1485, Jan. 10, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 11.101</SECTNO> <SUBJECT>May I ask FAA to reconsider my petition for rulemaking or petition for exemption if it is denied?</SUBJECT> 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<PRTPAGE P="31"/> (c) That we did not correctly interpret a law, regulation, or precedent. </SECTION> <SECTION> <SECTNO>§ 11.103</SECTNO> <SUBJECT>What exemption relief may be available to federal, state, and local governments when operating aircraft that are not public aircraft?</SUBJECT> The Federal Aviation Administration may grant a federal, state, or local government an exemption from part A of subtitle VII of title 49 United States Code, and any regulation issued under that authority that is applicable to an aircraft as a result of the Independent Safety Board Act Amendments of 1994, Public Law 103-411, if— (a) The Administrator finds that granting the exemption is necessary to prevent an undue economic burden on the unit of government; and (b) The Administrator certifies that the aviation safety program of the unit of government is effective and appropriate to ensure safe operations of the type of aircraft operated by the unit of government. <CITA>[68 FR 25488, May 13, 2003]</CITA> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Paperwork Reduction Act Control Numbers</HD> <SECTION> <SECTNO>§ 11.201</SECTNO> <SUBJECT>Office of Management and Budget (OMB) control numbers assigned under the Paperwork Reduction Act.</SUBJECT> (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 <E T="04">Federal Register.</E> 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: <GPOTABLE CDEF="L2,tp0,i1,s40,r100" COLS="2"> <BOXHD> <CHED H="1">14 CFR part or<LI>section identified and described</LI> </CHED> <CHED H="1">Current OMB control number</CHED> </BOXHD> <ROW> <ENT I="01">Part 14</ENT> <ENT>2120-0539</ENT> </ROW> <ROW> <ENT I="01">Part 17</ENT> <ENT>2120-0632</ENT> </ROW> <ROW> <ENT I="01">Part 21</ENT> <ENT>2120-0018, 2120-0552</ENT> </ROW> <ROW> <ENT I="01">Part 34</ENT> <ENT>2120-0508</ENT> </ROW> <ROW> <ENT I="01">Part 39</ENT> <ENT>2120-0056</ENT> </ROW> <ROW> <ENT I="01">Part 43</ENT> <ENT>2120-0020</ENT> </ROW> <ROW> <ENT I="01">Part 45</ENT> <ENT>2120-0508</ENT> </ROW> <ROW> <ENT I="01">Part 47</ENT> <ENT>2120-0024, 2120-0042</ENT> </ROW> <ROW> <ENT I="01">Part 49</ENT> <ENT>2120-0043</ENT> </ROW> <ROW> <ENT I="01">Part 60</ENT> <ENT>2120-0680</ENT> </ROW> <ROW> <ENT I="01">Part 61</ENT> <ENT>2120-0021, 2120-0034, 2120-0543, 2120-0571</ENT> </ROW> <ROW> <ENT I="01">Part 63</ENT> <ENT>2120-0007</ENT> </ROW> <ROW> <ENT I="01">Part 65</ENT> <ENT>2120-0022, 2120-0535, 2120-0571, 2120-0648</ENT> </ROW> <ROW> <ENT I="01">Part 67</ENT> <ENT>2120-0034, 2120-0543</ENT> </ROW> <ROW> <ENT I="01">Part 77</ENT> <ENT>2120-0001</ENT> </ROW> <ROW> <ENT I="01">Part 91</ENT> <ENT>2120-0005, 2120-0026, 2120-0027, 2120-0573, 2120-0606, 2120-0620, 2120-0631, 2120-0651</ENT> </ROW> <ROW> <ENT I="01">Part 93</ENT> <ENT>2120-0524, 2120-0606, 2120-0639</ENT> </ROW> <ROW> <ENT I="01">Part 101</ENT> <ENT>2120-0027</ENT> </ROW> <ROW> <ENT I="01">Part 105</ENT> <ENT>2120-0027, 2120-0641</ENT> </ROW> <ROW> <ENT I="01">Part 107</ENT> <ENT>2120-0075, 2120-0554, 2120-0628</ENT> </ROW> <ROW> <ENT I="01">Part 108</ENT> <ENT>2120-0098, 2120-0554, 2120-0577, 2120-0628, 2120-0642</ENT> </ROW> <ROW> <ENT I="01">Part 109</ENT> <ENT>2120-0505</ENT> </ROW> <ROW> <ENT I="01">Part 119</ENT> <ENT>2120-0593</ENT> </ROW> <ROW> <ENT I="01">Part 121</ENT> <ENT>2120-0008, 2120-0028, 2120-0535, 2120-0571, 2120-0600, 2120-0606, 2120-0614, 2120-0616, 2120-0631, 2120-0651, 2120-0653, 2120-0691, 2120-0702</ENT> </ROW> <ROW> <ENT I="01">Part 125</ENT> <ENT>2120-0028, 2120-0085, 2120-0616, 2120-0651</ENT> </ROW> <ROW> <ENT I="01">Part 129</ENT> <ENT>2120-0028, 2120-0536, 2120-0616, 2120-0638</ENT> </ROW> <ROW> <ENT I="01">Part 133</ENT> <ENT>2120-0044</ENT> </ROW> <ROW> <ENT I="01">Part 135</ENT> <ENT>2120-0003, 2120-0028, 2120-0039, 2120-0535, 2120-0571, 2120-0600, 2120-0606, 2120-0614, 2120-0616, 2120-0620, 2120-0631, 2120-0653</ENT> </ROW> <ROW> <ENT I="01">Part 137</ENT> <ENT>2120-0049</ENT> </ROW> <ROW> <ENT I="01">Part 139</ENT> <ENT>2120-0045, 2120-0063</ENT> </ROW> <ROW> <ENT I="01">Part 141</ENT> <ENT>2120-0009</ENT> </ROW> <ROW> <ENT I="01">Part 142</ENT> <ENT>2120-0570</ENT> </ROW> <ROW> <ENT I="01">Part 145</ENT> <ENT>2120-0003, 2120-0010, 2120-0571</ENT> </ROW> <ROW> <ENT I="01">Part 147</ENT> <ENT>2120-0040</ENT> </ROW> <ROW> <ENT I="01">Part 150</ENT> <ENT>2120-0517</ENT> </ROW> <ROW> <ENT I="01">Part 157</ENT> <ENT>2120-0036</ENT> </ROW> <ROW> <ENT I="01">Part 158</ENT> <ENT>2120-0557</ENT> </ROW> <ROW> <ENT I="01">Part 161</ENT> <ENT>2120-0563</ENT> </ROW> <ROW> <ENT I="01">Part 171</ENT> <ENT>2120-0014</ENT> </ROW> <ROW> <ENT I="01">Part 183</ENT> <ENT>2120-0033, 2120-0604</ENT> </ROW> <ROW> <ENT I="01">Part 193</ENT> <ENT>2120-0646</ENT> </ROW> <ROW> <ENT I="01">Part 198</ENT> <ENT>2120-0514</ENT> </ROW> <ROW> <ENT I="01">Part 400</ENT> <ENT>2120-0643, 2120-0644, 0649</ENT> </ROW> <ROW> <ENT I="01">Part 401</ENT> <ENT>2120-0608</ENT> </ROW> <ROW> <ENT I="01">Part 440</ENT> <ENT>2120-0601</ENT> </ROW> <ROW> <ENT I="01">SFAR 36</ENT> <ENT>2120-0507</ENT> </ROW> <ROW> <ENT I="01">SFAR 71</ENT> <ENT>2120-0620</ENT> </ROW> </GPOTABLE> <CITA>[Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended by Amdt. 11-47, 67 FR 9553, Mar. 1, 2002; Amdt. 11-49, 68 FR 61321, Oct. 27, 2003; Amdt. 11-49, 68 FR 70132, Dec. 17, 2003; 70 FR 40163, July 12, 2005; 71 FR 63426, Oct. 30, 2006; 72 FR 59599, Oct. 22, 2007]</CITA> </SECTION> <APPENDIX> <EAR>Pt. 11, App. 1</EAR> <HD SOURCE="HED">Appendix 1 to Part 11—Oral Communications With the Public During Rulemaking</HD> <HD SOURCE="HD2">1. What is an ex parte contact?</HD> “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 <PRTPAGE P="32"/>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. <HD SOURCE="HD2">2. Are written comments to the docket ex parte contacts?</HD> Written comments submitted to the docket are not ex parte contacts because they are available for inspection by all members of the public. <HD SOURCE="HD2">3. What is DOT policy on ex parte contacts?</HD> 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. <HD SOURCE="HD2">4. What kinds of ex parte contacts does DOT policy permit before we issue an ANPRM, NPRM, Supplemental NPRM, or immediately adopted final rule?</HD> 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. <HD SOURCE="HD2">5. Does DOT policy permit ex parte contacts during the comment period?</HD> 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 ex parte contacts during the comment period. They are not necessary to collect the information the agency needs to make its decision. <HD SOURCE="HD2">6. What if the FAA believes it needs to meet with members of the public to discuss the proposal?</HD> 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 <E T="04">Federal Register.</E> <HD SOURCE="HD2">7. Are any oral contacts concerning the proposal permitted during the comment period?</HD> 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. <HD SOURCE="HD2">8. If a substantive ex parte contact does occur during the comment period, what does FAA do?</HD> 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. <HD SOURCE="HD2">9. Does DOT policy permit ex parte contacts the comment period has closed?</HD> 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. <HD SOURCE="HD2">10. What if FAA needs to meet with interested persons to discuss the proposal after the comment period has closed?</HD> 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 <PRTPAGE P="33"/>course of action to be taken, we will announce the meeting in the <E T="04">Federal Register.</E> 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. <HD SOURCE="HD2">11. Under what circumstances will FAA reopen the comment period?</HD> 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. <HD SOURCE="HD2">12. What if I have important information for FAA and the comment period is closed?</HD> 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. </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 13</EAR> <HD SOURCE="HED">PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Investigative Procedures</HD> <SECHD>Sec.</SECHD> <SECTNO>13.1</SECTNO> <SUBJECT>Reports of violations.</SUBJECT> <SECTNO>13.3</SECTNO> <SUBJECT>Investigations (general).</SUBJECT> <SECTNO>13.5</SECTNO> <SUBJECT>Formal complaints.</SUBJECT> <SECTNO>13.7</SECTNO> <SUBJECT>Records, documents and reports.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Administrative Actions</HD> <SECTNO>13.11</SECTNO> <SUBJECT>Administrative disposition of certain violations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Legal Enforcement Actions</HD> <SECTNO>13.13</SECTNO> <SUBJECT>Consent orders.</SUBJECT> <SECTNO>13.14</SECTNO> <SUBJECT>Civil penalties: General.</SUBJECT> <SECTNO>13.15</SECTNO> <SUBJECT>Civil penalties: Other than by administrative assessment.</SUBJECT> <SECTNO>13.16</SECTNO> <SUBJECT>Civil penalties: Administrative assessment against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman. Administrative assessment against all persons for hazardous materials violations.</SUBJECT> <SECTNO>13.17</SECTNO> <SUBJECT>Seizure of aircraft.</SUBJECT> <SECTNO>13.18</SECTNO> <SUBJECT>Civil penalties: Administrative assessment against an individual acting as a pilot, flight engineer, mechanic, or repairman.</SUBJECT> <SECTNO>13.19</SECTNO> <SUBJECT>Certificate action.</SUBJECT> <SECTNO>13.20</SECTNO> <SUBJECT>Orders of compliance, cease and desist orders, orders of denial, and other orders.</SUBJECT> <SECTNO>13.21</SECTNO> <SUBJECT>Military personnel.</SUBJECT> <SECTNO>13.23</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> <SECTNO>13.25</SECTNO> <SUBJECT>Injunctions.</SUBJECT> <SECTNO>13.27</SECTNO> <SUBJECT>Final order of Hearing Officer in certificate of aircraft registration proceedings.</SUBJECT> <SECTNO>13.29</SECTNO> <SUBJECT>Civil penalties: Streamlined enforcement procedures for certain security violations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Rules of Practice for FAA Hearings</HD> <SECTNO>13.31</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>13.33</SECTNO> <SUBJECT>Appearances.</SUBJECT> <SECTNO>13.35</SECTNO> <SUBJECT>Request for hearing.</SUBJECT> <SECTNO>13.37</SECTNO> <SUBJECT>Hearing Officer's powers.</SUBJECT> <SECTNO>13.39</SECTNO> <SUBJECT>Disqualification of Hearing Officer.</SUBJECT> <SECTNO>13.41</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>13.43</SECTNO> <SUBJECT>Service and filing of pleadings, motions, and documents.</SUBJECT> <SECTNO>13.44</SECTNO> <SUBJECT>Computation of time and extension of time.</SUBJECT> <SECTNO>13.45</SECTNO> <SUBJECT>Amendment of notice and answer.</SUBJECT> <SECTNO>13.47</SECTNO> <SUBJECT>Withdrawal of notice or request for hearing.</SUBJECT> <SECTNO>13.49</SECTNO> <SUBJECT>Motions.</SUBJECT> <SECTNO>13.51</SECTNO> <SUBJECT>Intervention.</SUBJECT> <SECTNO>13.53</SECTNO> <SUBJECT>Depositions.</SUBJECT> <SECTNO>13.55</SECTNO> <SUBJECT>Notice of hearing.</SUBJECT> <SECTNO>13.57</SECTNO> <SUBJECT>Subpoenas and witness fees.</SUBJECT> <SECTNO>13.59</SECTNO> <SUBJECT>Evidence.</SUBJECT> <SECTNO>13.61</SECTNO> <SUBJECT>Argument and submittals.</SUBJECT> <SECTNO>13.63</SECTNO> <SUBJECT>Record.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act</HD> <SECTNO>13.71</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>13.73</SECTNO> <SUBJECT>Notice of proposed order of compliance.</SUBJECT> <SECTNO>13.75</SECTNO> <SUBJECT>Reply or request for hearing.</SUBJECT> <SECTNO>13.77</SECTNO> <SUBJECT>Consent order of compliance.</SUBJECT> <SECTNO>13.79</SECTNO> <SUBJECT>Hearing.</SUBJECT> <SECTNO>13.81</SECTNO> <SUBJECT>Order of immediate compliance.</SUBJECT> <SECTNO>13.83</SECTNO> <SUBJECT>Appeal.</SUBJECT> <SECTNO>13.85</SECTNO> <SUBJECT>Filing, service and computation of time.</SUBJECT> <SECTNO>13.87</SECTNO> <SUBJECT>Extension of time.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation</HD> <SECTNO>13.101</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>13.103</SECTNO> <SUBJECT>Order of investigation.</SUBJECT> <SECTNO>13.105</SECTNO> <SUBJECT>Notification.</SUBJECT> <SECTNO>13.107</SECTNO> <SUBJECT>Designation of additional parties.<PRTPAGE P="34"/> </SUBJECT> <SECTNO>13.109</SECTNO> <SUBJECT>Convening the investigation.</SUBJECT> <SECTNO>13.111</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> <SECTNO>13.113</SECTNO> <SUBJECT>Noncompliance with the investigative process.</SUBJECT> <SECTNO>13.115</SECTNO> <SUBJECT>Public proceedings.</SUBJECT> <SECTNO>13.117</SECTNO> <SUBJECT>Conduct of investigative proceeding or deposition.</SUBJECT> <SECTNO>13.119</SECTNO> <SUBJECT>Rights of persons against self-incrimination.</SUBJECT> <SECTNO>13.121</SECTNO> <SUBJECT>Witness fees.</SUBJECT> <SECTNO>13.123</SECTNO> <SUBJECT>Submission by party to the investigation.</SUBJECT> <SECTNO>13.125</SECTNO> <SUBJECT>Depositions.</SUBJECT> <SECTNO>13.127</SECTNO> <SUBJECT>Reports, decisions and orders.</SUBJECT> <SECTNO>13.129</SECTNO> <SUBJECT>Post-investigation action.</SUBJECT> <SECTNO>13.131</SECTNO> <SUBJECT>Other procedures.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Rules of Practice in FAA Civil Penalty Actions</HD> <SECTNO>13.201</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>13.202</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>13.203</SECTNO> <SUBJECT>Separation of functions.</SUBJECT> <SECTNO>13.204</SECTNO> <SUBJECT>Appearances and rights of parties.</SUBJECT> <SECTNO>13.205</SECTNO> <SUBJECT>Administrative law judges.</SUBJECT> <SECTNO>13.206</SECTNO> <SUBJECT>Intervention.</SUBJECT> <SECTNO>13.207</SECTNO> <SUBJECT>Certification of documents.</SUBJECT> <SECTNO>13.208</SECTNO> <SUBJECT>Complaint.</SUBJECT> <SECTNO>13.209</SECTNO> <SUBJECT>Answer.</SUBJECT> <SECTNO>13.210</SECTNO> <SUBJECT>Filing of documents.</SUBJECT> <SECTNO>13.211</SECTNO> <SUBJECT>Service of documents.</SUBJECT> <SECTNO>13.212</SECTNO> <SUBJECT>Computation of time.</SUBJECT> <SECTNO>13.213</SECTNO> <SUBJECT>Extension of time.</SUBJECT> <SECTNO>13.214</SECTNO> <SUBJECT>Amendment of pleadings.</SUBJECT> <SECTNO>13.215</SECTNO> <SUBJECT>Withdrawal of complaint or request for hearing.</SUBJECT> <SECTNO>13.216</SECTNO> <SUBJECT>Waivers.</SUBJECT> <SECTNO>13.217</SECTNO> <SUBJECT>Joint procedural or discovery schedule.</SUBJECT> <SECTNO>13.218</SECTNO> <SUBJECT>Motions.</SUBJECT> <SECTNO>13.219</SECTNO> <SUBJECT>Interlocutory appeals.</SUBJECT> <SECTNO>13.220</SECTNO> <SUBJECT>Discovery.</SUBJECT> <SECTNO>13.221</SECTNO> <SUBJECT>Notice of hearing.</SUBJECT> <SECTNO>13.222</SECTNO> <SUBJECT>Evidence.</SUBJECT> <SECTNO>13.223</SECTNO> <SUBJECT>Standard of proof.</SUBJECT> <SECTNO>13.224</SECTNO> <SUBJECT>Burden of proof.</SUBJECT> <SECTNO>13.225</SECTNO> <SUBJECT>Offer of proof.</SUBJECT> <SECTNO>13.226</SECTNO> <SUBJECT>Public disclosure of evidence.</SUBJECT> <SECTNO>13.227</SECTNO> <SUBJECT>Expert or opinion witnesses.</SUBJECT> <SECTNO>13.228</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> <SECTNO>13.229</SECTNO> <SUBJECT>Witness fees.</SUBJECT> <SECTNO>13.230</SECTNO> <SUBJECT>Record.</SUBJECT> <SECTNO>13.231</SECTNO> <SUBJECT>Argument before the administrative law judge.</SUBJECT> <SECTNO>13.232</SECTNO> <SUBJECT>Initial decision.</SUBJECT> <SECTNO>13.233</SECTNO> <SUBJECT>Appeal from initial decision.</SUBJECT> <SECTNO>13.234</SECTNO> <SUBJECT>Petition to reconsider or modify a final decision and order of the FAA decisionmaker on appeal.</SUBJECT> <SECTNO>13.235</SECTNO> <SUBJECT>Judicial review of a final decision and order.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Civil Monetary Penalty Inflation Adjustment</HD> <SECTNO>13.301</SECTNO> <SUBJECT>Scope and purpose.</SUBJECT> <SECTNO>13.303</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>13.305</SECTNO> <SUBJECT>Cost of living adjustments of civil monetary penalties.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Flight Operational Quality Assurance Programs</HD> <SECTNO>13.401</SECTNO> <SUBJECT>Flight Operational Quality Assurance program: Prohibition against use of data for enforcement purposes.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C. 106(g), 5121-5128, 40113-40114, 44103-44106, 44702-44703, 44709-44710, 44713, 46101-46111, 46301, 46302 (for a violation of 49 U.S.C. 46504), 46304-46316, 46318, 46501-46502, 46504-46507, 47106, 47107, 47111, 47122, 47306, 47531-47532; 49 CFR 1.47. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 18884, 44 FR 63723, Nov. 5, 1979, unless otherwise noted. </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—Investigative Procedures</HD> <SECTION> <SECTNO>§ 13.1</SECTNO> <SUBJECT>Reports of violations.</SUBJECT> (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. <CITA>[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-17, 53 FR 33783, Aug. 31, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.3</SECTNO> <SUBJECT>Investigations (general).</SUBJECT> (a) Under the Federal Aviation Act of 1958, as amended, (49 U.S.C. 1301 <E T="03">et seq.</E>), the Hazardous Materials Transportation Act (49 U.S.C. 1801 <E T="03">et seq.</E>), the Airport and Airway Development Act of 1970 (49 U.S.C. 1701 <E T="03">et seq.</E>), the Airport and Airway Improvement Act of 1982 (49 U.S.C. 2201 <E T="03">et seq.</E>), the Airport <PRTPAGE P="35"/>and Airway Improvement Act of 1982 (as amended, 49 U.S.C. App. 2201 <E T="03">et seq.,</E> Airport and Airway Safety and Capacity Expansion Act of 1987), and the Regulations of the Office of the Secretary of Transportation (49 CFR 1 <E T="03">et seq.</E>), 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 § 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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.5</SECTNO> <SUBJECT>Formal complaints.</SUBJECT> (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 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 § 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.<PRTPAGE P="36"/> (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 § 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 § 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. <SECAUTH>(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)))</SECAUTH> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.7</SECTNO> <SUBJECT>Records, documents and reports.</SUBJECT> 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, documents and reports may be used in any civil penalty action, certificate action, or other legal proceeding. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Administrative Actions</HD> <SECTION> <SECTNO>§ 13.11</SECTNO> <SUBJECT>Administrative disposition of certain violations.</SUBJECT> (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. </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="37"/> <HD SOURCE="HED">Subpart C—Legal Enforcement Actions</HD> <SECTION> <SECTNO>§ 13.13</SECTNO> <SUBJECT>Consent orders.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.14</SECTNO> <SUBJECT>Civil penalties: General.</SUBJECT> (a) Any person who violates any of the following statutory provisions, or any rule, regulation, or order issued thereunder, is subject to a civil penalty of not more than the amount specified in 49 U.S.C. chapter 463 for each violation: (1) Chapter 401 (except sections 40103(a) and (d), 40105, 40116, and 40117); (2) Chapter 441 (except section 44109); (3) Section 44502(b) or (c); (4) Chapter 447 (except sections 44717 and 44719-44723); (5) Chapter 451; (6) Sections 46301(b), 46302 (for a violation of 49 U.S.C. 46504), or 46318; (7) Section 47107(b); or (8) Sections 47528 through 47530. (b) Any person who knowingly commits an act in violation of 49 U.S.C. chapter 51 or a regulation prescribed or order issued under that chapter, is subject to a civil penalty under 49 U.S.C. 5123. (c) The minimum and maximum amounts of civil penalties for violations of the statutory provisions specified in paragraphs (a) and (b) of this section, or rules, regulations, or orders issued thereunder, are periodically adjusted for inflation in accordance with the formula established in 28 U.S.C. 2461 note and implemented in 14 CFR part 13, subpart H. <CITA>[Amdt. 13-32; 69 FR 59495, Oct. 4, 2004; Amdt. 13-32; 70 FR 1813, Jan. 11, 2005; 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.15</SECTNO> <SUBJECT>Civil penalties: Other than by administrative assessment.</SUBJECT> (a) The FAA uses the procedures in this section when it seeks a civil penalty other than by the administrative assessment procedures in §§ 13.16 or 13.18. (b) The authority of the Administrator, under 49 U.S.C. chapter 463, to seek a civil penalty for a violation cited in § 13.14(a), 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 sought by the Administrator is delegated to the Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; the Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. This delegation applies to cases involving: (1) An amount in controversy in excess of: (i) $50,000, if the violation was committed by any person before December 12, 2003; (ii) $400,000, if the violation was committed by a person other than an individual or small business concern on or after December 12, 2003; (iii) $50,000, if the violation was committed by an individual or small business concern on or after December 12, 2003; or (2) An in rem action, seizure of aircraft subject to lien, suit for injunctive relief, or for collection of an assessed civil penalty. (c) The Administrator may compromise any civil penalty proposed under this section, before referral to the United States Attorney General, or <PRTPAGE P="38"/>the delegate of the Attorney General, for prosecution. (1) The Administrator, through the Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; the Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; or the Technical Center Counsel sends a civil penalty letter to the person charged with a violation cited in § 13.14(a). 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 must send to the agency attorney a certified check or money order for that amount, payable to the Federal Aviation Administration. The Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; the Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; 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 49 U.S.C. 46305, to prosecute and collect the civil penalty. <CITA>[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; Amdt. 13-32; 69 FR 59495, Oct. 4, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.16</SECTNO> <SUBJECT>Civil Penalties: Administrative assessment against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman. Administrative assessment against all persons for hazardous materials violations.</SUBJECT> (a) The FAA uses these procedures when it assesses a civil penalty against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman for a violation cited in the first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or any implementing rule, regulation or order. (b) <E T="03">District court jurisdiction.</E> Notwithstanding the provisions of paragraph (a) of this section, the United States district courts have exclusive jurisdiction of any civil penalty action initiated by the FAA for violations described in those paragraphs, under 49 U.S.C. 46301(d)(4), if— (1) The amount in controversy is more than $50,000 for a violation committed by any person before December 12, 2003; (2) The amount in controversy is more than $400,000 for a violation committed by a person other than an individual or small business concern on or after December 12, 2003; (3) The amount in controversy is more than $50,000 for a violation committed by an individual or a small business concern on or after December 12, 2003; (4) The action is in rem or another action in rem based on the same violation has been brought;<PRTPAGE P="39"/> (5) The action involves an aircraft subject to a lien that has been seized by the Government; or (6) Another action has been brought for an injunction based on the same violation. (c) <E T="03">Hazardous materials violations.</E> The FAA may assess a civil penalty against any person who knowingly commits an act in violation of 49 U.S.C. chapter 51 or a regulation prescribed or order issued under that chapter, under 49 U.S.C. 5123 and 49 CFR 1.47(k). An order assessing a civil penalty for a violation under 49 U.S.C. chapter 51, or a rule, regulation, or order issued thereunder, is issued only after the following factors have been considered: (1) The nature, circumstances, extent, and gravity of the violation; (2) With respect to the violator, the degree of culpability, any history of prior violations, the ability to pay, and any effect on the ability to continue to do business; and (3) Such other matters as justice may require. (d) <E T="03">Order assessing civil penalty.</E> An order assessing civil penalty may be issued for a violation described in paragraphs (a) or (c) 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 (g)(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. (e) <E T="03">Delegation of authority.</E> (1) The authority of the Administrator under 49 U.S.C. 46301(d), 47531, and 5123, and 49 CFR 1.47(k) to initiate and assess civil penalties for a violation of those statutes or a rule, regulation, or order issued thereunder, is delegated to the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; the Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (2) The authority of the Administrator under 49 U.S.C. 5123, 49 CFR 1.47(k), 49 U.S.C. 46301(d), and 49 U.S.C. 46305 to refer cases to the Attorney General of the United States, or the delegate of the Attorney General, for collection of civil penalties is delegated to the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (3) The authority of the Administrator under 49 U.S.C. 46301(f) to compromise the amount of a civil penalty imposed is delegated to the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (4) The authority of the Administrator under 49 U.S.C. 5123 (e) and (f) and 49 CFR 1.47(k) to compromise the amount of a civil penalty imposed is delegated to the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (f) <E T="03">Notice of proposed civil penalty.</E> A civil penalty action is initiated by <PRTPAGE P="40"/>sending a notice of proposed civil penalty to the person charged with a violation or to the agent for services for the person under 49 U.S.C. 46103. 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. (g) <E T="03">Final notice of proposed civil penalty.</E> A final notice of proposed civil penalty may be issued after participation in informal procedures provided in paragraph (f)(2) of this section or failure to respond in a timely 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 (f)(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 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. (h) Request for a hearing. Any person charged with a violation may request a hearing, pursuant to paragraph (f)(3) or paragraph (g)(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, using the appropriate address set forth in § 13.210(a) of this part, and shall mail a copy of the <PRTPAGE P="41"/>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. (i) <E T="03">Hearing.</E> If the person charged with a violation requests a hearing pursuant to paragraph (f)(3) or paragraph (g)(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. (j) <E T="03">Appeal.</E> 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 § 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. (k) <E T="03">Payment.</E> 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. (l) <E T="03">Collection of civil penalties.</E> If an individual does not pay a civil penalty imposed by an order assessing civil penalty or other final order, the Administrator may take action provided under the law to collect the penalty. (m) A party may seek review only of a final decision and order of the FAA decisionmaker involving a violation of the Federal aviation statute or the Federal hazardous materials transportation law. Judicial review is in the United States Court of Appeals for the District of Columbia Circuit or the United States court of appeals for the circuit in which the party resides or has the party's principal place of business as provided in § 13.235 of this part. Neither an initial decision or an order issued by an administrative law judge that has not been appealed to the FAA decisionmaker, nor an order compromising a civil penalty action, may be appealed under any of those sections. (n) <E T="03">Compromise.</E> The FAA may compromise the amount of any civil penalty imposed under this section, under 49 U.S.C. 5123(e), 46031(f), 46303(b), or 46318 at any time before referring the action to the United States Attorney General, or the delegate of the Attorney General, for collection. (1) An agency attorney may compromise any civil penalty action where a person charged with a violation agrees to pay a civil penalty and the FAA agrees not to make a finding of violation. Under such agreement, a compromise order is issued following the payment of the agreed-on amount or the signing of a promissory note. The compromise order states the following: (i) The person has paid a civil penalty or has signed a promissory note providing for installment payments. (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 a civil penalty proposed in a notice, assessed in an order, or imposed in a compromise order. <CITA>[Amdt. 13-32; 70 FR 1813, Jan. 11, 2005; 70 FR 2925, Jan. 18, 2005, as amended at 70 FR 8238, Feb. 18, 2005; 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.17</SECTNO> <SUBJECT>Seizure of aircraft.</SUBJECT> (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 <PRTPAGE P="42"/>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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.18</SECTNO> <SUBJECT>Civil penalties: Administrative assessment against an individual acting as a pilot, flight engineer, mechanic, or repairman.</SUBJECT> (a) <E T="03">General.</E> (1) This section applies to each action in which the FAA seeks to assess a civil penalty by administrative procedures against an individual acting as a pilot, flight engineer, mechanic, or repairman, under 49 U.S.C. 46301(d)(5), for a violation listed in 49 U.S.C. 46301(d)(2). This section does not apply to a civil penalty assessed for violation of 49 U.S.C. chapter 51, or a rule, regulation, or order issued thereunder. (2) <E T="03">District court jurisdiction.</E> Notwithstanding the provisions of paragraph (a)(1) of this section, the United States district courts have exclusive jurisdiction of any civil penalty action involving an individual acting as a pilot, flight engineer, mechanic, or repairman for violations described in that paragraph, under 49 U.S.C. 46301(d)(4), if: (i) The amount in controversy is more than $50,000. (ii) The action involves an aircraft subject to a lien that has been seized by the Government; or (iii) Another action has been brought for an injunction based on the same violation. (b) <E T="03">Definitions.</E> As used in this part, the following definitions apply: (1) <E T="03">Flight engineer</E> means an individual who holds a flight engineer certificate issued under part 63 of this chapter. (2) <E T="03">Individual acting as a pilot, flight engineer, mechanic, or repairman</E> means an individual acting in such capacity, whether or not that individual holds the respective airman certificate issued by the FAA. (3) <E T="03">Mechanic</E> means an individual who holds a mechanic certificate issued under part 65 of this chapter.<PRTPAGE P="43"/> (4) <E T="03">Pilot</E> means an individual who holds a pilot certificate issued under part 61 of this chapter. (5) <E T="03">Repairman</E> means an individual who holds a repairman certificate issued under part 65 of this chapter. (c) <E T="03">Delegation of authority.</E> (1) The authority of the Administrator under 49 U.S.C. 46301(d)(5), to initiate and assess civil penalties is delegated to the Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (2) The authority of the Administrator to refer cases to the Attorney General of the United States, or the delegate of the Attorney General, for collection of civil penalties is delegated to the Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (3) The authority of the Administrator to compromise the amount of a civil penalty under 49 U.S.C. 46301(f) is delegated to the Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (d) <E T="03">Notice of proposed assessment.</E> A civil penalty action is initiated by sending a notice of proposed assessment to the individual charged with a violation specified in paragraph (a) of this section. The notice of proposed assessment contains a statement of the charges and the amount of the proposed civil penalty. The individual charged with a violation may do the following: (1) Submit the amount of the proposed civil penalty or an agreed-on amount, in which case either an order of assessment or a compromise order will be issued in that amount. (2) Answer the charges in writing. (3) Submit a written request for an informal conference to discuss the matter with an agency attorney and submit relevant information or documents. (4) Request that an order be issued in accordance with the notice of proposed assessment so that the individual charged may appeal to the National Transportation Safety Board. (e) <E T="03">Failure to respond to notice of proposed assessment.</E> An order of assessment may be issued if the individual charged with a violation fails to respond to the notice of proposed assessment within 15 days after receipt of that notice. (f) <E T="03">Order of assessment.</E> An order of assessment, which assesses a civil penalty, may be issued for a violation described in paragraph (a) of this section after notice and an opportunity to answer any charges and be heard as to why such order should not be issued. (g) <E T="03">Appeal.</E> Any individual who receives an order of assessment issued under this section may appeal the order to the National Transportation Safety Board. The appeal stays the effectiveness of the Administrator's order. (h) <E T="03">Exhaustion of administrative remedies.</E> An individual substantially affected by an order of the NTSB or the Administrator may petition for review only of a final decision and order of the National Transportation Safety Board to a court of appeals of the United States for the circuit in which the individual charged resides or has his or her principal place of business or the United States Court of Appeals for the District of Columbia Circuit, under 49 U.S.C. 46110 and 46301(d)(6). Neither an order of assessment that has not been appealed to the National Transportation Board, nor an order compromising a civil penalty action, may be appealed under those sections. (i) <E T="03">Compromise.</E> The FAA may compromise any civil penalty action initiated under this section, in accordance with 49 U.S.C. 46301(f). (1) An agency attorney may compromise any civil penalty action where an individual charged with a violation agrees to pay a civil penalty and the <PRTPAGE P="44"/>FAA agrees to make no finding of violation. Under such agreement, a compromise order is issued following the payment of the agreed-on amount or the signing of a promissory note. The compromise order states the following: (i) The individual has paid a civil penalty or has signed a promissory note providing for installment payments; (ii) The FAA makes no finding of violation; and (iii) The compromise order will 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 or assessed in an order. (j) <E T="03">Payment.</E> (1) An individual must pay a civil penalty by: (i) Sending a certified check or money order, payable to the Federal Aviation Administration, to the FAA office identified in the order of assessment, or (ii) Making an electronic funds transfer according to the directions specified in the order of assessment. (2) The civil penalty must be paid within 30 days after service of the order of assessment, unless an appeal is filed with the National Transportation Safety Board. The civil penalty must be paid within 30 days after a final order of the Board or the Court of Appeals affirms the order of assessment in whole or in part. (k) <E T="03">Collection of civil penalties.</E> If an individual does not pay a civil penalty imposed by an order of assessment or other final order, the Administrator may take action provided under the law to collect the penalty. <CITA>[Amdt. 13-32; 69 FR 59497, Oct. 4, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.19</SECTNO> <SUBJECT>Certificate action.</SUBJECT> (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 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 § 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 <PRTPAGE P="45"/>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. <FP>Except as provided in § 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.</FP> (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 of Aircraft Registration is affected by an order issued under this section. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.20</SECTNO> <SUBJECT>Orders of compliance, cease and desist orders, orders of denial, and other orders.</SUBJECT> (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<PRTPAGE P="46"/> (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 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 § 13.43; and the periods of time specified in this section shall be computed in accordance with § 13.44. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.21</SECTNO> <SUBJECT>Military personnel.</SUBJECT> 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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.23</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> (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.<PRTPAGE P="47"/> (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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.25</SECTNO> <SUBJECT>Injunctions.</SUBJECT> (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 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). <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.27</SECTNO> <SUBJECT>Final order of Hearing Officer in certificate of aircraft registration proceedings.</SUBJECT> (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 § 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 <PRTPAGE P="48"/>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. <CITA>[Doc. No. 13-14, 44 FR 63723, Nov. 5, 1979; as amended by Amdt. 13-15, 45 FR 20773, Mar. 31, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.29</SECTNO> <SUBJECT>Civil penalties: Streamlined enforcement procedures for certain security violations.</SUBJECT> 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) <E T="03">Delegation of authority.</E> 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) <E T="03">Notice of violation.</E> 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 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) <E T="03">Final notice of violation and civil penalty assessment order.</E> 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—<PRTPAGE P="49"/> (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) <E T="03">Order assessing civil penalty.</E> 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, <E T="03">unless</E> 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 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. <CITA>[Doc. No. 27873, 61 FR 44155, Aug. 28, 1996]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Rules of Practice for FAA Hearings</HD> <SECTION> <SECTNO>§ 13.31</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart applies to proceedings in which a hearing has been requested in accordance with §§ 13.19(c)(5), 13.20(c), 13.20(d), 13.75(a)(2), 13.75(b), or 13.81(e). <CITA>[Amdt. 13-18, 53 FR 34655, Sept. 7, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.33</SECTNO> <SUBJECT>Appearances.</SUBJECT> Any party to a proceeding under this subpart may appear and be heard in person or by attorney. </SECTION> <SECTION> <SECTNO>§ 13.35</SECTNO> <SUBJECT>Request for hearing.</SUBJECT> (a) A request for hearing must be made in writing and filed in the Hearing Docket. (1) <E T="03">If delivery is in person, or by expedited courier service.</E> A person delivering the request for hearing in person or sending the request for hearing by commercial expedited courier (for example, Federal Express or United Parcel Service), should use the following address: Federal Aviation Administration, 600 Independence Avenue, SW., Wilbur Wright Building—Suite 2W1000, Washington, DC 20591; Attention: Hearing Docket Clerk, AGC-430. (2) <E T="03">If delivery is by U.S. Mail:</E> If the request for hearing is sent by U.S. Mail, then it should be addressed as follows: Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591: Attention: Hearing Docket Clerk, AGC-430, Wilbur Wright Building—Suite 2W1000. (b) The request for hearing must describe the action proposed by the FAA, and must contain a statement that a <PRTPAGE P="50"/>hearing is requested. A copy of the request for hearing and a copy of the answer required by paragraph (c) of this section must be served on the official who issued the notice of proposed action. (c) 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. (d) 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. <CITA>[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-19, 54 FR 39290, Sept. 25, 1989; 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.37</SECTNO> <SUBJECT>Hearing Officer's powers.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.39</SECTNO> <SUBJECT>Disqualification of Hearing Officer.</SUBJECT> If disqualified for any reason, the Hearing Officer shall withdraw from the case. </SECTION> <SECTION> <SECTNO>§ 13.41</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 13.43</SECTNO> <SUBJECT>Service and filing of pleadings, motions, and documents.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.44</SECTNO> <SUBJECT>Computation of time and extension of time.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.45</SECTNO> <SUBJECT>Amendment of notice and answer.</SUBJECT> 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. </SECTION> <SECTION> <PRTPAGE P="51"/> <SECTNO>§ 13.47</SECTNO> <SUBJECT>Withdrawal of notice or request for hearing.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.49</SECTNO> <SUBJECT>Motions.</SUBJECT> (a) <E T="03">Motion to dismiss for insufficiency.</E> 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) <E T="03">Motion for more definite statement.</E> 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) <E T="03">Motion for judgment on the pleadings.</E> After the pleadings are closed, either party may move for a judgment on the pleadings. (e) <E T="03">Motion to strike.</E> 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) <E T="03">Motion for production of documents.</E> 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) <E T="03">Consolidation of motions.</E> 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) <E T="03">Answers to motions.</E> Any party may file an answer to any motion under this section within 5 days after service of the motion. </SECTION> <SECTION> <SECTNO>§ 13.51</SECTNO> <SUBJECT>Intervention.</SUBJECT> 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 cause shown, a motion for leave to intervene may not be considered if it is filed less than 10 days before the hearing. </SECTION> <SECTION> <SECTNO>§ 13.53</SECTNO> <SUBJECT>Depositions.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.55</SECTNO> <SUBJECT>Notice of hearing.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.57</SECTNO> <SUBJECT>Subpoenas and witness fees.</SUBJECT> (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 <PRTPAGE P="52"/>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 § 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. </SECTION> <SECTION> <SECTNO>§ 13.59</SECTNO> <SUBJECT>Evidence.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.61</SECTNO> <SUBJECT>Argument and submittals.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.63</SECTNO> <SUBJECT>Record.</SUBJECT> 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 obtain a transcript from the official reporter upon payment of the fees fixed therefor. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act</HD> <SECTION> <SECTNO>§ 13.71</SECTNO> <SUBJECT>Applicability.</SUBJECT> 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. <CITA>[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]</CITA> </SECTION> <SECTION> <PRTPAGE P="53"/> <SECTNO>§ 13.73</SECTNO> <SUBJECT>Notice of proposed order of compliance.</SUBJECT> 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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.75</SECTNO> <SUBJECT>Reply or request for hearing.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.77</SECTNO> <SUBJECT>Consent order of compliance.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.79</SECTNO> <SUBJECT>Hearing.</SUBJECT> If an alleged violator requests a hearing in accordance with § 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. </SECTION> <SECTION> <SECTNO>§ 13.81</SECTNO> <SUBJECT>Order of immediate compliance.</SUBJECT> (a) Notwithstanding §§ 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 §§ 13.73 through 13.79. (b) An order of immediate compliance is served promptly upon the person against whom the order is issued <PRTPAGE P="54"/>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 § 13.73 in lieu thereof. (d) If at any time in the course of a proceeding commenced in accordance with § 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 § 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 § 13.25. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.83</SECTNO> <SUBJECT>Appeal.</SUBJECT> (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 § 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. (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. </SECTION> <SECTION> <PRTPAGE P="55"/> <SECTNO>§ 13.85</SECTNO> <SUBJECT>Filing, service and computation of time.</SUBJECT> Filing and service of documents under this subpart shall be accomplished in accordance with § 13.43 except service of orders of immediate compliance under § 13.81(b); and the periods of time specified in this subpart shall be computed in accordance with § 13.44. </SECTION> <SECTION> <SECTNO>§ 13.87</SECTNO> <SUBJECT>Extension of time.</SUBJECT> (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation</HD> <SECTION> <SECTNO>§ 13.101</SECTNO> <SUBJECT>Applicability.</SUBJECT> (a) This subpart applies to fact-finding investigations in which an order of investigation has been issued under § 13.3(c) or § 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)). </SECTION> <SECTION> <SECTNO>§ 13.103</SECTNO> <SUBJECT>Order of investigation.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.105</SECTNO> <SUBJECT>Notification.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.107</SECTNO> <SUBJECT>Designation of additional parties.</SUBJECT> (a) The Presiding Officer may designate additional persons as parties to the investigation, if in the discretion of 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. </SECTION> <SECTION> <SECTNO>§ 13.109</SECTNO> <SUBJECT>Convening the investigation.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.111</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> (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 <PRTPAGE P="56"/>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. </SECTION> <SECTION> <SECTNO>§ 13.113</SECTNO> <SUBJECT>Noncompliance with the investigative process.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.115</SECTNO> <SUBJECT>Public proceedings.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.117</SECTNO> <SUBJECT>Conduct of investigative proceeding or deposition.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.119</SECTNO> <SUBJECT>Rights of persons against self-incrimination.</SUBJECT> (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 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. </SECTION> <SECTION> <SECTNO>§ 13.121</SECTNO> <SUBJECT>Witness fees.</SUBJECT> All witnesses appearing shall be compensated at the same rate as a witness appearing before a United States District Court. </SECTION> <SECTION> <SECTNO>§ 13.123</SECTNO> <SUBJECT>Submission by party to the investigation.</SUBJECT> (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 <PRTPAGE P="57"/>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. </SECTION> <SECTION> <SECTNO>§ 13.125</SECTNO> <SUBJECT>Depositions.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.127</SECTNO> <SUBJECT>Reports, decisions and orders.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.129</SECTNO> <SUBJECT>Post-investigation action.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.131</SECTNO> <SUBJECT>Other procedures.</SUBJECT> 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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Rules of Practice in FAA Civil Penalty Actions</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Amdt. 13-21, 55 FR 27575, July 3, 1990, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 13.201</SECTNO> <SUBJECT>Applicability.</SUBJECT> (a) This subpart applies to all civil penalty actions initiated under § 13.16 of this part in which a hearing has been requested. (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. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-32; 69 FR 59497, Oct. 4, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.202</SECTNO> <SUBJECT>Definitions.</SUBJECT> <E T="03">Administrative law judge</E> means an administrative law judge appointed pursuant to the provisions of 5 U.S.C. 3105. <E T="03">Agency attorney</E> means the Deputy Chief Counsel for Operations, the Assistant Chief Counsel, Enforcement, 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, 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 Deputy Chief Counsel for Policy and Adjudication, or the Assistant Chief Counsel for Litigation; (2) Any attorney on the staff of the Assistant Chief Counsel for Litigation; (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. <E T="03">Attorney</E> means a person licensed by a state, the District of Columbia, or a <PRTPAGE P="58"/>territory of the United States to practice law or appear before the courts of that state or territory. <E T="03">Complaint</E> means a document issued by an agency attorney alleging a violation of a provision of the Federal aviation statute listed in the first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or a rule, regulation, or order issued under those statutes, that has been filed with the Hearing Docket after a hearing has been requested under § 13.16(f)(3) or (g)(2)(ii) of this part. <E T="03">FAA decisionmaker</E> 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. <E T="03">Mail</E> includes U.S. certified mail, U.S. registered mail, or use of an overnight express courier service. <E T="03">Order assessing civil penalty</E> means a document that contains a finding of a violation of a provision of the Federal aviation statute listed in the first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or a rule, regulation or order issued under those statutes, 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. <E T="03">Party</E> means the respondent or the Federal Aviation Administration (FAA). <E T="03">Personal delivery</E> includes hand-delivery or use of a contract or express messenger service. “Personal delivery” does not include the use of Government interoffice mail service. <E T="03">Pleading</E> means a complaint, an answer, and any amendment of these documents permitted under this subpart. <E T="03">Properly addressed</E> 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. <E T="03">Respondent</E> means a person, corporation, or company named in a complaint. <CITA>[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; 70 FR 8238, Feb. 18, 2005; 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.203</SECTNO> <SUBJECT>Separation of functions.</SUBJECT> (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 Deputy Chief Counsel for Policy and Adjudication, and the Assistant Chief Counsel for Litigation, or an attorney on the staff of the Assistant Chief Counsel for Litigation will advise the FAA decisionmaker regarding an initial decision or any appeal of a civil penalty action to the FAA decisionmaker. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-24, 58 FR 50241, Sept. 24, 1993; 70 FR 8238, Feb. 18, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.204</SECTNO> <SUBJECT>Appearances and rights of parties.</SUBJECT> (a) Any party may appear and be heard in person. (b) Any party may be accompanied, represented, or advised by an attorney <PRTPAGE P="59"/>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 § 13.210 of this subpart, and shall serve a copy of the notice of appearance on each party, in the manner provided in § 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. </SECTION> <SECTION> <SECTNO>§ 13.205</SECTNO> <SUBJECT>Administrative law judges.</SUBJECT> (a) <E T="03">Powers of an administrative law judge.</E> 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; (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) <E T="03">Limitations on the power of the administrative law judge.</E> 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 § 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) <E T="03">Disqualification.</E> The administrative law judge may disqualify himself or herself at any time. A party may file a motion, pursuant to § 13.218(f)(6), requesting that an administrative law judge be disqualified from the proceedings. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.206</SECTNO> <SUBJECT>Intervention.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.207</SECTNO> <SUBJECT>Certification of documents.</SUBJECT> (a) <E T="03">Signature required.</E> 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) <E T="03">Effect of signing a document.</E> 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;<PRTPAGE P="60"/> (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) <E T="03">Sanctions.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.208</SECTNO> <SUBJECT>Complaint.</SUBJECT> (a) <E T="03">Filing.</E> 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 § 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) <E T="03">Service.</E> 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) <E T="03">Contents.</E> 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) <E T="03">Motion to dismiss allegations or complaint.</E> 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 § 13.219(b) of this subpart. <CITA>[Admt. 13-21, 55 FR 27575, July 3, 1990, as amended by Admt. 13-22, 55 FR 31176, Aug. 1, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.209</SECTNO> <SUBJECT>Answer.</SUBJECT> (a) <E T="03">Writing required.</E> A respondent shall file a written answer to the complaint, or may file a written motion pursuant to § 13.208(d) or § 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) <E T="03">Filing and address.</E> 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 <PRTPAGE P="61"/>Hearing Docket at the appropriate address set forth in § 13.210(a) of this subpart. The person filing an answer should suggest a location for the hearing when filing the answer. (c) <E T="03">Service.</E> A person filing an answer shall serve a copy of the answer on the agency attorney who filed the complaint. (d) <E T="03">Contents.</E> 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) <E T="03">Specific denial of allegations required.</E> 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) <E T="03">Failure to file answer.</E> 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. <CITA>[Docket No. 18884, 44 FR 63723, Nov. 5, 1979,as amended at 70 FR 8238, Feb. 18, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.210</SECTNO> <SUBJECT>Filing of documents.</SUBJECT> (a) <E T="03">Address and method of filing.</E> 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 using the appropriate address: (1) <E T="03">If delivery is in person, or via expedited courier service:</E> Federal Aviation Administration, 600 Independence Avenue, SW., Wilbur Wright Building—Suite 2W1000, Washington, DC 20591; Attention: Hearing Docket Clerk, AGC-430. (2) <E T="03">If delivery is via U.S. Mail:</E> Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591; Attention: Hearing Docket Clerk, AGC-430, Wilbur Wright Building—Suite 2W1000. (b) <E T="03">Date of filing.</E> 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) <E T="03">Form.</E> Each document shall be typewritten or legibly handwritten. (d) <E T="03">Contents.</E> 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. (e) <E T="03">Internet accessibility of documents filed in the Hearing Docket.</E> (1) Unless protected from public disclosure by an order of the ALJ under 13.226, all documents filed in the Hearing Docket are accessible through the Federal Docket Management System (FDMS): <E T="03">http://www.regulations.gov.</E> To access a particular case file, use the FDMS number assigned to the case. (2) Decisions and orders issued by the Administrator in civil penalty cases, indexes of decisions, contact information for the FAA Hearing Docket and the administrative law judges, the rules of practice, and other information are available on the FAA civil penalty adjudication Web site at: <E T="03">http://www.faa.gov/about/office_org/headquarters_offices/agc/pol_adjudication/AGC400/Civil_Penalty.</E> <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990, as amended at 70 FR 8238, Feb. 18, 2005; 71 FR 70464, Dec. 5, 2006; 72 FR 14668, Mar. 29, 2007; 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.211</SECTNO> <SUBJECT>Service of documents.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Type of service.</E> A person may serve documents by personal delivery or by mail. (c) <E T="03">Certificate of service.</E> 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.<PRTPAGE P="62"/> (d) <E T="03">Date of service.</E> 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) <E T="03">Additional time after service by mail.</E> 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) <E T="03">Service by the administrative law judge.</E> 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) <E T="03">Valid service.</E> 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) <E T="03">Presumption of service.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.212</SECTNO> <SUBJECT>Computation of time.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.213</SECTNO> <SUBJECT>Extension of time.</SUBJECT> (a) <E T="03">Oral requests.</E> 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) <E T="03">Written motion.</E> 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) <E T="03">Failure to rule.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.214</SECTNO> <SUBJECT>Amendment of pleadings.</SUBJECT> (a) <E T="03">Filing and service.</E> 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) <E T="03">Time.</E> 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.<PRTPAGE P="63"/> (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) <E T="03">Responses.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.215</SECTNO> <SUBJECT>Withdrawal of complaint or request for hearing.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.216</SECTNO> <SUBJECT>Waivers.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.217</SECTNO> <SUBJECT>Joint procedural or discovery schedule.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Form and content of schedule.</E> 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. (c) <E T="03">Time.</E> 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) <E T="03">Order establishing joint schedule.</E> 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) <E T="03">Disputes.</E> 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) <E T="03">Sanctions for failure to comply with joint schedule.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.218</SECTNO> <SUBJECT>Motions.</SUBJECT> (a) <E T="03">General.</E> 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 <PRTPAGE P="64"/>judge. A party shall serve a copy of each motion on each party. (b) <E T="03">Form and contents.</E> 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) <E T="03">Filing of motions.</E> 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) <E T="03">Answers to motions.</E> 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) <E T="03">Rulings on motions.</E> The administrative law judge shall rule on all motions as follows: (1) <E T="03">Discovery motions.</E> The administrative law judge shall resolve all pending discovery motions not later than 10 days before the hearing. (2) <E T="03">Prehearing motions.</E> 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) <E T="03">Motions made during the hearing.</E> 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) <E T="03">Specific motions.</E> A party may file the following motions with the administrative law judge: (1) <E T="03">Motion to dismiss for insufficiency.</E> 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 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 a provision of the Federal aviation statute listed in the first sentence in 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or any implementing rule, regulation, or order, or a violation of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or any implementing rule, regulation or order. (2) <E T="03">Motion to dismiss.</E> 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 § 13.219(b) of this subpart. (i) <E T="03">Motion to dismiss a request for a hearing.</E> 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 § 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) <E T="03">Motion to dismiss a complaint.</E> 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 <PRTPAGE P="65"/>granted and the proceedings are terminated without a hearing, the agency attorney may file an appeal pursuant to § 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) <E T="03">Motion for more definite statement.</E> 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) <E T="03">Complaint.</E> 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) <E T="03">Answer.</E> 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) <E T="03">Motion to strike.</E> 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 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) <E T="03">Motion for decision.</E> 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) <E T="03">Motion for disqualification.</E> 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) <E T="03">Motion and supporting affidavit.</E> 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) <E T="03">Answer.</E> A party shall respond to the motion for disqualification not later than 5 days after service of the motion for disqualification. (iii) <E T="03">Decision on motion for disqualification.</E> 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 <PRTPAGE P="66"/>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) <E T="03">Appeal.</E> A party may appeal the administrative law judge's denial of the motion for disqualification in accordance with § 13.219(b) of this subpart. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.219</SECTNO> <SUBJECT>Interlocutory appeals.</SUBJECT> (a) <E T="03">General.</E> 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 as provided in § 13.235 of this subpart. (b) <E T="03">Interlocutory appeal for cause.</E> 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) <E T="03">Interlocutory appeals of right.</E> 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: (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 § 13.215 of this subpart. (3) A ruling or order by the administrative law judge in violation of § 13.205(b) of this subpart. (d) <E T="03">Procedure.</E> 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. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-23, 55 FR 45983, Oct. 31, 1990; 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.220</SECTNO> <SUBJECT>Discovery.</SUBJECT> (a) <E T="03">Initiation of discovery.</E> 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.<PRTPAGE P="67"/> (b) <E T="03">Methods of discovery.</E> 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) <E T="03">Service on the agency.</E> A party shall serve each discovery request directed to the agency or any agency employee on the agency attorney of record. (d) <E T="03">Time for response to discovery requests.</E> 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) <E T="03">Scope of discovery.</E> 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) <E T="03">Limiting discovery.</E> 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; (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) <E T="03">Confidential orders.</E> 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.<PRTPAGE P="68"/> (h) <E T="03">Protective orders.</E> 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) <E T="03">Duty to supplement or amend responses.</E> 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) <E T="03">Depositions.</E> The following rules apply to depositions taken pursuant to this section: (1) <E T="03">Form.</E> 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) <E T="03">Administration of oaths.</E> 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. (3) <E T="03">Notice of deposition.</E> 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 <E T="03">duces tecum</E> is to be served on the person to be examined, the party shall attach a copy of the subpoena <E T="03">duces tecum</E> that describes the materials to be produced at the deposition to the notice of deposition. (4) <E T="03">Use of depositions.</E> 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) <E T="03">Interrogatories.</E> 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 <PRTPAGE P="69"/>the information cannot reasonably be obtained using less burdensome discovery methods or be obtained from other sources. (l) <E T="03">Requests for admission.</E> 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) <E T="03">Time.</E> 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) <E T="03">Response.</E> 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) <E T="03">Effect of admission.</E> Any matter admitted or deemed admitted under this section is conclusively established for the purpose of the hearing and appeal. (m) <E T="03">Motion to compel discovery.</E> 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 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) <E T="03">Failure to comply with a discovery order or order to compel.</E> 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. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-23, 55 FR 45983, Oct. 31, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.221</SECTNO> <SUBJECT>Notice of hearing.</SUBJECT> (a) <E T="03">Notice.</E> The administrative law judge shall give each party at least 60 days notice of the date, time, and location of the hearing. (b) <E T="03">Date, time, and location of the hearing.</E> 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) <E T="03">Earlier hearing.</E> With the consent of the administrative law judge, the parties may agree to hold the hearing <PRTPAGE P="70"/>on an earlier date than the date specified in the notice of hearing. </SECTION> <SECTION> <SECTNO>§ 13.222</SECTNO> <SUBJECT>Evidence.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Admissibility.</E> 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) <E T="03">Hearsay evidence.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.223</SECTNO> <SUBJECT>Standard of proof.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.224</SECTNO> <SUBJECT>Burden of proof.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.225</SECTNO> <SUBJECT>Offer of proof.</SUBJECT> A party whose evidence has been excluded by a ruling of the administrative law judge may offer the evidence for the record on appeal. </SECTION> <SECTION> <SECTNO>§ 13.226</SECTNO> <SUBJECT>Public disclosure of evidence.</SUBJECT> (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 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. </SECTION> <SECTION> <SECTNO>§ 13.227</SECTNO> <SUBJECT>Expert or opinion witnesses.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.228</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> (a) <E T="03">Request for subpoena.</E> 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) <E T="03">Motion to quash or modify the subpoena.</E> 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 <PRTPAGE P="71"/>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) <E T="03">Enforcement of subpoena.</E> 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 49 U.S.C. 46104 in cases under the Federal aviation statute. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended at 71 FR 70465, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.229</SECTNO> <SUBJECT>Witness fees.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Amount.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.230</SECTNO> <SUBJECT>Record.</SUBJECT> (a) <E T="03">Exclusive record.</E> 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) <E T="03">Examination and copying of record.</E> Any person may examine the record at the Hearing Docket, Federal Aviation Administration, 600 Independence Avenue, SW., Wilbur Wright Building—Room 2014, Washington, DC 20591. Documents may also be examined and copied at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. Any person may have a copy of the record after payment of reasonable costs to copy the record. <CITA>[Docket No. 18884, 44 FR 63723, Nov. 5, 1979, as amended at 70 FR 8238, Feb. 18, 2005; 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.231</SECTNO> <SUBJECT>Argument before the administrative law judge.</SUBJECT> (a) <E T="03">Arguments during the hearing.</E> 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) <E T="03">Final oral argument.</E> 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) <E T="03">Posthearing briefs.</E> 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 <PRTPAGE P="72"/>transcript, to prepare and submit the briefs. </SECTION> <SECTION> <SECTNO>§ 13.232</SECTNO> <SUBJECT>Initial decision.</SUBJECT> (a) <E T="03">Contents.</E> 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) <E T="03">Oral decision.</E> 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) <E T="03">Written decision.</E> 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) <E T="03">Order assessing civil penalty.</E> Unless appealed pursuant to § 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. </SECTION> <SECTION> <SECTNO>§ 13.233</SECTNO> <SUBJECT>Appeal from initial decision.</SUBJECT> (a) <E T="03">Notice of appeal.</E> A party may appeal the initial decision, and any decision not previously appealed pursuant to § 13.219, by filing a notice of appeal with the FAA decisionmaker. A party must file the notice of appeal in the FAA Hearing Docket using the appropriate address listed in § 13.210(a). 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. (b) <E T="03">Issues on appeal.</E> In any appeal from a decision of an administrative law judge, the FAA decisionmaker considers only the following issues: (1) Whether each finding 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 that support the appeal. (c) <E T="03">Perfecting an appeal.</E> 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) <E T="03">Extension of time by agreement of the parties.</E> 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) <E T="03">Written motion for extension.</E> 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.<PRTPAGE P="73"/> (d) <E T="03">Appeal briefs.</E> 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) <E T="03">Reply brief.</E> 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) <E T="03">Extension of time by agreement of the parties.</E> 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) <E T="03">Written motion for extension.</E> 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) <E T="03">Other briefs.</E> The FAA decisionmaker may allow any person to submit an <E T="03">amicus curiae</E> 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) <E T="03">Number of copies.</E> A party shall file the original appeal brief or the original reply brief, and two copies of the brief, with the FAA decisionmaker. (h) <E T="03">Oral argument.</E> The FAA decisionmaker has sole discretion to permit 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) <E T="03">Waiver of objections on appeal.</E> 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) <E T="03">FAA decisionmaker's decision on appeal.</E> The FAA decisionmaker will review the record, the briefs on appeal, and the oral argument, if any, when considering the issues on appeal. 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 <PRTPAGE P="74"/>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 § 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. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-32; 69 FR 59498, Oct. 4, 2004; 70 FR 13345, Mar. 21, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.234</SECTNO> <SUBJECT>Petition to reconsider or modify a final decision and order of the FAA decisionmaker on appeal.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Form and number of copies.</E> 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) <E T="03">Contents.</E> 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 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) <E T="03">Repetitious and frivolous petitions.</E> 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) <E T="03">Reply petitions.</E> 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) <E T="03">Effect of filing petition.</E> 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) <E T="03">FAA decisionmaker's decision on petition.</E> 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 <PRTPAGE P="75"/>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. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990; Amdt. 13-23, 55 FR 45983, Oct. 31, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.235</SECTNO> <SUBJECT>Judicial review of a final decision and order.</SUBJECT> (a) In cases under the Federal aviation statute, a party may seek judicial review of a final decision and order of the Administrator, as provided in 49 U.S.C. 46110(a), and, as applicable, in 49 U.S.C. 46301(d)(7)(D)(iii), 46301(g), or 47532. (b) In cases under the Federal hazardous materials transportation statute, a party may seek judicial review of a final decision and order of the Administrator, as provided in 49 U.S.C. 5127. (c) A party seeking judicial review of a final order issued by the Administrator may file a petition for review in the United States Court of Appeals for the District of Columbia Circuit or in the United States Court of Appeals for the circuit in which the party resides or has its principal place of business. (d) The party must file the petition for review no later than 60 days after service of the Administrator's final decision and order. <CITA>[Doc. No. FAA-2006-26477, 71 FR 70465, Dec. 5, 2006]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Civil Monetary Penalty Inflation Adjustment</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 28762, 61 FR 67445, Dec. 20, 1996, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 13.301</SECTNO> <SUBJECT>Scope and purpose.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.303</SECTNO> <SUBJECT>Definitions.</SUBJECT> (a) <E T="03">Civil Monetary Penalty</E> 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) <E T="03">Consumer Price Index</E> means the Consumer Price Index for all urban consumers published by the Department of Labor. </SECTION> <SECTION> <SECTNO>§ 13.305</SECTNO> <SUBJECT>Cost of living adjustments of civil monetary penalties.</SUBJECT> (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;<PRTPAGE P="76"/> (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) <E T="03">Limitation on initial adjustment.</E> The initial adjustment of a civil monetary penalty under this subpart does not exceed 10 percent of the civil penalty amount. (d) <E T="03">Inflation adjustment.</E> 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. <GPOTABLE CDEF="s55,r77,r25,r18,r60,r23" COLS="6" OPTS="L2"> <TTITLE>Table 1—Table of Mimimum and Maximum Civil Monetary Penalty Amounts for Certain Violations Before December 12, 2003, and for Hazardous Materials Violations Before August 10, 2005</TTITLE> <BOXHD> <CHED H="1">United States <LI>Code citation</LI> </CHED> <CHED H="1">Civil monetary <LI>penalty description</LI> </CHED> <CHED H="1">Mimimum penalty amount</CHED> <CHED H="1">New <LI>adjusted mimimum penalty amount</LI> </CHED> <CHED H="1">Maximum penalty amount when last set or adjusted pursuant to law</CHED> <CHED H="1">New or <LI>adjusted maximum penalty amount</LI> </CHED> </BOXHD> <ROW> <ENT I="01">49 U.S.C. 5123(a)</ENT> <ENT>Violation of hazardous materials transportation law, regulation, or order</ENT> <ENT>$250 per violation, last set 1990</ENT> <ENT>Same</ENT> <ENT>$30,000 per violation, adjusted 3/13/02</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(1)</ENT> <ENT>Violation under 49 U.S.C. 46301(a)(1)</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$1,100 per violation, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(2)</ENT> <ENT>Violation under 49 U.S.C. 46301(a)(2)(A) or (B) by a person operating an aircraft for the transportation of passengers or property for compensation (except an airman serving as an airman)</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$11,000 per violation, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(3)(A)</ENT> <ENT>Violation under 498 U.S.C. 46301(a)(1) related to the transportation of hazardous materials</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$11,000 per violation, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(3)(B)</ENT> <ENT>Violation related to the registration or recordation under 49 U.S.C. chapter 441 of an aircraft not used to provide air transportation</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$11,000 per violation, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(3)(C)</ENT> <ENT>Violation of 49 U.S.C. 44718(d) relating to limiting construction or establishment of landfills</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, set 10/9/1996</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(3)(D)</ENT> <ENT>Violation of 49 U.S.C. 44725 relating to the safe disposal of life-limited aircraft parts</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$10,000, set 4/5/2000</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)</ENT> <ENT>Violation of 49 U.S.C. 47107(b) (or any assurance made under such section) or 49 U.S.C. 47133</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>Increase above otherwise applicable maximum amount not to exceed 3 times the amount of revenues that are used in violation of such section</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(b)</ENT> <ENT>Tampering with a smoke alarm device</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$2,200, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46302(a)</ENT> <ENT>Knowingly providing false information about alleged violation involving the special aircraft jurisdiction of the United States</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$11,000, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <PRTPAGE P="77"/> <ENT I="01">49 U.S.C. 46303</ENT> <ENT>Carrying a concealed dangerous weapon <SU>1</SU> </ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$11,000, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46318</ENT> <ENT>Interference with cabin or flight crew</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$25,000, set 4/5/2000</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 47531</ENT> <ENT>Violation of 49 U.S.C. 47528-47530 relating to the prohibition of operating certain aircraft not complying with stage 3 noise levels</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>See 49 U.S.C. 46301(a)(1) and (a)(2), above</ENT> <ENT>Same.</ENT> </ROW> <TNOTE> <SU>1</SU> FAA prosecutes violations under this section that occurred before February 17, 2002.</TNOTE> </GPOTABLE> <PRTPAGE P="78"/> <GPOTABLE CDEF="s60,r100,r25,r100,r50" COLS="5" OPTS="L2"> <TTITLE>Table 2—Table of Minimum and Maximum Civil Monetary Penalty Amounts for Certain Violations Occurring on or After December 12, 2003</TTITLE> <BOXHD> <CHED H="1">United States Code citation</CHED> <CHED H="1">Civil monetary penalty description</CHED> <CHED H="1">Minimum penalty amount</CHED> <CHED H="1">Maximum penalty amount when last set or adjusted pursuant to law</CHED> <CHED H="1">New or maximum penalty amount</CHED> </BOXHD> <ROW> <ENT I="01">49 U.S.C. 46301(a)(1)</ENT> <ENT>Violation by person other than individual or small business concern under 49 U.S.C. 46301(a)(1)(A) or (B)</ENT> <ENT>N/A</ENT> <ENT>$25,000 per violation, reset 12/12/2003</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(1)</ENT> <ENT>Violation by airman serving as airman under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered by 46301(a)(5)(A) or (B))</ENT> <ENT>N/A</ENT> <ENT>$1,100 per violation, reset 12/12/2003</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(1)</ENT> <ENT>Violation by individual or small business concern under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered in 46301(a)(5))</ENT> <ENT>N/A</ENT> <ENT>$1,100 per violation, reset 12/12/2003</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(3)</ENT> <ENT>Violation of 49 U.S.C. 47107(b) (or any assurance made under such section) or 49 U.S.C. 47133</ENT> <ENT>N/A</ENT> <ENT>Increase above otherwise applicable maximum amount not to exceed 3 times the amount of revenues that are used in violation of such section</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)(A)</ENT> <ENT>Violation by an individual or small business concern (except an airman serving as an airman) under 49 U.S.C. 46301(a)(5)(A)(i) or (ii)</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, reset 12/12/2003</ENT> <ENT>$11,000 per violation. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)(B)(i)</ENT> <ENT>Violation by an individual or small business concern under 49 U.S.C. 46301(a)(1) related to the transportation of hazardous materials</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, reset 12/12/2003</ENT> <ENT>$11,000 per violation. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)(B)(ii)</ENT> <ENT>Violation by an individual or small business concern related to the registration or recordation under 49 U.S.C. chapter 441, of an aircraft not used to provide air transportation</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, reset 12/12/2003</ENT> <ENT>$11,000 per violation. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)(B)(iii)</ENT> <ENT>Violation by an individual or small business concern of 49 U.S.C. 44718(d) relating to limitation on construction or establishment of landfills</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, reset 12/12/2003</ENT> <ENT>$11,000 per violation. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)(B)(iv)</ENT> <ENT>Violation by an individual or small business concern of 49 U.S.C. 44725 relating to the safe disposal of life-limited aircraft parts</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, reset 12/12/2003</ENT> <ENT>$11,000 per violation. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(b)</ENT> <ENT>Tampering with a smoke alarm device</ENT> <ENT>N/A</ENT> <ENT>$2,200 per violation, adjusted 1/21/1997</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46302</ENT> <ENT>Knowingly providing false information about alleged violation involving the special aircraft jurisdiction of the United States</ENT> <ENT>N/A</ENT> <ENT>$11,000 per violation, adjusted 1/21/1997</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46318</ENT> <ENT>Interference with cabin or flight crew</ENT> <ENT>N/A</ENT> <ENT>$25,000 per violation, set 4/5/2000</ENT> <ENT>$27,500 per violation. <SU>2</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46319</ENT> <ENT>Permanent closure of an airport without providing sufficient notice</ENT> <ENT>N/A</ENT> <ENT>$10,000 per day, set 12/12/2003</ENT> <ENT>$11,000 per day. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 47531</ENT> <ENT>Violation of 49 U.S.C. 47528-47530, or regulation prescribed or order issued under those sections, relating to the prohibition of operating certain aircraft not complying with stage 3 noise levels</ENT> <ENT>N/A</ENT> <ENT>See 49 U.S.C. 46301(a)(1) and (a)(5)(A), above</ENT> <ENT>No change.</ENT> </ROW> <TNOTE> <SU>1</SU> The maximum penalty for a violation from 12/12/2003 until 6/15/2006 is $10,000.</TNOTE> <TNOTE> <SU>2</SU> The maximum penalty for a violation from 4/5/2000 until 6/15/2006 is $25,000.</TNOTE> </GPOTABLE> <PRTPAGE P="79"/> <GPOTABLE CDEF="s50,r100,r50,r50" COLS="4" OPTS="L2"> <TTITLE>Table 3—Table of Minimum and Maximum Civil Monetary Penalty Amounts for Hazardous Materials Violations Occurring on or After August 10, 2005</TTITLE> <BOXHD> <CHED H="1">United States Code citation</CHED> <CHED H="1">Civil monetary penalty description</CHED> <CHED H="1">Minimum penalty amount</CHED> <CHED H="1">Maximum penalty amount</CHED> </BOXHD> <ROW> <ENT I="22">49 U.S.C. 5123(a):</ENT> </ROW> <ROW> <ENT I="03">Subparagraph (1)</ENT> <ENT>Violation of hazardous materials transportation law, regulation, order, special permit or approval—general</ENT> <ENT>$250 per violation, reset 8/10/2005</ENT> <ENT>$50,000 per violation, set 8/10/2005.</ENT> </ROW> <ROW> <ENT I="03">Subparagraph (2)</ENT> <ENT>Violation of hazardous materials transportation law, regulation, order, special permit or approval—results in death, serious illness, severe injury, or substantial property destruction</ENT> <ENT>$250 per violation, reset 8/10/2005</ENT> <ENT>$100,000 per violation, set 8/10/2005.</ENT> </ROW> <ROW> <ENT I="03">Subparagraph (3)</ENT> <ENT>Violation of hazardous materials transportation law, regulation, order, special permit or approval—training violation</ENT> <ENT>$450 per violation, set 8/10/2005</ENT> <ENT>$50,000 per violation, set 8/10/2005.</ENT> </ROW> </GPOTABLE> <CITA>[61 FR 67445, Dec. 20, 1996, as amended by Amdt. 13-28, 62 FR 4134, Jan. 29, 1997; 67 FR 6366, Feb. 11, 2002; Amdt. 13-33, 71 FR 28522, May 16, 2006; 71 FR 47077, Aug. 16, 2006; 71 FR 52407, Sept. 6, 2006]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Flight Operational Quality Assurance Programs</HD> <SECTION> <SECTNO>§ 13.401</SECTNO> <SUBJECT>Flight Operational Quality Assurance Program: Prohibition against use of data for enforcement purposes.</SUBJECT> (a) <E T="03">Applicability.</E> This section applies to any operator of an aircraft who operates such aircraft under an approved Flight Operational Quality Assurance (FOQA) program. (b) <E T="03">Definitions.</E> For the purpose of this section, the terms— (1) <E T="03">Flight Operational Quality Assurance (FOQA) program</E> means an FAA-approved program for the routine collection and analysis of digital flight data gathered during aircraft operations, including data currently collected pursuant to existing regulatory provisions, when such data is included in an approved FOQA program. (2) <E T="03">FOQA data</E> means any digital flight data that has been collected from an individual aircraft pursuant to an FAA-approved FOQA program, regardless of the electronic format of that data. (3) <E T="03">Aggregate FOQA data</E> means the summary statistical indices that are associated with FOQA event categories, based on an analysis of FOQA data from multiple aircraft operations. (c) <E T="03">Requirements.</E> In order for paragraph (e) of this section to apply, the operator must submit, maintain, and adhere to a FOQA Implementation and Operation Plan that is approved by the Administrator and which contains the following elements: (1) A description of the operator's plan for collecting and analyzing flight recorded data from line operations on a routine basis, including identification of the data to be collected; (2) Procedures for taking corrective action that analysis of the data indicates is necessary in the interest of safety; (3) Procedures for providing the FAA with aggregate FOQA data; (4) Procedures for informing the FAA as to any corrective action being undertaken pursuant to paragraph (c)(2) of this section. (d) <E T="03">Submission of aggregate data.</E> The operator will provide the FAA with aggregate FOQA data in a form and manner acceptable to the Administrator. (e) <E T="03">Enforcement.</E> Except for criminal or deliberate acts, the Administrator will not use an operator's FOQA data or aggregate FOQA data in an enforcement action against that operator or its employees when such FOQA data or aggregate FOQA data is obtained from a FOQA program that is approved by the Administrator. (f) <E T="03">Disclosure.</E> FOQA data and aggregate FOQA data, if submitted in accordance with an order designating the information as protected under part 193 of this chapter, will be afforded the nondisclosure protections of part 193 of this chapter. (g) <E T="03">Withdrawal of program approval.</E> The Administrator may withdraw approval of a previously approved FOQA <PRTPAGE P="80"/>program for failure to comply with the requirements of this chapter. Grounds for withdrawal of approval may include, but are not limited to— (1) Failure to implement corrective action that analysis of available FOQA data indicates is necessary in the interest of safety; or (2) Failure to correct a continuing pattern of violations following notice by the agency; or also (3) Willful misconduct or willful violation of the FAA regulations in this chapter. <CITA>[Doc. No. FAA-2000-7554, 66 FR 55048, Oct. 31, 2001; Amdt. 13-30, 67 FR 31401, May 9, 2002]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 14</EAR> <HD SOURCE="HED">PART 14—RULES IMPLEMENTING THE EQUAL ACCESS TO JUSTICE ACT OF 1980</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>14.01</SECTNO> <SUBJECT>Purpose of these rules.</SUBJECT> <SECTNO>14.02</SECTNO> <SUBJECT>Proceedings covered.</SUBJECT> <SECTNO>14.03</SECTNO> <SUBJECT>Eligibility of applicants.</SUBJECT> <SECTNO>14.04</SECTNO> <SUBJECT>Standards for awards.</SUBJECT> <SECTNO>14.05</SECTNO> <SUBJECT>Allowance fees and expenses.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Information Required From Applicants</HD> <SECTNO>14.10</SECTNO> <SUBJECT>Contents of application.</SUBJECT> <SECTNO>14.11</SECTNO> <SUBJECT>Net worth exhibit.</SUBJECT> <SECTNO>14.12</SECTNO> <SUBJECT>Documentation of fees and expenses.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Procedures for Considering Applications</HD> <SECTNO>14.20</SECTNO> <SUBJECT>When an application may be filed.</SUBJECT> <SECTNO>14.21</SECTNO> <SUBJECT>Filing and service of documents.</SUBJECT> <SECTNO>14.22</SECTNO> <SUBJECT>Answer to application.</SUBJECT> <SECTNO>14.23</SECTNO> <SUBJECT>Reply.</SUBJECT> <SECTNO>14.24</SECTNO> <SUBJECT>Comments by other parties.</SUBJECT> <SECTNO>14.25</SECTNO> <SUBJECT>Settlement.</SUBJECT> <SECTNO>14.26</SECTNO> <SUBJECT>Further proceedings.</SUBJECT> <SECTNO>14.27</SECTNO> <SUBJECT>Decision.</SUBJECT> <SECTNO>14.28</SECTNO> <SUBJECT>Review by FAA decisionmaker.</SUBJECT> <SECTNO>14.29</SECTNO> <SUBJECT>Judicial review.</SUBJECT> <SECTNO>14.30</SECTNO> <SUBJECT>Payment of award.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 5 U.S.C. 504; 49 U.S.C. 106(f), 40113, 46104 and 47122. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 25958, 54 FR 46199, Nov. 1, 1989, unless otherwise noted. </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 14.01</SECTNO> <SUBJECT>Purpose of these rules.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 14.02</SECTNO> <SUBJECT>Proceedings covered.</SUBJECT> (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 such party has unreasonably protracted the proceedings. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32935, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.03</SECTNO> <SUBJECT>Eligibility of applicants.</SUBJECT> (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:<PRTPAGE P="81"/> (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. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32935, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.04</SECTNO> <SUBJECT>Standards for awards.</SUBJECT> (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 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. </SECTION> <SECTION> <SECTNO>§ 14.05</SECTNO> <SUBJECT>Allowance fees and expenses.</SUBJECT> (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.<PRTPAGE P="82"/> (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. <CITA>[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]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Information Required From Applicants</HD> <SECTION> <SECTNO>§ 14.10</SECTNO> <SUBJECT>Contents of application.</SUBJECT> (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 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 <PRTPAGE P="83"/>describing briefly the type and purpose of its organization or business. </SECTION> <SECTION> <SECTNO>§ 14.11</SECTNO> <SUBJECT>Net worth exhibit.</SUBJECT> (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. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32935, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.12</SECTNO> <SUBJECT>Documentation of fees and expenses.</SUBJECT> 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 the applicant to provide vouchers, receipts, or other substantiation for any expenses claimed. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Procedures for Considering Applications</HD> <SECTION> <SECTNO>§ 14.20</SECTNO> <SUBJECT>When an application may be filed.</SUBJECT> (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, <PRTPAGE P="84"/>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. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.21</SECTNO> <SUBJECT>Filing and service of documents.</SUBJECT> 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 § 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. <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.22</SECTNO> <SUBJECT>Answer to application.</SUBJECT> (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 § 14.26. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.23</SECTNO> <SUBJECT>Reply.</SUBJECT> 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 § 14.26. </SECTION> <SECTION> <SECTNO>§ 14.24</SECTNO> <SUBJECT>Comments by other parties.</SUBJECT> 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 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. <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.25</SECTNO> <SUBJECT>Settlement.</SUBJECT> 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 <PRTPAGE P="85"/>before an application has been filed, the application shall be filed with the proposed settlement. </SECTION> <SECTION> <SECTNO>§ 14.26</SECTNO> <SUBJECT>Further proceedings.</SUBJECT> (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. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.27</SECTNO> <SUBJECT>Decision.</SUBJECT> (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. <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.28</SECTNO> <SUBJECT>Review by FAA decisionmaker.</SUBJECT> (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 in accordance with subpart G of part 13 of this chapter, specifically § 13.233. 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. <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999, as amended at 70 FR 8238, Feb. 18, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.29</SECTNO> <SUBJECT>Judicial review.</SUBJECT> 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, <PRTPAGE P="86"/>was unsupported by substantial evidence. </SECTION> <SECTION> <SECTNO>§ 14.30</SECTNO> <SUBJECT>Payment of award.</SUBJECT> 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. </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 15</EAR> <HD SOURCE="HED">PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Procedures</HD> <SECHD>Sec.</SECHD> <SECTNO>15.1</SECTNO> <SUBJECT>Scope of regulations.</SUBJECT> <SECTNO>15.3</SECTNO> <SUBJECT>Administrative claim, when presented; appropriate office.</SUBJECT> <SECTNO>15.5</SECTNO> <SUBJECT>Administrative claim, who may file.</SUBJECT> <SECTNO>15.7</SECTNO> <SUBJECT>Administrative claims; evidence and information to be submitted.</SUBJECT> <SECTNO>15.9</SECTNO> <SUBJECT>Investigation and examination.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958</HD> <SECTNO>15.101</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>15.103</SECTNO> <SUBJECT>Exclusions.</SUBJECT> <SECTNO>15.105</SECTNO> <SUBJECT>Filing of requests for indemnification.</SUBJECT> <SECTNO>15.107</SECTNO> <SUBJECT>Notification requirements.</SUBJECT> <SECTNO>15.109</SECTNO> <SUBJECT>Settlements.</SUBJECT> <SECTNO>15.111</SECTNO> <SUBJECT>Conduct of litigation.</SUBJECT> <SECTNO>15.113</SECTNO> <SUBJECT>Indemnification agreements.</SUBJECT> <SECTNO>15.115</SECTNO> <SUBJECT>Payment.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 5 U.S.C. 301; 28 U.S.C. 2672, 2675; 49 U.S.C. 106(g), 40113, 44721. </AUTH> <SUBPART> <HD SOURCE="HED">Subpart A—General Procedures</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 25264, 52 FR 18171, May 13, 1987, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 15.1</SECTNO> <SUBJECT>Scope of regulations.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 15.3</SECTNO> <SUBJECT>Administrative claim, when presented; appropriate office.</SUBJECT> (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 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. (c) Claim forms are available at each location listed in paragraph (b) of this section. (d) A claim presented in accordance with this section may be amended by the claimant at any time prior to final <PRTPAGE P="87"/>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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 15.5</SECTNO> <SUBJECT>Administrative claim, who may file.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 15.7</SECTNO> <SUBJECT>Administrative claims; evidence and information to be submitted.</SUBJECT> (a) <E T="03">Death.</E> 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 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) <E T="03">Personal injury.</E> 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 <PRTPAGE P="88"/>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) <E T="03">Property damage.</E> 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. </SECTION> <SECTION> <SECTNO>§ 15.9</SECTNO> <SUBJECT>Investigation and examination.</SUBJECT> 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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Amdt. 15-2, 55 FR 18710, May 3, 1990, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 15.101</SECTNO> <SUBJECT>Applicability.</SUBJECT> 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 (2) When visually displayed, accurately depicts a defective or deficient flight procedure or airway promulgated by the FAA. </SECTION> <SECTION> <SECTNO>§ 15.103</SECTNO> <SUBJECT>Exclusions.</SUBJECT> 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;<PRTPAGE P="89"/> (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 § 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 § 15.111(d)(2) of this part. </SECTION> <SECTION> <SECTNO>§ 15.105</SECTNO> <SUBJECT>Filing of requests for indemnification.</SUBJECT> A request for indemnification under this part— (a) May be filed by— (1) A publisher described in § 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. </SECTION> <SECTION> <SECTNO>§ 15.107</SECTNO> <SUBJECT>Notification requirements.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 15.109</SECTNO> <SUBJECT>Settlements.</SUBJECT> (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. (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. </SECTION> <SECTION> <PRTPAGE P="90"/> <SECTNO>§ 15.111</SECTNO> <SUBJECT>Conduct of litigation.</SUBJECT> (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 § 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 § 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 § 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. </SECTION> <SECTION> <SECTNO>§ 15.113</SECTNO> <SUBJECT>Indemnification agreements.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 15.115</SECTNO> <SUBJECT>Payment.</SUBJECT> After execution of the indemnification agreement, the FAA will submit the agreement to the United States Department of Justice and request payment, in accordance with the agreement, from the Judgment Fund. </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 16</EAR> <HD SOURCE="HED">PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>16.1</SECTNO> <SUBJECT>Applicability and description of part.</SUBJECT> <SECTNO>16.3</SECTNO> <SUBJECT>Definitions.<PRTPAGE P="91"/> </SUBJECT> <SECTNO>16.5</SECTNO> <SUBJECT>Separation of functions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—General Rules Applicable to Complaints, Proceedings Initiated by the FAA, and Appeals</HD> <SECTNO>16.11</SECTNO> <SUBJECT>Expedition and other modification of process.</SUBJECT> <SECTNO>16.13</SECTNO> <SUBJECT>Filing of documents.</SUBJECT> <SECTNO>16.15</SECTNO> <SUBJECT>Service of documents on the parties and the agency.</SUBJECT> <SECTNO>16.17</SECTNO> <SUBJECT>Computation of time.</SUBJECT> <SECTNO>16.19</SECTNO> <SUBJECT>Motions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Special Rules Applicable to Complaints</HD> <SECTNO>16.21</SECTNO> <SUBJECT>Pre-complaint resolution.</SUBJECT> <SECTNO>16.23</SECTNO> <SUBJECT>Complaints, answers, replies, rebuttals, and other documents.</SUBJECT> <SECTNO>16.25</SECTNO> <SUBJECT>Dismissals.</SUBJECT> <SECTNO>16.27</SECTNO> <SUBJECT>Incomplete complaints.</SUBJECT> <SECTNO>16.29</SECTNO> <SUBJECT>Investigations.</SUBJECT> <SECTNO>16.31</SECTNO> <SUBJECT>Director's determinations after investigations.</SUBJECT> <SECTNO>16.33</SECTNO> <SUBJECT>Final decisions without hearing.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Special Rules Applicable to Proceedings Initiated by the FAA</HD> <SECTNO>16.101</SECTNO> <SUBJECT>Basis for the initiation of agency action.</SUBJECT> <SECTNO>16.103</SECTNO> <SUBJECT>Notice of investigation.</SUBJECT> <SECTNO>16.105</SECTNO> <SUBJECT>Failure to resolve informally.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Proposed Orders of Compliance</HD> <SECTNO>16.109</SECTNO> <SUBJECT>Orders terminating eligibility for grants, cease and desist orders, and other compliance orders.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Hearings</HD> <SECTNO>16.201</SECTNO> <SUBJECT>Notice and order of hearing.</SUBJECT> <SECTNO>16.202</SECTNO> <SUBJECT>Powers of a hearing officer.</SUBJECT> <SECTNO>16.203</SECTNO> <SUBJECT>Appearances, parties, and rights of parties.</SUBJECT> <SECTNO>16.207</SECTNO> <SUBJECT>Intervention and other participation.</SUBJECT> <SECTNO>16.209</SECTNO> <SUBJECT>Extension of time.</SUBJECT> <SECTNO>16.211</SECTNO> <SUBJECT>Prehearing conference.</SUBJECT> <SECTNO>16.213</SECTNO> <SUBJECT>Discovery.</SUBJECT> <SECTNO>16.215</SECTNO> <SUBJECT>Depositions.</SUBJECT> <SECTNO>16.217</SECTNO> <SUBJECT>Witnesses.</SUBJECT> <SECTNO>16.219</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> <SECTNO>16.221</SECTNO> <SUBJECT>Witness fees.</SUBJECT> <SECTNO>16.223</SECTNO> <SUBJECT>Evidence.</SUBJECT> <SECTNO>16.225</SECTNO> <SUBJECT>Public disclosure of evidence.</SUBJECT> <SECTNO>16.227</SECTNO> <SUBJECT>Standard of proof.</SUBJECT> <SECTNO>16.229</SECTNO> <SUBJECT>Burden of proof.</SUBJECT> <SECTNO>16.231</SECTNO> <SUBJECT>Offer of proof.</SUBJECT> <SECTNO>16.233</SECTNO> <SUBJECT>Record.</SUBJECT> <SECTNO>16.235</SECTNO> <SUBJECT>Argument before the hearing officer.</SUBJECT> <SECTNO>16.237</SECTNO> <SUBJECT>Waiver of procedures.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Initial Decisions, Orders and Appeals</HD> <SECTNO>16.241</SECTNO> <SUBJECT>Initial decisions, orders, and appeals.</SUBJECT> <SECTNO>16.243</SECTNO> <SUBJECT>Consent orders.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Judicial Review</HD> <SECTNO>16.247</SECTNO> <SUBJECT>Judicial review of a final decision and order.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Ex Parte Communications</HD> <SECTNO>16.301</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>16.303</SECTNO> <SUBJECT>Prohibited ex parte communications.</SUBJECT> <SECTNO>16.305</SECTNO> <SUBJECT>Procedures for handling ex parte communications.</SUBJECT> <SECTNO>16.307</SECTNO> <SUBJECT>Requirement to show cause and imposition of sanction.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 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. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 27783, 61 FR 54004, October 16, 1996, unless otherwise noted. </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 16.1</SECTNO> <SUBJECT>Applicability and description of part.</SUBJECT> (a) <E T="03">General.</E> 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). (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 <E T="03">et seq</E> (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 <E T="03">et seq.</E> (5) The assurances contained in grant-in-aid agreements issued under <PRTPAGE P="92"/>the Airport and Airway Improvement Act of 1982 (AAIA), as amended, 49 U.S.C. 47101 <E T="03">et seq.,</E> 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) <E T="03">Other agencies.</E> 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) <E T="03">Other enforcement.</E> 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) <E T="03">Effective date.</E> This part applies to a complaint filed with the FAA and to an investigation initiated by the FAA on or after December 16, 1996. </SECTION> <SECTION> <SECTNO>§ 16.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> Terms defined in the Acts are used as so defined. As used in this part: <E T="03">Act</E> means a statute listed in § 16.1 and any regulation, agreement, or document of conveyance issued or made under that statute. <E T="03">Agency attorney</E> 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. <E T="03">Agency employee</E> means any employee of the U.S. Department of Transportation. <E T="03">Associate Administrator</E> means the Associate Administrator for Airports or a designee. <E T="03">Complainant</E> means the person submitting a complaint. <E T="03">Complaint</E> 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. <E T="03">Director</E> means the Director of the Office of Airport Safety and Standards. <E T="03">Director's determination</E> means the initial determination made by the Director following an investigation, which is a non-final agency decision. <E T="03">File</E> means to submit written documents to the FAA for inclusion in the Part 16 Airport Proceedings Docket or to a hearing officer. <E T="03">Final decision and order</E> 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. <E T="03">Hearing officer</E> 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 <PRTPAGE P="93"/>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. <E T="03">Initial decision</E> means a decision made by the hearing officer in a hearing under subpart F of this part. <E T="03">Mail</E> means U.S. first class mail; U.S. certified mail; and U.S. express mail. <E T="03">Noncompliance</E> 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. <E T="03">Party</E> 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 § 16.31 and subpart E of this part, the agency. <E T="03">Person</E> 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). <E T="03">Personal delivery</E> means hand delivery or overnight express delivery service. <E T="03">Respondent</E> means any person named in a complaint as a person responsible for noncompliance. <E T="03">Sponsor</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.5</SECTNO> <SUBJECT>Separation of functions.</SUBJECT> (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—General Rules Applicable to Complaints, Proceedings Initiated by the FAA, and Appeals</HD> <SECTION> <SECTNO>§ 16.11</SECTNO> <SUBJECT>Expedition and other modification of process.</SUBJECT> (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 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;<PRTPAGE P="94"/> (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. </SECTION> <SECTION> <SECTNO>§ 16.13</SECTNO> <SUBJECT>Filing of documents.</SUBJECT> Except as otherwise provided in this part, documents shall be filed with the FAA during a proceeding under this part as follows: (a) <E T="03">Filing address.</E> 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) <E T="03">Date and method of filing.</E> 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) <E T="03">Number of copies.</E> 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) <E T="03">Form.</E> 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) <E T="03">Signing of documents and other papers.</E> 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) <E T="03">Designation of person to receive service.</E> 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) <E T="03">Docket numbers.</E> Each submission identified as a complaint under this part by the submitting person will be assigned a docket number. </SECTION> <SECTION> <SECTNO>§ 16.15</SECTNO> <SUBJECT>Service of documents on the parties and the agency.</SUBJECT> Except as otherwise provided in this part, documents shall be served as follows: (a) <E T="03">Who must be served.</E> 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: <EXTRACT> <PRTPAGE P="95"/> 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]: <FP>[list persons, addresses, facsimile numbers]</FP> Dated this ___ day of ___, 19__. <FP>[signature], for [party]</FP> </EXTRACT> (b) <E T="03">Method of service.</E> Except as otherwise agreed by the parties and the hearing officer, the method of service is the same as set forth in § 16.13(b) for filing documents. (c) <E T="03">Where service shall be made.</E> Service shall be made to the persons identified in accordance with § 16.13(f). If no such person has been designated, service shall be made on the party. (d) <E T="03">Presumption of service.</E> 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 § 16.13(f); or (2) When a properly addressed envelope, sent to the most current address submitted under § 16.13(f), has been returned as undeliverable, unclaimed, or refused. (e) <E T="03">Date of service.</E> The date of service shall be determined in the same manner as the filing date under § 16.13(b). </SECTION> <SECTION> <SECTNO>§ 16.17</SECTNO> <SUBJECT>Computation of time.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 16.19</SECTNO> <SUBJECT>Motions.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Form and contents.</E> 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) <E T="03">Answers to motions.</E> 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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Special Rules Applicable to Complaints</HD> <SECTION> <SECTNO>§ 16.21</SECTNO> <SUBJECT>Pre-complaint resolution.</SUBJECT> (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, <PRTPAGE P="96"/>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. </SECTION> <SECTION> <SECTNO>§ 16.23</SECTNO> <SUBJECT>Complaints, answers, replies, rebuttals, and other documents.</SUBJECT> (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 § 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 § 16.25 or § 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 10-day time limit for answers to motions in § 16.19(c). </SECTION> <SECTION> <SECTNO>§ 16.25</SECTNO> <SUBJECT>Dismissals.</SUBJECT> 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 § 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 §§ 16.3 and 16.23. The Director's dismissal will include the reasons for the dismissal. </SECTION> <SECTION> <SECTNO>§ 16.27</SECTNO> <SUBJECT>Incomplete complaints.</SUBJECT> If a complaint is not dismissed pursuant to § 16.25 of this part, but is deficient as to one or more of the requirements set forth in § 16.21 or § 16.23(b), <PRTPAGE P="97"/>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. </SECTION> <SECTION> <SECTNO>§ 16.29</SECTNO> <SUBJECT>Investigations.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 16.31</SECTNO> <SUBJECT>Director's determinations after investigations.</SUBJECT> (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 § 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 § 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. </SECTION> <SECTION> <SECTNO>§ 16.33</SECTNO> <SUBJECT>Final decisions without hearing.</SUBJECT> (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 (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 <PRTPAGE P="98"/>that becomes final because there is no administrative appeal is not judicially reviewable. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Special Rules Applicable to Proceedings Initiated by the FAA</HD> <SECTION> <SECTNO>§ 16.101</SECTNO> <SUBJECT>Basis for the initiation of agency action.</SUBJECT> 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 § 16.29(b). </SECTION> <SECTION> <SECTNO>§ 16.103</SECTNO> <SUBJECT>Notice of investigation.</SUBJECT> Following the initiation of an investigation under § 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. </SECTION> <SECTION> <SECTNO>§ 16.105</SECTNO> <SUBJECT>Failure to resolve informally.</SUBJECT> If the matters addressed in the FAA notices are not resolved informally, the FAA may issue a Director's determination under § 16.31. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Proposed Orders of Compliance</HD> <SECTION> <SECTNO>§ 16.109</SECTNO> <SUBJECT>Orders terminating eligibility for grants, cease and desist orders, and other compliance orders.</SUBJECT> This section applies to initial determinations issued under § 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 § 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 § 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 § 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 § 16.243(e). (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Hearings</HD> <SECTION> <SECTNO>§ 16.201</SECTNO> <SUBJECT>Notice and order of hearing.</SUBJECT> (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;<PRTPAGE P="99"/> (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. </SECTION> <SECTION> <SECTNO>§ 16.202</SECTNO> <SUBJECT>Powers of a hearing officer.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 16.203</SECTNO> <SUBJECT>Appearances, parties, and rights of parties.</SUBJECT> (a) <E T="03">Appearances.</E> 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 § 16.13. (b) <E T="03">Parties and agency participation.</E> (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. </SECTION> <SECTION> <SECTNO>§ 16.207</SECTNO> <SUBJECT>Intervention and other participation.</SUBJECT> (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 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. </SECTION> <SECTION> <PRTPAGE P="100"/> <SECTNO>§ 16.209</SECTNO> <SUBJECT>Extension of time.</SUBJECT> (a) <E T="03">Extension by oral agreement.</E> 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) <E T="03">Extension by motion.</E> 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) <E T="03">Failure to rule.</E> 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) <E T="03">Effect on time limits.</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.211</SECTNO> <SUBJECT>Prehearing conference.</SUBJECT> (a) <E T="03">Prehearing conference notice.</E> 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) <E T="03">The prehearing conference.</E> 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) <E T="03">Prehearing conference report.</E> 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 § 16.219. In addition, the hearing officer establishes the schedule, which shall provide for the issuance of an initial decision not later than 110 days after issuance of the Director's determination order unless otherwise provided in the hearing order. </SECTION> <SECTION> <SECTNO>§ 16.213</SECTNO> <SUBJECT>Discovery.</SUBJECT> (a) Discovery is limited to requests for admissions, requests for production of documents, interrogatories, and depositions as authorized by § 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<PRTPAGE P="101"/> (4) The method or scope of discovery requested by the party is unduly burdensome or expensive. </SECTION> <SECTION> <SECTNO>§ 16.215</SECTNO> <SUBJECT>Depositions.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Application for deposition.</E> 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) <E T="03">Order authorizing deposition.</E> 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) <E T="03">Procedures for deposition.</E> (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. </SECTION> <SECTION> <SECTNO>§ 16.217</SECTNO> <SUBJECT>Witnesses.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 16.219</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> (a) <E T="03">Request for subpoena.</E> A party may apply to the hearing officer, within the time specified for such applications in the prehearing conference report, for a 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) <E T="03">Issuance and service of subpoena.</E> (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.<PRTPAGE P="102"/> (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) <E T="03">Motions to quash or modify subpoena.</E> (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. </SECTION> <SECTION> <SECTNO>§ 16.221</SECTNO> <SUBJECT>Witness fees.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 16.223</SECTNO> <SUBJECT>Evidence.</SUBJECT> (a) <E T="03">General.</E> A party may submit direct and rebuttal evidence in accordance with this section. (b) <E T="03">Requirement for written testimony and evidence.</E> 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) <E T="03">Subpoenaed testimony.</E> Testimony of witnesses appearing under subpoena may be obtained orally. (d) <E T="03">Cross-examination.</E> 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) <E T="03">Hearsay evidence.</E> 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) <E T="03">Admission of evidence.</E> The hearing officer admits evidence introduced by a party in support of its case in accordance with this section, but may exclude irrelevant, immaterial, or unduly repetitious evidence. (g) <E T="03">Expert or opinion witnesses.</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.225</SECTNO> <SUBJECT>Public disclosure of evidence.</SUBJECT> (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 <PRTPAGE P="103"/>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. </SECTION> <SECTION> <SECTNO>§ 16.227</SECTNO> <SUBJECT>Standard of proof.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 16.229</SECTNO> <SUBJECT>Burden of proof.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 16.231</SECTNO> <SUBJECT>Offer of proof.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 16.233</SECTNO> <SUBJECT>Record.</SUBJECT> (a) <E T="03">Exclusive record.</E> 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) <E T="03">Examination and copy of record.</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.235</SECTNO> <SUBJECT>Argument before the hearing officer.</SUBJECT> (a) <E T="03">Argument during the hearing.</E> 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) <E T="03">Posthearing briefs.</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.237</SECTNO> <SUBJECT>Waiver of procedures.</SUBJECT> (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Initial Decisions, Orders and Appeals</HD> <SECTION> <SECTNO>§ 16.241</SECTNO> <SUBJECT>Initial decisions, order, and appeals.</SUBJECT> (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 <PRTPAGE P="104"/>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. </SECTION> <SECTION> <SECTNO>§ 16.243</SECTNO> <SUBJECT>Consent orders.</SUBJECT> (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 § 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; (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 <PRTPAGE P="105"/>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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Judicial Review</HD> <SECTION> <SECTNO>§ 16.247</SECTNO> <SUBJECT>Judicial review of a final decision and order.</SUBJECT> (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 <E T="03">et seq.</E> (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 § 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 §§ 16.33(b) and 16.241(b). </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Ex Parte Communications</HD> <SECTION> <SECTNO>§ 16.301</SECTNO> <SUBJECT>Definitions.</SUBJECT> As used in this subpart: <E T="03">Decisional employee</E> 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. <E T="03">Ex parte communication</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.303</SECTNO> <SUBJECT>Prohibited ex parte communications.</SUBJECT> (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; (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. </SECTION> <SECTION> <SECTNO>§ 16.305</SECTNO> <SUBJECT>Procedures for handling ex parte communications.</SUBJECT> A decisional employee who receives or who makes or knowingly causes to be made a communication prohibited by § 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. </SECTION> <SECTION> <SECTNO>§ 16.307</SECTNO> <SUBJECT>Requirement to show cause and imposition of sanction.</SUBJECT> (a) Upon receipt of a communication knowingly made or knowingly caused to be made by a party in violation of § 16.303, the Associate Administrator or <PRTPAGE P="106"/>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. </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 17</EAR> <HD SOURCE="HED">PART 17—PROCEDURES FOR PROTESTS AND CONTRACTS DISPUTES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>17.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>17.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>17.5</SECTNO> <SUBJECT>Delegation of authority.</SUBJECT> <SECTNO>17.7</SECTNO> <SUBJECT>Filing and computation of time.</SUBJECT> <SECTNO>17.9</SECTNO> <SUBJECT>Protective orders.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Protests</HD> <SECTNO>17.11</SECTNO> <SUBJECT>Matters not subject to protest.</SUBJECT> <SECTNO>17.13</SECTNO> <SUBJECT>Dispute resolution process for protests.</SUBJECT> <SECTNO>17.15</SECTNO> <SUBJECT>Filing a protest.</SUBJECT> <SECTNO>17.17</SECTNO> <SUBJECT>Initial protest procedures.</SUBJECT> <SECTNO>17.19</SECTNO> <SUBJECT>Dismissal or summary decision of protest.</SUBJECT> <SECTNO>17.21</SECTNO> <SUBJECT>Protest remedies.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Contract Disputes</HD> <SECTNO>17.23</SECTNO> <SUBJECT>Dispute resolution process for contract disputes.</SUBJECT> <SECTNO>17.25</SECTNO> <SUBJECT>Filing a contract dispute.</SUBJECT> <SECTNO>17.27</SECTNO> <SUBJECT>Submission of joint or separate statements.</SUBJECT> <SECTNO>17.29</SECTNO> <SUBJECT>Dismissal or summary decision of contract disputes.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Alternative Dispute Resolution</HD> <SECTNO>17.31</SECTNO> <SUBJECT>Use of alternative dispute resolution.</SUBJECT> <SECTNO>17.33</SECTNO> <SUBJECT>Election of alternative dispute resolution process.</SUBJECT> <SECTNO>17.35</SECTNO> <SUBJECT>Selection of neutrals for the alternative dispute resolution process.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Default Adjudicative Process</HD> <SECTNO>17.37</SECTNO> <SUBJECT>Default adjudicative process for protests.</SUBJECT> <SECTNO>17.39</SECTNO> <SUBJECT>Default adjudicative process for contract disputes.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Finality and Review</HD> <SECTNO>17.41</SECTNO> <SUBJECT>Final orders.</SUBJECT> <SECTNO>17.43</SECTNO> <SUBJECT>Judicial review.</SUBJECT> <SECTNO>17.45</SECTNO> <SUBJECT>Conforming amendments.</SUBJECT> <APP>Appendix A to Part 17—Alternative Dispute Resolution (ADR)</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 5 U.S.C. 570-581, 49 U.S.C. 106(f)(2), 40110, 40111, 40112, 46102, 46014, 46105, 46109, and 46110. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. FAA-1998-4379, 64 FR 32936, June 18, 1999, unless otherwise noted.] </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 17.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 17.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> (a) <E T="03">Accrual</E> mean to come into existence as a legally enforceable claim. (b) <E T="03">Accrual of a contract claim</E> 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) <E T="03">Acquisition Management System</E> (AMS) establishes the policies, guiding principles, and internal procedures for the FAA's acquisition system.<PRTPAGE P="107"/> (d) <E T="03">Administrator</E> means the Administrator of the Federal Aviation Administration. (e) <E T="03">Alternative Dispute Resolution</E> (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) <E T="03">Compensated Neutral</E> 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) <E T="03">Contract dispute,</E> 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) <E T="03">Default Adjudicative Process</E> 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) <E T="03">Discovery</E> 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) <E T="03">Dispute Resolution Officer</E> (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) <E T="03">An interested party,</E> 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 <E T="03">intervenor</E> 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) <E T="03">Neutral</E> refers to an impartial third party in the ADR process chosen by the Office of Dispute Resolution for 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 <E T="03">Office of Dispute Resolution for Acquisition</E> (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) <E T="03">Parties</E> include the protester(s) or (in the case of a contract dispute) the contractor, the FAA, and any intervenor(s). (p) <E T="03">Product Team,</E> 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, <PRTPAGE P="108"/>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) <E T="03">Screening Information Request</E> (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 <E T="03">Special Master</E> 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. </SECTION> <SECTION> <SECTNO>§ 17.5</SECTNO> <SUBJECT>Delegation of authority.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 17.7</SECTNO> <SUBJECT>Filing and computation of time.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 17.9</SECTNO> <SUBJECT>Protective orders.</SUBJECT> (a) The Office of Dispute Resolution for Acquisition may issue protective 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 <PRTPAGE P="109"/>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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Protests</HD> <SECTION> <SECTNO>§ 17.11</SECTNO> <SUBJECT>Matters not subject to protest.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 17.13</SECTNO> <SUBJECT>Dispute resolution process for protests.</SUBJECT> (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 § 17.15. The protest time limitations set forth in § 17.15 will not be extended by attempts to resolve a potential protest with the CO. Other than the time limitations specified in § 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 § 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 § 17.31(c), informal ADR techniques 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 §§ 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. </SECTION> <SECTION> <PRTPAGE P="110"/> <SECTNO>§ 17.15</SECTNO> <SUBJECT>Filing a protest.</SUBJECT> (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, Federal Aviation Administration, AGC-70, 3rd Floor, 800 Independence Avenue, SW., Washington, DC 20591, telephone: (202) 267-3290, facsimile: (202) 267-3720; or (2) Other address as shall be published from time to time in the <E T="04">Federal Register</E>. (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 § 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: (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 <PRTPAGE P="111"/>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. <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999; 64 FR 47362, Aug. 31, 1999; 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 17.17</SECTNO> <SUBJECT>Initial protest procedures.</SUBJECT> (a) If, as part of a protest, the protester requests a suspension or delay of procurement, in whole or in part, pursuant to § 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 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 § 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 <PRTPAGE P="112"/>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 § 17.37. (i) The time limitations of this section maybe extended by the Office of Dispute Resolution for Acquisition for good cause. </SECTION> <SECTION> <SECTNO>§ 17.19</SECTNO> <SUBJECT>Dismissal or summary decision of protests.</SUBJECT> (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. (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 <PRTPAGE P="113"/>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. </SECTION> <SECTION> <SECTNO>§ 17.21</SECTNO> <SUBJECT>Protest remedies.</SUBJECT> (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). </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Contract Disputes</HD> <SECTION> <SECTNO>§ 17.23</SECTNO> <SUBJECT>Dispute resolution process for contract disputes.</SUBJECT> (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 § 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 § 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 § 17.27 for 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 § 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. </SECTION> <SECTION> <SECTNO>§ 17.25</SECTNO> <SUBJECT>Filing a contract dispute.</SUBJECT> (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 <PRTPAGE P="114"/>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, Federal Aviation Administration, AGC-70, 3rd Floor, 800 Independence Avenue, SW., Washington, DC 20591, telephone: (202) 267-3290, facsimile: (202) 267-3720; or (2) Other address as shall be published from time to time in the <E T="04">Federal Register</E>. (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. <CITA>[Docket No. FAA-1998-4379, 64 FR 32936, June 18, 1999, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 17.27</SECTNO> <SUBJECT>Submission of joint or separate statements.</SUBJECT> (a) If the matter has not been resolved informally, the parties shall file joint or separate statements with the 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 § 17.23(d). (b) The statement(s) shall include either— (1) A joint request for ADR, and an executed ADR agreement, pursuant to § 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, Federal Aviation Administration, AGC-70, 3rd Floor, 800 Independence Avenue, SW., Washington, DC 20591, telephone: (202) 267-3290, facsimile: (202) 267-3720; or (2) Other address as shall be published from time to time in the <E T="04">Federal Register.</E> (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 <PRTPAGE P="115"/>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 § 17.31(c). <CITA>[Docket No. FAA-1998-4379, 64 FR 32936, June 18, 1999, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 17.29</SECTNO> <SUBJECT>Dismissal or summary decision of contract disputes.</SUBJECT> (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Alternative Dispute Resolution</HD> <SECTION> <SECTNO>§ 17.31</SECTNO> <SUBJECT>Use of alternative dispute resolution.</SUBJECT> (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 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. </SECTION> <SECTION> <PRTPAGE P="116"/> <SECTNO>§ 17.33</SECTNO> <SUBJECT>Election of alternative dispute resolution process.</SUBJECT> (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 § 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 § 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 § 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 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 § 17.9. </SECTION> <SECTION> <SECTNO>§ 17.35</SECTNO> <SUBJECT>Selection of neutrals for the alternative dispute resolution process.</SUBJECT> (a) In connection with the ADR process, the parties may select a Compensated Neutral acceptable to both, or <PRTPAGE P="117"/>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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Default Adjudicative Process</HD> <SECTION> <SECTNO>§ 17.37</SECTNO> <SUBJECT>Default adjudicative process for protests.</SUBJECT> (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 § 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: (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 <PRTPAGE P="118"/>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 § 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. </SECTION> <SECTION> <SECTNO>§ 17.39</SECTNO> <SUBJECT>Default adjudicative process for contract disputes.</SUBJECT> (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 § 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 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;<PRTPAGE P="119"/> (2) Review the need for a protective order, and if one is needed, prepare a protective order pursuant to § 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. (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 <PRTPAGE P="120"/>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). <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999; 64 FR 47362, Aug. 31, 1999]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Finality and Review</HD> <SECTION> <SECTNO>§ 17.41</SECTNO> <SUBJECT>Final orders.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 17.43</SECTNO> <SUBJECT>Judicial review.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 17.45</SECTNO> <SUBJECT>Conforming amendments.</SUBJECT> 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. </SECTION> <APPENDIX> <EAR>Pt. 17, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 17—Alternative Dispute Resolution (ADR)</HD> 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) <E T="03">Mediation.</E> 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) <E T="03">Neutral Evaluation.</E> 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) <E T="03">Minitrial.</E> 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 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 (<E T="03">i.e.,</E> Neutral Evaluation) <PRTPAGE P="121"/>and/or facilitate negotiations and ultimate resolution via Mediation. </APPENDIX> </SUBPART> </PART> </SUBCHAP> <SUBCHAP TYPE="P"> <PRTPAGE P="122"/> <HD SOURCE="HED">SUBCHAPTER C—AIRCRAFT</HD> <PART> <EAR>Pt. 21</EAR> <HD SOURCE="HED">PART 21—CERTIFICATION PROCEDURES FOR PRODUCTS AND PARTS</HD> <CONTENTS> <APP>Special Federal Aviation Regulation No. 88</APP> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>21.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.2</SECTNO> <SUBJECT>Falsification of applications, reports, or records.</SUBJECT> <SECTNO>21.3</SECTNO> <SUBJECT>Reporting of failures, malfunctions, and defects.</SUBJECT> <SECTNO>21.4</SECTNO> <SUBJECT>ETOPS reporting requirements.</SUBJECT> <SECTNO>21.5</SECTNO> <SUBJECT>Airplane or Rotorcraft Flight Manual.</SUBJECT> <SECTNO>21.6</SECTNO> <SUBJECT>Manufacture of new aircraft, aircraft engines, and propellers.</SUBJECT> <SECTNO>21.7</SECTNO> <SUBJECT>Continued airworthiness and safety improvements for transport category airplanes.</SUBJECT> <SECTNO>21.8</SECTNO> <SUBJECT>Approval of articles.</SUBJECT> <SECTNO>21.9</SECTNO> <SUBJECT>Replacement and modification articles.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Type Certificates</HD> <SECTNO>21.11</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.13</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.15</SECTNO> <SUBJECT>Application for type certificate.</SUBJECT> <SECTNO>21.16</SECTNO> <SUBJECT>Special conditions.</SUBJECT> <SECTNO>21.17</SECTNO> <SUBJECT>Designation of applicable regulations.</SUBJECT> <SECTNO>21.19</SECTNO> <SUBJECT>Changes requiring a new type certificate.</SUBJECT> <SECTNO>21.20</SECTNO> <SUBJECT>Compliance with applicable requirements.</SUBJECT> <SECTNO>21.21</SECTNO> <SUBJECT>Issue of type certificate: normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; special classes of aircraft; aircraft engines; propellers.</SUBJECT> <SECTNO>21.23</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>21.24</SECTNO> <SUBJECT>Issuance of type certificate: primary category aircraft.</SUBJECT> <SECTNO>21.25</SECTNO> <SUBJECT>Issue of type certificate: Restricted category aircraft.</SUBJECT> <SECTNO>21.27</SECTNO> <SUBJECT>Issue of type certificate: surplus aircraft of the Armed Forces.</SUBJECT> <SECTNO>21.29</SECTNO> <SUBJECT>Issue of type certificate: import products.</SUBJECT> <SECTNO>21.31</SECTNO> <SUBJECT>Type design.</SUBJECT> <SECTNO>21.33</SECTNO> <SUBJECT>Inspection and tests.</SUBJECT> <SECTNO>21.35</SECTNO> <SUBJECT>Flight tests.</SUBJECT> <SECTNO>21.37</SECTNO> <SUBJECT>Flight test pilot.</SUBJECT> <SECTNO>21.39</SECTNO> <SUBJECT>Flight test instrument calibration and correction report.</SUBJECT> <SECTNO>21.41</SECTNO> <SUBJECT>Type certificate.</SUBJECT> <SECTNO>21.43</SECTNO> <SUBJECT>Location of manufacturing facilities.</SUBJECT> <SECTNO>21.45</SECTNO> <SUBJECT>Privileges.</SUBJECT> <SECTNO>21.47</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.49</SECTNO> <SUBJECT>Availability.</SUBJECT> <SECTNO>21.50</SECTNO> <SUBJECT>Instructions for continued airworthiness and manufacturer's maintenance manuals having airworthiness limitations sections.</SUBJECT> <SECTNO>21.51</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.53</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> <SECTNO>21.55</SECTNO> <SUBJECT>Responsibility of type certificate holders to provide written licensing agreements.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Provisional Type Certificates</HD> <SECTNO>21.71</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.73</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.75</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>21.77</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.79</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.81</SECTNO> <SUBJECT>Requirements for issue and amendment of Class I provisional type certificates.</SUBJECT> <SECTNO>21.83</SECTNO> <SUBJECT>Requirements for issue and amendment of Class II provisional type certificates.</SUBJECT> <SECTNO>21.85</SECTNO> <SUBJECT>Provisional amendments to type certificates.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Changes to Type Certificates</HD> <SECTNO>21.91</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.93</SECTNO> <SUBJECT>Classification of changes in type design.</SUBJECT> <SECTNO>21.95</SECTNO> <SUBJECT>Approval of minor changes in type design.</SUBJECT> <SECTNO>21.97</SECTNO> <SUBJECT>Approval of major changes in type design.</SUBJECT> <SECTNO>21.99</SECTNO> <SUBJECT>Required design changes.</SUBJECT> <SECTNO>21.101</SECTNO> <SUBJECT>Designation of applicable regulations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Supplemental Type Certificates</HD> <SECTNO>21.111</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.113</SECTNO> <SUBJECT>Requirement of supplemental type certificate.</SUBJECT> <SECTNO>21.115</SECTNO> <SUBJECT>Applicable requirements.</SUBJECT> <SECTNO>21.117</SECTNO> <SUBJECT>Issue of supplemental type certificates.</SUBJECT> <SECTNO>21.119</SECTNO> <SUBJECT>Privileges.</SUBJECT> <SECTNO>21.120</SECTNO> <SUBJECT>Responsibility of supplemental type certificate holders to provide written permission for alterations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Production Under Type Certificate Only</HD> <SECTNO>21.121</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.122</SECTNO> <SUBJECT>Location of or change to manufacturing facilities.</SUBJECT> <SECTNO>21.123</SECTNO> <SUBJECT>Production under type certificate.</SUBJECT> <SECTNO>21.125</SECTNO> <SUBJECT>Production inspection system: Materials Review Board.</SUBJECT> <SECTNO>21.127</SECTNO> <SUBJECT>Tests: aircraft.</SUBJECT> <SECTNO>21.128</SECTNO> <SUBJECT>Tests: aircraft engines.</SUBJECT> <SECTNO>21.129</SECTNO> <SUBJECT>Tests: propellers.</SUBJECT> <SECTNO>21.130</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="123"/> <HD SOURCE="HED">Subpart G—Production Certificates</HD> <SECTNO>21.131</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.133</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.135</SECTNO> <SUBJECT>Requirements for issuance.</SUBJECT> <SECTNO>21.137</SECTNO> <SUBJECT>Location of manufacturing facilities.</SUBJECT> <SECTNO>21.139</SECTNO> <SUBJECT>Quality control.</SUBJECT> <SECTNO>21.143</SECTNO> <SUBJECT>Quality control data requirements; prime manufacturer.</SUBJECT> <SECTNO>21.147</SECTNO> <SUBJECT>Changes in quality control system.</SUBJECT> <SECTNO>21.149</SECTNO> <SUBJECT>Multiple products.</SUBJECT> <SECTNO>21.151</SECTNO> <SUBJECT>Production limitation record.</SUBJECT> <SECTNO>21.153</SECTNO> <SUBJECT>Amendment of the production certificates.</SUBJECT> <SECTNO>21.155</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.157</SECTNO> <SUBJECT>Inspections and tests.</SUBJECT> <SECTNO>21.159</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.161</SECTNO> <SUBJECT>Display.</SUBJECT> <SECTNO>21.163</SECTNO> <SUBJECT>Privileges.</SUBJECT> <SECTNO>21.165</SECTNO> <SUBJECT>Responsibility of holder.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Airworthiness Certificates</HD> <SECTNO>21.171</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.173</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.175</SECTNO> <SUBJECT>Airworthiness certificates: classification.</SUBJECT> <SECTNO>21.177</SECTNO> <SUBJECT>Amendment or modification.</SUBJECT> <SECTNO>21.179</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.181</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.182</SECTNO> <SUBJECT>Aircraft identification.</SUBJECT> <SECTNO>21.183</SECTNO> <SUBJECT>Issue of standard airworthiness certificates for normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; and special classes of aircraft.</SUBJECT> <SECTNO>21.184</SECTNO> <SUBJECT>Issue of special airworthiness certificates for primary category aircraft.</SUBJECT> <SECTNO>21.185</SECTNO> <SUBJECT>Issue of airworthiness certificates for restricted category aircraft.</SUBJECT> <SECTNO>21.187</SECTNO> <SUBJECT>Issue of multiple airworthiness certification.</SUBJECT> <SECTNO>21.189</SECTNO> <SUBJECT>Issue of airworthiness certificate for limited category aircraft.</SUBJECT> <SECTNO>21.190</SECTNO> <SUBJECT>Issue of a special airworthiness certificate for a light-sport category aircraft.</SUBJECT> <SECTNO>21.191</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> <SECTNO>21.193</SECTNO> <SUBJECT>Experimental certificates: general.</SUBJECT> <SECTNO>21.195</SECTNO> <SUBJECT>Experimental certificates: Aircraft to be used for market surveys, sales demonstrations, and customer crew training.</SUBJECT> <SECTNO>21.197</SECTNO> <SUBJECT>Special flight permits.</SUBJECT> <SECTNO>21.199</SECTNO> <SUBJECT>Issue of special flight permits.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Provisional Airworthiness Certificates</HD> <SECTNO>21.211</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.213</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.215</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>21.217</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.219</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.221</SECTNO> <SUBJECT>Class I provisional airworthiness certificates.</SUBJECT> <SECTNO>21.223</SECTNO> <SUBJECT>Class II provisional airworthiness certificates.</SUBJECT> <SECTNO>21.225</SECTNO> <SUBJECT>Provisional airworthiness certificates corresponding with provisional amendments to type certificates.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart J—Delegation Option Authorization Procedures</HD> <SECTNO>21.231</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.235</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>21.239</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.243</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.245</SECTNO> <SUBJECT>Maintenance of eligibility.</SUBJECT> <SECTNO>21.247</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.249</SECTNO> <SUBJECT>Inspections.</SUBJECT> <SECTNO>21.251</SECTNO> <SUBJECT>Limits of applicability.</SUBJECT> <SECTNO>21.253</SECTNO> <SUBJECT>Type certificates: application.</SUBJECT> <SECTNO>21.257</SECTNO> <SUBJECT>Type certificates: issue.</SUBJECT> <SECTNO>21.261</SECTNO> <SUBJECT>Equivalent safety provisions.</SUBJECT> <SECTNO>21.267</SECTNO> <SUBJECT>Production certificates.</SUBJECT> <SECTNO>21.269</SECTNO> <SUBJECT>Export airworthiness approvals.</SUBJECT> <SECTNO>21.271</SECTNO> <SUBJECT>Airworthiness approval tags.</SUBJECT> <SECTNO>21.273</SECTNO> <SUBJECT>Airworthiness certificates other than experimental.</SUBJECT> <SECTNO>21.275</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> <SECTNO>21.277</SECTNO> <SUBJECT>Data review and service experience.</SUBJECT> <SECTNO>21.289</SECTNO> <SUBJECT>Major repairs, rebuilding and alteration.</SUBJECT> <SECTNO>21.293</SECTNO> <SUBJECT>Current records.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart K—Approval of Materials, Parts, Processes, and Appliances</HD> <SECTNO>21.301</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.303</SECTNO> <SUBJECT>Replacement and modification parts.</SUBJECT> <SECTNO>21.305</SECTNO> <SUBJECT>Approval of materials, parts, processes, and appliances.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart L—Export Airworthiness Approvals</HD> <SECTNO>21.321</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.323</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.325</SECTNO> <SUBJECT>Export airworthiness approvals.</SUBJECT> <SECTNO>21.327</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>21.329</SECTNO> <SUBJECT>Issue of export certificates of airworthiness for Class I products.</SUBJECT> <SECTNO>21.331</SECTNO> <SUBJECT>Issue of airworthiness approval tags for Class II products.</SUBJECT> <SECTNO>21.333</SECTNO> <SUBJECT>Issue of export airworthiness approval tags for Class III products.</SUBJECT> <SECTNO>21.335</SECTNO> <SUBJECT>Responsibilities of exporters.</SUBJECT> <SECTNO>21.337</SECTNO> <SUBJECT>Performance of inspections and overhauls.</SUBJECT> <SECTNO>21.339</SECTNO> <SUBJECT>Special export airworthiness approval for aircraft.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart M—Designated Alteration Station Authorization Procedures</HD> <SECTNO>21.431</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.435</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>21.439</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.441</SECTNO> <SUBJECT>Procedure manual.</SUBJECT> <SECTNO>21.443</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.445</SECTNO> <SUBJECT>Maintenance of eligibility.</SUBJECT> <SECTNO>21.447</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.449</SECTNO> <SUBJECT>Inspections.</SUBJECT> <SECTNO>21.451</SECTNO> <SUBJECT>Limits of applicability.<PRTPAGE P="124"/> </SUBJECT> <SECTNO>21.461</SECTNO> <SUBJECT>Equivalent safety provisions.</SUBJECT> <SECTNO>21.463</SECTNO> <SUBJECT>Supplemental type certificates.</SUBJECT> <SECTNO>21.473</SECTNO> <SUBJECT>Airworthiness certificates other than experimental.</SUBJECT> <SECTNO>21.475</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> <SECTNO>21.477</SECTNO> <SUBJECT>Data review and service experience.</SUBJECT> <SECTNO>21.493</SECTNO> <SUBJECT>Current records.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart N—Approval of Engines, Propellers, Materials, Parts, and Appliances: Import</HD> <SECTNO>21.500</SECTNO> <SUBJECT>Approval of engines and propellers.</SUBJECT> <SECTNO>21.502</SECTNO> <SUBJECT>Approval of materials, parts, and appliances.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart O—Technical Standard Order Authorizations</HD> <SECTNO>21.601</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.603</SECTNO> <SUBJECT>TSO marking and privileges.</SUBJECT> <SECTNO>21.605</SECTNO> <SUBJECT>Application and issue.</SUBJECT> <SECTNO>21.607</SECTNO> <SUBJECT>General rules governing holders of TSO authorizations.</SUBJECT> <SECTNO>21.609</SECTNO> <SUBJECT>Approval for deviation.</SUBJECT> <SECTNO>21.611</SECTNO> <SUBJECT>Design changes.</SUBJECT> <SECTNO>21.613</SECTNO> <SUBJECT>Recordkeeping requirements.</SUBJECT> <SECTNO>21.615</SECTNO> <SUBJECT>FAA inspection.</SUBJECT> <SECTNO>21.617</SECTNO> <SUBJECT>Issue of letters of TSO design approval: import appliances.</SUBJECT> <SECTNO>21.619</SECTNO> <SUBJECT>Noncompliance.</SUBJECT> <SECTNO>21.621</SECTNO> <SUBJECT>Transferability and duration.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 42 U.S.C. 7572; 49 U.S.C. 106(g), 40105, 40113, 44701-44702, 44704, 44707, 44709, 44711, 44713, 44715, 45303. </AUTH> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> For miscellaneous amendments to cross references in this part 21 see Amdt. 21-10, 31 FR 9211, July 6, 1966. </EDNOTE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53384, Oct. 16, 2009, part 21 was amended by removing the word “Administrator” and adding in its place the word “FAA” wherever it appears; removing the word “shall” and adding in its place the word “must” wherever it appears; and removing the phrase “type certificate only” and adding in its place the phrase “type certificate” wherever it appears, effective Apr. 14, 2010. </EFFDNOTP> <APPENDIX> <EAR>Pt. 21, SFAR No. 88</EAR> <HD SOURCE="HED">Special Federal Aviation Regulation No. 88—Fuel Tank System Fault Tolerance Evaluation Requirements</HD> 1. <E T="03">Applicability.</E> This SFAR applies to the holders of type certificates, and supplemental type certificates that may affect the airplane fuel tank system, for turbine-powered transport category airplanes, provided the type certificate was issued after January 1, 1958, and the airplane has either a maximum type certificated passenger capacity of 30 or more, or a maximum type certificated payload capacity of 7,500 pounds or more. This SFAR also applies to applicants for type certificates, amendments to a type certificate, and supplemental type certificates affecting the fuel tank systems for those airplanes identified above, if the application was filed before June 6, 2001, the effective date of this SFAR, and the certificate was not issued before June 6, 2001. 2. <E T="03">Compliance:</E> Each type certificate holder, and each supplemental type certificate holder of a modification affecting the airplane fuel tank system, must accomplish the following within the compliance times specified in paragraph (e) of this section: (a) Conduct a safety review of the airplane fuel tank system to determine that the design meets the requirements of §§ 25.901 and 25.981(a) and (b) of this chapter. If the current design does not meet these requirements, develop all design changes to the fuel tank system that are necessary to meet these requirements. The FAA (Aircraft Certification Office (ACO), or office of the Transport Airplane Directorate, having cognizance over the type certificate for the affected airplane) may grant an extension of the 18-month compliance time for development of design changes if: (1) The safety review is completed within the compliance time; (2) Necessary design changes are identified within the compliance time; and (3) Additional time can be justified, based on the holder's demonstrated aggressiveness in performing the safety review, the complexity of the necessary design changes, the availability of interim actions to provide an acceptable level of safety, and the resulting level of safety. (b) Develop all maintenance and inspection instructions necessary to maintain the design features required to preclude the existence or development of an ignition source within the fuel tank system of the airplane. (c) Submit a report for approval to the FAA Aircraft Certification Office (ACO), or office of the Transport Airplane Directorate, having cognizance over the type certificate for the affected airplane, that: (1) Provides substantiation that the airplane fuel tank system design, including all necessary design changes, meets the requirements of §§ 25.901 and 25.981(a) and (b) of this chapter; and (2) Contains all maintenance and inspection instructions necessary to maintain the design features required to preclude the existence or development of an ignition source within the fuel tank system throughout the operational life of the airplane. (d) The Aircraft Certification Office (ACO), or office of the Transport Airplane Directorate, having cognizance over the type certificate for the affected airplane, may approve a report submitted in accordance with paragraph 2(c) if it determines that any provisions of this SFAR not complied with are <PRTPAGE P="125"/>compensated for by factors that provide an equivalent level of safety. (e) Each type certificate holder must comply no later than December 6, 2002, or within 18 months after the issuance of a type certificate for which application was filed before June 6, 2001, whichever is later; and each supplemental type certificate holder of a modification affecting the airplane fuel tank system must comply no later than June 6, 2003, or within 18 months after the issuance of a supplemental type certificate for which application was filed before June 6, 2001, whichever is later. <CITA>[Doc. No. 1999-6411, 66 FR 23129, May 7, 2001, as amended by Amdt. 21-82, 67 FR 57493, Sept. 10, 2002; 67 FR 70809, Nov. 26, 2002; Amdt. 21-83, 67 FR 72833, Dec. 9, 2002]</CITA> </APPENDIX> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 21.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> (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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53384, Oct. 16, 2009, § 21.1 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.1</SECTNO> <SUBJECT>Applicability and definitions.</SUBJECT> (a) This part prescribes— (1) Procedural requirements for issuing and changing— (i) Design approvals; (ii) Production approvals; (iii) Airworthiness certificates; and (iv) Airworthiness approvals; (2) Rules governing applicants for, and holders of, any approval or certificate specified in paragraph (a)(1) of this section; and (3) Procedural requirements for the approval of articles. (b) For the purposes of this part— (1) <E T="03">Airworthiness approval</E> means a document issued by the FAA for an aircraft, aircraft engine, propeller, or article which certifies that the aircraft, aircraft engine, propeller, or article conforms to its approved design and is in a condition for safe operation; (2) <E T="03">Article</E> means a material, part, component, process, or appliance; (3) <E T="03">Commercial part</E> means an article that is listed on an FAA-approved Commercial Parts List included in a design approval holder's Instructions for Continued Airworthiness required by § 21.50; (4) <E T="03">Design approval</E> means a type certificate (including amended and supplemental type certificates) or the approved design under a PMA, TSO authorization, letter of TSO design approval, or other approved design; (5) <E T="03">Product</E> means an aircraft, aircraft engine, or propeller; (6) <E T="03">Production approval</E> means a document issued by the FAA to a person that allows the production of a product or article in accordance with its approved design and approved quality system, and can take the form of a production certificate, a PMA, or a TSO authorization; (7) <E T="03">State of Design</E> means the country or jurisdiction having regulatory authority over the organization responsible for the design and continued airworthiness of a civil aeronautical product or article; (8) <E T="03">State of Manufacture</E> means the country or jurisdiction having regulatory authority over the organization responsible for the production and airworthiness of a civil aeronautical product or article. </SECTION> <SECTION> <SECTNO>§ 21.2 </SECTNO> <SUBJECT>Falsification of applications, reports, or records.</SUBJECT> (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.<PRTPAGE P="126"/> (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. <CITA>[Doc. No. 23345, 57 FR 41367, Sept. 9, 1992]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53384, Oct. 16, 2009, § 21.2 was amended by revising paragraphs (a) introductory text, (a)(1), (a)(2), and (b), effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.2</SECTNO> <SUBJECT>Falsification of applications, reports, or records.</SUBJECT> (a) A person may not make or cause to be made— (1) Any fraudulent, intentionally false, or misleading statement on any application for a certificate or approval under this part; (2) Any fraudulent, intentionally false, or misleading statement in any record or report that is kept, made, or used to show compliance with any requirement of this part;<STARS/> (b) The commission by any person of an act prohibited under paragraph (a) of this section is a basis for— (1) Denying issuance of any certificate or approval under this part; and (2) Suspending or revoking any certificate or approval issued under this part and held by that person. </SECTION> <SECTION> <SECTNO>§ 21.3</SECTNO> <SUBJECT>Reporting of failures, malfunctions, and defects.</SUBJECT> (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. (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<PRTPAGE P="127"/> (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 § 21.29 or § 21.617, or exported to the United States under § 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 Manager of the Aircraft Certification Office for the geographic area of the FAA regional office in the region in which it is located. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53385, Oct. 16, 2009, § 21.3 was amended by revising paragraphs (a), (b), (d)(1), (d)(2), (e)(3), and (f), effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.3</SECTNO> <SUBJECT>Reporting of failures, malfunctions, and defects.</SUBJECT> (a) The holder of a type certificate (including amended or supplemental type certificates), a PMA, or a TSO authorization, or the licensee of a type certificate must report any failure, malfunction, or defect in any product 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 amended or supplemental type certificates), a PMA, or a TSO authorization, or the licensee of a type certificate must report any defect in any product or article manufactured by it that has left its quality system and that it determines could result in any of the occurrences listed in paragraph (c) of this section.<STARS/> (d) * * * (1) Failures, malfunctions, or defects that the holder of a type certificate (including amended or supplemental type certificates), PMA, TSO authorization, or the licensee of a type certificate determines— (i) Were caused by improper maintenance or use; (ii) Were reported to the FAA by another person under this chapter; or (iii) Were reported under the accident reporting provisions of 49 CFR part 830 of the regulations of the National Transportation Safety Board. (2) Failures, malfunctions, or defects in products or articles— (i) Manufactured by a foreign manufacturer under a U.S. type certificate issued under § 21.29 or under an approval issued under § 21.621; or (ii) Exported to the United States under § 21.502. (e) * * * (3) Must include as much of the following information as is available and applicable:<PRTPAGE P="128"/> (i) The applicable product and article identification information required by part 45 of this chapter; (ii) Identification of the system involved; and (iii) Nature of the failure, malfunction, or defect. (f) If an accident investigation or service difficulty report shows that a product or article manufactured under this part is unsafe because of a manufacturing or design data defect, the holder of the production approval for that product or article must, upon request of the FAA, report to the FAA the results of its investigation and any action taken or proposed by the holder of that production approval to correct that defect. If action is required to correct the defect in an existing product or article, the holder of that production approval must send the data necessary for issuing an appropriate airworthiness directive to the appropriate aircraft certification office. </SECTION> <SECTION> <SECTNO>§ 21.4</SECTNO> <SUBJECT>ETOPS reporting requirements.</SUBJECT> (a) <E T="03">Early ETOPS: reporting, tracking, and resolving problems.</E> The holder of a type certificate for an airplane-engine combination approved using the Early ETOPS method specified in part 25, Appendix K, of this chapter must use a system for reporting, tracking, and resolving each problem resulting in one of the occurrences specified in paragraph (a)(6) of this section. (1) The system must identify how the type certificate holder will promptly identify problems, report them to the responsible FAA aircraft certification office, and propose a solution to the FAA to resolve each problem. A proposed solution must consist of— (i) A change in the airplane or engine type design; (ii) A change in a manufacturing process; (iii) A change in an operating or maintenance procedure; or (iv) Any other solution acceptable to the FAA. (2) For an airplane with more than two engines, the system must be in place for the first 250,000 world fleet engine-hours for the approved airplane-engine combination. (3) For two-engine airplanes, the system must be in place for the first 250,000 world fleet engine-hours for the approved airplane-engine combination and after that until— (i) The world fleet 12-month rolling average IFSD rate is at or below the rate required by paragraph (b)(2) of this section; and (ii) The FAA determines that the rate is stable. (4) For an airplane-engine combination that is a derivative of an airplane-engine combination previously approved for ETOPS, the system need only address those problems specified in the following table, provided the type certificate holder obtains prior authorization from the FAA: <GPOTABLE CDEF="s100,r100" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">If the change does not require a new airplane type certificate and . . .</CHED> <CHED H="1">Then the Problem Tracking and Resolution System must address . . .</CHED> </BOXHD> <ROW> <ENT I="01">(i) Requires a new engine type certificate</ENT> <ENT>All problems applicable to the new engine installation, and for the remainder of the airplane, problems in changed systems only.</ENT> </ROW> <ROW> <ENT I="01">(ii) Does not require a new engine type certificate</ENT> <ENT>Problems in changed systems only.</ENT> </ROW> </GPOTABLE> (5) The type certificate holder must identify the sources and content of data that it will use for its system. The data must be adequate to evaluate the specific cause of any in-service problem reportable under this section or § 21.3(c) that could affect the safety of ETOPS. (6) In implementing this system, the type certificate holder must report the following occurrences: (i) IFSDs, except planned IFSDs performed for flight training. (ii) For two-engine airplanes, IFSD rates. (iii) Inability to control an engine or obtain desired thrust or power. (iv) Precautionary thrust or power reductions. (v) Degraded ability to start an engine in flight. (vi) Inadvertent fuel loss or unavailability, or uncorrectable fuel imbalance in flight. (vii) Turn backs or diversions for failures, malfunctions, or defects associated with an ETOPS group 1 significant system.<PRTPAGE P="129"/> (viii) Loss of any power source for an ETOPS group 1 significant system, including any power source designed to provide backup power for that system. (ix) Any event that would jeopardize the safe flight and landing of the airplane on an ETOPS flight. (x) Any unscheduled engine removal for a condition that could result in one of the reportable occurrences listed in this paragraph. (b) <E T="03">Reliability of two-engine airplanes</E>—(1) <E T="03">Reporting of two-engine airplane in-service reliability.</E> The holder of a type certificate for an airplane approved for ETOPS and the holder of a type certificate for an engine installed on an airplane approved for ETOPS must report monthly to their respective FAA type certificate holding office on the reliability of the world fleet of those airplanes and engines. The report provided by both the airplane and engine type certificate holders must address each airplane-engine combination approved for ETOPS. The FAA may approve quarterly reporting if the airplane-engine combination demonstrates an IFSD rate at or below those specified in paragraph (b)(2) of this section for a period acceptable to the FAA. This reporting may be combined with the reporting required by § 21.3. The responsible type certificate holder must investigate any cause of an IFSD resulting from an occurrence attributable to the design of its product and report the results of that investigation to its FAA office responsible for administering its type certificate. Reporting must include: (i) Engine IFSDs, except planned IFSDs performed for flight training. (ii) The world fleet 12-month rolling average IFSD rates for all causes, except planned IFSDs performed for flight training. (iii) ETOPS fleet utilization, including a list of operators, their ETOPS diversion time authority, flight hours, and cycles. (2) <E T="03">World fleet IFSD rate for two-engine airplanes.</E> The holder of a type certificate for an airplane approved for ETOPS and the holder of a type certificate for an engine installed on an airplane approved for ETOPS must issue service information to the operators of those airplanes and engines, as appropriate, to maintain the world fleet 12-month rolling average IFSD rate at or below the following levels: (i) A rate of 0.05 per 1,000 world-fleet engine-hours for an airplane-engine combination approved for up to and including 120-minute ETOPS. When all ETOPS operators have complied with the corrective actions required in the configuration, maintenance and procedures (CMP) document as a condition for ETOPS approval, the rate to be maintained is at or below 0.02 per 1,000 world-fleet engine-hours. (ii) A rate of 0.02 per 1,000 world-fleet engine-hours for an airplane-engine combination approved for up to and including 180-minute ETOPS, including airplane-engine combinations approved for 207-minute ETOPS in the North Pacific operating area under appendix P, section I, paragraph (h), of part 121 of this chapter. (iii) A rate of 0.01 per 1,000 world-fleet engine-hours for an airplane-engine combination approved for ETOPS beyond 180 minutes, excluding airplane-engine combinations approved for 207-minute ETOPS in the North Pacific operating area under appendix P, section I, paragraph (h), of part 121 of this chapter. <CITA>[Doc. No. FAA-2002-6717, 72 FR 1872, Jan. 16, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.5</SECTNO> <SUBJECT>Airplane or Rotorcraft Flight Manual.</SUBJECT> (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.<PRTPAGE P="130"/> (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. <CITA>[Amdt. 21-46, 43 FR 2316, Jan. 16, 1978]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53385, Oct. 16, 2009, § 21.5 was amended by revising paragraph (a), effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.5</SECTNO> <SUBJECT>Airplane or Rotorcraft Flight Manual.</SUBJECT> (a) With each airplane or rotorcraft not type certificated with an Airplane or Rotorcraft Flight Manual and having no flight time before March 1, 1979, the holder of a type certificate (including amended or supplemental type certificates) or the licensee of a type certificate must make available to the owner at the time of delivery of the aircraft a current approved Airplane or Rotorcraft Flight Manual.<STARS/> </SECTION> <SECTION> <SECTNO>§ 21.6</SECTNO> <SUBJECT>Manufacture of new aircraft, aircraft engines, and propellers.</SUBJECT> (a) Except as specified in paragraphs (b) and (c) of this section, no person may manufacture a new aircraft, aircraft engine, or propeller based on a type certificate unless the person— (1) Is the holder of the type certificate or has a licensing agreement from the holder of the type certificate to manufacture the product; and (2) Meets the requirements of subpart F or G of this part. (b) A person may manufacture one new aircraft based on a type certificate without meeting the requirements of paragraph (a) of this section if that person can provide evidence acceptable to the FAA that the manufacture of the aircraft by that person began before August 5, 2004. (c) The requirements of this section do not apply to— (1) New aircraft imported under the provisions of §§ 21.183(c), 21.184(b), or 21.185(c); and (2) New aircraft engines or propellers imported under the provisions of § 21.500. <CITA>[Doc. No. FAA-2003-14825, 71 FR 52258, Sept. 1, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.7</SECTNO> <SUBJECT>Continued airworthiness and safety improvements for transport category airplanes.</SUBJECT> (a) On or after December 10, 2007, the holder of a design approval and an applicant for a design approval must comply with the applicable continued airworthiness and safety improvement requirements of part 26 of this subchapter. (b) For new transport category airplanes manufactured under the authority of the FAA, the holder or licensee of a type certificate must meet the applicable continued airworthiness and safety improvement requirements specified in part 26 of this subchapter for new production airplanes. Those requirements only apply if the FAA has jurisdiction over the organization responsible for final assembly of the airplane. <CITA>[Doc. No. FAA-2004-18379, Amdt. No. 21-90, 72 FR 63404, Nov. 8, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.8</SECTNO> <SUBJECT>Approval of articles.</SUBJECT> If an article is required to be approved under this chapter, it may be approved— (a) Under a PMA; (b) Under a TSO; (c) In conjunction with type certification procedures for a product; or (d) In any other manner approved by the FAA. <CITA>[Doc. No. FAA-2006-25877, 74 FR 53385, Oct. 16, 2009]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877 74 FR 53385, Oct. 16, 2009, § 21.8 was added, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.9</SECTNO> <SUBJECT>Replacement and modification articles.</SUBJECT> (a) If a person knows, or should know, that a replacement or modification article is reasonably likely to be installed on a type-certificated product, the person may not produce that article unless it is— (1) Produced under a type certificate; (2) Produced under an FAA production approval;<PRTPAGE P="131"/> (3) A standard part (such as a nut or bolt) manufactured in compliance with a government or established industry specification; (4) A commercial part as defined in § 21.1 of this part; (5) Produced by an owner or operator for maintaining or altering that owner or operator's product; or (6) Fabricated by an appropriately rated certificate holder with a quality system, and consumed in the repair or alteration of a product or article in accordance with part 43 of this chapter. (b) Except as provided in paragraphs (a)(1) through (a)(4) of this section, a person who produces a replacement or modification article for sale may not represent that part as suitable for installation on a type-certificated product. (c) Except as provided in paragraphs (a)(1) through (a)(4) of this section, a person may not sell or represent an article as suitable for installation on an aircraft type-certificated under §§ 21.25(a)(2) or 21.27 unless that article— (1) Was declared surplus by the U.S. Armed Forces, and (2) Was intended for use on that aircraft model by the U.S. Armed Forces. <CITA>[Doc. No. FAA-2006-25877, 74 FR 53385, Oct. 16, 2009]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877 74 FR 53385, Oct. 16, 2009, § 21.9 was added, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart B—Type Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14564, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.11</SECTNO> <SUBJECT>Applicability.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.13</SECTNO> <SUBJECT>Eligibility.</SUBJECT> Any interested person may apply for a type certificate. <CITA>[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.15</SECTNO> <SUBJECT>Application for type certificate.</SUBJECT> <EXT-XREF HREF="20091016" REFID="37">Link to an amendment published at 74 FR 53385, October 16, 2009.</EXT-XREF> (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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53385, Oct. 16, 2009, § 21.15 was amended by removing the words “Aircraft Certification Office” in paragraph (a) and adding, in their place, the words “aircraft certification office”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.16</SECTNO> <SUBJECT>Special conditions.</SUBJECT> 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. <CITA>[Amdt. 21-19, 32 FR 17851, Dec. 13, 1967; as amended by Amdt. 21-51, 45 FR 60170, Sept. 11, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.17</SECTNO> <SUBJECT>Designation of applicable regulations.</SUBJECT> (a) Except as provided in §§ 23.2, 25.2, 27.2, 29.2, and in parts 26, 34 and 36 of this subchapter, an applicant for a type certificate must show that the aircraft, aircraft engine, or propeller concerned meets—<PRTPAGE P="132"/> (1) The applicable requirements of this subchapter that are effective on 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. <CITA>[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; Amdt. No. 21-90, 72 FR 63404, Nov. 8, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.19</SECTNO> <SUBJECT>Changes requiring a new type certificate.</SUBJECT> 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. <CITA>[Doc. No. 28903, 65 FR 36265, June 7, 2000]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.20</SECTNO> <SUBJECT>Compliance with applicable requirements.</SUBJECT> The applicant for a type certificate, including an amended or supplemental type certificate, must— (a) Show compliance with all applicable requirements and must provide the FAA the means by which such compliance has been shown; and (b) Provide a statement certifying that the applicant has complied with the applicable requirements. <CITA>[Doc. No. FAA-2006-25877, 74 FR 53385, Oct. 16, 2009]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By FAA-2006-25877, 74 FR 53385, Oct. 16, 2009, § 21.20 was added, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <PRTPAGE P="133"/> <SECTNO>§ 21.21</SECTNO> <SUBJECT>Issue of type certificate: normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; special classes of aircraft; aircraft engines; propellers.</SUBJECT> <EXT-XREF HREF="20091016" REFID="39">Link to an amendment published at 74 FR 53385, October 16, 2009.</EXT-XREF> 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 § 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 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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53385, Oct. 16, 2009, § 21.21 was amended by removing the words “the Federal Aviation Regulations” and adding in their place the words “this subchapter” wherever they appear, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.23</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 21.24</SECTNO> <SUBJECT>Issuance of type certificate: primary category aircraft.</SUBJECT> (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 V<E T="52">so</E> stall speed as defined in § 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 § 21.17(f); and no feature or characteristic makes it unsafe for its intended use; (ii) The flight manual required by § 21.5(b), including any information required to be furnished by the applicable airworthiness standards; (iii) Instructions for continued airworthiness in accordance with § 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 § 21.49 to substantiate compliance with the applicable airworthiness standards. (3) The Administrator finds that— (i) The aircraft complies with those applicable airworthiness requirements <PRTPAGE P="134"/>approved under § 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) and (b) of this section must be submitted in English. <CITA>[Doc. No. 23345, 57 FR 41367, Sept. 9, 1992; as amended by Amdt. 21-75, 62 FR 62808, Nov. 25, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.25</SECTNO> <SUBJECT>Issue of type certificate: Restricted category aircraft.</SUBJECT> (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. <CITA>[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-42, 40 FR 1033, Jan. 6, 1975]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.27</SECTNO> <SUBJECT>Issue of type certificate: surplus aircraft of the Armed Forces.</SUBJECT> (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 <PRTPAGE P="135"/>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: <GPOTABLE CDEF="s100,r79,r92" COLS="3" OPTS="L2"> <BOXHD> <CHED H="1">Type of aircraft</CHED> <CHED H="1">Date accepted for operational use by the Armed Forces <LI>of the United States</LI> </CHED> <CHED H="1">Regulations that apply <SU>1</SU> </CHED> </BOXHD> <ROW> <ENT I="01">Small reciprocating-engine powered airplanes</ENT> <ENT>Before May 16, 1956<LI>After May 15, 1956</LI> </ENT> <ENT>CAR Part 3, as effective May 15, 1956.<LI>CAR Part 3, or FAR Part 23.</LI> </ENT> </ROW> <ROW> <ENT I="01">Small turbine engine-powered airplanes</ENT> <ENT>Before Oct. 2, 1959<LI>After Oct. 1, 1959</LI> </ENT> <ENT>CAR Part 3, as effective Oct. 1, 1959.<LI>CAR Part 3 or FAR Part 23.</LI> </ENT> </ROW> <ROW> <ENT I="01">Commuter category airplanes</ENT> <ENT>After (Feb. 17, 1987)<LI>FAR Part 23 as of (Feb. 17, 1987).</LI> </ENT> </ROW> <ROW> <ENT I="01">Large reciprocating-engine powered airplanes</ENT> <ENT>Before Aug. 26, 1955<LI>After Aug. 25, 1955</LI> </ENT> <ENT>CAR Part 4b, as effective Aug. 25, 1955.<LI>CAR Part 4b or FAR Part 25.</LI> </ENT> </ROW> <ROW> <ENT I="01">Large turbine engine-powered airplanes</ENT> <ENT>Before Oct. 2, 1959<LI>After Oct. 1, 1959</LI> </ENT> <ENT>CAR Part 4b, as effective Oct. 1, 1959.<LI>CAR Part 4b or FAR Part 25.</LI> </ENT> </ROW> <ROW> <ENT I="11">Rotorcraft with maximum certificated takeoff weight of:</ENT> </ROW> <ROW> <ENT I="02">6,000 pounds or less</ENT> <ENT>Before Oct. 2, 1959<LI>After Oct. 1, 1959</LI> </ENT> <ENT>CAR Part 6, as effective Oct. 1, 1959.<LI>CAR Part 6, or FAR Part 27.</LI> </ENT> </ROW> <ROW> <ENT I="02">Over 6,000 pounds</ENT> <ENT>Before Oct. 2, 1959<LI>After Oct. 1, 1959</LI> </ENT> <ENT>CAR Part 7, as effective Oct. 1, 1959.<LI>CAR Part 7, or FAR Part 29.<SU>1</SU> 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.</LI> </ENT> </ROW> </GPOTABLE> <CITA>[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; 70 FR 2325, Jan. 13, 2005]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.27 was amended by removing the words “the Federal Aviation Regulations” in paragraph (c) and adding, in their place, the words “this subchapter”; and removing the word “FAR” from each place it appears in the table in paragraph (f) and adding in its place the words “14 CFR”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.29</SECTNO> <SUBJECT>Issue of type certificate: import products.</SUBJECT> (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 § 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 § 21.17; and<PRTPAGE P="136"/> (ii) The applicable airworthiness requirements of this subchapter as designated in § 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 § 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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53386, Oct. 16, 2009, § 21.29 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.29</SECTNO> <SUBJECT>Issue of type certificate: import products.</SUBJECT> (a) The FAA may issue a type certificate for a product that is manufactured in a foreign country or jurisdiction 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 applicable State of Design 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 § 21.17, or the applicable aircraft noise, fuel venting, and exhaust emissions requirements of the State of Design, and any other requirements the FAA 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 § 21.17; and (ii) The applicable airworthiness requirements of this subchapter as designated in § 21.17, or the applicable airworthiness requirements of the State of Design and any other requirements the FAA may prescribe to provide a level of safety equivalent to that provided by the applicable airworthiness requirements of this subchapter as designated in § 21.17; (2) The applicant has provided technical data to show the product meets the requirements of paragraph (a)(1) of this section; 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 of this subchapter and the fuel venting and exhaust emission standards of part 34 of this subchapter. Compliance with parts 36 and 34 of this subchapter is certified under paragraph (a)(1)(i) of this section, and the applicable airworthiness standards of this subchapter, or an equivalent level of safety, with which compliance is certified under paragraph (a)(1)(ii) of this section. </SECTION> <SECTION> <SECTNO>§ 21.31</SECTNO> <SUBJECT>Type design.</SUBJECT> The type design consists of— (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, 26, 27, 29, 31, 33 and 35 of this subchapter, or as otherwise required by the Administrator; and as specified in the applicable airworthiness criteria for special classes of aircraft defined in § 21.17(b); and (d) For primary category aircraft, if desired, a special inspection and preventive maintenance program designed <PRTPAGE P="137"/>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. <CITA>[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; Amdt. No. 21-90, 72 FR 63404, Nov. 8, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.33</SECTNO> <SUBJECT>Inspection and tests.</SUBJECT> <EXT-XREF HREF="20091016" REFID="42">Link to an amendment published at 74 FR 53386, October 16, 2009.</EXT-XREF> (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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.33(a) introductory text was amended by removing the words “the Federal Aviation Regulations” and adding, in their place, the words “this subchapter”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.35</SECTNO> <SUBJECT>Flight tests.</SUBJECT> (a) Each applicant for an aircraft type certificate (other than under §§ 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 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<PRTPAGE P="138"/> (2) For rotorcraft, the rotor drive endurance tests prescribed in § 27.923 or § 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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.37</SECTNO> <SUBJECT>Flight test pilot.</SUBJECT> 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. <CITA>[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-59, 52 FR 1835, Jan. 15, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.39</SECTNO> <SUBJECT>Flight test instrument calibration and correction report.</SUBJECT> (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. <CITA>[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-59, 52 FR 1835, Jan. 15, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.41</SECTNO> <SUBJECT>Type certificate.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.43</SECTNO> <SUBJECT>Location of manufacturing facilities.</SUBJECT> Except as provided in § 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. </SECTION> <SECTION> <SECTNO>§ 21.45</SECTNO> <SUBJECT>Privileges.</SUBJECT> The holder or licensee of a type certificate for a product may— (a) In the case of aircraft, upon compliance with §§ 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 §§ 21.133 through 21.163, obtain a production certificate for the type certificated product; (d) Obtain approval of replacement parts for that product. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.45 was amended by removing the words “or certified” from paragraph (b) and adding in their place the words “on certificated”; and removing the reference “§§ 21.133 through 21.163” from paragraph (c) and adding in its place the words “subpart G of this part”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <PRTPAGE P="139"/> <SECTNO>§ 21.47</SECTNO> <SUBJECT>Transferability.</SUBJECT> 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. <CITA>[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.47 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.47</SECTNO> <SUBJECT>Transferability.</SUBJECT> (a) A holder of a type certificate may transfer it or make it available to other persons by licensing agreements. (b) For a type certificate transfer in which the State of Design will remain the same, each transferor must, before such a transfer, notify in writing the appropriate aircraft certification office. This notification must include the applicable type certificate number, the name and address of the transferee, and the anticipated date of the transfer. (c) For a type certificate transfer in which the State of Design is changing, a type certificate may only be transferred to or from a person subject to the authority of another State of Design if the United States has an agreement with that State of Design for the acceptance of the affected product for export and import. Each transferor must notify the appropriate aircraft certification office before such a transfer in a form and manner acceptable to the FAA. This notification must include the applicable type certificate number; the name, address, and country of residence of the transferee; and the anticipated date of the transfer. (d) Before executing or terminating a licensing agreement that makes a type certificate available to another person, the type certificate holder must notify in writing the appropriate aircraft certification office. This notification must include the type certificate number addressed by the licensing agreement, the name and address of the licensee, the extent of authority granted the licensee, and the anticipated date of the agreement. </SECTION> <SECTION> <SECTNO>§ 21.49</SECTNO> <SUBJECT>Availability.</SUBJECT> 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. <CITA>[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Doc. No. 8084, 32 FR 5769, Apr. 11, 1967]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.50</SECTNO> <SUBJECT>Instructions for continued airworthiness and manufacturer's maintenance manuals having airworthiness limitations sections.</SUBJECT> <EXT-XREF HREF="20091016" REFID="45">Link to an amendment published at 74 FR 53386, October 16, 2009.</EXT-XREF> (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 § 27.1529 (a)(2) or § 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, to the owner of each type aircraft, aircraft engine, or propeller upon its delivery, or upon issuance of the first standard airworthiness certificate for the affected aircraft, whichever occurs later. The Instructions must be prepared in accordance with § 23.1529, § 25.1529, § 25.1729, § 27.1529, § 29.1529, § 31.82, § 33.4, § 35.4, or part 26 of this subchapter, or as specified in the applicable airworthiness criteria for special classes of aircraft defined in § 21.17(b), as applicable. Thereafter, the holder of a design approval must make those instructions available to any other person required by this chapter to comply with any of the terms of those instructions. In addition, changes to the Instructions for Continued Airworthiness shall be made available to any person required by <PRTPAGE P="140"/>this chapter to comply with any of those instructions. <CITA>[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; Amdt. No. 21-90, 72 FR 63404, Nov. 8, 2007]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.50 was amended by revising paragraph (b) and adding paragraph (c), effective Apr. 14, 2010. For the convenience of the user, the added and revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.50</SECTNO> <SUBJECT>Instructions for continued airworthiness and manufacturer's maintenance manuals having airworthiness limitations sections.</SUBJECT> <STARS/> (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, must furnish at least one set of complete Instructions for Continued Airworthiness to the owner of each type aircraft, aircraft engine, or propeller upon its delivery, or upon issuance of the first standard airworthiness certificate for the affected aircraft, whichever occurs later. The Instructions must be prepared in accordance with § 23.1529, § 25.1529, § 25.1729, § 27.1529, § 29.1529, § 31.82, § 33.4, § 35.4, or part 26 of this subchapter, or as specified in the applicable airworthiness criteria for special classes of aircraft defined in § 21.17(b), as applicable. If the holder of a design approval chooses to designate parts as commercial, it must include in the Instructions for Continued Airworthiness a list of commercial parts submitted in accordance with the provisions of paragraph (c) of this section. Thereafter, the holder of a design approval must make those instructions available to any other person required by this chapter to comply with any of the terms of those 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. (c) To designate commercial parts, the holder of a design approval, in a manner acceptable to the FAA, must submit: (1) A Commercial Parts List; (2) Data for each part on the List showing that: (i) The failure of the commercial part, as installed in the product, would not degrade the level of safety of the product; and (ii) The part is produced only under the commercial part manufacturer's specification and marked only with the commercial part manufacturer's markings; and (3) Any other data necessary for the FAA to approve the List. </SECTION> <SECTION> <SECTNO>§ 21.51</SECTNO> <SUBJECT>Duration.</SUBJECT> A type certificate is effective until surrendered, suspended, revoked, or a termination date is otherwise established by the Administrator. </SECTION> <SECTION> <SECTNO>§ 21.53</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> <EXT-XREF HREF="20091016" REFID="46">Link to an amendment published at 74 FR 53386, October 16, 2009.</EXT-XREF> (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 § 21.33(a) (unless otherwise authorized under that paragraph). <CITA>[Amdt. 21-17, 32 FR 14926, Oct. 28, 1967]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.53 was amended by revising paragraph (a), effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.53</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> (a) Each applicant must provide, in a form and manner acceptable to the FAA, a statement that each aircraft engine or propeller presented for type certification conforms to its type design.<STARS/> </SECTION> <SECTION> <SECTNO>§ 21.55</SECTNO> <SUBJECT>Responsibility of type certificate holders to provide written licensing agreements.</SUBJECT> A type certificate holder who allows a person to use the type certificate to manufacture a new aircraft, aircraft engine, or propeller must provide that person with a written licensing agreement acceptable to the FAA. <CITA>[Doc. No. FAA-2003-14825, 71 FR 52258, Sept. 1, 2006]</CITA> </SECTION> <SUBPART> <PRTPAGE P="141"/> <HD SOURCE="HED">Subpart C—Provisional Type Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14566, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.71</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes— (a) Procedural requirements for the issue of provisional type certificates, amendments to provisional type certificates, and provisional amendments to type certificates; and (b) Rules governing the holders of those certificates. </SECTION> <SECTION> <SECTNO>§ 21.73</SECTNO> <SUBJECT>Eligibility.</SUBJECT> (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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53387, Oct. 16, 2009, § 21.73(b) was amended by removing the words “Any manufacturer of aircraft manufactured in a foreign country with which the United States has an agreement” and adding in their place the words “Any manufacturer of aircraft in a State of Manufacture subject to the provisions of an agreement with the United States”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.75 </SECTNO> <SUBJECT>Application.</SUBJECT> 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. <CITA>[Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, § 21.75 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.75</SECTNO> <SUBJECT>Application.</SUBJECT> Each applicant for a provisional type certificate, for an amendment thereto, or for a provisional amendment to a type certificate must apply to the appropriate aircraft certification office and provide the information required by this subpart. </SECTION> <SECTION> <SECTNO>§ 21.77</SECTNO> <SUBJECT>Duration.</SUBJECT> (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. <CITA>[Doc. No. 5085, 29 FR 14566, Oct. 24, 1964 as amended by Amdt. 21-7, 30 FR 14311, Nov. 16, 1965]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.79</SECTNO> <SUBJECT>Transferability.</SUBJECT> Provisional type certificates are not transferable. </SECTION> <SECTION> <PRTPAGE P="142"/> <SECTNO>§ 21.81</SECTNO> <SUBJECT>Requirements for issue and amendment of Class I provisional type certificates.</SUBJECT> (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 § 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 (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 §§ 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. <CITA>[Doc. No. 5085, 29 FR 14566, Oct. 24, 1964, as amended by Amdt. 21-66, 54 FR 34329, Aug. 18, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.83</SECTNO> <SUBJECT>Requirements for issue and amendment of Class II provisional type certificates.</SUBJECT> (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 §§ 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 §§ 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 <PRTPAGE P="143"/>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, 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. <CITA>[Amdt. 21-12, 31 FR 13386, Oct. 15, 1966, as amended by Amdt. 21-66, 54 FR 34329, Aug. 18, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.85</SECTNO> <SUBJECT>Provisional amendments to type certificates.</SUBJECT> (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 §§ 91.317 and 121.207 of this chapter. (g) The applicant must establish and publish, in a provisional aircraft flight <PRTPAGE P="144"/>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. <CITA>[Amdt. 21-12, 31 FR 13388, Oct. 15, 1966, as amended by Amdt. 21-66, 54 FR 34329, Aug. 18, 1989]</CITA> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart D—Changes to Type Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14567, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.91</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the approval of changes to type certificates. </SECTION> <SECTION> <SECTNO>§ 21.93</SECTNO> <SUBJECT>Classification of changes in type design.</SUBJECT> (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) Jet (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 § 137.3 of this chapter, effective January 1, 1966) to which § 36.1583 of this chapter does not apply, or (ii) Designated for dispensing fire fighting materials to which § 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 § 21.93(b). (4) Helicopters except: (i) Those helicopters that are designated exclusively: (A) For “agricultural aircraft operations”, as defined in § 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 § 133.1(b) of this chapter, as effective on December 20, 1976.<PRTPAGE P="145"/> (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, 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.” <CITA>[Amdt. 21-27, 34 FR 18363, Nov. 18, 1969]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> For <E T="04">Federal Register</E> citations affecting § 21.93, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. </EDNOTE> </SECTION> <SECTION> <SECTNO>§ 21.95</SECTNO> <SUBJECT>Approval of minor changes in type design.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.97</SECTNO> <SUBJECT>Approval of major changes in type design.</SUBJECT> (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. <CITA>[Amdt. 21-40, 39 FR 35459, Oct. 1, 1974]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53387, Oct. 16, 2009, § 21.97(a) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.97</SECTNO> <SUBJECT>Approval of major changes in type design.</SUBJECT> (a) An applicant for approval of a major change in type design must— (1) Provide substantiating data and necessary descriptive data for inclusion in the type design; (2) Show that the changed product complies with the applicable requirements of this subchapter, and provide the FAA the means by which such compliance has been shown; and (3) Provide a statement certifying that the applicant has complied with the applicable requirements.<STARS/> </SECTION> <SECTION> <SECTNO>§ 21.99</SECTNO> <SUBJECT>Required design changes.</SUBJECT> (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.<PRTPAGE P="146"/> (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. <CITA>[Doc. No. 5085, 29 FR 14567, Oct. 24, 1964, as amended by Amdt. 21-3, 30 FR 8826, July 24, 1965]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.101</SECTNO> <SUBJECT>Designation of applicable regulations.</SUBJECT> (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) Except as provided in paragraph (g) of this section, 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 § 23.2, § 25.2, § 27.2, or § 29.2 of this subchapter 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 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 § 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 <PRTPAGE P="147"/>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 §§ 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. (g) Notwithstanding paragraph (b) of this section, for transport category airplanes, the applicant must show compliance with each applicable provision of part 26 of this chapter, unless the applicant has elected or was required to comply with a corresponding amendment to part 25 of this chapter that was issued on or after the date of the applicable part 26 provision. <CITA>[Doc. No. 28903, 65 FR 36266, June 7, 2000, as amended by Amdt. No. 21-90, 72 FR 63404, Nov. 8, 2007]</CITA> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart E—Supplemental Type Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14568, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.111</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the issue of supplemental type certificates. </SECTION> <SECTION> <SECTNO>§ 21.113</SECTNO> <SUBJECT>Requirement of supplemental type certificate.</SUBJECT> 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 § 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 a form and manner prescribed by the Administrator. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, § 21.113 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.113</SECTNO> <SUBJECT>Requirement for supplemental type certificate.</SUBJECT> (a) If a person holds the TC for a product and alters that product by introducing a major change in type design that does not require an application for a new TC under § 21.19, that person must either apply to the appropriate aircraft certification office for an STC or apply to amend the original type certificate under subpart D of this part. (b) If a person does not hold the TC for a product and alters that product by introducing a major change in type design that does not require an application for a new TC under § 21.19, that person must apply to the appropriate aircraft certification office for an STC. (c) The application for an STC must be made in the form and manner prescribed by the FAA. </SECTION> <SECTION> <SECTNO>§ 21.115</SECTNO> <SUBJECT>Applicable requirements.</SUBJECT> (a) Each applicant for a supplemental type certificate must show that the altered product meets applicable requirements specified in § 21.101 and, in the case of an acoustical change described in § 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 § 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 §§ 21.33 and <PRTPAGE P="148"/>21.53 with respect to each change in the type design. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.117</SECTNO> <SUBJECT>Issue of supplemental type certificates.</SUBJECT> (a) An applicant is entitled to a supplemental type certificate if he meets the requirements of §§ 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. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53387, Oct. 16, 2009, § 21.117 was amended by removing the words “if he” from paragraph (a) and adding in their place the words “if the FAA finds that the applicant”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.119</SECTNO> <SUBJECT>Privileges.</SUBJECT> <EXT-XREF HREF="20091016" REFID="52">Link to an amendment published at 74 FR 53387, October 16, 2009.</EXT-XREF> 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. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92 74 FR 53387, Oct. 16, 2009, § 21.119(c) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.119</SECTNO> <SUBJECT>Privileges.</SUBJECT> <STARS/> (c) Obtain a production certificate in accordance with the requirements of subpart G of this part for the change in the type design approved by the supplemental type certificate. </SECTION> <SECTION> <SECTNO>§ 21.120</SECTNO> <SUBJECT>Responsibility of supplemental type certificate holders to provide written permission for alterations.</SUBJECT> A supplemental type certificate holder who allows a person to use the supplemental type certificate to alter an aircraft, aircraft engine, or propeller must provide that person with written permission acceptable to the FAA. <CITA>[Doc. No. FAA-2003-14825, 71 FR 52258, Sept. 1, 2006]</CITA> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart F—Production Under Type Certificate Only</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14568, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.121</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes rules for production under a type certificate only. </SECTION> <SECTION> <SECTNO>§ 21.122</SECTNO> <SUBJECT>Location of or change to manufacturing facilities.</SUBJECT> (a) An applicant may obtain a production certificate for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter. (b) The type certificate holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities. (c) The type certificate holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its product or article. <CITA>[Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, § 21.122 was added, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.123</SECTNO> <SUBJECT>Production under type certificate.</SUBJECT> 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 <PRTPAGE P="149"/>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 § 21.125(b). <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, § 21.123 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.123</SECTNO> <SUBJECT>Production under type certificate.</SUBJECT> Each manufacturer of a product being manufactured under a type certificate must— (a) Maintain at the place of manufacture all information and data specified in §§ 21.31 and 21.41; (b) Make each product and article thereof available for inspection by the FAA; (c) Maintain records of the completion of all inspections and tests required by §§ 21.127, 21.128, and 21.129 for at least 5 years for the products and articles thereof manufactured under the approval and at least 10 years for critical components identified under § 45.15(c) of this chapter; (d) Allow the FAA to make any inspection or test, including any inspection or test at a supplier facility, necessary to determine compliance with this subchapter; (e) Mark the product in accordance with part 45 of this chapter, including any critical parts; (f) Identify any portion of that product (<E T="03">e.g.,</E> sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA-approved manufacturer's identification; and (g) Except as otherwise authorized by the FAA, obtain a production certificate for that product in accordance with subpart G of this part within 6 months after the date of issuance of the type certificate. </SECTION> <SECTION> <SECTNO>§ 21.125</SECTNO> <SUBJECT>Production inspection system: Materials Review Board.</SUBJECT> <EXT-XREF HREF="20091016" REFID="55">Link to an amendment published at 74 FR 53387, October 16, 2009.</EXT-XREF> (a) Each manufacturer required to establish a production inspection system by § 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 § 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 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 <PRTPAGE P="150"/>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. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53387, Oct. 16, 2009, § 21.125 was removed and reserved, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.127</SECTNO> <SUBJECT>Tests: aircraft.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.128</SECTNO> <SUBJECT>Tests: aircraft engines.</SUBJECT> (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. <CITA>[Doc. No. 5085, 29 FR 14568, Oct. 24, 1964, as amended by Amdt. 21-5, 32 FR 3735, Mar. 4, 1967]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.129</SECTNO> <SUBJECT>Tests: propellers.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.130</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> 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 <PRTPAGE P="151"/>the engine or propeller has been subjected by the manufacturer to a final operational check. <FP>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.</FP> <CITA>[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, § 21.130 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.130</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> Each holder or licensee of a type certificate who manufactures a product under this subpart must provide, in a form and manner acceptable to the FAA, a statement that the product for which the type certificate has been issued conforms to its type certificate and is in a condition for safe operation. </SECTION> <SUBPART> <HD SOURCE="HED">Subpart G—Production Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14569, Oct. 24, 1964, unless otherwise noted. </SOURCE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53887, Oct. 16, 2009, subpart G of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the new subpart G follows the text of this subpart. </EFFDNOTP> <SECTION> <SECTNO>§ 21.131</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the issue of production certificates and rules governing the holders of those certificates. </SECTION> <SECTION> <SECTNO>§ 21.133</SECTNO> <SUBJECT>Eligibility.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.135</SECTNO> <SUBJECT>Requirements for issuance.</SUBJECT> 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 §§ 21.139 and 21.143. </SECTION> <SECTION> <SECTNO>§ 21.137</SECTNO> <SUBJECT>Location of manufacturing facilities.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.139</SECTNO> <SUBJECT>Quality control.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.143</SECTNO> <SUBJECT>Quality control data requirements; prime manufacturer.</SUBJECT> (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 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 <PRTPAGE P="152"/>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. <CITA>[Doc. No. 5085, 29 FR 14569, Oct. 24, 1964, as amended by Amdt. 21-51, 45 FR 60170, Sept. 11, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.147</SECTNO> <SUBJECT>Changes in quality control system.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.149</SECTNO> <SUBJECT>Multiple products.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.151</SECTNO> <SUBJECT>Production limitation record.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.153</SECTNO> <SUBJECT>Amendment of the production certificates.</SUBJECT> 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 §§ 21.139, 21.143, and 21.147. </SECTION> <SECTION> <SECTNO>§ 21.155</SECTNO> <SUBJECT>Transferability.</SUBJECT> A production certificate is not transferable. </SECTION> <SECTION> <SECTNO>§ 21.157</SECTNO> <SUBJECT>Inspections and tests.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.159</SECTNO> <SUBJECT>Duration.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.161</SECTNO> <SUBJECT>Display.</SUBJECT> The holder of a production certificate shall display it prominently in the main office of the factory in which the product concerned is manufactured. </SECTION> <SECTION> <SECTNO>§ 21.163</SECTNO> <SUBJECT>Privileges.</SUBJECT> (a) The holder of a production certificate may— (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 § 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 § 21.184(c), may— (1) Conduct training for persons in the performance of a special inspection <PRTPAGE P="153"/>and preventive maintenance program approved as a part of the aircraft's type design under § 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. <CITA>[Doc. No. 23345, 57 FR 41368, Sept. 9, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.165</SECTNO> <SUBJECT>Responsibility of holder.</SUBJECT> 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. <CITA>[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]</CITA> <EAR>Pt. 21, Subpt. G, Nt.</EAR> </SECTION> <HD SOURCE="HED"/> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, subpart G of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SUBPART> <HD SOURCE="HED">Subpart G—Production Certificates</HD> <SECTION> <SECTNO>§ 21.131</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes— (a) Procedural requirements for issuing production certificates; and (b) Rules governing holders of those certificates. </SECTION> <SECTION> <SECTNO>§ 21.132</SECTNO> <SUBJECT>Eligibility.</SUBJECT> Any person may apply for a production certificate if that person holds, for the product concerned— (a) A current type certificate, (b) A supplemental type certificate, or (c) Rights to the benefits of that type certificate or supplemental type certificate under a licensing agreement. </SECTION> <SECTION> <SECTNO>§ 21.133</SECTNO> <SUBJECT>Application.</SUBJECT> Each applicant must apply for a production certificate in a form and manner prescribed by the FAA. </SECTION> <SECTION> <SECTNO>§ 21.135</SECTNO> <SUBJECT>Organization.</SUBJECT> Each applicant for or holder of a production certificate must provide the FAA with a document describing how its organization will ensure compliance with the provisions of this subpart. At a minimum, the document must describe assigned responsibilities and delegated authority, and the functional relationship of those responsible for quality to management and other organizational components. </SECTION> <SECTION> <SECTNO>§ 21.137</SECTNO> <SUBJECT>Quality system.</SUBJECT> Each applicant for or holder of a production certificate must establish and describe in writing a quality system that ensures that each product and article conforms to its approved design and is in a condition for safe operation. This quality system must include: (a) <E T="03">Design data control.</E> Procedures for controlling design data and subsequent changes to ensure that only current, correct, and approved data is used. (b) <E T="03">Document control.</E> Procedures for controlling quality system documents and data and subsequent changes to ensure that only current, correct, and approved documents and data are used. (c) <E T="03">Supplier control.</E> Procedures that— (1) Ensure that each supplier-furnished product or article conforms to its approved design; and (2) Require each supplier to report to the production approval holder if a product or article has been released from that supplier and subsequently found not to conform to the applicable design data. (d) <E T="03">Manufacturing process control.</E> Procedures for controlling manufacturing processes to ensure that each product and article conforms to its approved design. (e) <E T="03">Inspecting and testing.</E> Procedures for inspections and tests used to ensure that each product and article conforms to its approved design. These procedures must include the following, as applicable: (1) A flight test of each aircraft produced unless that aircraft will be exported as an unassembled aircraft. (2) A functional test of each aircraft engine and each propeller produced. (f) <E T="03">Inspection, measuring, and test equipment control.</E> Procedures to ensure calibration and control of all inspection, measuring, and test equipment used in determining conformity of each product and article to its approved design. Each calibration standard must be <PRTPAGE P="154"/>traceable to a standard acceptable to the FAA. (g) <E T="03">Inspection and test status.</E> Procedures for documenting the inspection and test status of products and articles supplied or manufactured to the approved design. (h) <E T="03">Nonconforming product and article control.</E> (1) Procedures to ensure that only products or articles that conform to their approved design are installed on a type-certificated product. These procedures must provide for the identification, documentation, evaluation, segregation, and disposition of nonconforming products and articles. Only authorized individuals may make disposition determinations. (2) Procedures to ensure that discarded articles are rendered unusable. (i) <E T="03">Corrective and preventive actions.</E> Procedures for implementing corrective and preventive actions to eliminate the causes of an actual or potential nonconformity to the approved design or noncompliance with the approved quality system. (j) <E T="03">Handling and storage.</E> Procedures to prevent damage and deterioration of each product and article during handling, storage, preservation, and packaging. (k) <E T="03">Control of quality records.</E> Procedures for identifying, storing, protecting, retrieving, and retaining quality records. A production approval holder must retain these records for at least 5 years for the products and articles manufactured under the approval and at least 10 years for critical components identified under § 45.15(c) of this chapter. (l) <E T="03">Internal audits.</E> Procedures for planning, conducting, and documenting internal audits to ensure compliance with the approved quality system. The procedures must include reporting results of internal audits to the manager responsible for implementing corrective and preventive actions. (m) <E T="03">In-service feedback.</E> Procedures for receiving and processing feedback on in-service failures, malfunctions, and defects. These procedures must include a process for assisting the design approval holder to— (1) Address any in-service problem involving design changes; and (2) Determine if any changes to the Instructions for Continued Airworthiness are necessary. (n) <E T="03">Quality escapes.</E> Procedures for identifying, analyzing, and initiating appropriate corrective action for products or articles that have been released from the quality system and that do not conform to the applicable design data or quality system requirements. </SECTION> <SECTION> <SECTNO>§ 21.138</SECTNO> <SUBJECT>Quality manual.</SUBJECT> Each applicant for or holder of a production certificate must provide a manual describing its quality system to the FAA for approval. The manual must be in the English language and retrievable in a form acceptable to the FAA. </SECTION> <SECTION> <SECTNO>§ 21.139</SECTNO> <SUBJECT>Location of or change to manufacturing facilities.</SUBJECT> (a) An applicant may obtain a production certificate for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter. (b) The production certificate holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities. (c) The production certificate holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its product or article. </SECTION> <SECTION> <SECTNO>§ 21.140</SECTNO> <SUBJECT>Inspections and tests.</SUBJECT> Each applicant for or holder of a production certificate must allow the FAA to inspect its quality system, facilities, technical data, and any manufactured products or articles and witness any tests, including any inspections or tests at a supplier facility, necessary to determine compliance with this subchapter. </SECTION> <SECTION> <SECTNO>§ 21.141</SECTNO> <SUBJECT>Issuance.</SUBJECT> The FAA issues a production certificate after finding that the applicant complies with the requirements of this subpart. </SECTION> <SECTION> <SECTNO>§ 21.142</SECTNO> <SUBJECT>Production limitation record.</SUBJECT> The FAA issues a production limitation record as part of a production certificate. The record lists the type certificate number and the model of every product that the production certificate holder is authorized to manufacture. </SECTION> <SECTION> <SECTNO>§ 21.143</SECTNO> <SUBJECT>Duration.</SUBJECT> A production certificate is effective until surrendered, suspended, revoked, or the FAA otherwise establishes a termination date. </SECTION> <SECTION> <SECTNO>§ 21.144</SECTNO> <SUBJECT>Transferability.</SUBJECT> The holder of a production certificate may not transfer the production certificate. </SECTION> <SECTION> <SECTNO>§ 21.145</SECTNO> <SUBJECT>Privileges.</SUBJECT> (a) The holder of a production certificate may— (1) Obtain an aircraft airworthiness certificate without further showing, except that the FAA may inspect the aircraft for conformity with the type design; or (2) In the case of other products, obtain approval from the FAA for installation on type-certificated aircraft. (b) Notwithstanding the provisions of § 147.3 of this chapter, the holder of a production certificate for a primary category aircraft, or for a normal, utility, or acrobatic <PRTPAGE P="155"/>category aircraft of a type design that is eligible for a special airworthiness certificate in the primary category under § 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 § 21.24(b), provided a person holding a mechanic certificate with appropriate airframe and powerplant ratings issued under part 65 of this chapter gives the training; 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. </SECTION> <SECTION> <SECTNO>§ 21.146</SECTNO> <SUBJECT>Responsibility of holder.</SUBJECT> The holder of a production certificate must— (a) Amend the document required by § 21.135 as necessary to reflect changes in the organization and provide these amendments to the FAA. (b) Maintain the quality system in compliance with the data and procedures approved for the production certificate; (c) Ensure that each completed product or article for which a production certificate has been issued, including primary category aircraft assembled under a production certificate by another person from a kit provided by the holder of the production certificate, presented for airworthiness certification or approval conforms to its approved design and is in a condition for safe operation; (d) Mark the product or article for which a certificate or approval has been issued. Marking must be in accordance with part 45 of this chapter, including any critical parts; (e) Identify any portion of the product or article (e.g., sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA approved manufacturer's identification; (f) Have access to type design data necessary to determine conformity and airworthiness for each product and article produced under the production certificate; (g) Retain its production certificate and make it available to the FAA upon request; and (h) Make available to the FAA information regarding all delegation of authority to suppliers. </SECTION> <SECTION> <SECTNO>§ 21.147</SECTNO> <SUBJECT>Amendment of production certificates.</SUBJECT> The holder of a production certificate must apply for an amendment to a production certificate in a form and manner prescribed by the FAA. The applicant for an amendment to a production certificate to add a type certificate or model, or both, must comply with the applicable requirements of §§ 21.137, 21.138, and 21.150. </SECTION> <SECTION> <SECTNO>§ 21.150</SECTNO> <SUBJECT>Changes in quality system.</SUBJECT> After the issuance of a production certificate— (a) Each change to the quality system is subject to review by the FAA; and (b) The holder of a production certificate must immediately notify the FAA, in writing, of any change that may affect the inspection, conformity, or airworthiness of its product or article. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Airworthiness Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14569, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.171</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the issue of airworthiness certificates. </SECTION> <SECTION> <SECTNO>§ 21.173</SECTNO> <SUBJECT>Eligibility.</SUBJECT> 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. <CITA>[Amdt. 21-26, 34 FR 15244, Sept. 30, 1969]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.175</SECTNO> <SUBJECT>Airworthiness certificates: classification.</SUBJECT> (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, light-sport, and provisional airworthiness certificates, special flight permits, and experimental certificates. <CITA>[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; Amdt. 21-85, 69 FR 44861, July 27, 2004]</CITA> </SECTION> <SECTION> <PRTPAGE P="156"/> <SECTNO>§ 21.177</SECTNO> <SUBJECT>Amendment or modification.</SUBJECT> An airworthiness certificate may be amended or modified only upon application to the Administrator. </SECTION> <SECTION> <SECTNO>§ 21.179</SECTNO> <SUBJECT>Transferability.</SUBJECT> An airworthiness certificate is transferred with the aircraft. </SECTION> <SECTION> <SECTNO>§ 21.181</SECTNO> <SUBJECT>Duration.</SUBJECT> (a) Unless sooner surrendered, suspended, revoked, or a termination date is otherwise established by the Administrator, airworthiness certificates are effective as follows: (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) A special airworthiness certificate in the light-sport category is effective as long as— (i) The aircraft meets the definition of a light-sport aircraft; (ii) The aircraft conforms to its original configuration, except for those alterations performed in accordance with an applicable consensus standard and authorized by the aircraft's manufacturer or a person acceptable to the FAA; (iii) The aircraft has no unsafe condition and is not likely to develop an unsafe condition; and (iv) The aircraft is registered in the United States. (4) An experimental certificate for research and development, showing compliance with regulations, crew training, or market surveys is effective for 1 year after the date of issue or renewal unless the FAA prescribes a shorter period. The duration of an experimental certificate issued for operating amateur-built aircraft, exhibition, air-racing, operating primary kit-built aircraft, or operating light-sport aircraft is unlimited, unless the FAA establishes a specific period for good cause. (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. <CITA>[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; Amdt. 21-85, 69 FR 44861, July 27, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.182</SECTNO> <SUBJECT>Aircraft identification.</SUBJECT> (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 § 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 not issued for the purpose of operating amateur-built aircraft, operating primary kit-built aircraft, or operating light-sport aircraft. (3) A change from one airworthiness classification to another, for an aircraft already identified as prescribed in § 45.11. <CITA>[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; Amdt. 21-85, 69 FR 44862, July 27, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.183</SECTNO> <SUBJECT>Issue of standard airworthiness certificates for normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; and special classes of aircraft.</SUBJECT> <EXT-XREF HREF="20091016" REFID="58">Link to an amendment published at 74 FR 53389, October 16, 2009.</EXT-XREF> (a) <E T="03">New aircraft manufactured under a production certificate.</E> 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) <E T="03">New aircraft manufactured under type certificate only.</E> An applicant for a standard airworthiness certificate for a <PRTPAGE P="157"/>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 § 21.130 if the Administrator finds after inspection that the aircraft conforms to the type design and is in condition for safe operation. (c) <E T="03">Import aircraft.</E> An applicant for a standard airworthiness certificate for an import aircraft type certificated in accordance with § 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) <E T="03">Used aircraft and surplus aircraft of the U.S. Armed Forces</E>. An applicant for a standard airworthiness certificate for a used aircraft or surplus aircraft of the U.S. Armed Forces 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; (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 § 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 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) <E T="03">Noise requirements.</E> 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 jet (turbojet powered) airplanes that have not had any flight time before the dates specified in § 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 § 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 § 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 § 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 § 137.3 of this chapter, as effective on January 1, 1966) or for dispensing fire fighting materials to which § 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 <PRTPAGE P="158"/>Part 36 of this chapter) and paragraph (c) of this section are complied with. (f) <E T="03">Passenger emergency exit requirements.</E> 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 § 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) <E T="03">Fuel venting and exhaust emission requirements.</E> 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 the airplane complies with the applicable requirements of that part. (h) <E T="03">New aircraft manufactured under the provisions of § 21.6(b)</E>. An applicant for a standard airworthiness certificate for a new aircraft manufactured under the provisions of § 21.6(b) is entitled to a standard airworthiness certificate if— (1) The applicant presents evidence to the FAA that the aircraft conforms to a type design approved under a type certificate or supplemental type certificate and to applicable Airworthiness Directives; (2) The aircraft has been inspected in accordance with the performance rules for a 100-hour inspections set forth in § 43.15 of this chapter and found airworthy by a person specified in paragraph (d)(2) of this section; and (3) The FAA finds after inspection, that the aircraft conforms to the type design, and is in condition for safe operation. <CITA>[Amdt. 21-17, 32 FR 14927, Oct. 28, 1967]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> For <E T="04">Federal Register</E> citations affecting § 21.183, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. </EDNOTE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-29, 74 FR 53389, Oct. 16, 2009, § 21.183 was amended by revising paragraphs (c), (d)(1), (d)(2) introductory text, and (d)(3), effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.183</SECTNO> <SUBJECT>Issue of standard airworthiness certificates for normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; and special classes of aircraft.</SUBJECT> <STARS/> (c) <E T="03">Import aircraft.</E> An applicant for a standard airworthiness certificate for an import aircraft is entitled to that certificate if— (1) The aircraft is type certificated in accordance with § 21.21 or § 21.29 and produced under the authority of another State of Manufacture; (2) The State of Manufacture certifies, in accordance with the export provisions of an agreement with the United States for import of that aircraft, that the aircraft conforms to the type design and is in condition for safe operation; and (3) The FAA finds that the aircraft conforms to the type design and is in condition for safe operation. (d) * * * (1) The applicant presents evidence to the FAA that the aircraft conforms to a type design approved under a type certificate or a supplemental type certificate and to applicable Airworthiness Directives; (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 § 43.15 of this chapter, or an equivalent performance standard acceptable to the FAA, and found airworthy by—<STARS/> (3) The FAA finds after inspection, that the aircraft conforms to the type design, and is in condition for safe operation.<STARS/> </SECTION> <SECTION> <SECTNO>§ 21.184</SECTNO> <SUBJECT>Issue of special airworthiness certificates for primary category aircraft.</SUBJECT> (a) <E T="03">New primary category aircraft manufactured under a production certificate.</E> An applicant for an original, special airworthiness certificate-primary category for a new aircraft that meets the criteria of § 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 <PRTPAGE P="159"/>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) <E T="03">Imported aircraft.</E> An applicant for a special airworthiness certificate-primary category for an imported aircraft type certificated under § 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 § 21.24(a)(1) and is in a condition for safe operation. (c) <E T="03">Aircraft having a current standard airworthiness certificate.</E> An applicant for a special airworthiness certificate-primary category, for an aircraft having a current standard airworthiness certificate that meets the criteria of § 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 § 91.409(a)(1) of this chapter, and is found to be in a condition for safe operation by the Administrator. (d) <E T="03">Other aircraft.</E> An applicant for a special airworthiness certificate-primary category for an aircraft that meets the criteria of § 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 § 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) <E T="03">Multiple-category airworthiness certificates</E> in the primary category and any other category will not be issued; a primary category aircraft may hold only one airworthiness certificate. <CITA>[Doc. No. 23345, 57 FR 41368, Sept. 9, 1992, as amended by Amdt. 21-70, 57 FR 43776, Sept. 22, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.185</SECTNO> <SUBJECT>Issue of airworthiness certificates for restricted category aircraft.</SUBJECT> <EXT-XREF HREF="20091016" REFID="59">Link to an amendment published at 74 FR 53389, October 16, 2009.</EXT-XREF> (a) <E T="03">Aircraft manufactured under a production certificate or type certificate only.</E> 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 § 21.183. (b) <E T="03">Other aircraft.</E> 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 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) <E T="03">Import aircraft.</E> 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 § 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) <E T="03">Noise requirements.</E> For propeller-driven small airplanes (except airplanes designed for “agricultural aircraft operations,” as defined in § 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 <PRTPAGE P="160"/>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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-29, 74 FR 53389, Oct. 16, 2009, § 21.185(c) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.185</SECTNO> <SUBJECT>Issue of airworthiness certificates for restricted category aircraft.</SUBJECT> <STARS/> (c) <E T="03">Import aircraft.</E> An applicant for the original issue of a special airworthiness certificate for a restricted category import aircraft is entitled to that certificate if— (1) The aircraft is type-certificated in accordance with § 21.25 or § 21.29 and produced under the authority of another State of Manufacture; (2) The State of Manufacture certifies, in accordance with the export provisions of an agreement with the United States for import of that aircraft that the aircraft conforms to the type design and is in condition for safe operation; and (3) The FAA finds that the aircraft conforms to the type design and is in condition for safe operation.<STARS/> </SECTION> <SECTION> <SECTNO>§ 21.187</SECTNO> <SUBJECT>Issue of multiple airworthiness certification.</SUBJECT> (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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.189</SECTNO> <SUBJECT>Issue of airworthiness certificate for limited category aircraft.</SUBJECT> (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. <CITA>[Doc. No. 5085, 29 FR 14570, Oct. 24, 1964, as amended by Amdt. 21-4, 30 FR 9437, July 29, 1965]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.190</SECTNO> <SUBJECT>Issue of a special airworthiness certificate for a light-sport category aircraft.</SUBJECT> (a) <E T="03">Purpose.</E> The FAA issues a special airworthiness certificate in the light-sport category to operate a light-sport aircraft, other than a gyroplane.<PRTPAGE P="161"/> (b) <E T="03">Eligibility.</E> To be eligible for a special airworthiness certificate in the light-sport category: (1) An applicant must provide the FAA with— (i) The aircraft's operating instructions; (ii) The aircraft's maintenance and inspection procedures; (iii) The manufacturer's statement of compliance as described in paragraph (c) of this section; and (iv) The aircraft's flight training supplement. (2) The aircraft must not have been previously issued a standard, primary, restricted, limited, or provisional airworthiness certificate, or an equivalent airworthiness certificate issued by a foreign civil aviation authority. (3) The aircraft must be inspected by the FAA and found to be in a condition for safe operation. (c) <E T="03">Manufacturer's statement of compliance for light-sport category aircraft.</E> The manufacturer's statement of compliance required in paragraph (b)(1)(iii) of this section must— (1) Identify the aircraft by make and model, serial number, class, date of manufacture, and consensus standard used; (2) State that the aircraft meets the provisions of the identified consensus standard; (3) State that the aircraft conforms to the manufacturer's design data, using the manufacturer's quality assurance system that meets the identified consensus standard; (4) State that the manufacturer will make available to any interested person the following documents that meet the identified consensus standard: (i) The aircraft's operating instructions. (ii) The aircraft's maintenance and inspection procedures. (iii) The aircraft's flight training supplement. (5) State that the manufacturer will monitor and correct safety-of-flight issues through the issuance of safety directives and a continued airworthiness system that meets the identified consensus standard; (6) State that at the request of the FAA, the manufacturer will provide unrestricted access to its facilities; and (7) State that the manufacturer, in accordance with a production acceptance test procedure that meets an applicable consensus standard has— (i) Ground and flight tested the aircraft; (ii) Found the aircraft performance acceptable; and (iii) Determined that the aircraft is in a condition for safe operation. (d) <E T="03">Light-sport aircraft manufactured outside the United States.</E> For aircraft manufactured outside of the United States to be eligible for a special airworthiness certificate in the light-sport category, an applicant must meet the requirements of paragraph (b) of this section and provide to the FAA evidence that— (1) The aircraft was manufactured in a country with which the United States has a Bilateral Airworthiness Agreement concerning airplanes or Bilateral Aviation Safety Agreement with associated Implementation Procedures for Airworthiness concerning airplanes, or an equivalent airworthiness agreement; and (2) The aircraft is eligible for an airworthiness certificate, flight authorization, or other similar certification in its country of manufacture. <CITA>[Amdt. 21-85, 69 FR 44862, July 27, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.191</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> Experimental certificates are issued for the following purposes: (a) <E T="03">Research and development.</E> Testing new aircraft design concepts, new aircraft equipment, new aircraft installations, new aircraft operating techniques, or new uses for aircraft. (b) <E T="03">Showing compliance with regulations.</E> 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) <E T="03">Crew training.</E> Training of the applicant's flight crews. (d) <E T="03">Exhibition.</E> Exhibiting the aircraft's flight capabilities, performance, or unusual characteristics at air shows, motion picture, television, and similar <PRTPAGE P="162"/>productions, and the maintenance of exhibition flight proficiency, including (for persons exhibiting aircraft) flying to and from such air shows and productions. (e) <E T="03">Air racing.</E> Participating in air races, including (for such participants) practicing for such air races and flying to and from racing events. (f) <E T="03">Market surveys.</E> Use of aircraft for purposes of conducting market surveys, sales demonstrations, and customer crew training only as provided in § 21.195. (g) <E T="03">Operating amateur-built aircraft.</E> 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) <E T="03">Operating primary kit-built aircraft.</E> Operating a primary category aircraft that meets the criteria of § 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 § 21.184(a). (i) <E T="03">Operating light-sport aircraft.</E> Operating a light-sport aircraft that— (1) Has not been issued a U.S. or foreign airworthiness certificate and does not meet the provisions of § 103.1 of this chapter. An experimental certificate will not be issued under this paragraph for these aircraft after January 31, 2008; (2) Has been assembled— (i) From an aircraft kit for which the applicant can provide the information required by § 21.193(e); and (ii) In accordance with manufacturer's assembly instructions that meet an applicable consensus standard; or (3) Has been previously issued a special airworthiness certificate in the light-sport category under § 21.190. <CITA>[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; Amdt. 21-85, 69 FR 44862, July 27, 2004; Amdt. 21-85, 69 FR 53336, Sept. 1, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.193</SECTNO> <SUBJECT>Experimental certificates: general.</SUBJECT> 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. (e) In the case of a light-sport aircraft assembled from a kit to be certificated in accordance with § 21.191(i)(2), an applicant must provide the following: (1) Evidence that an aircraft of the same make and model was manufactured and assembled by the aircraft kit manufacturer and issued a special airworthiness certificate in the light-sport category. (2) The aircraft's operating instructions. (3) The aircraft's maintenance and inspection procedures. (4) The manufacturer's statement of compliance for the aircraft kit used in the aircraft assembly that meets § 21.190(c), except that instead of meeting § 21.190(c)(7), the statement must identify assembly instructions for the aircraft that meet an applicable consensus standard. (5) The aircraft's flight training supplement. (6) In addition to paragraphs (e)(1) through (e)(5) of this section, for an aircraft kit manufactured outside of the United States, evidence that the aircraft kit was manufactured in a country with which the United States has a Bilateral Airworthiness Agreement concerning airplanes or a Bilateral Aviation Safety Agreement with associated Implementation Procedures for Airworthiness concerning airplanes, <PRTPAGE P="163"/>or an equivalent airworthiness agreement. <CITA>[Docket No. 5085, 29 FR 14569, Oct. 24, 1964, as amended by Amdt. 21-85, 69 FR 44862, July 27, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.195</SECTNO> <SUBJECT>Experimental certificates: Aircraft to be used for market surveys, sales demonstrations, and customer crew training.</SUBJECT> <EXT-XREF HREF="20091016" REFID="60">Link to an amendment published at 74 FR 53389, October 16, 2009.</EXT-XREF> (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 § 21.193— (1) He has established an inspection and maintenance program for the continued airworthiness of the aircraft; and (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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-29, 74 FR 53389, Oct. 16, 2009, § 21.195(d)(2) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.195</SECTNO> <SUBJECT>Experimental certificates: Aircraft to be used for market surveys, sales demonstrations, and customer crew training.</SUBJECT> <STARS/> (d) * * * (2) The applicant 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. The FAA may reduce these operational requirements if the applicant provides adequate justification. </SECTION> <SECTION> <SECTNO>§ 21.197</SECTNO> <SUBJECT>Special flight permits.</SUBJECT> (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 § 119.51 or § 91.1017 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. <PRTPAGE P="164"/>The permit issued under this paragraph may be issued to— (1) Certificate holders authorized to conduct operations under Part 121 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 § 135.411 (a)(2) or (b) of that part. <FP>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.</FP> (3) Management specification holders authorized to conduct operations under part 91, subpart K, for those aircraft they operate and maintain under a continuous airworthiness maintenance program prescribed by § 91.1411 of this part. <CITA>[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; Amdt. 21-79, 66 FR 21066, Apr. 27, 2001; Amdt. 21-84, 68 FR 54559, Sept. 17, 2003; Amdt. 21-87, 71 FR 536, Jan. 4, 2006]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-29, 74 FR 53389, Oct. 16, 2009, § 21.197(c) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.197</SECTNO> <SUBJECT>Special flight permits.</SUBJECT> <STARS/> (c) Upon application, as prescribed in §§ 91.1017 or 119.51 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 119 of this chapter, that have an approved program for continuing flight authorization; or (2) Management specification holders authorized to conduct operations under part 91, subpart K of this chapter for those aircraft they operate and maintain under a continuous airworthiness maintenance program prescribed by § 91.1411 of this chapter. </SECTION> <SECTION> <SECTNO>§ 21.199</SECTNO> <SUBJECT>Issue of special flight permits.</SUBJECT> (a) Except as provided in § 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. <CITA>[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]</CITA> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart I—Provisional Airworthiness Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14571, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.211</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the issue of provisional airworthiness certificates. </SECTION> <SECTION> <SECTNO>§ 21.213</SECTNO> <SUBJECT>Eligibility.</SUBJECT> (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 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.<PRTPAGE P="165"/> (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. <CITA>[Doc. No. 5085, 29 FR 14571, Oct. 24, 1964, as amended by Amdt. 21-59, 52 FR 1836, Jan. 15, 1987; Amdt. 21-79, 66 FR 21066, Apr. 27, 2001]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.215</SECTNO> <SUBJECT>Application.</SUBJECT> 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. <CITA>[Amdt. 21-67, 54 FR 39291, Sept. 25, 1989; 54 FR 52872, Dec. 22, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.217</SECTNO> <SUBJECT>Duration.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.219</SECTNO> <SUBJECT>Transferability.</SUBJECT> 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 § 21.213(b). </SECTION> <SECTION> <SECTNO>§ 21.221</SECTNO> <SUBJECT>Class I provisional airworthiness certificates.</SUBJECT> (a) Except as provided in § 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 § 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 §§ 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 §§ 21.81(e) and 91.317. <CITA>[Doc. No. 5085, 29 FR 14571, Oct. 24, 1964, as amended by Amdt. 21-66, 54 FR 34329, Aug. 18, 1989]s</CITA> </SECTION> <SECTION> <SECTNO>§ 21.223</SECTNO> <SUBJECT>Class II provisional airworthiness certificates.</SUBJECT> <EXT-XREF HREF="20091016" REFID="62">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> (a) Except as provided in § 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 § 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 §§ 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.<PRTPAGE P="166"/> (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 §§ 21.83(h), 91.317, and 121.207 of this chapter. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.223 was amended by removing the word “control” from paragraph (c), effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.225</SECTNO> <SUBJECT>Provisional airworthiness certificates corresponding with provisional amendments to type certificates.</SUBJECT> (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 § 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 §§ 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 §§ 21.85(g), 91.317, and 121.207 of this chapter. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.225 was amended by removing the word “control” from paragraph (b), effective Apr. 14, 2010. </EFFDNOTP> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart J—Delegation Option Authorization Procedures</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.231</SECTNO> <SUBJECT>Applicability.</SUBJECT> <EXT-XREF HREF="20091016" REFID="64">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> 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. <CITA>[Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, as amended by Amdt. 21-59, 52 FR 1836, Jan. 15, 1987]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.231(a)(6) was amended by removing the words “paragraph (a)(4)” and adding in their place the words “paragraph (a)(5)”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.235</SECTNO> <SUBJECT>Application.</SUBJECT> (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) An application must include the names, signatures, and titles of the persons for whom authorization to sign <PRTPAGE P="167"/>airworthiness certificates, repair and alterations forms, and inspection forms is requested. (c) After November 14, 2006, the Administrator will no longer accept applications for a Delegation Option Authorization. (d) After November 14, 2009, no person may perform any function contained in a Delegation Option Authorization issued under this subpart. <CITA>[Amdt. No. 21-86, 70 FR 59946, Oct. 13, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.239</SECTNO> <SUBJECT>Eligibility.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.243</SECTNO> <SUBJECT>Duration.</SUBJECT> A delegation option authorization is effective until it is surrendered or the Administrator suspends, revokes, or otherwise terminates it. </SECTION> <SECTION> <SECTNO>§ 21.245</SECTNO> <SUBJECT>Maintenance of eligibility.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.247</SECTNO> <SUBJECT>Transferability.</SUBJECT> A delegation option authorization is not transferable. </SECTION> <SECTION> <SECTNO>§ 21.249</SECTNO> <SUBJECT>Inspections.</SUBJECT> Upon request, each holder of a delegation option authorization and each applicant shall let the Administrator inspect his organization, facilities, product, and records. </SECTION> <SECTION> <SECTNO>§ 21.251</SECTNO> <SUBJECT>Limits of applicability.</SUBJECT> <EXT-XREF HREF="20091016" REFID="65">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> (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 § 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 <PRTPAGE P="168"/>after inspection of the applicant's facilities or review of the staff qualifications. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, in § 21.251 paragraphs (b)(4)(iii) and (b)(4)(iv) were amended by removing the words “(FAA Form 8130-3)” in both paragraphs; and removing the words “Airworthiness approval tags” and adding in their place the words “Airworthiness approvals” in both paragraphs, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.253</SECTNO> <SUBJECT>Type certificates: application.</SUBJECT> <EXT-XREF HREF="20091016" REFID="66">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> (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 § 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. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.253 was amended by removing the words “(FAA Form 312)” from paragraph (a)(1), effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.257</SECTNO> <SUBJECT>Type certificates: issue.</SUBJECT> 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). <CITA>[Amdt. 21-68, 55 FR 32860, Aug. 10, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.261</SECTNO> <SUBJECT>Equivalent safety provisions.</SUBJECT> The manufacturer shall obtain the Administrator's concurrence on the application of all equivalent safety provisions applied under § 21.21. </SECTION> <SECTION> <SECTNO>§ 21.267</SECTNO> <SUBJECT>Production certificates.</SUBJECT> <EXT-XREF HREF="20091016" REFID="67">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> 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 § 21.143 with the data required by § 21.293(a)(1)(ii), a statement certifying that this has been done. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.267(d) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.267</SECTNO> <SUBJECT>Production certificates.</SUBJECT> <STARS/> (d) After placing the manufacturing and quality system data required by § 21.137 with the data required by § 21.293(a)(1)(ii), a statement certifying that this has been done. </SECTION> <SECTION> <SECTNO>§ 21.269</SECTNO> <SUBJECT>Export airworthiness approvals.</SUBJECT> The manufacturer may issue export airworthiness approvals. </SECTION> <SECTION> <SECTNO>§ 21.271</SECTNO> <SUBJECT>Airworthiness approval tags.</SUBJECT> <EXT-XREF HREF="20091016" REFID="68">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> (a) A manufacturer may issue an airworthiness approval tag (FAA Form 8130-3) for each engine and propeller covered by § 21.251(b)(4), and may issue an airworthiness approval tag for parts <PRTPAGE P="169"/>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. <CITA>[Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, as amended by Amdt. 21-43, 40 FR 2577, Jan. 14, 1975]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.271(a) was amended by removing the words “(FAA Form 8130-3)”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.273</SECTNO> <SUBJECT>Airworthiness certificates other than experimental.</SUBJECT> (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 (2) Is listed on the manufacturer's application for the delegation option authorization, or on amendments thereof. <CITA>[Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, as amended by Amdt. 21-18, 32 FR 15472, Nov. 7, 1967]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.275</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.277</SECTNO> <SUBJECT>Data review and service experience.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.289</SECTNO> <SUBJECT>Major repairs, rebuilding and alteration.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.293</SECTNO> <SUBJECT>Current records.</SUBJECT> <EXT-XREF HREF="20091016" REFID="69">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> (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 <PRTPAGE P="170"/>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. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.293(a)(2) introductory text was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.293</SECTNO> <SUBJECT>Current records.</SUBJECT> (a) * * * (2) For 5 years—<STARS/> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart K—Approval of Materials, Parts, Processes, and Appliances</HD> <EXT-XREF HREF="20091016" REFID="70">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14574, Oct. 24, 1964, unless otherwise noted. </SOURCE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53390, Oct. 16, 2009, subpart K of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the new subpart K follows the text of this subpart. </EFFDNOTP> <SECTION> <SECTNO>§ 21.301</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the approval of certain materials, parts, processes, and appliances. </SECTION> <SECTION> <SECTNO>§ 21.303</SECTNO> <SUBJECT>Replacement and modification parts.</SUBJECT> (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—<PRTPAGE P="171"/> (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. (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 <PRTPAGE P="172"/>design data and is safe for installation on type certificated products. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.305</SECTNO> <SUBJECT>Approval of materials, parts, processes, and appliances.</SUBJECT> 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 § 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. <CITA>[Amdt. 21-38, 37 FR 10659, May 26, 1972, as amended by Amdt. 21-50, 45 FR 38346, June 9, 1980]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53390, Oct. 16, 2009, subpart K of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SUBPART> <HD SOURCE="HED">Subpart K—Parts Manufacturer Approvals</HD> <SECTION> <SECTNO>§ 21.301</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes— (a) Procedural requirements for issuing PMAs; and (b) Rules governing holders of PMAs. </SECTION> <SECTION> <SECTNO>§ 21.303</SECTNO> <SUBJECT>Application.</SUBJECT> (a) The applicant for a PMA must apply in a form and manner prescribed by the FAA, and include the following: (1) The identity of the product on which the article is to be installed. (2) The name and address of the manufacturing facilities at which these articles are to be manufactured. (3) The design of the article, which consists of— (i) Drawings and specifications necessary to show the configuration of the article; and (ii) Information on dimensions, materials, and processes necessary to define the structural strength of the article. (4) Test reports and computations necessary to show that the design of the article meets the airworthiness requirements of this subchapter. The test reports and computations must be applicable to the product on which the article is to be installed, unless the applicant shows that the design of the article is identical to the design of a article that is covered under a type certificate. If the design of the article was obtained by a licensing agreement, the applicant must provide evidence of that agreement. (5) An applicant for a PMA based on test reports and computations must provide a statement certifying that the applicant has complied with the airworthiness requirements of this subchapter. (b) Each applicant for a PMA 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 article conforms to its approved design; and (4) That the manufacturing processes, construction, and assembly conform to those specified in the design. </SECTION> <SECTION> <SECTNO>§ 21.305</SECTNO> <SUBJECT>Organization.</SUBJECT> Each applicant for or holder of a PMA must provide the FAA with a document describing how its organization will ensure compliance with the provisions of this subpart. At a minimum, the document must describe assigned responsibilities and delegated authority, and the functional relationship of those responsible for quality to management and other organizational components. </SECTION> <SECTION> <SECTNO>§ 21.307</SECTNO> <SUBJECT>Quality system.</SUBJECT> Each applicant for or holder of a PMA must establish a quality system that meets the requirements of § 21.137. </SECTION> <SECTION> <PRTPAGE P="173"/> <SECTNO>§ 21.308</SECTNO> <SUBJECT>Quality manual.</SUBJECT> Each applicant for or holder of a PMA must provide a manual describing its quality system to the FAA for approval. The manual must be in the English language and retrievable in a form acceptable to the FAA. </SECTION> <SECTION> <SECTNO>§ 21.309</SECTNO> <SUBJECT>Location of or change to manufacturing facilities.</SUBJECT> (a) An applicant may obtain a PMA for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter. (b) The PMA holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities. (c) The PMA holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its PMA article. </SECTION> <SECTION> <SECTNO>§ 21.310</SECTNO> <SUBJECT>Inspections and tests.</SUBJECT> (a) Each applicant for or holder of a PMA must allow the FAA to inspect its quality system, facilities, technical data, and any manufactured articles and witness any tests, including any inspections or tests at a supplier facility, necessary to determine compliance with this subchapter. (b) Unless otherwise authorized by the FAA, the applicant or holder— (1) May not present any article to the FAA for an inspection or test unless compliance with § 21.303(b)(2) through (4) has been shown for that article; and (2) May not make any change to an article between the time that compliance with § 21.303(b)(2) through (4) is shown for that article and the time that the article is presented to the FAA for the inspection or test. </SECTION> <SECTION> <SECTNO>§ 21.311</SECTNO> <SUBJECT>Issuance.</SUBJECT> The FAA issues a PMA after finding that the applicant complies with the requirements of this subpart and the design complies with the requirements of this chapter applicable to the product on which the article is to be installed. </SECTION> <SECTION> <SECTNO>§ 21.313</SECTNO> <SUBJECT>Duration.</SUBJECT> A PMA is effective until surrendered, withdrawn, or the FAA otherwise terminates it. </SECTION> <SECTION> <SECTNO>§ 21.314</SECTNO> <SUBJECT>Transferability.</SUBJECT> The holder of a PMA may not transfer the PMA. </SECTION> <SECTION> <SECTNO>§ 21.316</SECTNO> <SUBJECT>Responsibility of holder.</SUBJECT> Each holder of a PMA must— (a) Amend the document required by § 21.305 as necessary to reflect changes in the organization and provide these amendments to the FAA; (b) Maintain the quality system in compliance with the data and procedures approved for the PMA; (c) Ensure that each PMA article conforms to its approved design and is in a condition for safe operation; (d) Mark the PMA article for which an approval has been issued. Marking must be in accordance with part 45 of this chapter, including any critical parts; (e) Identify any portion of the PMA article (<E T="03">e.g.,</E> sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA approved manufacturer's identification; (f) Have access to design data necessary to determine conformity and airworthiness for each article produced under the PMA; (g) Retain each document granting PMA and make it available to the FAA upon request; and (h) Make available to the FAA information regarding all delegation of authority to suppliers. </SECTION> <SECTION> <SECTNO>§ 21.319</SECTNO> <SUBJECT>Design changes.</SUBJECT> <EAR>Pt. 21, Subpt. K, Nt.</EAR> (a) <E T="03">Classification of design changes.</E> (1) A “minor change” to the design of an article produced under a PMA is one that has no appreciable effect on the approval basis. (2) A “major change” to the design of an article produced under a PMA is any change that is not minor. (b) <E T="03">Approval of design changes.</E> (1) Minor changes to the basic design of a PMA may be approved using a method acceptable to the FAA.<PRTPAGE P="174"/> (2) The PMA holder must obtain FAA approval of any major change before including it in the design of an article produced under a PMA. </SECTION> <SECTION> <SECTNO>§ 21.320</SECTNO> <SUBJECT>Changes in quality system.</SUBJECT> After the issuance of a PMA— (a) Each change to the quality system is subject to review by the FAA; and (b) The holder of the PMA must immediately notify the FAA, in writing, of any change that may affect the inspection, conformity, or airworthiness of its article. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart L—Export Airworthiness Approvals</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Amdt. 21-2, 30 FR 8465, July 2, 1965, unless otherwise noted. </SOURCE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53391, Oct. 16, 2009, subpart L of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the new subpart L follows the text of this subpart. </EFFDNOTP> <SECTION> <SECTNO>§ 21.321</SECTNO> <SUBJECT>Applicability.</SUBJECT> (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 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. <CITA>[Amdt. 21-2, 30 FR 11375, July 2, 1965, as amended by Amdt. 21-48, 44 FR 15649, Mar. 15, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.323</SECTNO> <SUBJECT>Eligibility.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.325</SECTNO> <SUBJECT>Export airworthiness approvals.</SUBJECT> (a) <E T="03">Kinds of approvals.</E> (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) <E T="03">Products which may be approved.</E> 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 <PRTPAGE P="175"/>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 § 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. (4) Class II and III products located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter. (c) <E T="03">Export airworthiness approval exceptions.</E> If the export airworthiness approval is issued on the basis of a written statement by the importing state as provided for in § 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, are listed on the export airworthiness approval as exceptions. <CITA>[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; Amdt. 21-91, 72 FR 63800, Nov. 13, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.327</SECTNO> <SUBJECT>Application.</SUBJECT> (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 §§ 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.<PRTPAGE P="176"/> (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 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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.329</SECTNO> <SUBJECT>Issue of export certificates of airworthiness for Class I products.</SUBJECT> 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 § 21.183, or meet the airworthiness certification requirements for a “restricted” airworthiness certificate under § 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 <PRTPAGE P="177"/>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 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 § 21.327(e)(4) of this part. <CITA>[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; Amdt. 21-79, 66 FR 21066, Apr. 27, 2001]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.331</SECTNO> <SUBJECT>Issue of airworthiness approval tags for Class II products.</SUBJECT> (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 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 § 21.327(e)(4) of this part. <CITA>[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-48, 44 FR 15650, Mar. 15, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.333</SECTNO> <SUBJECT>Issue of export airworthiness approval tags for Class III products.</SUBJECT> (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 § 21.327(e)(4) of this part. <CITA>[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-48, 44 FR 15650, Mar. 15, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.335</SECTNO> <SUBJECT>Responsibilities of exporters.</SUBJECT> 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 <PRTPAGE P="178"/>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 § 45.33. <CITA>[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-48, 44 FR 15650, Mar. 15, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.337</SECTNO> <SUBJECT>Performance of inspections and overhauls.</SUBJECT> 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 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 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. <CITA>[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-8, 31 FR 2421, Feb. 5, 1966; Amdt. 21-79, 66 FR 21066, Apr. 27, 2001]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.339</SECTNO> <SUBJECT>Special export airworthiness approval for aircraft.</SUBJECT> 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 § 21.185; (b) The owner files an application as required by § 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. <CITA>[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]</CITA> <EAR>Pt. 21, Subpt. L, Nt.</EAR> </SECTION> <HD SOURCE="HED"/> <EFFDNOTP> <PRTPAGE P="179"/> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53391, Oct. 16, 2009, subpart L of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SUBPART> <HD SOURCE="HED">Subpart L—Export Airworthiness Approvals</HD> <SECTION> <SECTNO>§ 21.321</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes— (a) Procedural requirements for issuing export airworthiness approvals; and (b) Rules governing the holders of those approvals. </SECTION> <SECTION> <SECTNO>§ 21.325</SECTNO> <SUBJECT>Export airworthiness approvals.</SUBJECT> (a) An export airworthiness approval for an aircraft is issued in the form of an export certificate of airworthiness. This certificate does not authorize operation of that aircraft. (b) The FAA prescribes the form and manner in which an export airworthiness approval for an aircraft engine, propeller, or article is issued. (c) If the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter, an export airworthiness approval may be issued for a product or article located outside of the United States. </SECTION> <SECTION> <SECTNO>§ 21.327</SECTNO> <SUBJECT>Application.</SUBJECT> Any person may apply for an export airworthiness approval. Each applicant must apply in a form and manner prescribed by the FAA. </SECTION> <SECTION> <SECTNO>§ 21.329</SECTNO> <SUBJECT>Issuance of export certificates of airworthiness.</SUBJECT> (a) A person may obtain from the FAA an export certificate of airworthiness for an aircraft if— (1) A new or used aircraft manufactured under subpart F or G of this part meets the airworthiness requirements under subpart H of this part for a— (i) Standard airworthiness certificate; or (ii) Special airworthiness certificate in either the “primary” or the “restricted” category; or (2) A new or used aircraft not manufactured under subpart F or G of this part has a valid— (i) Standard airworthiness certificate; or (ii) Special airworthiness certificate in either the “primary” or the “restricted” category. (b) An aircraft need not meet a requirement specified in paragraph (a) of this section, as applicable, if— (1) The importing country or jurisdiction accepts, in a form and manner acceptable to the FAA, a deviation from that requirement; and (2) The export certificate of airworthiness lists as an exception any difference between the aircraft to be exported and its type design. </SECTION> <SECTION> <SECTNO>§ 21.331</SECTNO> <SUBJECT>Issuance of export airworthiness approvals for aircraft engines, propellers, and articles.</SUBJECT> (a) A person may obtain from the FAA an export airworthiness approval to export a new aircraft engine, propeller, or article that is manufactured under this part if it conforms to its approved design and is in a condition for safe operation. (b) A new aircraft engine, propeller, or article need not meet a requirement of paragraph (a) of this section if— (1) The importing country or jurisdiction accepts, in a form and manner acceptable to the FAA, a deviation from that requirement; and (2) The export airworthiness approval lists as an exception any difference between the aircraft engine, propeller, or article to be exported and its approved design. (c) A person may obtain from the FAA an export airworthiness approval to export a used aircraft engine, propeller, or article if it conforms to its approved design and is in a condition for safe operation. (d) A used aircraft engine or propeller need not meet a requirement of paragraph (c) of this section if— (1) The importing country or jurisdiction accepts, in a form and manner acceptable to the FAA, a deviation from that requirement; and (2) The export airworthiness approval lists as an exception any difference between the used aircraft engine or propeller to be exported and its approved design. </SECTION> <SECTION> <SECTNO>§ 21.335</SECTNO> <SUBJECT>Responsibilities of exporters.</SUBJECT> Unless otherwise agreed to by the importing country or jurisdiction, each exporter must— (a) Forward to the importing country or jurisdiction all documents specified by that country or jurisdiction; (b) Preserve and package products and articles as necessary to protect them against corrosion and damage during transit or storage and state the duration of effectiveness of such preservation and packaging; (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 or jurisdictions 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 from the FAA, giving the date of transfer of title, <PRTPAGE P="180"/>and the name and address of the foreign owner; (2) Return the Registration and Airworthiness Certificates to the FAA; and (3) Provide a statement to the FAA certifying that the U.S. identification and registration numbers have been removed from the aircraft in compliance with § 45.33. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart M—Designated Alteration Station Authorization Procedures</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Amdt. 21-6, 30 FR 11379, Sept. 8, 1965; 30 FR 11849, Sept. 16, 1965, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.431</SECTNO> <SUBJECT>Applicability.</SUBJECT> (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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.435</SECTNO> <SUBJECT>Application.</SUBJECT> (a) An applicant for a Designated Alteration Station 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: (1) The repair station certificate number held by the repair station applicant, and the current ratings covered by the certificate; (2) The air carrier or commercial operator operating certificate number held by the air carrier or commercial operator applicant, and the products it may operate and maintain under the certificate; (3) A statement by the manufacturer applicant of the products for which he holds the type certificate; (4) 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 (5) A description of the applicant's facilities, and of the staff with which compliance with § 21.439(a)(4) is to be shown. (b) After November 14, 2006, the Administrator will no longer accept applications for a Designated Alteration Station authorization. (c) After November 14, 2009, no person may perform any function contained in a Designated Alteration Station authorization issued under this subpart. <CITA>[Amdt. No. 21-86, 70 FR 59946, Oct. 13, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.439</SECTNO> <SUBJECT>Eligibility.</SUBJECT> (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 § 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).<PRTPAGE P="181"/> (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. </SECTION> <SECTION> <SECTNO>§ 21.441</SECTNO> <SUBJECT>Procedure manual.</SUBJECT> (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 § 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 § 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. </SECTION> <SECTION> <SECTNO>§ 21.443</SECTNO> <SUBJECT>Duration.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.445</SECTNO> <SUBJECT>Maintenance of eligibility.</SUBJECT> 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 could affect the ability of the DAS to meet those requirements. </SECTION> <SECTION> <SECTNO>§ 21.447</SECTNO> <SUBJECT>Transferability.</SUBJECT> A DAS authorization is not transferable. </SECTION> <SECTION> <SECTNO>§ 21.449</SECTNO> <SUBJECT>Inspections.</SUBJECT> Upon request, each DAS and each applicant shall let the Administrator inspect his facilities, products, and records. </SECTION> <SECTION> <SECTNO>§ 21.451</SECTNO> <SUBJECT>Limits of applicability.</SUBJECT> (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 § 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 <PRTPAGE P="182"/>this chapter until the Administrator finds that those requirements are met. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.461</SECTNO> <SUBJECT>Equivalent safety provisions.</SUBJECT> The DAS shall obtain the Administrator's concurrence on the application of all equivalent safety provisions applied under § 21.21. </SECTION> <SECTION> <SECTNO>§ 21.463</SECTNO> <SUBJECT>Supplemental type certificates.</SUBJECT> (a) For each supplemental type certificate issued under this subpart, the DAS shall follow the procedure manual prescribed in § 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. </SECTION> <SECTION> <SECTNO>§ 21.473</SECTNO> <SUBJECT>Airworthiness certificates other than experimental.</SUBJECT> For each amendment made to a standard airworthiness certificate under this subpart, the DAS shall follow the procedure manual prescribed in § 21.441 and shall, before making that amendment— (a) Complete each flight test necessary to meet the applicable airworthiness requirements of this chapter; (b) Find that each applicable airworthiness requirement of this chapter is met; and (c) Find that the aircraft is in condition for safe operation. </SECTION> <SECTION> <SECTNO>§ 21.475</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> The DAS shall, before issuing an experimental certificate, obtain from the Administrator any limitations and conditions that the Administrator considers necessary for safety. </SECTION> <SECTION> <SECTNO>§ 21.477</SECTNO> <SUBJECT>Data review and service experience.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.493</SECTNO> <SUBJECT>Current records.</SUBJECT> (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<PRTPAGE P="183"/> (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart N—Approval of Engines, Propellers, Materials, Parts, and Appliances: Import</HD> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53392, Oct. 16, 2009, subpart N of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the new subpart N follows the text of this subpart. </EFFDNOTP> <SECTION> <SECTNO>§ 21.500</SECTNO> <SUBJECT>Approval of engines and propellers.</SUBJECT> 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. <CITA>[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.502</SECTNO> <SUBJECT>Approval of materials, parts, and appliances.</SUBJECT> (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 any technical data respecting that material, part, or appliance. <CITA>[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]</CITA> <EAR>Pt. 21, Subpt. N, Nt.</EAR> </SECTION> <HD SOURCE="HED"/> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53392, Oct. 16, 2009, subpart N of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SUBPART> <HD SOURCE="HED">Subpart N—Acceptance of Aircraft Engines, Propellers, and Articles for Import</HD> <SECTION> <SECTNO>§ 21.500</SECTNO> <SUBJECT>Acceptance of aircraft engines and propellers.</SUBJECT> An aircraft engine or propeller manufactured in a foreign country or jurisdiction meets the requirements for acceptance under this subchapter if— (a) That country or jurisdiction is subject to the provisions of an agreement with the United States for the acceptance of that product; (b) That product is marked in accordance with part 45 of this chapter; and (c) The holder or licensee of a U.S. type certificate for that product furnishes with each such aircraft engine or propeller imported into the United States, an export airworthiness approval issued in accordance with the provisions of that agreement certifying that the individual aircraft engine or propeller— (1) Conforms to its U.S. type certificate and is in condition for safe operation; and (2) Has been subjected by the manufacturer to a final operational check. </SECTION> <SECTION> <SECTNO>§ 21.502</SECTNO> <SUBJECT>Acceptance of articles.</SUBJECT> An article (including an article produced under a letter of TSO design approval) manufactured in a foreign country or jurisdiction meets the requirements for acceptance under this subchapter if— (a) That country or jurisdiction is subject to the provisions of an agreement with the United States for the acceptance of that article;<PRTPAGE P="184"/> (b) That article is marked in accordance with part 45 of this chapter; and (c) An export airworthiness approval has been issued in accordance with the provisions of that agreement for that article for import into the United States. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart O—Technical Standard Order Authorizations</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 19589, 45 FR 38346, June 9, 1980, unless otherwise noted. </SOURCE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53392, Oct. 16, 2009, subpart O of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the new subpart O follows the text of this subpart. </EFFDNOTP> <SECTION> <SECTNO>§ 21.601</SECTNO> <SUBJECT>Applicability.</SUBJECT> (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 § 21.617. (4) An article manufactured under a TSO authorization, an FAA letter of acceptance as described in § 21.603(b), or an appliance manufactured under a letter of TSO design approval described in § 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. </SECTION> <SECTION> <SECTNO>§ 21.603</SECTNO> <SUBJECT>TSO marking and privileges.</SUBJECT> (a) Except as provided in paragraph (b) of this section and § 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 §§ 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. </SECTION> <SECTION> <SECTNO>§ 21.605</SECTNO> <SUBJECT>Application and issue.</SUBJECT> (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.<PRTPAGE P="185"/> (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 § 21.143. In complying with this section, the applicant may refer to current quality control data filed with the FAA as part of a previous TSO authorization application. (b) When a series of minor changes in accordance with § 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. <CITA>[Doc. No. 19589, 45 FR 38346, June 9, 1980, as amended by Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.607</SECTNO> <SUBJECT>General rules governing holders of TSO authorizations.</SUBJECT> 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 § 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. </SECTION> <SECTION> <SECTNO>§ 21.609</SECTNO> <SUBJECT>Approval for deviation.</SUBJECT> (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. <CITA>[Doc. No. 19589, 45 FR 38346, June 9, 1980, as amended by Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.611</SECTNO> <SUBJECT>Design changes.</SUBJECT> (a) <E T="03">Minor changes by the manufacturer holding a TSO authorization.</E> 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 § 21.605(b).<PRTPAGE P="186"/> (b) <E T="03">Major changes by manufacturer holding a TSO authorization.</E> 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 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 § 21.605. (c) <E T="03">Changes by person other than manufacturer.</E> 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 § 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. <CITA>[Doc. No. 19589, 45 FR 38346, June 9, 1980, as amended by Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.613</SECTNO> <SUBJECT>Recordkeeping requirements.</SUBJECT> (a) <E T="03">Keeping the records.</E> 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) <E T="03">Retention of records.</E> 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. </SECTION> <SECTION> <SECTNO>§ 21.615</SECTNO> <SUBJECT>FAA inspection.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.617</SECTNO> <SUBJECT>Issue of letters of TSO design approval: import appliances.</SUBJECT> (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 § 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 § 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 § 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 § 21.502(a), the manufacturer shall be authorized to identify the appliance with the TSO marking requirements described in § 21.607(d) and in the applicable TSO. Each appliance must be accompanied by a Certificate of Airworthiness for Export as specified in § 21.502(a) issued by the country of manufacture. </SECTION> <SECTION> <SECTNO>§ 21.619</SECTNO> <SUBJECT>Noncompliance.</SUBJECT> The Administrator may, upon notice, withdraw the TSO authorization or letter of TSO design approval of any manufacturer who identifies with a TSO <PRTPAGE P="187"/>marking an article not meeting the performance standards of the applicable TSO. </SECTION> <SECTION> <SECTNO>§ 21.621</SECTNO> <SUBJECT>Transferability and duration.</SUBJECT> 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. <EAR>Pt. 21, Subpt. O, Nt.</EAR> </SECTION> <HD SOURCE="HED"/> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53392, Oct. 16, 2009, subpart O of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SUBPART> <HD SOURCE="HED">Subpart O—Technical Standard Order Approvals</HD> <SECTION> <SECTNO>§ 21.601</SECTNO> <SUBJECT>Applicability and definitions.</SUBJECT> (a) This subpart prescribes— (1) Procedural requirements for issuing TSO authorizations; (2) Rules governing the holders of TSO authorizations; and (3) Procedural requirements for issuing letters of TSO design approval. (b) For the purposes of this subpart— (1) A TSO issued by the FAA is a minimum performance standard for specified articles used on civil aircraft; (2) A TSO authorization is an FAA design and production approval issued to the manufacturer of an article that has been found to meet a specific TSO; (3) A letter of TSO design approval is an FAA design approval for an article that has been found to meet a specific TSO in accordance with the procedures of § 21.621; (4) An article manufactured under a TSO authorization, an FAA letter of acceptance as described in § 21.613(b), or an article manufactured under a letter of TSO design approval described in § 21.621 is an approved article for the purpose of meeting the regulations of this chapter that require the article to be approved; and (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 any related parts, processes, or services procured from an outside source. </SECTION> <SECTION> <SECTNO>§ 21.603</SECTNO> <SUBJECT>Application.</SUBJECT> (a) An applicant for a TSO authorization must apply to the appropriate aircraft certification office in the form and manner prescribed by the FAA. The applicant must include the following documents in the application: (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. (b) If the applicant anticipates a series of minor changes in accordance with § 21.619, 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) If the application is deficient, the applicant must, when requested by the FAA, provide any additional information necessary to show compliance with this part. If the applicant fails to provide the additional information within 30 days after the FAA's request, the FAA denies the application and notifies the applicant. </SECTION> <SECTION> <SECTNO>§ 21.605</SECTNO> <SUBJECT>Organization.</SUBJECT> Each applicant for or holder of a TSO authorization must provide the FAA with a document describing how the applicant's organization will ensure compliance with the provisions of this subpart. At a minimum, the document must describe assigned responsibilities and delegated authority, and the functional relationship of those responsible for quality to management and other organizational components. </SECTION> <SECTION> <SECTNO>§ 21.607</SECTNO> <SUBJECT>Quality system.</SUBJECT> Each applicant for or holder of a TSO authorization must establish a quality system that meets the requirements of § 21.137. </SECTION> <SECTION> <SECTNO>§ 21.608</SECTNO> <SUBJECT>Quality manual.</SUBJECT> Each applicant for or holder of a TSO authorization must provide a manual describing its quality system to the FAA for approval. The manual must be in the English language and retrievable in a form acceptable to the FAA. </SECTION> <SECTION> <SECTNO>§ 21.609</SECTNO> <SUBJECT>Location of or change to manufacturing facilities.</SUBJECT> (a) An applicant may obtain a TSO authorization for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter. (b) The TSO authorization holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities. (c) The TSO authorization holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its product or article. </SECTION> <SECTION> <PRTPAGE P="188"/> <SECTNO>§ 21.610</SECTNO> <SUBJECT>Inspections and tests.</SUBJECT> Each applicant for or holder of a TSO authorization must allow the FAA to inspect its quality system, facilities, technical data, and any manufactured articles and witness any tests, including any inspections or tests at a supplier facility, necessary to determine compliance with this subchapter. </SECTION> <SECTION> <SECTNO>§ 21.611</SECTNO> <SUBJECT>Issuance.</SUBJECT> If the FAA finds that the applicant complies with the requirements of this subchapter, the FAA issues a TSO authorization to the applicant (including all TSO deviations granted to the applicant). </SECTION> <SECTION> <SECTNO>§ 21.613</SECTNO> <SUBJECT>Duration.</SUBJECT> (a) A TSO authorization or letter of TSO design approval is effective until surrendered, withdrawn, or otherwise terminated by the FAA. (b) If a TSO is revised or canceled, the holder of an affected FAA letter of acceptance of a statement of conformance, TSO authorization, or letter of TSO design approval may continue to manufacture articles that meet the original TSO without obtaining a new acceptance, authorization, or approval but must comply with the requirements of this chapter. </SECTION> <SECTION> <SECTNO>§ 21.614</SECTNO> <SUBJECT>Transferability.</SUBJECT> The holder of a TSO authorization or letter of TSO design approval may not transfer the TSO authorization or letter of TSO design approval. </SECTION> <SECTION> <SECTNO>§ 21.616</SECTNO> <SUBJECT>Responsibility of holder.</SUBJECT> Each holder of a TSO authorization must— (a) Amend the document required by § 21.605 as necessary to reflect changes in the organization and provide these amendments to the FAA. (b) Maintain a quality system in compliance with the data and procedures approved for the TSO authorization; (c) Ensure that each manufactured article conforms to its approved design, is in a condition for safe operation, and meets the applicable TSO; (d) Mark the TSO article for which an approval has been issued. Marking must be in accordance with part 45 of this chapter, including any critical parts; (e) Identify any portion of the TSO article (e.g., sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA approved manufacturer's identification; (f) Have access to design data necessary to determine conformity and airworthiness for each article produced under the TSO authorization. The manufacturer must retain this data until it no longer manufactures the article. At that time, copies of the data must be sent to the FAA; (g) Retain its TSO authorization and make it available to the FAA upon request; and (h) Make available to the FAA information regarding all delegation of authority to suppliers. </SECTION> <SECTION> <SECTNO>§ 21.618</SECTNO> <SUBJECT>Approval for deviation.</SUBJECT> <EAR>Pt. 21, Subpt. O, Nt.</EAR> (a) Each manufacturer who requests approval to deviate from any performance standard of a TSO must show that factors or design features providing an equivalent level of safety compensate for the standards from which a deviation is requested. (b) The manufacturer must send requests for approval to deviate, together with all pertinent data, to the appropriate aircraft certification office. If the article is manufactured under the authority of a foreign country or jurisdiction, the manufacturer must send requests for approval to deviate, together with all pertinent data, through the civil aviation authority of that country or jurisdiction to the FAA. </SECTION> <SECTION> <SECTNO>§ 21.619</SECTNO> <SUBJECT>Design changes.</SUBJECT> (a) <E T="03">Minor changes by the manufacturer holding a TSO authorization</E>. 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 FAA. In this case, the changed article keeps the original model number (part numbers may be used to identify minor changes) and the manufacturer must forward to the appropriate aircraft certification office, any revised data that are necessary for compliance with § 21.603(b). (b) <E T="03">Major changes by the manufacturer holding a TSO authorization</E>. Any design change by the manufacturer extensive enough to require a substantially complete investigation to determine compliance with a TSO is a major change. Before making a major change, the manufacturer must assign a new type or model designation to the article and apply for an authorization under § 21.603. (c) <E T="03">Changes by persons other than the manufacturer</E>. No design change by any person (other than the manufacturer who provided 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 § 21.603(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 of this chapter. </SECTION> <SECTION> <PRTPAGE P="189"/> <SECTNO>§ 21.620</SECTNO> <SUBJECT>Changes in quality system.</SUBJECT> After the issuance of a TSO authorization— (a) Each change to the quality system is subject to review by the FAA; and (b) The holder of the TSO authorization must immediately notify the FAA, in writing, of any change that may affect the inspection, conformity, or airworthiness of its article. </SECTION> <SECTION> <SECTNO>§ 21.621</SECTNO> <SUBJECT>Issuance of letters of TSO design approval: import articles.</SUBJECT> (a) The FAA may issue a letter of TSO design approval for an article— (1) Designed and manufactured in a foreign country or jurisdiction subject to the export provisions of an agreement with the United States for the acceptance of these articles for import; and (2) For import into the United States if— (i) The State of Design certifies that the article has been examined, tested, and found to meet the applicable TSO or the applicable performance standards of the State of Design and any other performance standards the FAA may prescribe to provide a level of safety equivalent to that provided by the TSO; and (ii) The manufacturer has provided to the FAA one copy of the technical data required in the applicable performance standard through its State of Design. (b) The FAA issues the letter of TSO design approval that lists any deviation granted under § 21.618. </SECTION> </SUBPART> <PART> <EAR>Pt. 23</EAR> <HD SOURCE="HED">PART 23—AIRWORTHINESS STANDARDS: NORMAL, UTILITY, ACROBATIC, AND COMMUTER CATEGORY AIRPLANES</HD> <CONTENTS> <APP>Special Federal Aviation Regulation No. 23</APP> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>23.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>23.2</SECTNO> <SUBJECT>Special retroactive requirements.</SUBJECT> <SECTNO>23.3</SECTNO> <SUBJECT>Airplane categories.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Flight</HD> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTNO>23.21</SECTNO> <SUBJECT>Proof of compliance.</SUBJECT> <SECTNO>23.23</SECTNO> <SUBJECT>Load distribution limits.</SUBJECT> <SECTNO>23.25</SECTNO> <SUBJECT>Weight limits.</SUBJECT> <SECTNO>23.29</SECTNO> <SUBJECT>Empty weight and corresponding center of gravity.</SUBJECT> <SECTNO>23.31</SECTNO> <SUBJECT>Removable ballast.</SUBJECT> <SECTNO>23.33</SECTNO> <SUBJECT>Propeller speed and pitch limits.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Performance</HD> <SECTNO>23.45</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.49</SECTNO> <SUBJECT>Stalling period.</SUBJECT> <SECTNO>23.51</SECTNO> <SUBJECT>Takeoff speeds.</SUBJECT> <SECTNO>23.53</SECTNO> <SUBJECT>Takeoff performance.</SUBJECT> <SECTNO>23.55</SECTNO> <SUBJECT>Accelerate-stop distance.</SUBJECT> <SECTNO>23.57</SECTNO> <SUBJECT>Takeoff path.</SUBJECT> <SECTNO>23.59</SECTNO> <SUBJECT>Takeoff distance and takeoff run.</SUBJECT> <SECTNO>23.61</SECTNO> <SUBJECT>Takeoff flight path.</SUBJECT> <SECTNO>23.63</SECTNO> <SUBJECT>Climb: General.</SUBJECT> <SECTNO>23.65</SECTNO> <SUBJECT>Climb: All engines operating.</SUBJECT> <SECTNO>23.66</SECTNO> <SUBJECT>Takeoff climb: One-engine inoperative.</SUBJECT> <SECTNO>23.67</SECTNO> <SUBJECT>Climb: One engine inoperative.</SUBJECT> <SECTNO>23.69</SECTNO> <SUBJECT>Enroute climb/descent.</SUBJECT> <SECTNO>23.71</SECTNO> <SUBJECT>Glide: Single-engine airplanes.</SUBJECT> <SECTNO>23.73</SECTNO> <SUBJECT>Reference landing approach speed.</SUBJECT> <SECTNO>23.75</SECTNO> <SUBJECT>Landing distance.</SUBJECT> <SECTNO>23.77</SECTNO> <SUBJECT>Balked landing.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Flight Characteristics</HD> <SECTNO>23.141</SECTNO> <SUBJECT>General.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Controllability and Maneuverability</HD> <SECTNO>23.143</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.145</SECTNO> <SUBJECT>Longitudinal control.</SUBJECT> <SECTNO>23.147</SECTNO> <SUBJECT>Directional and lateral control.</SUBJECT> <SECTNO>23.149</SECTNO> <SUBJECT>Minimum control speed.</SUBJECT> <SECTNO>23.151</SECTNO> <SUBJECT>Acrobatic maneuvers.</SUBJECT> <SECTNO>23.153</SECTNO> <SUBJECT>Control during landings.</SUBJECT> <SECTNO>23.155</SECTNO> <SUBJECT>Elevator control force in maneuvers.</SUBJECT> <SECTNO>23.157</SECTNO> <SUBJECT>Rate of roll.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Trim</HD> <SECTNO>23.161</SECTNO> <SUBJECT>Trim.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Stability</HD> <SECTNO>23.171</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.173</SECTNO> <SUBJECT>Static longitudinal stability.</SUBJECT> <SECTNO>23.175</SECTNO> <SUBJECT>Demonstration of static longitudinal stability.</SUBJECT> <SECTNO>23.177</SECTNO> <SUBJECT>Static directional and lateral stability.</SUBJECT> <SECTNO>23.181</SECTNO> <SUBJECT>Dynamic stability.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Stalls</HD> <SECTNO>23.201</SECTNO> <SUBJECT>Wings level stall.</SUBJECT> <SECTNO>23.203</SECTNO> <SUBJECT>Turning flight and accelerated turning stalls.</SUBJECT> <SECTNO>23.207</SECTNO> <SUBJECT>Stall warning.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Spinning</HD> <SECTNO>23.221</SECTNO> <SUBJECT>Spinning.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Ground and Water Handling Characteristics</HD> <SECTNO>23.231</SECTNO> <SUBJECT>Longitudinal stability and control.</SUBJECT> <SECTNO>23.233</SECTNO> <SUBJECT>Directional stability and control.</SUBJECT> <SECTNO>23.235</SECTNO> <SUBJECT>Operation on unpaved surfaces.<PRTPAGE P="190"/> </SUBJECT> <SECTNO>23.237</SECTNO> <SUBJECT>Operation on water.</SUBJECT> <SECTNO>23.239</SECTNO> <SUBJECT>Spray characteristics.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Miscellaneous Flight Requirements</HD> <SECTNO>23.251</SECTNO> <SUBJECT>Vibration and buffeting.</SUBJECT> <SECTNO>23.253</SECTNO> <SUBJECT>High speed characteristics.</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Structure</HD> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTNO>23.301</SECTNO> <SUBJECT>Loads.</SUBJECT> <SECTNO>23.302</SECTNO> <SUBJECT>Canard or tandem wing configurations.</SUBJECT> <SECTNO>23.303</SECTNO> <SUBJECT>Factor of safety.</SUBJECT> <SECTNO>23.305</SECTNO> <SUBJECT>Strength and deformation.</SUBJECT> <SECTNO>23.307</SECTNO> <SUBJECT>Proof of structure.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Flight Loads</HD> <SECTNO>23.321</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.331</SECTNO> <SUBJECT>Symmetrical flight conditions.</SUBJECT> <SECTNO>23.333</SECTNO> <SUBJECT>Flight envelope.</SUBJECT> <SECTNO>23.335</SECTNO> <SUBJECT>Design airspeeds.</SUBJECT> <SECTNO>23.337</SECTNO> <SUBJECT>Limit maneuvering load factors.</SUBJECT> <SECTNO>23.341</SECTNO> <SUBJECT>Gust loads factors.</SUBJECT> <SECTNO>23.343</SECTNO> <SUBJECT>Design fuel loads.</SUBJECT> <SECTNO>23.345</SECTNO> <SUBJECT>High lift devices.</SUBJECT> <SECTNO>23.347</SECTNO> <SUBJECT>Unsymmetrical flight conditions.</SUBJECT> <SECTNO>23.349</SECTNO> <SUBJECT>Rolling conditions.</SUBJECT> <SECTNO>23.351</SECTNO> <SUBJECT>Yawing conditions.</SUBJECT> <SECTNO>23.361</SECTNO> <SUBJECT>Engine torque.</SUBJECT> <SECTNO>23.363</SECTNO> <SUBJECT>Side load on engine mount.</SUBJECT> <SECTNO>23.365</SECTNO> <SUBJECT>Pressurized cabin loads.</SUBJECT> <SECTNO>23.367</SECTNO> <SUBJECT>Unsymmetrical loads due to engine failure.</SUBJECT> <SECTNO>23.369</SECTNO> <SUBJECT>Rear lift truss.</SUBJECT> <SECTNO>23.371</SECTNO> <SUBJECT>Gyroscopic and aerodynamic loads.</SUBJECT> <SECTNO>23.373</SECTNO> <SUBJECT>Speed control devices.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Control Surface and System Loads</HD> <SECTNO>23.391</SECTNO> <SUBJECT>Control surface loads.</SUBJECT> <SECTNO>23.393</SECTNO> <SUBJECT>Loads parallel to hinge line.</SUBJECT> <SECTNO>23.395</SECTNO> <SUBJECT>Control system loads.</SUBJECT> <SECTNO>23.397</SECTNO> <SUBJECT>Limit control forces and torques.</SUBJECT> <SECTNO>23.399</SECTNO> <SUBJECT>Dual control system.</SUBJECT> <SECTNO>23.405</SECTNO> <SUBJECT>Secondary control system.</SUBJECT> <SECTNO>23.407</SECTNO> <SUBJECT>Trim tab effects.</SUBJECT> <SECTNO>23.409</SECTNO> <SUBJECT>Tabs.</SUBJECT> <SECTNO>23.415</SECTNO> <SUBJECT>Ground gust conditions.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Horizontal Stabilizing and Balancing Surfaces</HD> <SECTNO>23.421</SECTNO> <SUBJECT>Balancing loads.</SUBJECT> <SECTNO>23.423</SECTNO> <SUBJECT>Maneuvering loads.</SUBJECT> <SECTNO>23.425</SECTNO> <SUBJECT>Gust loads.</SUBJECT> <SECTNO>23.427</SECTNO> <SUBJECT>Unsymmetrical loads.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Vertical Surfaces</HD> <SECTNO>23.441</SECTNO> <SUBJECT>Maneuvering loads.</SUBJECT> <SECTNO>23.443</SECTNO> <SUBJECT>Gust loads.</SUBJECT> <SECTNO>23.445</SECTNO> <SUBJECT>Outboard fins or winglets.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Ailerons and Special Devices</HD> <SECTNO>23.455</SECTNO> <SUBJECT>Ailerons.</SUBJECT> <SECTNO>23.459</SECTNO> <SUBJECT>Special devices.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Ground Loads</HD> <SECTNO>23.471</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.473</SECTNO> <SUBJECT>Ground load conditions and assumptions.</SUBJECT> <SECTNO>23.477</SECTNO> <SUBJECT>Landing gear arrangement.</SUBJECT> <SECTNO>23.479</SECTNO> <SUBJECT>Level landing conditions.</SUBJECT> <SECTNO>23.481</SECTNO> <SUBJECT>Tail down landing conditions.</SUBJECT> <SECTNO>23.483</SECTNO> <SUBJECT>One-wheel landing conditions.</SUBJECT> <SECTNO>23.485</SECTNO> <SUBJECT>Side load conditions.</SUBJECT> <SECTNO>23.493</SECTNO> <SUBJECT>Braked roll conditions.</SUBJECT> <SECTNO>23.497</SECTNO> <SUBJECT>Supplementary conditions for tail wheels.</SUBJECT> <SECTNO>23.499</SECTNO> <SUBJECT>Supplementary conditions for nose wheels.</SUBJECT> <SECTNO>23.505</SECTNO> <SUBJECT>Supplementary conditions for ski-planes.</SUBJECT> <SECTNO>23.507</SECTNO> <SUBJECT>Jacking loads.</SUBJECT> <SECTNO>23.509</SECTNO> <SUBJECT>Towing loads.</SUBJECT> <SECTNO>23.511</SECTNO> <SUBJECT>Ground load; unsymmetrical loads on multiple-wheel units.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Water Loads</HD> <SECTNO>23.521</SECTNO> <SUBJECT>Water load conditions.</SUBJECT> <SECTNO>23.523</SECTNO> <SUBJECT>Design weights and center of gravity positions.</SUBJECT> <SECTNO>23.525</SECTNO> <SUBJECT>Application of loads.</SUBJECT> <SECTNO>23.527</SECTNO> <SUBJECT>Hull and main float load factors.</SUBJECT> <SECTNO>23.529</SECTNO> <SUBJECT>Hull and main float landing conditions.</SUBJECT> <SECTNO>23.531</SECTNO> <SUBJECT>Hull and main float takeoff condition.</SUBJECT> <SECTNO>23.533</SECTNO> <SUBJECT>Hull and main float bottom pressures.</SUBJECT> <SECTNO>23.535</SECTNO> <SUBJECT>Auxiliary float loads.</SUBJECT> <SECTNO>23.537</SECTNO> <SUBJECT>Seawing loads.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Emergency Landing Conditions</HD> <SECTNO>23.561</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.562</SECTNO> <SUBJECT>Emergency landing dynamic conditions.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Fatigue Evaluation</HD> <SECTNO>23.571</SECTNO> <SUBJECT>Metallic pressurized cabin structures.</SUBJECT> <SECTNO>23.572</SECTNO> <SUBJECT>Metallic wing, empennage, and associated structures.</SUBJECT> <SECTNO>23.573</SECTNO> <SUBJECT>Damage tolerance and fatigue evaluation of structure.</SUBJECT> <SECTNO>23.574</SECTNO> <SUBJECT>Metallic damage tolerance and fatigue evaluation of commuter category airplanes.</SUBJECT> <SECTNO>23.575</SECTNO> <SUBJECT>Inspections and other procedures.</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Design and Construction</HD> <SECTNO>23.601</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.603</SECTNO> <SUBJECT>Materials and workmanship.</SUBJECT> <SECTNO>23.605</SECTNO> <SUBJECT>Fabrication methods.</SUBJECT> <SECTNO>23.607</SECTNO> <SUBJECT>Fasteners.</SUBJECT> <SECTNO>23.609</SECTNO> <SUBJECT>Protection of structure.</SUBJECT> <SECTNO>23.611</SECTNO> <SUBJECT>Accessibility provisions.</SUBJECT> <SECTNO>23.613</SECTNO> <SUBJECT>Material strength properties and design values.</SUBJECT> <SECTNO>23.619</SECTNO> <SUBJECT>Special factors.</SUBJECT> <SECTNO>23.621</SECTNO> <SUBJECT>Casting factors.</SUBJECT> <SECTNO>23.623</SECTNO> <SUBJECT>Bearing factors.</SUBJECT> <SECTNO>23.625</SECTNO> <SUBJECT>Fitting factors.</SUBJECT> <SECTNO>23.627</SECTNO> <SUBJECT>Fatigue strength.<PRTPAGE P="191"/> </SUBJECT> <SECTNO>23.629</SECTNO> <SUBJECT>Flutter.</SUBJECT> <SUBJGRP> <HD SOURCE="HED">Wings</HD> <SECTNO>23.641</SECTNO> <SUBJECT>Proof of strength.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Control Surfaces</HD> <SECTNO>23.651</SECTNO> <SUBJECT>Proof of strength.</SUBJECT> <SECTNO>23.655</SECTNO> <SUBJECT>Installation.</SUBJECT> <SECTNO>23.657</SECTNO> <SUBJECT>Hinges.</SUBJECT> <SECTNO>23.659</SECTNO> <SUBJECT>Mass balance.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Control Systems</HD> <SECTNO>23.671</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.672</SECTNO> <SUBJECT>Stability augmentation and automatic and power-operated systems.</SUBJECT> <SECTNO>23.673</SECTNO> <SUBJECT>Primary flight controls.</SUBJECT> <SECTNO>23.675</SECTNO> <SUBJECT>Stops.</SUBJECT> <SECTNO>23.677</SECTNO> <SUBJECT>Trim systems.</SUBJECT> <SECTNO>23.679</SECTNO> <SUBJECT>Control system locks.</SUBJECT> <SECTNO>23.681</SECTNO> <SUBJECT>Limit load static tests.</SUBJECT> <SECTNO>23.683</SECTNO> <SUBJECT>Operation tests.</SUBJECT> <SECTNO>23.685</SECTNO> <SUBJECT>Control system details.</SUBJECT> <SECTNO>23.687</SECTNO> <SUBJECT>Spring devices.</SUBJECT> <SECTNO>23.689</SECTNO> <SUBJECT>Cable systems.</SUBJECT> <SECTNO>23.691</SECTNO> <SUBJECT>Artificial stall barrier system.</SUBJECT> <SECTNO>23.693</SECTNO> <SUBJECT>Joints.</SUBJECT> <SECTNO>23.697</SECTNO> <SUBJECT>Wing flap controls.</SUBJECT> <SECTNO>23.699</SECTNO> <SUBJECT>Wing flap position indicator.</SUBJECT> <SECTNO>23.701</SECTNO> <SUBJECT>Flap interconnection.</SUBJECT> <SECTNO>23.703</SECTNO> <SUBJECT>Takeoff warning system.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Landing Gear</HD> <SECTNO>23.721</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.723</SECTNO> <SUBJECT>Shock absorption tests.</SUBJECT> <SECTNO>23.725</SECTNO> <SUBJECT>Limit drop tests.</SUBJECT> <SECTNO>23.726</SECTNO> <SUBJECT>Ground load dynamic tests.</SUBJECT> <SECTNO>23.727</SECTNO> <SUBJECT>Reserve energy absorption drop test.</SUBJECT> <SECTNO>23.729</SECTNO>

January 21, 2010 CODE OF FEDERAL REGULATIONS 14 Parts 1 to 59 Revised as of January 1, 2010 Aeronautics and Space Containing a codification of documents of general applicability and future effect As of January 1, 2010 With Ancillaries

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Table of Contents Page Explanation v Title 14: Chapter I—Federal Aviation Administration, Department of Transportation 3 Finding Aids: Table of CFR Titles and Chapters 1019 Alphabetical List of Agencies Appearing in the CFR 1039 List of CFR Sections Affected 1049

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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, 60-109, 110-199, 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 and chapter VI—Air Transportation System Stabilization. The contents of these volumes represent all current regulations codified under this title of the CFR as of January 1, 2010.

For this volume, Susannah C. Hurley was Chief Editor. The Code of Federal Regulations publication program is under the direction of Michael L. White, assisted by Ann Worley.

<LRH>14 CFR Ch. I (1-1-10 Edition)</LRH> <RRH>Federal Aviation Administration, DOT</RRH> <CFRTITLE> <TITLEHD> <PRTPAGE P="1"/> <HD SOURCE="HED">Title 14—Aeronautics and Space</HD> (This book contains parts 1 to 59) </TITLEHD> <CFRTOC> <PTHD>Part</PTHD> <CHAPTI> <SUBJECT> <E T="04">chapter i</E>—Federal Aviation Administration, Department of Transportation</SUBJECT> <PG>1</PG> </CHAPTI> </CFRTOC> </CFRTITLE> <CHAPTER> <TOC> <TOCHD> <PRTPAGE P="3"/> <HD SOURCE="HED">CHAPTER I—FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION</HD> </TOCHD> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER A—DEFINITIONS</HD> </SUBCHAP> <PTHD>Part</PTHD> <PGHD>Page</PGHD> <CHAPTI> <PT>1</PT> <SUBJECT>Definitions and abbreviations</SUBJECT> <PG>5</PG> <PT>3</PT> <SUBJECT>General requirements</SUBJECT> <PG>21</PG> </CHAPTI> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER B—PROCEDURAL RULES</HD> </SUBCHAP> <CHAPTI> <PT>11</PT> <SUBJECT>General rulemaking procedures</SUBJECT> <PG>22</PG> <PT>13</PT> <SUBJECT>Investigative and enforcement procedures</SUBJECT> <PG>33</PG> <PT>14</PT> <SUBJECT>Rules implementing the Equal Access to Justice Act of 1980</SUBJECT> <PG>80</PG> <PT>15</PT> <SUBJECT>Administrative claims under Federal Tort Claims Act</SUBJECT> <PG>86</PG> <PT>16</PT> <SUBJECT>Rules of practice for Federally-assisted airport enforcement proceedings.</SUBJECT> <PG>90</PG> <PT>17</PT> <SUBJECT>Procedures for protests and contracts disputes</SUBJECT> <PG>106</PG> </CHAPTI> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER C—AIRCRAFT</HD> </SUBCHAP> <CHAPTI> <PT>21</PT> <SUBJECT>Certification procedures for products and parts</SUBJECT> <PG>122</PG> <PT>23</PT> <SUBJECT>Airworthiness standards: Normal, utility, acrobatic, and commuter category airplanes</SUBJECT> <PG>189</PG> <PT>25</PT> <SUBJECT>Airworthiness standards: Transport category airplanes</SUBJECT> <PG>366</PG> <PT>26</PT> <SUBJECT>Continued airworthiness and safety improvements for transport category airplanes</SUBJECT> <PG>623</PG> <PT>27</PT> <SUBJECT>Airworthiness standards: Normal category rotorcraft</SUBJECT> <PG>635</PG> <PT>29</PT> <SUBJECT>Airworthiness standards: Transport category rotorcraft</SUBJECT> <PG>718</PG> <PT>31</PT> <SUBJECT>Airworthiness standards: Manned free balloons</SUBJECT> <PG>836</PG> <PT>33</PT> <SUBJECT>Airworthiness standards: Aircraft engines</SUBJECT> <PG>843</PG> <PT>34</PT> <SUBJECT>Fuel venting and exhaust emission requirements for turbine-engine powered airplanes</SUBJECT> <PG>883</PG> <PT>35</PT> <SUBJECT>Airworthiness standards: Propellers</SUBJECT> <PG>893<PRTPAGE P="4"/> </PG> <PT>36</PT> <SUBJECT>Noise standards: Aircraft type and airworthiness certification</SUBJECT> <PG>901</PG> <PT>39</PT> <SUBJECT>Airworthiness directives</SUBJECT> <PG>971</PG> <PT>43</PT> <SUBJECT>Maintenance, preventive maintenance, rebuilding, and alteration</SUBJECT> <PG>973</PG> <PT>45</PT> <SUBJECT>Identification and registration marking</SUBJECT> <PG>989</PG> <PT>47</PT> <SUBJECT>Aircraft registration</SUBJECT> <PG>997</PG> <PT>49</PT> <SUBJECT>Recording of aircraft titles and security documents</SUBJECT> <PG>1010</PG> <PT>50-59</PT> <RESERVED>[Reserved]</RESERVED> </CHAPTI> </TOC> <SUBCHAP TYPE="N"> <PRTPAGE P="5"/> <HD SOURCE="HED">SUBCHAPTER A—DEFINITIONS</HD> <PART> <EAR>Pt. 1</EAR> <HD SOURCE="HED">PART 1—DEFINITIONS AND ABBREVIATIONS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>1.1</SECTNO> <SUBJECT>General definitions.</SUBJECT> <SECTNO>1.2</SECTNO> <SUBJECT>Abbreviations and symbols.</SUBJECT> <SECTNO>1.3</SECTNO> <SUBJECT>Rules of construction.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 49 U.S.C. 106(g), 40113, 44701. </AUTH> <SECTION> <SECTNO>§ 1.1</SECTNO> <SUBJECT>General definitions.</SUBJECT> <EXT-XREF HREF="20091016" REFID="28">Link to an amendment published at 74 FR 53384, October 16, 2009.</EXT-XREF> As used in Subchapters A through K of this chapter, unless the context requires otherwise: <E T="03">Administrator</E> means the Federal Aviation Administrator or any person to whom he has delegated his authority in the matter concerned. <E T="03">Aerodynamic coefficients</E> means non-dimensional coefficients for aerodynamic forces and moments. <E T="03">Air carrier</E> means a person who undertakes directly by lease, or other arrangement, to engage in air transportation. <E T="03">Air commerce</E> 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. <E T="03">Aircraft</E> means a device that is used or intended to be used for flight in the air. <E T="03">Aircraft engine</E> 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. <E T="03">Airframe</E> 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. <E T="03">Airplane</E> 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. <E T="03">Airport</E> 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. <E T="03">Airship</E> means an engine-driven lighter-than-air aircraft that can be steered. <E T="03">Air traffic</E> means aircraft operating in the air or on an airport surface, exclusive of loading ramps and parking areas. <E T="03">Air traffic clearance</E> 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. <E T="03">Air traffic control</E> means a service operated by appropriate authority to promote the safe, orderly, and expeditious flow of air traffic. <E T="03">Air Traffic Service (ATS) route</E> is a specified route designated for channeling the flow of traffic as necessary for the provision of air traffic services. The term “ATS route” refers to a variety of airways, including jet routes, area navigation (RNAV) routes, and arrival and departure routes. An ATS route is defined by route specifications, which may include: (1) An ATS route designator; (2) The path to or from significant points; (3) Distance between significant points; (4) Reporting requirements; and (5) The lowest safe altitude determined by the appropriate authority. <E T="03">Air transportation</E> means interstate, overseas, or foreign air transportation or the transportation of mail by aircraft. <E T="03">Alert Area.</E> 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. <E T="03">Alternate airport</E> means an airport at which an aircraft may land if a landing at the intended airport becomes inadvisable. <E T="03">Altitude engine</E> means a reciprocating aircraft engine having a rated takeoff power that is producible from sea level to an established higher altitude. <E T="03">Amateur rocket</E> means an unmanned rocket that:<PRTPAGE P="6"/> (1) Is propelled by a motor or motors having a combined total impulse of 889,600 Newton-seconds (200,000 pound-seconds) or less; and (2) Cannot reach an altitude greater than 150 kilometers (93.2 statute miles) above the earth's surface. <E T="03">Appliance</E> 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. <E T="03">Approved,</E> unless used with reference to another person, means approved by the Administrator. <E T="03">Area navigation (RNAV)</E> is a method of navigation that permits aircraft operations on any desired flight path. <E T="03">Area navigation (RNAV) route</E> is an ATS route based on RNAV that can be used by suitably equipped aircraft. <E T="03">Armed Forces</E> means the Army, Navy, Air Force, Marine Corps, and Coast Guard, including their regular and reserve components and members serving without component status. <E T="03">Autorotation</E> means a rotorcraft flight condition in which the lifting rotor is driven entirely by action of the air when the rotorcraft is in motion. <E T="03">Auxiliary rotor</E> 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. <E T="03">Balloon</E> 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. <E T="03">Brake horsepower</E> means the power delivered at the propeller shaft (main drive or main output) of an aircraft engine. <E T="03">Calibrated airspeed</E> 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. <E T="03">Canard</E> means the forward wing of a canard configuration and may be a fixed, movable, or variable geometry surface, with or without control surfaces. <E T="03">Canard configuration</E> means a configuration in which the span of the forward wing is substantially less than that of the main wing. <E T="03">Category:</E> (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. <E T="03">Category A,</E> 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. <E T="03">Category B,</E> 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. <E T="03">Category II operations,</E> 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. <E T="03">Category III operations,</E> 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. <E T="03">Category IIIa operations,</E> 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). <E T="03">Category IIIb operations,</E> an ILS approach and landing with no DH, or with <PRTPAGE P="7"/>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). <E T="03">Category IIIc operations,</E> an ILS approach and landing with no DH and no runway visual range limitation. <E T="03">Ceiling</E> 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”. <E T="03">Civil aircraft</E> means aircraft other than public aircraft. <E T="03">Class:</E> (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. <E T="03">Clearway</E> 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. <E T="03">Climbout speed,</E> with respect to rotorcraft, means a referenced airspeed which results in a flight path clear of the height-velocity envelope during initial climbout. <E T="03">Commercial operator</E> 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. <E T="03">Configuration, Maintenance, and Procedures (CMP) document</E> means a document approved by the FAA that contains minimum configuration, operating, and maintenance requirements, hardware life-limits, and Master Minimum Equipment List (MMEL) constraints necessary for an airplane-engine combination to meet ETOPS type design approval requirements. <E T="03">Consensus standard</E> means, for the purpose of certificating light-sport aircraft, an industry-developed consensus standard that applies to aircraft design, production, and airworthiness. It includes, but is not limited to, standards for aircraft design and performance, required equipment, manufacturer quality assurance systems, production acceptance test procedures, operating instructions, maintenance and inspection procedures, identification and recording of major repairs and major alterations, and continued airworthiness. <E T="03">Controlled airspace</E> 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> <HD SOURCE="HED">Note:</HD> Controlled airspace is a generic term that covers Class A, Class B, Class C, Class D, and Class E airspace. </NOTE> <E T="03">Controlled Firing Area.</E> A controlled firing area is established to contain activities, which if not conducted in a controlled environment, would be hazardous to nonparticipating aircraft. <E T="03">Crewmember</E> means a person assigned to perform duty in an aircraft during flight time.<PRTPAGE P="8"/> <E T="03">Critical altitude</E> 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. <E T="03">Critical engine</E> means the engine whose failure would most adversely affect the performance or handling qualities of an aircraft. <E T="03">Decision altitude (DA)</E> is a specified altitude in an instrument approach procedure at which the pilot must decide whether to initiate an immediate missed approach if the pilot does not see the required visual reference, or to continue the approach. Decision altitude is expressed in feet above mean sea level. <E T="03">Decision height (DH)</E> is a specified height above the ground in an instrument approach procedure at which the pilot must decide whether to initiate an immediate missed approach if the pilot does not see the required visual reference, or to continue the approach. Decision height is expressed in feet above ground level. <E T="03">Early ETOPS</E> means ETOPS type design approval obtained without gaining non-ETOPS service experience on the candidate airplane-engine combination certified for ETOPS. <E T="03">Enhanced flight visibility (EFV)</E> means the average forward horizontal distance, from the cockpit of an aircraft in flight, at which prominent topographical objects may be clearly distinguished and identified by day or night by a pilot using an enhanced flight vision system. <E T="03">Enhanced flight vision system (EFVS)</E> means an electronic means to provide a display of the forward external scene topography (the natural or manmade features of a place or region especially in a way to show their relative positions and elevation) through the use of imaging sensors, such as a forward looking infrared, millimeter wave radiometry, millimeter wave radar, low light level image intensifying. <E T="03">Equivalent airspeed</E> 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. <E T="03">ETOPS Significant System</E> means an airplane system, including the propulsion system, the failure or malfunctioning of which could adversely affect the safety of an ETOPS flight, or the continued safe flight and landing of an airplane during an ETOPS diversion. Each ETOPS significant system is either an ETOPS group 1 significant system or an ETOPS group 2 significant system. (1) An ETOPS group 1 Significant System— (i) Has fail-safe characteristics directly linked to the degree of redundancy provided by the number of engines on the airplane. (ii) Is a system, the failure or malfunction of which could result in an IFSD, loss of thrust control, or other power loss. (iii) Contributes significantly to the safety of an ETOPS diversion by providing additional redundancy for any system power source lost as a result of an inoperative engine. (iv) Is essential for prolonged operation of an airplane at engine inoperative altitudes. (2) An ETOPS group 2 significant system is an ETOPS significant system that is not an ETOPS group 1 significant system. <E T="03">Extended Operations (ETOPS)</E> means an airplane flight operation, other than an all-cargo operation in an airplane with more than two engines, during which a portion of the flight is conducted beyond a time threshold identified in part 121 or part 135 of this chapter that is determined using an approved one-engine-inoperative cruise speed under standard atmospheric conditions in still air. <E T="03">Extended over-water operation</E> means— (1) With respect to aircraft other than helicopters, an operation over <PRTPAGE P="9"/>water at a horizontal distance of more 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. <E T="03">External load</E> means a load that is carried, or extends, outside of the aircraft fuselage. <E T="03">External-load attaching means</E> 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. <E T="03">Final approach fix (FAF)</E> defines the beginning of the final approach segment and the point where final segment descent may begin. <E T="03">Final takeoff speed</E> means the speed of the airplane that exists at the end of the takeoff path in the en route configuration with one engine inoperative. <E T="03">Fireproof</E>— (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. <E T="03">Fire resistant</E>— (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. <E T="03">Flame resistant</E> means not susceptible to combustion to the point of propagating a flame, beyond safe limits, after the ignition source is removed. <E T="03">Flammable,</E> with respect to a fluid or gas, means susceptible to igniting readily or to exploding. <E T="03">Flap extended speed</E> means the highest speed permissible with wing flaps in a prescribed extended position. <E T="03">Flash resistant</E> means not susceptible to burning violently when ignited. <E T="03">Flightcrew member</E> means a pilot, flight engineer, or flight navigator assigned to duty in an aircraft during flight time. <E T="03">Flight level</E> 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. <E T="03">Flight plan</E> means specified information, relating to the intended flight of an aircraft, that is filed orally or in writing with air traffic control. <E T="03">Flight simulation training device (FSTD)</E> means a flight simulator or a flight training device. <E T="03">Flight time</E> 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. <E T="03">Flight training device (FTD)</E> means a replica of aircraft instruments, equipment, panels, and controls in an open flight deck area or an enclosed aircraft cockpit replica. It includes the equipment and computer programs necessary to represent aircraft (or set of aircraft) operations in ground and flight conditions having the full range of capabilities of the systems installed in the device as described in part 60 of this chapter and the qualification performance standard (QPS) for a specific FTD qualification level. <E T="03">Flight visibility</E> means the average forward horizontal distance, from the cockpit of an aircraft in flight, at which prominent unlighted objects <PRTPAGE P="10"/>may be seen and identified by day and prominent lighted objects may be seen and identified by night. <E T="03">Foreign air carrier</E> means any person other than a citizen of the United States, who undertakes directly, by lease or other arrangement, to engage in air transportation. <E T="03">Foreign air commerce</E> 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. <E T="03">Foreign air transportation</E> 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 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. <E T="03">Forward wing</E> 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. <E T="03">Full flight simulator (FFS)</E> means a replica of a specific type; or make, model, and series aircraft cockpit. It includes the assemblage of equipment and computer programs necessary to represent aircraft operations in ground and flight conditions, a visual system providing an out-of-the-cockpit view, a system that provides cues at least equivalent to those of a three-degree-of-freedom motion system, and has the full range of capabilities of the systems installed in the device as described in part 60 of this chapter and the qualification performance standards (QPS) for a specific FFS qualification level. <E T="03">Glider</E> 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. <E T="03">Ground visibility</E> means prevailing horizontal visibility near the earth's surface as reported by the United States National Weather Service or an accredited observer. <E T="03">Go-around power or thrust setting</E> means the maximum allowable in-flight power or thrust setting identified in the performance data. <E T="03">Gyrodyne</E> 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. <E T="03">Gyroplane</E> 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. <E T="03">Helicopter</E> means a rotorcraft that, for its horizontal motion, depends principally on its engine-driven rotors. <E T="03">Heliport</E> means an area of land, water, or structure used or intended to be used for the landing and takeoff of helicopters. <E T="03">Idle thrust</E> 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. <E T="03">IFR conditions</E> means weather conditions below the minimum for flight under visual flight rules. <E T="03">IFR over-the-top,</E> 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”. <E T="03">Indicated airspeed</E> 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. <E T="03">In-flight shutdown (IFSD)</E> means, for ETOPS only, when an engine ceases to function (when the airplane is airborne) and is shutdown, whether self induced, flightcrew initiated or caused by an external influence. The FAA considers IFSD for all causes: for example, flameout, internal failure, flightcrew <PRTPAGE P="11"/>initiated shutdown, foreign object ingestion, icing, inability to obtain or control desired thrust or power, and cycling of the start control, however briefly, even if the engine operates normally for the remainder of the flight. This definition excludes the airborne cessation of the functioning of an engine when immediately followed by an automatic engine relight and when an engine does not achieve desired thrust or power but is not shutdown. <E T="03">Instrument</E> 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. <E T="03">Instrument approach procedure (IAP)</E> is a series of predetermined maneuvers by reference to flight instruments with specified protection from obstacles and assurance of navigation signal reception capability. It begins from the initial approach fix, or where applicable, from the beginning of a defined arrival route to a point: (1) From which a landing can be completed; or (2) If a landing is not completed, to a position at which holding or en route obstacle clearance criteria apply. <E T="03">Interstate air commerce</E> 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. <E T="03">Interstate air transportation</E> 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; <FP>Whether that commerce moves wholly by aircraft of partly by aircraft and partly by other forms of transportation.</FP> <E T="03">Intrastate air transportation</E> 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. <E T="03">Kite</E> 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. <E T="03">Landing gear extended speed</E> means the maximum speed at which an aircraft can be safely flown with the landing gear extended. <E T="03">Landing gear operating speed</E> means the maximum speed at which the landing gear can be safely extended or retracted. <E T="03">Large aircraft</E> means aircraft of more than 12,500 pounds, maximum certificated takeoff weight. <E T="03">Light-sport aircraft</E> means an aircraft, other than a helicopter or powered-lift that, since its original certification, has continued to meet the following: (1) A maximum takeoff weight of not more than— (i) 1,320 pounds (600 kilograms) for aircraft not intended for operation on water; or (ii) 1,430 pounds (650 kilograms) for an aircraft intended for operation on water. (2) A maximum airspeed in level flight with maximum continuous power (V<E T="52">H</E>) of not more than 120 knots CAS under standard atmospheric conditions at sea level. (3) A maximum never-exceed speed (V<E T="52">NE</E>) of not more than 120 knots CAS for a glider. (4) A maximum stalling speed or minimum steady flight speed without the use of lift-enhancing devices (V<E T="52">S1</E>) of not more than 45 knots CAS at the aircraft's maximum certificated takeoff <PRTPAGE P="12"/>weight and most critical center of gravity. (5) A maximum seating capacity of no more than two persons, including the pilot. (6) A single, reciprocating engine, if powered. (7) A fixed or ground-adjustable propeller if a powered aircraft other than a powered glider. (8) A fixed or autofeathering propeller system if a powered glider. (9) A fixed-pitch, semi-rigid, teetering, two-blade rotor system, if a gyroplane. (10) A nonpressurized cabin, if equipped with a cabin. (11) Fixed landing gear, except for an aircraft intended for operation on water or a glider. (12) Fixed or retractable landing gear, or a hull, for an aircraft intended for operation on water. (13) Fixed or retractable landing gear for a glider. <E T="03">Lighter-than-air aircraft</E> means aircraft that can rise and remain suspended by using contained gas weighing less than the air that is displaced by the gas. <E T="03">Load factor</E> 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. <E T="03">Long-range communication system (LRCS).</E> A system that uses satellite relay, data link, high frequency, or another approved communication system which extends beyond line of sight. <E T="03">Long-range navigation system (LRNS).</E> 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. <E T="03">Mach number</E> means the ratio of true airspeed to the speed of sound. <E T="03">Main rotor</E> means the rotor that supplies the principal lift to a rotorcraft. <E T="03">Maintenance</E> means inspection, overhaul, repair, preservation, and the replacement of parts, but excludes preventive maintenance. <E T="03">Major alteration</E> 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. <E T="03">Major repair</E> 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. <E T="03">Manifold pressure</E> means absolute pressure as measured at the appropriate point in the induction system and usually expressed in inches of mercury. <E T="03">Maximum engine overtorque</E>, as it applies to turbopropeller and turboshaft engines incorporating free power turbines for all ratings except one engine inoperative (OEI) ratings of two minutes or less, means the maximum torque of the free power turbine rotor assembly, the inadvertent occurrence of which, for periods of up to 20 seconds, will not require rejection of the engine from service, or any maintenance action other than to correct the cause. <E T="03">Maximum speed for stability characteristics, V</E> <E T="52">FC</E>/M<E T="52">FC</E> means a speed that may not be less than a speed midway between maximum operating limit speed (V<E T="52">MO</E>/M<E T="52">MO</E>) and demonstrated flight diving speed (V<E T="52">DF</E>/M<E T="52">DF</E>), except that, for altitudes where the Mach number is the limiting factor, M<E T="52">FC</E> need not exceed the Mach number at which effective speed warning occurs. <E T="03">Medical certificate</E> means acceptable evidence of physical fitness on a form prescribed by the Administrator. <E T="03">Military operations area.</E> 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.<PRTPAGE P="13"/> <E T="03">V</E> <E T="24">A</E>means design maneuvering speed. <E T="03">V</E> <E T="24">B</E>means design speed for maximum gust intensity. <E T="03">V</E> <E T="24">C</E>means design cruising speed. <E T="03">V</E> <E T="24">D</E>means design diving speed. <E T="03">V</E> <E T="24">DF</E>/<E T="03">M</E> <E T="24">DF</E>means demonstrated flight diving speed. <E T="03">V</E> <E T="24">EF</E>means the speed at which the critical engine is assumed to fail during takeoff. <E T="03">V</E> <E T="24">F</E>means design flap speed. <E T="03">V</E> <E T="24">FC</E>/<E T="03">M</E> <E T="24">FC</E>means maximum speed for stability characteristics. <E T="03">V</E> <E T="24">FE</E>means maximum flap extended speed. <E T="03">V</E> <E T="24">H</E>means maximum speed in level flight with maximum continuous power. <E T="03">V</E> <E T="24">LE</E>means maximum landing gear extended speed. <E T="03">V</E> <E T="24">LO</E>means maximum landing gear operating speed. <E T="03">V</E> <E T="24">LOF</E>means lift-off speed. <E T="03">V</E> <E T="24">MC</E>means minimum control speed with the critical engine inoperative. <E T="03">V</E> <E T="24">MO</E>/<E T="03">M</E> <E T="24">MO</E>means maximum operating limit speed. <E T="03">V</E> <E T="24">MU</E>means minimum unstick speed. <E T="03">V</E> <E T="24">NE</E>means never-exceed speed. <E T="03">V</E> <E T="24">NO</E>means maximum structural cruising speed. <E T="03">V</E> <E T="24">R</E>means rotation speed. <E T="03">V</E> <E T="24">S</E>means the stalling speed or the minimum steady flight speed at which the airplane is controllable. <E T="03">Minimum descent altitude (MDA)</E> is the lowest altitude specified in an instrument approach procedure, expressed in feet above mean sea level, to which descent is authorized on final approach or during circle-to-land maneuvering until the pilot sees the required visual references for the heliport or runway of intended landing. <E T="03">Minor alteration</E> means an alteration other than a major alteration. <E T="03">Minor repair</E> means a repair other than a major repair. <E T="03">National defense airspace</E> means airspace established by a regulation prescribed, or an order issued under, 49 U.S.C. 40103(b)(3). <E T="03">Navigable airspace</E> means airspace at and above the minimum flight altitudes prescribed by or under this chapter, including airspace needed for safe takeoff and landing. <E T="03">Night</E> means the time between the end of evening civil twilight and the beginning of morning civil twilight, as published in the American Air Almanac, converted to local time. <E T="03">Nonprecision approach procedure</E> means a standard instrument approach procedure in which no electronic glide slope is provided. <E T="03">Operate,</E> with respect to aircraft, means use, cause to use or authorize to use aircraft, for the purpose (except as provided in § 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). <E T="03">Operational control,</E> with respect to a flight, means the exercise of authority over initiating, conducting or terminating a flight. <E T="03">Overseas air commerce</E> 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. <E T="03">Overseas air transportation</E> 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. <E T="03">Over-the-top</E> means above the layer of clouds or other obscuring phenomena forming the ceiling. <E T="03">Parachute</E> means a device used or intended to be used to retard the fall of a body or object through the air. <E T="03">Person</E> means an individual, firm, partnership, corporation, company, association, joint-stock association, or <PRTPAGE P="14"/>governmental entity. It includes a trustee, receiver, assignee, or similar representative of any of them. <E T="03">Pilotage</E> means navigation by visual reference to landmarks. <E T="03">Pilot in command</E> 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. <E T="03">Pitch setting</E> 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. <E T="03">Positive control</E> means control of all air traffic, within designated airspace, by air traffic control. <E T="03">Powered parachute</E> means a powered aircraft comprised of a flexible or semi-rigid wing connected to a fuselage so that the wing is not in position for flight until the aircraft is in motion. The fuselage of a powered parachute contains the aircraft engine, a seat for each occupant and is attached to the aircraft's landing gear. <E T="03">Powered-lift</E> 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. <E T="03">Precision approach procedure</E> means a standard instrument approach procedure in which an electronic glide slope is provided, such as ILS and PAR. <E T="03">Preventive maintenance</E> means simple or minor preservation operations and the replacement of small standard parts not involving complex assembly operations. <E T="03">Prohibited area.</E> A prohibited area is airspace designated under part 73 within which no person may operate an aircraft without the permission of the using agency. <E T="03">Propeller</E> 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. <E T="03">Public aircraft</E> means any of the following aircraft when not being used for a commercial purpose or to carry an individual other than a crewmember or qualified non-crewmenber: (1) An aircraft used only for the United States Government; an aircraft owned by the Government and operated by any person for purposes related to crew training, equipment development, or demonstration; an aircraft owned and operated by the government of a State, the District of Columbia, or a territory or possession of the United States or a political subdivision of one of these governments; or an aircraft exclusively leased for at least 90 continuous days by the government of a State, the District of Columbia, or a territory or possession of the United States or a political subdivision of one of these governments. (i) For the sole purpose of determining public aircraft status, <E T="03">commercial purposes</E> means the transportation of persons or property for compensation or hire, but does not include the operation of an aircraft by the armed forces for reimbursement when that reimbursement is required by any Federal statute, regulation, or directive, in effect on November 1, 1999, or by one government on behalf of another government under a cost reimbursement agreement if the government on whose behalf the operation is conducted certifies to the Administrator of the Federal Aviation Administration that the operation is necessary to respond to a significant and imminent threat to life or property (including natural resources) and that no service by a private operator is reasonably available to meet the threat. (ii) For the sole purpose of determining public aircraft status, <E T="03">governmental function</E> means an activity undertaken by a government, such as national defense, intelligence missions, firefighting, search and rescue, law enforcement (including transport of prisoners, detainees, and illegal aliens), <PRTPAGE P="15"/>aeronautical research, or biological or geological resource management. (iii) For the sole purpose of determining public aircraft status, <E T="03">qualified non-crewmember</E> means an individual, other than a member of the crew, aboard an aircraft operated by the armed forces or an intelligence agency of the United States Government, or whose presence is required to perform, or is associated with the performance of, a governmental function. (2) An aircraft owned or operated by the armed forces or chartered to provide transportation to the armed forces if— (i) The aircraft is operated in accordance with title 10 of the United States Code; (ii) The aircraft is operated in the performance of a governmental function under title 14, 31, 32, or 50 of the United States Code and the aircraft is not used for commercial purposes; or (iii) The aircraft is chartered to provide transportation to the armed forces and the Secretary of Defense (or the Secretary of the department in which the Coast Guard is operating) designates the operation of the aircraft as being required in the national interest. (3) An aircraft owned or operated by the National Guard of a State, the District of Columbia, or any territory or possession of the United States, and that meets the criteria of paragraph (2) of this definition, qualifies as a public aircraft only to the extent that it is operated under the direct control of the Department of Defense. <E T="03">Rated 30-second OEI Power</E>, 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 continuation of one flight operation after the failure or shutdown of one engine in multiengine rotorcraft, for up to three periods of use no longer than 30 seconds each in any one flight, and followed by mandatory inspection and prescribed maintenance action. <E T="03">Rated 2-minute OEI Power</E>, 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 continuation of one flight operation after the failure or shutdown of one engine in multiengine rotorcraft, for up to three periods of use no longer than 2 minutes each in any one flight, and followed by mandatory inspection and prescribed maintenance action. <E T="03">Rated continuous OEI power</E>, 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 or shutdown of one engine of a multiengine rotorcraft. <E T="03">Rated maximum continuous augmented thrust,</E> 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. <E T="03">Rated maximum continuous power,</E> 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. <E T="03">Rated maximum continuous thrust,</E> 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. <E T="03">Rated takeoff augmented thrust,</E> with respect to turbojet engine type certification, means the approved jet thrust <PRTPAGE P="16"/>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. <E T="03">Rated takeoff power,</E> 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. <E T="03">Rated takeoff thrust,</E> 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. <E T="03">Rated 30-minute OEI power</E>, 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 one period of use no longer than 30 minutes after the failure or shutdown of one engine of a multiengine rotorcraft. <E T="03">Rated 2<FR>1/2</FR>-minute OEI power</E>, 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 periods of use no longer than 2<FR>1/2</FR> minutes each after the failure or shutdown of one engine of a multiengine rotorcraft. <E T="03">Rating</E> means a statement that, as a part of a certificate, sets forth special conditions, privileges, or limitations. <E T="03">Reference landing speed</E> means the speed of the airplane, in a specified landing configuration, at the point where it descends through the 50 foot height in the determination of the landing distance. <E T="03">Reporting point</E> means a geographical location in relation to which the position of an aircraft is reported. <E T="03">Restricted area.</E> A restricted area is airspace designated under part 73 within which the flight of aircraft, while not wholly prohibited, is subject to restriction. <E T="03">Rocket</E> 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. <E T="03">Rotorcraft</E> means a heavier-than-air aircraft that depends principally for its support in flight on the lift generated by one or more rotors. <E T="03">Rotorcraft-load combination</E> 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) <E T="03">Class A rotorcraft-load combination</E> means one in which the external load cannot move freely, cannot be jettisoned, and does not extend below the landing gear. (2) <E T="03">Class B rotorcraft-load combination</E> means one in which the external load is jettisonable and is lifted free of land or water during the rotorcraft operation. (3) <E T="03">Class C rotorcraft-load combination</E> means one in which the external load is jettisonable and remains in contact with land or water during the rotorcraft operation. (4) <E T="03">Class D rotorcraft-load combination</E> 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. <E T="03">Route segment</E> is a portion of a route bounded on each end by a fix or navigation aid (NAVAID). <E T="03">Sea level engine</E> means a reciprocating aircraft engine having a rated takeoff power that is producible only at sea level. <E T="03">Second in command</E> means a pilot who is designated to be second in command of an aircraft during flight time.<PRTPAGE P="17"/> <E T="03">Show,</E> unless the context otherwise requires, means to show to the satisfaction of the Administrator. <E T="03">Small aircraft</E> means aircraft of 12,500 pounds or less, maximum certificated takeoff weight. <E T="03">Special VFR conditions</E> 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. <E T="03">Special VFR operations</E> 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. <E T="03">Standard atmosphere</E> means the atmosphere defined in U.S. Standard Atmosphere, 1962 (Geopotential altitude tables). <E T="03">Stopway</E> 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. <E T="03">Suitable RNAV system</E> is an RNAV system that meets the required performance established for a type of operation, e.g. IFR; and is suitable for operation over the route to be flown in terms of any performance criteria (including accuracy) established by the air navigation service provider for certain routes (e.g. oceanic, ATS routes, and IAPs). An RNAV system's suitability is dependent upon the availability of ground and/or satellite navigation aids that are needed to meet any route performance criteria that may be prescribed in route specifications to navigate the aircraft along the route to be flown. Information on suitable RNAV systems is published in FAA guidance material. <E T="03">Synthetic vision</E> means a computer-generated image of the external scene topography from the perspective of the flight deck that is derived from aircraft attitude, high-precision navigation solution, and database of terrain, obstacles and relevant cultural features. <E T="03">Synthetic vision</E> system means an electronic means to display a synthetic vision image of the external scene topography to the flight crew. <E T="03">Takeoff power:</E> (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. <E T="03">Takeoff safety speed</E> means a referenced airspeed obtained after lift-off at which the required one-engine-inoperative climb performance can be achieved. <E T="03">Takeoff thrust,</E> 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. <E T="03">Tandem wing configuration</E> means a configuration having two wings of similar span, mounted in tandem. <E T="03">TCAS I</E> means a TCAS that utilizes interrogations of, and replies from, airborne radar beacon transponders and provides traffic advisories to the pilot. <E T="03">TCAS II</E> 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. <E T="03">TCAS III</E> means a TCAS that utilizes interrogation of, and replies from, airborne radar beacon transponders and <PRTPAGE P="18"/>provides traffic advisories and resolution advisories in the vertical and horizontal planes to the pilot. <E T="03">Time in service,</E> 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. <E T="03">Traffic pattern</E> means the traffic flow that is prescribed for aircraft landing at, taxiing on, or taking off from, an airport. <E T="03">True airspeed</E> means the airspeed of an aircraft relative to undisturbed air. True airspeed is equal to equivalent airspeed multiplied by (ρ0/ρ)<FR>1/2</FR>. <E T="03">Type:</E> (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 (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. <E T="03">United States,</E> 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. <E T="03">United States air carrier</E> means a citizen of the United States who undertakes directly by lease, or other arrangement, to engage in air transportation. <E T="03">VFR over-the-top,</E> 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. <E T="03">Warning area.</E> 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. <E T="03">Weight-shift-control aircraft</E> means a powered aircraft with a framed pivoting wing and a fuselage controllable only in pitch and roll by the pilot's ability to change the aircraft's center of gravity with respect to the wing. Flight control of the aircraft depends on the wing's ability to flexibly deform rather than the use of control surfaces. <E T="03">Winglet or tip fin</E> means an out-of-plane surface extending from a lifting surface. The surface may or may not have control surfaces. <CITA>[Doc. No. 1150, 27 FR 4588, May 15, 1962]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> For <E T="04">Federal Register</E> citations affecting § 1.1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. </EDNOTE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 1-64, 74 FR 53384, Oct. 16, 2009, § 1.1 was amended by revising the definition of “Approved”, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 1.1</SECTNO> <SUBJECT>General definitions.</SUBJECT> <STARS/> <E T="03">Approved</E>, unless used with reference to another person, means approved by the FAA or any person to whom the FAA has delegated its authority in the matter concerned, or approved under the provisions of a bilateral agreement between the United States and a foreign country or jurisdiction.<STARS/> </SECTION> <SECTION> <SECTNO>§ 1.2</SECTNO> <SUBJECT>Abbreviations and symbols.</SUBJECT> <EXT-XREF HREF="20091016" REFID="29">Link to an amendment published at 74 FR 53384, October 16, 2009.</EXT-XREF> In subchapters A through K of this chapter: <E T="03">AFM</E> means airplane flight manual. <E T="03">AGL</E> means above ground level. <E T="03">ALS</E> means approach light system. <E T="03">APU</E> means auxiliary power unit. <E T="03">ASR</E> means airport surveillance radar. <E T="03">ATC</E> means air traffic control. <E T="03">ATS</E> means Air Traffic Service. <E T="03">CAMP</E> means continuous airworthiness maintenance program. <E T="03">CAS</E> means calibrated airspeed. <E T="03">CAT II</E> means Category II. <E T="03">CHDO</E> means an FAA Flight Standards certificate holding district office.<PRTPAGE P="19"/> <E T="03">CMP</E> means configuration, maintenance, and procedures. <E T="03">CONSOL</E> or <E T="03">CONSOLAN</E> means a kind of low or medium frequency long range navigational aid. <E T="03">DH</E> means decision height. <E T="03">DME</E> means distance measuring equipment compatible with TACAN. <E T="03">EAS</E> means equivalent airspeed. <E T="03">EFVS</E> means enhanced flight vision system. <E T="03">Equi-Time Point</E> means a point on the route of flight where the flight time, considering wind, to each of two selected airports is equal. <E T="03">ETOPS</E> means extended operations. <E T="03">EWIS</E>, as defined by § 25.1701 of this chapter, means electrical wiring interconnection system. <E T="03">FAA</E> means Federal Aviation Administration. <E T="03">FFS</E> means full flight simulator. <E T="03">FM</E> means fan marker. <E T="03">FSTD</E> means flight simulation training device. <E T="03">FTD</E> means flight training device. <E T="03">GS</E> means glide slope. <E T="03">HIRL</E> means high-intensity runway light system. <E T="03">IAS</E> means indicated airspeed. <E T="03">ICAO</E> means International Civil Aviation Organization. <E T="03">IFR</E> means instrument flight rules. <E T="03">IFSD</E> means in-flight shutdown. <E T="03">ILS</E> means instrument landing system. <E T="03">IM</E> means ILS inner marker. <E T="03">INT</E> means intersection. <E T="03">LDA</E> means localizer-type directional aid. <E T="03">LFR</E> means low-frequency radio range. <E T="03">LMM</E> means compass locator at middle marker. <E T="03">LOC</E> means ILS localizer. <E T="03">LOM</E> means compass locator at outer marker. <E T="03">M</E> means mach number. <E T="03">MAA</E> means maximum authorized IFR altitude. <E T="03">MALS</E> means medium intensity approach light system. <E T="03">MALSR</E> means medium intensity approach light system with runway alignment indicator lights. <E T="03">MCA</E> means minimum crossing altitude. <E T="03">MDA</E> means minimum descent altitude. <E T="03">MEA</E> means minimum en route IFR altitude. <E T="03">MEL</E> means minimum equipment list. <E T="03">MM</E> means ILS middle marker. <E T="03">MOCA</E> means minimum obstruction clearance altitude. <E T="03">MRA</E> means minimum reception altitude. <E T="03">MSL</E> means mean sea level. <E T="03">NDB (ADF)</E> means nondirectional beacon (automatic direction finder). <E T="03">NM</E> means nautical mile. <E T="03">NOPAC</E> means North Pacific area of operation. <E T="03">NOPT</E> means no procedure turn required. <E T="03">OEI</E> means one engine inoperative. <E T="03">OM</E> means ILS outer marker. <E T="03">OPSPECS</E> means operations specifications. <E T="03">PACOTS</E> means Pacific Organized Track System. <E T="03">PAR</E> means precision approach radar. <E T="03">PTRS</E> means Performance Tracking and Reporting System. <E T="03">RAIL</E> means runway alignment indicator light system. <E T="03">RBN</E> means radio beacon. <E T="03">RCLM</E> means runway centerline marking. <E T="03">RCLS</E> means runway centerline light system. <E T="03">REIL</E> means runway end identification lights. <E T="03">RFFS</E> means rescue and firefighting services. <E T="03">RNAV</E> means area navigation. <E T="03">RR</E> means low or medium frequency radio range station. <E T="03">RVR</E> means runway visual range as measured in the touchdown zone area. <E T="03">SALS</E> means short approach light system. <E T="03">SATCOM</E> means satellite communications. <E T="03">SSALS</E> means simplified short approach light system. <E T="03">SSALSR</E> means simplified short approach light system with runway alignment indicator lights. <E T="03">TACAN</E> means ultra-high frequency tactical air navigational aid. <E T="03">TAS</E> means true airspeed. <E T="03">TCAS</E> means a traffic alert and collision avoidance system. <E T="03">TDZL</E> means touchdown zone lights. <E T="03">TVOR</E> means very high frequency terminal omnirange station.<PRTPAGE P="20"/> <E T="03">V</E> <E T="24">A</E>means design maneuvering speed. <E T="03">V</E> <E T="24">B</E>means design speed for maximum gust intensity. <E T="03">V</E> <E T="24">C</E>means design cruising speed. <E T="03">V</E> <E T="24">D</E>means design diving speed. <E T="03">V</E> <E T="24">DF</E>/<E T="03">M</E> <E T="24">DF</E>means demonstrated flight diving speed. <E T="03">V</E> <E T="24">EF</E>means the speed at which the critical engine is assumed to fail during takeoff. <E T="03">V</E> <E T="24">F</E>means design flap speed. <E T="03">V</E> <E T="24">FC</E>/<E T="03">M</E> <E T="24">FC</E>means maximum speed for stability characteristics. <E T="03">V</E> <E T="24">FE</E>means maximum flap extended speed. <E T="03">V</E> <E T="24">FTO</E>means final takeoff speed. <E T="03">V</E> <E T="24">H</E>means maximum speed in level flight with maximum continuous power. <E T="03">V</E> <E T="24">LE</E>means maximum landing gear extended speed. <E T="03">V</E> <E T="24">LO</E>means maximum landing gear operating speed. <E T="03">V</E> <E T="24">LOF</E>means lift-off speed. <E T="03">V</E> <E T="24">MC</E>means minimum control speed with the critical engine inoperative. <E T="03">V</E> <E T="24">MO</E>/<E T="03">M</E> <E T="24">MO</E>means maximum operating limit speed. <E T="03">V</E> <E T="24">MU</E>means minimum unstick speed. <E T="03">V</E> <E T="24">NE</E>means never-exceed speed. <E T="03">V</E> <E T="24">NO</E>means maximum structural cruising speed. <E T="03">V</E> <E T="24">R</E>means rotation speed. <E T="03">V</E> <E T="24">REF</E>means reference landing speed. <E T="03">V</E> <E T="24">S</E>means the stalling speed or the minimum steady flight speed at which the airplane is controllable. <E T="03">V</E> <E T="24">S</E> <E T="52">0</E>means the stalling speed or the minimum steady flight speed in the landing configuration. <E T="03">V</E> <E T="24">S</E> <E T="52">1</E>means the stalling speed or the minimum steady flight speed obtained in a specific configuration. <E T="03">V</E> <E T="24">SR</E>means reference stall speed. <E T="03">V</E> <E T="24">SR</E> <E T="52">O</E>means reference stall speed in the landing configuration. <E T="03">V</E> <E T="24">SR</E> <E T="52">1</E>means reference stall speed in a specific configuration. <E T="03">V</E> <E T="24">SW</E>means speed at which onset of natural or artificial stall warning occurs. V<E T="54">TOSS</E>means takeoff safety speed for Category A rotorcraft. <E T="03">V</E> <E T="24">X</E>means speed for best angle of climb. <E T="03">V</E> <E T="24">Y</E>means speed for best rate of climb. <E T="03">V</E> <E T="24">1</E>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. V<E T="52">1</E>also means the minimum speed in the takeoff, following a failure of the critical engine at V<E T="52">EF</E>, at which the pilot can continue the takeoff and achieve the required height above the takeoff surface within the takeoff distance. <E T="03">V</E> <E T="24">2</E>means takeoff safety speed. <E T="03">V</E> <E T="24">2min</E>means minimum takeoff safety speed. <E T="03">VFR</E>means visual flight rules. <E T="03">VHF</E>means very high frequency. <E T="03">VOR</E>means very high frequency omnirange station. <E T="03">VORTAC</E>means collocated VOR and TACAN. <CITA>[Doc. No. 1150, 27 FR 4590, May 15, 1962]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> For <E T="04">Federal Register</E> citations affecting § 1.2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. </EDNOTE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 1-64, 74 FR 53384, Oct. 16, 2009, § 1.2 was amended by adding the abbreviations <E T="03">PMA</E> and <E T="03">TSO</E>, effective Apr. 14, 2010. For the convenience of the user, the added text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 1.2</SECTNO> <SUBJECT>Abbreviations and symbols.</SUBJECT> <STARS/> <E T="03">PMA</E> means parts manufacturer approval.<STARS/> <E T="03">TSO</E> means technical standard order.<STARS/> </SECTION> <SECTION> <SECTNO>§ 1.3</SECTNO> <SUBJECT>Rules of construction.</SUBJECT> (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) <E T="03">Shall</E> is used in an imperative sense; (2) <E T="03">May</E> is used in a permissive sense to state authority or permission to do <PRTPAGE P="21"/>the act prescribed, and the words “no person may * * *” or “a person may not * * *” mean that no person is required, authorized, or permitted to do the act prescribed; and (3) <E T="03">Includes</E> means “includes but is not limited to”. <CITA>[Doc. No. 1150, 27 FR 4590, May 15, 1962, as amended by Amdt. 1-10, 31 FR 5055, Mar. 29, 1966]</CITA> </SECTION> <PART> <EAR>Pt. 3</EAR> <HD SOURCE="HED">PART 3—GENERAL REQUIREMENTS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>3.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>3.5</SECTNO> <SUBJECT>Statements about products, parts, appliances and materials.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 49 U.S.C. 106(g), 40113, 44701, and 44704. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> 70 FR 54832, Sept. 16, 2005, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 3.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> (a) This part applies to any person who makes a record regarding: (1) A type-certificated product, or (2) A product, part, appliance or material that may be used on a type-certificated product. (b) Section 3.5(b) does not apply to records made under part 43 of this chapter. </SECTION> <SECTION> <SECTNO>§ 3.5</SECTNO> <SUBJECT>Statements about products, parts, appliances and materials.</SUBJECT> (a) <E T="03">Definitions.</E> The following terms will have the stated meanings when used in this section: <E T="03">Airworthy</E> means the aircraft conforms to its type design and is in a condition for safe operation. <E T="03">Product</E> means an aircraft, aircraft engine, or aircraft propeller. <E T="03">Record</E> means any writing, drawing, map, recording, tape, film, photograph or other documentary material by which information is preserved or conveyed in any format, including, but not limited to, paper, microfilm, identification plates, stamped marks, bar codes or electronic format, and can either be separate from, attached to or inscribed on any product, part, appliance or material. (b) <E T="03">Prohibition against fraudulent and intentionally false statements.</E> When conveying information related to an advertisement or sales transaction, no person may make or cause to be made: (1) Any fraudulent or intentionally false statement in any record about the airworthiness of a type-certificated product, or the acceptability of any product, part, appliance, or material for installation on a type-certificated product. (2) Any fraudulent or intentionally false reproduction or alteration of any record about the airworthiness of any type-certificated product, or the acceptability of any product, part, appliance, or material for installation on a type-certificated product. (c) <E T="03">Prohibition against intentionally misleading statements.</E> (1) When conveying information related to an advertisement or sales transaction, no person may make, or cause to be made, a material representation that a type-certificated product is airworthy, or that a product, part, appliance, or material is acceptable for installation on a type-certificated product in any record if that representation is likely to mislead a consumer acting reasonably under the circumstances. (2) When conveying information related to an advertisement or sales transaction, no person may make, or cause to be made, through the omission of material information, a representation that a type-certificated product is airworthy, or that a product, part, appliance, or material is acceptable for installation on a type-certificated product in any record if that representation is likely to mislead a consumer acting reasonably under the circumstances. (d) The provisions of § 3.5(b) and § 3.5(c) shall not apply if a person can show that the product is airworthy or that the product, part, appliance or material is acceptable for installation on a type-certificated product. </SECTION> </PART> </REVTXT> </EFFDNOTP> </SECTION> </REVTXT> </EFFDNOTP> </SECTION> </PART> </SUBCHAP> <SUBCHAP TYPE="P"> <PRTPAGE P="22"/> <HD SOURCE="HED">SUBCHAPTER B—PROCEDURAL RULES</HD> <PART> <EAR>Pt. 11</EAR> <HD SOURCE="HED">PART 11—GENERAL RULEMAKING PROCEDURES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Rulemaking Procedures</HD> <SECHD>Sec.</SECHD> <SECTNO>11.1 </SECTNO> <SUBJECT>To what does this part apply?</SUBJECT> <SUBJGRP> <HD SOURCE="HED">Definition of Terms</HD> <SECTNO>11.3</SECTNO> <SUBJECT>What is an advance notice of proposed rulemaking?</SUBJECT> <SECTNO>11.5</SECTNO> <SUBJECT>What is a notice of proposed rulemaking?</SUBJECT> <SECTNO>11.7</SECTNO> <SUBJECT>What is a supplemental notice of proposed rulemaking?</SUBJECT> <SECTNO>11.9</SECTNO> <SUBJECT>What is a final rule?</SUBJECT> <SECTNO>11.11</SECTNO> <SUBJECT>What is a final rule with request for comments?</SUBJECT> <SECTNO>11.13</SECTNO> <SUBJECT>What is a direct final rule?</SUBJECT> <SECTNO>11.15</SECTNO> <SUBJECT>What is a petition for exemption?</SUBJECT> <SECTNO>11.17</SECTNO> <SUBJECT>What is a petition for rulemaking?</SUBJECT> <SECTNO>11.19</SECTNO> <SUBJECT>What is a special condition?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTNO>11.21</SECTNO> <SUBJECT>What are the most common kinds of rulemaking actions for which FAA follows the Administrative Procedure Act?</SUBJECT> <SECTNO>11.23</SECTNO> <SUBJECT>Does FAA follow the same procedures in issuing all types of rules?</SUBJECT> <SECTNO>11.25</SECTNO> <SUBJECT>How does FAA issue rules?</SUBJECT> <SECTNO>11.27</SECTNO> <SUBJECT>Are there other ways FAA collects specific rulemaking recommendations before we issue an NPRM?</SUBJECT> <SECTNO>11.29</SECTNO> <SUBJECT>May FAA change its regulations without first issuing an ANPRM or NPRM?</SUBJECT> <SECTNO>11.31</SECTNO> <SUBJECT>How does FAA process direct final rules?</SUBJECT> <SECTNO>11.33</SECTNO> <SUBJECT>How can I track FAA's rulemaking activities?</SUBJECT> <SECTNO>11.35</SECTNO> <SUBJECT>Does FAA include sensitive security information and proprietary information in the Federal Docket Management System (FDMS)?</SUBJECT> <SECTNO>11.37</SECTNO> <SUBJECT>Where can I find information about an Airworthiness Directive, an airspace designation, or a petition handled in a region?</SUBJECT> <SECTNO>11.38</SECTNO> <SUBJECT>What public comment procedures does FAA follow for Special Conditions?</SUBJECT> <SECTNO>11.39</SECTNO> <SUBJECT>How may I participate in FAA's rulemaking process?</SUBJECT> <SECTNO>11.40</SECTNO> <SUBJECT>Can I get more information about a rulemaking?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Written Comments</HD> <SECTNO>11.41</SECTNO> <SUBJECT>Who may file comments?</SUBJECT> <SECTNO>11.43</SECTNO> <SUBJECT>What information must I put in my written comments?</SUBJECT> <SECTNO>11.45</SECTNO> <SUBJECT>Where and when do I file my comments?</SUBJECT> <SECTNO>11.47</SECTNO> <SUBJECT>May I ask for more time to file my comments?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Public Meetings and Other Proceedings</HD> <SECTNO>11.51</SECTNO> <SUBJECT>May I request that FAA hold a public meeting on a rulemaking action?</SUBJECT> <SECTNO>11.53</SECTNO> <SUBJECT>What takes place at a public meeting?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Petitions for Rulemaking and for Exemptions</HD> <SECTNO>11.61</SECTNO> <SUBJECT>May I ask FAA to adopt, amend, or repeal a regulation, or grant relief from the requirements of a current regulation?</SUBJECT> <SECTNO>11.63</SECTNO> <SUBJECT>How and to whom do I submit my petition for rulemaking or petition for exemption?</SUBJECT> <SECTNO>11.71</SECTNO> <SUBJECT>What information must I include in my petition for rulemaking?</SUBJECT> <SECTNO>11.73</SECTNO> <SUBJECT>How does FAA process petitions for rulemaking?</SUBJECT> <SECTNO>11.75</SECTNO> <SUBJECT>Does FAA invite public comment on petitions for rulemaking?</SUBJECT> <SECTNO>11.77</SECTNO> <SUBJECT>Is there any additional information I must include in my petition for designating airspace?</SUBJECT> <SECTNO>11.81</SECTNO> <SUBJECT>What information must I include in my petition for an exemption?</SUBJECT> <SECTNO>11.83</SECTNO> <SUBJECT>How can I operate under an exemption outside the United States?</SUBJECT> <SECTNO>11.85</SECTNO> <SUBJECT>Does FAA invite public comment on petitions for exemption?</SUBJECT> <SECTNO>11.87</SECTNO> <SUBJECT>Are there circumstances in which FAA may decide not to publish a summary of my petition for exemption?</SUBJECT> <SECTNO>11.89</SECTNO> <SUBJECT>How much time do I have to submit comments to FAA on a petition for exemption?</SUBJECT> <SECTNO>11.91</SECTNO> <SUBJECT>How does FAA inform me of its decision on my petition for exemption?</SUBJECT> <SECTNO>11.101</SECTNO> <SUBJECT>May I ask FAA to reconsider my petition for rulemaking or petition for exemption if it is denied?</SUBJECT> <SECTNO>11.103</SECTNO> <SUBJECT>What exemption relief may be available to federal, state, and local governments when operating aircraft that are not public aircraft?</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Paperwork Reduction Act Control Numbers</HD> <SECTNO>11.201</SECTNO> <SUBJECT>Office of Management and Budget (OMB) control numbers assigned under the Paperwork Reduction Act.</SUBJECT> <APP>Appendix 1 to Part 11—Oral Communications With the Public During Rulemaking</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 49 U.S.C. 106(g), 40101, 40103, 40105, 40109, 40113, 44110, 44502, 44701-44702, 44711, and 46102. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, unless otherwise noted. </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> Nomenclature changes to part 11 appear at 61 FR 18052, April 24, 1996. </EDNOTE> <SUBPART> <PRTPAGE P="23"/> <HD SOURCE="HED">Subpart A—Rulemaking Procedures</HD> <SECTION> <SECTNO>§ 11.1</SECTNO> <SUBJECT>To what does this part apply?</SUBJECT> 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). </SECTION> <SUBJGRP> <HD SOURCE="HED">Definition of Terms</HD> <SECTION> <SECTNO>§ 11.3</SECTNO> <SUBJECT>What is an advance notice of proposed rulemaking?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.5</SECTNO> <SUBJECT>What is a notice of proposed rulemaking?</SUBJECT> A notice of proposed rulemaking (NPRM) proposes FAA's specific regulatory changes for public comment and contains supporting information. It includes proposed regulatory text. </SECTION> <SECTION> <SECTNO>§ 11.7</SECTNO> <SUBJECT>What is a supplemental notice of proposed rulemaking?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.9</SECTNO> <SUBJECT>What is a final rule?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.11</SECTNO> <SUBJECT>What is a final rule with request for comments?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.13</SECTNO> <SUBJECT>What is a direct final rule?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.15</SECTNO> <SUBJECT>What is a petition for exemption?</SUBJECT> A petition for exemption is a request to FAA by an individual or entity asking for relief from the requirements of a current regulation. </SECTION> <SECTION> <SECTNO>§ 11.17</SECTNO> <SUBJECT>What is a petition for rulemaking?</SUBJECT> A petition for rulemaking is a request to FAA by an individual or entity asking the FAA to adopt, amend, or repeal a regulation. </SECTION> <SECTION> <SECTNO>§ 11.19</SECTNO> <SUBJECT>What is a special condition?</SUBJECT> A special condition is a regulation that applies to a particular aircraft design. The FAA issues special conditions when we find that the airworthiness <PRTPAGE P="24"/>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. </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTION> <SECTNO>§ 11.21</SECTNO> <SUBJECT>What are the most common kinds of rulemaking actions for which FAA follows the Administrative Procedure Act?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.23</SECTNO> <SUBJECT>Does FAA follow the same procedures in issuing all types of rules?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.25</SECTNO> <SUBJECT>How does FAA issue rules?</SUBJECT> (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 <E T="04">Federal Register</E> unless we name and personally serve a copy of a rule on every person subject to it. We also make all documents available to the public by posting them in the Federal Docket Management System at <E T="03">http://www.regulations.gov.</E> (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. <CITA>[Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 11.27</SECTNO> <SUBJECT>Are there other ways FAA collects specific rulemaking recommendations before we issue an NPRM?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.29</SECTNO> <SUBJECT>May FAA change its regulations without first issuing an ANPRM or NPRM?</SUBJECT> 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 <PRTPAGE P="25"/>first issuing an ANPRM or NPRM in the following situations: (a) We may issue a final rule without first requesting public comment if, for good cause, we find that an NPRM is impracticable, unnecessary, or 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. </SECTION> <SECTION> <SECTNO>§ 11.31</SECTNO> <SUBJECT>How does FAA process direct final rules?</SUBJECT> (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 <E T="04">Federal Register.</E> 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 <E T="04">Federal Register,</E> 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 <E T="04">Federal Register</E> 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. </SECTION> <SECTION> <SECTNO>§ 11.33</SECTNO> <SUBJECT>How can I track FAA's rulemaking activities?</SUBJECT> The best ways to track FAA's rulemaking activities are with the docket number or the regulation identifier number. (a) <E T="03">Docket ID.</E> We assign a docket ID to each rulemaking document proceeding. Each rulemaking document FAA issues in a particular rulemaking proceeding, as well as public comments on the proceeding, will display the same docket ID. This ID allows you to search the Federal Docket Management System (FDMS) for information on most rulemaking proceedings. You can view and copy docket materials during regular business hours at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. Or you can view and download docketed materials through the Internet at <E T="03">http://www.regulations.gov.</E> If you can't find the material in the electronic docket, contact the person listed under <E T="02">FOR FURTHER INFORMATION CONTACT</E> in the document you are interested in. (b) <E T="03">Regulation identifier number.</E> 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 <E T="04">Federal Register</E> 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 <E T="04">Federal Register</E> and makes it easy for you to track those rulemaking proceedings in both the <E T="04">Federal Register</E> and the semiannual regulatory agenda. <CITA>[Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <PRTPAGE P="26"/> <SECTNO>§ 11.35</SECTNO> <SUBJECT>Does FAA include sensitive security information and proprietary information in the Federal Docket Management System (FDMS)?</SUBJECT> (a) <E T="03">Sensitive security information.</E> 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 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) <E T="03">Proprietary information.</E> 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. <CITA>[Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 11.37</SECTNO> <SUBJECT>Where can I find information about an Airworthiness Directive, an airspace designation, or a petition handled in a region?</SUBJECT> 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 <E T="02">FOR FURTHER INFORMATION CONTACT</E> in the <E T="04">Federal Register</E> document about the action. </SECTION> <SECTION> <SECTNO>§ 11.38</SECTNO> <SUBJECT>What public comment procedures does the FAA follow for Special Conditions?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.39</SECTNO> <SUBJECT>How may I participate in FAA's rulemaking process?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.40</SECTNO> <SUBJECT>Can I get more information about a rulemaking?</SUBJECT> You can contact the person listed under <E T="02">FOR FURTHER INFORMATION CONTACT</E> 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. </SECTION> </SUBJGRP> <SUBJGRP> <PRTPAGE P="27"/> <HD SOURCE="HED">Written Comments</HD> <SECTION> <SECTNO>§ 11.41</SECTNO> <SUBJECT>Who may file comments?</SUBJECT> Anyone may file written comments about proposals and final rules that request public comments. </SECTION> <SECTION> <SECTNO>§ 11.43</SECTNO> <SUBJECT>What information must I put in my written comments?</SUBJECT> (a) Your written comments must be in English and must contain the following: (1) The docket number of the rulemaking document you are commenting 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. </SECTION> <SECTION> <SECTNO>§ 11.45</SECTNO> <SUBJECT>Where and when do I file my comments?</SUBJECT> (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 Federal Document Management System, you may send them in either of the following ways: (1) By mail to: U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. (2) Through the Internet to <E T="03">http://www.regulations.gov.</E> (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 Federal Docket Management System Web site. <CITA>[Docket No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 11.47</SECTNO> <SUBJECT>May I ask for more time to file my comments?</SUBJECT> 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 <E T="04">Federal Register.</E> 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. </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Public Meetings and Other Proceedings</HD> <SECTION> <SECTNO>§ 11.51</SECTNO> <SUBJECT>May I request that FAA hold a public meeting on a rulemaking action?</SUBJECT> 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 <PRTPAGE P="28"/>notice of the meeting in the <E T="04">Federal Register.</E> </SECTION> <SECTION> <SECTNO>§ 11.53</SECTNO> <SUBJECT>What takes place at a public meeting?</SUBJECT> A public meeting is a non-adversarial, fact-finding proceeding conducted by an FAA representative. Public meetings are announced in the <E T="04">Federal Register.</E> 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. </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Petitions for Rulemaking and for Exemption</HD> <SECTION> <SECTNO>§ 11.61</SECTNO> <SUBJECT>May I ask FAA to adopt, amend, or repeal a regulation, or grant relief from the requirements of a current regulation?</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 11.63</SECTNO> <SUBJECT>How and to whom do I submit my petition for rulemaking or petition for exemption?</SUBJECT> (a) To submit a petition for rulemaking or exemption— (1) By electronic submission, submit your petition for rulemaking or exemption to FAA through the Internet at <E T="03">http://www.regulations.gov</E>, the Federal Docket Management System Web site. For additional instructions, you may visit <E T="03">http://www.faa.gov/regulations</E>. (2) By paper submission, send the original signed copy of your petition for rulemaking or exemption to this address: U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. (b) Submit a petition for rulemaking or exemption from part 139 of this chapter— (1) To the appropriate FAA airport field office in whose area your airport is, or will be, established; and (2) To the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590 or by electronic submission to this Internet address: <E T="03">http://www.regulations.gov</E>. (c) The FAA may designate other means by which you can submit petitions in the future. (d) Submit your petition for exemption 120 days before you need the exemption to take effect. <CITA>[Amdt. 11-50, 69 FR 22386, Apr. 26, 2004, as amended at 72 FR 68474, Dec. 5, 2007; Amdt. 11-55, 74 FR 202, Jan. 5, 2009]</CITA> </SECTION> <SECTION> <SECTNO>§ 11.71</SECTNO> <SUBJECT>What information must I include in my petition for rulemaking?</SUBJECT> (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.<PRTPAGE P="29"/> (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. </SECTION> <SECTION> <SECTNO>§ 11.73</SECTNO> <SUBJECT>How does FAA process petitions for rulemaking?</SUBJECT> 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. (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. </SECTION> <SECTION> <SECTNO>§ 11.75</SECTNO> <SUBJECT>Does FAA invite public comment on petitions for rulemaking?</SUBJECT> Generally, FAA does not invite public comment on petitions for rulemaking. </SECTION> <SECTION> <SECTNO>§ 11.77</SECTNO> <SUBJECT>Is there any additional information I must include in my petition for designating airspace?</SUBJECT> 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 § 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. </SECTION> <SECTION> <SECTNO>§ 11.81</SECTNO> <SUBJECT>What information must I include in my petition for an exemption?</SUBJECT> 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 <PRTPAGE P="30"/>to that provided by the rule from which you seek the exemption; (f) A summary we can publish in the <E T="04">Federal Register,</E> 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. </SECTION> <SECTION> <SECTNO>§ 11.83</SECTNO> <SUBJECT>How can I operate under an exemption outside the United States?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.85</SECTNO> <SUBJECT>Does FAA invite public comment on petitions for exemption?</SUBJECT> Yes, FAA publishes information about petitions for exemption in the <E T="04">Federal Register.</E> 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. </SECTION> <SECTION> <SECTNO>§ 11.87</SECTNO> <SUBJECT>Are there circumstances in which FAA may decide not to publish a summary of my petition for exemption?</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 11.89</SECTNO> <SUBJECT>How much time do I have to submit comments to FAA on a petition for exemption?</SUBJECT> The FAA states the specific time allowed for comments in the <E T="04">Federal Register</E> notice about the petition. We usually allow 20 days to comment on a petition for exemption. </SECTION> <SECTION> <SECTNO>§ 11.91</SECTNO> <SUBJECT>How does FAA inform me of its decision on my petition for exemption?</SUBJECT> The FAA will notify you in writing about its decision on your petition. A copy of this decision is also placed in the public docket. We will include the docket number associated with your petition in our letter to you. <CITA>[Docket No. FAA-2005-22982, 71 FR 1485, Jan. 10, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 11.101</SECTNO> <SUBJECT>May I ask FAA to reconsider my petition for rulemaking or petition for exemption if it is denied?</SUBJECT> 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<PRTPAGE P="31"/> (c) That we did not correctly interpret a law, regulation, or precedent. </SECTION> <SECTION> <SECTNO>§ 11.103</SECTNO> <SUBJECT>What exemption relief may be available to federal, state, and local governments when operating aircraft that are not public aircraft?</SUBJECT> The Federal Aviation Administration may grant a federal, state, or local government an exemption from part A of subtitle VII of title 49 United States Code, and any regulation issued under that authority that is applicable to an aircraft as a result of the Independent Safety Board Act Amendments of 1994, Public Law 103-411, if— (a) The Administrator finds that granting the exemption is necessary to prevent an undue economic burden on the unit of government; and (b) The Administrator certifies that the aviation safety program of the unit of government is effective and appropriate to ensure safe operations of the type of aircraft operated by the unit of government. <CITA>[68 FR 25488, May 13, 2003]</CITA> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Paperwork Reduction Act Control Numbers</HD> <SECTION> <SECTNO>§ 11.201</SECTNO> <SUBJECT>Office of Management and Budget (OMB) control numbers assigned under the Paperwork Reduction Act.</SUBJECT> (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 <E T="04">Federal Register.</E> 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: <GPOTABLE CDEF="L2,tp0,i1,s40,r100" COLS="2"> <BOXHD> <CHED H="1">14 CFR part or<LI>section identified and described</LI> </CHED> <CHED H="1">Current OMB control number</CHED> </BOXHD> <ROW> <ENT I="01">Part 14</ENT> <ENT>2120-0539</ENT> </ROW> <ROW> <ENT I="01">Part 17</ENT> <ENT>2120-0632</ENT> </ROW> <ROW> <ENT I="01">Part 21</ENT> <ENT>2120-0018, 2120-0552</ENT> </ROW> <ROW> <ENT I="01">Part 34</ENT> <ENT>2120-0508</ENT> </ROW> <ROW> <ENT I="01">Part 39</ENT> <ENT>2120-0056</ENT> </ROW> <ROW> <ENT I="01">Part 43</ENT> <ENT>2120-0020</ENT> </ROW> <ROW> <ENT I="01">Part 45</ENT> <ENT>2120-0508</ENT> </ROW> <ROW> <ENT I="01">Part 47</ENT> <ENT>2120-0024, 2120-0042</ENT> </ROW> <ROW> <ENT I="01">Part 49</ENT> <ENT>2120-0043</ENT> </ROW> <ROW> <ENT I="01">Part 60</ENT> <ENT>2120-0680</ENT> </ROW> <ROW> <ENT I="01">Part 61</ENT> <ENT>2120-0021, 2120-0034, 2120-0543, 2120-0571</ENT> </ROW> <ROW> <ENT I="01">Part 63</ENT> <ENT>2120-0007</ENT> </ROW> <ROW> <ENT I="01">Part 65</ENT> <ENT>2120-0022, 2120-0535, 2120-0571, 2120-0648</ENT> </ROW> <ROW> <ENT I="01">Part 67</ENT> <ENT>2120-0034, 2120-0543</ENT> </ROW> <ROW> <ENT I="01">Part 77</ENT> <ENT>2120-0001</ENT> </ROW> <ROW> <ENT I="01">Part 91</ENT> <ENT>2120-0005, 2120-0026, 2120-0027, 2120-0573, 2120-0606, 2120-0620, 2120-0631, 2120-0651</ENT> </ROW> <ROW> <ENT I="01">Part 93</ENT> <ENT>2120-0524, 2120-0606, 2120-0639</ENT> </ROW> <ROW> <ENT I="01">Part 101</ENT> <ENT>2120-0027</ENT> </ROW> <ROW> <ENT I="01">Part 105</ENT> <ENT>2120-0027, 2120-0641</ENT> </ROW> <ROW> <ENT I="01">Part 107</ENT> <ENT>2120-0075, 2120-0554, 2120-0628</ENT> </ROW> <ROW> <ENT I="01">Part 108</ENT> <ENT>2120-0098, 2120-0554, 2120-0577, 2120-0628, 2120-0642</ENT> </ROW> <ROW> <ENT I="01">Part 109</ENT> <ENT>2120-0505</ENT> </ROW> <ROW> <ENT I="01">Part 119</ENT> <ENT>2120-0593</ENT> </ROW> <ROW> <ENT I="01">Part 121</ENT> <ENT>2120-0008, 2120-0028, 2120-0535, 2120-0571, 2120-0600, 2120-0606, 2120-0614, 2120-0616, 2120-0631, 2120-0651, 2120-0653, 2120-0691, 2120-0702</ENT> </ROW> <ROW> <ENT I="01">Part 125</ENT> <ENT>2120-0028, 2120-0085, 2120-0616, 2120-0651</ENT> </ROW> <ROW> <ENT I="01">Part 129</ENT> <ENT>2120-0028, 2120-0536, 2120-0616, 2120-0638</ENT> </ROW> <ROW> <ENT I="01">Part 133</ENT> <ENT>2120-0044</ENT> </ROW> <ROW> <ENT I="01">Part 135</ENT> <ENT>2120-0003, 2120-0028, 2120-0039, 2120-0535, 2120-0571, 2120-0600, 2120-0606, 2120-0614, 2120-0616, 2120-0620, 2120-0631, 2120-0653</ENT> </ROW> <ROW> <ENT I="01">Part 137</ENT> <ENT>2120-0049</ENT> </ROW> <ROW> <ENT I="01">Part 139</ENT> <ENT>2120-0045, 2120-0063</ENT> </ROW> <ROW> <ENT I="01">Part 141</ENT> <ENT>2120-0009</ENT> </ROW> <ROW> <ENT I="01">Part 142</ENT> <ENT>2120-0570</ENT> </ROW> <ROW> <ENT I="01">Part 145</ENT> <ENT>2120-0003, 2120-0010, 2120-0571</ENT> </ROW> <ROW> <ENT I="01">Part 147</ENT> <ENT>2120-0040</ENT> </ROW> <ROW> <ENT I="01">Part 150</ENT> <ENT>2120-0517</ENT> </ROW> <ROW> <ENT I="01">Part 157</ENT> <ENT>2120-0036</ENT> </ROW> <ROW> <ENT I="01">Part 158</ENT> <ENT>2120-0557</ENT> </ROW> <ROW> <ENT I="01">Part 161</ENT> <ENT>2120-0563</ENT> </ROW> <ROW> <ENT I="01">Part 171</ENT> <ENT>2120-0014</ENT> </ROW> <ROW> <ENT I="01">Part 183</ENT> <ENT>2120-0033, 2120-0604</ENT> </ROW> <ROW> <ENT I="01">Part 193</ENT> <ENT>2120-0646</ENT> </ROW> <ROW> <ENT I="01">Part 198</ENT> <ENT>2120-0514</ENT> </ROW> <ROW> <ENT I="01">Part 400</ENT> <ENT>2120-0643, 2120-0644, 0649</ENT> </ROW> <ROW> <ENT I="01">Part 401</ENT> <ENT>2120-0608</ENT> </ROW> <ROW> <ENT I="01">Part 440</ENT> <ENT>2120-0601</ENT> </ROW> <ROW> <ENT I="01">SFAR 36</ENT> <ENT>2120-0507</ENT> </ROW> <ROW> <ENT I="01">SFAR 71</ENT> <ENT>2120-0620</ENT> </ROW> </GPOTABLE> <CITA>[Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended by Amdt. 11-47, 67 FR 9553, Mar. 1, 2002; Amdt. 11-49, 68 FR 61321, Oct. 27, 2003; Amdt. 11-49, 68 FR 70132, Dec. 17, 2003; 70 FR 40163, July 12, 2005; 71 FR 63426, Oct. 30, 2006; 72 FR 59599, Oct. 22, 2007]</CITA> </SECTION> <APPENDIX> <EAR>Pt. 11, App. 1</EAR> <HD SOURCE="HED">Appendix 1 to Part 11—Oral Communications With the Public During Rulemaking</HD> <HD SOURCE="HD2">1. What is an ex parte contact?</HD> “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 <PRTPAGE P="32"/>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. <HD SOURCE="HD2">2. Are written comments to the docket ex parte contacts?</HD> Written comments submitted to the docket are not ex parte contacts because they are available for inspection by all members of the public. <HD SOURCE="HD2">3. What is DOT policy on ex parte contacts?</HD> 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. <HD SOURCE="HD2">4. What kinds of ex parte contacts does DOT policy permit before we issue an ANPRM, NPRM, Supplemental NPRM, or immediately adopted final rule?</HD> 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. <HD SOURCE="HD2">5. Does DOT policy permit ex parte contacts during the comment period?</HD> 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 ex parte contacts during the comment period. They are not necessary to collect the information the agency needs to make its decision. <HD SOURCE="HD2">6. What if the FAA believes it needs to meet with members of the public to discuss the proposal?</HD> 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 <E T="04">Federal Register.</E> <HD SOURCE="HD2">7. Are any oral contacts concerning the proposal permitted during the comment period?</HD> 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. <HD SOURCE="HD2">8. If a substantive ex parte contact does occur during the comment period, what does FAA do?</HD> 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. <HD SOURCE="HD2">9. Does DOT policy permit ex parte contacts the comment period has closed?</HD> 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. <HD SOURCE="HD2">10. What if FAA needs to meet with interested persons to discuss the proposal after the comment period has closed?</HD> 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 <PRTPAGE P="33"/>course of action to be taken, we will announce the meeting in the <E T="04">Federal Register.</E> 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. <HD SOURCE="HD2">11. Under what circumstances will FAA reopen the comment period?</HD> 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. <HD SOURCE="HD2">12. What if I have important information for FAA and the comment period is closed?</HD> 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. </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 13</EAR> <HD SOURCE="HED">PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Investigative Procedures</HD> <SECHD>Sec.</SECHD> <SECTNO>13.1</SECTNO> <SUBJECT>Reports of violations.</SUBJECT> <SECTNO>13.3</SECTNO> <SUBJECT>Investigations (general).</SUBJECT> <SECTNO>13.5</SECTNO> <SUBJECT>Formal complaints.</SUBJECT> <SECTNO>13.7</SECTNO> <SUBJECT>Records, documents and reports.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Administrative Actions</HD> <SECTNO>13.11</SECTNO> <SUBJECT>Administrative disposition of certain violations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Legal Enforcement Actions</HD> <SECTNO>13.13</SECTNO> <SUBJECT>Consent orders.</SUBJECT> <SECTNO>13.14</SECTNO> <SUBJECT>Civil penalties: General.</SUBJECT> <SECTNO>13.15</SECTNO> <SUBJECT>Civil penalties: Other than by administrative assessment.</SUBJECT> <SECTNO>13.16</SECTNO> <SUBJECT>Civil penalties: Administrative assessment against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman. Administrative assessment against all persons for hazardous materials violations.</SUBJECT> <SECTNO>13.17</SECTNO> <SUBJECT>Seizure of aircraft.</SUBJECT> <SECTNO>13.18</SECTNO> <SUBJECT>Civil penalties: Administrative assessment against an individual acting as a pilot, flight engineer, mechanic, or repairman.</SUBJECT> <SECTNO>13.19</SECTNO> <SUBJECT>Certificate action.</SUBJECT> <SECTNO>13.20</SECTNO> <SUBJECT>Orders of compliance, cease and desist orders, orders of denial, and other orders.</SUBJECT> <SECTNO>13.21</SECTNO> <SUBJECT>Military personnel.</SUBJECT> <SECTNO>13.23</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> <SECTNO>13.25</SECTNO> <SUBJECT>Injunctions.</SUBJECT> <SECTNO>13.27</SECTNO> <SUBJECT>Final order of Hearing Officer in certificate of aircraft registration proceedings.</SUBJECT> <SECTNO>13.29</SECTNO> <SUBJECT>Civil penalties: Streamlined enforcement procedures for certain security violations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Rules of Practice for FAA Hearings</HD> <SECTNO>13.31</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>13.33</SECTNO> <SUBJECT>Appearances.</SUBJECT> <SECTNO>13.35</SECTNO> <SUBJECT>Request for hearing.</SUBJECT> <SECTNO>13.37</SECTNO> <SUBJECT>Hearing Officer's powers.</SUBJECT> <SECTNO>13.39</SECTNO> <SUBJECT>Disqualification of Hearing Officer.</SUBJECT> <SECTNO>13.41</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>13.43</SECTNO> <SUBJECT>Service and filing of pleadings, motions, and documents.</SUBJECT> <SECTNO>13.44</SECTNO> <SUBJECT>Computation of time and extension of time.</SUBJECT> <SECTNO>13.45</SECTNO> <SUBJECT>Amendment of notice and answer.</SUBJECT> <SECTNO>13.47</SECTNO> <SUBJECT>Withdrawal of notice or request for hearing.</SUBJECT> <SECTNO>13.49</SECTNO> <SUBJECT>Motions.</SUBJECT> <SECTNO>13.51</SECTNO> <SUBJECT>Intervention.</SUBJECT> <SECTNO>13.53</SECTNO> <SUBJECT>Depositions.</SUBJECT> <SECTNO>13.55</SECTNO> <SUBJECT>Notice of hearing.</SUBJECT> <SECTNO>13.57</SECTNO> <SUBJECT>Subpoenas and witness fees.</SUBJECT> <SECTNO>13.59</SECTNO> <SUBJECT>Evidence.</SUBJECT> <SECTNO>13.61</SECTNO> <SUBJECT>Argument and submittals.</SUBJECT> <SECTNO>13.63</SECTNO> <SUBJECT>Record.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act</HD> <SECTNO>13.71</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>13.73</SECTNO> <SUBJECT>Notice of proposed order of compliance.</SUBJECT> <SECTNO>13.75</SECTNO> <SUBJECT>Reply or request for hearing.</SUBJECT> <SECTNO>13.77</SECTNO> <SUBJECT>Consent order of compliance.</SUBJECT> <SECTNO>13.79</SECTNO> <SUBJECT>Hearing.</SUBJECT> <SECTNO>13.81</SECTNO> <SUBJECT>Order of immediate compliance.</SUBJECT> <SECTNO>13.83</SECTNO> <SUBJECT>Appeal.</SUBJECT> <SECTNO>13.85</SECTNO> <SUBJECT>Filing, service and computation of time.</SUBJECT> <SECTNO>13.87</SECTNO> <SUBJECT>Extension of time.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation</HD> <SECTNO>13.101</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>13.103</SECTNO> <SUBJECT>Order of investigation.</SUBJECT> <SECTNO>13.105</SECTNO> <SUBJECT>Notification.</SUBJECT> <SECTNO>13.107</SECTNO> <SUBJECT>Designation of additional parties.<PRTPAGE P="34"/> </SUBJECT> <SECTNO>13.109</SECTNO> <SUBJECT>Convening the investigation.</SUBJECT> <SECTNO>13.111</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> <SECTNO>13.113</SECTNO> <SUBJECT>Noncompliance with the investigative process.</SUBJECT> <SECTNO>13.115</SECTNO> <SUBJECT>Public proceedings.</SUBJECT> <SECTNO>13.117</SECTNO> <SUBJECT>Conduct of investigative proceeding or deposition.</SUBJECT> <SECTNO>13.119</SECTNO> <SUBJECT>Rights of persons against self-incrimination.</SUBJECT> <SECTNO>13.121</SECTNO> <SUBJECT>Witness fees.</SUBJECT> <SECTNO>13.123</SECTNO> <SUBJECT>Submission by party to the investigation.</SUBJECT> <SECTNO>13.125</SECTNO> <SUBJECT>Depositions.</SUBJECT> <SECTNO>13.127</SECTNO> <SUBJECT>Reports, decisions and orders.</SUBJECT> <SECTNO>13.129</SECTNO> <SUBJECT>Post-investigation action.</SUBJECT> <SECTNO>13.131</SECTNO> <SUBJECT>Other procedures.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Rules of Practice in FAA Civil Penalty Actions</HD> <SECTNO>13.201</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>13.202</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>13.203</SECTNO> <SUBJECT>Separation of functions.</SUBJECT> <SECTNO>13.204</SECTNO> <SUBJECT>Appearances and rights of parties.</SUBJECT> <SECTNO>13.205</SECTNO> <SUBJECT>Administrative law judges.</SUBJECT> <SECTNO>13.206</SECTNO> <SUBJECT>Intervention.</SUBJECT> <SECTNO>13.207</SECTNO> <SUBJECT>Certification of documents.</SUBJECT> <SECTNO>13.208</SECTNO> <SUBJECT>Complaint.</SUBJECT> <SECTNO>13.209</SECTNO> <SUBJECT>Answer.</SUBJECT> <SECTNO>13.210</SECTNO> <SUBJECT>Filing of documents.</SUBJECT> <SECTNO>13.211</SECTNO> <SUBJECT>Service of documents.</SUBJECT> <SECTNO>13.212</SECTNO> <SUBJECT>Computation of time.</SUBJECT> <SECTNO>13.213</SECTNO> <SUBJECT>Extension of time.</SUBJECT> <SECTNO>13.214</SECTNO> <SUBJECT>Amendment of pleadings.</SUBJECT> <SECTNO>13.215</SECTNO> <SUBJECT>Withdrawal of complaint or request for hearing.</SUBJECT> <SECTNO>13.216</SECTNO> <SUBJECT>Waivers.</SUBJECT> <SECTNO>13.217</SECTNO> <SUBJECT>Joint procedural or discovery schedule.</SUBJECT> <SECTNO>13.218</SECTNO> <SUBJECT>Motions.</SUBJECT> <SECTNO>13.219</SECTNO> <SUBJECT>Interlocutory appeals.</SUBJECT> <SECTNO>13.220</SECTNO> <SUBJECT>Discovery.</SUBJECT> <SECTNO>13.221</SECTNO> <SUBJECT>Notice of hearing.</SUBJECT> <SECTNO>13.222</SECTNO> <SUBJECT>Evidence.</SUBJECT> <SECTNO>13.223</SECTNO> <SUBJECT>Standard of proof.</SUBJECT> <SECTNO>13.224</SECTNO> <SUBJECT>Burden of proof.</SUBJECT> <SECTNO>13.225</SECTNO> <SUBJECT>Offer of proof.</SUBJECT> <SECTNO>13.226</SECTNO> <SUBJECT>Public disclosure of evidence.</SUBJECT> <SECTNO>13.227</SECTNO> <SUBJECT>Expert or opinion witnesses.</SUBJECT> <SECTNO>13.228</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> <SECTNO>13.229</SECTNO> <SUBJECT>Witness fees.</SUBJECT> <SECTNO>13.230</SECTNO> <SUBJECT>Record.</SUBJECT> <SECTNO>13.231</SECTNO> <SUBJECT>Argument before the administrative law judge.</SUBJECT> <SECTNO>13.232</SECTNO> <SUBJECT>Initial decision.</SUBJECT> <SECTNO>13.233</SECTNO> <SUBJECT>Appeal from initial decision.</SUBJECT> <SECTNO>13.234</SECTNO> <SUBJECT>Petition to reconsider or modify a final decision and order of the FAA decisionmaker on appeal.</SUBJECT> <SECTNO>13.235</SECTNO> <SUBJECT>Judicial review of a final decision and order.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Civil Monetary Penalty Inflation Adjustment</HD> <SECTNO>13.301</SECTNO> <SUBJECT>Scope and purpose.</SUBJECT> <SECTNO>13.303</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>13.305</SECTNO> <SUBJECT>Cost of living adjustments of civil monetary penalties.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Flight Operational Quality Assurance Programs</HD> <SECTNO>13.401</SECTNO> <SUBJECT>Flight Operational Quality Assurance program: Prohibition against use of data for enforcement purposes.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C. 106(g), 5121-5128, 40113-40114, 44103-44106, 44702-44703, 44709-44710, 44713, 46101-46111, 46301, 46302 (for a violation of 49 U.S.C. 46504), 46304-46316, 46318, 46501-46502, 46504-46507, 47106, 47107, 47111, 47122, 47306, 47531-47532; 49 CFR 1.47. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 18884, 44 FR 63723, Nov. 5, 1979, unless otherwise noted. </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—Investigative Procedures</HD> <SECTION> <SECTNO>§ 13.1</SECTNO> <SUBJECT>Reports of violations.</SUBJECT> (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. <CITA>[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-17, 53 FR 33783, Aug. 31, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.3</SECTNO> <SUBJECT>Investigations (general).</SUBJECT> (a) Under the Federal Aviation Act of 1958, as amended, (49 U.S.C. 1301 <E T="03">et seq.</E>), the Hazardous Materials Transportation Act (49 U.S.C. 1801 <E T="03">et seq.</E>), the Airport and Airway Development Act of 1970 (49 U.S.C. 1701 <E T="03">et seq.</E>), the Airport and Airway Improvement Act of 1982 (49 U.S.C. 2201 <E T="03">et seq.</E>), the Airport <PRTPAGE P="35"/>and Airway Improvement Act of 1982 (as amended, 49 U.S.C. App. 2201 <E T="03">et seq.,</E> Airport and Airway Safety and Capacity Expansion Act of 1987), and the Regulations of the Office of the Secretary of Transportation (49 CFR 1 <E T="03">et seq.</E>), 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 § 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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.5</SECTNO> <SUBJECT>Formal complaints.</SUBJECT> (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 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 § 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.<PRTPAGE P="36"/> (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 § 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 § 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. <SECAUTH>(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)))</SECAUTH> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.7</SECTNO> <SUBJECT>Records, documents and reports.</SUBJECT> 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, documents and reports may be used in any civil penalty action, certificate action, or other legal proceeding. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Administrative Actions</HD> <SECTION> <SECTNO>§ 13.11</SECTNO> <SUBJECT>Administrative disposition of certain violations.</SUBJECT> (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. </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="37"/> <HD SOURCE="HED">Subpart C—Legal Enforcement Actions</HD> <SECTION> <SECTNO>§ 13.13</SECTNO> <SUBJECT>Consent orders.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.14</SECTNO> <SUBJECT>Civil penalties: General.</SUBJECT> (a) Any person who violates any of the following statutory provisions, or any rule, regulation, or order issued thereunder, is subject to a civil penalty of not more than the amount specified in 49 U.S.C. chapter 463 for each violation: (1) Chapter 401 (except sections 40103(a) and (d), 40105, 40116, and 40117); (2) Chapter 441 (except section 44109); (3) Section 44502(b) or (c); (4) Chapter 447 (except sections 44717 and 44719-44723); (5) Chapter 451; (6) Sections 46301(b), 46302 (for a violation of 49 U.S.C. 46504), or 46318; (7) Section 47107(b); or (8) Sections 47528 through 47530. (b) Any person who knowingly commits an act in violation of 49 U.S.C. chapter 51 or a regulation prescribed or order issued under that chapter, is subject to a civil penalty under 49 U.S.C. 5123. (c) The minimum and maximum amounts of civil penalties for violations of the statutory provisions specified in paragraphs (a) and (b) of this section, or rules, regulations, or orders issued thereunder, are periodically adjusted for inflation in accordance with the formula established in 28 U.S.C. 2461 note and implemented in 14 CFR part 13, subpart H. <CITA>[Amdt. 13-32; 69 FR 59495, Oct. 4, 2004; Amdt. 13-32; 70 FR 1813, Jan. 11, 2005; 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.15</SECTNO> <SUBJECT>Civil penalties: Other than by administrative assessment.</SUBJECT> (a) The FAA uses the procedures in this section when it seeks a civil penalty other than by the administrative assessment procedures in §§ 13.16 or 13.18. (b) The authority of the Administrator, under 49 U.S.C. chapter 463, to seek a civil penalty for a violation cited in § 13.14(a), 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 sought by the Administrator is delegated to the Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; the Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. This delegation applies to cases involving: (1) An amount in controversy in excess of: (i) $50,000, if the violation was committed by any person before December 12, 2003; (ii) $400,000, if the violation was committed by a person other than an individual or small business concern on or after December 12, 2003; (iii) $50,000, if the violation was committed by an individual or small business concern on or after December 12, 2003; or (2) An in rem action, seizure of aircraft subject to lien, suit for injunctive relief, or for collection of an assessed civil penalty. (c) The Administrator may compromise any civil penalty proposed under this section, before referral to the United States Attorney General, or <PRTPAGE P="38"/>the delegate of the Attorney General, for prosecution. (1) The Administrator, through the Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; the Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; or the Technical Center Counsel sends a civil penalty letter to the person charged with a violation cited in § 13.14(a). 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 must send to the agency attorney a certified check or money order for that amount, payable to the Federal Aviation Administration. The Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; the Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; 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 49 U.S.C. 46305, to prosecute and collect the civil penalty. <CITA>[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; Amdt. 13-32; 69 FR 59495, Oct. 4, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.16</SECTNO> <SUBJECT>Civil Penalties: Administrative assessment against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman. Administrative assessment against all persons for hazardous materials violations.</SUBJECT> (a) The FAA uses these procedures when it assesses a civil penalty against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman for a violation cited in the first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or any implementing rule, regulation or order. (b) <E T="03">District court jurisdiction.</E> Notwithstanding the provisions of paragraph (a) of this section, the United States district courts have exclusive jurisdiction of any civil penalty action initiated by the FAA for violations described in those paragraphs, under 49 U.S.C. 46301(d)(4), if— (1) The amount in controversy is more than $50,000 for a violation committed by any person before December 12, 2003; (2) The amount in controversy is more than $400,000 for a violation committed by a person other than an individual or small business concern on or after December 12, 2003; (3) The amount in controversy is more than $50,000 for a violation committed by an individual or a small business concern on or after December 12, 2003; (4) The action is in rem or another action in rem based on the same violation has been brought;<PRTPAGE P="39"/> (5) The action involves an aircraft subject to a lien that has been seized by the Government; or (6) Another action has been brought for an injunction based on the same violation. (c) <E T="03">Hazardous materials violations.</E> The FAA may assess a civil penalty against any person who knowingly commits an act in violation of 49 U.S.C. chapter 51 or a regulation prescribed or order issued under that chapter, under 49 U.S.C. 5123 and 49 CFR 1.47(k). An order assessing a civil penalty for a violation under 49 U.S.C. chapter 51, or a rule, regulation, or order issued thereunder, is issued only after the following factors have been considered: (1) The nature, circumstances, extent, and gravity of the violation; (2) With respect to the violator, the degree of culpability, any history of prior violations, the ability to pay, and any effect on the ability to continue to do business; and (3) Such other matters as justice may require. (d) <E T="03">Order assessing civil penalty.</E> An order assessing civil penalty may be issued for a violation described in paragraphs (a) or (c) 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 (g)(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. (e) <E T="03">Delegation of authority.</E> (1) The authority of the Administrator under 49 U.S.C. 46301(d), 47531, and 5123, and 49 CFR 1.47(k) to initiate and assess civil penalties for a violation of those statutes or a rule, regulation, or order issued thereunder, is delegated to the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; the Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (2) The authority of the Administrator under 49 U.S.C. 5123, 49 CFR 1.47(k), 49 U.S.C. 46301(d), and 49 U.S.C. 46305 to refer cases to the Attorney General of the United States, or the delegate of the Attorney General, for collection of civil penalties is delegated to the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (3) The authority of the Administrator under 49 U.S.C. 46301(f) to compromise the amount of a civil penalty imposed is delegated to the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (4) The authority of the Administrator under 49 U.S.C. 5123 (e) and (f) and 49 CFR 1.47(k) to compromise the amount of a civil penalty imposed is delegated to the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (f) <E T="03">Notice of proposed civil penalty.</E> A civil penalty action is initiated by <PRTPAGE P="40"/>sending a notice of proposed civil penalty to the person charged with a violation or to the agent for services for the person under 49 U.S.C. 46103. 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. (g) <E T="03">Final notice of proposed civil penalty.</E> A final notice of proposed civil penalty may be issued after participation in informal procedures provided in paragraph (f)(2) of this section or failure to respond in a timely 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 (f)(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 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. (h) Request for a hearing. Any person charged with a violation may request a hearing, pursuant to paragraph (f)(3) or paragraph (g)(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, using the appropriate address set forth in § 13.210(a) of this part, and shall mail a copy of the <PRTPAGE P="41"/>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. (i) <E T="03">Hearing.</E> If the person charged with a violation requests a hearing pursuant to paragraph (f)(3) or paragraph (g)(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. (j) <E T="03">Appeal.</E> 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 § 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. (k) <E T="03">Payment.</E> 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. (l) <E T="03">Collection of civil penalties.</E> If an individual does not pay a civil penalty imposed by an order assessing civil penalty or other final order, the Administrator may take action provided under the law to collect the penalty. (m) A party may seek review only of a final decision and order of the FAA decisionmaker involving a violation of the Federal aviation statute or the Federal hazardous materials transportation law. Judicial review is in the United States Court of Appeals for the District of Columbia Circuit or the United States court of appeals for the circuit in which the party resides or has the party's principal place of business as provided in § 13.235 of this part. Neither an initial decision or an order issued by an administrative law judge that has not been appealed to the FAA decisionmaker, nor an order compromising a civil penalty action, may be appealed under any of those sections. (n) <E T="03">Compromise.</E> The FAA may compromise the amount of any civil penalty imposed under this section, under 49 U.S.C. 5123(e), 46031(f), 46303(b), or 46318 at any time before referring the action to the United States Attorney General, or the delegate of the Attorney General, for collection. (1) An agency attorney may compromise any civil penalty action where a person charged with a violation agrees to pay a civil penalty and the FAA agrees not to make a finding of violation. Under such agreement, a compromise order is issued following the payment of the agreed-on amount or the signing of a promissory note. The compromise order states the following: (i) The person has paid a civil penalty or has signed a promissory note providing for installment payments. (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 a civil penalty proposed in a notice, assessed in an order, or imposed in a compromise order. <CITA>[Amdt. 13-32; 70 FR 1813, Jan. 11, 2005; 70 FR 2925, Jan. 18, 2005, as amended at 70 FR 8238, Feb. 18, 2005; 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.17</SECTNO> <SUBJECT>Seizure of aircraft.</SUBJECT> (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 <PRTPAGE P="42"/>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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.18</SECTNO> <SUBJECT>Civil penalties: Administrative assessment against an individual acting as a pilot, flight engineer, mechanic, or repairman.</SUBJECT> (a) <E T="03">General.</E> (1) This section applies to each action in which the FAA seeks to assess a civil penalty by administrative procedures against an individual acting as a pilot, flight engineer, mechanic, or repairman, under 49 U.S.C. 46301(d)(5), for a violation listed in 49 U.S.C. 46301(d)(2). This section does not apply to a civil penalty assessed for violation of 49 U.S.C. chapter 51, or a rule, regulation, or order issued thereunder. (2) <E T="03">District court jurisdiction.</E> Notwithstanding the provisions of paragraph (a)(1) of this section, the United States district courts have exclusive jurisdiction of any civil penalty action involving an individual acting as a pilot, flight engineer, mechanic, or repairman for violations described in that paragraph, under 49 U.S.C. 46301(d)(4), if: (i) The amount in controversy is more than $50,000. (ii) The action involves an aircraft subject to a lien that has been seized by the Government; or (iii) Another action has been brought for an injunction based on the same violation. (b) <E T="03">Definitions.</E> As used in this part, the following definitions apply: (1) <E T="03">Flight engineer</E> means an individual who holds a flight engineer certificate issued under part 63 of this chapter. (2) <E T="03">Individual acting as a pilot, flight engineer, mechanic, or repairman</E> means an individual acting in such capacity, whether or not that individual holds the respective airman certificate issued by the FAA. (3) <E T="03">Mechanic</E> means an individual who holds a mechanic certificate issued under part 65 of this chapter.<PRTPAGE P="43"/> (4) <E T="03">Pilot</E> means an individual who holds a pilot certificate issued under part 61 of this chapter. (5) <E T="03">Repairman</E> means an individual who holds a repairman certificate issued under part 65 of this chapter. (c) <E T="03">Delegation of authority.</E> (1) The authority of the Administrator under 49 U.S.C. 46301(d)(5), to initiate and assess civil penalties is delegated to the Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (2) The authority of the Administrator to refer cases to the Attorney General of the United States, or the delegate of the Attorney General, for collection of civil penalties is delegated to the Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (3) The authority of the Administrator to compromise the amount of a civil penalty under 49 U.S.C. 46301(f) is delegated to the Chief Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. (d) <E T="03">Notice of proposed assessment.</E> A civil penalty action is initiated by sending a notice of proposed assessment to the individual charged with a violation specified in paragraph (a) of this section. The notice of proposed assessment contains a statement of the charges and the amount of the proposed civil penalty. The individual charged with a violation may do the following: (1) Submit the amount of the proposed civil penalty or an agreed-on amount, in which case either an order of assessment or a compromise order will be issued in that amount. (2) Answer the charges in writing. (3) Submit a written request for an informal conference to discuss the matter with an agency attorney and submit relevant information or documents. (4) Request that an order be issued in accordance with the notice of proposed assessment so that the individual charged may appeal to the National Transportation Safety Board. (e) <E T="03">Failure to respond to notice of proposed assessment.</E> An order of assessment may be issued if the individual charged with a violation fails to respond to the notice of proposed assessment within 15 days after receipt of that notice. (f) <E T="03">Order of assessment.</E> An order of assessment, which assesses a civil penalty, may be issued for a violation described in paragraph (a) of this section after notice and an opportunity to answer any charges and be heard as to why such order should not be issued. (g) <E T="03">Appeal.</E> Any individual who receives an order of assessment issued under this section may appeal the order to the National Transportation Safety Board. The appeal stays the effectiveness of the Administrator's order. (h) <E T="03">Exhaustion of administrative remedies.</E> An individual substantially affected by an order of the NTSB or the Administrator may petition for review only of a final decision and order of the National Transportation Safety Board to a court of appeals of the United States for the circuit in which the individual charged resides or has his or her principal place of business or the United States Court of Appeals for the District of Columbia Circuit, under 49 U.S.C. 46110 and 46301(d)(6). Neither an order of assessment that has not been appealed to the National Transportation Board, nor an order compromising a civil penalty action, may be appealed under those sections. (i) <E T="03">Compromise.</E> The FAA may compromise any civil penalty action initiated under this section, in accordance with 49 U.S.C. 46301(f). (1) An agency attorney may compromise any civil penalty action where an individual charged with a violation agrees to pay a civil penalty and the <PRTPAGE P="44"/>FAA agrees to make no finding of violation. Under such agreement, a compromise order is issued following the payment of the agreed-on amount or the signing of a promissory note. The compromise order states the following: (i) The individual has paid a civil penalty or has signed a promissory note providing for installment payments; (ii) The FAA makes no finding of violation; and (iii) The compromise order will 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 or assessed in an order. (j) <E T="03">Payment.</E> (1) An individual must pay a civil penalty by: (i) Sending a certified check or money order, payable to the Federal Aviation Administration, to the FAA office identified in the order of assessment, or (ii) Making an electronic funds transfer according to the directions specified in the order of assessment. (2) The civil penalty must be paid within 30 days after service of the order of assessment, unless an appeal is filed with the National Transportation Safety Board. The civil penalty must be paid within 30 days after a final order of the Board or the Court of Appeals affirms the order of assessment in whole or in part. (k) <E T="03">Collection of civil penalties.</E> If an individual does not pay a civil penalty imposed by an order of assessment or other final order, the Administrator may take action provided under the law to collect the penalty. <CITA>[Amdt. 13-32; 69 FR 59497, Oct. 4, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.19</SECTNO> <SUBJECT>Certificate action.</SUBJECT> (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 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 § 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 <PRTPAGE P="45"/>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. <FP>Except as provided in § 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.</FP> (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 of Aircraft Registration is affected by an order issued under this section. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.20</SECTNO> <SUBJECT>Orders of compliance, cease and desist orders, orders of denial, and other orders.</SUBJECT> (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<PRTPAGE P="46"/> (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 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 § 13.43; and the periods of time specified in this section shall be computed in accordance with § 13.44. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.21</SECTNO> <SUBJECT>Military personnel.</SUBJECT> 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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.23</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> (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.<PRTPAGE P="47"/> (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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.25</SECTNO> <SUBJECT>Injunctions.</SUBJECT> (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 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). <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.27</SECTNO> <SUBJECT>Final order of Hearing Officer in certificate of aircraft registration proceedings.</SUBJECT> (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 § 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 <PRTPAGE P="48"/>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. <CITA>[Doc. No. 13-14, 44 FR 63723, Nov. 5, 1979; as amended by Amdt. 13-15, 45 FR 20773, Mar. 31, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.29</SECTNO> <SUBJECT>Civil penalties: Streamlined enforcement procedures for certain security violations.</SUBJECT> 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) <E T="03">Delegation of authority.</E> 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) <E T="03">Notice of violation.</E> 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 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) <E T="03">Final notice of violation and civil penalty assessment order.</E> 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—<PRTPAGE P="49"/> (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) <E T="03">Order assessing civil penalty.</E> 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, <E T="03">unless</E> 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 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. <CITA>[Doc. No. 27873, 61 FR 44155, Aug. 28, 1996]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Rules of Practice for FAA Hearings</HD> <SECTION> <SECTNO>§ 13.31</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart applies to proceedings in which a hearing has been requested in accordance with §§ 13.19(c)(5), 13.20(c), 13.20(d), 13.75(a)(2), 13.75(b), or 13.81(e). <CITA>[Amdt. 13-18, 53 FR 34655, Sept. 7, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.33</SECTNO> <SUBJECT>Appearances.</SUBJECT> Any party to a proceeding under this subpart may appear and be heard in person or by attorney. </SECTION> <SECTION> <SECTNO>§ 13.35</SECTNO> <SUBJECT>Request for hearing.</SUBJECT> (a) A request for hearing must be made in writing and filed in the Hearing Docket. (1) <E T="03">If delivery is in person, or by expedited courier service.</E> A person delivering the request for hearing in person or sending the request for hearing by commercial expedited courier (for example, Federal Express or United Parcel Service), should use the following address: Federal Aviation Administration, 600 Independence Avenue, SW., Wilbur Wright Building—Suite 2W1000, Washington, DC 20591; Attention: Hearing Docket Clerk, AGC-430. (2) <E T="03">If delivery is by U.S. Mail:</E> If the request for hearing is sent by U.S. Mail, then it should be addressed as follows: Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591: Attention: Hearing Docket Clerk, AGC-430, Wilbur Wright Building—Suite 2W1000. (b) The request for hearing must describe the action proposed by the FAA, and must contain a statement that a <PRTPAGE P="50"/>hearing is requested. A copy of the request for hearing and a copy of the answer required by paragraph (c) of this section must be served on the official who issued the notice of proposed action. (c) 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. (d) 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. <CITA>[Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 13-19, 54 FR 39290, Sept. 25, 1989; 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.37</SECTNO> <SUBJECT>Hearing Officer's powers.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.39</SECTNO> <SUBJECT>Disqualification of Hearing Officer.</SUBJECT> If disqualified for any reason, the Hearing Officer shall withdraw from the case. </SECTION> <SECTION> <SECTNO>§ 13.41</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 13.43</SECTNO> <SUBJECT>Service and filing of pleadings, motions, and documents.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.44</SECTNO> <SUBJECT>Computation of time and extension of time.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.45</SECTNO> <SUBJECT>Amendment of notice and answer.</SUBJECT> 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. </SECTION> <SECTION> <PRTPAGE P="51"/> <SECTNO>§ 13.47</SECTNO> <SUBJECT>Withdrawal of notice or request for hearing.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.49</SECTNO> <SUBJECT>Motions.</SUBJECT> (a) <E T="03">Motion to dismiss for insufficiency.</E> 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) <E T="03">Motion for more definite statement.</E> 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) <E T="03">Motion for judgment on the pleadings.</E> After the pleadings are closed, either party may move for a judgment on the pleadings. (e) <E T="03">Motion to strike.</E> 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) <E T="03">Motion for production of documents.</E> 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) <E T="03">Consolidation of motions.</E> 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) <E T="03">Answers to motions.</E> Any party may file an answer to any motion under this section within 5 days after service of the motion. </SECTION> <SECTION> <SECTNO>§ 13.51</SECTNO> <SUBJECT>Intervention.</SUBJECT> 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 cause shown, a motion for leave to intervene may not be considered if it is filed less than 10 days before the hearing. </SECTION> <SECTION> <SECTNO>§ 13.53</SECTNO> <SUBJECT>Depositions.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.55</SECTNO> <SUBJECT>Notice of hearing.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.57</SECTNO> <SUBJECT>Subpoenas and witness fees.</SUBJECT> (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 <PRTPAGE P="52"/>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 § 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. </SECTION> <SECTION> <SECTNO>§ 13.59</SECTNO> <SUBJECT>Evidence.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.61</SECTNO> <SUBJECT>Argument and submittals.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.63</SECTNO> <SUBJECT>Record.</SUBJECT> 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 obtain a transcript from the official reporter upon payment of the fees fixed therefor. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act</HD> <SECTION> <SECTNO>§ 13.71</SECTNO> <SUBJECT>Applicability.</SUBJECT> 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. <CITA>[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]</CITA> </SECTION> <SECTION> <PRTPAGE P="53"/> <SECTNO>§ 13.73</SECTNO> <SUBJECT>Notice of proposed order of compliance.</SUBJECT> 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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.75</SECTNO> <SUBJECT>Reply or request for hearing.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.77</SECTNO> <SUBJECT>Consent order of compliance.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.79</SECTNO> <SUBJECT>Hearing.</SUBJECT> If an alleged violator requests a hearing in accordance with § 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. </SECTION> <SECTION> <SECTNO>§ 13.81</SECTNO> <SUBJECT>Order of immediate compliance.</SUBJECT> (a) Notwithstanding §§ 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 §§ 13.73 through 13.79. (b) An order of immediate compliance is served promptly upon the person against whom the order is issued <PRTPAGE P="54"/>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 § 13.73 in lieu thereof. (d) If at any time in the course of a proceeding commenced in accordance with § 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 § 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 § 13.25. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.83</SECTNO> <SUBJECT>Appeal.</SUBJECT> (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 § 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. (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. </SECTION> <SECTION> <PRTPAGE P="55"/> <SECTNO>§ 13.85</SECTNO> <SUBJECT>Filing, service and computation of time.</SUBJECT> Filing and service of documents under this subpart shall be accomplished in accordance with § 13.43 except service of orders of immediate compliance under § 13.81(b); and the periods of time specified in this subpart shall be computed in accordance with § 13.44. </SECTION> <SECTION> <SECTNO>§ 13.87</SECTNO> <SUBJECT>Extension of time.</SUBJECT> (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation</HD> <SECTION> <SECTNO>§ 13.101</SECTNO> <SUBJECT>Applicability.</SUBJECT> (a) This subpart applies to fact-finding investigations in which an order of investigation has been issued under § 13.3(c) or § 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)). </SECTION> <SECTION> <SECTNO>§ 13.103</SECTNO> <SUBJECT>Order of investigation.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.105</SECTNO> <SUBJECT>Notification.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.107</SECTNO> <SUBJECT>Designation of additional parties.</SUBJECT> (a) The Presiding Officer may designate additional persons as parties to the investigation, if in the discretion of 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. </SECTION> <SECTION> <SECTNO>§ 13.109</SECTNO> <SUBJECT>Convening the investigation.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.111</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> (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 <PRTPAGE P="56"/>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. </SECTION> <SECTION> <SECTNO>§ 13.113</SECTNO> <SUBJECT>Noncompliance with the investigative process.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.115</SECTNO> <SUBJECT>Public proceedings.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.117</SECTNO> <SUBJECT>Conduct of investigative proceeding or deposition.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.119</SECTNO> <SUBJECT>Rights of persons against self-incrimination.</SUBJECT> (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 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. </SECTION> <SECTION> <SECTNO>§ 13.121</SECTNO> <SUBJECT>Witness fees.</SUBJECT> All witnesses appearing shall be compensated at the same rate as a witness appearing before a United States District Court. </SECTION> <SECTION> <SECTNO>§ 13.123</SECTNO> <SUBJECT>Submission by party to the investigation.</SUBJECT> (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 <PRTPAGE P="57"/>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. </SECTION> <SECTION> <SECTNO>§ 13.125</SECTNO> <SUBJECT>Depositions.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.127</SECTNO> <SUBJECT>Reports, decisions and orders.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.129</SECTNO> <SUBJECT>Post-investigation action.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.131</SECTNO> <SUBJECT>Other procedures.</SUBJECT> 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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Rules of Practice in FAA Civil Penalty Actions</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Amdt. 13-21, 55 FR 27575, July 3, 1990, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 13.201</SECTNO> <SUBJECT>Applicability.</SUBJECT> (a) This subpart applies to all civil penalty actions initiated under § 13.16 of this part in which a hearing has been requested. (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. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-32; 69 FR 59497, Oct. 4, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.202</SECTNO> <SUBJECT>Definitions.</SUBJECT> <E T="03">Administrative law judge</E> means an administrative law judge appointed pursuant to the provisions of 5 U.S.C. 3105. <E T="03">Agency attorney</E> means the Deputy Chief Counsel for Operations, the Assistant Chief Counsel, Enforcement, 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, 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 Deputy Chief Counsel for Policy and Adjudication, or the Assistant Chief Counsel for Litigation; (2) Any attorney on the staff of the Assistant Chief Counsel for Litigation; (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. <E T="03">Attorney</E> means a person licensed by a state, the District of Columbia, or a <PRTPAGE P="58"/>territory of the United States to practice law or appear before the courts of that state or territory. <E T="03">Complaint</E> means a document issued by an agency attorney alleging a violation of a provision of the Federal aviation statute listed in the first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or a rule, regulation, or order issued under those statutes, that has been filed with the Hearing Docket after a hearing has been requested under § 13.16(f)(3) or (g)(2)(ii) of this part. <E T="03">FAA decisionmaker</E> 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. <E T="03">Mail</E> includes U.S. certified mail, U.S. registered mail, or use of an overnight express courier service. <E T="03">Order assessing civil penalty</E> means a document that contains a finding of a violation of a provision of the Federal aviation statute listed in the first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or a rule, regulation or order issued under those statutes, 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. <E T="03">Party</E> means the respondent or the Federal Aviation Administration (FAA). <E T="03">Personal delivery</E> includes hand-delivery or use of a contract or express messenger service. “Personal delivery” does not include the use of Government interoffice mail service. <E T="03">Pleading</E> means a complaint, an answer, and any amendment of these documents permitted under this subpart. <E T="03">Properly addressed</E> 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. <E T="03">Respondent</E> means a person, corporation, or company named in a complaint. <CITA>[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; 70 FR 8238, Feb. 18, 2005; 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.203</SECTNO> <SUBJECT>Separation of functions.</SUBJECT> (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 Deputy Chief Counsel for Policy and Adjudication, and the Assistant Chief Counsel for Litigation, or an attorney on the staff of the Assistant Chief Counsel for Litigation will advise the FAA decisionmaker regarding an initial decision or any appeal of a civil penalty action to the FAA decisionmaker. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-24, 58 FR 50241, Sept. 24, 1993; 70 FR 8238, Feb. 18, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.204</SECTNO> <SUBJECT>Appearances and rights of parties.</SUBJECT> (a) Any party may appear and be heard in person. (b) Any party may be accompanied, represented, or advised by an attorney <PRTPAGE P="59"/>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 § 13.210 of this subpart, and shall serve a copy of the notice of appearance on each party, in the manner provided in § 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. </SECTION> <SECTION> <SECTNO>§ 13.205</SECTNO> <SUBJECT>Administrative law judges.</SUBJECT> (a) <E T="03">Powers of an administrative law judge.</E> 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; (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) <E T="03">Limitations on the power of the administrative law judge.</E> 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 § 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) <E T="03">Disqualification.</E> The administrative law judge may disqualify himself or herself at any time. A party may file a motion, pursuant to § 13.218(f)(6), requesting that an administrative law judge be disqualified from the proceedings. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.206</SECTNO> <SUBJECT>Intervention.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.207</SECTNO> <SUBJECT>Certification of documents.</SUBJECT> (a) <E T="03">Signature required.</E> 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) <E T="03">Effect of signing a document.</E> 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;<PRTPAGE P="60"/> (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) <E T="03">Sanctions.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.208</SECTNO> <SUBJECT>Complaint.</SUBJECT> (a) <E T="03">Filing.</E> 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 § 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) <E T="03">Service.</E> 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) <E T="03">Contents.</E> 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) <E T="03">Motion to dismiss allegations or complaint.</E> 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 § 13.219(b) of this subpart. <CITA>[Admt. 13-21, 55 FR 27575, July 3, 1990, as amended by Admt. 13-22, 55 FR 31176, Aug. 1, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.209</SECTNO> <SUBJECT>Answer.</SUBJECT> (a) <E T="03">Writing required.</E> A respondent shall file a written answer to the complaint, or may file a written motion pursuant to § 13.208(d) or § 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) <E T="03">Filing and address.</E> 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 <PRTPAGE P="61"/>Hearing Docket at the appropriate address set forth in § 13.210(a) of this subpart. The person filing an answer should suggest a location for the hearing when filing the answer. (c) <E T="03">Service.</E> A person filing an answer shall serve a copy of the answer on the agency attorney who filed the complaint. (d) <E T="03">Contents.</E> 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) <E T="03">Specific denial of allegations required.</E> 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) <E T="03">Failure to file answer.</E> 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. <CITA>[Docket No. 18884, 44 FR 63723, Nov. 5, 1979,as amended at 70 FR 8238, Feb. 18, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.210</SECTNO> <SUBJECT>Filing of documents.</SUBJECT> (a) <E T="03">Address and method of filing.</E> 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 using the appropriate address: (1) <E T="03">If delivery is in person, or via expedited courier service:</E> Federal Aviation Administration, 600 Independence Avenue, SW., Wilbur Wright Building—Suite 2W1000, Washington, DC 20591; Attention: Hearing Docket Clerk, AGC-430. (2) <E T="03">If delivery is via U.S. Mail:</E> Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591; Attention: Hearing Docket Clerk, AGC-430, Wilbur Wright Building—Suite 2W1000. (b) <E T="03">Date of filing.</E> 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) <E T="03">Form.</E> Each document shall be typewritten or legibly handwritten. (d) <E T="03">Contents.</E> 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. (e) <E T="03">Internet accessibility of documents filed in the Hearing Docket.</E> (1) Unless protected from public disclosure by an order of the ALJ under 13.226, all documents filed in the Hearing Docket are accessible through the Federal Docket Management System (FDMS): <E T="03">http://www.regulations.gov.</E> To access a particular case file, use the FDMS number assigned to the case. (2) Decisions and orders issued by the Administrator in civil penalty cases, indexes of decisions, contact information for the FAA Hearing Docket and the administrative law judges, the rules of practice, and other information are available on the FAA civil penalty adjudication Web site at: <E T="03">http://www.faa.gov/about/office_org/headquarters_offices/agc/pol_adjudication/AGC400/Civil_Penalty.</E> <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990, as amended at 70 FR 8238, Feb. 18, 2005; 71 FR 70464, Dec. 5, 2006; 72 FR 14668, Mar. 29, 2007; 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.211</SECTNO> <SUBJECT>Service of documents.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Type of service.</E> A person may serve documents by personal delivery or by mail. (c) <E T="03">Certificate of service.</E> 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.<PRTPAGE P="62"/> (d) <E T="03">Date of service.</E> 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) <E T="03">Additional time after service by mail.</E> 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) <E T="03">Service by the administrative law judge.</E> 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) <E T="03">Valid service.</E> 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) <E T="03">Presumption of service.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.212</SECTNO> <SUBJECT>Computation of time.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.213</SECTNO> <SUBJECT>Extension of time.</SUBJECT> (a) <E T="03">Oral requests.</E> 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) <E T="03">Written motion.</E> 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) <E T="03">Failure to rule.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.214</SECTNO> <SUBJECT>Amendment of pleadings.</SUBJECT> (a) <E T="03">Filing and service.</E> 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) <E T="03">Time.</E> 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.<PRTPAGE P="63"/> (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) <E T="03">Responses.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.215</SECTNO> <SUBJECT>Withdrawal of complaint or request for hearing.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.216</SECTNO> <SUBJECT>Waivers.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.217</SECTNO> <SUBJECT>Joint procedural or discovery schedule.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Form and content of schedule.</E> 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. (c) <E T="03">Time.</E> 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) <E T="03">Order establishing joint schedule.</E> 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) <E T="03">Disputes.</E> 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) <E T="03">Sanctions for failure to comply with joint schedule.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.218</SECTNO> <SUBJECT>Motions.</SUBJECT> (a) <E T="03">General.</E> 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 <PRTPAGE P="64"/>judge. A party shall serve a copy of each motion on each party. (b) <E T="03">Form and contents.</E> 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) <E T="03">Filing of motions.</E> 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) <E T="03">Answers to motions.</E> 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) <E T="03">Rulings on motions.</E> The administrative law judge shall rule on all motions as follows: (1) <E T="03">Discovery motions.</E> The administrative law judge shall resolve all pending discovery motions not later than 10 days before the hearing. (2) <E T="03">Prehearing motions.</E> 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) <E T="03">Motions made during the hearing.</E> 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) <E T="03">Specific motions.</E> A party may file the following motions with the administrative law judge: (1) <E T="03">Motion to dismiss for insufficiency.</E> 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 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 a provision of the Federal aviation statute listed in the first sentence in 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or any implementing rule, regulation, or order, or a violation of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or any implementing rule, regulation or order. (2) <E T="03">Motion to dismiss.</E> 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 § 13.219(b) of this subpart. (i) <E T="03">Motion to dismiss a request for a hearing.</E> 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 § 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) <E T="03">Motion to dismiss a complaint.</E> 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 <PRTPAGE P="65"/>granted and the proceedings are terminated without a hearing, the agency attorney may file an appeal pursuant to § 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) <E T="03">Motion for more definite statement.</E> 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) <E T="03">Complaint.</E> 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) <E T="03">Answer.</E> 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) <E T="03">Motion to strike.</E> 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 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) <E T="03">Motion for decision.</E> 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) <E T="03">Motion for disqualification.</E> 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) <E T="03">Motion and supporting affidavit.</E> 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) <E T="03">Answer.</E> A party shall respond to the motion for disqualification not later than 5 days after service of the motion for disqualification. (iii) <E T="03">Decision on motion for disqualification.</E> 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 <PRTPAGE P="66"/>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) <E T="03">Appeal.</E> A party may appeal the administrative law judge's denial of the motion for disqualification in accordance with § 13.219(b) of this subpart. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.219</SECTNO> <SUBJECT>Interlocutory appeals.</SUBJECT> (a) <E T="03">General.</E> 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 as provided in § 13.235 of this subpart. (b) <E T="03">Interlocutory appeal for cause.</E> 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) <E T="03">Interlocutory appeals of right.</E> 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: (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 § 13.215 of this subpart. (3) A ruling or order by the administrative law judge in violation of § 13.205(b) of this subpart. (d) <E T="03">Procedure.</E> 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. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-23, 55 FR 45983, Oct. 31, 1990; 71 FR 70464, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.220</SECTNO> <SUBJECT>Discovery.</SUBJECT> (a) <E T="03">Initiation of discovery.</E> 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.<PRTPAGE P="67"/> (b) <E T="03">Methods of discovery.</E> 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) <E T="03">Service on the agency.</E> A party shall serve each discovery request directed to the agency or any agency employee on the agency attorney of record. (d) <E T="03">Time for response to discovery requests.</E> 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) <E T="03">Scope of discovery.</E> 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) <E T="03">Limiting discovery.</E> 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; (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) <E T="03">Confidential orders.</E> 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.<PRTPAGE P="68"/> (h) <E T="03">Protective orders.</E> 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) <E T="03">Duty to supplement or amend responses.</E> 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) <E T="03">Depositions.</E> The following rules apply to depositions taken pursuant to this section: (1) <E T="03">Form.</E> 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) <E T="03">Administration of oaths.</E> 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. (3) <E T="03">Notice of deposition.</E> 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 <E T="03">duces tecum</E> is to be served on the person to be examined, the party shall attach a copy of the subpoena <E T="03">duces tecum</E> that describes the materials to be produced at the deposition to the notice of deposition. (4) <E T="03">Use of depositions.</E> 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) <E T="03">Interrogatories.</E> 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 <PRTPAGE P="69"/>the information cannot reasonably be obtained using less burdensome discovery methods or be obtained from other sources. (l) <E T="03">Requests for admission.</E> 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) <E T="03">Time.</E> 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) <E T="03">Response.</E> 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) <E T="03">Effect of admission.</E> Any matter admitted or deemed admitted under this section is conclusively established for the purpose of the hearing and appeal. (m) <E T="03">Motion to compel discovery.</E> 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 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) <E T="03">Failure to comply with a discovery order or order to compel.</E> 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. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-23, 55 FR 45983, Oct. 31, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.221</SECTNO> <SUBJECT>Notice of hearing.</SUBJECT> (a) <E T="03">Notice.</E> The administrative law judge shall give each party at least 60 days notice of the date, time, and location of the hearing. (b) <E T="03">Date, time, and location of the hearing.</E> 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) <E T="03">Earlier hearing.</E> With the consent of the administrative law judge, the parties may agree to hold the hearing <PRTPAGE P="70"/>on an earlier date than the date specified in the notice of hearing. </SECTION> <SECTION> <SECTNO>§ 13.222</SECTNO> <SUBJECT>Evidence.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Admissibility.</E> 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) <E T="03">Hearsay evidence.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.223</SECTNO> <SUBJECT>Standard of proof.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.224</SECTNO> <SUBJECT>Burden of proof.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.225</SECTNO> <SUBJECT>Offer of proof.</SUBJECT> A party whose evidence has been excluded by a ruling of the administrative law judge may offer the evidence for the record on appeal. </SECTION> <SECTION> <SECTNO>§ 13.226</SECTNO> <SUBJECT>Public disclosure of evidence.</SUBJECT> (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 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. </SECTION> <SECTION> <SECTNO>§ 13.227</SECTNO> <SUBJECT>Expert or opinion witnesses.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 13.228</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> (a) <E T="03">Request for subpoena.</E> 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) <E T="03">Motion to quash or modify the subpoena.</E> 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 <PRTPAGE P="71"/>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) <E T="03">Enforcement of subpoena.</E> 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 49 U.S.C. 46104 in cases under the Federal aviation statute. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended at 71 FR 70465, Dec. 5, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.229</SECTNO> <SUBJECT>Witness fees.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Amount.</E> 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. </SECTION> <SECTION> <SECTNO>§ 13.230</SECTNO> <SUBJECT>Record.</SUBJECT> (a) <E T="03">Exclusive record.</E> 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) <E T="03">Examination and copying of record.</E> Any person may examine the record at the Hearing Docket, Federal Aviation Administration, 600 Independence Avenue, SW., Wilbur Wright Building—Room 2014, Washington, DC 20591. Documents may also be examined and copied at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. Any person may have a copy of the record after payment of reasonable costs to copy the record. <CITA>[Docket No. 18884, 44 FR 63723, Nov. 5, 1979, as amended at 70 FR 8238, Feb. 18, 2005; 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.231</SECTNO> <SUBJECT>Argument before the administrative law judge.</SUBJECT> (a) <E T="03">Arguments during the hearing.</E> 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) <E T="03">Final oral argument.</E> 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) <E T="03">Posthearing briefs.</E> 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 <PRTPAGE P="72"/>transcript, to prepare and submit the briefs. </SECTION> <SECTION> <SECTNO>§ 13.232</SECTNO> <SUBJECT>Initial decision.</SUBJECT> (a) <E T="03">Contents.</E> 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) <E T="03">Oral decision.</E> 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) <E T="03">Written decision.</E> 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) <E T="03">Order assessing civil penalty.</E> Unless appealed pursuant to § 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. </SECTION> <SECTION> <SECTNO>§ 13.233</SECTNO> <SUBJECT>Appeal from initial decision.</SUBJECT> (a) <E T="03">Notice of appeal.</E> A party may appeal the initial decision, and any decision not previously appealed pursuant to § 13.219, by filing a notice of appeal with the FAA decisionmaker. A party must file the notice of appeal in the FAA Hearing Docket using the appropriate address listed in § 13.210(a). 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. (b) <E T="03">Issues on appeal.</E> In any appeal from a decision of an administrative law judge, the FAA decisionmaker considers only the following issues: (1) Whether each finding 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 that support the appeal. (c) <E T="03">Perfecting an appeal.</E> 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) <E T="03">Extension of time by agreement of the parties.</E> 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) <E T="03">Written motion for extension.</E> 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.<PRTPAGE P="73"/> (d) <E T="03">Appeal briefs.</E> 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) <E T="03">Reply brief.</E> 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) <E T="03">Extension of time by agreement of the parties.</E> 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) <E T="03">Written motion for extension.</E> 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) <E T="03">Other briefs.</E> The FAA decisionmaker may allow any person to submit an <E T="03">amicus curiae</E> 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) <E T="03">Number of copies.</E> A party shall file the original appeal brief or the original reply brief, and two copies of the brief, with the FAA decisionmaker. (h) <E T="03">Oral argument.</E> The FAA decisionmaker has sole discretion to permit 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) <E T="03">Waiver of objections on appeal.</E> 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) <E T="03">FAA decisionmaker's decision on appeal.</E> The FAA decisionmaker will review the record, the briefs on appeal, and the oral argument, if any, when considering the issues on appeal. 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 <PRTPAGE P="74"/>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 § 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. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-32; 69 FR 59498, Oct. 4, 2004; 70 FR 13345, Mar. 21, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.234</SECTNO> <SUBJECT>Petition to reconsider or modify a final decision and order of the FAA decisionmaker on appeal.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Form and number of copies.</E> 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) <E T="03">Contents.</E> 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 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) <E T="03">Repetitious and frivolous petitions.</E> 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) <E T="03">Reply petitions.</E> 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) <E T="03">Effect of filing petition.</E> 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) <E T="03">FAA decisionmaker's decision on petition.</E> 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 <PRTPAGE P="75"/>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. <CITA>[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990; Amdt. 13-23, 55 FR 45983, Oct. 31, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 13.235</SECTNO> <SUBJECT>Judicial review of a final decision and order.</SUBJECT> (a) In cases under the Federal aviation statute, a party may seek judicial review of a final decision and order of the Administrator, as provided in 49 U.S.C. 46110(a), and, as applicable, in 49 U.S.C. 46301(d)(7)(D)(iii), 46301(g), or 47532. (b) In cases under the Federal hazardous materials transportation statute, a party may seek judicial review of a final decision and order of the Administrator, as provided in 49 U.S.C. 5127. (c) A party seeking judicial review of a final order issued by the Administrator may file a petition for review in the United States Court of Appeals for the District of Columbia Circuit or in the United States Court of Appeals for the circuit in which the party resides or has its principal place of business. (d) The party must file the petition for review no later than 60 days after service of the Administrator's final decision and order. <CITA>[Doc. No. FAA-2006-26477, 71 FR 70465, Dec. 5, 2006]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Civil Monetary Penalty Inflation Adjustment</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 28762, 61 FR 67445, Dec. 20, 1996, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 13.301</SECTNO> <SUBJECT>Scope and purpose.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 13.303</SECTNO> <SUBJECT>Definitions.</SUBJECT> (a) <E T="03">Civil Monetary Penalty</E> 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) <E T="03">Consumer Price Index</E> means the Consumer Price Index for all urban consumers published by the Department of Labor. </SECTION> <SECTION> <SECTNO>§ 13.305</SECTNO> <SUBJECT>Cost of living adjustments of civil monetary penalties.</SUBJECT> (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;<PRTPAGE P="76"/> (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) <E T="03">Limitation on initial adjustment.</E> The initial adjustment of a civil monetary penalty under this subpart does not exceed 10 percent of the civil penalty amount. (d) <E T="03">Inflation adjustment.</E> 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. <GPOTABLE CDEF="s55,r77,r25,r18,r60,r23" COLS="6" OPTS="L2"> <TTITLE>Table 1—Table of Mimimum and Maximum Civil Monetary Penalty Amounts for Certain Violations Before December 12, 2003, and for Hazardous Materials Violations Before August 10, 2005</TTITLE> <BOXHD> <CHED H="1">United States <LI>Code citation</LI> </CHED> <CHED H="1">Civil monetary <LI>penalty description</LI> </CHED> <CHED H="1">Mimimum penalty amount</CHED> <CHED H="1">New <LI>adjusted mimimum penalty amount</LI> </CHED> <CHED H="1">Maximum penalty amount when last set or adjusted pursuant to law</CHED> <CHED H="1">New or <LI>adjusted maximum penalty amount</LI> </CHED> </BOXHD> <ROW> <ENT I="01">49 U.S.C. 5123(a)</ENT> <ENT>Violation of hazardous materials transportation law, regulation, or order</ENT> <ENT>$250 per violation, last set 1990</ENT> <ENT>Same</ENT> <ENT>$30,000 per violation, adjusted 3/13/02</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(1)</ENT> <ENT>Violation under 49 U.S.C. 46301(a)(1)</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$1,100 per violation, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(2)</ENT> <ENT>Violation under 49 U.S.C. 46301(a)(2)(A) or (B) by a person operating an aircraft for the transportation of passengers or property for compensation (except an airman serving as an airman)</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$11,000 per violation, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(3)(A)</ENT> <ENT>Violation under 498 U.S.C. 46301(a)(1) related to the transportation of hazardous materials</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$11,000 per violation, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(3)(B)</ENT> <ENT>Violation related to the registration or recordation under 49 U.S.C. chapter 441 of an aircraft not used to provide air transportation</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$11,000 per violation, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(3)(C)</ENT> <ENT>Violation of 49 U.S.C. 44718(d) relating to limiting construction or establishment of landfills</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, set 10/9/1996</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(3)(D)</ENT> <ENT>Violation of 49 U.S.C. 44725 relating to the safe disposal of life-limited aircraft parts</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$10,000, set 4/5/2000</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)</ENT> <ENT>Violation of 49 U.S.C. 47107(b) (or any assurance made under such section) or 49 U.S.C. 47133</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>Increase above otherwise applicable maximum amount not to exceed 3 times the amount of revenues that are used in violation of such section</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(b)</ENT> <ENT>Tampering with a smoke alarm device</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$2,200, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46302(a)</ENT> <ENT>Knowingly providing false information about alleged violation involving the special aircraft jurisdiction of the United States</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$11,000, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <PRTPAGE P="77"/> <ENT I="01">49 U.S.C. 46303</ENT> <ENT>Carrying a concealed dangerous weapon <SU>1</SU> </ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$11,000, adjusted 1/21/1997</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46318</ENT> <ENT>Interference with cabin or flight crew</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>$25,000, set 4/5/2000</ENT> <ENT>Same.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 47531</ENT> <ENT>Violation of 49 U.S.C. 47528-47530 relating to the prohibition of operating certain aircraft not complying with stage 3 noise levels</ENT> <ENT>N/A</ENT> <ENT>N/A</ENT> <ENT>See 49 U.S.C. 46301(a)(1) and (a)(2), above</ENT> <ENT>Same.</ENT> </ROW> <TNOTE> <SU>1</SU> FAA prosecutes violations under this section that occurred before February 17, 2002.</TNOTE> </GPOTABLE> <PRTPAGE P="78"/> <GPOTABLE CDEF="s60,r100,r25,r100,r50" COLS="5" OPTS="L2"> <TTITLE>Table 2—Table of Minimum and Maximum Civil Monetary Penalty Amounts for Certain Violations Occurring on or After December 12, 2003</TTITLE> <BOXHD> <CHED H="1">United States Code citation</CHED> <CHED H="1">Civil monetary penalty description</CHED> <CHED H="1">Minimum penalty amount</CHED> <CHED H="1">Maximum penalty amount when last set or adjusted pursuant to law</CHED> <CHED H="1">New or maximum penalty amount</CHED> </BOXHD> <ROW> <ENT I="01">49 U.S.C. 46301(a)(1)</ENT> <ENT>Violation by person other than individual or small business concern under 49 U.S.C. 46301(a)(1)(A) or (B)</ENT> <ENT>N/A</ENT> <ENT>$25,000 per violation, reset 12/12/2003</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(1)</ENT> <ENT>Violation by airman serving as airman under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered by 46301(a)(5)(A) or (B))</ENT> <ENT>N/A</ENT> <ENT>$1,100 per violation, reset 12/12/2003</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(1)</ENT> <ENT>Violation by individual or small business concern under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered in 46301(a)(5))</ENT> <ENT>N/A</ENT> <ENT>$1,100 per violation, reset 12/12/2003</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(3)</ENT> <ENT>Violation of 49 U.S.C. 47107(b) (or any assurance made under such section) or 49 U.S.C. 47133</ENT> <ENT>N/A</ENT> <ENT>Increase above otherwise applicable maximum amount not to exceed 3 times the amount of revenues that are used in violation of such section</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)(A)</ENT> <ENT>Violation by an individual or small business concern (except an airman serving as an airman) under 49 U.S.C. 46301(a)(5)(A)(i) or (ii)</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, reset 12/12/2003</ENT> <ENT>$11,000 per violation. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)(B)(i)</ENT> <ENT>Violation by an individual or small business concern under 49 U.S.C. 46301(a)(1) related to the transportation of hazardous materials</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, reset 12/12/2003</ENT> <ENT>$11,000 per violation. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)(B)(ii)</ENT> <ENT>Violation by an individual or small business concern related to the registration or recordation under 49 U.S.C. chapter 441, of an aircraft not used to provide air transportation</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, reset 12/12/2003</ENT> <ENT>$11,000 per violation. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)(B)(iii)</ENT> <ENT>Violation by an individual or small business concern of 49 U.S.C. 44718(d) relating to limitation on construction or establishment of landfills</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, reset 12/12/2003</ENT> <ENT>$11,000 per violation. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(a)(5)(B)(iv)</ENT> <ENT>Violation by an individual or small business concern of 49 U.S.C. 44725 relating to the safe disposal of life-limited aircraft parts</ENT> <ENT>N/A</ENT> <ENT>$10,000 per violation, reset 12/12/2003</ENT> <ENT>$11,000 per violation. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46301(b)</ENT> <ENT>Tampering with a smoke alarm device</ENT> <ENT>N/A</ENT> <ENT>$2,200 per violation, adjusted 1/21/1997</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46302</ENT> <ENT>Knowingly providing false information about alleged violation involving the special aircraft jurisdiction of the United States</ENT> <ENT>N/A</ENT> <ENT>$11,000 per violation, adjusted 1/21/1997</ENT> <ENT>No change.</ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46318</ENT> <ENT>Interference with cabin or flight crew</ENT> <ENT>N/A</ENT> <ENT>$25,000 per violation, set 4/5/2000</ENT> <ENT>$27,500 per violation. <SU>2</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 46319</ENT> <ENT>Permanent closure of an airport without providing sufficient notice</ENT> <ENT>N/A</ENT> <ENT>$10,000 per day, set 12/12/2003</ENT> <ENT>$11,000 per day. <SU>1</SU> </ENT> </ROW> <ROW> <ENT I="01">49 U.S.C. 47531</ENT> <ENT>Violation of 49 U.S.C. 47528-47530, or regulation prescribed or order issued under those sections, relating to the prohibition of operating certain aircraft not complying with stage 3 noise levels</ENT> <ENT>N/A</ENT> <ENT>See 49 U.S.C. 46301(a)(1) and (a)(5)(A), above</ENT> <ENT>No change.</ENT> </ROW> <TNOTE> <SU>1</SU> The maximum penalty for a violation from 12/12/2003 until 6/15/2006 is $10,000.</TNOTE> <TNOTE> <SU>2</SU> The maximum penalty for a violation from 4/5/2000 until 6/15/2006 is $25,000.</TNOTE> </GPOTABLE> <PRTPAGE P="79"/> <GPOTABLE CDEF="s50,r100,r50,r50" COLS="4" OPTS="L2"> <TTITLE>Table 3—Table of Minimum and Maximum Civil Monetary Penalty Amounts for Hazardous Materials Violations Occurring on or After August 10, 2005</TTITLE> <BOXHD> <CHED H="1">United States Code citation</CHED> <CHED H="1">Civil monetary penalty description</CHED> <CHED H="1">Minimum penalty amount</CHED> <CHED H="1">Maximum penalty amount</CHED> </BOXHD> <ROW> <ENT I="22">49 U.S.C. 5123(a):</ENT> </ROW> <ROW> <ENT I="03">Subparagraph (1)</ENT> <ENT>Violation of hazardous materials transportation law, regulation, order, special permit or approval—general</ENT> <ENT>$250 per violation, reset 8/10/2005</ENT> <ENT>$50,000 per violation, set 8/10/2005.</ENT> </ROW> <ROW> <ENT I="03">Subparagraph (2)</ENT> <ENT>Violation of hazardous materials transportation law, regulation, order, special permit or approval—results in death, serious illness, severe injury, or substantial property destruction</ENT> <ENT>$250 per violation, reset 8/10/2005</ENT> <ENT>$100,000 per violation, set 8/10/2005.</ENT> </ROW> <ROW> <ENT I="03">Subparagraph (3)</ENT> <ENT>Violation of hazardous materials transportation law, regulation, order, special permit or approval—training violation</ENT> <ENT>$450 per violation, set 8/10/2005</ENT> <ENT>$50,000 per violation, set 8/10/2005.</ENT> </ROW> </GPOTABLE> <CITA>[61 FR 67445, Dec. 20, 1996, as amended by Amdt. 13-28, 62 FR 4134, Jan. 29, 1997; 67 FR 6366, Feb. 11, 2002; Amdt. 13-33, 71 FR 28522, May 16, 2006; 71 FR 47077, Aug. 16, 2006; 71 FR 52407, Sept. 6, 2006]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Flight Operational Quality Assurance Programs</HD> <SECTION> <SECTNO>§ 13.401</SECTNO> <SUBJECT>Flight Operational Quality Assurance Program: Prohibition against use of data for enforcement purposes.</SUBJECT> (a) <E T="03">Applicability.</E> This section applies to any operator of an aircraft who operates such aircraft under an approved Flight Operational Quality Assurance (FOQA) program. (b) <E T="03">Definitions.</E> For the purpose of this section, the terms— (1) <E T="03">Flight Operational Quality Assurance (FOQA) program</E> means an FAA-approved program for the routine collection and analysis of digital flight data gathered during aircraft operations, including data currently collected pursuant to existing regulatory provisions, when such data is included in an approved FOQA program. (2) <E T="03">FOQA data</E> means any digital flight data that has been collected from an individual aircraft pursuant to an FAA-approved FOQA program, regardless of the electronic format of that data. (3) <E T="03">Aggregate FOQA data</E> means the summary statistical indices that are associated with FOQA event categories, based on an analysis of FOQA data from multiple aircraft operations. (c) <E T="03">Requirements.</E> In order for paragraph (e) of this section to apply, the operator must submit, maintain, and adhere to a FOQA Implementation and Operation Plan that is approved by the Administrator and which contains the following elements: (1) A description of the operator's plan for collecting and analyzing flight recorded data from line operations on a routine basis, including identification of the data to be collected; (2) Procedures for taking corrective action that analysis of the data indicates is necessary in the interest of safety; (3) Procedures for providing the FAA with aggregate FOQA data; (4) Procedures for informing the FAA as to any corrective action being undertaken pursuant to paragraph (c)(2) of this section. (d) <E T="03">Submission of aggregate data.</E> The operator will provide the FAA with aggregate FOQA data in a form and manner acceptable to the Administrator. (e) <E T="03">Enforcement.</E> Except for criminal or deliberate acts, the Administrator will not use an operator's FOQA data or aggregate FOQA data in an enforcement action against that operator or its employees when such FOQA data or aggregate FOQA data is obtained from a FOQA program that is approved by the Administrator. (f) <E T="03">Disclosure.</E> FOQA data and aggregate FOQA data, if submitted in accordance with an order designating the information as protected under part 193 of this chapter, will be afforded the nondisclosure protections of part 193 of this chapter. (g) <E T="03">Withdrawal of program approval.</E> The Administrator may withdraw approval of a previously approved FOQA <PRTPAGE P="80"/>program for failure to comply with the requirements of this chapter. Grounds for withdrawal of approval may include, but are not limited to— (1) Failure to implement corrective action that analysis of available FOQA data indicates is necessary in the interest of safety; or (2) Failure to correct a continuing pattern of violations following notice by the agency; or also (3) Willful misconduct or willful violation of the FAA regulations in this chapter. <CITA>[Doc. No. FAA-2000-7554, 66 FR 55048, Oct. 31, 2001; Amdt. 13-30, 67 FR 31401, May 9, 2002]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 14</EAR> <HD SOURCE="HED">PART 14—RULES IMPLEMENTING THE EQUAL ACCESS TO JUSTICE ACT OF 1980</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>14.01</SECTNO> <SUBJECT>Purpose of these rules.</SUBJECT> <SECTNO>14.02</SECTNO> <SUBJECT>Proceedings covered.</SUBJECT> <SECTNO>14.03</SECTNO> <SUBJECT>Eligibility of applicants.</SUBJECT> <SECTNO>14.04</SECTNO> <SUBJECT>Standards for awards.</SUBJECT> <SECTNO>14.05</SECTNO> <SUBJECT>Allowance fees and expenses.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Information Required From Applicants</HD> <SECTNO>14.10</SECTNO> <SUBJECT>Contents of application.</SUBJECT> <SECTNO>14.11</SECTNO> <SUBJECT>Net worth exhibit.</SUBJECT> <SECTNO>14.12</SECTNO> <SUBJECT>Documentation of fees and expenses.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Procedures for Considering Applications</HD> <SECTNO>14.20</SECTNO> <SUBJECT>When an application may be filed.</SUBJECT> <SECTNO>14.21</SECTNO> <SUBJECT>Filing and service of documents.</SUBJECT> <SECTNO>14.22</SECTNO> <SUBJECT>Answer to application.</SUBJECT> <SECTNO>14.23</SECTNO> <SUBJECT>Reply.</SUBJECT> <SECTNO>14.24</SECTNO> <SUBJECT>Comments by other parties.</SUBJECT> <SECTNO>14.25</SECTNO> <SUBJECT>Settlement.</SUBJECT> <SECTNO>14.26</SECTNO> <SUBJECT>Further proceedings.</SUBJECT> <SECTNO>14.27</SECTNO> <SUBJECT>Decision.</SUBJECT> <SECTNO>14.28</SECTNO> <SUBJECT>Review by FAA decisionmaker.</SUBJECT> <SECTNO>14.29</SECTNO> <SUBJECT>Judicial review.</SUBJECT> <SECTNO>14.30</SECTNO> <SUBJECT>Payment of award.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 5 U.S.C. 504; 49 U.S.C. 106(f), 40113, 46104 and 47122. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 25958, 54 FR 46199, Nov. 1, 1989, unless otherwise noted. </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 14.01</SECTNO> <SUBJECT>Purpose of these rules.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 14.02</SECTNO> <SUBJECT>Proceedings covered.</SUBJECT> (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 such party has unreasonably protracted the proceedings. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32935, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.03</SECTNO> <SUBJECT>Eligibility of applicants.</SUBJECT> (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:<PRTPAGE P="81"/> (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. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32935, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.04</SECTNO> <SUBJECT>Standards for awards.</SUBJECT> (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 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. </SECTION> <SECTION> <SECTNO>§ 14.05</SECTNO> <SUBJECT>Allowance fees and expenses.</SUBJECT> (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.<PRTPAGE P="82"/> (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. <CITA>[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]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Information Required From Applicants</HD> <SECTION> <SECTNO>§ 14.10</SECTNO> <SUBJECT>Contents of application.</SUBJECT> (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 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 <PRTPAGE P="83"/>describing briefly the type and purpose of its organization or business. </SECTION> <SECTION> <SECTNO>§ 14.11</SECTNO> <SUBJECT>Net worth exhibit.</SUBJECT> (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. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32935, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.12</SECTNO> <SUBJECT>Documentation of fees and expenses.</SUBJECT> 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 the applicant to provide vouchers, receipts, or other substantiation for any expenses claimed. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Procedures for Considering Applications</HD> <SECTION> <SECTNO>§ 14.20</SECTNO> <SUBJECT>When an application may be filed.</SUBJECT> (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, <PRTPAGE P="84"/>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. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.21</SECTNO> <SUBJECT>Filing and service of documents.</SUBJECT> 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 § 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. <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.22</SECTNO> <SUBJECT>Answer to application.</SUBJECT> (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 § 14.26. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.23</SECTNO> <SUBJECT>Reply.</SUBJECT> 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 § 14.26. </SECTION> <SECTION> <SECTNO>§ 14.24</SECTNO> <SUBJECT>Comments by other parties.</SUBJECT> 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 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. <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.25</SECTNO> <SUBJECT>Settlement.</SUBJECT> 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 <PRTPAGE P="85"/>before an application has been filed, the application shall be filed with the proposed settlement. </SECTION> <SECTION> <SECTNO>§ 14.26</SECTNO> <SUBJECT>Further proceedings.</SUBJECT> (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. <CITA>[54 FR 46199, Nov. 1, 1989, as amended by Amdt. 14-03, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.27</SECTNO> <SUBJECT>Decision.</SUBJECT> (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. <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.28</SECTNO> <SUBJECT>Review by FAA decisionmaker.</SUBJECT> (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 in accordance with subpart G of part 13 of this chapter, specifically § 13.233. 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. <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999, as amended at 70 FR 8238, Feb. 18, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 14.29</SECTNO> <SUBJECT>Judicial review.</SUBJECT> 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, <PRTPAGE P="86"/>was unsupported by substantial evidence. </SECTION> <SECTION> <SECTNO>§ 14.30</SECTNO> <SUBJECT>Payment of award.</SUBJECT> 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. </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 15</EAR> <HD SOURCE="HED">PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Procedures</HD> <SECHD>Sec.</SECHD> <SECTNO>15.1</SECTNO> <SUBJECT>Scope of regulations.</SUBJECT> <SECTNO>15.3</SECTNO> <SUBJECT>Administrative claim, when presented; appropriate office.</SUBJECT> <SECTNO>15.5</SECTNO> <SUBJECT>Administrative claim, who may file.</SUBJECT> <SECTNO>15.7</SECTNO> <SUBJECT>Administrative claims; evidence and information to be submitted.</SUBJECT> <SECTNO>15.9</SECTNO> <SUBJECT>Investigation and examination.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958</HD> <SECTNO>15.101</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>15.103</SECTNO> <SUBJECT>Exclusions.</SUBJECT> <SECTNO>15.105</SECTNO> <SUBJECT>Filing of requests for indemnification.</SUBJECT> <SECTNO>15.107</SECTNO> <SUBJECT>Notification requirements.</SUBJECT> <SECTNO>15.109</SECTNO> <SUBJECT>Settlements.</SUBJECT> <SECTNO>15.111</SECTNO> <SUBJECT>Conduct of litigation.</SUBJECT> <SECTNO>15.113</SECTNO> <SUBJECT>Indemnification agreements.</SUBJECT> <SECTNO>15.115</SECTNO> <SUBJECT>Payment.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 5 U.S.C. 301; 28 U.S.C. 2672, 2675; 49 U.S.C. 106(g), 40113, 44721. </AUTH> <SUBPART> <HD SOURCE="HED">Subpart A—General Procedures</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 25264, 52 FR 18171, May 13, 1987, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 15.1</SECTNO> <SUBJECT>Scope of regulations.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 15.3</SECTNO> <SUBJECT>Administrative claim, when presented; appropriate office.</SUBJECT> (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 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. (c) Claim forms are available at each location listed in paragraph (b) of this section. (d) A claim presented in accordance with this section may be amended by the claimant at any time prior to final <PRTPAGE P="87"/>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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 15.5</SECTNO> <SUBJECT>Administrative claim, who may file.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 15.7</SECTNO> <SUBJECT>Administrative claims; evidence and information to be submitted.</SUBJECT> (a) <E T="03">Death.</E> 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 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) <E T="03">Personal injury.</E> 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 <PRTPAGE P="88"/>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) <E T="03">Property damage.</E> 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. </SECTION> <SECTION> <SECTNO>§ 15.9</SECTNO> <SUBJECT>Investigation and examination.</SUBJECT> 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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Amdt. 15-2, 55 FR 18710, May 3, 1990, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 15.101</SECTNO> <SUBJECT>Applicability.</SUBJECT> 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 (2) When visually displayed, accurately depicts a defective or deficient flight procedure or airway promulgated by the FAA. </SECTION> <SECTION> <SECTNO>§ 15.103</SECTNO> <SUBJECT>Exclusions.</SUBJECT> 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;<PRTPAGE P="89"/> (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 § 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 § 15.111(d)(2) of this part. </SECTION> <SECTION> <SECTNO>§ 15.105</SECTNO> <SUBJECT>Filing of requests for indemnification.</SUBJECT> A request for indemnification under this part— (a) May be filed by— (1) A publisher described in § 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. </SECTION> <SECTION> <SECTNO>§ 15.107</SECTNO> <SUBJECT>Notification requirements.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 15.109</SECTNO> <SUBJECT>Settlements.</SUBJECT> (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. (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. </SECTION> <SECTION> <PRTPAGE P="90"/> <SECTNO>§ 15.111</SECTNO> <SUBJECT>Conduct of litigation.</SUBJECT> (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 § 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 § 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 § 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. </SECTION> <SECTION> <SECTNO>§ 15.113</SECTNO> <SUBJECT>Indemnification agreements.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 15.115</SECTNO> <SUBJECT>Payment.</SUBJECT> After execution of the indemnification agreement, the FAA will submit the agreement to the United States Department of Justice and request payment, in accordance with the agreement, from the Judgment Fund. </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 16</EAR> <HD SOURCE="HED">PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>16.1</SECTNO> <SUBJECT>Applicability and description of part.</SUBJECT> <SECTNO>16.3</SECTNO> <SUBJECT>Definitions.<PRTPAGE P="91"/> </SUBJECT> <SECTNO>16.5</SECTNO> <SUBJECT>Separation of functions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—General Rules Applicable to Complaints, Proceedings Initiated by the FAA, and Appeals</HD> <SECTNO>16.11</SECTNO> <SUBJECT>Expedition and other modification of process.</SUBJECT> <SECTNO>16.13</SECTNO> <SUBJECT>Filing of documents.</SUBJECT> <SECTNO>16.15</SECTNO> <SUBJECT>Service of documents on the parties and the agency.</SUBJECT> <SECTNO>16.17</SECTNO> <SUBJECT>Computation of time.</SUBJECT> <SECTNO>16.19</SECTNO> <SUBJECT>Motions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Special Rules Applicable to Complaints</HD> <SECTNO>16.21</SECTNO> <SUBJECT>Pre-complaint resolution.</SUBJECT> <SECTNO>16.23</SECTNO> <SUBJECT>Complaints, answers, replies, rebuttals, and other documents.</SUBJECT> <SECTNO>16.25</SECTNO> <SUBJECT>Dismissals.</SUBJECT> <SECTNO>16.27</SECTNO> <SUBJECT>Incomplete complaints.</SUBJECT> <SECTNO>16.29</SECTNO> <SUBJECT>Investigations.</SUBJECT> <SECTNO>16.31</SECTNO> <SUBJECT>Director's determinations after investigations.</SUBJECT> <SECTNO>16.33</SECTNO> <SUBJECT>Final decisions without hearing.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Special Rules Applicable to Proceedings Initiated by the FAA</HD> <SECTNO>16.101</SECTNO> <SUBJECT>Basis for the initiation of agency action.</SUBJECT> <SECTNO>16.103</SECTNO> <SUBJECT>Notice of investigation.</SUBJECT> <SECTNO>16.105</SECTNO> <SUBJECT>Failure to resolve informally.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Proposed Orders of Compliance</HD> <SECTNO>16.109</SECTNO> <SUBJECT>Orders terminating eligibility for grants, cease and desist orders, and other compliance orders.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Hearings</HD> <SECTNO>16.201</SECTNO> <SUBJECT>Notice and order of hearing.</SUBJECT> <SECTNO>16.202</SECTNO> <SUBJECT>Powers of a hearing officer.</SUBJECT> <SECTNO>16.203</SECTNO> <SUBJECT>Appearances, parties, and rights of parties.</SUBJECT> <SECTNO>16.207</SECTNO> <SUBJECT>Intervention and other participation.</SUBJECT> <SECTNO>16.209</SECTNO> <SUBJECT>Extension of time.</SUBJECT> <SECTNO>16.211</SECTNO> <SUBJECT>Prehearing conference.</SUBJECT> <SECTNO>16.213</SECTNO> <SUBJECT>Discovery.</SUBJECT> <SECTNO>16.215</SECTNO> <SUBJECT>Depositions.</SUBJECT> <SECTNO>16.217</SECTNO> <SUBJECT>Witnesses.</SUBJECT> <SECTNO>16.219</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> <SECTNO>16.221</SECTNO> <SUBJECT>Witness fees.</SUBJECT> <SECTNO>16.223</SECTNO> <SUBJECT>Evidence.</SUBJECT> <SECTNO>16.225</SECTNO> <SUBJECT>Public disclosure of evidence.</SUBJECT> <SECTNO>16.227</SECTNO> <SUBJECT>Standard of proof.</SUBJECT> <SECTNO>16.229</SECTNO> <SUBJECT>Burden of proof.</SUBJECT> <SECTNO>16.231</SECTNO> <SUBJECT>Offer of proof.</SUBJECT> <SECTNO>16.233</SECTNO> <SUBJECT>Record.</SUBJECT> <SECTNO>16.235</SECTNO> <SUBJECT>Argument before the hearing officer.</SUBJECT> <SECTNO>16.237</SECTNO> <SUBJECT>Waiver of procedures.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Initial Decisions, Orders and Appeals</HD> <SECTNO>16.241</SECTNO> <SUBJECT>Initial decisions, orders, and appeals.</SUBJECT> <SECTNO>16.243</SECTNO> <SUBJECT>Consent orders.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Judicial Review</HD> <SECTNO>16.247</SECTNO> <SUBJECT>Judicial review of a final decision and order.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Ex Parte Communications</HD> <SECTNO>16.301</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>16.303</SECTNO> <SUBJECT>Prohibited ex parte communications.</SUBJECT> <SECTNO>16.305</SECTNO> <SUBJECT>Procedures for handling ex parte communications.</SUBJECT> <SECTNO>16.307</SECTNO> <SUBJECT>Requirement to show cause and imposition of sanction.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 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. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 27783, 61 FR 54004, October 16, 1996, unless otherwise noted. </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 16.1</SECTNO> <SUBJECT>Applicability and description of part.</SUBJECT> (a) <E T="03">General.</E> 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). (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 <E T="03">et seq</E> (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 <E T="03">et seq.</E> (5) The assurances contained in grant-in-aid agreements issued under <PRTPAGE P="92"/>the Airport and Airway Improvement Act of 1982 (AAIA), as amended, 49 U.S.C. 47101 <E T="03">et seq.,</E> 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) <E T="03">Other agencies.</E> 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) <E T="03">Other enforcement.</E> 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) <E T="03">Effective date.</E> This part applies to a complaint filed with the FAA and to an investigation initiated by the FAA on or after December 16, 1996. </SECTION> <SECTION> <SECTNO>§ 16.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> Terms defined in the Acts are used as so defined. As used in this part: <E T="03">Act</E> means a statute listed in § 16.1 and any regulation, agreement, or document of conveyance issued or made under that statute. <E T="03">Agency attorney</E> 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. <E T="03">Agency employee</E> means any employee of the U.S. Department of Transportation. <E T="03">Associate Administrator</E> means the Associate Administrator for Airports or a designee. <E T="03">Complainant</E> means the person submitting a complaint. <E T="03">Complaint</E> 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. <E T="03">Director</E> means the Director of the Office of Airport Safety and Standards. <E T="03">Director's determination</E> means the initial determination made by the Director following an investigation, which is a non-final agency decision. <E T="03">File</E> means to submit written documents to the FAA for inclusion in the Part 16 Airport Proceedings Docket or to a hearing officer. <E T="03">Final decision and order</E> 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. <E T="03">Hearing officer</E> 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 <PRTPAGE P="93"/>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. <E T="03">Initial decision</E> means a decision made by the hearing officer in a hearing under subpart F of this part. <E T="03">Mail</E> means U.S. first class mail; U.S. certified mail; and U.S. express mail. <E T="03">Noncompliance</E> 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. <E T="03">Party</E> 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 § 16.31 and subpart E of this part, the agency. <E T="03">Person</E> 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). <E T="03">Personal delivery</E> means hand delivery or overnight express delivery service. <E T="03">Respondent</E> means any person named in a complaint as a person responsible for noncompliance. <E T="03">Sponsor</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.5</SECTNO> <SUBJECT>Separation of functions.</SUBJECT> (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—General Rules Applicable to Complaints, Proceedings Initiated by the FAA, and Appeals</HD> <SECTION> <SECTNO>§ 16.11</SECTNO> <SUBJECT>Expedition and other modification of process.</SUBJECT> (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 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;<PRTPAGE P="94"/> (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. </SECTION> <SECTION> <SECTNO>§ 16.13</SECTNO> <SUBJECT>Filing of documents.</SUBJECT> Except as otherwise provided in this part, documents shall be filed with the FAA during a proceeding under this part as follows: (a) <E T="03">Filing address.</E> 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) <E T="03">Date and method of filing.</E> 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) <E T="03">Number of copies.</E> 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) <E T="03">Form.</E> 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) <E T="03">Signing of documents and other papers.</E> 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) <E T="03">Designation of person to receive service.</E> 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) <E T="03">Docket numbers.</E> Each submission identified as a complaint under this part by the submitting person will be assigned a docket number. </SECTION> <SECTION> <SECTNO>§ 16.15</SECTNO> <SUBJECT>Service of documents on the parties and the agency.</SUBJECT> Except as otherwise provided in this part, documents shall be served as follows: (a) <E T="03">Who must be served.</E> 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: <EXTRACT> <PRTPAGE P="95"/> 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]: <FP>[list persons, addresses, facsimile numbers]</FP> Dated this ___ day of ___, 19__. <FP>[signature], for [party]</FP> </EXTRACT> (b) <E T="03">Method of service.</E> Except as otherwise agreed by the parties and the hearing officer, the method of service is the same as set forth in § 16.13(b) for filing documents. (c) <E T="03">Where service shall be made.</E> Service shall be made to the persons identified in accordance with § 16.13(f). If no such person has been designated, service shall be made on the party. (d) <E T="03">Presumption of service.</E> 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 § 16.13(f); or (2) When a properly addressed envelope, sent to the most current address submitted under § 16.13(f), has been returned as undeliverable, unclaimed, or refused. (e) <E T="03">Date of service.</E> The date of service shall be determined in the same manner as the filing date under § 16.13(b). </SECTION> <SECTION> <SECTNO>§ 16.17</SECTNO> <SUBJECT>Computation of time.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 16.19</SECTNO> <SUBJECT>Motions.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Form and contents.</E> 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) <E T="03">Answers to motions.</E> 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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Special Rules Applicable to Complaints</HD> <SECTION> <SECTNO>§ 16.21</SECTNO> <SUBJECT>Pre-complaint resolution.</SUBJECT> (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, <PRTPAGE P="96"/>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. </SECTION> <SECTION> <SECTNO>§ 16.23</SECTNO> <SUBJECT>Complaints, answers, replies, rebuttals, and other documents.</SUBJECT> (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 § 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 § 16.25 or § 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 10-day time limit for answers to motions in § 16.19(c). </SECTION> <SECTION> <SECTNO>§ 16.25</SECTNO> <SUBJECT>Dismissals.</SUBJECT> 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 § 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 §§ 16.3 and 16.23. The Director's dismissal will include the reasons for the dismissal. </SECTION> <SECTION> <SECTNO>§ 16.27</SECTNO> <SUBJECT>Incomplete complaints.</SUBJECT> If a complaint is not dismissed pursuant to § 16.25 of this part, but is deficient as to one or more of the requirements set forth in § 16.21 or § 16.23(b), <PRTPAGE P="97"/>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. </SECTION> <SECTION> <SECTNO>§ 16.29</SECTNO> <SUBJECT>Investigations.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 16.31</SECTNO> <SUBJECT>Director's determinations after investigations.</SUBJECT> (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 § 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 § 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. </SECTION> <SECTION> <SECTNO>§ 16.33</SECTNO> <SUBJECT>Final decisions without hearing.</SUBJECT> (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 (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 <PRTPAGE P="98"/>that becomes final because there is no administrative appeal is not judicially reviewable. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Special Rules Applicable to Proceedings Initiated by the FAA</HD> <SECTION> <SECTNO>§ 16.101</SECTNO> <SUBJECT>Basis for the initiation of agency action.</SUBJECT> 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 § 16.29(b). </SECTION> <SECTION> <SECTNO>§ 16.103</SECTNO> <SUBJECT>Notice of investigation.</SUBJECT> Following the initiation of an investigation under § 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. </SECTION> <SECTION> <SECTNO>§ 16.105</SECTNO> <SUBJECT>Failure to resolve informally.</SUBJECT> If the matters addressed in the FAA notices are not resolved informally, the FAA may issue a Director's determination under § 16.31. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Proposed Orders of Compliance</HD> <SECTION> <SECTNO>§ 16.109</SECTNO> <SUBJECT>Orders terminating eligibility for grants, cease and desist orders, and other compliance orders.</SUBJECT> This section applies to initial determinations issued under § 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 § 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 § 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 § 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 § 16.243(e). (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Hearings</HD> <SECTION> <SECTNO>§ 16.201</SECTNO> <SUBJECT>Notice and order of hearing.</SUBJECT> (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;<PRTPAGE P="99"/> (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. </SECTION> <SECTION> <SECTNO>§ 16.202</SECTNO> <SUBJECT>Powers of a hearing officer.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 16.203</SECTNO> <SUBJECT>Appearances, parties, and rights of parties.</SUBJECT> (a) <E T="03">Appearances.</E> 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 § 16.13. (b) <E T="03">Parties and agency participation.</E> (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. </SECTION> <SECTION> <SECTNO>§ 16.207</SECTNO> <SUBJECT>Intervention and other participation.</SUBJECT> (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 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. </SECTION> <SECTION> <PRTPAGE P="100"/> <SECTNO>§ 16.209</SECTNO> <SUBJECT>Extension of time.</SUBJECT> (a) <E T="03">Extension by oral agreement.</E> 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) <E T="03">Extension by motion.</E> 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) <E T="03">Failure to rule.</E> 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) <E T="03">Effect on time limits.</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.211</SECTNO> <SUBJECT>Prehearing conference.</SUBJECT> (a) <E T="03">Prehearing conference notice.</E> 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) <E T="03">The prehearing conference.</E> 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) <E T="03">Prehearing conference report.</E> 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 § 16.219. In addition, the hearing officer establishes the schedule, which shall provide for the issuance of an initial decision not later than 110 days after issuance of the Director's determination order unless otherwise provided in the hearing order. </SECTION> <SECTION> <SECTNO>§ 16.213</SECTNO> <SUBJECT>Discovery.</SUBJECT> (a) Discovery is limited to requests for admissions, requests for production of documents, interrogatories, and depositions as authorized by § 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<PRTPAGE P="101"/> (4) The method or scope of discovery requested by the party is unduly burdensome or expensive. </SECTION> <SECTION> <SECTNO>§ 16.215</SECTNO> <SUBJECT>Depositions.</SUBJECT> (a) <E T="03">General.</E> 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) <E T="03">Application for deposition.</E> 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) <E T="03">Order authorizing deposition.</E> 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) <E T="03">Procedures for deposition.</E> (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. </SECTION> <SECTION> <SECTNO>§ 16.217</SECTNO> <SUBJECT>Witnesses.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 16.219</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> (a) <E T="03">Request for subpoena.</E> A party may apply to the hearing officer, within the time specified for such applications in the prehearing conference report, for a 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) <E T="03">Issuance and service of subpoena.</E> (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.<PRTPAGE P="102"/> (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) <E T="03">Motions to quash or modify subpoena.</E> (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. </SECTION> <SECTION> <SECTNO>§ 16.221</SECTNO> <SUBJECT>Witness fees.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 16.223</SECTNO> <SUBJECT>Evidence.</SUBJECT> (a) <E T="03">General.</E> A party may submit direct and rebuttal evidence in accordance with this section. (b) <E T="03">Requirement for written testimony and evidence.</E> 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) <E T="03">Subpoenaed testimony.</E> Testimony of witnesses appearing under subpoena may be obtained orally. (d) <E T="03">Cross-examination.</E> 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) <E T="03">Hearsay evidence.</E> 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) <E T="03">Admission of evidence.</E> The hearing officer admits evidence introduced by a party in support of its case in accordance with this section, but may exclude irrelevant, immaterial, or unduly repetitious evidence. (g) <E T="03">Expert or opinion witnesses.</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.225</SECTNO> <SUBJECT>Public disclosure of evidence.</SUBJECT> (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 <PRTPAGE P="103"/>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. </SECTION> <SECTION> <SECTNO>§ 16.227</SECTNO> <SUBJECT>Standard of proof.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 16.229</SECTNO> <SUBJECT>Burden of proof.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 16.231</SECTNO> <SUBJECT>Offer of proof.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 16.233</SECTNO> <SUBJECT>Record.</SUBJECT> (a) <E T="03">Exclusive record.</E> 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) <E T="03">Examination and copy of record.</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.235</SECTNO> <SUBJECT>Argument before the hearing officer.</SUBJECT> (a) <E T="03">Argument during the hearing.</E> 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) <E T="03">Posthearing briefs.</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.237</SECTNO> <SUBJECT>Waiver of procedures.</SUBJECT> (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Initial Decisions, Orders and Appeals</HD> <SECTION> <SECTNO>§ 16.241</SECTNO> <SUBJECT>Initial decisions, order, and appeals.</SUBJECT> (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 <PRTPAGE P="104"/>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. </SECTION> <SECTION> <SECTNO>§ 16.243</SECTNO> <SUBJECT>Consent orders.</SUBJECT> (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 § 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; (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 <PRTPAGE P="105"/>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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Judicial Review</HD> <SECTION> <SECTNO>§ 16.247</SECTNO> <SUBJECT>Judicial review of a final decision and order.</SUBJECT> (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 <E T="03">et seq.</E> (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 § 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 §§ 16.33(b) and 16.241(b). </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Ex Parte Communications</HD> <SECTION> <SECTNO>§ 16.301</SECTNO> <SUBJECT>Definitions.</SUBJECT> As used in this subpart: <E T="03">Decisional employee</E> 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. <E T="03">Ex parte communication</E> 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. </SECTION> <SECTION> <SECTNO>§ 16.303</SECTNO> <SUBJECT>Prohibited ex parte communications.</SUBJECT> (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; (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. </SECTION> <SECTION> <SECTNO>§ 16.305</SECTNO> <SUBJECT>Procedures for handling ex parte communications.</SUBJECT> A decisional employee who receives or who makes or knowingly causes to be made a communication prohibited by § 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. </SECTION> <SECTION> <SECTNO>§ 16.307</SECTNO> <SUBJECT>Requirement to show cause and imposition of sanction.</SUBJECT> (a) Upon receipt of a communication knowingly made or knowingly caused to be made by a party in violation of § 16.303, the Associate Administrator or <PRTPAGE P="106"/>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. </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 17</EAR> <HD SOURCE="HED">PART 17—PROCEDURES FOR PROTESTS AND CONTRACTS DISPUTES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>17.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>17.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>17.5</SECTNO> <SUBJECT>Delegation of authority.</SUBJECT> <SECTNO>17.7</SECTNO> <SUBJECT>Filing and computation of time.</SUBJECT> <SECTNO>17.9</SECTNO> <SUBJECT>Protective orders.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Protests</HD> <SECTNO>17.11</SECTNO> <SUBJECT>Matters not subject to protest.</SUBJECT> <SECTNO>17.13</SECTNO> <SUBJECT>Dispute resolution process for protests.</SUBJECT> <SECTNO>17.15</SECTNO> <SUBJECT>Filing a protest.</SUBJECT> <SECTNO>17.17</SECTNO> <SUBJECT>Initial protest procedures.</SUBJECT> <SECTNO>17.19</SECTNO> <SUBJECT>Dismissal or summary decision of protest.</SUBJECT> <SECTNO>17.21</SECTNO> <SUBJECT>Protest remedies.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Contract Disputes</HD> <SECTNO>17.23</SECTNO> <SUBJECT>Dispute resolution process for contract disputes.</SUBJECT> <SECTNO>17.25</SECTNO> <SUBJECT>Filing a contract dispute.</SUBJECT> <SECTNO>17.27</SECTNO> <SUBJECT>Submission of joint or separate statements.</SUBJECT> <SECTNO>17.29</SECTNO> <SUBJECT>Dismissal or summary decision of contract disputes.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Alternative Dispute Resolution</HD> <SECTNO>17.31</SECTNO> <SUBJECT>Use of alternative dispute resolution.</SUBJECT> <SECTNO>17.33</SECTNO> <SUBJECT>Election of alternative dispute resolution process.</SUBJECT> <SECTNO>17.35</SECTNO> <SUBJECT>Selection of neutrals for the alternative dispute resolution process.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Default Adjudicative Process</HD> <SECTNO>17.37</SECTNO> <SUBJECT>Default adjudicative process for protests.</SUBJECT> <SECTNO>17.39</SECTNO> <SUBJECT>Default adjudicative process for contract disputes.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Finality and Review</HD> <SECTNO>17.41</SECTNO> <SUBJECT>Final orders.</SUBJECT> <SECTNO>17.43</SECTNO> <SUBJECT>Judicial review.</SUBJECT> <SECTNO>17.45</SECTNO> <SUBJECT>Conforming amendments.</SUBJECT> <APP>Appendix A to Part 17—Alternative Dispute Resolution (ADR)</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 5 U.S.C. 570-581, 49 U.S.C. 106(f)(2), 40110, 40111, 40112, 46102, 46014, 46105, 46109, and 46110. </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. FAA-1998-4379, 64 FR 32936, June 18, 1999, unless otherwise noted.] </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 17.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 17.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> (a) <E T="03">Accrual</E> mean to come into existence as a legally enforceable claim. (b) <E T="03">Accrual of a contract claim</E> 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) <E T="03">Acquisition Management System</E> (AMS) establishes the policies, guiding principles, and internal procedures for the FAA's acquisition system.<PRTPAGE P="107"/> (d) <E T="03">Administrator</E> means the Administrator of the Federal Aviation Administration. (e) <E T="03">Alternative Dispute Resolution</E> (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) <E T="03">Compensated Neutral</E> 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) <E T="03">Contract dispute,</E> 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) <E T="03">Default Adjudicative Process</E> 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) <E T="03">Discovery</E> 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) <E T="03">Dispute Resolution Officer</E> (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) <E T="03">An interested party,</E> 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 <E T="03">intervenor</E> 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) <E T="03">Neutral</E> refers to an impartial third party in the ADR process chosen by the Office of Dispute Resolution for 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 <E T="03">Office of Dispute Resolution for Acquisition</E> (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) <E T="03">Parties</E> include the protester(s) or (in the case of a contract dispute) the contractor, the FAA, and any intervenor(s). (p) <E T="03">Product Team,</E> 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, <PRTPAGE P="108"/>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) <E T="03">Screening Information Request</E> (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 <E T="03">Special Master</E> 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. </SECTION> <SECTION> <SECTNO>§ 17.5</SECTNO> <SUBJECT>Delegation of authority.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 17.7</SECTNO> <SUBJECT>Filing and computation of time.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 17.9</SECTNO> <SUBJECT>Protective orders.</SUBJECT> (a) The Office of Dispute Resolution for Acquisition may issue protective 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 <PRTPAGE P="109"/>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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Protests</HD> <SECTION> <SECTNO>§ 17.11</SECTNO> <SUBJECT>Matters not subject to protest.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 17.13</SECTNO> <SUBJECT>Dispute resolution process for protests.</SUBJECT> (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 § 17.15. The protest time limitations set forth in § 17.15 will not be extended by attempts to resolve a potential protest with the CO. Other than the time limitations specified in § 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 § 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 § 17.31(c), informal ADR techniques 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 §§ 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. </SECTION> <SECTION> <PRTPAGE P="110"/> <SECTNO>§ 17.15</SECTNO> <SUBJECT>Filing a protest.</SUBJECT> (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, Federal Aviation Administration, AGC-70, 3rd Floor, 800 Independence Avenue, SW., Washington, DC 20591, telephone: (202) 267-3290, facsimile: (202) 267-3720; or (2) Other address as shall be published from time to time in the <E T="04">Federal Register</E>. (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 § 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: (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 <PRTPAGE P="111"/>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. <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999; 64 FR 47362, Aug. 31, 1999; 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 17.17</SECTNO> <SUBJECT>Initial protest procedures.</SUBJECT> (a) If, as part of a protest, the protester requests a suspension or delay of procurement, in whole or in part, pursuant to § 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 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 § 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 <PRTPAGE P="112"/>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 § 17.37. (i) The time limitations of this section maybe extended by the Office of Dispute Resolution for Acquisition for good cause. </SECTION> <SECTION> <SECTNO>§ 17.19</SECTNO> <SUBJECT>Dismissal or summary decision of protests.</SUBJECT> (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. (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 <PRTPAGE P="113"/>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. </SECTION> <SECTION> <SECTNO>§ 17.21</SECTNO> <SUBJECT>Protest remedies.</SUBJECT> (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). </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Contract Disputes</HD> <SECTION> <SECTNO>§ 17.23</SECTNO> <SUBJECT>Dispute resolution process for contract disputes.</SUBJECT> (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 § 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 § 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 § 17.27 for 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 § 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. </SECTION> <SECTION> <SECTNO>§ 17.25</SECTNO> <SUBJECT>Filing a contract dispute.</SUBJECT> (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 <PRTPAGE P="114"/>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, Federal Aviation Administration, AGC-70, 3rd Floor, 800 Independence Avenue, SW., Washington, DC 20591, telephone: (202) 267-3290, facsimile: (202) 267-3720; or (2) Other address as shall be published from time to time in the <E T="04">Federal Register</E>. (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. <CITA>[Docket No. FAA-1998-4379, 64 FR 32936, June 18, 1999, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 17.27</SECTNO> <SUBJECT>Submission of joint or separate statements.</SUBJECT> (a) If the matter has not been resolved informally, the parties shall file joint or separate statements with the 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 § 17.23(d). (b) The statement(s) shall include either— (1) A joint request for ADR, and an executed ADR agreement, pursuant to § 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, Federal Aviation Administration, AGC-70, 3rd Floor, 800 Independence Avenue, SW., Washington, DC 20591, telephone: (202) 267-3290, facsimile: (202) 267-3720; or (2) Other address as shall be published from time to time in the <E T="04">Federal Register.</E> (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 <PRTPAGE P="115"/>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 § 17.31(c). <CITA>[Docket No. FAA-1998-4379, 64 FR 32936, June 18, 1999, as amended at 72 FR 68474, Dec. 5, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 17.29</SECTNO> <SUBJECT>Dismissal or summary decision of contract disputes.</SUBJECT> (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Alternative Dispute Resolution</HD> <SECTION> <SECTNO>§ 17.31</SECTNO> <SUBJECT>Use of alternative dispute resolution.</SUBJECT> (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 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. </SECTION> <SECTION> <PRTPAGE P="116"/> <SECTNO>§ 17.33</SECTNO> <SUBJECT>Election of alternative dispute resolution process.</SUBJECT> (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 § 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 § 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 § 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 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 § 17.9. </SECTION> <SECTION> <SECTNO>§ 17.35</SECTNO> <SUBJECT>Selection of neutrals for the alternative dispute resolution process.</SUBJECT> (a) In connection with the ADR process, the parties may select a Compensated Neutral acceptable to both, or <PRTPAGE P="117"/>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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Default Adjudicative Process</HD> <SECTION> <SECTNO>§ 17.37</SECTNO> <SUBJECT>Default adjudicative process for protests.</SUBJECT> (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 § 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: (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 <PRTPAGE P="118"/>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 § 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. </SECTION> <SECTION> <SECTNO>§ 17.39</SECTNO> <SUBJECT>Default adjudicative process for contract disputes.</SUBJECT> (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 § 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 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;<PRTPAGE P="119"/> (2) Review the need for a protective order, and if one is needed, prepare a protective order pursuant to § 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. (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 <PRTPAGE P="120"/>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). <CITA>[Doc. No. FAA-1998-4379, 64 FR 32936, June 18, 1999; 64 FR 47362, Aug. 31, 1999]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Finality and Review</HD> <SECTION> <SECTNO>§ 17.41</SECTNO> <SUBJECT>Final orders.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 17.43</SECTNO> <SUBJECT>Judicial review.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 17.45</SECTNO> <SUBJECT>Conforming amendments.</SUBJECT> 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. </SECTION> <APPENDIX> <EAR>Pt. 17, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 17—Alternative Dispute Resolution (ADR)</HD> 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) <E T="03">Mediation.</E> 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) <E T="03">Neutral Evaluation.</E> 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) <E T="03">Minitrial.</E> 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 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 (<E T="03">i.e.,</E> Neutral Evaluation) <PRTPAGE P="121"/>and/or facilitate negotiations and ultimate resolution via Mediation. </APPENDIX> </SUBPART> </PART> </SUBCHAP> <SUBCHAP TYPE="P"> <PRTPAGE P="122"/> <HD SOURCE="HED">SUBCHAPTER C—AIRCRAFT</HD> <PART> <EAR>Pt. 21</EAR> <HD SOURCE="HED">PART 21—CERTIFICATION PROCEDURES FOR PRODUCTS AND PARTS</HD> <CONTENTS> <APP>Special Federal Aviation Regulation No. 88</APP> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>21.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.2</SECTNO> <SUBJECT>Falsification of applications, reports, or records.</SUBJECT> <SECTNO>21.3</SECTNO> <SUBJECT>Reporting of failures, malfunctions, and defects.</SUBJECT> <SECTNO>21.4</SECTNO> <SUBJECT>ETOPS reporting requirements.</SUBJECT> <SECTNO>21.5</SECTNO> <SUBJECT>Airplane or Rotorcraft Flight Manual.</SUBJECT> <SECTNO>21.6</SECTNO> <SUBJECT>Manufacture of new aircraft, aircraft engines, and propellers.</SUBJECT> <SECTNO>21.7</SECTNO> <SUBJECT>Continued airworthiness and safety improvements for transport category airplanes.</SUBJECT> <SECTNO>21.8</SECTNO> <SUBJECT>Approval of articles.</SUBJECT> <SECTNO>21.9</SECTNO> <SUBJECT>Replacement and modification articles.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Type Certificates</HD> <SECTNO>21.11</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.13</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.15</SECTNO> <SUBJECT>Application for type certificate.</SUBJECT> <SECTNO>21.16</SECTNO> <SUBJECT>Special conditions.</SUBJECT> <SECTNO>21.17</SECTNO> <SUBJECT>Designation of applicable regulations.</SUBJECT> <SECTNO>21.19</SECTNO> <SUBJECT>Changes requiring a new type certificate.</SUBJECT> <SECTNO>21.20</SECTNO> <SUBJECT>Compliance with applicable requirements.</SUBJECT> <SECTNO>21.21</SECTNO> <SUBJECT>Issue of type certificate: normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; special classes of aircraft; aircraft engines; propellers.</SUBJECT> <SECTNO>21.23</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>21.24</SECTNO> <SUBJECT>Issuance of type certificate: primary category aircraft.</SUBJECT> <SECTNO>21.25</SECTNO> <SUBJECT>Issue of type certificate: Restricted category aircraft.</SUBJECT> <SECTNO>21.27</SECTNO> <SUBJECT>Issue of type certificate: surplus aircraft of the Armed Forces.</SUBJECT> <SECTNO>21.29</SECTNO> <SUBJECT>Issue of type certificate: import products.</SUBJECT> <SECTNO>21.31</SECTNO> <SUBJECT>Type design.</SUBJECT> <SECTNO>21.33</SECTNO> <SUBJECT>Inspection and tests.</SUBJECT> <SECTNO>21.35</SECTNO> <SUBJECT>Flight tests.</SUBJECT> <SECTNO>21.37</SECTNO> <SUBJECT>Flight test pilot.</SUBJECT> <SECTNO>21.39</SECTNO> <SUBJECT>Flight test instrument calibration and correction report.</SUBJECT> <SECTNO>21.41</SECTNO> <SUBJECT>Type certificate.</SUBJECT> <SECTNO>21.43</SECTNO> <SUBJECT>Location of manufacturing facilities.</SUBJECT> <SECTNO>21.45</SECTNO> <SUBJECT>Privileges.</SUBJECT> <SECTNO>21.47</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.49</SECTNO> <SUBJECT>Availability.</SUBJECT> <SECTNO>21.50</SECTNO> <SUBJECT>Instructions for continued airworthiness and manufacturer's maintenance manuals having airworthiness limitations sections.</SUBJECT> <SECTNO>21.51</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.53</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> <SECTNO>21.55</SECTNO> <SUBJECT>Responsibility of type certificate holders to provide written licensing agreements.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Provisional Type Certificates</HD> <SECTNO>21.71</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.73</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.75</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>21.77</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.79</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.81</SECTNO> <SUBJECT>Requirements for issue and amendment of Class I provisional type certificates.</SUBJECT> <SECTNO>21.83</SECTNO> <SUBJECT>Requirements for issue and amendment of Class II provisional type certificates.</SUBJECT> <SECTNO>21.85</SECTNO> <SUBJECT>Provisional amendments to type certificates.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Changes to Type Certificates</HD> <SECTNO>21.91</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.93</SECTNO> <SUBJECT>Classification of changes in type design.</SUBJECT> <SECTNO>21.95</SECTNO> <SUBJECT>Approval of minor changes in type design.</SUBJECT> <SECTNO>21.97</SECTNO> <SUBJECT>Approval of major changes in type design.</SUBJECT> <SECTNO>21.99</SECTNO> <SUBJECT>Required design changes.</SUBJECT> <SECTNO>21.101</SECTNO> <SUBJECT>Designation of applicable regulations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Supplemental Type Certificates</HD> <SECTNO>21.111</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.113</SECTNO> <SUBJECT>Requirement of supplemental type certificate.</SUBJECT> <SECTNO>21.115</SECTNO> <SUBJECT>Applicable requirements.</SUBJECT> <SECTNO>21.117</SECTNO> <SUBJECT>Issue of supplemental type certificates.</SUBJECT> <SECTNO>21.119</SECTNO> <SUBJECT>Privileges.</SUBJECT> <SECTNO>21.120</SECTNO> <SUBJECT>Responsibility of supplemental type certificate holders to provide written permission for alterations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Production Under Type Certificate Only</HD> <SECTNO>21.121</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.122</SECTNO> <SUBJECT>Location of or change to manufacturing facilities.</SUBJECT> <SECTNO>21.123</SECTNO> <SUBJECT>Production under type certificate.</SUBJECT> <SECTNO>21.125</SECTNO> <SUBJECT>Production inspection system: Materials Review Board.</SUBJECT> <SECTNO>21.127</SECTNO> <SUBJECT>Tests: aircraft.</SUBJECT> <SECTNO>21.128</SECTNO> <SUBJECT>Tests: aircraft engines.</SUBJECT> <SECTNO>21.129</SECTNO> <SUBJECT>Tests: propellers.</SUBJECT> <SECTNO>21.130</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="123"/> <HD SOURCE="HED">Subpart G—Production Certificates</HD> <SECTNO>21.131</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.133</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.135</SECTNO> <SUBJECT>Requirements for issuance.</SUBJECT> <SECTNO>21.137</SECTNO> <SUBJECT>Location of manufacturing facilities.</SUBJECT> <SECTNO>21.139</SECTNO> <SUBJECT>Quality control.</SUBJECT> <SECTNO>21.143</SECTNO> <SUBJECT>Quality control data requirements; prime manufacturer.</SUBJECT> <SECTNO>21.147</SECTNO> <SUBJECT>Changes in quality control system.</SUBJECT> <SECTNO>21.149</SECTNO> <SUBJECT>Multiple products.</SUBJECT> <SECTNO>21.151</SECTNO> <SUBJECT>Production limitation record.</SUBJECT> <SECTNO>21.153</SECTNO> <SUBJECT>Amendment of the production certificates.</SUBJECT> <SECTNO>21.155</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.157</SECTNO> <SUBJECT>Inspections and tests.</SUBJECT> <SECTNO>21.159</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.161</SECTNO> <SUBJECT>Display.</SUBJECT> <SECTNO>21.163</SECTNO> <SUBJECT>Privileges.</SUBJECT> <SECTNO>21.165</SECTNO> <SUBJECT>Responsibility of holder.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Airworthiness Certificates</HD> <SECTNO>21.171</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.173</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.175</SECTNO> <SUBJECT>Airworthiness certificates: classification.</SUBJECT> <SECTNO>21.177</SECTNO> <SUBJECT>Amendment or modification.</SUBJECT> <SECTNO>21.179</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.181</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.182</SECTNO> <SUBJECT>Aircraft identification.</SUBJECT> <SECTNO>21.183</SECTNO> <SUBJECT>Issue of standard airworthiness certificates for normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; and special classes of aircraft.</SUBJECT> <SECTNO>21.184</SECTNO> <SUBJECT>Issue of special airworthiness certificates for primary category aircraft.</SUBJECT> <SECTNO>21.185</SECTNO> <SUBJECT>Issue of airworthiness certificates for restricted category aircraft.</SUBJECT> <SECTNO>21.187</SECTNO> <SUBJECT>Issue of multiple airworthiness certification.</SUBJECT> <SECTNO>21.189</SECTNO> <SUBJECT>Issue of airworthiness certificate for limited category aircraft.</SUBJECT> <SECTNO>21.190</SECTNO> <SUBJECT>Issue of a special airworthiness certificate for a light-sport category aircraft.</SUBJECT> <SECTNO>21.191</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> <SECTNO>21.193</SECTNO> <SUBJECT>Experimental certificates: general.</SUBJECT> <SECTNO>21.195</SECTNO> <SUBJECT>Experimental certificates: Aircraft to be used for market surveys, sales demonstrations, and customer crew training.</SUBJECT> <SECTNO>21.197</SECTNO> <SUBJECT>Special flight permits.</SUBJECT> <SECTNO>21.199</SECTNO> <SUBJECT>Issue of special flight permits.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Provisional Airworthiness Certificates</HD> <SECTNO>21.211</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.213</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.215</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>21.217</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.219</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.221</SECTNO> <SUBJECT>Class I provisional airworthiness certificates.</SUBJECT> <SECTNO>21.223</SECTNO> <SUBJECT>Class II provisional airworthiness certificates.</SUBJECT> <SECTNO>21.225</SECTNO> <SUBJECT>Provisional airworthiness certificates corresponding with provisional amendments to type certificates.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart J—Delegation Option Authorization Procedures</HD> <SECTNO>21.231</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.235</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>21.239</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.243</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.245</SECTNO> <SUBJECT>Maintenance of eligibility.</SUBJECT> <SECTNO>21.247</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.249</SECTNO> <SUBJECT>Inspections.</SUBJECT> <SECTNO>21.251</SECTNO> <SUBJECT>Limits of applicability.</SUBJECT> <SECTNO>21.253</SECTNO> <SUBJECT>Type certificates: application.</SUBJECT> <SECTNO>21.257</SECTNO> <SUBJECT>Type certificates: issue.</SUBJECT> <SECTNO>21.261</SECTNO> <SUBJECT>Equivalent safety provisions.</SUBJECT> <SECTNO>21.267</SECTNO> <SUBJECT>Production certificates.</SUBJECT> <SECTNO>21.269</SECTNO> <SUBJECT>Export airworthiness approvals.</SUBJECT> <SECTNO>21.271</SECTNO> <SUBJECT>Airworthiness approval tags.</SUBJECT> <SECTNO>21.273</SECTNO> <SUBJECT>Airworthiness certificates other than experimental.</SUBJECT> <SECTNO>21.275</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> <SECTNO>21.277</SECTNO> <SUBJECT>Data review and service experience.</SUBJECT> <SECTNO>21.289</SECTNO> <SUBJECT>Major repairs, rebuilding and alteration.</SUBJECT> <SECTNO>21.293</SECTNO> <SUBJECT>Current records.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart K—Approval of Materials, Parts, Processes, and Appliances</HD> <SECTNO>21.301</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.303</SECTNO> <SUBJECT>Replacement and modification parts.</SUBJECT> <SECTNO>21.305</SECTNO> <SUBJECT>Approval of materials, parts, processes, and appliances.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart L—Export Airworthiness Approvals</HD> <SECTNO>21.321</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.323</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.325</SECTNO> <SUBJECT>Export airworthiness approvals.</SUBJECT> <SECTNO>21.327</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>21.329</SECTNO> <SUBJECT>Issue of export certificates of airworthiness for Class I products.</SUBJECT> <SECTNO>21.331</SECTNO> <SUBJECT>Issue of airworthiness approval tags for Class II products.</SUBJECT> <SECTNO>21.333</SECTNO> <SUBJECT>Issue of export airworthiness approval tags for Class III products.</SUBJECT> <SECTNO>21.335</SECTNO> <SUBJECT>Responsibilities of exporters.</SUBJECT> <SECTNO>21.337</SECTNO> <SUBJECT>Performance of inspections and overhauls.</SUBJECT> <SECTNO>21.339</SECTNO> <SUBJECT>Special export airworthiness approval for aircraft.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart M—Designated Alteration Station Authorization Procedures</HD> <SECTNO>21.431</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.435</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>21.439</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>21.441</SECTNO> <SUBJECT>Procedure manual.</SUBJECT> <SECTNO>21.443</SECTNO> <SUBJECT>Duration.</SUBJECT> <SECTNO>21.445</SECTNO> <SUBJECT>Maintenance of eligibility.</SUBJECT> <SECTNO>21.447</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>21.449</SECTNO> <SUBJECT>Inspections.</SUBJECT> <SECTNO>21.451</SECTNO> <SUBJECT>Limits of applicability.<PRTPAGE P="124"/> </SUBJECT> <SECTNO>21.461</SECTNO> <SUBJECT>Equivalent safety provisions.</SUBJECT> <SECTNO>21.463</SECTNO> <SUBJECT>Supplemental type certificates.</SUBJECT> <SECTNO>21.473</SECTNO> <SUBJECT>Airworthiness certificates other than experimental.</SUBJECT> <SECTNO>21.475</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> <SECTNO>21.477</SECTNO> <SUBJECT>Data review and service experience.</SUBJECT> <SECTNO>21.493</SECTNO> <SUBJECT>Current records.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart N—Approval of Engines, Propellers, Materials, Parts, and Appliances: Import</HD> <SECTNO>21.500</SECTNO> <SUBJECT>Approval of engines and propellers.</SUBJECT> <SECTNO>21.502</SECTNO> <SUBJECT>Approval of materials, parts, and appliances.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart O—Technical Standard Order Authorizations</HD> <SECTNO>21.601</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>21.603</SECTNO> <SUBJECT>TSO marking and privileges.</SUBJECT> <SECTNO>21.605</SECTNO> <SUBJECT>Application and issue.</SUBJECT> <SECTNO>21.607</SECTNO> <SUBJECT>General rules governing holders of TSO authorizations.</SUBJECT> <SECTNO>21.609</SECTNO> <SUBJECT>Approval for deviation.</SUBJECT> <SECTNO>21.611</SECTNO> <SUBJECT>Design changes.</SUBJECT> <SECTNO>21.613</SECTNO> <SUBJECT>Recordkeeping requirements.</SUBJECT> <SECTNO>21.615</SECTNO> <SUBJECT>FAA inspection.</SUBJECT> <SECTNO>21.617</SECTNO> <SUBJECT>Issue of letters of TSO design approval: import appliances.</SUBJECT> <SECTNO>21.619</SECTNO> <SUBJECT>Noncompliance.</SUBJECT> <SECTNO>21.621</SECTNO> <SUBJECT>Transferability and duration.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> 42 U.S.C. 7572; 49 U.S.C. 106(g), 40105, 40113, 44701-44702, 44704, 44707, 44709, 44711, 44713, 44715, 45303. </AUTH> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> For miscellaneous amendments to cross references in this part 21 see Amdt. 21-10, 31 FR 9211, July 6, 1966. </EDNOTE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53384, Oct. 16, 2009, part 21 was amended by removing the word “Administrator” and adding in its place the word “FAA” wherever it appears; removing the word “shall” and adding in its place the word “must” wherever it appears; and removing the phrase “type certificate only” and adding in its place the phrase “type certificate” wherever it appears, effective Apr. 14, 2010. </EFFDNOTP> <APPENDIX> <EAR>Pt. 21, SFAR No. 88</EAR> <HD SOURCE="HED">Special Federal Aviation Regulation No. 88—Fuel Tank System Fault Tolerance Evaluation Requirements</HD> 1. <E T="03">Applicability.</E> This SFAR applies to the holders of type certificates, and supplemental type certificates that may affect the airplane fuel tank system, for turbine-powered transport category airplanes, provided the type certificate was issued after January 1, 1958, and the airplane has either a maximum type certificated passenger capacity of 30 or more, or a maximum type certificated payload capacity of 7,500 pounds or more. This SFAR also applies to applicants for type certificates, amendments to a type certificate, and supplemental type certificates affecting the fuel tank systems for those airplanes identified above, if the application was filed before June 6, 2001, the effective date of this SFAR, and the certificate was not issued before June 6, 2001. 2. <E T="03">Compliance:</E> Each type certificate holder, and each supplemental type certificate holder of a modification affecting the airplane fuel tank system, must accomplish the following within the compliance times specified in paragraph (e) of this section: (a) Conduct a safety review of the airplane fuel tank system to determine that the design meets the requirements of §§ 25.901 and 25.981(a) and (b) of this chapter. If the current design does not meet these requirements, develop all design changes to the fuel tank system that are necessary to meet these requirements. The FAA (Aircraft Certification Office (ACO), or office of the Transport Airplane Directorate, having cognizance over the type certificate for the affected airplane) may grant an extension of the 18-month compliance time for development of design changes if: (1) The safety review is completed within the compliance time; (2) Necessary design changes are identified within the compliance time; and (3) Additional time can be justified, based on the holder's demonstrated aggressiveness in performing the safety review, the complexity of the necessary design changes, the availability of interim actions to provide an acceptable level of safety, and the resulting level of safety. (b) Develop all maintenance and inspection instructions necessary to maintain the design features required to preclude the existence or development of an ignition source within the fuel tank system of the airplane. (c) Submit a report for approval to the FAA Aircraft Certification Office (ACO), or office of the Transport Airplane Directorate, having cognizance over the type certificate for the affected airplane, that: (1) Provides substantiation that the airplane fuel tank system design, including all necessary design changes, meets the requirements of §§ 25.901 and 25.981(a) and (b) of this chapter; and (2) Contains all maintenance and inspection instructions necessary to maintain the design features required to preclude the existence or development of an ignition source within the fuel tank system throughout the operational life of the airplane. (d) The Aircraft Certification Office (ACO), or office of the Transport Airplane Directorate, having cognizance over the type certificate for the affected airplane, may approve a report submitted in accordance with paragraph 2(c) if it determines that any provisions of this SFAR not complied with are <PRTPAGE P="125"/>compensated for by factors that provide an equivalent level of safety. (e) Each type certificate holder must comply no later than December 6, 2002, or within 18 months after the issuance of a type certificate for which application was filed before June 6, 2001, whichever is later; and each supplemental type certificate holder of a modification affecting the airplane fuel tank system must comply no later than June 6, 2003, or within 18 months after the issuance of a supplemental type certificate for which application was filed before June 6, 2001, whichever is later. <CITA>[Doc. No. 1999-6411, 66 FR 23129, May 7, 2001, as amended by Amdt. 21-82, 67 FR 57493, Sept. 10, 2002; 67 FR 70809, Nov. 26, 2002; Amdt. 21-83, 67 FR 72833, Dec. 9, 2002]</CITA> </APPENDIX> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 21.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> (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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53384, Oct. 16, 2009, § 21.1 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.1</SECTNO> <SUBJECT>Applicability and definitions.</SUBJECT> (a) This part prescribes— (1) Procedural requirements for issuing and changing— (i) Design approvals; (ii) Production approvals; (iii) Airworthiness certificates; and (iv) Airworthiness approvals; (2) Rules governing applicants for, and holders of, any approval or certificate specified in paragraph (a)(1) of this section; and (3) Procedural requirements for the approval of articles. (b) For the purposes of this part— (1) <E T="03">Airworthiness approval</E> means a document issued by the FAA for an aircraft, aircraft engine, propeller, or article which certifies that the aircraft, aircraft engine, propeller, or article conforms to its approved design and is in a condition for safe operation; (2) <E T="03">Article</E> means a material, part, component, process, or appliance; (3) <E T="03">Commercial part</E> means an article that is listed on an FAA-approved Commercial Parts List included in a design approval holder's Instructions for Continued Airworthiness required by § 21.50; (4) <E T="03">Design approval</E> means a type certificate (including amended and supplemental type certificates) or the approved design under a PMA, TSO authorization, letter of TSO design approval, or other approved design; (5) <E T="03">Product</E> means an aircraft, aircraft engine, or propeller; (6) <E T="03">Production approval</E> means a document issued by the FAA to a person that allows the production of a product or article in accordance with its approved design and approved quality system, and can take the form of a production certificate, a PMA, or a TSO authorization; (7) <E T="03">State of Design</E> means the country or jurisdiction having regulatory authority over the organization responsible for the design and continued airworthiness of a civil aeronautical product or article; (8) <E T="03">State of Manufacture</E> means the country or jurisdiction having regulatory authority over the organization responsible for the production and airworthiness of a civil aeronautical product or article. </SECTION> <SECTION> <SECTNO>§ 21.2 </SECTNO> <SUBJECT>Falsification of applications, reports, or records.</SUBJECT> (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.<PRTPAGE P="126"/> (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. <CITA>[Doc. No. 23345, 57 FR 41367, Sept. 9, 1992]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53384, Oct. 16, 2009, § 21.2 was amended by revising paragraphs (a) introductory text, (a)(1), (a)(2), and (b), effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.2</SECTNO> <SUBJECT>Falsification of applications, reports, or records.</SUBJECT> (a) A person may not make or cause to be made— (1) Any fraudulent, intentionally false, or misleading statement on any application for a certificate or approval under this part; (2) Any fraudulent, intentionally false, or misleading statement in any record or report that is kept, made, or used to show compliance with any requirement of this part;<STARS/> (b) The commission by any person of an act prohibited under paragraph (a) of this section is a basis for— (1) Denying issuance of any certificate or approval under this part; and (2) Suspending or revoking any certificate or approval issued under this part and held by that person. </SECTION> <SECTION> <SECTNO>§ 21.3</SECTNO> <SUBJECT>Reporting of failures, malfunctions, and defects.</SUBJECT> (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. (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<PRTPAGE P="127"/> (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 § 21.29 or § 21.617, or exported to the United States under § 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 Manager of the Aircraft Certification Office for the geographic area of the FAA regional office in the region in which it is located. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53385, Oct. 16, 2009, § 21.3 was amended by revising paragraphs (a), (b), (d)(1), (d)(2), (e)(3), and (f), effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.3</SECTNO> <SUBJECT>Reporting of failures, malfunctions, and defects.</SUBJECT> (a) The holder of a type certificate (including amended or supplemental type certificates), a PMA, or a TSO authorization, or the licensee of a type certificate must report any failure, malfunction, or defect in any product 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 amended or supplemental type certificates), a PMA, or a TSO authorization, or the licensee of a type certificate must report any defect in any product or article manufactured by it that has left its quality system and that it determines could result in any of the occurrences listed in paragraph (c) of this section.<STARS/> (d) * * * (1) Failures, malfunctions, or defects that the holder of a type certificate (including amended or supplemental type certificates), PMA, TSO authorization, or the licensee of a type certificate determines— (i) Were caused by improper maintenance or use; (ii) Were reported to the FAA by another person under this chapter; or (iii) Were reported under the accident reporting provisions of 49 CFR part 830 of the regulations of the National Transportation Safety Board. (2) Failures, malfunctions, or defects in products or articles— (i) Manufactured by a foreign manufacturer under a U.S. type certificate issued under § 21.29 or under an approval issued under § 21.621; or (ii) Exported to the United States under § 21.502. (e) * * * (3) Must include as much of the following information as is available and applicable:<PRTPAGE P="128"/> (i) The applicable product and article identification information required by part 45 of this chapter; (ii) Identification of the system involved; and (iii) Nature of the failure, malfunction, or defect. (f) If an accident investigation or service difficulty report shows that a product or article manufactured under this part is unsafe because of a manufacturing or design data defect, the holder of the production approval for that product or article must, upon request of the FAA, report to the FAA the results of its investigation and any action taken or proposed by the holder of that production approval to correct that defect. If action is required to correct the defect in an existing product or article, the holder of that production approval must send the data necessary for issuing an appropriate airworthiness directive to the appropriate aircraft certification office. </SECTION> <SECTION> <SECTNO>§ 21.4</SECTNO> <SUBJECT>ETOPS reporting requirements.</SUBJECT> (a) <E T="03">Early ETOPS: reporting, tracking, and resolving problems.</E> The holder of a type certificate for an airplane-engine combination approved using the Early ETOPS method specified in part 25, Appendix K, of this chapter must use a system for reporting, tracking, and resolving each problem resulting in one of the occurrences specified in paragraph (a)(6) of this section. (1) The system must identify how the type certificate holder will promptly identify problems, report them to the responsible FAA aircraft certification office, and propose a solution to the FAA to resolve each problem. A proposed solution must consist of— (i) A change in the airplane or engine type design; (ii) A change in a manufacturing process; (iii) A change in an operating or maintenance procedure; or (iv) Any other solution acceptable to the FAA. (2) For an airplane with more than two engines, the system must be in place for the first 250,000 world fleet engine-hours for the approved airplane-engine combination. (3) For two-engine airplanes, the system must be in place for the first 250,000 world fleet engine-hours for the approved airplane-engine combination and after that until— (i) The world fleet 12-month rolling average IFSD rate is at or below the rate required by paragraph (b)(2) of this section; and (ii) The FAA determines that the rate is stable. (4) For an airplane-engine combination that is a derivative of an airplane-engine combination previously approved for ETOPS, the system need only address those problems specified in the following table, provided the type certificate holder obtains prior authorization from the FAA: <GPOTABLE CDEF="s100,r100" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">If the change does not require a new airplane type certificate and . . .</CHED> <CHED H="1">Then the Problem Tracking and Resolution System must address . . .</CHED> </BOXHD> <ROW> <ENT I="01">(i) Requires a new engine type certificate</ENT> <ENT>All problems applicable to the new engine installation, and for the remainder of the airplane, problems in changed systems only.</ENT> </ROW> <ROW> <ENT I="01">(ii) Does not require a new engine type certificate</ENT> <ENT>Problems in changed systems only.</ENT> </ROW> </GPOTABLE> (5) The type certificate holder must identify the sources and content of data that it will use for its system. The data must be adequate to evaluate the specific cause of any in-service problem reportable under this section or § 21.3(c) that could affect the safety of ETOPS. (6) In implementing this system, the type certificate holder must report the following occurrences: (i) IFSDs, except planned IFSDs performed for flight training. (ii) For two-engine airplanes, IFSD rates. (iii) Inability to control an engine or obtain desired thrust or power. (iv) Precautionary thrust or power reductions. (v) Degraded ability to start an engine in flight. (vi) Inadvertent fuel loss or unavailability, or uncorrectable fuel imbalance in flight. (vii) Turn backs or diversions for failures, malfunctions, or defects associated with an ETOPS group 1 significant system.<PRTPAGE P="129"/> (viii) Loss of any power source for an ETOPS group 1 significant system, including any power source designed to provide backup power for that system. (ix) Any event that would jeopardize the safe flight and landing of the airplane on an ETOPS flight. (x) Any unscheduled engine removal for a condition that could result in one of the reportable occurrences listed in this paragraph. (b) <E T="03">Reliability of two-engine airplanes</E>—(1) <E T="03">Reporting of two-engine airplane in-service reliability.</E> The holder of a type certificate for an airplane approved for ETOPS and the holder of a type certificate for an engine installed on an airplane approved for ETOPS must report monthly to their respective FAA type certificate holding office on the reliability of the world fleet of those airplanes and engines. The report provided by both the airplane and engine type certificate holders must address each airplane-engine combination approved for ETOPS. The FAA may approve quarterly reporting if the airplane-engine combination demonstrates an IFSD rate at or below those specified in paragraph (b)(2) of this section for a period acceptable to the FAA. This reporting may be combined with the reporting required by § 21.3. The responsible type certificate holder must investigate any cause of an IFSD resulting from an occurrence attributable to the design of its product and report the results of that investigation to its FAA office responsible for administering its type certificate. Reporting must include: (i) Engine IFSDs, except planned IFSDs performed for flight training. (ii) The world fleet 12-month rolling average IFSD rates for all causes, except planned IFSDs performed for flight training. (iii) ETOPS fleet utilization, including a list of operators, their ETOPS diversion time authority, flight hours, and cycles. (2) <E T="03">World fleet IFSD rate for two-engine airplanes.</E> The holder of a type certificate for an airplane approved for ETOPS and the holder of a type certificate for an engine installed on an airplane approved for ETOPS must issue service information to the operators of those airplanes and engines, as appropriate, to maintain the world fleet 12-month rolling average IFSD rate at or below the following levels: (i) A rate of 0.05 per 1,000 world-fleet engine-hours for an airplane-engine combination approved for up to and including 120-minute ETOPS. When all ETOPS operators have complied with the corrective actions required in the configuration, maintenance and procedures (CMP) document as a condition for ETOPS approval, the rate to be maintained is at or below 0.02 per 1,000 world-fleet engine-hours. (ii) A rate of 0.02 per 1,000 world-fleet engine-hours for an airplane-engine combination approved for up to and including 180-minute ETOPS, including airplane-engine combinations approved for 207-minute ETOPS in the North Pacific operating area under appendix P, section I, paragraph (h), of part 121 of this chapter. (iii) A rate of 0.01 per 1,000 world-fleet engine-hours for an airplane-engine combination approved for ETOPS beyond 180 minutes, excluding airplane-engine combinations approved for 207-minute ETOPS in the North Pacific operating area under appendix P, section I, paragraph (h), of part 121 of this chapter. <CITA>[Doc. No. FAA-2002-6717, 72 FR 1872, Jan. 16, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.5</SECTNO> <SUBJECT>Airplane or Rotorcraft Flight Manual.</SUBJECT> (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.<PRTPAGE P="130"/> (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. <CITA>[Amdt. 21-46, 43 FR 2316, Jan. 16, 1978]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53385, Oct. 16, 2009, § 21.5 was amended by revising paragraph (a), effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.5</SECTNO> <SUBJECT>Airplane or Rotorcraft Flight Manual.</SUBJECT> (a) With each airplane or rotorcraft not type certificated with an Airplane or Rotorcraft Flight Manual and having no flight time before March 1, 1979, the holder of a type certificate (including amended or supplemental type certificates) or the licensee of a type certificate must make available to the owner at the time of delivery of the aircraft a current approved Airplane or Rotorcraft Flight Manual.<STARS/> </SECTION> <SECTION> <SECTNO>§ 21.6</SECTNO> <SUBJECT>Manufacture of new aircraft, aircraft engines, and propellers.</SUBJECT> (a) Except as specified in paragraphs (b) and (c) of this section, no person may manufacture a new aircraft, aircraft engine, or propeller based on a type certificate unless the person— (1) Is the holder of the type certificate or has a licensing agreement from the holder of the type certificate to manufacture the product; and (2) Meets the requirements of subpart F or G of this part. (b) A person may manufacture one new aircraft based on a type certificate without meeting the requirements of paragraph (a) of this section if that person can provide evidence acceptable to the FAA that the manufacture of the aircraft by that person began before August 5, 2004. (c) The requirements of this section do not apply to— (1) New aircraft imported under the provisions of §§ 21.183(c), 21.184(b), or 21.185(c); and (2) New aircraft engines or propellers imported under the provisions of § 21.500. <CITA>[Doc. No. FAA-2003-14825, 71 FR 52258, Sept. 1, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.7</SECTNO> <SUBJECT>Continued airworthiness and safety improvements for transport category airplanes.</SUBJECT> (a) On or after December 10, 2007, the holder of a design approval and an applicant for a design approval must comply with the applicable continued airworthiness and safety improvement requirements of part 26 of this subchapter. (b) For new transport category airplanes manufactured under the authority of the FAA, the holder or licensee of a type certificate must meet the applicable continued airworthiness and safety improvement requirements specified in part 26 of this subchapter for new production airplanes. Those requirements only apply if the FAA has jurisdiction over the organization responsible for final assembly of the airplane. <CITA>[Doc. No. FAA-2004-18379, Amdt. No. 21-90, 72 FR 63404, Nov. 8, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.8</SECTNO> <SUBJECT>Approval of articles.</SUBJECT> If an article is required to be approved under this chapter, it may be approved— (a) Under a PMA; (b) Under a TSO; (c) In conjunction with type certification procedures for a product; or (d) In any other manner approved by the FAA. <CITA>[Doc. No. FAA-2006-25877, 74 FR 53385, Oct. 16, 2009]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877 74 FR 53385, Oct. 16, 2009, § 21.8 was added, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.9</SECTNO> <SUBJECT>Replacement and modification articles.</SUBJECT> (a) If a person knows, or should know, that a replacement or modification article is reasonably likely to be installed on a type-certificated product, the person may not produce that article unless it is— (1) Produced under a type certificate; (2) Produced under an FAA production approval;<PRTPAGE P="131"/> (3) A standard part (such as a nut or bolt) manufactured in compliance with a government or established industry specification; (4) A commercial part as defined in § 21.1 of this part; (5) Produced by an owner or operator for maintaining or altering that owner or operator's product; or (6) Fabricated by an appropriately rated certificate holder with a quality system, and consumed in the repair or alteration of a product or article in accordance with part 43 of this chapter. (b) Except as provided in paragraphs (a)(1) through (a)(4) of this section, a person who produces a replacement or modification article for sale may not represent that part as suitable for installation on a type-certificated product. (c) Except as provided in paragraphs (a)(1) through (a)(4) of this section, a person may not sell or represent an article as suitable for installation on an aircraft type-certificated under §§ 21.25(a)(2) or 21.27 unless that article— (1) Was declared surplus by the U.S. Armed Forces, and (2) Was intended for use on that aircraft model by the U.S. Armed Forces. <CITA>[Doc. No. FAA-2006-25877, 74 FR 53385, Oct. 16, 2009]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877 74 FR 53385, Oct. 16, 2009, § 21.9 was added, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart B—Type Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14564, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.11</SECTNO> <SUBJECT>Applicability.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.13</SECTNO> <SUBJECT>Eligibility.</SUBJECT> Any interested person may apply for a type certificate. <CITA>[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.15</SECTNO> <SUBJECT>Application for type certificate.</SUBJECT> <EXT-XREF HREF="20091016" REFID="37">Link to an amendment published at 74 FR 53385, October 16, 2009.</EXT-XREF> (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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53385, Oct. 16, 2009, § 21.15 was amended by removing the words “Aircraft Certification Office” in paragraph (a) and adding, in their place, the words “aircraft certification office”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.16</SECTNO> <SUBJECT>Special conditions.</SUBJECT> 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. <CITA>[Amdt. 21-19, 32 FR 17851, Dec. 13, 1967; as amended by Amdt. 21-51, 45 FR 60170, Sept. 11, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.17</SECTNO> <SUBJECT>Designation of applicable regulations.</SUBJECT> (a) Except as provided in §§ 23.2, 25.2, 27.2, 29.2, and in parts 26, 34 and 36 of this subchapter, an applicant for a type certificate must show that the aircraft, aircraft engine, or propeller concerned meets—<PRTPAGE P="132"/> (1) The applicable requirements of this subchapter that are effective on 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. <CITA>[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; Amdt. No. 21-90, 72 FR 63404, Nov. 8, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.19</SECTNO> <SUBJECT>Changes requiring a new type certificate.</SUBJECT> 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. <CITA>[Doc. No. 28903, 65 FR 36265, June 7, 2000]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.20</SECTNO> <SUBJECT>Compliance with applicable requirements.</SUBJECT> The applicant for a type certificate, including an amended or supplemental type certificate, must— (a) Show compliance with all applicable requirements and must provide the FAA the means by which such compliance has been shown; and (b) Provide a statement certifying that the applicant has complied with the applicable requirements. <CITA>[Doc. No. FAA-2006-25877, 74 FR 53385, Oct. 16, 2009]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By FAA-2006-25877, 74 FR 53385, Oct. 16, 2009, § 21.20 was added, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <PRTPAGE P="133"/> <SECTNO>§ 21.21</SECTNO> <SUBJECT>Issue of type certificate: normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; special classes of aircraft; aircraft engines; propellers.</SUBJECT> <EXT-XREF HREF="20091016" REFID="39">Link to an amendment published at 74 FR 53385, October 16, 2009.</EXT-XREF> 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 § 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 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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53385, Oct. 16, 2009, § 21.21 was amended by removing the words “the Federal Aviation Regulations” and adding in their place the words “this subchapter” wherever they appear, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.23</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 21.24</SECTNO> <SUBJECT>Issuance of type certificate: primary category aircraft.</SUBJECT> (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 V<E T="52">so</E> stall speed as defined in § 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 § 21.17(f); and no feature or characteristic makes it unsafe for its intended use; (ii) The flight manual required by § 21.5(b), including any information required to be furnished by the applicable airworthiness standards; (iii) Instructions for continued airworthiness in accordance with § 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 § 21.49 to substantiate compliance with the applicable airworthiness standards. (3) The Administrator finds that— (i) The aircraft complies with those applicable airworthiness requirements <PRTPAGE P="134"/>approved under § 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) and (b) of this section must be submitted in English. <CITA>[Doc. No. 23345, 57 FR 41367, Sept. 9, 1992; as amended by Amdt. 21-75, 62 FR 62808, Nov. 25, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.25</SECTNO> <SUBJECT>Issue of type certificate: Restricted category aircraft.</SUBJECT> (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. <CITA>[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-42, 40 FR 1033, Jan. 6, 1975]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.27</SECTNO> <SUBJECT>Issue of type certificate: surplus aircraft of the Armed Forces.</SUBJECT> (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 <PRTPAGE P="135"/>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: <GPOTABLE CDEF="s100,r79,r92" COLS="3" OPTS="L2"> <BOXHD> <CHED H="1">Type of aircraft</CHED> <CHED H="1">Date accepted for operational use by the Armed Forces <LI>of the United States</LI> </CHED> <CHED H="1">Regulations that apply <SU>1</SU> </CHED> </BOXHD> <ROW> <ENT I="01">Small reciprocating-engine powered airplanes</ENT> <ENT>Before May 16, 1956<LI>After May 15, 1956</LI> </ENT> <ENT>CAR Part 3, as effective May 15, 1956.<LI>CAR Part 3, or FAR Part 23.</LI> </ENT> </ROW> <ROW> <ENT I="01">Small turbine engine-powered airplanes</ENT> <ENT>Before Oct. 2, 1959<LI>After Oct. 1, 1959</LI> </ENT> <ENT>CAR Part 3, as effective Oct. 1, 1959.<LI>CAR Part 3 or FAR Part 23.</LI> </ENT> </ROW> <ROW> <ENT I="01">Commuter category airplanes</ENT> <ENT>After (Feb. 17, 1987)<LI>FAR Part 23 as of (Feb. 17, 1987).</LI> </ENT> </ROW> <ROW> <ENT I="01">Large reciprocating-engine powered airplanes</ENT> <ENT>Before Aug. 26, 1955<LI>After Aug. 25, 1955</LI> </ENT> <ENT>CAR Part 4b, as effective Aug. 25, 1955.<LI>CAR Part 4b or FAR Part 25.</LI> </ENT> </ROW> <ROW> <ENT I="01">Large turbine engine-powered airplanes</ENT> <ENT>Before Oct. 2, 1959<LI>After Oct. 1, 1959</LI> </ENT> <ENT>CAR Part 4b, as effective Oct. 1, 1959.<LI>CAR Part 4b or FAR Part 25.</LI> </ENT> </ROW> <ROW> <ENT I="11">Rotorcraft with maximum certificated takeoff weight of:</ENT> </ROW> <ROW> <ENT I="02">6,000 pounds or less</ENT> <ENT>Before Oct. 2, 1959<LI>After Oct. 1, 1959</LI> </ENT> <ENT>CAR Part 6, as effective Oct. 1, 1959.<LI>CAR Part 6, or FAR Part 27.</LI> </ENT> </ROW> <ROW> <ENT I="02">Over 6,000 pounds</ENT> <ENT>Before Oct. 2, 1959<LI>After Oct. 1, 1959</LI> </ENT> <ENT>CAR Part 7, as effective Oct. 1, 1959.<LI>CAR Part 7, or FAR Part 29.<SU>1</SU> 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.</LI> </ENT> </ROW> </GPOTABLE> <CITA>[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; 70 FR 2325, Jan. 13, 2005]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.27 was amended by removing the words “the Federal Aviation Regulations” in paragraph (c) and adding, in their place, the words “this subchapter”; and removing the word “FAR” from each place it appears in the table in paragraph (f) and adding in its place the words “14 CFR”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.29</SECTNO> <SUBJECT>Issue of type certificate: import products.</SUBJECT> (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 § 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 § 21.17; and<PRTPAGE P="136"/> (ii) The applicable airworthiness requirements of this subchapter as designated in § 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 § 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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53386, Oct. 16, 2009, § 21.29 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.29</SECTNO> <SUBJECT>Issue of type certificate: import products.</SUBJECT> (a) The FAA may issue a type certificate for a product that is manufactured in a foreign country or jurisdiction 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 applicable State of Design 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 § 21.17, or the applicable aircraft noise, fuel venting, and exhaust emissions requirements of the State of Design, and any other requirements the FAA 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 § 21.17; and (ii) The applicable airworthiness requirements of this subchapter as designated in § 21.17, or the applicable airworthiness requirements of the State of Design and any other requirements the FAA may prescribe to provide a level of safety equivalent to that provided by the applicable airworthiness requirements of this subchapter as designated in § 21.17; (2) The applicant has provided technical data to show the product meets the requirements of paragraph (a)(1) of this section; 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 of this subchapter and the fuel venting and exhaust emission standards of part 34 of this subchapter. Compliance with parts 36 and 34 of this subchapter is certified under paragraph (a)(1)(i) of this section, and the applicable airworthiness standards of this subchapter, or an equivalent level of safety, with which compliance is certified under paragraph (a)(1)(ii) of this section. </SECTION> <SECTION> <SECTNO>§ 21.31</SECTNO> <SUBJECT>Type design.</SUBJECT> The type design consists of— (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, 26, 27, 29, 31, 33 and 35 of this subchapter, or as otherwise required by the Administrator; and as specified in the applicable airworthiness criteria for special classes of aircraft defined in § 21.17(b); and (d) For primary category aircraft, if desired, a special inspection and preventive maintenance program designed <PRTPAGE P="137"/>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. <CITA>[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; Amdt. No. 21-90, 72 FR 63404, Nov. 8, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.33</SECTNO> <SUBJECT>Inspection and tests.</SUBJECT> <EXT-XREF HREF="20091016" REFID="42">Link to an amendment published at 74 FR 53386, October 16, 2009.</EXT-XREF> (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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.33(a) introductory text was amended by removing the words “the Federal Aviation Regulations” and adding, in their place, the words “this subchapter”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.35</SECTNO> <SUBJECT>Flight tests.</SUBJECT> (a) Each applicant for an aircraft type certificate (other than under §§ 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 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<PRTPAGE P="138"/> (2) For rotorcraft, the rotor drive endurance tests prescribed in § 27.923 or § 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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.37</SECTNO> <SUBJECT>Flight test pilot.</SUBJECT> 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. <CITA>[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-59, 52 FR 1835, Jan. 15, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.39</SECTNO> <SUBJECT>Flight test instrument calibration and correction report.</SUBJECT> (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. <CITA>[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-59, 52 FR 1835, Jan. 15, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.41</SECTNO> <SUBJECT>Type certificate.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.43</SECTNO> <SUBJECT>Location of manufacturing facilities.</SUBJECT> Except as provided in § 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. </SECTION> <SECTION> <SECTNO>§ 21.45</SECTNO> <SUBJECT>Privileges.</SUBJECT> The holder or licensee of a type certificate for a product may— (a) In the case of aircraft, upon compliance with §§ 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 §§ 21.133 through 21.163, obtain a production certificate for the type certificated product; (d) Obtain approval of replacement parts for that product. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.45 was amended by removing the words “or certified” from paragraph (b) and adding in their place the words “on certificated”; and removing the reference “§§ 21.133 through 21.163” from paragraph (c) and adding in its place the words “subpart G of this part”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <PRTPAGE P="139"/> <SECTNO>§ 21.47</SECTNO> <SUBJECT>Transferability.</SUBJECT> 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. <CITA>[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.47 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.47</SECTNO> <SUBJECT>Transferability.</SUBJECT> (a) A holder of a type certificate may transfer it or make it available to other persons by licensing agreements. (b) For a type certificate transfer in which the State of Design will remain the same, each transferor must, before such a transfer, notify in writing the appropriate aircraft certification office. This notification must include the applicable type certificate number, the name and address of the transferee, and the anticipated date of the transfer. (c) For a type certificate transfer in which the State of Design is changing, a type certificate may only be transferred to or from a person subject to the authority of another State of Design if the United States has an agreement with that State of Design for the acceptance of the affected product for export and import. Each transferor must notify the appropriate aircraft certification office before such a transfer in a form and manner acceptable to the FAA. This notification must include the applicable type certificate number; the name, address, and country of residence of the transferee; and the anticipated date of the transfer. (d) Before executing or terminating a licensing agreement that makes a type certificate available to another person, the type certificate holder must notify in writing the appropriate aircraft certification office. This notification must include the type certificate number addressed by the licensing agreement, the name and address of the licensee, the extent of authority granted the licensee, and the anticipated date of the agreement. </SECTION> <SECTION> <SECTNO>§ 21.49</SECTNO> <SUBJECT>Availability.</SUBJECT> 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. <CITA>[Doc. No. 5085, 29 FR 14564, Oct. 24, 1964, as amended by Doc. No. 8084, 32 FR 5769, Apr. 11, 1967]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.50</SECTNO> <SUBJECT>Instructions for continued airworthiness and manufacturer's maintenance manuals having airworthiness limitations sections.</SUBJECT> <EXT-XREF HREF="20091016" REFID="45">Link to an amendment published at 74 FR 53386, October 16, 2009.</EXT-XREF> (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 § 27.1529 (a)(2) or § 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, to the owner of each type aircraft, aircraft engine, or propeller upon its delivery, or upon issuance of the first standard airworthiness certificate for the affected aircraft, whichever occurs later. The Instructions must be prepared in accordance with § 23.1529, § 25.1529, § 25.1729, § 27.1529, § 29.1529, § 31.82, § 33.4, § 35.4, or part 26 of this subchapter, or as specified in the applicable airworthiness criteria for special classes of aircraft defined in § 21.17(b), as applicable. Thereafter, the holder of a design approval must make those instructions available to any other person required by this chapter to comply with any of the terms of those instructions. In addition, changes to the Instructions for Continued Airworthiness shall be made available to any person required by <PRTPAGE P="140"/>this chapter to comply with any of those instructions. <CITA>[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; Amdt. No. 21-90, 72 FR 63404, Nov. 8, 2007]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.50 was amended by revising paragraph (b) and adding paragraph (c), effective Apr. 14, 2010. For the convenience of the user, the added and revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.50</SECTNO> <SUBJECT>Instructions for continued airworthiness and manufacturer's maintenance manuals having airworthiness limitations sections.</SUBJECT> <STARS/> (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, must furnish at least one set of complete Instructions for Continued Airworthiness to the owner of each type aircraft, aircraft engine, or propeller upon its delivery, or upon issuance of the first standard airworthiness certificate for the affected aircraft, whichever occurs later. The Instructions must be prepared in accordance with § 23.1529, § 25.1529, § 25.1729, § 27.1529, § 29.1529, § 31.82, § 33.4, § 35.4, or part 26 of this subchapter, or as specified in the applicable airworthiness criteria for special classes of aircraft defined in § 21.17(b), as applicable. If the holder of a design approval chooses to designate parts as commercial, it must include in the Instructions for Continued Airworthiness a list of commercial parts submitted in accordance with the provisions of paragraph (c) of this section. Thereafter, the holder of a design approval must make those instructions available to any other person required by this chapter to comply with any of the terms of those 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. (c) To designate commercial parts, the holder of a design approval, in a manner acceptable to the FAA, must submit: (1) A Commercial Parts List; (2) Data for each part on the List showing that: (i) The failure of the commercial part, as installed in the product, would not degrade the level of safety of the product; and (ii) The part is produced only under the commercial part manufacturer's specification and marked only with the commercial part manufacturer's markings; and (3) Any other data necessary for the FAA to approve the List. </SECTION> <SECTION> <SECTNO>§ 21.51</SECTNO> <SUBJECT>Duration.</SUBJECT> A type certificate is effective until surrendered, suspended, revoked, or a termination date is otherwise established by the Administrator. </SECTION> <SECTION> <SECTNO>§ 21.53</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> <EXT-XREF HREF="20091016" REFID="46">Link to an amendment published at 74 FR 53386, October 16, 2009.</EXT-XREF> (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 § 21.33(a) (unless otherwise authorized under that paragraph). <CITA>[Amdt. 21-17, 32 FR 14926, Oct. 28, 1967]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53386, Oct. 16, 2009, § 21.53 was amended by revising paragraph (a), effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.53</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> (a) Each applicant must provide, in a form and manner acceptable to the FAA, a statement that each aircraft engine or propeller presented for type certification conforms to its type design.<STARS/> </SECTION> <SECTION> <SECTNO>§ 21.55</SECTNO> <SUBJECT>Responsibility of type certificate holders to provide written licensing agreements.</SUBJECT> A type certificate holder who allows a person to use the type certificate to manufacture a new aircraft, aircraft engine, or propeller must provide that person with a written licensing agreement acceptable to the FAA. <CITA>[Doc. No. FAA-2003-14825, 71 FR 52258, Sept. 1, 2006]</CITA> </SECTION> <SUBPART> <PRTPAGE P="141"/> <HD SOURCE="HED">Subpart C—Provisional Type Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14566, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.71</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes— (a) Procedural requirements for the issue of provisional type certificates, amendments to provisional type certificates, and provisional amendments to type certificates; and (b) Rules governing the holders of those certificates. </SECTION> <SECTION> <SECTNO>§ 21.73</SECTNO> <SUBJECT>Eligibility.</SUBJECT> (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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53387, Oct. 16, 2009, § 21.73(b) was amended by removing the words “Any manufacturer of aircraft manufactured in a foreign country with which the United States has an agreement” and adding in their place the words “Any manufacturer of aircraft in a State of Manufacture subject to the provisions of an agreement with the United States”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.75 </SECTNO> <SUBJECT>Application.</SUBJECT> 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. <CITA>[Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, § 21.75 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.75</SECTNO> <SUBJECT>Application.</SUBJECT> Each applicant for a provisional type certificate, for an amendment thereto, or for a provisional amendment to a type certificate must apply to the appropriate aircraft certification office and provide the information required by this subpart. </SECTION> <SECTION> <SECTNO>§ 21.77</SECTNO> <SUBJECT>Duration.</SUBJECT> (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. <CITA>[Doc. No. 5085, 29 FR 14566, Oct. 24, 1964 as amended by Amdt. 21-7, 30 FR 14311, Nov. 16, 1965]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.79</SECTNO> <SUBJECT>Transferability.</SUBJECT> Provisional type certificates are not transferable. </SECTION> <SECTION> <PRTPAGE P="142"/> <SECTNO>§ 21.81</SECTNO> <SUBJECT>Requirements for issue and amendment of Class I provisional type certificates.</SUBJECT> (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 § 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 (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 §§ 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. <CITA>[Doc. No. 5085, 29 FR 14566, Oct. 24, 1964, as amended by Amdt. 21-66, 54 FR 34329, Aug. 18, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.83</SECTNO> <SUBJECT>Requirements for issue and amendment of Class II provisional type certificates.</SUBJECT> (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 §§ 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 §§ 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 <PRTPAGE P="143"/>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, 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. <CITA>[Amdt. 21-12, 31 FR 13386, Oct. 15, 1966, as amended by Amdt. 21-66, 54 FR 34329, Aug. 18, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.85</SECTNO> <SUBJECT>Provisional amendments to type certificates.</SUBJECT> (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 §§ 91.317 and 121.207 of this chapter. (g) The applicant must establish and publish, in a provisional aircraft flight <PRTPAGE P="144"/>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. <CITA>[Amdt. 21-12, 31 FR 13388, Oct. 15, 1966, as amended by Amdt. 21-66, 54 FR 34329, Aug. 18, 1989]</CITA> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart D—Changes to Type Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14567, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.91</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the approval of changes to type certificates. </SECTION> <SECTION> <SECTNO>§ 21.93</SECTNO> <SUBJECT>Classification of changes in type design.</SUBJECT> (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) Jet (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 § 137.3 of this chapter, effective January 1, 1966) to which § 36.1583 of this chapter does not apply, or (ii) Designated for dispensing fire fighting materials to which § 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 § 21.93(b). (4) Helicopters except: (i) Those helicopters that are designated exclusively: (A) For “agricultural aircraft operations”, as defined in § 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 § 133.1(b) of this chapter, as effective on December 20, 1976.<PRTPAGE P="145"/> (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, 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.” <CITA>[Amdt. 21-27, 34 FR 18363, Nov. 18, 1969]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> For <E T="04">Federal Register</E> citations affecting § 21.93, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. </EDNOTE> </SECTION> <SECTION> <SECTNO>§ 21.95</SECTNO> <SUBJECT>Approval of minor changes in type design.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.97</SECTNO> <SUBJECT>Approval of major changes in type design.</SUBJECT> (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. <CITA>[Amdt. 21-40, 39 FR 35459, Oct. 1, 1974]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53387, Oct. 16, 2009, § 21.97(a) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.97</SECTNO> <SUBJECT>Approval of major changes in type design.</SUBJECT> (a) An applicant for approval of a major change in type design must— (1) Provide substantiating data and necessary descriptive data for inclusion in the type design; (2) Show that the changed product complies with the applicable requirements of this subchapter, and provide the FAA the means by which such compliance has been shown; and (3) Provide a statement certifying that the applicant has complied with the applicable requirements.<STARS/> </SECTION> <SECTION> <SECTNO>§ 21.99</SECTNO> <SUBJECT>Required design changes.</SUBJECT> (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.<PRTPAGE P="146"/> (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. <CITA>[Doc. No. 5085, 29 FR 14567, Oct. 24, 1964, as amended by Amdt. 21-3, 30 FR 8826, July 24, 1965]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.101</SECTNO> <SUBJECT>Designation of applicable regulations.</SUBJECT> (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) Except as provided in paragraph (g) of this section, 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 § 23.2, § 25.2, § 27.2, or § 29.2 of this subchapter 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 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 § 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 <PRTPAGE P="147"/>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 §§ 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. (g) Notwithstanding paragraph (b) of this section, for transport category airplanes, the applicant must show compliance with each applicable provision of part 26 of this chapter, unless the applicant has elected or was required to comply with a corresponding amendment to part 25 of this chapter that was issued on or after the date of the applicable part 26 provision. <CITA>[Doc. No. 28903, 65 FR 36266, June 7, 2000, as amended by Amdt. No. 21-90, 72 FR 63404, Nov. 8, 2007]</CITA> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart E—Supplemental Type Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14568, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.111</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the issue of supplemental type certificates. </SECTION> <SECTION> <SECTNO>§ 21.113</SECTNO> <SUBJECT>Requirement of supplemental type certificate.</SUBJECT> 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 § 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 a form and manner prescribed by the Administrator. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, § 21.113 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.113</SECTNO> <SUBJECT>Requirement for supplemental type certificate.</SUBJECT> (a) If a person holds the TC for a product and alters that product by introducing a major change in type design that does not require an application for a new TC under § 21.19, that person must either apply to the appropriate aircraft certification office for an STC or apply to amend the original type certificate under subpart D of this part. (b) If a person does not hold the TC for a product and alters that product by introducing a major change in type design that does not require an application for a new TC under § 21.19, that person must apply to the appropriate aircraft certification office for an STC. (c) The application for an STC must be made in the form and manner prescribed by the FAA. </SECTION> <SECTION> <SECTNO>§ 21.115</SECTNO> <SUBJECT>Applicable requirements.</SUBJECT> (a) Each applicant for a supplemental type certificate must show that the altered product meets applicable requirements specified in § 21.101 and, in the case of an acoustical change described in § 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 § 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 §§ 21.33 and <PRTPAGE P="148"/>21.53 with respect to each change in the type design. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.117</SECTNO> <SUBJECT>Issue of supplemental type certificates.</SUBJECT> (a) An applicant is entitled to a supplemental type certificate if he meets the requirements of §§ 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. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53387, Oct. 16, 2009, § 21.117 was amended by removing the words “if he” from paragraph (a) and adding in their place the words “if the FAA finds that the applicant”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.119</SECTNO> <SUBJECT>Privileges.</SUBJECT> <EXT-XREF HREF="20091016" REFID="52">Link to an amendment published at 74 FR 53387, October 16, 2009.</EXT-XREF> 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. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92 74 FR 53387, Oct. 16, 2009, § 21.119(c) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.119</SECTNO> <SUBJECT>Privileges.</SUBJECT> <STARS/> (c) Obtain a production certificate in accordance with the requirements of subpart G of this part for the change in the type design approved by the supplemental type certificate. </SECTION> <SECTION> <SECTNO>§ 21.120</SECTNO> <SUBJECT>Responsibility of supplemental type certificate holders to provide written permission for alterations.</SUBJECT> A supplemental type certificate holder who allows a person to use the supplemental type certificate to alter an aircraft, aircraft engine, or propeller must provide that person with written permission acceptable to the FAA. <CITA>[Doc. No. FAA-2003-14825, 71 FR 52258, Sept. 1, 2006]</CITA> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart F—Production Under Type Certificate Only</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14568, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.121</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes rules for production under a type certificate only. </SECTION> <SECTION> <SECTNO>§ 21.122</SECTNO> <SUBJECT>Location of or change to manufacturing facilities.</SUBJECT> (a) An applicant may obtain a production certificate for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter. (b) The type certificate holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities. (c) The type certificate holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its product or article. <CITA>[Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, § 21.122 was added, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.123</SECTNO> <SUBJECT>Production under type certificate.</SUBJECT> 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 <PRTPAGE P="149"/>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 § 21.125(b). <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, § 21.123 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.123</SECTNO> <SUBJECT>Production under type certificate.</SUBJECT> Each manufacturer of a product being manufactured under a type certificate must— (a) Maintain at the place of manufacture all information and data specified in §§ 21.31 and 21.41; (b) Make each product and article thereof available for inspection by the FAA; (c) Maintain records of the completion of all inspections and tests required by §§ 21.127, 21.128, and 21.129 for at least 5 years for the products and articles thereof manufactured under the approval and at least 10 years for critical components identified under § 45.15(c) of this chapter; (d) Allow the FAA to make any inspection or test, including any inspection or test at a supplier facility, necessary to determine compliance with this subchapter; (e) Mark the product in accordance with part 45 of this chapter, including any critical parts; (f) Identify any portion of that product (<E T="03">e.g.,</E> sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA-approved manufacturer's identification; and (g) Except as otherwise authorized by the FAA, obtain a production certificate for that product in accordance with subpart G of this part within 6 months after the date of issuance of the type certificate. </SECTION> <SECTION> <SECTNO>§ 21.125</SECTNO> <SUBJECT>Production inspection system: Materials Review Board.</SUBJECT> <EXT-XREF HREF="20091016" REFID="55">Link to an amendment published at 74 FR 53387, October 16, 2009.</EXT-XREF> (a) Each manufacturer required to establish a production inspection system by § 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 § 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 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 <PRTPAGE P="150"/>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. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53387, Oct. 16, 2009, § 21.125 was removed and reserved, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.127</SECTNO> <SUBJECT>Tests: aircraft.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.128</SECTNO> <SUBJECT>Tests: aircraft engines.</SUBJECT> (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. <CITA>[Doc. No. 5085, 29 FR 14568, Oct. 24, 1964, as amended by Amdt. 21-5, 32 FR 3735, Mar. 4, 1967]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.129</SECTNO> <SUBJECT>Tests: propellers.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.130</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> 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 <PRTPAGE P="151"/>the engine or propeller has been subjected by the manufacturer to a final operational check. <FP>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.</FP> <CITA>[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, § 21.130 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.130</SECTNO> <SUBJECT>Statement of conformity.</SUBJECT> Each holder or licensee of a type certificate who manufactures a product under this subpart must provide, in a form and manner acceptable to the FAA, a statement that the product for which the type certificate has been issued conforms to its type certificate and is in a condition for safe operation. </SECTION> <SUBPART> <HD SOURCE="HED">Subpart G—Production Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14569, Oct. 24, 1964, unless otherwise noted. </SOURCE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Doc. No. FAA-2006-25877, 74 FR 53887, Oct. 16, 2009, subpart G of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the new subpart G follows the text of this subpart. </EFFDNOTP> <SECTION> <SECTNO>§ 21.131</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the issue of production certificates and rules governing the holders of those certificates. </SECTION> <SECTION> <SECTNO>§ 21.133</SECTNO> <SUBJECT>Eligibility.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.135</SECTNO> <SUBJECT>Requirements for issuance.</SUBJECT> 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 §§ 21.139 and 21.143. </SECTION> <SECTION> <SECTNO>§ 21.137</SECTNO> <SUBJECT>Location of manufacturing facilities.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.139</SECTNO> <SUBJECT>Quality control.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.143</SECTNO> <SUBJECT>Quality control data requirements; prime manufacturer.</SUBJECT> (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 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 <PRTPAGE P="152"/>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. <CITA>[Doc. No. 5085, 29 FR 14569, Oct. 24, 1964, as amended by Amdt. 21-51, 45 FR 60170, Sept. 11, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.147</SECTNO> <SUBJECT>Changes in quality control system.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.149</SECTNO> <SUBJECT>Multiple products.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.151</SECTNO> <SUBJECT>Production limitation record.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.153</SECTNO> <SUBJECT>Amendment of the production certificates.</SUBJECT> 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 §§ 21.139, 21.143, and 21.147. </SECTION> <SECTION> <SECTNO>§ 21.155</SECTNO> <SUBJECT>Transferability.</SUBJECT> A production certificate is not transferable. </SECTION> <SECTION> <SECTNO>§ 21.157</SECTNO> <SUBJECT>Inspections and tests.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.159</SECTNO> <SUBJECT>Duration.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.161</SECTNO> <SUBJECT>Display.</SUBJECT> The holder of a production certificate shall display it prominently in the main office of the factory in which the product concerned is manufactured. </SECTION> <SECTION> <SECTNO>§ 21.163</SECTNO> <SUBJECT>Privileges.</SUBJECT> (a) The holder of a production certificate may— (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 § 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 § 21.184(c), may— (1) Conduct training for persons in the performance of a special inspection <PRTPAGE P="153"/>and preventive maintenance program approved as a part of the aircraft's type design under § 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. <CITA>[Doc. No. 23345, 57 FR 41368, Sept. 9, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.165</SECTNO> <SUBJECT>Responsibility of holder.</SUBJECT> 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. <CITA>[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]</CITA> <EAR>Pt. 21, Subpt. G, Nt.</EAR> </SECTION> <HD SOURCE="HED"/> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53387, Oct. 16, 2009, subpart G of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SUBPART> <HD SOURCE="HED">Subpart G—Production Certificates</HD> <SECTION> <SECTNO>§ 21.131</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes— (a) Procedural requirements for issuing production certificates; and (b) Rules governing holders of those certificates. </SECTION> <SECTION> <SECTNO>§ 21.132</SECTNO> <SUBJECT>Eligibility.</SUBJECT> Any person may apply for a production certificate if that person holds, for the product concerned— (a) A current type certificate, (b) A supplemental type certificate, or (c) Rights to the benefits of that type certificate or supplemental type certificate under a licensing agreement. </SECTION> <SECTION> <SECTNO>§ 21.133</SECTNO> <SUBJECT>Application.</SUBJECT> Each applicant must apply for a production certificate in a form and manner prescribed by the FAA. </SECTION> <SECTION> <SECTNO>§ 21.135</SECTNO> <SUBJECT>Organization.</SUBJECT> Each applicant for or holder of a production certificate must provide the FAA with a document describing how its organization will ensure compliance with the provisions of this subpart. At a minimum, the document must describe assigned responsibilities and delegated authority, and the functional relationship of those responsible for quality to management and other organizational components. </SECTION> <SECTION> <SECTNO>§ 21.137</SECTNO> <SUBJECT>Quality system.</SUBJECT> Each applicant for or holder of a production certificate must establish and describe in writing a quality system that ensures that each product and article conforms to its approved design and is in a condition for safe operation. This quality system must include: (a) <E T="03">Design data control.</E> Procedures for controlling design data and subsequent changes to ensure that only current, correct, and approved data is used. (b) <E T="03">Document control.</E> Procedures for controlling quality system documents and data and subsequent changes to ensure that only current, correct, and approved documents and data are used. (c) <E T="03">Supplier control.</E> Procedures that— (1) Ensure that each supplier-furnished product or article conforms to its approved design; and (2) Require each supplier to report to the production approval holder if a product or article has been released from that supplier and subsequently found not to conform to the applicable design data. (d) <E T="03">Manufacturing process control.</E> Procedures for controlling manufacturing processes to ensure that each product and article conforms to its approved design. (e) <E T="03">Inspecting and testing.</E> Procedures for inspections and tests used to ensure that each product and article conforms to its approved design. These procedures must include the following, as applicable: (1) A flight test of each aircraft produced unless that aircraft will be exported as an unassembled aircraft. (2) A functional test of each aircraft engine and each propeller produced. (f) <E T="03">Inspection, measuring, and test equipment control.</E> Procedures to ensure calibration and control of all inspection, measuring, and test equipment used in determining conformity of each product and article to its approved design. Each calibration standard must be <PRTPAGE P="154"/>traceable to a standard acceptable to the FAA. (g) <E T="03">Inspection and test status.</E> Procedures for documenting the inspection and test status of products and articles supplied or manufactured to the approved design. (h) <E T="03">Nonconforming product and article control.</E> (1) Procedures to ensure that only products or articles that conform to their approved design are installed on a type-certificated product. These procedures must provide for the identification, documentation, evaluation, segregation, and disposition of nonconforming products and articles. Only authorized individuals may make disposition determinations. (2) Procedures to ensure that discarded articles are rendered unusable. (i) <E T="03">Corrective and preventive actions.</E> Procedures for implementing corrective and preventive actions to eliminate the causes of an actual or potential nonconformity to the approved design or noncompliance with the approved quality system. (j) <E T="03">Handling and storage.</E> Procedures to prevent damage and deterioration of each product and article during handling, storage, preservation, and packaging. (k) <E T="03">Control of quality records.</E> Procedures for identifying, storing, protecting, retrieving, and retaining quality records. A production approval holder must retain these records for at least 5 years for the products and articles manufactured under the approval and at least 10 years for critical components identified under § 45.15(c) of this chapter. (l) <E T="03">Internal audits.</E> Procedures for planning, conducting, and documenting internal audits to ensure compliance with the approved quality system. The procedures must include reporting results of internal audits to the manager responsible for implementing corrective and preventive actions. (m) <E T="03">In-service feedback.</E> Procedures for receiving and processing feedback on in-service failures, malfunctions, and defects. These procedures must include a process for assisting the design approval holder to— (1) Address any in-service problem involving design changes; and (2) Determine if any changes to the Instructions for Continued Airworthiness are necessary. (n) <E T="03">Quality escapes.</E> Procedures for identifying, analyzing, and initiating appropriate corrective action for products or articles that have been released from the quality system and that do not conform to the applicable design data or quality system requirements. </SECTION> <SECTION> <SECTNO>§ 21.138</SECTNO> <SUBJECT>Quality manual.</SUBJECT> Each applicant for or holder of a production certificate must provide a manual describing its quality system to the FAA for approval. The manual must be in the English language and retrievable in a form acceptable to the FAA. </SECTION> <SECTION> <SECTNO>§ 21.139</SECTNO> <SUBJECT>Location of or change to manufacturing facilities.</SUBJECT> (a) An applicant may obtain a production certificate for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter. (b) The production certificate holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities. (c) The production certificate holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its product or article. </SECTION> <SECTION> <SECTNO>§ 21.140</SECTNO> <SUBJECT>Inspections and tests.</SUBJECT> Each applicant for or holder of a production certificate must allow the FAA to inspect its quality system, facilities, technical data, and any manufactured products or articles and witness any tests, including any inspections or tests at a supplier facility, necessary to determine compliance with this subchapter. </SECTION> <SECTION> <SECTNO>§ 21.141</SECTNO> <SUBJECT>Issuance.</SUBJECT> The FAA issues a production certificate after finding that the applicant complies with the requirements of this subpart. </SECTION> <SECTION> <SECTNO>§ 21.142</SECTNO> <SUBJECT>Production limitation record.</SUBJECT> The FAA issues a production limitation record as part of a production certificate. The record lists the type certificate number and the model of every product that the production certificate holder is authorized to manufacture. </SECTION> <SECTION> <SECTNO>§ 21.143</SECTNO> <SUBJECT>Duration.</SUBJECT> A production certificate is effective until surrendered, suspended, revoked, or the FAA otherwise establishes a termination date. </SECTION> <SECTION> <SECTNO>§ 21.144</SECTNO> <SUBJECT>Transferability.</SUBJECT> The holder of a production certificate may not transfer the production certificate. </SECTION> <SECTION> <SECTNO>§ 21.145</SECTNO> <SUBJECT>Privileges.</SUBJECT> (a) The holder of a production certificate may— (1) Obtain an aircraft airworthiness certificate without further showing, except that the FAA may inspect the aircraft for conformity with the type design; or (2) In the case of other products, obtain approval from the FAA for installation on type-certificated aircraft. (b) Notwithstanding the provisions of § 147.3 of this chapter, the holder of a production certificate for a primary category aircraft, or for a normal, utility, or acrobatic <PRTPAGE P="155"/>category aircraft of a type design that is eligible for a special airworthiness certificate in the primary category under § 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 § 21.24(b), provided a person holding a mechanic certificate with appropriate airframe and powerplant ratings issued under part 65 of this chapter gives the training; 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. </SECTION> <SECTION> <SECTNO>§ 21.146</SECTNO> <SUBJECT>Responsibility of holder.</SUBJECT> The holder of a production certificate must— (a) Amend the document required by § 21.135 as necessary to reflect changes in the organization and provide these amendments to the FAA. (b) Maintain the quality system in compliance with the data and procedures approved for the production certificate; (c) Ensure that each completed product or article for which a production certificate has been issued, including primary category aircraft assembled under a production certificate by another person from a kit provided by the holder of the production certificate, presented for airworthiness certification or approval conforms to its approved design and is in a condition for safe operation; (d) Mark the product or article for which a certificate or approval has been issued. Marking must be in accordance with part 45 of this chapter, including any critical parts; (e) Identify any portion of the product or article (e.g., sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA approved manufacturer's identification; (f) Have access to type design data necessary to determine conformity and airworthiness for each product and article produced under the production certificate; (g) Retain its production certificate and make it available to the FAA upon request; and (h) Make available to the FAA information regarding all delegation of authority to suppliers. </SECTION> <SECTION> <SECTNO>§ 21.147</SECTNO> <SUBJECT>Amendment of production certificates.</SUBJECT> The holder of a production certificate must apply for an amendment to a production certificate in a form and manner prescribed by the FAA. The applicant for an amendment to a production certificate to add a type certificate or model, or both, must comply with the applicable requirements of §§ 21.137, 21.138, and 21.150. </SECTION> <SECTION> <SECTNO>§ 21.150</SECTNO> <SUBJECT>Changes in quality system.</SUBJECT> After the issuance of a production certificate— (a) Each change to the quality system is subject to review by the FAA; and (b) The holder of a production certificate must immediately notify the FAA, in writing, of any change that may affect the inspection, conformity, or airworthiness of its product or article. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Airworthiness Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14569, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.171</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the issue of airworthiness certificates. </SECTION> <SECTION> <SECTNO>§ 21.173</SECTNO> <SUBJECT>Eligibility.</SUBJECT> 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. <CITA>[Amdt. 21-26, 34 FR 15244, Sept. 30, 1969]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.175</SECTNO> <SUBJECT>Airworthiness certificates: classification.</SUBJECT> (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, light-sport, and provisional airworthiness certificates, special flight permits, and experimental certificates. <CITA>[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; Amdt. 21-85, 69 FR 44861, July 27, 2004]</CITA> </SECTION> <SECTION> <PRTPAGE P="156"/> <SECTNO>§ 21.177</SECTNO> <SUBJECT>Amendment or modification.</SUBJECT> An airworthiness certificate may be amended or modified only upon application to the Administrator. </SECTION> <SECTION> <SECTNO>§ 21.179</SECTNO> <SUBJECT>Transferability.</SUBJECT> An airworthiness certificate is transferred with the aircraft. </SECTION> <SECTION> <SECTNO>§ 21.181</SECTNO> <SUBJECT>Duration.</SUBJECT> (a) Unless sooner surrendered, suspended, revoked, or a termination date is otherwise established by the Administrator, airworthiness certificates are effective as follows: (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) A special airworthiness certificate in the light-sport category is effective as long as— (i) The aircraft meets the definition of a light-sport aircraft; (ii) The aircraft conforms to its original configuration, except for those alterations performed in accordance with an applicable consensus standard and authorized by the aircraft's manufacturer or a person acceptable to the FAA; (iii) The aircraft has no unsafe condition and is not likely to develop an unsafe condition; and (iv) The aircraft is registered in the United States. (4) An experimental certificate for research and development, showing compliance with regulations, crew training, or market surveys is effective for 1 year after the date of issue or renewal unless the FAA prescribes a shorter period. The duration of an experimental certificate issued for operating amateur-built aircraft, exhibition, air-racing, operating primary kit-built aircraft, or operating light-sport aircraft is unlimited, unless the FAA establishes a specific period for good cause. (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. <CITA>[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; Amdt. 21-85, 69 FR 44861, July 27, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.182</SECTNO> <SUBJECT>Aircraft identification.</SUBJECT> (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 § 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 not issued for the purpose of operating amateur-built aircraft, operating primary kit-built aircraft, or operating light-sport aircraft. (3) A change from one airworthiness classification to another, for an aircraft already identified as prescribed in § 45.11. <CITA>[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; Amdt. 21-85, 69 FR 44862, July 27, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.183</SECTNO> <SUBJECT>Issue of standard airworthiness certificates for normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; and special classes of aircraft.</SUBJECT> <EXT-XREF HREF="20091016" REFID="58">Link to an amendment published at 74 FR 53389, October 16, 2009.</EXT-XREF> (a) <E T="03">New aircraft manufactured under a production certificate.</E> 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) <E T="03">New aircraft manufactured under type certificate only.</E> An applicant for a standard airworthiness certificate for a <PRTPAGE P="157"/>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 § 21.130 if the Administrator finds after inspection that the aircraft conforms to the type design and is in condition for safe operation. (c) <E T="03">Import aircraft.</E> An applicant for a standard airworthiness certificate for an import aircraft type certificated in accordance with § 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) <E T="03">Used aircraft and surplus aircraft of the U.S. Armed Forces</E>. An applicant for a standard airworthiness certificate for a used aircraft or surplus aircraft of the U.S. Armed Forces 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; (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 § 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 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) <E T="03">Noise requirements.</E> 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 jet (turbojet powered) airplanes that have not had any flight time before the dates specified in § 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 § 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 § 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 § 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 § 137.3 of this chapter, as effective on January 1, 1966) or for dispensing fire fighting materials to which § 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 <PRTPAGE P="158"/>Part 36 of this chapter) and paragraph (c) of this section are complied with. (f) <E T="03">Passenger emergency exit requirements.</E> 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 § 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) <E T="03">Fuel venting and exhaust emission requirements.</E> 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 the airplane complies with the applicable requirements of that part. (h) <E T="03">New aircraft manufactured under the provisions of § 21.6(b)</E>. An applicant for a standard airworthiness certificate for a new aircraft manufactured under the provisions of § 21.6(b) is entitled to a standard airworthiness certificate if— (1) The applicant presents evidence to the FAA that the aircraft conforms to a type design approved under a type certificate or supplemental type certificate and to applicable Airworthiness Directives; (2) The aircraft has been inspected in accordance with the performance rules for a 100-hour inspections set forth in § 43.15 of this chapter and found airworthy by a person specified in paragraph (d)(2) of this section; and (3) The FAA finds after inspection, that the aircraft conforms to the type design, and is in condition for safe operation. <CITA>[Amdt. 21-17, 32 FR 14927, Oct. 28, 1967]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> For <E T="04">Federal Register</E> citations affecting § 21.183, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. </EDNOTE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-29, 74 FR 53389, Oct. 16, 2009, § 21.183 was amended by revising paragraphs (c), (d)(1), (d)(2) introductory text, and (d)(3), effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.183</SECTNO> <SUBJECT>Issue of standard airworthiness certificates for normal, utility, acrobatic, commuter, and transport category aircraft; manned free balloons; and special classes of aircraft.</SUBJECT> <STARS/> (c) <E T="03">Import aircraft.</E> An applicant for a standard airworthiness certificate for an import aircraft is entitled to that certificate if— (1) The aircraft is type certificated in accordance with § 21.21 or § 21.29 and produced under the authority of another State of Manufacture; (2) The State of Manufacture certifies, in accordance with the export provisions of an agreement with the United States for import of that aircraft, that the aircraft conforms to the type design and is in condition for safe operation; and (3) The FAA finds that the aircraft conforms to the type design and is in condition for safe operation. (d) * * * (1) The applicant presents evidence to the FAA that the aircraft conforms to a type design approved under a type certificate or a supplemental type certificate and to applicable Airworthiness Directives; (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 § 43.15 of this chapter, or an equivalent performance standard acceptable to the FAA, and found airworthy by—<STARS/> (3) The FAA finds after inspection, that the aircraft conforms to the type design, and is in condition for safe operation.<STARS/> </SECTION> <SECTION> <SECTNO>§ 21.184</SECTNO> <SUBJECT>Issue of special airworthiness certificates for primary category aircraft.</SUBJECT> (a) <E T="03">New primary category aircraft manufactured under a production certificate.</E> An applicant for an original, special airworthiness certificate-primary category for a new aircraft that meets the criteria of § 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 <PRTPAGE P="159"/>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) <E T="03">Imported aircraft.</E> An applicant for a special airworthiness certificate-primary category for an imported aircraft type certificated under § 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 § 21.24(a)(1) and is in a condition for safe operation. (c) <E T="03">Aircraft having a current standard airworthiness certificate.</E> An applicant for a special airworthiness certificate-primary category, for an aircraft having a current standard airworthiness certificate that meets the criteria of § 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 § 91.409(a)(1) of this chapter, and is found to be in a condition for safe operation by the Administrator. (d) <E T="03">Other aircraft.</E> An applicant for a special airworthiness certificate-primary category for an aircraft that meets the criteria of § 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 § 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) <E T="03">Multiple-category airworthiness certificates</E> in the primary category and any other category will not be issued; a primary category aircraft may hold only one airworthiness certificate. <CITA>[Doc. No. 23345, 57 FR 41368, Sept. 9, 1992, as amended by Amdt. 21-70, 57 FR 43776, Sept. 22, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.185</SECTNO> <SUBJECT>Issue of airworthiness certificates for restricted category aircraft.</SUBJECT> <EXT-XREF HREF="20091016" REFID="59">Link to an amendment published at 74 FR 53389, October 16, 2009.</EXT-XREF> (a) <E T="03">Aircraft manufactured under a production certificate or type certificate only.</E> 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 § 21.183. (b) <E T="03">Other aircraft.</E> 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 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) <E T="03">Import aircraft.</E> 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 § 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) <E T="03">Noise requirements.</E> For propeller-driven small airplanes (except airplanes designed for “agricultural aircraft operations,” as defined in § 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 <PRTPAGE P="160"/>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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-29, 74 FR 53389, Oct. 16, 2009, § 21.185(c) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.185</SECTNO> <SUBJECT>Issue of airworthiness certificates for restricted category aircraft.</SUBJECT> <STARS/> (c) <E T="03">Import aircraft.</E> An applicant for the original issue of a special airworthiness certificate for a restricted category import aircraft is entitled to that certificate if— (1) The aircraft is type-certificated in accordance with § 21.25 or § 21.29 and produced under the authority of another State of Manufacture; (2) The State of Manufacture certifies, in accordance with the export provisions of an agreement with the United States for import of that aircraft that the aircraft conforms to the type design and is in condition for safe operation; and (3) The FAA finds that the aircraft conforms to the type design and is in condition for safe operation.<STARS/> </SECTION> <SECTION> <SECTNO>§ 21.187</SECTNO> <SUBJECT>Issue of multiple airworthiness certification.</SUBJECT> (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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.189</SECTNO> <SUBJECT>Issue of airworthiness certificate for limited category aircraft.</SUBJECT> (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. <CITA>[Doc. No. 5085, 29 FR 14570, Oct. 24, 1964, as amended by Amdt. 21-4, 30 FR 9437, July 29, 1965]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.190</SECTNO> <SUBJECT>Issue of a special airworthiness certificate for a light-sport category aircraft.</SUBJECT> (a) <E T="03">Purpose.</E> The FAA issues a special airworthiness certificate in the light-sport category to operate a light-sport aircraft, other than a gyroplane.<PRTPAGE P="161"/> (b) <E T="03">Eligibility.</E> To be eligible for a special airworthiness certificate in the light-sport category: (1) An applicant must provide the FAA with— (i) The aircraft's operating instructions; (ii) The aircraft's maintenance and inspection procedures; (iii) The manufacturer's statement of compliance as described in paragraph (c) of this section; and (iv) The aircraft's flight training supplement. (2) The aircraft must not have been previously issued a standard, primary, restricted, limited, or provisional airworthiness certificate, or an equivalent airworthiness certificate issued by a foreign civil aviation authority. (3) The aircraft must be inspected by the FAA and found to be in a condition for safe operation. (c) <E T="03">Manufacturer's statement of compliance for light-sport category aircraft.</E> The manufacturer's statement of compliance required in paragraph (b)(1)(iii) of this section must— (1) Identify the aircraft by make and model, serial number, class, date of manufacture, and consensus standard used; (2) State that the aircraft meets the provisions of the identified consensus standard; (3) State that the aircraft conforms to the manufacturer's design data, using the manufacturer's quality assurance system that meets the identified consensus standard; (4) State that the manufacturer will make available to any interested person the following documents that meet the identified consensus standard: (i) The aircraft's operating instructions. (ii) The aircraft's maintenance and inspection procedures. (iii) The aircraft's flight training supplement. (5) State that the manufacturer will monitor and correct safety-of-flight issues through the issuance of safety directives and a continued airworthiness system that meets the identified consensus standard; (6) State that at the request of the FAA, the manufacturer will provide unrestricted access to its facilities; and (7) State that the manufacturer, in accordance with a production acceptance test procedure that meets an applicable consensus standard has— (i) Ground and flight tested the aircraft; (ii) Found the aircraft performance acceptable; and (iii) Determined that the aircraft is in a condition for safe operation. (d) <E T="03">Light-sport aircraft manufactured outside the United States.</E> For aircraft manufactured outside of the United States to be eligible for a special airworthiness certificate in the light-sport category, an applicant must meet the requirements of paragraph (b) of this section and provide to the FAA evidence that— (1) The aircraft was manufactured in a country with which the United States has a Bilateral Airworthiness Agreement concerning airplanes or Bilateral Aviation Safety Agreement with associated Implementation Procedures for Airworthiness concerning airplanes, or an equivalent airworthiness agreement; and (2) The aircraft is eligible for an airworthiness certificate, flight authorization, or other similar certification in its country of manufacture. <CITA>[Amdt. 21-85, 69 FR 44862, July 27, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.191</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> Experimental certificates are issued for the following purposes: (a) <E T="03">Research and development.</E> Testing new aircraft design concepts, new aircraft equipment, new aircraft installations, new aircraft operating techniques, or new uses for aircraft. (b) <E T="03">Showing compliance with regulations.</E> 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) <E T="03">Crew training.</E> Training of the applicant's flight crews. (d) <E T="03">Exhibition.</E> Exhibiting the aircraft's flight capabilities, performance, or unusual characteristics at air shows, motion picture, television, and similar <PRTPAGE P="162"/>productions, and the maintenance of exhibition flight proficiency, including (for persons exhibiting aircraft) flying to and from such air shows and productions. (e) <E T="03">Air racing.</E> Participating in air races, including (for such participants) practicing for such air races and flying to and from racing events. (f) <E T="03">Market surveys.</E> Use of aircraft for purposes of conducting market surveys, sales demonstrations, and customer crew training only as provided in § 21.195. (g) <E T="03">Operating amateur-built aircraft.</E> 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) <E T="03">Operating primary kit-built aircraft.</E> Operating a primary category aircraft that meets the criteria of § 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 § 21.184(a). (i) <E T="03">Operating light-sport aircraft.</E> Operating a light-sport aircraft that— (1) Has not been issued a U.S. or foreign airworthiness certificate and does not meet the provisions of § 103.1 of this chapter. An experimental certificate will not be issued under this paragraph for these aircraft after January 31, 2008; (2) Has been assembled— (i) From an aircraft kit for which the applicant can provide the information required by § 21.193(e); and (ii) In accordance with manufacturer's assembly instructions that meet an applicable consensus standard; or (3) Has been previously issued a special airworthiness certificate in the light-sport category under § 21.190. <CITA>[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; Amdt. 21-85, 69 FR 44862, July 27, 2004; Amdt. 21-85, 69 FR 53336, Sept. 1, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.193</SECTNO> <SUBJECT>Experimental certificates: general.</SUBJECT> 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. (e) In the case of a light-sport aircraft assembled from a kit to be certificated in accordance with § 21.191(i)(2), an applicant must provide the following: (1) Evidence that an aircraft of the same make and model was manufactured and assembled by the aircraft kit manufacturer and issued a special airworthiness certificate in the light-sport category. (2) The aircraft's operating instructions. (3) The aircraft's maintenance and inspection procedures. (4) The manufacturer's statement of compliance for the aircraft kit used in the aircraft assembly that meets § 21.190(c), except that instead of meeting § 21.190(c)(7), the statement must identify assembly instructions for the aircraft that meet an applicable consensus standard. (5) The aircraft's flight training supplement. (6) In addition to paragraphs (e)(1) through (e)(5) of this section, for an aircraft kit manufactured outside of the United States, evidence that the aircraft kit was manufactured in a country with which the United States has a Bilateral Airworthiness Agreement concerning airplanes or a Bilateral Aviation Safety Agreement with associated Implementation Procedures for Airworthiness concerning airplanes, <PRTPAGE P="163"/>or an equivalent airworthiness agreement. <CITA>[Docket No. 5085, 29 FR 14569, Oct. 24, 1964, as amended by Amdt. 21-85, 69 FR 44862, July 27, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.195</SECTNO> <SUBJECT>Experimental certificates: Aircraft to be used for market surveys, sales demonstrations, and customer crew training.</SUBJECT> <EXT-XREF HREF="20091016" REFID="60">Link to an amendment published at 74 FR 53389, October 16, 2009.</EXT-XREF> (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 § 21.193— (1) He has established an inspection and maintenance program for the continued airworthiness of the aircraft; and (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. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-29, 74 FR 53389, Oct. 16, 2009, § 21.195(d)(2) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.195</SECTNO> <SUBJECT>Experimental certificates: Aircraft to be used for market surveys, sales demonstrations, and customer crew training.</SUBJECT> <STARS/> (d) * * * (2) The applicant 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. The FAA may reduce these operational requirements if the applicant provides adequate justification. </SECTION> <SECTION> <SECTNO>§ 21.197</SECTNO> <SUBJECT>Special flight permits.</SUBJECT> (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 § 119.51 or § 91.1017 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. <PRTPAGE P="164"/>The permit issued under this paragraph may be issued to— (1) Certificate holders authorized to conduct operations under Part 121 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 § 135.411 (a)(2) or (b) of that part. <FP>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.</FP> (3) Management specification holders authorized to conduct operations under part 91, subpart K, for those aircraft they operate and maintain under a continuous airworthiness maintenance program prescribed by § 91.1411 of this part. <CITA>[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; Amdt. 21-79, 66 FR 21066, Apr. 27, 2001; Amdt. 21-84, 68 FR 54559, Sept. 17, 2003; Amdt. 21-87, 71 FR 536, Jan. 4, 2006]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-29, 74 FR 53389, Oct. 16, 2009, § 21.197(c) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.197</SECTNO> <SUBJECT>Special flight permits.</SUBJECT> <STARS/> (c) Upon application, as prescribed in §§ 91.1017 or 119.51 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 119 of this chapter, that have an approved program for continuing flight authorization; or (2) Management specification holders authorized to conduct operations under part 91, subpart K of this chapter for those aircraft they operate and maintain under a continuous airworthiness maintenance program prescribed by § 91.1411 of this chapter. </SECTION> <SECTION> <SECTNO>§ 21.199</SECTNO> <SUBJECT>Issue of special flight permits.</SUBJECT> (a) Except as provided in § 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. <CITA>[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]</CITA> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart I—Provisional Airworthiness Certificates</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14571, Oct. 24, 1964, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.211</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the issue of provisional airworthiness certificates. </SECTION> <SECTION> <SECTNO>§ 21.213</SECTNO> <SUBJECT>Eligibility.</SUBJECT> (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 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.<PRTPAGE P="165"/> (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. <CITA>[Doc. No. 5085, 29 FR 14571, Oct. 24, 1964, as amended by Amdt. 21-59, 52 FR 1836, Jan. 15, 1987; Amdt. 21-79, 66 FR 21066, Apr. 27, 2001]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.215</SECTNO> <SUBJECT>Application.</SUBJECT> 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. <CITA>[Amdt. 21-67, 54 FR 39291, Sept. 25, 1989; 54 FR 52872, Dec. 22, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.217</SECTNO> <SUBJECT>Duration.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.219</SECTNO> <SUBJECT>Transferability.</SUBJECT> 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 § 21.213(b). </SECTION> <SECTION> <SECTNO>§ 21.221</SECTNO> <SUBJECT>Class I provisional airworthiness certificates.</SUBJECT> (a) Except as provided in § 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 § 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 §§ 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 §§ 21.81(e) and 91.317. <CITA>[Doc. No. 5085, 29 FR 14571, Oct. 24, 1964, as amended by Amdt. 21-66, 54 FR 34329, Aug. 18, 1989]s</CITA> </SECTION> <SECTION> <SECTNO>§ 21.223</SECTNO> <SUBJECT>Class II provisional airworthiness certificates.</SUBJECT> <EXT-XREF HREF="20091016" REFID="62">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> (a) Except as provided in § 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 § 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 §§ 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.<PRTPAGE P="166"/> (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 §§ 21.83(h), 91.317, and 121.207 of this chapter. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.223 was amended by removing the word “control” from paragraph (c), effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.225</SECTNO> <SUBJECT>Provisional airworthiness certificates corresponding with provisional amendments to type certificates.</SUBJECT> (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 § 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 §§ 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 §§ 21.85(g), 91.317, and 121.207 of this chapter. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.225 was amended by removing the word “control” from paragraph (b), effective Apr. 14, 2010. </EFFDNOTP> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart J—Delegation Option Authorization Procedures</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.231</SECTNO> <SUBJECT>Applicability.</SUBJECT> <EXT-XREF HREF="20091016" REFID="64">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> 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. <CITA>[Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, as amended by Amdt. 21-59, 52 FR 1836, Jan. 15, 1987]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.231(a)(6) was amended by removing the words “paragraph (a)(4)” and adding in their place the words “paragraph (a)(5)”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.235</SECTNO> <SUBJECT>Application.</SUBJECT> (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) An application must include the names, signatures, and titles of the persons for whom authorization to sign <PRTPAGE P="167"/>airworthiness certificates, repair and alterations forms, and inspection forms is requested. (c) After November 14, 2006, the Administrator will no longer accept applications for a Delegation Option Authorization. (d) After November 14, 2009, no person may perform any function contained in a Delegation Option Authorization issued under this subpart. <CITA>[Amdt. No. 21-86, 70 FR 59946, Oct. 13, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.239</SECTNO> <SUBJECT>Eligibility.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.243</SECTNO> <SUBJECT>Duration.</SUBJECT> A delegation option authorization is effective until it is surrendered or the Administrator suspends, revokes, or otherwise terminates it. </SECTION> <SECTION> <SECTNO>§ 21.245</SECTNO> <SUBJECT>Maintenance of eligibility.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.247</SECTNO> <SUBJECT>Transferability.</SUBJECT> A delegation option authorization is not transferable. </SECTION> <SECTION> <SECTNO>§ 21.249</SECTNO> <SUBJECT>Inspections.</SUBJECT> Upon request, each holder of a delegation option authorization and each applicant shall let the Administrator inspect his organization, facilities, product, and records. </SECTION> <SECTION> <SECTNO>§ 21.251</SECTNO> <SUBJECT>Limits of applicability.</SUBJECT> <EXT-XREF HREF="20091016" REFID="65">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> (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 § 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 <PRTPAGE P="168"/>after inspection of the applicant's facilities or review of the staff qualifications. <CITA>[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]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, in § 21.251 paragraphs (b)(4)(iii) and (b)(4)(iv) were amended by removing the words “(FAA Form 8130-3)” in both paragraphs; and removing the words “Airworthiness approval tags” and adding in their place the words “Airworthiness approvals” in both paragraphs, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.253</SECTNO> <SUBJECT>Type certificates: application.</SUBJECT> <EXT-XREF HREF="20091016" REFID="66">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> (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 § 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. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.253 was amended by removing the words “(FAA Form 312)” from paragraph (a)(1), effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.257</SECTNO> <SUBJECT>Type certificates: issue.</SUBJECT> 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). <CITA>[Amdt. 21-68, 55 FR 32860, Aug. 10, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.261</SECTNO> <SUBJECT>Equivalent safety provisions.</SUBJECT> The manufacturer shall obtain the Administrator's concurrence on the application of all equivalent safety provisions applied under § 21.21. </SECTION> <SECTION> <SECTNO>§ 21.267</SECTNO> <SUBJECT>Production certificates.</SUBJECT> <EXT-XREF HREF="20091016" REFID="67">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> 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 § 21.143 with the data required by § 21.293(a)(1)(ii), a statement certifying that this has been done. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.267(d) was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.267</SECTNO> <SUBJECT>Production certificates.</SUBJECT> <STARS/> (d) After placing the manufacturing and quality system data required by § 21.137 with the data required by § 21.293(a)(1)(ii), a statement certifying that this has been done. </SECTION> <SECTION> <SECTNO>§ 21.269</SECTNO> <SUBJECT>Export airworthiness approvals.</SUBJECT> The manufacturer may issue export airworthiness approvals. </SECTION> <SECTION> <SECTNO>§ 21.271</SECTNO> <SUBJECT>Airworthiness approval tags.</SUBJECT> <EXT-XREF HREF="20091016" REFID="68">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> (a) A manufacturer may issue an airworthiness approval tag (FAA Form 8130-3) for each engine and propeller covered by § 21.251(b)(4), and may issue an airworthiness approval tag for parts <PRTPAGE P="169"/>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. <CITA>[Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, as amended by Amdt. 21-43, 40 FR 2577, Jan. 14, 1975]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.271(a) was amended by removing the words “(FAA Form 8130-3)”, effective Apr. 14, 2010. </EFFDNOTP> </SECTION> <SECTION> <SECTNO>§ 21.273</SECTNO> <SUBJECT>Airworthiness certificates other than experimental.</SUBJECT> (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 (2) Is listed on the manufacturer's application for the delegation option authorization, or on amendments thereof. <CITA>[Amdt. 21-5, 30 FR 11375, Sept. 8, 1965, as amended by Amdt. 21-18, 32 FR 15472, Nov. 7, 1967]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.275</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.277</SECTNO> <SUBJECT>Data review and service experience.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.289</SECTNO> <SUBJECT>Major repairs, rebuilding and alteration.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.293</SECTNO> <SUBJECT>Current records.</SUBJECT> <EXT-XREF HREF="20091016" REFID="69">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> (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 <PRTPAGE P="170"/>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. <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Amdt. 21-92, 74 FR 53390, Oct. 16, 2009, § 21.293(a)(2) introductory text was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SECTION> <SECTNO>§ 21.293</SECTNO> <SUBJECT>Current records.</SUBJECT> (a) * * * (2) For 5 years—<STARS/> </SECTION> <SUBPART> <HD SOURCE="HED">Subpart K—Approval of Materials, Parts, Processes, and Appliances</HD> <EXT-XREF HREF="20091016" REFID="70">Link to an amendment published at 74 FR 53390, October 16, 2009.</EXT-XREF> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 5085, 29 FR 14574, Oct. 24, 1964, unless otherwise noted. </SOURCE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53390, Oct. 16, 2009, subpart K of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the new subpart K follows the text of this subpart. </EFFDNOTP> <SECTION> <SECTNO>§ 21.301</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes procedural requirements for the approval of certain materials, parts, processes, and appliances. </SECTION> <SECTION> <SECTNO>§ 21.303</SECTNO> <SUBJECT>Replacement and modification parts.</SUBJECT> (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—<PRTPAGE P="171"/> (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. (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 <PRTPAGE P="172"/>design data and is safe for installation on type certificated products. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.305</SECTNO> <SUBJECT>Approval of materials, parts, processes, and appliances.</SUBJECT> 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 § 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. <CITA>[Amdt. 21-38, 37 FR 10659, May 26, 1972, as amended by Amdt. 21-50, 45 FR 38346, June 9, 1980]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53390, Oct. 16, 2009, subpart K of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SUBPART> <HD SOURCE="HED">Subpart K—Parts Manufacturer Approvals</HD> <SECTION> <SECTNO>§ 21.301</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes— (a) Procedural requirements for issuing PMAs; and (b) Rules governing holders of PMAs. </SECTION> <SECTION> <SECTNO>§ 21.303</SECTNO> <SUBJECT>Application.</SUBJECT> (a) The applicant for a PMA must apply in a form and manner prescribed by the FAA, and include the following: (1) The identity of the product on which the article is to be installed. (2) The name and address of the manufacturing facilities at which these articles are to be manufactured. (3) The design of the article, which consists of— (i) Drawings and specifications necessary to show the configuration of the article; and (ii) Information on dimensions, materials, and processes necessary to define the structural strength of the article. (4) Test reports and computations necessary to show that the design of the article meets the airworthiness requirements of this subchapter. The test reports and computations must be applicable to the product on which the article is to be installed, unless the applicant shows that the design of the article is identical to the design of a article that is covered under a type certificate. If the design of the article was obtained by a licensing agreement, the applicant must provide evidence of that agreement. (5) An applicant for a PMA based on test reports and computations must provide a statement certifying that the applicant has complied with the airworthiness requirements of this subchapter. (b) Each applicant for a PMA 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 article conforms to its approved design; and (4) That the manufacturing processes, construction, and assembly conform to those specified in the design. </SECTION> <SECTION> <SECTNO>§ 21.305</SECTNO> <SUBJECT>Organization.</SUBJECT> Each applicant for or holder of a PMA must provide the FAA with a document describing how its organization will ensure compliance with the provisions of this subpart. At a minimum, the document must describe assigned responsibilities and delegated authority, and the functional relationship of those responsible for quality to management and other organizational components. </SECTION> <SECTION> <SECTNO>§ 21.307</SECTNO> <SUBJECT>Quality system.</SUBJECT> Each applicant for or holder of a PMA must establish a quality system that meets the requirements of § 21.137. </SECTION> <SECTION> <PRTPAGE P="173"/> <SECTNO>§ 21.308</SECTNO> <SUBJECT>Quality manual.</SUBJECT> Each applicant for or holder of a PMA must provide a manual describing its quality system to the FAA for approval. The manual must be in the English language and retrievable in a form acceptable to the FAA. </SECTION> <SECTION> <SECTNO>§ 21.309</SECTNO> <SUBJECT>Location of or change to manufacturing facilities.</SUBJECT> (a) An applicant may obtain a PMA for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter. (b) The PMA holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities. (c) The PMA holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its PMA article. </SECTION> <SECTION> <SECTNO>§ 21.310</SECTNO> <SUBJECT>Inspections and tests.</SUBJECT> (a) Each applicant for or holder of a PMA must allow the FAA to inspect its quality system, facilities, technical data, and any manufactured articles and witness any tests, including any inspections or tests at a supplier facility, necessary to determine compliance with this subchapter. (b) Unless otherwise authorized by the FAA, the applicant or holder— (1) May not present any article to the FAA for an inspection or test unless compliance with § 21.303(b)(2) through (4) has been shown for that article; and (2) May not make any change to an article between the time that compliance with § 21.303(b)(2) through (4) is shown for that article and the time that the article is presented to the FAA for the inspection or test. </SECTION> <SECTION> <SECTNO>§ 21.311</SECTNO> <SUBJECT>Issuance.</SUBJECT> The FAA issues a PMA after finding that the applicant complies with the requirements of this subpart and the design complies with the requirements of this chapter applicable to the product on which the article is to be installed. </SECTION> <SECTION> <SECTNO>§ 21.313</SECTNO> <SUBJECT>Duration.</SUBJECT> A PMA is effective until surrendered, withdrawn, or the FAA otherwise terminates it. </SECTION> <SECTION> <SECTNO>§ 21.314</SECTNO> <SUBJECT>Transferability.</SUBJECT> The holder of a PMA may not transfer the PMA. </SECTION> <SECTION> <SECTNO>§ 21.316</SECTNO> <SUBJECT>Responsibility of holder.</SUBJECT> Each holder of a PMA must— (a) Amend the document required by § 21.305 as necessary to reflect changes in the organization and provide these amendments to the FAA; (b) Maintain the quality system in compliance with the data and procedures approved for the PMA; (c) Ensure that each PMA article conforms to its approved design and is in a condition for safe operation; (d) Mark the PMA article for which an approval has been issued. Marking must be in accordance with part 45 of this chapter, including any critical parts; (e) Identify any portion of the PMA article (<E T="03">e.g.,</E> sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA approved manufacturer's identification; (f) Have access to design data necessary to determine conformity and airworthiness for each article produced under the PMA; (g) Retain each document granting PMA and make it available to the FAA upon request; and (h) Make available to the FAA information regarding all delegation of authority to suppliers. </SECTION> <SECTION> <SECTNO>§ 21.319</SECTNO> <SUBJECT>Design changes.</SUBJECT> <EAR>Pt. 21, Subpt. K, Nt.</EAR> (a) <E T="03">Classification of design changes.</E> (1) A “minor change” to the design of an article produced under a PMA is one that has no appreciable effect on the approval basis. (2) A “major change” to the design of an article produced under a PMA is any change that is not minor. (b) <E T="03">Approval of design changes.</E> (1) Minor changes to the basic design of a PMA may be approved using a method acceptable to the FAA.<PRTPAGE P="174"/> (2) The PMA holder must obtain FAA approval of any major change before including it in the design of an article produced under a PMA. </SECTION> <SECTION> <SECTNO>§ 21.320</SECTNO> <SUBJECT>Changes in quality system.</SUBJECT> After the issuance of a PMA— (a) Each change to the quality system is subject to review by the FAA; and (b) The holder of the PMA must immediately notify the FAA, in writing, of any change that may affect the inspection, conformity, or airworthiness of its article. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart L—Export Airworthiness Approvals</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Amdt. 21-2, 30 FR 8465, July 2, 1965, unless otherwise noted. </SOURCE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53391, Oct. 16, 2009, subpart L of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the new subpart L follows the text of this subpart. </EFFDNOTP> <SECTION> <SECTNO>§ 21.321</SECTNO> <SUBJECT>Applicability.</SUBJECT> (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 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. <CITA>[Amdt. 21-2, 30 FR 11375, July 2, 1965, as amended by Amdt. 21-48, 44 FR 15649, Mar. 15, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.323</SECTNO> <SUBJECT>Eligibility.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.325</SECTNO> <SUBJECT>Export airworthiness approvals.</SUBJECT> (a) <E T="03">Kinds of approvals.</E> (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) <E T="03">Products which may be approved.</E> 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 <PRTPAGE P="175"/>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 § 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. (4) Class II and III products located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter. (c) <E T="03">Export airworthiness approval exceptions.</E> If the export airworthiness approval is issued on the basis of a written statement by the importing state as provided for in § 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, are listed on the export airworthiness approval as exceptions. <CITA>[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; Amdt. 21-91, 72 FR 63800, Nov. 13, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.327</SECTNO> <SUBJECT>Application.</SUBJECT> (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 §§ 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.<PRTPAGE P="176"/> (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 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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.329</SECTNO> <SUBJECT>Issue of export certificates of airworthiness for Class I products.</SUBJECT> 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 § 21.183, or meet the airworthiness certification requirements for a “restricted” airworthiness certificate under § 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 <PRTPAGE P="177"/>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 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 § 21.327(e)(4) of this part. <CITA>[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; Amdt. 21-79, 66 FR 21066, Apr. 27, 2001]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.331</SECTNO> <SUBJECT>Issue of airworthiness approval tags for Class II products.</SUBJECT> (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 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 § 21.327(e)(4) of this part. <CITA>[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-48, 44 FR 15650, Mar. 15, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.333</SECTNO> <SUBJECT>Issue of export airworthiness approval tags for Class III products.</SUBJECT> (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 § 21.327(e)(4) of this part. <CITA>[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-48, 44 FR 15650, Mar. 15, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.335</SECTNO> <SUBJECT>Responsibilities of exporters.</SUBJECT> 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 <PRTPAGE P="178"/>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 § 45.33. <CITA>[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-48, 44 FR 15650, Mar. 15, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.337</SECTNO> <SUBJECT>Performance of inspections and overhauls.</SUBJECT> 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 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 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. <CITA>[Amdt. 21-2, 30 FR 8465, July 2, 1965, as amended by Amdt. 21-8, 31 FR 2421, Feb. 5, 1966; Amdt. 21-79, 66 FR 21066, Apr. 27, 2001]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.339</SECTNO> <SUBJECT>Special export airworthiness approval for aircraft.</SUBJECT> 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 § 21.185; (b) The owner files an application as required by § 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. <CITA>[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]</CITA> <EAR>Pt. 21, Subpt. L, Nt.</EAR> </SECTION> <HD SOURCE="HED"/> <EFFDNOTP> <PRTPAGE P="179"/> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53391, Oct. 16, 2009, subpart L of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SUBPART> <HD SOURCE="HED">Subpart L—Export Airworthiness Approvals</HD> <SECTION> <SECTNO>§ 21.321</SECTNO> <SUBJECT>Applicability.</SUBJECT> This subpart prescribes— (a) Procedural requirements for issuing export airworthiness approvals; and (b) Rules governing the holders of those approvals. </SECTION> <SECTION> <SECTNO>§ 21.325</SECTNO> <SUBJECT>Export airworthiness approvals.</SUBJECT> (a) An export airworthiness approval for an aircraft is issued in the form of an export certificate of airworthiness. This certificate does not authorize operation of that aircraft. (b) The FAA prescribes the form and manner in which an export airworthiness approval for an aircraft engine, propeller, or article is issued. (c) If the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter, an export airworthiness approval may be issued for a product or article located outside of the United States. </SECTION> <SECTION> <SECTNO>§ 21.327</SECTNO> <SUBJECT>Application.</SUBJECT> Any person may apply for an export airworthiness approval. Each applicant must apply in a form and manner prescribed by the FAA. </SECTION> <SECTION> <SECTNO>§ 21.329</SECTNO> <SUBJECT>Issuance of export certificates of airworthiness.</SUBJECT> (a) A person may obtain from the FAA an export certificate of airworthiness for an aircraft if— (1) A new or used aircraft manufactured under subpart F or G of this part meets the airworthiness requirements under subpart H of this part for a— (i) Standard airworthiness certificate; or (ii) Special airworthiness certificate in either the “primary” or the “restricted” category; or (2) A new or used aircraft not manufactured under subpart F or G of this part has a valid— (i) Standard airworthiness certificate; or (ii) Special airworthiness certificate in either the “primary” or the “restricted” category. (b) An aircraft need not meet a requirement specified in paragraph (a) of this section, as applicable, if— (1) The importing country or jurisdiction accepts, in a form and manner acceptable to the FAA, a deviation from that requirement; and (2) The export certificate of airworthiness lists as an exception any difference between the aircraft to be exported and its type design. </SECTION> <SECTION> <SECTNO>§ 21.331</SECTNO> <SUBJECT>Issuance of export airworthiness approvals for aircraft engines, propellers, and articles.</SUBJECT> (a) A person may obtain from the FAA an export airworthiness approval to export a new aircraft engine, propeller, or article that is manufactured under this part if it conforms to its approved design and is in a condition for safe operation. (b) A new aircraft engine, propeller, or article need not meet a requirement of paragraph (a) of this section if— (1) The importing country or jurisdiction accepts, in a form and manner acceptable to the FAA, a deviation from that requirement; and (2) The export airworthiness approval lists as an exception any difference between the aircraft engine, propeller, or article to be exported and its approved design. (c) A person may obtain from the FAA an export airworthiness approval to export a used aircraft engine, propeller, or article if it conforms to its approved design and is in a condition for safe operation. (d) A used aircraft engine or propeller need not meet a requirement of paragraph (c) of this section if— (1) The importing country or jurisdiction accepts, in a form and manner acceptable to the FAA, a deviation from that requirement; and (2) The export airworthiness approval lists as an exception any difference between the used aircraft engine or propeller to be exported and its approved design. </SECTION> <SECTION> <SECTNO>§ 21.335</SECTNO> <SUBJECT>Responsibilities of exporters.</SUBJECT> Unless otherwise agreed to by the importing country or jurisdiction, each exporter must— (a) Forward to the importing country or jurisdiction all documents specified by that country or jurisdiction; (b) Preserve and package products and articles as necessary to protect them against corrosion and damage during transit or storage and state the duration of effectiveness of such preservation and packaging; (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 or jurisdictions 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 from the FAA, giving the date of transfer of title, <PRTPAGE P="180"/>and the name and address of the foreign owner; (2) Return the Registration and Airworthiness Certificates to the FAA; and (3) Provide a statement to the FAA certifying that the U.S. identification and registration numbers have been removed from the aircraft in compliance with § 45.33. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart M—Designated Alteration Station Authorization Procedures</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Amdt. 21-6, 30 FR 11379, Sept. 8, 1965; 30 FR 11849, Sept. 16, 1965, unless otherwise noted. </SOURCE> <SECTION> <SECTNO>§ 21.431</SECTNO> <SUBJECT>Applicability.</SUBJECT> (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. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.435</SECTNO> <SUBJECT>Application.</SUBJECT> (a) An applicant for a Designated Alteration Station 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: (1) The repair station certificate number held by the repair station applicant, and the current ratings covered by the certificate; (2) The air carrier or commercial operator operating certificate number held by the air carrier or commercial operator applicant, and the products it may operate and maintain under the certificate; (3) A statement by the manufacturer applicant of the products for which he holds the type certificate; (4) 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 (5) A description of the applicant's facilities, and of the staff with which compliance with § 21.439(a)(4) is to be shown. (b) After November 14, 2006, the Administrator will no longer accept applications for a Designated Alteration Station authorization. (c) After November 14, 2009, no person may perform any function contained in a Designated Alteration Station authorization issued under this subpart. <CITA>[Amdt. No. 21-86, 70 FR 59946, Oct. 13, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.439</SECTNO> <SUBJECT>Eligibility.</SUBJECT> (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 § 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).<PRTPAGE P="181"/> (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. </SECTION> <SECTION> <SECTNO>§ 21.441</SECTNO> <SUBJECT>Procedure manual.</SUBJECT> (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 § 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 § 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. </SECTION> <SECTION> <SECTNO>§ 21.443</SECTNO> <SUBJECT>Duration.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.445</SECTNO> <SUBJECT>Maintenance of eligibility.</SUBJECT> 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 could affect the ability of the DAS to meet those requirements. </SECTION> <SECTION> <SECTNO>§ 21.447</SECTNO> <SUBJECT>Transferability.</SUBJECT> A DAS authorization is not transferable. </SECTION> <SECTION> <SECTNO>§ 21.449</SECTNO> <SUBJECT>Inspections.</SUBJECT> Upon request, each DAS and each applicant shall let the Administrator inspect his facilities, products, and records. </SECTION> <SECTION> <SECTNO>§ 21.451</SECTNO> <SUBJECT>Limits of applicability.</SUBJECT> (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 § 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 <PRTPAGE P="182"/>this chapter until the Administrator finds that those requirements are met. <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.461</SECTNO> <SUBJECT>Equivalent safety provisions.</SUBJECT> The DAS shall obtain the Administrator's concurrence on the application of all equivalent safety provisions applied under § 21.21. </SECTION> <SECTION> <SECTNO>§ 21.463</SECTNO> <SUBJECT>Supplemental type certificates.</SUBJECT> (a) For each supplemental type certificate issued under this subpart, the DAS shall follow the procedure manual prescribed in § 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. </SECTION> <SECTION> <SECTNO>§ 21.473</SECTNO> <SUBJECT>Airworthiness certificates other than experimental.</SUBJECT> For each amendment made to a standard airworthiness certificate under this subpart, the DAS shall follow the procedure manual prescribed in § 21.441 and shall, before making that amendment— (a) Complete each flight test necessary to meet the applicable airworthiness requirements of this chapter; (b) Find that each applicable airworthiness requirement of this chapter is met; and (c) Find that the aircraft is in condition for safe operation. </SECTION> <SECTION> <SECTNO>§ 21.475</SECTNO> <SUBJECT>Experimental certificates.</SUBJECT> The DAS shall, before issuing an experimental certificate, obtain from the Administrator any limitations and conditions that the Administrator considers necessary for safety. </SECTION> <SECTION> <SECTNO>§ 21.477</SECTNO> <SUBJECT>Data review and service experience.</SUBJECT> (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. </SECTION> <SECTION> <SECTNO>§ 21.493</SECTNO> <SUBJECT>Current records.</SUBJECT> (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<PRTPAGE P="183"/> (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. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart N—Approval of Engines, Propellers, Materials, Parts, and Appliances: Import</HD> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53392, Oct. 16, 2009, subpart N of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the new subpart N follows the text of this subpart. </EFFDNOTP> <SECTION> <SECTNO>§ 21.500</SECTNO> <SUBJECT>Approval of engines and propellers.</SUBJECT> 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. <CITA>[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.502</SECTNO> <SUBJECT>Approval of materials, parts, and appliances.</SUBJECT> (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 any technical data respecting that material, part, or appliance. <CITA>[Amdt. 21-25, 34 FR 14068, Sept. 5, 1969]</CITA> <EAR>Pt. 21, Subpt. N, Nt.</EAR> </SECTION> <HD SOURCE="HED"/> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53392, Oct. 16, 2009, subpart N of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SUBPART> <HD SOURCE="HED">Subpart N—Acceptance of Aircraft Engines, Propellers, and Articles for Import</HD> <SECTION> <SECTNO>§ 21.500</SECTNO> <SUBJECT>Acceptance of aircraft engines and propellers.</SUBJECT> An aircraft engine or propeller manufactured in a foreign country or jurisdiction meets the requirements for acceptance under this subchapter if— (a) That country or jurisdiction is subject to the provisions of an agreement with the United States for the acceptance of that product; (b) That product is marked in accordance with part 45 of this chapter; and (c) The holder or licensee of a U.S. type certificate for that product furnishes with each such aircraft engine or propeller imported into the United States, an export airworthiness approval issued in accordance with the provisions of that agreement certifying that the individual aircraft engine or propeller— (1) Conforms to its U.S. type certificate and is in condition for safe operation; and (2) Has been subjected by the manufacturer to a final operational check. </SECTION> <SECTION> <SECTNO>§ 21.502</SECTNO> <SUBJECT>Acceptance of articles.</SUBJECT> An article (including an article produced under a letter of TSO design approval) manufactured in a foreign country or jurisdiction meets the requirements for acceptance under this subchapter if— (a) That country or jurisdiction is subject to the provisions of an agreement with the United States for the acceptance of that article;<PRTPAGE P="184"/> (b) That article is marked in accordance with part 45 of this chapter; and (c) An export airworthiness approval has been issued in accordance with the provisions of that agreement for that article for import into the United States. </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart O—Technical Standard Order Authorizations</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> Docket No. 19589, 45 FR 38346, June 9, 1980, unless otherwise noted. </SOURCE> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53392, Oct. 16, 2009, subpart O of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the new subpart O follows the text of this subpart. </EFFDNOTP> <SECTION> <SECTNO>§ 21.601</SECTNO> <SUBJECT>Applicability.</SUBJECT> (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 § 21.617. (4) An article manufactured under a TSO authorization, an FAA letter of acceptance as described in § 21.603(b), or an appliance manufactured under a letter of TSO design approval described in § 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. </SECTION> <SECTION> <SECTNO>§ 21.603</SECTNO> <SUBJECT>TSO marking and privileges.</SUBJECT> (a) Except as provided in paragraph (b) of this section and § 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 §§ 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. </SECTION> <SECTION> <SECTNO>§ 21.605</SECTNO> <SUBJECT>Application and issue.</SUBJECT> (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.<PRTPAGE P="185"/> (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 § 21.143. In complying with this section, the applicant may refer to current quality control data filed with the FAA as part of a previous TSO authorization application. (b) When a series of minor changes in accordance with § 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. <CITA>[Doc. No. 19589, 45 FR 38346, June 9, 1980, as amended by Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.607</SECTNO> <SUBJECT>General rules governing holders of TSO authorizations.</SUBJECT> 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 § 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. </SECTION> <SECTION> <SECTNO>§ 21.609</SECTNO> <SUBJECT>Approval for deviation.</SUBJECT> (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. <CITA>[Doc. No. 19589, 45 FR 38346, June 9, 1980, as amended by Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.611</SECTNO> <SUBJECT>Design changes.</SUBJECT> (a) <E T="03">Minor changes by the manufacturer holding a TSO authorization.</E> 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 § 21.605(b).<PRTPAGE P="186"/> (b) <E T="03">Major changes by manufacturer holding a TSO authorization.</E> 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 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 § 21.605. (c) <E T="03">Changes by person other than manufacturer.</E> 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 § 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. <CITA>[Doc. No. 19589, 45 FR 38346, June 9, 1980, as amended by Amdt. 21-67, 54 FR 39291, Sept. 25, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 21.613</SECTNO> <SUBJECT>Recordkeeping requirements.</SUBJECT> (a) <E T="03">Keeping the records.</E> 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) <E T="03">Retention of records.</E> 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. </SECTION> <SECTION> <SECTNO>§ 21.615</SECTNO> <SUBJECT>FAA inspection.</SUBJECT> 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. </SECTION> <SECTION> <SECTNO>§ 21.617</SECTNO> <SUBJECT>Issue of letters of TSO design approval: import appliances.</SUBJECT> (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 § 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 § 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 § 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 § 21.502(a), the manufacturer shall be authorized to identify the appliance with the TSO marking requirements described in § 21.607(d) and in the applicable TSO. Each appliance must be accompanied by a Certificate of Airworthiness for Export as specified in § 21.502(a) issued by the country of manufacture. </SECTION> <SECTION> <SECTNO>§ 21.619</SECTNO> <SUBJECT>Noncompliance.</SUBJECT> The Administrator may, upon notice, withdraw the TSO authorization or letter of TSO design approval of any manufacturer who identifies with a TSO <PRTPAGE P="187"/>marking an article not meeting the performance standards of the applicable TSO. </SECTION> <SECTION> <SECTNO>§ 21.621</SECTNO> <SUBJECT>Transferability and duration.</SUBJECT> 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. <EAR>Pt. 21, Subpt. O, Nt.</EAR> </SECTION> <HD SOURCE="HED"/> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> By Docket No. FAA-2006-25877, 74 FR 53392, Oct. 16, 2009, subpart O of part 21 was revised, effective Apr. 14, 2010. For the convenience of the user, the revised text is set forth as follows: <REVTXT> <SUBPART> <HD SOURCE="HED">Subpart O—Technical Standard Order Approvals</HD> <SECTION> <SECTNO>§ 21.601</SECTNO> <SUBJECT>Applicability and definitions.</SUBJECT> (a) This subpart prescribes— (1) Procedural requirements for issuing TSO authorizations; (2) Rules governing the holders of TSO authorizations; and (3) Procedural requirements for issuing letters of TSO design approval. (b) For the purposes of this subpart— (1) A TSO issued by the FAA is a minimum performance standard for specified articles used on civil aircraft; (2) A TSO authorization is an FAA design and production approval issued to the manufacturer of an article that has been found to meet a specific TSO; (3) A letter of TSO design approval is an FAA design approval for an article that has been found to meet a specific TSO in accordance with the procedures of § 21.621; (4) An article manufactured under a TSO authorization, an FAA letter of acceptance as described in § 21.613(b), or an article manufactured under a letter of TSO design approval described in § 21.621 is an approved article for the purpose of meeting the regulations of this chapter that require the article to be approved; and (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 any related parts, processes, or services procured from an outside source. </SECTION> <SECTION> <SECTNO>§ 21.603</SECTNO> <SUBJECT>Application.</SUBJECT> (a) An applicant for a TSO authorization must apply to the appropriate aircraft certification office in the form and manner prescribed by the FAA. The applicant must include the following documents in the application: (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. (b) If the applicant anticipates a series of minor changes in accordance with § 21.619, 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) If the application is deficient, the applicant must, when requested by the FAA, provide any additional information necessary to show compliance with this part. If the applicant fails to provide the additional information within 30 days after the FAA's request, the FAA denies the application and notifies the applicant. </SECTION> <SECTION> <SECTNO>§ 21.605</SECTNO> <SUBJECT>Organization.</SUBJECT> Each applicant for or holder of a TSO authorization must provide the FAA with a document describing how the applicant's organization will ensure compliance with the provisions of this subpart. At a minimum, the document must describe assigned responsibilities and delegated authority, and the functional relationship of those responsible for quality to management and other organizational components. </SECTION> <SECTION> <SECTNO>§ 21.607</SECTNO> <SUBJECT>Quality system.</SUBJECT> Each applicant for or holder of a TSO authorization must establish a quality system that meets the requirements of § 21.137. </SECTION> <SECTION> <SECTNO>§ 21.608</SECTNO> <SUBJECT>Quality manual.</SUBJECT> Each applicant for or holder of a TSO authorization must provide a manual describing its quality system to the FAA for approval. The manual must be in the English language and retrievable in a form acceptable to the FAA. </SECTION> <SECTION> <SECTNO>§ 21.609</SECTNO> <SUBJECT>Location of or change to manufacturing facilities.</SUBJECT> (a) An applicant may obtain a TSO authorization for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter. (b) The TSO authorization holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities. (c) The TSO authorization holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its product or article. </SECTION> <SECTION> <PRTPAGE P="188"/> <SECTNO>§ 21.610</SECTNO> <SUBJECT>Inspections and tests.</SUBJECT> Each applicant for or holder of a TSO authorization must allow the FAA to inspect its quality system, facilities, technical data, and any manufactured articles and witness any tests, including any inspections or tests at a supplier facility, necessary to determine compliance with this subchapter. </SECTION> <SECTION> <SECTNO>§ 21.611</SECTNO> <SUBJECT>Issuance.</SUBJECT> If the FAA finds that the applicant complies with the requirements of this subchapter, the FAA issues a TSO authorization to the applicant (including all TSO deviations granted to the applicant). </SECTION> <SECTION> <SECTNO>§ 21.613</SECTNO> <SUBJECT>Duration.</SUBJECT> (a) A TSO authorization or letter of TSO design approval is effective until surrendered, withdrawn, or otherwise terminated by the FAA. (b) If a TSO is revised or canceled, the holder of an affected FAA letter of acceptance of a statement of conformance, TSO authorization, or letter of TSO design approval may continue to manufacture articles that meet the original TSO without obtaining a new acceptance, authorization, or approval but must comply with the requirements of this chapter. </SECTION> <SECTION> <SECTNO>§ 21.614</SECTNO> <SUBJECT>Transferability.</SUBJECT> The holder of a TSO authorization or letter of TSO design approval may not transfer the TSO authorization or letter of TSO design approval. </SECTION> <SECTION> <SECTNO>§ 21.616</SECTNO> <SUBJECT>Responsibility of holder.</SUBJECT> Each holder of a TSO authorization must— (a) Amend the document required by § 21.605 as necessary to reflect changes in the organization and provide these amendments to the FAA. (b) Maintain a quality system in compliance with the data and procedures approved for the TSO authorization; (c) Ensure that each manufactured article conforms to its approved design, is in a condition for safe operation, and meets the applicable TSO; (d) Mark the TSO article for which an approval has been issued. Marking must be in accordance with part 45 of this chapter, including any critical parts; (e) Identify any portion of the TSO article (e.g., sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA approved manufacturer's identification; (f) Have access to design data necessary to determine conformity and airworthiness for each article produced under the TSO authorization. The manufacturer must retain this data until it no longer manufactures the article. At that time, copies of the data must be sent to the FAA; (g) Retain its TSO authorization and make it available to the FAA upon request; and (h) Make available to the FAA information regarding all delegation of authority to suppliers. </SECTION> <SECTION> <SECTNO>§ 21.618</SECTNO> <SUBJECT>Approval for deviation.</SUBJECT> <EAR>Pt. 21, Subpt. O, Nt.</EAR> (a) Each manufacturer who requests approval to deviate from any performance standard of a TSO must show that factors or design features providing an equivalent level of safety compensate for the standards from which a deviation is requested. (b) The manufacturer must send requests for approval to deviate, together with all pertinent data, to the appropriate aircraft certification office. If the article is manufactured under the authority of a foreign country or jurisdiction, the manufacturer must send requests for approval to deviate, together with all pertinent data, through the civil aviation authority of that country or jurisdiction to the FAA. </SECTION> <SECTION> <SECTNO>§ 21.619</SECTNO> <SUBJECT>Design changes.</SUBJECT> (a) <E T="03">Minor changes by the manufacturer holding a TSO authorization</E>. 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 FAA. In this case, the changed article keeps the original model number (part numbers may be used to identify minor changes) and the manufacturer must forward to the appropriate aircraft certification office, any revised data that are necessary for compliance with § 21.603(b). (b) <E T="03">Major changes by the manufacturer holding a TSO authorization</E>. Any design change by the manufacturer extensive enough to require a substantially complete investigation to determine compliance with a TSO is a major change. Before making a major change, the manufacturer must assign a new type or model designation to the article and apply for an authorization under § 21.603. (c) <E T="03">Changes by persons other than the manufacturer</E>. No design change by any person (other than the manufacturer who provided 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 § 21.603(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 of this chapter. </SECTION> <SECTION> <PRTPAGE P="189"/> <SECTNO>§ 21.620</SECTNO> <SUBJECT>Changes in quality system.</SUBJECT> After the issuance of a TSO authorization— (a) Each change to the quality system is subject to review by the FAA; and (b) The holder of the TSO authorization must immediately notify the FAA, in writing, of any change that may affect the inspection, conformity, or airworthiness of its article. </SECTION> <SECTION> <SECTNO>§ 21.621</SECTNO> <SUBJECT>Issuance of letters of TSO design approval: import articles.</SUBJECT> (a) The FAA may issue a letter of TSO design approval for an article— (1) Designed and manufactured in a foreign country or jurisdiction subject to the export provisions of an agreement with the United States for the acceptance of these articles for import; and (2) For import into the United States if— (i) The State of Design certifies that the article has been examined, tested, and found to meet the applicable TSO or the applicable performance standards of the State of Design and any other performance standards the FAA may prescribe to provide a level of safety equivalent to that provided by the TSO; and (ii) The manufacturer has provided to the FAA one copy of the technical data required in the applicable performance standard through its State of Design. (b) The FAA issues the letter of TSO design approval that lists any deviation granted under § 21.618. </SECTION> </SUBPART> <PART> <EAR>Pt. 23</EAR> <HD SOURCE="HED">PART 23—AIRWORTHINESS STANDARDS: NORMAL, UTILITY, ACROBATIC, AND COMMUTER CATEGORY AIRPLANES</HD> <CONTENTS> <APP>Special Federal Aviation Regulation No. 23</APP> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>23.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>23.2</SECTNO> <SUBJECT>Special retroactive requirements.</SUBJECT> <SECTNO>23.3</SECTNO> <SUBJECT>Airplane categories.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Flight</HD> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTNO>23.21</SECTNO> <SUBJECT>Proof of compliance.</SUBJECT> <SECTNO>23.23</SECTNO> <SUBJECT>Load distribution limits.</SUBJECT> <SECTNO>23.25</SECTNO> <SUBJECT>Weight limits.</SUBJECT> <SECTNO>23.29</SECTNO> <SUBJECT>Empty weight and corresponding center of gravity.</SUBJECT> <SECTNO>23.31</SECTNO> <SUBJECT>Removable ballast.</SUBJECT> <SECTNO>23.33</SECTNO> <SUBJECT>Propeller speed and pitch limits.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Performance</HD> <SECTNO>23.45</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.49</SECTNO> <SUBJECT>Stalling period.</SUBJECT> <SECTNO>23.51</SECTNO> <SUBJECT>Takeoff speeds.</SUBJECT> <SECTNO>23.53</SECTNO> <SUBJECT>Takeoff performance.</SUBJECT> <SECTNO>23.55</SECTNO> <SUBJECT>Accelerate-stop distance.</SUBJECT> <SECTNO>23.57</SECTNO> <SUBJECT>Takeoff path.</SUBJECT> <SECTNO>23.59</SECTNO> <SUBJECT>Takeoff distance and takeoff run.</SUBJECT> <SECTNO>23.61</SECTNO> <SUBJECT>Takeoff flight path.</SUBJECT> <SECTNO>23.63</SECTNO> <SUBJECT>Climb: General.</SUBJECT> <SECTNO>23.65</SECTNO> <SUBJECT>Climb: All engines operating.</SUBJECT> <SECTNO>23.66</SECTNO> <SUBJECT>Takeoff climb: One-engine inoperative.</SUBJECT> <SECTNO>23.67</SECTNO> <SUBJECT>Climb: One engine inoperative.</SUBJECT> <SECTNO>23.69</SECTNO> <SUBJECT>Enroute climb/descent.</SUBJECT> <SECTNO>23.71</SECTNO> <SUBJECT>Glide: Single-engine airplanes.</SUBJECT> <SECTNO>23.73</SECTNO> <SUBJECT>Reference landing approach speed.</SUBJECT> <SECTNO>23.75</SECTNO> <SUBJECT>Landing distance.</SUBJECT> <SECTNO>23.77</SECTNO> <SUBJECT>Balked landing.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Flight Characteristics</HD> <SECTNO>23.141</SECTNO> <SUBJECT>General.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Controllability and Maneuverability</HD> <SECTNO>23.143</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.145</SECTNO> <SUBJECT>Longitudinal control.</SUBJECT> <SECTNO>23.147</SECTNO> <SUBJECT>Directional and lateral control.</SUBJECT> <SECTNO>23.149</SECTNO> <SUBJECT>Minimum control speed.</SUBJECT> <SECTNO>23.151</SECTNO> <SUBJECT>Acrobatic maneuvers.</SUBJECT> <SECTNO>23.153</SECTNO> <SUBJECT>Control during landings.</SUBJECT> <SECTNO>23.155</SECTNO> <SUBJECT>Elevator control force in maneuvers.</SUBJECT> <SECTNO>23.157</SECTNO> <SUBJECT>Rate of roll.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Trim</HD> <SECTNO>23.161</SECTNO> <SUBJECT>Trim.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Stability</HD> <SECTNO>23.171</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.173</SECTNO> <SUBJECT>Static longitudinal stability.</SUBJECT> <SECTNO>23.175</SECTNO> <SUBJECT>Demonstration of static longitudinal stability.</SUBJECT> <SECTNO>23.177</SECTNO> <SUBJECT>Static directional and lateral stability.</SUBJECT> <SECTNO>23.181</SECTNO> <SUBJECT>Dynamic stability.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Stalls</HD> <SECTNO>23.201</SECTNO> <SUBJECT>Wings level stall.</SUBJECT> <SECTNO>23.203</SECTNO> <SUBJECT>Turning flight and accelerated turning stalls.</SUBJECT> <SECTNO>23.207</SECTNO> <SUBJECT>Stall warning.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Spinning</HD> <SECTNO>23.221</SECTNO> <SUBJECT>Spinning.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Ground and Water Handling Characteristics</HD> <SECTNO>23.231</SECTNO> <SUBJECT>Longitudinal stability and control.</SUBJECT> <SECTNO>23.233</SECTNO> <SUBJECT>Directional stability and control.</SUBJECT> <SECTNO>23.235</SECTNO> <SUBJECT>Operation on unpaved surfaces.<PRTPAGE P="190"/> </SUBJECT> <SECTNO>23.237</SECTNO> <SUBJECT>Operation on water.</SUBJECT> <SECTNO>23.239</SECTNO> <SUBJECT>Spray characteristics.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Miscellaneous Flight Requirements</HD> <SECTNO>23.251</SECTNO> <SUBJECT>Vibration and buffeting.</SUBJECT> <SECTNO>23.253</SECTNO> <SUBJECT>High speed characteristics.</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Structure</HD> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTNO>23.301</SECTNO> <SUBJECT>Loads.</SUBJECT> <SECTNO>23.302</SECTNO> <SUBJECT>Canard or tandem wing configurations.</SUBJECT> <SECTNO>23.303</SECTNO> <SUBJECT>Factor of safety.</SUBJECT> <SECTNO>23.305</SECTNO> <SUBJECT>Strength and deformation.</SUBJECT> <SECTNO>23.307</SECTNO> <SUBJECT>Proof of structure.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Flight Loads</HD> <SECTNO>23.321</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.331</SECTNO> <SUBJECT>Symmetrical flight conditions.</SUBJECT> <SECTNO>23.333</SECTNO> <SUBJECT>Flight envelope.</SUBJECT> <SECTNO>23.335</SECTNO> <SUBJECT>Design airspeeds.</SUBJECT> <SECTNO>23.337</SECTNO> <SUBJECT>Limit maneuvering load factors.</SUBJECT> <SECTNO>23.341</SECTNO> <SUBJECT>Gust loads factors.</SUBJECT> <SECTNO>23.343</SECTNO> <SUBJECT>Design fuel loads.</SUBJECT> <SECTNO>23.345</SECTNO> <SUBJECT>High lift devices.</SUBJECT> <SECTNO>23.347</SECTNO> <SUBJECT>Unsymmetrical flight conditions.</SUBJECT> <SECTNO>23.349</SECTNO> <SUBJECT>Rolling conditions.</SUBJECT> <SECTNO>23.351</SECTNO> <SUBJECT>Yawing conditions.</SUBJECT> <SECTNO>23.361</SECTNO> <SUBJECT>Engine torque.</SUBJECT> <SECTNO>23.363</SECTNO> <SUBJECT>Side load on engine mount.</SUBJECT> <SECTNO>23.365</SECTNO> <SUBJECT>Pressurized cabin loads.</SUBJECT> <SECTNO>23.367</SECTNO> <SUBJECT>Unsymmetrical loads due to engine failure.</SUBJECT> <SECTNO>23.369</SECTNO> <SUBJECT>Rear lift truss.</SUBJECT> <SECTNO>23.371</SECTNO> <SUBJECT>Gyroscopic and aerodynamic loads.</SUBJECT> <SECTNO>23.373</SECTNO> <SUBJECT>Speed control devices.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Control Surface and System Loads</HD> <SECTNO>23.391</SECTNO> <SUBJECT>Control surface loads.</SUBJECT> <SECTNO>23.393</SECTNO> <SUBJECT>Loads parallel to hinge line.</SUBJECT> <SECTNO>23.395</SECTNO> <SUBJECT>Control system loads.</SUBJECT> <SECTNO>23.397</SECTNO> <SUBJECT>Limit control forces and torques.</SUBJECT> <SECTNO>23.399</SECTNO> <SUBJECT>Dual control system.</SUBJECT> <SECTNO>23.405</SECTNO> <SUBJECT>Secondary control system.</SUBJECT> <SECTNO>23.407</SECTNO> <SUBJECT>Trim tab effects.</SUBJECT> <SECTNO>23.409</SECTNO> <SUBJECT>Tabs.</SUBJECT> <SECTNO>23.415</SECTNO> <SUBJECT>Ground gust conditions.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Horizontal Stabilizing and Balancing Surfaces</HD> <SECTNO>23.421</SECTNO> <SUBJECT>Balancing loads.</SUBJECT> <SECTNO>23.423</SECTNO> <SUBJECT>Maneuvering loads.</SUBJECT> <SECTNO>23.425</SECTNO> <SUBJECT>Gust loads.</SUBJECT> <SECTNO>23.427</SECTNO> <SUBJECT>Unsymmetrical loads.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Vertical Surfaces</HD> <SECTNO>23.441</SECTNO> <SUBJECT>Maneuvering loads.</SUBJECT> <SECTNO>23.443</SECTNO> <SUBJECT>Gust loads.</SUBJECT> <SECTNO>23.445</SECTNO> <SUBJECT>Outboard fins or winglets.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Ailerons and Special Devices</HD> <SECTNO>23.455</SECTNO> <SUBJECT>Ailerons.</SUBJECT> <SECTNO>23.459</SECTNO> <SUBJECT>Special devices.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Ground Loads</HD> <SECTNO>23.471</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.473</SECTNO> <SUBJECT>Ground load conditions and assumptions.</SUBJECT> <SECTNO>23.477</SECTNO> <SUBJECT>Landing gear arrangement.</SUBJECT> <SECTNO>23.479</SECTNO> <SUBJECT>Level landing conditions.</SUBJECT> <SECTNO>23.481</SECTNO> <SUBJECT>Tail down landing conditions.</SUBJECT> <SECTNO>23.483</SECTNO> <SUBJECT>One-wheel landing conditions.</SUBJECT> <SECTNO>23.485</SECTNO> <SUBJECT>Side load conditions.</SUBJECT> <SECTNO>23.493</SECTNO> <SUBJECT>Braked roll conditions.</SUBJECT> <SECTNO>23.497</SECTNO> <SUBJECT>Supplementary conditions for tail wheels.</SUBJECT> <SECTNO>23.499</SECTNO> <SUBJECT>Supplementary conditions for nose wheels.</SUBJECT> <SECTNO>23.505</SECTNO> <SUBJECT>Supplementary conditions for ski-planes.</SUBJECT> <SECTNO>23.507</SECTNO> <SUBJECT>Jacking loads.</SUBJECT> <SECTNO>23.509</SECTNO> <SUBJECT>Towing loads.</SUBJECT> <SECTNO>23.511</SECTNO> <SUBJECT>Ground load; unsymmetrical loads on multiple-wheel units.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Water Loads</HD> <SECTNO>23.521</SECTNO> <SUBJECT>Water load conditions.</SUBJECT> <SECTNO>23.523</SECTNO> <SUBJECT>Design weights and center of gravity positions.</SUBJECT> <SECTNO>23.525</SECTNO> <SUBJECT>Application of loads.</SUBJECT> <SECTNO>23.527</SECTNO> <SUBJECT>Hull and main float load factors.</SUBJECT> <SECTNO>23.529</SECTNO> <SUBJECT>Hull and main float landing conditions.</SUBJECT> <SECTNO>23.531</SECTNO> <SUBJECT>Hull and main float takeoff condition.</SUBJECT> <SECTNO>23.533</SECTNO> <SUBJECT>Hull and main float bottom pressures.</SUBJECT> <SECTNO>23.535</SECTNO> <SUBJECT>Auxiliary float loads.</SUBJECT> <SECTNO>23.537</SECTNO> <SUBJECT>Seawing loads.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Emergency Landing Conditions</HD> <SECTNO>23.561</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.562</SECTNO> <SUBJECT>Emergency landing dynamic conditions.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Fatigue Evaluation</HD> <SECTNO>23.571</SECTNO> <SUBJECT>Metallic pressurized cabin structures.</SUBJECT> <SECTNO>23.572</SECTNO> <SUBJECT>Metallic wing, empennage, and associated structures.</SUBJECT> <SECTNO>23.573</SECTNO> <SUBJECT>Damage tolerance and fatigue evaluation of structure.</SUBJECT> <SECTNO>23.574</SECTNO> <SUBJECT>Metallic damage tolerance and fatigue evaluation of commuter category airplanes.</SUBJECT> <SECTNO>23.575</SECTNO> <SUBJECT>Inspections and other procedures.</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Design and Construction</HD> <SECTNO>23.601</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.603</SECTNO> <SUBJECT>Materials and workmanship.</SUBJECT> <SECTNO>23.605</SECTNO> <SUBJECT>Fabrication methods.</SUBJECT> <SECTNO>23.607</SECTNO> <SUBJECT>Fasteners.</SUBJECT> <SECTNO>23.609</SECTNO> <SUBJECT>Protection of structure.</SUBJECT> <SECTNO>23.611</SECTNO> <SUBJECT>Accessibility provisions.</SUBJECT> <SECTNO>23.613</SECTNO> <SUBJECT>Material strength properties and design values.</SUBJECT> <SECTNO>23.619</SECTNO> <SUBJECT>Special factors.</SUBJECT> <SECTNO>23.621</SECTNO> <SUBJECT>Casting factors.</SUBJECT> <SECTNO>23.623</SECTNO> <SUBJECT>Bearing factors.</SUBJECT> <SECTNO>23.625</SECTNO> <SUBJECT>Fitting factors.</SUBJECT> <SECTNO>23.627</SECTNO> <SUBJECT>Fatigue strength.<PRTPAGE P="191"/> </SUBJECT> <SECTNO>23.629</SECTNO> <SUBJECT>Flutter.</SUBJECT> <SUBJGRP> <HD SOURCE="HED">Wings</HD> <SECTNO>23.641</SECTNO> <SUBJECT>Proof of strength.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Control Surfaces</HD> <SECTNO>23.651</SECTNO> <SUBJECT>Proof of strength.</SUBJECT> <SECTNO>23.655</SECTNO> <SUBJECT>Installation.</SUBJECT> <SECTNO>23.657</SECTNO> <SUBJECT>Hinges.</SUBJECT> <SECTNO>23.659</SECTNO> <SUBJECT>Mass balance.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Control Systems</HD> <SECTNO>23.671</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.672</SECTNO> <SUBJECT>Stability augmentation and automatic and power-operated systems.</SUBJECT> <SECTNO>23.673</SECTNO> <SUBJECT>Primary flight controls.</SUBJECT> <SECTNO>23.675</SECTNO> <SUBJECT>Stops.</SUBJECT> <SECTNO>23.677</SECTNO> <SUBJECT>Trim systems.</SUBJECT> <SECTNO>23.679</SECTNO> <SUBJECT>Control system locks.</SUBJECT> <SECTNO>23.681</SECTNO> <SUBJECT>Limit load static tests.</SUBJECT> <SECTNO>23.683</SECTNO> <SUBJECT>Operation tests.</SUBJECT> <SECTNO>23.685</SECTNO> <SUBJECT>Control system details.</SUBJECT> <SECTNO>23.687</SECTNO> <SUBJECT>Spring devices.</SUBJECT> <SECTNO>23.689</SECTNO> <SUBJECT>Cable systems.</SUBJECT> <SECTNO>23.691</SECTNO> <SUBJECT>Artificial stall barrier system.</SUBJECT> <SECTNO>23.693</SECTNO> <SUBJECT>Joints.</SUBJECT> <SECTNO>23.697</SECTNO> <SUBJECT>Wing flap controls.</SUBJECT> <SECTNO>23.699</SECTNO> <SUBJECT>Wing flap position indicator.</SUBJECT> <SECTNO>23.701</SECTNO> <SUBJECT>Flap interconnection.</SUBJECT> <SECTNO>23.703</SECTNO> <SUBJECT>Takeoff warning system.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Landing Gear</HD> <SECTNO>23.721</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>23.723</SECTNO> <SUBJECT>Shock absorption tests.</SUBJECT> <SECTNO>23.725</SECTNO> <SUBJECT>Limit drop tests.</SUBJECT> <SECTNO>23.726</SECTNO> <SUBJECT>Ground load dynamic tests.</SUBJECT> <SECTNO>23.727</SECTNO> <SUBJECT>Reserve energy absorption drop test.</SUBJECT> <SECTNO>23.729</SECTNO>