CODE OF FEDERAL REGULATIONS
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The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further subdivided into parts covering specific regulatory areas.
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Title 14—
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.
(This book contains parts 200 to 1199)
Chapter II was transferred from the Civil Aeronautics Board to the Department of Transportation on January 1, 1985. For a document giving the disposition of CAB regulations once the Agency ceased to exist, see 50 FR 452, Jan. 4, 1985.
Nomenclature changes to Chapter II appear by Docket No. DOT-OST-2008-0173, 73 FR 33327, June 12, 2008.
49 U.S.C. Chapters 401, 411, 413, 415, 417, 461.
Unless otherwise specifically stated, words and phrases other than those listed in this section have the meaning defined in the Statute.
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
The regulations of the Department may be cited by section numbers. For example, this regulation may be cited as “§ 200.2 of the Aviation Economic Regulations.” The sections contained in the Rules of Practice may also be cited by appropriate rule numbers. (See § 302.1(c) of this chapter.) For example, 14 CFR 302.10 may be cited as “rule 10 of the Rules of Practice.”
5 U.S.C. 1008; 49 U.S.C. Chapters 401, 411, 413, 415, 417.
(a) Applications for certificates of public convenience and necessity under section 41102 of the Statute and for interstate all-cargo air transportation certificates under section 41103 of the Statute shall meet the requirements set forth in part 302 of this chapter as to general requirements, execution, number of copies, service, and formal specifications of papers.
(b) Any person desiring to provide air transportation as a commuter air carrier must comply with the provisions of part 298 of this chapter and submit data to support a fitness determination in accordance with part 204 of this chapter. An executed original plus two (2) true copies of the fitness data shall be filed with DOT Dockets, 1200 New Jersey Avenue, SE., Washington, DC 20590-0002. Requests for confidential treatment of documents should be filed
If, after receipt of any application, the Department asks the applicant to supply additional information, such information shall be furnished in the form of a supplement to the original application.
Incorporation by reference shall be avoided. However, where two or more applications are filed by a single carrier, lengthy exhibits or other documents attached to one may be incorporated in the others by reference if that procedure will substantially reduce the cost to the applicant.
(a) All pages of an application shall be consecutively numbered, and the application shall clearly describe and identify each exhibit by a separate number or symbol. All exhibits shall be deemed to constitute a part of the application to which they are attached.
(b) All amendments to applications shall be consecutively numbered and shall comply with the requirements of this part.
(c) Requests for authority to engage in interstate air transportation shall not be included in the same application with requests for authority to engage in foreign air transportation. Similarly, requests for authority to engage in scheduled air transportation under section 41102 of the Statute shall not be included in the same application with requests for authority to engage in charter air transportation under section 41102 of the Statute or with requests for authority to engage in interstate all-cargo air transportation under section 41103 of the Statute.
(d) Each application shall specify the type or types of service (passengers, property or mail) to be rendered and whether such services are to be rendered on scheduled or charter operations.
(e) Each application for foreign scheduled air transportation shall include an adequate identification of each route for which a certificate is desired, including the terminal and intermediate points to be included in the certificate for which application is made.
(f) Each application shall give full and adequate information with respect to each of the relevant filing requirements set forth in part 204 of this chapter. In addition, the application may contain such other information and data as the applicant shall deem necessary or appropriate in order to acquaint the Department fully with the particular circumstances of its case; however, the statements contained in an application shall be restricted to significant and relevant facts.
(a) An applicant for new or amended certificate or commuter air carrier authority shall not:
(1) Advertise, list schedules, or accept reservations for the air transportation covered by its application until the application has been approved by the Department; or
(2) Accept payment or issue tickets for the air transportation covered by its application until the authority or amended authority has become effective or the Department issues a notice authorizing sales.
(b) An applicant for new or amended certificate or commuter air carrier authority may not advertise or publish schedule listings for the air transportation covered by its application after the application has been approved by the Department (but before all authority issued by DOT, including the FAA, becomes effective) unless such advertising or schedule listings prominently state: “This service is subject to receipt of government operating authority.”
Unless the certificate or the order authorizing its issuance shall otherwise provide, such terms, conditions and limitations as are set forth in this part, and as may from time to time be prescribed by the Department, shall apply to the exercise of the privileges granted by each certificate issued under section 41102 or section 41103 of the Statute.
(a) It shall be a condition upon the holding of a certificate that any intentional failure by the holder to comply with any provision of Statute or any order, rule, or regulation issued thereunder or any term, condition, or limitation of such certificate shall be a failure to comply with the terms, conditions, and limitations of the certificate within the meaning of section 41110 of the Statute even though the failure to comply occurred outside the territorial limits of the United States, except to the extent that such failure shall be necessitated by an obligation, duty, or liability imposed by a foreign country.
(b) Failure to file the reports required by part 241, 291, or 298 of this chapter shall be sufficient grounds to revoke a certificate.
(c) The authority to transport U.S. mail under a certificate is permissive, unless the Department, by order or rule, directs a carrier or class of carriers to transport mail on demand of the U.S. Postal Service; such certificate confers no right to receive subsidy, for the carriage of mail or otherwise.
(d) An all-cargo air transportation certificate shall confer no right to carry passengers, other than cargo attendants accompanying a shipment, or to engage in any air transportation outside the geographical scope of interstate cargo transportation. Such certificate shall not, however, restrict the right of the holder to provide scheduled, charter, contract, or other transportation of cargo, by air, within that geographical scope.
(e) It shall be a condition upon the holding of a certificate that the holder have and maintain in effect and on file with the Department a signed counterpart of Agreement 18900 (OST Form 4523), and a tariff (for those carriers otherwise generally required to file tariffs) that includes its terms, and that the holder comply with all other requirements of part 203. OST Form 4523 may be obtained from the Office of Aviation Analysis, Special Authorities Division.
49 U.S.C. Chapters 401, 411, 413, 415, 417.
This part requires that certain U.S. and foreign direct air carriers waive the passenger liability limits and certain carrier defenses in the Warsaw Convention in accordance with the provisions of Agreement 18900, dated May 13, 1966, and provides that acceptance of authority for, or operations by the carrier in, air transportation shall be considered to act as such a waiver by that carrier.
This part applies to all direct U.S. and foreign direct air carriers, except for air taxi operators as defined in part
All direct U.S. and foreign air carriers shall have and maintain in effect and on file in the Department's Documentary Services Division (Docket 17325) on OST Form 4523 a signed counterpart to Agreement 18900, an agreement relating to liability limitations of the Warsaw Convention and Hague Protocol approved by CAB Order E-23680, dated May 13, 1966 (the Montreal Agreement), and a signed counterpart of any amendment or amendments to such Agreement that may be approved by the Department and to which the air carrier or foreign air carrier becomes a party. U.S. air taxi operators registering under part 298 of this chapter and Canadian charter air taxi operators registering under part 294 of this chapter may comply with this requirement by filing completed OST Forms 4507 and 4523, respectively, in accordance with the provisions of those parts.
(a) As required by the Montreal Agreement, carriers that are otherwise generally required to file tariffs shall file with the Department's Tariffs Division a tariff that includes the provisions of the counterpart to Agreement 18900.
(b) As further required by that Agreement, each participating carrier shall include the Agreement's terms as part of its conditions of carriage. The participating carrier shall give each of its passengers the notice required by the Montreal Agreement as provided in § 221.175 of this chapter.
(c) Participation in the Montreal Agreement, whether by signing the Agreement, filing a signed counterpart to it under § 203.3, or by operation of law under § 203.5, shall constitute a special agreement between the carrier and its passengers as a condition of carriage that a liability limit of not less than $75,000 (U.S.) shall apply under Article 22(1) of the Warsaw Convention for passenger injury and death. Such participation also constitutes a waiver of the defense under Article 20(1) of the Convention that the carrier was not negligent.
It shall be a condition on the authority of all direct U.S. and foreign carriers to operate in air transportation that they have and maintain in effect and on file with the Department a signed counterpart of Agreement 18900, and a tariff (for those carriers otherwise generally required to file tariffs) that includes its provisions, as required by this subpart. Notwithstanding any failure to file that counterpart and such tariff, any such air carrier or foreign air carrier issued license authority (including exemptions) by the Department or operating in air transportation shall be deemed to have agreed to the provisions of Agreement 18900 as fully as if that air carrier or foreign air carrier had in fact filed a properly executed counterpart to that Agreement and tariff.
49 U.S.C. Chapters 401, 411, 417.
This part sets forth the fitness data that must be submitted by applicants for certificate authority, by applicants for authority to provide service as a commuter air carrier to an eligible place, by carriers proposing to provide essential air transportation, and by certificated air carriers and commuter air carriers proposing a substantial change in operations, ownership, or management. This part also contains the procedures and filing requirements applicable to carriers that hold dormant authority.
As used in this part:
(a)
(b)
(c)
(1) An individual who is a citizen of the United States;
(2) A partnership each of whose partners is an individual who is a citizen of the United States; or
(3) A corporation or association organized under the laws of the United States or a State, the District of Columbia, or a territory or possession of the United States, of which the president and at least two-thirds of the board of directors and other managing officers are citizens of the United States, which is under the actual control of citizens of the United States, and in which at least 75 percent of the voting interest is owned or controlled by persons that are citizens of the United States.
(d)
(e)
(1) Was an eligible point under section 419 of the Federal Aviation Act of 1958 as in effect before October 1, 1988;
(2) Received scheduled air transportation at any time between January 1, 1990, and November 4, 1990; and
(3) Is not listed in Department of Transportation Orders 89-9-37 and 89-12-52 as a place ineligible for compensation under Subchapter II of Chapter 417 of the Statute.
(f)
(g)
(h)
(1) Between a place in—
(i) A State, territory, or possession of the United States and a place in the
(ii) Hawaii and another place in Hawaii through the airspace over a place outside Hawaii;
(iii) The District of Columbia and another place in the District of Columbia; or
(iv) A territory or possession of the United States and another place in the same territory or possession; and
(2) When any part of the transportation is by aircraft.
(i)
(j)
(k)
(1) Any company (including a sole proprietorship or partnership) holding more than 50 percent of the outstanding voting stock of the applicant or air carrier; and
(2) Any company (including a sole proprietorship or partnership) holding between 20 percent and 50 percent of the outstanding voting stock of the applicant or air carrier and which has significant influence over the applicant or air carrier as indicated, for example, by 25 percent representation on the board of directors, participation in policy-making processes, substantial inter-company transactions, or managerial personnel with common responsibilities in both companies.
(l)
(1) Changes in operations from charter to scheduled service, cargo to passenger service, short-haul to long-haul service, or (for a certificated air carrier) small-aircraft to large-aircraft operations;
(2) The filing of a petition for reorganization or a plan of reorganization under Chapter 11 of the federal bankruptcy laws;
(3) The acquisition by a new shareholder or the accumulation by an existing shareholder of beneficial control of 10 percent or more of the outstanding voting stock in the corporation; and
(4) A change in the president, chief executive officer or chief operating officer, and/or a change in at least half of the other key personnel within any 12-month period or since its latest fitness review, whichever is the more recent period.
(m)
An applicant for a type of certificate authority it does not currently hold or for commuter air carrier authority shall file the data set forth in paragraphs (a) through (v) of this section. In addition, the Department may require an applicant to provide additional data if necessary to reach an informed judgment about its fitness. If the applicant has previously formally filed any of the required data with the Department or with another Federal agency and they are available to the Department, and those data continue to reflect the current state of the carrier's fitness, the applicant may instead identify the data and provide a citation for the date(s) and place(s) of filing. Prior to filing any data, the applicant may contact the Air Carrier Fitness Division to ascertain what data required by this section are already
If the applicant intends to use as evidence data it has previously filed pursuant to part 241 reporting requirements and those data contain errors, the applicant must first file corrected reports in accordance with § 241.22(g).
(a) The name, address, and telephone number of the applicant.
(b) The form of the applicant's organization.
(c) The State law(s) under which the applicant is organized.
(d) If the applicant is a corporation, a statement provided by the Office of the Secretary of State, or other agent of the State in which the applicant is incorporated, certifying that the applicant corporation is in good standing.
(e) A sworn affidavit stating that the applicant is a citizen of the United States.
(f) The identity of the key personnel who would be employed by the applicant, including:
(1) Their names and addresses;
(2) The experience, expertise, and responsibilities of each;
(3) The number of shares of the applicant's voting stock held by each and the percentage of the total number of such shares issued and outstanding, and the citizenship and principal business of any person for whose account, if other than the holder, such interest is held;
(4) The citizenship of each; and
(5) A description of the officerships, directorships, shares of stock (if 10 percent or more of total voting stock outstanding), and other interests each holds or has held in any air carrier, foreign air carrier, common carrier, person substantially engaged in the business of aeronautics or persons whose principal business (in purpose or fact) is the holding of stock in or control of any air carrier, common carrier or person substantially engaged in the business of aeronautics.
(g) A list of all persons having a substantial interest in the applicant. Such list shall include:
(1) Each person's name, address and citizenship;
(2) The number of shares of the applicant's voting stock held by each such person and the corresponding percentage of the total number of such shares issued and outstanding, and the citizenship and principal business of any person for whose account, if other than the holder, such interest is held;
(3) If any two or more persons holding a substantial interest in the applicant are related by blood or marriage, such relationship(s) shall be included in the list; and
(4) If any person or subsidiary of a person having a substantial interest in the applicant is or has ever been
(i) An air carrier, a foreign air carrier, a common carrier, or
(ii) Substantially engaged in the business of aeronautics, or
(iii) An officer or director of any such entity, or
(iv) A holder of 10 percent or more of total outstanding voting stock of any such entity, the list shall describe such relationship(s).
(h) A list of the applicant's subsidiaries, if any, including a description of each subsidiary's principal business and relationship to the applicant.
(i) A list of the applicant's shares of stock in, or control of, any air carrier, foreign air carrier, common carrier, or person substantially engaged in the business of aeronautics.
(j) To the extent any relevant corporation has been engaged in any business prior to the filing of the application, each applicant shall provide:
(1) Copies of the 10K Annual Reports filed in the past 3 years by any relevant corporation required to file such reports with the Securities and Exchange Commission, and
(2) Copies of recently filed 10Q Quarterly Reports, as necessary, in order to show the financial condition and results of operations of the enterprise current to within 3 months of the date of the filing of the application.
(k) If 10K Reports are not filed with the Securities and Exchange Commission, the following, for the 3 most recent calendar or fiscal years, reflecting the financial condition and results of operations of the enterprise current to within 3 months of the date of the filing of the application:
(1) The Balance Sheet of each relevant corporation;
(2) The Income Statement of each relevant corporation;
(3) All footnotes applicable to the financial statements, including:
(i) A statement as to whether the documents were prepared in accordance with Generally Accepted Accounting Principles, and
(ii) A description of the significant accounting policies of each relevant corporation, such as for depreciation, amortization of intangibles, overhauls, unearned revenues, and cost capitalization;
(4) A statement of significant events occurring subsequent to the most recent Balance Sheet date for each relevant corporation; and
(5) A statement identifying the person who has prepared the financial statements, his or her accounting qualifications, and any affiliation he or she has with the applicant.
(l) A list of all actions and outstanding judgments for more than $5,000 against any relevant corporation, key personnel employed (or to be employed) by any relevant corporation, or person having a substantial interest in any relevant corporation, including the amount of each judgment, the party to whom it is payable, and how long it has been outstanding.
(m) The number of actions and outstanding judgments of less than $5,000 against each relevant corporation, key personnel employed (or to be employed) by any relevant corporation, or person having a substantial interest in any relevant corporation, and the total amount owed by each on such judgments.
(n) A description of the applicant's fleet of aircraft, including:
(1) The number of each type of aircraft owned, leased and to be purchased or leased;
(2) Applicant's plans, including financing plans, for the purchase or lease of additional aircraft; and
(3) A sworn affidavit stating that each aircraft owned or leased has been certified by the FAA and currently complies with all FAA safety standards.
(o) A description of the current status of all pending investigations, enforcement actions, and formal complaints filed by the Department, including the FAA, involving the applicant or any relevant corporation, any personnel employed (or to be employed) by any relevant corporation or person having a substantial interest in any relevant corporation, regarding compliance with the Statute or orders, rules, regulations, or requirements issued pursuant to the Statute, and any corrective actions taken. (If an applicant has a compliance history that warrants it, additional information may be required.)
(p) A description of all charges of unfair or deceptive or anticompetitive business practices, or of fraud, felony or antitrust violation, brought against any relevant corporation or person having a substantial interest in any relevant corporation, or member of the key personnel employed (or to be employed) by any relevant corporation in the past 10 years. Such descriptions shall include the disposition or current status of each such proceeding.
(q) A description of any aircraft accidents or incidents (as defined in the National Transportation Safety Board Regulations, 49 CFR 830.2) experienced by the applicant, its personnel, or any relevant corporation, which occurred either during the year preceding the date of application or at any time in the past and which remain under investigation by the FAA, the NTSB, or by the company itself, including:
(1) The date of the occurrence;
(2) The type of flight;
(3) The number of passengers and crew on board and an enumeration of any injuries or fatalities;
(4) A description of any damage to the aircraft;
(5) The FAA and NTSB file numbers and the status of the investigations, including any enforcement actions initiated against the carrier or any of its personnel; and
(6) Positive actions taken to prevent recurrence. (If an applicant's history of accidents or incidents warrants it, additional information may be required.)
(r) A brief narrative history of the applicant.
(s) A description of all Federal, State and foreign authority under which the applicant has conducted or is conducting transportation operations, and the identify of the local FAA office and personnel responsible for processing an
(t) A description of the service to be operated if the application is granted, including:
(1) A forecast Balance Sheet for the first normal year ending after the initially proposed operations have been incorporated, along with the assumptions underlying the accounts and amounts shown; and
(2) A forecast Income Statement, broken down by quarters, for the first year ending after the initially proposed operations are normalized, and an itemization of all pre-operating and start-up costs associated with the initiation of the proposed service. Such Income Statement shall include estimated revenue block hours (or airborne hours, for charter operators) and revenue miles by type of aircraft, number of passengers and number of tons of mail and cargo to be carried, transport revenues and an estimate of the traffic which would be generated in each market receiving the proposed service. Such statements shall also include a statement as to whether the statements were prepared on the accrual or cash basis, an explanation of how the estimated costs and revenues were developed, a description of the manner in which costs and revenues are allocated, how the underlying traffic forecasts were made, and what load factor has been assumed for the average and peak month. Pre-operating and start-up costs should include, but are not limited to, the following: Obtaining necessary government approval; establishing stations; introductory advertising; aircraft, equipment and space facility deposits and rent; training; and salaries earned prior to start-up.
(u) A signed counterpart of Agreement 18900 (OST Form 4523) as required by part 203 of this chapter.
(v) The following certification, which shall accompany the application and all subsequent written submissions filed by the applicant in connection with its application:
Pursuant to title 18 United States Code section 1001, I [the individual signing the application, who shall be a principal owner, senior officer, or internal counsel of the applicant], in my individual capacity and as the authorized representative of the applicant, have not in any manner knowingly and willfully falsified, concealed or covered up any material fact or made any false, fictitious, or fraudulent statement or knowingly used any documents which contain such statements in connection with the preparation, filing or prosecution of the application. I understand that an individual who is found to have violated the provisions of 18 U.S.C. section 1001 shall be fined nor more than $10,000 or imprisoned not more than five years, or both.
Applicants proposing to provide essential air service have been divided into two categories, and are subject to differing data submission requirements as set forth in paragraphs (a) and (b) of this section. However, if a carrier has previously filed any of the required data with the Department or other Federal agency and they are available to the Department, and these data continue to reflect the current state of the carrier's fitness, the carrier may instead identify the data and provide a citation for the date and place of filing. All carriers may contact the Air Carrier Fitness Division to ascertain what information is already available to the Department and thus may not need to be resubmitted.
(a) Carriers who propose to begin or expand non-subsidized essential air service when the incumbent leaves the market must file the following information:
(1) All of the information required under § 204.3 of this part.
(2) A description of the back-up aircraft available to the applicant, including:
(i) The number of each type of such aircraft;
(ii) The conditions under which such aircraft will be available to the carrier;
(iii) The carrier's plans for financing the acquisition or lease of such additional aircraft; and
(iv) A sworn affidavit stating that all such aircraft have been certified by the
(3) A description of the fuel available to perform the proposed essential air services and the carrier's contracts with fuel suppliers.
(4) The carrier's systemwide on-time and completion record for the preceding year and, if applicable, in the subject market(s).
(5) A list of the markets the carrier serves and the number of weekly round trips it provides in each.
(6) A description of the average number of block hours each type of aircraft is currently flown per day.
(7) An estimate of the impact the proposed essential air service would have on the carrier's utilization of its aircraft fleet.
(8) A detailed schedule of the service to be provided, including times of arrivals and departures, the aircraft to be used for each flight, and the fares to be charged.
(9) A pro-forma income statement for the proposed operation for the first annual period.
(b) Carriers filing proposals to provide subsidized service in response to an order inviting proposals shall file:
(1) All of the information required under § 204.3 of this part.
(2) All of the information required under paragraph (a) of this section.
(3) A forecast Income Statement covering the operations conducted in essential air service for the first year following the initiation of the proposed essential services. Such statement shall include:
(i) Subsidy needed;
(ii) Estimated block hours and revenue miles by type of aircraft;
(iii) Total projected revenue including volumes of passengers and freight by essential air service market and the associated fares and rates;
(iv) An explanation of the derivation of estimates of operating expenses; and
(v) A description of the manner in which costs and revenues are allocated.
(4) A traffic forecast including a load factor analysis on all segments between the small community and the hub; and an estimate of the number of seats available to and from the eligible point each day.
(a) A certificated or commuter air carrier proposing a substantial change in operations, ownership or management shall file the data set forth in § 204.3. These data must be submitted in cases where:
(1) The proposed change requires new or amended authority, or
(2) The change substantially alters the factors upon which its latest fitness finding is based, even if no new authority is required.
(b) Information which a carrier has previously formally filed with the Department, or with another Federal agency where they are available to the Department, which continues to reflect the current state of the carrier's fitness may be omitted. The carrier instead should identify the data and provide a citation for the date(s) and place(s) of filing. Prior to filing any data, the carrier may contact the Department (Air Carrier Fitness Division) to ascertain what data required by this section, if any, are already available to the Department or are not applicable to the substantial change in question and need not be included in the filing.
(c) Information filings pursuant to this section made to support an application for new or amended certificate authority shall be filed with the application and addressed to Docket Operations, M-30, U.S. Department of Transportation, Washington, DC 20590, or by electronic submission at
(d) Information filed in support of a certificated or commuter air carrier's continuing fitness to operate under its existing authority in light of substantial changes in its operations, management, or ownership, including changes that may affect the air carrier's citizenship, shall be addressed to the Chief, Air Carrier Fitness Division, Office of
Carriers proposing to make a change which would not substantially affect their operations, management, or ownership, such as certificated carriers applying for additional authority which would not substantially change their operations, will be presumed to be fit and need not file any information relating to their fitness at time of the change. However, if the Department concludes, from its own analysis or based on information submitted by third parties, that such change may bring the carrier's fitness into question, the Department may require the applicant carrier to file additional information.
(a) An air carrier that has not commenced any type of air transportation operations for which it was found fit, willing, and able within one year of the date of that finding, or an air carrier that, for any period of one year after the date of such a finding, has not provided any type of air transportation for which that kind of finding is required, is deemed no longer to continue to be fit to provide the air transportation for which it was found fit and, accordingly, its authority to provide such air transportation shall be revoked.
(b) An air carrier found fit which commences operations within one year after being found fit but then ceases operations, shall not resume operations without first filing all of the data required by § 204.3 at least 45 days before it intends to provide any such air transportation. Such filings shall be addressed to the Documentary Services Division, Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590. The Department will entertain requests for exemption from this 45-day advance filing requirement for good cause shown. If there has been no change in fitness data previously formally filed with the Department, the carrier shall file a sworn statement to that effect signed by one of its officers. The carrier may contact the Department (Air Carrier Fitness Division) to ascertain which data are already available to the Department and need not be refiled. A carrier to which this paragraph applies shall not provide any air transportation for which it is required to be found fit, willing, and able until the Department decides that the carrier continues to be fit, willing, and able to perform such air transportation. During the pendency of the Department's consideration of a data submission under this paragraph, the expiration period set out in paragraph (a) of this section shall be stayed. If the decision or finding by the Department on the issue of the carrier's fitness is favorable, the date or that decision or finding shall be the date considered in applying paragraph (a) of this section.
(c) For purposes of this section, the date of a Department decision or finding shall be the service date of the Department's order containing such decision or finding, or, in cases where the Department's decision or finding is made by letter, the date of such letter.
(d) For purposes of this section, references to operations and to the providing of air transportation shall refer only to the actual performance of flight operations under an operating certificate issued to the carrier by the FAA.
49 U.S.C. Chapters 401, 411, 413, 417.
This part contains the rules for aircraft accident liability insurance coverage needed by U.S. direct air carriers to obtain or to exercise authority from the Department to operate in interstate or foreign air transportation, and by foreign direct air carriers to operate under permit or other authority in foreign air transportation. It further requires a disclosure statement to shippers about cargo liability limits and insurance coverage for U.S. and foreign direct air carriers.
These rules apply to all U.S. direct air carriers, including commuter air carriers and air taxi operators as defined in § 298.2 of this chapter, and foreign direct air carriers, including Canadian charter air taxi operators as defined in § 294.2(c) of this chapter.
(a) A U.S. or foreign direct air carrier shall not engage in air transportation unless it has in effect aircraft accident liability insurance coverage that meets the requirements of this part for its air carrier or foreign air carrier operations. The minimum amounts of coverage required by this part may be provided either by insurance policies or by self-insurance plans. The currently effective policy of insurance or complete plan for self-insurance shall be available for inspection by the Department at the carrier's principal place of business. The current certificate of insurance or a summary of the complete self-insurance plan on file with the Department, as required by § 205.4, shall be available for public inspection at the carrier's principal place of business.
(b) For purposes of this part, a certificate of insurance is one or more certificates showing insurance by one or more insurers (excluding reinsurers) of currently effective and properly endorsed policies of aircraft accident liability insurance in compliance with this part. When more than one such insurer is providing coverage, the limits and types of liability assumed by each insurer (excluding reinsurers) shall be clearly stated in the certificate of insurance. Insurance policies and self-insurance plans named in a certificate of insurance that accompanies an application for initial registration or for operating authority shall become effective not later than the proposed starting date for air carrier operations as shown in the application.
(c) The certificate of insurance shall list the types or classes of aircraft, or the specific aircraft by FAA or foreign government registration number, with respect to which the policy of insurance applies, or shall state that the policy applies to all aircraft owned or operated by the carrier in its air transportation operations. With respect to certificates of insurance that list aircraft by government registration number, the policy or self-insurance plan shall state that, while an aircraft owned or leased by the carrier and declared in the policy is withdrawn from normal use because of its breakdown, repair, or servicing, such insurance as is provided by the policy or plan for that aircraft shall apply also to another aircraft of similar type, horsepower, and seating capacity, whether or not owned by the insured, while temporarily used as a substitute aircraft.
(d) Each certificate of insurance shall be signed by an authorized officer, agent, or other representative of the insurer or the insurance broker.
(e) Insurance coverage to meet the requirements of this part shall be obtained from one or more of the following:
(1) An insurer licensed to issue aircraft accident liability policies in any State, Commonwealth, or Territory of the United States, or in the District of Columbia;
(2) Surplus line insurers named on a current list of such insurers issued and approved by the insurance regulatory authority of any State, Commonwealth, or Territory of the United States or of the District of Columbia; or
(3) Insurers licensed or approved by a foreign government.
(a) A U.S. or foreign air carrier shall file a certificate of insurance or a complete plan for self-insurance with the Department. Each carrier shall ensure that the evidence of aircraft accident liability coverage filed with the Department is correct at all times. The Department will normally notify the carrier within 20 days of receipt if the certificate or plan does not meet the requirements of this part. Certificates of Insurance shall be filed on OST Form 6410 for U.S. air carriers, including commuter air carriers and air taxi operators, and OST Form 6411 for foreign air carriers, including Canadian air taxi operators. The Department may return the certificate or self-insurance plan to the carrier if it finds for good cause that such certificate or plan does not show adequate evidence of insurance coverage under this part. Forms may be obtained from and should be filed with the Department at the addresses specified in paragraph (c) of this section. Forms may also be obtained on the Internet at
(b) If the coverage is by type or class of aircraft or by specific aircraft, endorsements that add previously unlisted aircraft or aircraft types or classes to coverage, or that delete listed aircraft, types, or classes from coverage, shall be filed with the Department at the addresses specified in paragraph (c) of this section not more than 30 days after the effective date of the endorsements. Aircraft shall not be listed in the carrier's operations specifications with the FAA and shall not be operated unless liability insurance coverage is in force.
(c) Certificates of insurance and endorsements required in paragraphs (a) and (b) of this section shall be submitted to the Department of Transportation, Federal Aviation Administration, Program Management Branch, AFS-260, 800 Independence Avenue, SW., Washington, DC 20591. For those air carriers that have a mailing address in the State of Alaska, the forms shall be submitted to the Department of Transportation, Federal Aviation Administration, Alaskan Region Headquarters, AAL-230, 222 West 7th Avenue, Box 14, Anchorage, Alaska 99513. For Canadian air taxis, the forms shall be submitted to the Department of Transportation, Special Authorities Division, X-46, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(a) Insurance contracts and self-insurance plans shall provide for payment on behalf of the carrier, within the specific limits of liability in this section, of all sums that the carrier shall become legally obligated to pay as damages, excluding any deductible in the policy, for bodily injury to or death of a person, or for damage to the property of others, resulting from the carrier's operation or maintenance of aircraft in air transportation provided under its authority from the Department.
(b) U.S. and foreign direct air carriers, including commuter air carriers but excluding U.S. air taxi operators and Canadian charter air taxi operators, shall maintain the following coverage:
(1) Third-party aircraft accident liability coverage for bodily injury to or death of persons, including nonemployee cargo attendants, other than passengers, and for damage to property, with minimum limits of $300,000 for any one person in any one occurrence, and a total of $20,000,000 per involved aircraft for each occurrence, except that for aircraft of not more than 60 seats or 18,000 pounds maximum payload capacity, carriers need only maintain coverage of $2,000,000 per involved aircraft for each occurrence.
(2) Any such carrier providing air transportation for passengers shall, in addition to the coverage required in
(c) U.S. air taxi operators registered under part 298 shall maintain the following coverage:
(1) Third-party aircraft accident liability coverage for bodily injury to or death of persons, including nonemployee cargo attendants, other than passengers, with minimum limits of:
(i) $75,000 for any one person in any one occurrence, and a total of $300,000 per involved aircraft for each occurrence, and
(ii) A limit of a least $100,000 for each occurrence for loss of or damage to property.
(2) U.S. air taxi operators carrying passengers in air transportation shall, in addition to the coverage required in paragraph (c)(1) of this section, maintain aircraft accident liability insurance coverage for bodily injury to or death of aircraft passengers, with minimum limits of $75,000 for any one passenger, and a total per involved aircraft for each occurrence of $75,000 times 75 percent of the number of passenger seats installed in the aircraft.
(d) Canadian charter air taxi operators registered under part 294 of this chapter shall maintain the following coverage:
(1) Third-party aircraft accident liability coverage for bodily injury to or death of persons, including nonemployee cargo attendants, other than passengers, and for damage to property, with a minimum coverage of $75,000 for any one person in any one occurrence, and a total of $2,000,000 per involved aircraft for each occurrence, except that Canadian charter air taxi operators operating aircraft of more than 30 seats or 7,500 pounds maximum cargo payload capacity, and a maximum authorized takeoff weight on wheels not greater than 35,000 pounds shall maintain coverage for those aircraft of $20,000,000 per involved aircraft for each occurrence.
(2) Canadian charter air taxi operators engaging in passenger charter air service under part 294 of this chapter shall, in addition to the coverage required in paragraph (d)(1) of this section, maintain aircraft accident liability coverage for bodily injury to or death of aircraft passengers, with a minimum coverage of $75,000 for any one passenger and a total per involved aircraft for each occurrence of $75,000 times 75 percent of the total number of passenger seats installed in the aircraft.
(e) Notwithstanding paragraphs (b), (c) and (d) of this section, the carrier may be insured for a combined single limit of liability for each occurrence. The combined single-limit coverage must be not less than the combined required minimums for bodily injury and property damage coverage plus, if the aircraft is used in passenger service, the required total passenger coverages stipulated in paragraph (b) of this section for U.S. and foreign direct air carriers and commuter carriers, paragraph (c) of this section for U.S. air taxi operators, or paragraph (d) of this section for Canadian charter air taxi operators.
(f) The liability coverage shall not be contingent upon the financial condition, solvency, or freedom from bankruptcy of the carrier. The limits of the liability for the amounts required by this part shall apply separately to each occurrence. Any payment made under the policy or plan because of any one occurrence shall not reduce the coverage for payment of other damages resulting from any other occurrence.
(a) No warranty or exclusion in the policy or plan or in any endorsement or amendment to the policy or plan, nor any violation of the policy or plan by the carrier, shall remove the liability coverage required by this part, except as specifically approved by the Department. This requirement shall not limit the right of insurers to recover from the carrier for amounts paid.
(b) A policy of insurance or a self-insurance plan required by this part shall not contain the following exclusions:
(1) Violation of any safety-related requirement imposed by statute or by rule of a government agency.
(2) Liability assumed by the carrier under an agreement to raise the liability limitations of the Warsaw Convention by signing a counterpart to the agreement of carriers (such as the Montreal Agreement, 18900, as approved by Board Order E-23680, May 13, 1966, agreeing to a limit on the carrier's liability for injury or death of passengers of $75,000 per passenger), or any amendment to such agreement that may be approved by the Department and to which the carrier becomes a party.
(a) Each policy of aircraft accident liability insurance and plan for self insurance shall specify that it shall remain in force, and may not be replaced, canceled, withdrawn, or in any way modified to reduce the minimum standards set forth in this part, or to change the extent of coverage, by the insurer or the carrier, nor expire by its own terms, in regard to coverage for the carrier in its common carrier operations in air transportation, until 10 days after written notice by the insurer (in the event of replacement, by the retiring insurer), or by the insurer's representative, or by the carrier, describing the change, to the Department at the addresses specified in § 205.4(c), which 10-day notice period shall start to run from the date such notice is actually received at the Department. For purposes of this part, a policy will not be considered to have expired if the same insurer renews its coverage without reduction in the extent of coverage or amounts of coverage, and without a break in coverage, whether or not a new policy is issued, and notice to the Department is not required in that event. If the coverage being changed is by type or class of aircraft or by specific aircraft, endorsements adding or deleting specific aircraft or types or classes of aircraft, for which prior notice would be required by this paragraph, shall be filed in accordance with § 205.4(b), and prior notice of the change need not be given under this paragraph.
(b) The requirements of this section shall not apply if the policy contains a lesser time period for cancellation in a war risk exclusion. If the war risk exclusion is activated by the insurer, the insurer or its representative shall immediately notify the Department.
Every direct U.S. or foreign air carrier providing air cargo service in air transportation shall give notice in writing to the shipper, when a shipment is accepted, of the existence or absence of cargo liability insurance, and the limits on the extent of its liability, if any. The notice shall be clearly and conspicuously included on or attached to all of its rate sheets and airwaybills.
49 U.S.C. Chapters 401, 415, 417, 419.
Notwithstanding the provisions of section 41101 of the Statute, and any term, condition or limitation attached to the exercise of the privileges of an air carrier certificate of public convenience and necessity which prohibits an air carrier from engaging in air transportation between any points on its route, the air carrier may carry between such points (a) any person or persons certified by a physician to be in need of immediate air transportation in order to secure emergency medical or surgical treatment together with any necessary attendant or attendants and (b) any medical supplies certified by a physician as requiring immediate air transportation for the protection of life. Air carriers offering to provide this emergency transportation shall file appropriate tariffs pursuant to Chapter 415 of the Statute.
All air carriers are hereby exempted from the requirements of section 41902(b) of the Statute, which provides that each air carrier must periodically provide the Department and the U.S. Postal Service a listing of all of its regularly operated aircraft schedules and schedule changes, showing for each schedule the points served and the departure and arrival times.
Notwithstanding the provisions of section 41101 and Chapter 415 of the Statute and part 221 of this chapter, an air carrier holding a certificate of public convenience and necessity for the transportation of only property and mail may provide transportation to persons on regularly scheduled cargo flights for the purpose of collecting data for preparation of feature news, pictorial or like articles provided that the transportation is limited to the writer, journalist, or photographer engaged in the preparation of data for use in feature news, pictorial, or like articles which are to appear in newspapers or magazines, or on radio or television programs and which will publicize the regularly scheduled cargo operations of the carrier.
Air carriers providing air transportation pursuant to a contract with the Department of Defense are hereby exempted from Chapter 415 of the Statute, and from part 221, §§ 207.4 and 208.32, of this chapter, with respect to those services.
(a) A carrier holding an effective certificate issued under section 41102 of the Statute, when conducting operations with small aircraft, is exempt from the requirements of the Statute as set forth in subpart B of part 298 of this chapter, except section 41708 of the Statute, and is subject to the requirements set forth in the following provisions of this chapter:
(1) Part 205, with the minimum coverage requirements of § 205.5(b),
(2) Part 215,
(3) Part 298, subpart D, §§ 298.30, and 298.38, and subpart H, and
(4) Part 298, subpart F, if the certificated carrier conducts operations with small aircraft only (a certificated carrier conducting operations with both small and large aircraft is subject only to the reporting requirements contained in part 241 of this chapter).
(b) If a certificated carrier, when conducting operations with small aircraft, provides foreign air transportation that includes a segment for which tariff filing is required and another segment for which tariff filing is not required, then for through service over that routing the carrier has the option of filing a tariff or charging the sum of the applicable local rates, fares, or
49 U.S.C. 40101, 40102, 40109, 40113, 41101, 41102, 41103, 41301, 41504, 41702, 41708, 41712, 46101.
This part establishes the terms, conditions, and limitations applicable to charter air transportation conducted by air carriers holding certificates under 49 U.S.C. 41102 authorizing the operation of scheduled air transportation services.
Charter air transportation under this part shall be performed in accordance with the provisions of part 212 of this chapter.
49 U.S.C. 40101, 40102, 40109, 40113, 41101, 41102, 41103, 41301, 41504, 41702, 41708, 41712, 46101.
This part establishes the terms, conditions, and limitations applicable to charter air transportation conducted by air carriers holding certificates under 49 U.S.C. 41102 authorizing the operation of charter air transportation services.
Charter air transportation under this part shall be performed in accordance with the provisions of Part 212 of this chapter.
49 U.S.C. Chapters 401, 411, 413, 415, 417.
Nomenclature changes to part 211 appear at 61 FR 34725, July 3, 1996.
This part sets forth the filing and evidence requirements for foreign air carriers applying for authority to engage in foreign air transportation under section 41301 of Title 49 of the United States Code (Transportation).
(a) Except as provided in paragraph (b) of this section, this part applies to all foreign air carriers seeking initial foreign air carrier permits or the transfer, renewal, or amendment of an existing foreign air carrier permit.
(b) Canadian charter air taxi operators, foreign indirect air carriers of property, and foreign charter operators are not required to submit applications under this part. Instead, Canadian charter air taxi operators shall register under part 294 of this chapter, foreign indirect air carriers of property shall register under part 297 of this chapter, and foreign charter operators shall register under subpart F of part 380 of this chapter.
(a) Except as provided in paragraph (b) of this section, applicants shall follow the requirements in § 302.3 of this chapter as to execution, number of copies, and formal specifications of papers.
(b) Mexican air taxi operators filing applications for foreign air carrier permits authorizing charter flights across the Mexico-United States border with small aircraft (a maximum passenger capacity of 60 seats or less, or a maximum payload capacity of 18,000 pounds or less) shall file an original and two copies of the application. The application shall conform to the instruction document available from the Foreign Air Carrier Licensing Division, Office of International Aviation, Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(c) An application shall have consecutively numbered pages, and shall clearly describe and identify each exhibit by a separate number or symbol. All exhibits are part of the application to which they are attached.
(d) Applications shall state all weights, measures and monetary units in U.S. terms, and all text in English.
Applications shall be verified and subscribed and sworn to before a Notary Public or other officer authorized to administer oaths in the jurisdiction in which the application is executed. An application verified before a United States consular officer meets the requirements of this section.
All types of applications for foreign air carrier permits (initial, renewal, amendment, or transfer) are filed as of the date the applications are received at the Department's Docket Facility. Each applicant shall serve those persons as required in part 302, subpart B, of this chapter.
An applicant shall submit any information required by this part that is omitted from the original application, or any additional information, as an amendment to the original application. Applicants shall consecutively number amendments to applications and shall comply with the requirements of this subpart.
Where two or more applications are filed by a single carrier, the applicant may incorporate lengthy exhibits, or
The applicant shall include only significant and relevant facts in an application. Each application shall contain adequate information with respect to the evidence required in subpart C of this part. The application may contain other information and data the applicant considers necessary to explain particular circumstances.
If an oral evidentiary hearing is convened, the applicant must make available witnesses who are competent and able to testify to the accuracy of the statements and documents submitted.
A person applying for an initial foreign air carrier permit or the transfer of a permit shall submit the information listed below. The applicant must fully comply with this requirement. If the applicant is unable to respond to an item, the application shall contain an explanation, and include substitute information most closely approximating the information requested. The Department may require an applicant to provide additional information as necessary.
(a) State the name and address of the applicant, the nature of its organization (individual, partnership, corporation, etc.), and, if other than an individual, the name of the country under the laws of which it is organized and the statutory citation of such laws, if any.
(b) State the name and official address of the government air transport authority of applicant's country of citizenship having regulatory jurisdiction over applicant.
(c) Supply the following information regarding the services proposed:
(1) A complete statement of the authority sought; and
(2) A description of the services proposed, specifying:
(i) The point or points in the United States proposed to be served:
(ii) The frequency of service planned at the start of operations, indicating any seasonal variations; whether the service proposed is to be scheduled, nonscheduled or charter; whether the service would be passenger, or property and mail, or a combination; and the type of equipment (and configuration) to be used; and
(iii) A service schedule stating the manner in which the service will be operated (e.g., nonstop or multi-stop, and the identity of proposed intermediate traffic and nontraffic points).
(d) Provide the names, addresses (both residence and business), and citizenship of all Directors, Officers and key management personnel, including the President, Vice Presidents, the Directors or Supervisors of Operations, Maintenance, and Finance, and the chief pilot and chief inspector. Indicate whether any of these persons are related by blood or marriage.
(e) Provide the names and citizenship of all persons holding five percent (5%) or more of the capital stock or capital of the applicant. Also indicate the number and percentage of shares of stock or percentage of capital held by each. If five percent or more of the applicant's stock is held by a corporation or partnership, set forth the name and citizenship of each person holding five
(f) If the applicant is not wholly owned by its homeland government, state whether the applicant (each officer, director, manager, or holder of five percent or more of the capital stock) holds any interest directly or indirectly (through brokers or holding companies) in any of the entities listed below. If no interest is held, so state.
(1) Any U.S. carrier;
(2) Any other foreign air carrier;
(3) Any persons engaged in the business of aeronautics; and
(4) Any common carrier, or any person whose principal business is the holding of stock in, or control of, any air carrier.
(g) Indicate the relationship between the applicant and its homeland government. If the applicant is wholly owned or substantially owned by the government, indicate which governmental department has responsibility for managerial decisions.
(h) State whether the applicant's insurance coverage meets or exceeds the liability limits of 14 CFR part 205. State the name(s) of its insurance carrier(s).
(i) Supply certified evidence, in English, of the applicant's operating authority issued by its government that relates to the operations proposed. This evidence must include a description of the applicant's present authority, the expiration date of this authority, and the manner in which it is expected to be renewed.
(j) Summarize the operating history of the applicant. Include the types of transportation services rendered, points served, etc., from the beginning of operations to the present. Also, if the applicant is a new airline (i.e., an airline that began direct air services within the past 12 months), briefly summarize the business experience of each officer, director and key management personnel, emphasizing any air transportation experience.
(k) Provide a list of the aircraft owned, leased and operated by the applicant. State each aircraft registration number and the country of registration. If leased, state the address and citizenship of each lessor. Describe any plans for the acquisition or lease of additional aircraft if the present permit application is granted as proposed. If any of the listed aircraft will not be used exclusively by the applicant, explain its proposed use. State whether any aircraft are or will be wet-leased.
(l) State where and by whom the maintenance of the aircraft is or will be performed. State whether the applicant's maintenance program complies with the provisions of ICAO Pilots and Airmen Annexes 1, 6 (Part 1) and 7. Also state whether the applicant's home country is a contracting State to the Convention on International Civil Aviation.
(m) Briefly describe any agreements or cooperative working arrangements (e.g., block-space, wet-lease), both oral and written, entered with and between the applicant, or on behalf of the applicant, and any U.S. or foreign air carrier, affecting the proposed services to the United States that are not on file with the Department. If there are no such agreements, so state.
(n) Supply financial data summaries, setting forth in U.S. dollars the applicant's profit and loss statements and balance sheets for the 2 most recent available years (calendar or fiscal). These summaries must be accompanied by a statement from the applicant's official responsible for preparation of the summaries that the submissions are complete and accurate. These summaries must include the following data, but need not be more detailed than the financial data summaries published by ICAO:
(1) The profit and loss summary shall identify:
(i) Total air transport operating revenues (separated into three categories: passenger, cargo, and other transport revenues);
(ii) Total air transport operating expenses;
(iii) Operating result (difference between (i) and (ii));
(iv) Non-operating items; and
(v) Profit or loss after income taxes.
(2) The balance sheet summary shall state and identify:
(i) Current assets;
(ii) Flight equipment (after depreciation);
(iii) Other assets;
(iv) Total assets (sum of (i) through (iii));
(v) Current liabilities;
(vi) Other liabilities;
(vii) Long-term debt;
(viii) Capital stock;
(ix) Retained earnings (balance including capital surplus); and
(x) Total liabilities and equity (sum of (v) through (ix)).
(o) Describe the amount, type and reason for financial assistance received or expected from the applicant's home government, if any.
(p) Submit an estimate showing the total traffic and the financial results of the proposed services for the first full year of normal operations and the supporting data employed to calculate the financial forecast.
(q) If the air transportation proposed is not covered by an air transport agreement, state in narrative form each of the elements of reciprocity or comity relied upon for the requested authority. If the authority requested is governed by an agreement, state whether the applicant has been formally designated by its homeland government, and, if so, cite the diplomatic note.
(r) To the extent not described in paragraph (q), state the policy of the applicant's homeland government with respect to U.S. carriers' applications for scheduled and charter authority. Specifically state whether the homeland government grants Fifth Freedom traffic rights to U.S. carriers.
(s) For the preceeding 5 years, state whether the applicant has been involved in any safety or tariff violations or any fatal accidents. If so, furnish details.
(t) Submit 3 completed copies of OST Form 4523 (Waiver of liability limits under the Warsaw Convention).
A person applying for an amendment or renewal of a foreign air carrier permit shall submit the information listed below. The applicant must comply fully with this requirement. If the applicant is unable to respond to an item, the application shall contain an explanation and include substitute information most closely approximating the information requested. The Department may require an applicant to provide any additional information necessary.
(a) The information required in paragraphs (a), (b), (i), (o), (q), (r), and (s), of § 211.20.
(b) Except if seeking renewal of existing authority, the information specified in paragraphs (c) and (p) of § 211.20 regarding the new or altered services proposed to be operated.
(c) If the financial material for the applicant on file with the Department is more than 2 years old, financial summaries setting forth, in U.S. dollars, the applicant's profit and loss statements and balance sheets for the 2 most recent available years (calendar or fiscal) as required in paragraph (n) of § 211.20, together with the statement of completeness and accuracy required by that paragraph. If the financial material on file with the Department is 2 years old or less, the applicant may incorporate that information by reference as described in § 211.14 of this part.
(d) If the ownership and control of the applicant are substantially unchanged, so state. If a change has occurred, the applicant shall respond to the paragraph in § 211.20 that most closely relates to the change that has taken place.
(e) A statement that applicant's maintenance program continues to comply with the provisions of ICAO Pilots and Airmen Annexes 1, 6 (Part 1) and 7.
Nomenclature changes to subpart D appear at 61 FR 34725, July 3, 1996.
Foreign carriers owned and controlled by citizens of the Federated States of Micronesia, the Marshall Islands, Palau and/or the United States may, in accordance with the provisions of paragraph 5(b) of Article IX of the Federal Programs and Services Agreement, implementing section 221(a)(5) of the Compact of Free Association between the United States and those governments, apply for authority as “Freely Associated State Air Carriers.” The permit application for such authority shall be labeled on the front page, “Application for Freely Associated State Foreign Air Carrier Permit.”
The application shall include, in addition to other requirements of this part, documentation clearly establishing:
(a) That the carrier is organized under the laws of the Federated States of Micronesia, the Marshall Islands, Palau or the United States;
(b) That substantial ownership and effective control of the carrier are held by citizens of the Federated States of Micronesia, the Marshall Islands, Palau and/or the United States;
(c) That citizens of other countries do not have interests in the carrier sufficient to permit them substantially to influence its actions, or that substantial justification exists for a temporary waiver of this requirement;
(d) That the Administrator of the Federal Aviation Administration has determined that the carrier complies with such safety standards as the Administrator considers to be required.
(e) That the government or governments of the Freely Associated States concerned have consented to the carrier's operation as a “Freely Associated State Air Carrier.”
If the Department is satisfied that the applicant meets the requirements of § 211.31 (a) through (e), and that grant of all or part of the requested authority would otherwise be in the public interest, the Department may, subject to Presidential review under section 801(a) of the Federal Aviation Act, issue a “Freely Associated State Foreign Air Carrier Permit” to the applicant, including such terms, conditions or limitations as the Department may find to be in the public interest.
(a) An application under this subpart may include a request, in addition to other foreign air transportation, for authority to engage in interstate air transportation between Guam, the Commonwealth of the Northern Mariana Islands and Honolulu, Hawaii, and interstate air transportation within the Commonwealth of the Northern Mariana Islands. A request for all or part of such limited interstate air transportation authority shall be supported by documentation establishing:
(1) The impact of such interstate air transportation services on the economic projections of the carrier's proposed operations;
(2) The need for such proposed interstate air transportation by the affected U.S. points;
(3) The economic impact of such interstate air transportation on services provided by other carriers providing essential air transportation services to eligible Freely Associated State points within the scope of part 272 of this chapter.
(b) The Department may grant a Freely Associated State Air Carrier authority to engage in all or part of the interstate air transportation requested in paragraph (a) of this section provided that the Department finds:
(1) That grant of such interstate air transportation authority would be in furtherance of the objectives of the Compact of Free Association and related agreements between the United States and the Freely Associated States, and would otherwise be in the public interest; and
(2) That grant of such interstate air transportation authority would not significantly impair the economic viability of existing services providing essential air transportation to any eligible Freely Associated State point within the scope of part 272 of this chapter,
(c) The Department may, at any time, subject to Presidential review under section 41307, suspend, modify, or revoke such interstate authority if it concludes that the requirements specified in paragraph (b) of this section are not then being met.
Nothing in this section shall be construed as limiting the authority of the Department to issue a foreign air carrier permit, other than a Freely Associated State Foreign Air Carrier Permit, to a carrier owned or controlled, in whole or in part, by citizens of the Federated States of Micronesia, the Marshall Islands or Palau, that does not meet the requirements of this section.
The eligibility of a carrier owned or controlled, in whole or in part, by citizens of the Federated States of Micronesia, the Marshall Islands or Palau, respectively, for issuance of a Freely Associated State Foreign Air Carrier Permit under this subpart shall exist only for such period as subparagraphs (a), (d), and (e) (eligibility for Freely Associated State essential air transportation subsidy compensation), or subparagraph (c) (limited interstate air transportation authority), of paragraph (5) of the Agreement on Civil Aviation Economic Services and Related Programs (Article IX of the Federal Programs and Services Agreement) remain in effect between the Government of those States and the Government of the United States, insofar as authority is conferred by such permits for purposes specified in those subparagraphs.
49 U.S.C. 40101, 40102, 40109, 40113, 41101, 41103, 41504, 41702, 41708, 41712, 46101.
This part applies to all charter flights, and all other flights carrying charter passengers or cargo, in interstate and/or foreign air transportation by U.S. certificated air carriers or in foreign air transportation by foreign air carriers. It does not apply to any flights performed by a commuter air carrier, air taxi operator, or certificated air carrier operating “small aircraft” under part 298 of this chapter. Nothing in this part gives authority to operate a type or level of service not authorized by certificate, foreign air carrier permit, or exemption, except that a certificated air carrier authorized to conduct scheduled operations may conduct charter flights, in interstate and/or foreign air transportation, without limitation as to the points served.
For the purposes of this part:
(1) A “Public Charter operator” as defined in § 380.2 of this chapter, or
(2) An “Overseas Military Personnel Charter operator” as defined in § 372.2 of this chapter.
(1) Lasts more than 60 days, or
(2) Is part of a series of such leases that amounts to a continuing arrangement lasting more than 60 days.
(a) Certificated and foreign air carriers may conduct charter flights as described in this part, and may carry charter passengers on scheduled flights, or charter cargo on scheduled or nonscheduled flights (or on the main deck or in the belly of passenger charter flights), subject to the requirements of this chapter and any orders of, or specific conditions imposed by, the Department.
(b) Charter flights may be operated on a round-trip or one-way basis, with no minimum group, shipment, or contract size.
(c) Contracts to perform charter flights must be in writing and signed by an authorized representative of the certificated or foreign air carrier and the charterer prior to the operation of the flights involved. The written agreement shall include:
(i) The name and address of either the surety whose bond secures advance
(2) A statement that unless the charterer files a claim with the carrier, or, if the carrier is unavailable, with the surety, within 60 days after the cancellation of a charter trip with respect to which the charterer's advance payments are secured by the bond, the surety shall be released from all liability under the bond to such charterer for such trips.
(d) A certificated or foreign air carrier must make a reasonable effort to verify that any charterer with which it contracts, and any charter it conducts, meets the applicable requirements of this chapter.
(e) The certificated or foreign air carriers shall require full payment of the total charter price, including payment for the return portion of a round trip, or the posting of a satisfactory bond for full payment, prior to the commencement of any portion of the air transportation,
(f) A certificated or foreign air carrier operating a U.S.-originating passenger charter shall be responsible to return to his or her point of origin any passenger who purchased round trip transportation on that charter and who was transported by that carrier on his or her outbound flight; except that this provision shall not apply in cases where the return transportation is to be provided by another certificated or foreign air carrier.
(g) A certificated or foreign air carrier may not perform any charter flight for which a statement of authorization is required under § 212.9 until one has been granted by the Department. In addition, if a foreign air carrier is required to obtain a statement of authorization under paragraph (e) of that section, neither it, not any charter operator, or any other person shall advertise or sell any passenger charter services except those that have been specifically authorized by the Department.
(h) A certificated air carrier may not operate charters where such operations would result in a substantial change in the scope of its operations within the meaning of part 204 of this chapter.
(i) A certificated air carrier may not limit its baggage liability for interstate charter flights except as set forth in part 254 of this chapter.
(j) A certificated air carrier may not, except as set forth in part 121 of the Federal Aviation Regulations (14 CFR part 121), limit the availability, upon reasonable request, of air transportation and related services to a person who may require help from another person in expeditiously moving to an emergency exit for evacuation of an aircraft.
(k) A certificated air carrier holding a certificate to conduct only cargo operations may not conduct passenger charters.
(l) A certificated air carrier may not perform any charter in interstate commerce within the State of Alaska.
(m) A foreign air carrier may operate charters in foreign air transportation only to the extent authorized by its foreign air carrier permit under 49 U.S.C. 41302 or exemption authority under 49 U.S.C. 40109, and only to the extent to which such operations are consistent with the provisions of any applicable bilateral aviation undertaking.
Certificated and foreign air carriers may conduct the following charter types, subject to the provisions of this part:
(a) Affinity (pro rata) charters.
(b) Single entity charters, including:
(1) Wet leases involving the carriage of passengers and/or cargo, provided, that the wet lessee holds appropriate economic authority from the Department to conduct the proposed operations; and
(2) Charters pursuant to contracts with the Department of Defense, provided, that foreign air carriers may conduct charters for the Department of Defense only to the extent that such operations are consistent with the provisions of 49 U.S.C. 40118.
(c) Mixed charters.
(d) Gambling junket charters.
(e) Public Charters in accordance with part 380 of this chapter (including operations by educational institutions as defined in that part).
(f) Overseas military personnel charters in accordance with part 372 of this chapter.
(g) Cargo charters.
An affinity (pro rata) charter operated by a certificated or foreign air carrier must meet the following criteria:
(a) The aircraft must be chartered by an organization, no part of whose business is the formation of groups for transportation or solicitation or sale of transportation services, for the purpose of providing air transportation to its members and their immediate families.
(b) The charter must be organized by the organization itself, or by a person or company who acts not as a principal, but as an agent for the chartering organization or the certificated or foreign air carrier.
(c) No solicitation, sales, or participation may take place beyond the bona fide members of an eligible chartering organization, and their immediate families (spouse, children, and parents). All printed solicitation materials shall contain the following notice in boldface, 10-point or larger type—
Some of the Federal rules that protect against tour changes and loss of passengers' money in publicly sold charters do not apply to this charter flight.
(d) “Bona fide members” are members of an organization who: Have not joined the organization merely to travel on a charter flight; and who have been members of the chartering organization for a minimum of six months prior to the date of commencement of the affected flight;
(1) Employees of a single commercial establishment, industrial plant, or government agency, or
(2) Students and employees of a single school.
(e) The charter price due the direct air carrier shall be prorated equally among all the charter passengers, except that children under 12 may be offered discounted or free transportation.
(f) The certificated or foreign air carrier shall make reasonable efforts to assure that passengers transported meet the eligibility requirements of this section. The certificated or foreign air carrier shall also obtain (no later than the date of departure), and maintain for two years, a certification by an authorized representative of the chartering organization that all passengers are eligible for transportation under this section.
A gambling junket charter operated by a certificated or foreign air carrier must meet the following criteria:
(a) The aircraft must be chartered by
(1) A casino, hotel, or cruise line duly licensed by the government of any state, territory or possession of the United States, or by a foreign government, or
(2) An agent of such a casino, or cruise line on behalf of that casino, hotel, or cruise line.
(b) The casino, hotel, or cruise line or its agents, may not require a passenger to incur any expense in taking the trip,
(a) Certificated and foreign air carriers may sell or offer for sale, and operate, as principal, Public Charter flights under part 380 of this chapter directly to the public.
(b) Each certificated or foreign air carrier operating a charter trip under this section shall comply with all the requirements of part 380 of this chapter, except that:
(1) Those provisions of part 380 relating to the existence of a contract between a charter operator and a direct air carrier do not apply;
(2) A depository agreement shall comply with § 380.34a (d) and (f);
(3) A security agreement shall comply with § 380.34 (c) and (d); and
(i) If no depository agreement is used, protect charter participant payments (including those for ground accommodations and services) and assure the certificated or foreign air carrier's contractual and regulatory responsibilities to charter participants in an unlimited amount (except that the liability of the securer with respect to any charter participant may be limited to the charter price paid by or on behalf of such participant);
(ii) If used in combination with a depository agreement, protect charter participant payments (including those for ground accommodations and services) and assure the certificated or foreign air carrier's contractual and regulatory responsibilities to charter participants in the amount of at least $10,000 times the number of flights, except that the amount need not be more than $200,000. The liability of the securer with respect to any charter participant may be limited to the charter price paid by or on behalf of such participant.
(c) The Department reserves the right to limit or prohibit the operation of direct sales Public Charters by a foreign air carrier upon a finding that such action is necessary in the public interest.
(a) Except as provided in paragraph (c) of this section, no certificated air carrier or foreign air carrier shall perform any charter trip (other than a cargo charter trip) originating in the United States or any Overseas Military Personnel Charter trip, as defined in part 372 of this chapter, nor shall such carrier accept any advance payment in connection with any such charter trip, unless there is on file with the Department a copy of a currently effective agreement made between said carrier and a designated bank, by the terms of which all sums payable in advance to the carrier by charterers, in connection with any such trip to be performed by said carrier, shall be deposited with and maintained by the bank, as escrow holder, the agreement to be subject to the following conditions:
(1) The charterer (or its agent) shall pay the carrier either by check or money order made payable to the depository bank. Such check or money order and any cash received by the carrier from a charterer (or its agent) shall be deposited in, or mailed to, the bank no later than the close of the business day following the receipt of the check or money order or the cash, along with a statement showing the name and address of the charterer (or its agent); provided, however, that where the charter transportation to be performed by a carrier is sold through a travel agent, the agent may be authorized by the carrier to deduct its commission and remit the balance of the advance payment to the carrier either by check or money order made payable to the designated bank.
(2) The bank shall pay over to the carrier escrowed funds with respect to a specific charter only after the carrier has certified in writing to the bank that such charter has been completed; provided, however, that the bank may be required by the terms of the agreement to pay over to the carrier a specified portion of such escrowed funds, as payment for the performance of the outbound segment of a round-trip charter upon the carrier's written certification that such segment has been so completed.
(3) Refunds to a charterer from sums in the escrow account shall be paid directly to such charterer its assigns. Upon written certification from the carrier that a charter has been canceled, the bank shall turn over directly to the charterer or its assigns all escrowed sums (less any cancellation penalties as provided in the charter contract) which the bank holds with respect to such canceled charter, provided however, that in the case of a split charter escrowed funds shall be turned over to a charterer or its assigns only if the carrier's written certification of cancellation of such charter includes a specific representation that either the charter has been canceled by the carrier or, if the charter has been canceled by the charterer, that the carrier has accepted a substitute charterer.
(4) The bank shall maintain a separate accounting for each charter flight.
(5) As used in this section the term “bank” means a bank insured by the Federal Deposit Insurance Corporation.
(b) The escrow agreement required under paragraph (a) of this section shall not be effective until approved by the Department. Claims against the escrow may be made only with respect to the non-performance of air transportation.
(c) The carrier may elect, in lieu of furnishing an escrow agreement pursuant to paragraph (a) of this section, to furnish and file with the Department a surety bond with guarantees to the United States Government the performance of all charter trips (other than cargo charter trips) originating in the United States and of all overseas military personnel charter trips, as defined in part 372 of this chapter, to be performed, in whole or in part, by such carrier pursuant to any contracts entered into by such carrier. The amount of such bond shall be unlimited.
(d) The bond permitted by this section shall be in the form set forth as the appendix to this part. Such bond shall be issued by a bonding or surety company—
(1) Which is listed in Best's Insurance Reports (Fire and Casualty) with a general policyholders' rating of “A” or better or
(2) Which is listed in the U.S. Department of Treasury's notice listing companies holding Certificates of Authority as acceptable sureties on Federal bonds and as acceptable reinsuring companies, published in the
(e) The bond required by this section shall provide that unless the charterer files a claim with the carrier, or, if the carrier is unavailable, with the surety, within 60 days after cancellation of a charter trip with respect to which the charterer's advance payments are secured by the bond, the surety shall be released from all liability under the bond to such charterer for such charter trip. The contract between the carrier and the charterer shall contain notice of this provision.
(a) Certificated air carriers shall obtain a statement of authorization for
(b) Foreign air carriers shall obtain a statement of authorization for each:
(1) Fifth-, sixth- and/or seventh-freedom charter flights to or from the United States;
(2) Long-term wet lease;
(3) Charter flight for which the Department specifically requires prior authorization under paragraph (e) or (f) of this section; or
(4) Part charter.
(c) The Department may issue blanket statements of authorization to foreign air carriers to conduct fifth freedom charters. The standards for issuing such blanket authorizations shall be those stated in § 212.11. The Department may revoke any authority granted under this paragraph at any time without hearing.
(d) The Department may at any time, with or without hearing, but with at least 30 days' notice, require a foreign air carrier to obtain a statement of authorization before operating any charter flight. In deciding whether to impose such a requirement, the Department will consider (but not be limited to considering) whether the country of the carrier's nationality:
(1) Requires prior approval for third or fourth freedom charter flights by U.S. air carriers;
(2) Has, over the objection of the U.S. Government, denied rights of a U.S. air carrier guaranteed by a bilateral agreement; or
(3) Has otherwise impaired, limited, or denied the operating rights of U.S. air carriers, or engaged in unfair, discriminatory, or restrictive practices with respect to air transportation services to, from, through, or over its territory.
(e) The Department, in the interest of national security, may require a foreign air carrier to provide prior notification or to obtain a statement of authorization before operating any charter flight over U.S. territory.
(a) Application for a statement of authorization shall be submitted on OST Form 4540 except that for part charters or long-term wet leases the application may be in letter form. An application for a long-term wet lease shall describe the purpose and terms of the wet lease agreement. Except for an application for a long-term wet lease involving a codeshare agreement, an original and two copies of an application shall be submitted to the Department of Transportation, Office of International Aviation, U.S. Air Carrier Licensing Division, X-44 (for an application by a certificated air carrier), or Foreign Air Carrier Licensing Division, X-45 (for an application by a foreign air carrier), 1200 New Jersey Avenue, SE., Washington, DC 20590; an original and two copies of an application for a long-term wet lease involving a codeshare agreement shall be submitted to DOT Dockets, PL-401, 1200 New Jersey Avenue, SE., Washington, DC 20590, or by electronic submission to DOT Dockets according to procedures at the DOT Dockets website. Upon a showing of good cause, the application may be transmitted by facsimile (fax) or telegram, or may be made by telephone, provided, that in the case of a fax or telephone application, the applicant must confirm its request (by filing an original and two copies of its application as described above) within three business days.
(b) A copy of each application for a long-term wet lease shall also be served on the Director of Flight Standards Service (AFS-1), Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591, and on each certificated air carrier that is authorized to serve the general area in which the proposed transportation is to be performed.
(c)(1) Applicants for statements of authorization filed by foreign air carriers shall include documentation to establish the extent to which the country of the applicant's nationality deals with U.S. air carriers on the basis of reciprocity for similar flights, if such flights are not subject to a bilateral agreement, and
(i) The Department has not established that the country accords reciprocity;
(ii) The Department has found reciprocity defective in the most recent
(iii) Changes in reciprocity have occurred since the most recent Department finding for the country in question.
(2) Applications filed by certificated or foreign air carriers to conduct long-term wet leases shall include, for the country of the lessee's nationality, the documentation specified in paragraph (c)(1) of this section.
(d)(1) Applications shall be filed at least 5 business days before commencement of the proposed flight or flights, except as specified in paragraphs (d)(2), (d)(3), and (d)(4) of this section. Late applications may be considered upon a showing of good cause for the lateness.
(2) Applications for a part charter or for a long-term wet lease shall be filed at least 45 calendar days before the date of the first proposed flight.
(3) Applications specifically required under § 212.9(d) shall be filed at least 30 calendar days before the proposed flight or flights (10 calendar days for cargo charters), unless otherwise specified by the Department.
(4) Applications required by a Department order under § 212.9(e) shall be filed at least 14 calendar days before the proposed flight or flights, unless otherwise specified by the Department.
(5) Where an application is required by more than one provision of this part and/or order of the Department, only one application need be filed, but it must conform to the earliest applicable filing deadline.
(6) The Department may require service of applications as it deems necessary.
(e)(1) Any part in interest may file a memorandum supporting or opposing an application. Three copies of each memorandum shall be filed within 7 business days after service of the application or before the date of the proposed flight or flights, whichever is earlier. Memorandums will be considered to the extent practicable; the Department may act on an application without waiting for supporting or opposing memorandums to be filed.
(2) Each memorandum shall set forth the reasons why the application should be granted or denied, accompanied by whatever data, including affidavits, the Department is requested to consider.
(3) A copy of each memorandum shall be served on the certified or foreign air carrier applying for approval.
(f)(1) Unless otherwise ordered by the Department, each application and memorandum filed in response will be available for public inspection at the Office of International Aviation immediately upon filing. Such information with respect to codeshare applications and responsive pleadings will be available for public inspection at DOT Dockets or at the DOT Dockets website. Notice of the filing of all applications shall be published in the Department's Weekly List of Applications Filed.
(2) Any person objecting to public disclosure of any information in an application or memorandum must state the grounds for the objection in writing. If the Department finds that disclosure of all or part of the information would adversely affect the objecting person, and that the public interest does not require disclosure, it will order that the injurious information be withheld.
(a) The Department will issue a statement of authorization if it finds that the proposed charter flight, part charter, or wet lease meets the requirements of this part and that it is in the public interest. Statements of authorization may be conditioned or limited.
(b) In determining the public interest the Department will consider (but not be limited to) the following factors:
(1) The extent to which the authority sought to covered by and consistent with bilateral agreements to which the United States is a party.
(2) The extent to which an applicant foreign air carrier's home country (and, in the case of a long-term wet lease, the lessee's home country) deals with U.S. air carriers on the basis of substantial reciprocity.
(3) Whether the applicant or its agent has previously violated the provisions of this part.
(4) Where the application concerns a long-term wet lease:
(i) Whether the lessor (applicant) or its agent or the lessee (charterer) or its agent has previously violated the provisions of the Department's charter regulations.
(ii) Whether, because of the nature of the arrangement and the benefits involved, the authority sought should be the subject of a bilateral agreement.
(iii) To what extent the lessor owns and/or controls the lessee, or is owned and/or controlled by the lessee.
(c) The Department will submit any denial of an authorization specifically required of a foreign air carrier under § 212.9(d) to the President of the United States at least 10 days before the proposed departure. The denial will be subject to stay or disapproval by the President within 10 days after it is submitted. A shorter period for Presidential review may be specified by the Department where the application for authorization is not timely or properly filed. Denial of a late-filed application need not be submitted to the President. For the purposes of this paragraph, an application filed by a foreign air carrier under § 212.9(d) to conduct a cargo charter will be considered as timely filed only if it is filed at least 30 calendar days before the proposed flight, notwithstanding the 10-day filing requirement for cargo charters in § 212.10(d)(3).
(d) The Department will publish notice of its actions on applications for statements of authorization in its Weekly List of Applications Filed. Interested persons may upon request obtain copies of letters of endorsed forms advising applicants of action taken on their applications.
The Department may grant a waiver of any of the provisions of this part upon a finding that such waiver is in the public interest. A certificated or foreign air carrier may request a waiver by filing a written application with the Department, citing the specific provision to be waived and providing justification for such waiver.
Know all persons by these presents, that we __________ (Name of certificated or foreign air carrier) of __________, (City) __________ (State or Country) as Principal (hereinafter called Principal), and __________ (name of Surety) a corporation created and existing under the laws of the State of ________ (State) as Surety (hereinafter called Surety) are held and firmly bound unto the United States of America in an unlimited amount, as required by 14 CFR 212.8, for which payment, well and truly to be made, we bind ourselves and our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents.
Whereas the principal, a certificated air carrier holding a certificate of public convenience and necessity issued under 49 U.S.C. 41102, or a foreign air carrier holding a foreign air carrier permit issued under 49 U.S.C. 41302 or an exemption issued under 49 U.S.C. 40109 authorizing that foreign air carrier to engage in charter trips in foreign air transportation, is subject to rules and regulations of the Department of Transportation relating to security for the protection of charterers of civil aircraft and has elected to file with the Department of Transportation such a bond as will guarantee to the United States Government the performance of all charter trips (other than cargo charter trips) originating in the United States and of all Overseas Military Personnel Charters, as defined in 14 CFR part 372, to be performed, in whole or in part, by such certificated or foreign air carrier pursuant to contracts entered into by such carrier after the execution date of this bond, and
Whereas this bond is written to assure compliance by the Principal with rules and regulations of the Department of Transportation relating to security for the protection of charterer of civil aircraft for charter trips (other than cargo charters) originating in the United States or of Overseas Military Personnel Charter trips and shall inure to the benefit of any and all such charterers to whom the Principal may be held legally liable for any of the damages herein described.
Now, therefore, the condition of this obligation is such that if the Principal shall pay or cause to be paid to such charterer any sum or sums for which the Principal may be held legally liable by reason of the Principal's failure faithfully to perform, fulfill, and carry out all contracts made by the Principal while this bond is in effect for the performance of charter trips (other than
The liability of the Surety shall not be discharged by any payment or succession of payments hereunder in any specified amount. The surety agrees to furnish written notice to the Department of Transportation forthwith of all suits filed, judgments rendered, and payments made by said Surety under this bond.
This bond is effective the ___ day of ________, ____, 12:01 a.m., standard time at the address of the Principal as stated herein and shall continue in force until terminated as hereinafter provided. The Principal or the Surety may at any time terminate this bond by written notice to the Department of Transportation at its office in Washington, D.C., such termination to become effective thirty (30) days after actual receipt of said notice by the Department. The Surety shall not be liable hereunder for the payment of the damages hereinbefore described which arise as the result of any contracts for the performance of air transportation services made by the Principal after the termination of this bond becomes effective, as herein provided, but such termination shall not affect the liability of the Surety hereunder for the payment of any such damages arising as the result of contracts for the performance of air transportation services made by the Principal after the termination of this bond becomes effective. Liability of the Surety under this bond shall in all events be limited only to a charterer who shall within sixty (60) days after the cancellation of a charter trip with respect to which the charterer's advance payments are secured by this bond give written notice of claim to the certificated or foreign air carrier, or, if it is unavailable, to the Surety, and all liability on this bond for such charter trip shall automatically terminate sixty (60) days after the termination date thereof except for claims filed within the time provided herein.
In witness whereof, the said Principal and Surety have executed this instrument on the ___ day of ________, ____.
I declare under penalty of perjury under the laws of the United States of America that the foregoing is true and correct.
49 U.S.C. Chapters 401, 411, 413, 415, 417.
Nomenclature changes to part 213 appear at 61 FR 34725, July 3, 1996.
This regulation sets forth terms, conditions, and limitations applicable to foreign air carrier permits issued under section 41302 of Title 49 of the United States Code (Transportation) authorizing scheduled foreign air transportation. Unless such permits or the orders issuing such permits otherwise provide, the exercises of the privileges to engage in scheduled foreign air transportation granted by any such permit shall be subject to the terms, conditions, and limitations as are set forth in this part, and as may from
The Department may at any time require any foreign air carrier to file with the Department traffic data disclosing the nature and extent of such carrier's engagement in transportation between points in the United States and points outside thereof. The Department will specify the traffic data required in each such instance. Interested persons seeking reconsideration of a Department determination under this section may file a petition pursuant to Rule 14 of part 302 within 10 days after Department action.
(a) In the absence of provisions to the contrary in the permit and of Department action pursuant to this section, a foreign air carrier may determine the schedules (including type of equipment used) pursuant to which it engages in transportation between points in the United States and points outside thereof.
(b) In the case of a foreign air carrier permit for scheduled air transportation which is not the subject of an air transport agreement between the United States and the government of the holder, the Department, if it finds that the public interest so requires, may with or without hearing order the foreign air carrier to file with it within 7 days after service of such order, an original and three copies of any or all of its existing schedules of service between any point in the United States and any point outside thereof, and may require such carrier thereafter to file an original and three copies of any proposed schedules of service between such points at least 30 days prior to the date of inauguration of such service. Such schedules shall contain all schedules of aircraft which are or will be operated by such carrier between each pair of points set forth in the order, the type of equipment used or to be used, the time of arrival and departure at each point, the frequency of each schedule, and the effective date of any proposed schedule.
(c) In the case of any foreign air carrier permit for scheduled air transportation which is the subject of an air transport agreement between the United States and the government of the holder, the Department may with or without hearing issue an order, similar to that provided for in paragraph (b) of this section, if it makes the findings provided for in that subsection and, in addition, finds that the government or aeronautical authorities of the government of the holder, over the objections of the U.S. Government, have: (1) Taken action which impairs, limits, terminates, or denies operating rights, or (2) otherwise denied or failed to prevent the denial of, in whole or in part, the fair and equal opportunity to exercise the operating rights, provided for in such air transport agreement, of any U.S. air carrier designated thereunder with respect to flight operations to, from, through, or over the territory of such foreign government.
(d) The carrier may continue to operate existing schedules, and may inaugurate operations under proposed schedules 30 days after the filing of such schedules with the Department, unless the Department with or without hearing issues an order, subject to stay or disapproval by the President of the United States within 10 days after adoption, notifying the carrier that such operations, or any part of them, may be contrary to applicable law or may adversely affect the public interest. If the notification pertains to a proposed schedule, service under such schedule shall not be inaugurated; if the notification pertains to existing schedules, service under such schedules shall be discontinued on the date specified in the Department's order. Such date shall be not less than ten days after adoption of the Department's order unless affirmative Presidential approval is obtained at an earlier date.
(e) No petitions for reconsideration may be filed with respect to Department orders issued pursuant to paragraph (b), (c), or (d) of this section. Nevertheless, if the Department serves
(f) The date of service on a foreign air carrier of orders and notifications pursuant to this section shall be the date of mailing thereof, by certified or registered mail, to the agent designated by the foreign air carrier pursuant to 49 U.S.C. 46103 or, if the foreign air carrier has failed to designate an agent, the date of mailing by registered air mail to the foreign air carrier's home office.
(a)
(b)
(c)
Any violation by the foreign air carrier of applicable provisions of Subtitle VII of Title 49 of the U.S. Code or of orders, rules or regulations issued thereunder, or of the terms, conditions or limitations applicable to the exercise of the privileges granted by the permit shall constitute a failure to comply with the terms, conditions and limitations of such permit:
It shall be a condition upon the holding of a foreign air carrier permit or other authority authorizing direct foreign scheduled air transportation that the holder have and maintain in effect and on file with the Department a signed counterpart of Agreement 18900 (OST Form 4523), and a tariff (for those carriers otherwise generally required to file tariffs) that includes its provisions, and comply with all other requirements of part 203 of this chapter. That form can be obtained from the Foreign Air Carrier Licensing Division (X-45), Office of International Aviation, Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590.
This part establishes the terms, conditions, and limitations applicable to charter foreign air transportation pursuant to foreign air carrier permits authorizing the holder to engage in charter transportation only.
Charter air transportation under this part shall be performed in accordance with the provisions of part 212 of this chapter.
49 U.S.C. Chapters 401, 411, 413, 417.
This part applies to all certified air carriers, commuter air carriers, and foreign direct air carriers and to initial or amended applications for authority, applications for certificate or permit transfers or reissuances, and registration of business names.
This part sets rules under which direct air carriers may use the names in their operating authorizations and change those names. It further provides for notification to air carriers that may be affected by the use by other air carriers of the same or similar names. Its purpose is to place the responsibility for resolving private disputes about the use of similar names with the air carriers involved, through recourse to the trade names statutes and the courts. These rules do not preclude Department intervention or enforcement action should there be evidence of a significant potential for, or of actual, public confusion.
In holding out to the public and in performing air transportation services, a direct air carrier or foreign direct air carrier subject to this part shall use only the name in which its operating
(a)
(b)
The Department will compare the proposed name in any registration filed under this part or in an application for new, reissued, or transferred authority with a list of names used by existing certificated, commuter and foreign direct air carriers. The Department will notify the applicant of any other certificated, foreign or commuter carriers that may have an identical or similar name. The registrant must then notify those carriers of its registration. The notification will identify the applicant and state its proposed name or the name requested, area of operation or proposed area of operation, type of business, and other pertinent matters. The registrant must then file a certificate of service of the notification with the Department.
After completion of the filing and notification requirements of this part, the Department may acknowledge the registration by notice in the action granting the application for initial operating authority, transfer, or reissuance or by separate notice in the case of use of a trade name. Non-action under this provision shall not be construed as an adjudication of any rights or liabilities.
49 U.S.C. Chapters 401, 413, 417.
(a) As used in this part, unless the context otherwise requires:
This definition shall not be deemed to include the carriage of authorized
(b) Terms defined in section 101 of the Act have the meaning expressed in such definitions.
This part sets forth the requirements applicable to foreign air carriers for obtaining a Special Authorization from the Board with respect to any deviation from an authorized foreign air transportation route for the purpose of commingling blind sector traffic with air transportation traffic carried pursuant to a foreign air carrier permit issued by the Board. The deviation by a foreign air carrier from its authorized route for the purpose of combined carriage to or from the United States of nonrevenue or other traffic, the carriage of which does not constitute engaging in foreign air transportation, is governed by the provisions of part 375 of this chapter.
No foreign air carrier shall carry any blind sector traffic, as defined in this part, on any flight operating in air transportation pursuant to the authority of a foreign air carrier permit issued under section 402 of the Act, unless the combined carriage of such traffic has been specifically authorized by such permit, or by a Special Authorization issued under § 216.4.
(a)
(b)
(c)
(d)
(2) Applications seeking authority to engage in blind sector operations for a period less than three months shall be filed at least 20 days in advance of the proposed commencement of such operations, and memoranda in response thereto within 7 days after the date of filing thereof:
(e)
(f)
(g)
“Foreign aircraft permits” issued by the Board under the provisions of part 375 of the Board's Special Regulations, authorizing the combined carriage of blind sector traffic as defined in this part, shall continue in effect in accordance with their terms until their expiration date unless sooner terminated, revoked or modified by the Board. Such permits shall, upon the effective date of this part, be deemed to constitute a Special Authorization issued pursuant to § 216.4.
Notwithstanding the provisions of § 216.3, if within 30 days after the effective date of this part a carrier files an application for a Special Authorization to continue to perform existing blind sector operations which have been regularly performed by such carrier commencing on a date prior to August 9, 1967, such carrier may continue to engage in such blind sector operations until final decision by the Board on such application:
49 U.S.C. 329 and chapters 41102, 41301, 41708, and 41709.
As used in this part:
The definition includes, but is not limited to the following examples of passengers when traveling free or pursuant to token charges:
(1) Directors, officers, employees, and others authorized by the air carrier operating the aircraft;
(2) Directors, officers, employees, and others authorized by the air carrier or another carrier traveling pursuant to a pass interchange agreement;
(3) Travel agents being transported for the purpose of familiarizing themselves with the carrier's services;
(4) Witnesses and attorneys attending any legal investigation in which such carrier is involved;
(5) Persons injured in aircraft accidents, and physicians, nurses, and others attending such persons;
(6) Any persons transported with the object of providing relief in cases of general epidemic, natural disaster, or other catastrophe;
(7) Any law enforcement official, including any person who has the duty of guarding government officials who are traveling on official business or traveling to or from such duty;
(8) Guests of an air carrier on an inaugural flight or delivery flights of newly-acquired or renovated aircraft;
(9) Security guards who have been assigned the duty to guard such aircraft against unlawful seizure, sabotage, or other unlawful interference;
(10) Safety inspectors of the National Transportation Safety Board or the FAA in their official duties or traveling to or from such duty;
(11) Postal employees on duty in charge of the mails or traveling to or from such duty;
(12) Technical representatives of companies that have been engaged in the manufacture, development or testing of a particular type of aircraft or aircraft equipment, when the transportation is provided for the purpose of in-flight observation and subject to applicable FAA regulations;
(13) Persons engaged in promoting air transportation;
(14) Air marshals and other Transportation Security officials acting in their official capacities and while traveling to and from their official duties; and
(15) Other authorized persons, when such transportation is undertaken for promotional purpose.
(1) Passengers traveling under publicly available tickets including promotional offers (for example two-for-
(2) Passengers traveling on vouchers or tickets issued as compensation for denied boarding or in response to consumer complaints or claims;
(3) Passengers traveling at corporate discounts;
(4) Passengers traveling on preferential fares (Government, seamen, military, youth, student, etc.);
(5) Passengers traveling on barter tickets; and
(6) Infants traveling on confirmed-space tickets.
This part applies to foreign air carriers that are authorized by the Department to provide civilian passenger and/or cargo service to or from the United States, whether performed pursuant to a permit or exemption authority.
(a) Each foreign air carrier shall file BTS Form 41 Schedule T-100(f) “Foreign Air Carrier Traffic Data by Nonstop Segment and On-flight Market.” All traffic statistics shall be compiled in terms of each flight stage as actually performed.
(b) The traffic statistics reported on Schedule T-100(f) shall be accumulated in accordance with the data elements prescribed in § 217.5 of this part, and these data elements are patterned after those in section 19-5 of part 241 of this chapter.
(c) One set of Form 41 Schedule T-100(f) data shall be filed.
(d) Schedule T-100(f) shall be submitted to the Department within thirty (30) days following the end of each reporting month.
(e) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(a) The statistical classifications are designed to reflect the operating elements attributable to each distinctive class of service offered for scheduled, nonscheduled and charter service.
(b) The service classes that foreign air carriers shall report on Schedule -T-100(f) are:
(1) FScheduled Passenger/Cargo
(2) GScheduled All-Cargo
(3) LNonscheduled Civilian Passenger/Cargo Charter
(4) PNonscheduled Civilian All-Cargo Charter
(5) QNonscheduled Services (Other than Charter). This service class is reserved for special nonscheduled cargo flights provided by a few foreign air carriers under special authority granted by the Department.
(a) Within each of the service classifications prescribed in § 217.4, data shall be reported in applicable traffic elements.
(b) The statistical data to be reported on Schedule T-100(f) are:
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)
(13)
(a) If circumstances prevent the filing of a Schedule T-100(f) report on or before the due date prescribed in section 22 of part 241 of this chapter and the Appendix to § 217.10 of this part, a request for an extension must be filed with the Director, Office of Airline Information.
(b) The extension request must be received at the address provided in § 217.10 at least 3 days in advance of the due date, and must set forth reasons to justify granting an extension, and the date when the report can be filed. If a request is denied, the air carrier must submit the required report within 5 days of its receipt of the denial of extension.
The certification for BTS Form 41 Schedule T-100(f) shall be signed by an officer of the air carrier with the requisite authority over the collection of data and preparation of reports to ensure the validity and accuracy of the reported data.
Reporting guidelines and procedures for Schedule T-100(f) are prescribed in the Appendix to § 217.10 of this part.
(a) A waiver from any reporting requirement contained in Schedule T-100(f) may be granted by the Department upon its own initiative, or upon the submission of a written request of the air carrier to the Director, Office of
(b) Each request for waiver must demonstrate that: Existing peculiarities or unusual circumstances warrant a departure from the prescribed procedure or technique; a specifically defined alternative procedure or technique will result in substantially equivalent or more accurate portrayal of the operations reported; and the application of such alternative procedure will not adversely affect the uniformity in reporting applicable to all air carriers.
(a) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(b) The detailed instructions for preparing Schedule T-100(f) are contained in the appendix to this section.
(a) General instructions.
(1) Description. Form 41 Schedule T-100(f) provides flight stage data covering both passenger/cargo and all cargo operations in scheduled and nonscheduled services. The schedule is used to report all flights which serve points in the United States or its territories as defined in this part.
(2) Applicability. Each foreign air carrier holding a § 41302 permit or exemption authority shall file Schedule T-100(f).
(3) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(4) Filing period. Form 41 Schedule T-100(f) shall be filed monthly and is due at the Department thirty (30) days following the end of the reporting month to which the data are applicable.
(5) Number of copies. A single set of legible Form 41 Schedule T-100(f) data and certification shall be submitted.
(6) Foreign air carrier certification. Each foreign air carrier shall submit a certification statement (illustrated at the end of this Appendix) as an integral part of each monthly Schedule T-100(f), as prescribed in § 217.5 of this part.
(7) [Reserved]
(b) Preparation of Form 41 Schedule T-100(f):
(1) Explanation of nonstop segments and on-flight markets. There are two basic categories of data, one pertaining to nonstop segments and the other pertaining to on-flight markets. For example, the routing (A-B-C-D) consists of three nonstop segment records A-B, B-C, and C-D, and six on-flight market records A-B, A-C, A-D, B-C, B-D, and C-D.
(2) Guidelines for reporting a nonstop segment. A nonstop segment is reported when one or both points are in the United States or its territories. These data shall be merged with that for all of the other reportable nonstop operations over the same segment. Nonstop segment data must be summarized by aircraft type, under paragraph (h)(1), and class of service, paragraph (g)(1)(v).
(3) Rules for determining a reportable on-flight market. On-flight markets are reportable when one or both points are within the U.S., with the following exceptions: (i) Do not report third country to U.S. markets resulting from flight itineraries which serve a third country prior to a homeland point in flights passing through the homeland bound for the U.S.; and (ii) do not report U.S. to third country markets resulting from itineraries serving third country points subsequent to a homeland point in flights outbound from the U.S. and passing through the homeland. In reporting data pertaining to these two exceptions, the traffic moving to or from the U.S. relating to the applicable prior or subsequent third countries (referred to as “behind” or “beyond” traffic) is to be combined with the applicable foreign homeland gateway point, just as though the traffic were actually enplaned or deplaned at the homeland gateway, without disclosure of the actual prior or subsequent points. Applicable flights are illustrated in examples (6) and (7) under paragraph (c).
(c) Examples of flights. Following are some typical flight itineraries that show the reportable nonstop segment and on-flight market entries. The carrier's homeland is the key factor in determining which on-flight markets are reportable.
(1) SQ flight # 11 LAX—NRT—SIN. This is an example of a flight with an intermediate foreign country. It is not necessary to report anything on the NRT—SIN leg.
(2) SQ flight #15 LAX—HNL—TPE—SIN. This is an example of two U.S. points, an intermediate third country, and a homeland point. Information is reportable on only the on-flight markets and nonstop segments that consist of one or both U.S. points.
(3) LB flight # 902 LPB-VVI-MAO-CCS-MIA. This flight serves two homeland points and two different foreign countries before terminating in the U.S. Nonstop segment information is required only for the nonstop segment involving a U.S. point. On-flight market information is required in 4 of the 10 markets, LPB-MIA and VVI-MIA, since these involve homeland and U.S. points; MAO-MIA is necessary to show traffic carried into the U.S., and CCS-MIA for the same reason, and also because in all cases where a nonstop segment entry is required, a corresponding on-flight market entry must also be reported.
(4) LY flight #005 TLV-AMS-ORD-LAX. This flight serves a single foreign intermediate point and two U.S. points after its homeland origination. The information on the TLV-AMS leg is not reportable.
(5) QF flight #25 SYD—BNE—CNS—HNL—YVR. This flight serves three homeland points, a U.S. point, and a subsequent third country. Nonstop segment information is required on the respective legs into and out of the United States. All on-flight market entries involving the U.S. point HNL are also required. Data are not required on the homeland to homeland markets, or the homeland—third country markets.
(6) JL flight #002 HKG—NRT—SFO. This flight originates in a third country prior to the homeland. No data is required on the HKG-NRT leg, but the HKG-SFO passengers and cargo shall be shown as enplanements in the NRT-SFO on-flight market entry. These volumes are included by definition in the passenger and cargo transported volumes of the NRT-SFO nonstop segment entry.
(7) JL flight # 001 SFO-NRT-HKG. This flight is the reverse sequence of flight # 002 above; it requires a nonstop segment entry covering SFO-NRT, and a single on-flight market entry also for SFO-NRT. In this case, the on flight traffic enplaned at SFO and destined for HKG, a beyond homeland point,
(8) BA flight # 5 LHR-ANC-NRT-OSA. This example contains a single homeland point and a single U.S. point followed by two third country points. It is necessary to report the nonstop segments into and out of the U.S., and all three of the on-flight markets which have the U.S. point ANC as either an origin or destination.
(d) Provisions to reduce paperwork:
(1) Nonstop Segment Entries. The flight stage data applicable to nonstop segment entries must be summarized to create totals by aircraft equipment type, within service class, within pairs-of-points.
(2) On-flight Market Entries. The applicable on-flight market entries shall be summarized to create totals by service class within pair-of-points.
(e) Preparation of Schedule T-100 (f):
(1) Section A—Indicative and flight pattern information. A copy of Schedule T-100(f) is shown at the end of this Appendix. Section A defines the origin and destination points and the service class code to which the nonstop segment data in Section B and the on-flight market data in Section C are applicable. Section A information, along with the carrier code and report date, must be included on each schedule.
(2) Section B—Nonstop segment information. Section B of the schedule is used for reporting nonstop segment information by aircraft type. To reduce the number of schedules reported, space is provided for including data on multiple different aircraft types. Similarly, the on-flight market section has been included on a single Schedule T-100(f), along with the nonstop segment data, rather than on a separate schedule.
(3) Section C—On-flight market information. Section C of the schedule is used for reporting on-flight market data. There will always be an on-flight market that corresponds to the nonstop segment. Because the on-flight market data are reported at the service class level rather than by aircraft type, a specific flight may produce more on-flight markets than nonstop segments, (see examples in paragraph (c) of this Appendix), resulting in data reported in sections A and C only.
(f) [Reserved]
(g) Data element definitions:
(1) Service pattern information.
(i) Line A-1 Carrier code. Use the carrier code established by the Department. This code is provided to each carrier in the initial reporting letter from the Office of Airline Information (OAI). If there are any questions about these codes, contact the OAI Data Administration Division at the address in paragraph (a)(3) of this Appendix.
(ii) Line A-2 Report date. This is the year and month to which the data are applicable. For example, 200009 indicates the year 2000, and the month of September.
(iii) Line A-3 Origin airport code. This is the departure airport, where an aircraft begins a flight segment, and where the passengers originate in an on-flight market. Use the 3-letter code from the City/Airport Codes section of the
(iv) Line A-4 Destination airport code. This is the arrival airport, where an aircraft stops on a flight segment, and where passengers deplane (get off the flight) after reaching their destination in a market. Use the 3-letter code from the source described in paragraph (g)(1)(iii) of this Appendix.
(v) Line A-5 Service class code. Select one of the following single letter codes which describes the type of service being reported on a given flight operation.
(2) Nonstop segment information:
(i) Line B-1 Aircraft type code. Use the four digit numeric code prescribed in paragraph (h)(1) of this Appendix. If no aircraft type code is available, OAI will assign one. The address is in paragraph (a)(3) of this Appendix.
(ii) Line B-2 Aircraft departures performed. This is the total number of physical departures performed with a given aircraft type, within service class and pair-of-points.
(iii) Line B-3 Revenue passengers transported. This is the total number of revenue passengers transported on a given nonstop segment. It represents the total number of revenue passengers on board over the segment without regard to their actual point of enplanement.
(iv) Line B-4 Revenue freight transported. This item is the total weight in kilograms (kg) of the revenue freight transported on a given nonstop segment without regard to its actual point of enplanement.
(3) On-flight market information:
(i) Line C-1 Total revenue passengers in market. This item represents the total number of revenue passengers, within service class, that were enplaned at the origin airport and deplaned at the destination airport.
(ii) Line C-2 Total revenue freight in market. This item represents the total weight in kilograms (kg) of revenue freight enplaned at the origin and deplaned at the destination airport.
(h) [Reserved]
(i) Joint Service.
(1) The Department may authorize joint service operations between two direct air carriers. Examples of these joint service operations are:
Blocked-space agreements;
Part-charter agreements;
Code-sharing agreements;
Wet-lease agreements, and similar arrangements.
(2) Joint-service operations shall be reported on BTS Form 41 Schedules T-100 and T-100(f) by the air carrier in operational control of the flight, i.e., the air carrier that uses its flight crew to perform the operation. If there are questions about reporting a joint-service operation, contact the BTS Assistant Director—Airline Information at the address in paragraph (a)(3) of this appendix.
(j) [Reserved]
(a) Failure to file reports required by this part will subject an air carrier to civil penalties prescribed in Title 49 United States Code section 46301.
(b) Title 18 U.S.C. 1001, Crimes and Criminal Procedure, makes it a criminal offense subject to a maximum fine of $10,000 or imprisonment for not more than 5 years, or both, to knowingly and willfully make, or cause to be made, any false or fraudulent statements or representations in any matter within the jurisdiction of any agency of the United States.
Secs. 204(a), 402, Pub. L. 85-726, as amended, 72 Stat. 743, 757 (49 U.S.C. 1324, 1372).
For the purpose of this part the term
This part applies to foreign air carriers and other persons not citizens of the United States which, as lessors or lessees, enter into agreements providing for the lease of aircraft with crew to a foreign air carrier for use in foreign air transportation. For purposes of section 402 of the Act, the person who has operational control and safety responsibility is deemed to be the carrier, and is required to have appropriate operating authority.
(a) No foreign air carrier, or other person not a citizen of the United States, shall lease an aircraft with crew to a foreign air carrier for use by the latter in performing foreign air transportation unless either:
(1) The lessor holds a foreign air carrier permit issued under section 402 of the Act or an approved registration issued under part 294 of this chapter, and any statement of authorization required by part 212 of this chapter; or
(2) The Board has issued an exemption under section 416 of the Act specifically authorizing the lessor to engage in the foreign air transportation to be performed under the lease; or
(3) The Board has issued an order under § 218.6 disclaiming jurisdiction over the matter.
(b) For purposes of this part, an aircraft shall be considered to be leased with crew if:
(1) The pilot in command or a majority of the crew of the aircraft, other than cabin attendants:
(i) Is to be furnished by the lessor;
(ii) Is employed by the lessor;
(iii) Continues in the employ of the lessor in the operation of services other than those provided for in the agreement between the parties; or
(iv) Has been employed by the lessor prior to the lease, and the employment of whom by the lessee is coextensive with the period or periods for which the aircraft is available to the lessee under the lease; or
(2) The aircraft is operated under operations specifications issued to the lessor by the Federal Aviation Administration.
In any case where a foreign air carrier leases from another foreign air carrier or other person not a citizen of the United States an aircraft with crew for use in performing foreign air transportation, it shall be a condition upon the authority of the lessee to perform such foreign air transportation that compliance be achieved with the requirements of this part.
The parties to a lease with crew as described in § 218.3(b) may apply to the Board for an order disclaiming jurisdiction over the matter. The application shall be filed jointly by both parties to the lease, and shall generally conform to the procedural requirements of part 302, subpart A, of this chapter. It shall be served upon any air carrier providing services over all or any part of the route upon which air transportation services will be provided pursuant to the agreement. The application should set forth in detail all evidence
If the Board finds that true operational control and safety responsibility will be vested in the lessee and not in the lessor (i.e., that the lease transaction is in substance a true lease of aircraft rather than a charter or series of charters), and that the performance of the operations provided for in such lease will not result in the lessor's being engaged in foreign air transportation, it will issue an order disclaiming jurisdiction over the matter. Otherwise the application for disclaimer of jurisdiction will be denied.
Whether under a particular lease agreement the lessor of the aircraft is engaged in foreign air transportation is a question of fact to be determined in the light of all the facts and circumstances. However, in circumstances where the lessor furnishes both the aircraft and the crew, there is a presumption that true operational control and safety responsibility are exercised by the lessor, and that the agreement constitutes a charter arrangement under which the lessor is engaged in foreign air transportation. The burden shall rest upon the applicants for disclaimer of jurisdiction in each instance to demonstrate by an appropriate factual showing that the operation contemplated will not constitute foreign air transportation by the lessor.
49 U.S.C. 40101, 40109, 40113, 46101, 46102, chapter 411, chapter 413, chapter 415 and chapter 417, subchapter I.
All tariffs and amendments to tariffs of air carriers and foreign air carriers filed with the Department pursuant to chapter 415 of the statute shall be constructed, published, filed, posted and kept open for public inspection in accordance with the regulations in this part and orders of the Department.
(a)
(2) Tariffs shall be filed, and provided in such form and manner, and shall contain such information as the Department shall by regulation or order prescribe. Any tariff so filed which is not consistent with chapter 415 of the statute and such regulations and orders may be rejected. Any tariff so rejected shall be void, and may not be used.
(b)
(c)
(d)
(1) Part 291, Domestic Cargo Transportation;
(2) Part 296, Indirect Air Transportation of Property;
(3) Part 297, Foreign Air Freight Forwarders and Foreign Cooperative Shippers Association;
(4) Part 298, Exemption for Air Taxi Operations, except to the extent noted in § 298.11(b);
(5) Part 380, Public Charters;
(6) Part 207, Charter Trips and Special Services;
(7) Part 208, Terms, Conditions, and Limitations of Certificates to Engage in Charter Air Transportation;
(8) Part 212, Charter Trips by Foreign Air Carriers;
(9) Part 292, International Cargo Transportation, except as provided in part 292.
(10) Part 293 International Passenger Transportation, except as provided in part 293.
As used in this part, terms shall be defined as follows:
(1) The electronically filed tariff data submitted to the Department pursuant to this part and Department orders, and
(2) The Departmental approvals, disapprovals, and other actions, as well as any Departmental notation concerning such approvals, disapprovals, or other actions, that subpart R of this part requires the filer to maintain in its database.
All tariffs and other documents and material filed with the Department pursuant to this part shall be in the English language.
Tariff publications shall not contain fares or charges, or their governing provisions, applicable to foreign air transportation which the issuing or participating carriers are not authorized by the Department to perform, except where the Department expressly requests or authorizes tariff publications to be filed prior to the Department's granting authority to perform the foreign air transportation covered by such tariff publications. Any tariff publication filed pursuant to such express request or authorization which is not consistent with chapter 415 and this part may be rejected; any tariff publication so rejected shall be void.
(a)
(1) Local fares of such carrier only, and provisions governing such local fares, and/or
(2) Joint fares which apply jointly via such issuing carrier in connection with other carriers (participating in the tariff publications under authority of their concurrences given to the issuing carrier as provided in § 221.140) and provisions governing such joint fares. Provisions for account of an individual participating carrier may be published
(3) Rules and regulations governing foreign air transportation to the extent provided by this part and/or Department order. Rules and regulations may be published in separate governing tariffs, as provided in subpart G.
(b)
An agent may issue and file, in his or its own name, tariff publications naming local fares and/or joint fares, and provisions governing such fares, and rules and regulations governing foreign air transportation to the extent provided by this part and/or Department order, for account of carriers participating in such tariff publications, under authority of their powers of attorney given to such issuing agent as provided in § 221.150. The issuing agent shall file such tariff publications with the Department on behalf of all carriers participating therein. Only one issuing agent may act in issuing and filing each such tariff publication.
(a)
(b)
(c)
(d)
(e)
(1) Such explanatory statements regarding the fares, charges, rules or other provisions contained in the tariff as may be necessary to remove all doubt as to their application.
(2) All of the terms, conditions, or other provisions which affect the fares or charges for air transportation named in the tariff.
(3) All provisions and charges which in any way increase or decrease the amount to be paid by any passenger, or which in any way increase or decrease the value of the services rendered to the passenger.
(f)
(g)
(h)
(i) Each tariff shall include:
(1) A prominent D.O.T. or other number identifying the tariff in the sequence of tariffs published by the carrier or issuing agent;
(2) The name of the issuing carrier or agent;
(3) The cancellation of any tariffs superseded by the tariff;
(4) A description of the tariff contents, including geographic coverage;
(5) Identification by number of any governing tariffs;
(6) The date on which the tariff is issued;
(7) The date on which the tariff provisions will become effective; and
(8) the expiration date, if applicable to the entire tariff.
(a) Fares tariffs, including associated data, shall be filed electronically in conformity with subpart R. Associated data includes arbitraries, footnotes, routing numbers and fare class explanations. See § 221.202(b)(8).
(b) Upon application by a carrier, the Department's Office of International Aviation shall have the authority to waive the electronic filing requirement in this paragraph and in Subpart R in whole or in part, for a period up to one year, and to permit, under such terms and conditions as may be necessary to carry out the purposes of this part, the applicant carrier to file fare tariffs in a paper format. Such waivers shall only be considered where electronic filing, compared to paper filing, is impractical and will produce a significant economic hardship for the carrier due to the limited nature of the carrier's operations subject to the requirements of this part, or other unusual circumstances. Paper filings pursuant to this paragraph shall normally conform to the requirements of § 221.195 and other applicable requirements of this part.
(a) Tariff rules and regulations governing passenger fares and services other than those subject to § 221.30 may be filed electronically in conformity with subpart R. Such filings shall conform to criteria approved by the Department's Office of International Aviation as provided in § 221.180 and shall contain at a minimum the information required by § 221.202(b)(9).
(b) Applications for special tariff permission may be filed electronically, as provided in § 221.212.
(c) Tariff publications and applications for special tariff permission covered by paragraphs (a) and (b) of this section may be filed in a paper format, subject to the requirements of this part and Department orders.
(a) In addition to the general requirements in § 221.20, the rules and regulations of each tariff shall contain:
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(b) [Reserved]
(a)
(1) The carrier or carriers performing the transportation,
(2) The point or points of interchange between carriers if the route is a joint route (via two or more carriers),
(3) The intermediate points served on the carrier's or carriers' routes applicable between the origin and destination
(b)
(a)
(b)
(1) The fares and charges stated in currencies of countries other than the United States are substantially equivalent in value to the respective fares and charges stated in cents or dollars of the United States.
(2) Each record containing fares and charges shall clearly indicate the respective currencies in which the fares and charges thereon are stated, and
(3) The fares and charges stated in cents or dollars of the United States are published separately from those stated in currencies of other countries. This shall be done in a systematic manner and the fares and charges in the respective currencies shall be published in separate records.
(a)
(b)
Tariffs shall specify whether or not the fares therein include services in addition to airport-to-airport transportation.
(a)
(b) A tariff may provide that fares from (or to) particular points shall be determined by the addition of add-ons to, or the deduction of add-ons from, fares therein which apply from (or to) a base point. Provisions for the addition or deduction of such add-ons shall be shown either directly in connection with the fare applying to or from the base point or in a separate provision which shall specifically name the base point. The tariff shall clearly and definitely state the manner in which such add-ons shall be applied.
(c)
(a) Fares for foreign air transportation of persons or property shall not be stated in the form of percentages, multiples, fractions, or other relationships to other fares except to the extent authorized in paragraphs (b), (c), and (d) of this section with respect to passenger fares and baggage charges.
(b) A basis of fares for refund purposes may be stated, by rule, in the form of percentages of other fares.
(c) Transportation rates for the portion of passengers' baggage in excess of the baggage allowance under the applicable fares may be stated, by rule, as percentages of fares.
(d) Children's, infants' and senior citizen's fares, may be stated, by rule, as percentages of other fares published specifically in dollars and cents (hereinafter referred to as base fares): Provided, that:
(1) Fares stated as percentages of base fares shall apply from and to the same points, via the same routes, and for the same class of service and same type of aircraft to which the applicable base fares apply, and shall apply to all such base fares in a fares tariff.
(2) Fares shall not be stated as percentages of base fares for the purpose of establishing fares applying from and to points, or via routes, or on types of aircraft, or for classes of service different from the points, routes, types of aircraft, or classes of service to which the base fares are applicable.
The publication of fares or charges of a carrier which duplicate or conflict with the fares of the same carrier published in the same or any other tariff for application over the same route or routes is hereby prohibited.
Where no applicable local or joint fare is provided from point of origin to point of destination over the route of movement, whichever combination of applicable fares provided over the route of movement produces the lowest charge shall be applicable, except that a carrier may provide explicitly that a fare cannot be used in any combination or in a combination on particular traffic or under specified conditions, provided another combination is available.
(a)
(b)
(c)
(1) If such reference to a separate governing tariff does not apply for account of all participating carriers and is restricted to apply only in connection with local or joint fares applying over routes consisting of only particular carriers, only the carriers for whom such reference is published are required to be shown as participating carriers in the governing tariff to which such qualified reference is made.
(2) [Reserved]
(d)
Instead of being included in the fares tariffs, the rules and regulations governing foreign air transportation required to be filed by §§ 221.20 and 221.30 and/or Department order which do not govern the applicability of particular
Carriers may publish rules and regulations governing the transportation of explosives and other dangerous or restricted articles in separate governing tariffs, conforming to this subpart, instead of being included in the fares tariffs or in the governing rules tariff authorized by § 221.61. This separate governing tariff shall contain no other rules or governing provisions.
Subject to approval of the Department, carriers may publish other types of governing tariffs not specified in this subpart, such as routing guides.
A tariff shall be amended only by the carrier or agent who issued the tariff (except as otherwise authorized in subparts P and Q).
Amendments to tariffs shall identify with specificity and clarity the material being amended and the changes being made. Amendments to paper tariffs shall be accomplished by reissuing each page upon which a change occurs with the change made and identified by uniform amendment symbols. Each revised page shall identify and cancel the previously effective page, show the effective date of the previous page, and show the intended effective date of the revised page. Amendments in electronic format shall conform to the requirements of § 221.202 and other applicable provisions of subpart R.
Any fares, rules, or other tariff provisions which have been canceled or which have expired may be reinstated only by republishing such provisions and posting and filing the tariff publications (containing such republished provisions) on lawful notice in the form and manner required by this part.
(a)
(b)
(c)
(d)
(a)
(b) The suspension supplement shall not contain an effective date and it shall contain the suspension notice required by paragraph (c) of this section.
(c)
(1) Indicate what particular fares, charges, or other tariff provisions are under suspension,
(2) State the date to which such tariff matter is suspended,
(3) State the Department's docket number and order number which suspended such tariff matter, and
(4) Give specific reference to the tariffs (specifying their D.O.T. or other identifying numbers), original or revised records and paragraphs or provisions which contain the fares, charges, or other tariff provisions continued in effect.
When tariff provisions continued in effect by a suspension are reissued during the period of such suspension, the termination of the suspension and the coming into effect of the suspended matter will not accomplish the cancellation of such reissued matter. In such circumstances, prompt action shall be taken by the issuing agent or carrier to cancel such reissued provisions upon the termination of the suspension in order that they will not conflict with the provisions formerly under suspension.
(a) When the Department vacates an order which suspended certain tariff matter in full or in part, such matter will not become effective until the termination of the suspension period unless the issuing agent or carrier amends the pertinent tariffs in the manner prescribed in this subpart (except as provided in paragraph (b) of this section).
(b) If the Department vacates its suspension order prior to the original published effective date of the tariff provisions whose suspension is vacated, such provisions will become effective on their published effective date.
(a)
(b)
(a)
(1) At least 30 days before they are to become effective, for tariffs stating a passenger fare within the zone created by section 41509(e) of the statute or stating a rule that affects only such a fare;
(2) At least 25 days before they are to become effective, for matching tariffs that are to become effective on the same date as the tariff to be matched and that meet competition as described in § 221.94(c)(1)(v); and
(3) At least 60 days before they are to become effective, for all other tariffs.
(b)
(c)
Tariff publications will be received for filing only by delivery thereof to the Department electronically, through normal mail channels, or by delivery thereof during established business hours directly to that office of the Department charged with the responsibility of processing tariffs. No tariff publication will be accepted by the Department unless it is delivered free from all charges, including claims for postage.
Two copies of each paper tariff, tariff revision and adoption notice to be filed shall be sent to the Office of International Aviation, Department of Transportation, Washington, DC 20428. All such copies shall be included in one package and shall be accompanied by a letter of tariff transmittal.
When a tariff is filed on behalf of a carrier participating therein under authority of its concurrence or power of attorney, such concurrence or power of attorney shall, if not previously filed with the Department, be transmitted at the same time such tariff is submitted for filing.
When a tariff is filed with the Department which contains new or changed local or joint fares or charges for foreign air transportation, or new or changed classifications, rules, regulations, or practices affecting such fares or charges, or the value of the service thereunder, the issuing air carrier, foreign air carrier, or agent shall submit with the filing of such tariff:
(a) An explanation of the new or changed matter and the reasons for the filing, including (if applicable) the basis of rate making employed. Where a tariff is filed pursuant to an intercarrier agreement approved by the Department, the explanation shall identify such agreement by DOT Docket number, DOT order of approval number, IATA resolution number, or if none is designated, then by other definite identification. Where a tariff is filed on behalf of a foreign air carrier pursuant to a Government order, a copy of such order shall be submitted with the tariff.
(b) Appropriate Economic data and/or information in support of the new or changed matter.
(c)
(i) In response to Department orders or specific policy pronouncements of the Department directly related to such new or changed matter;
(ii) Pursuant to an intercarrier agreement approved by the Department setting forth the fares, charges (or specific formulas therefor) or other matter: Provided that the changes are submitted with the number of the DOT order of approval and fully comply with any conditions set forth in that order;
(iii) To the extent fares for scheduled passenger service are within a statutory or Department-established zone of fare flexibility; and
(iv) To meet competition: Provided, that
(A) Changed matter will be deemed to have been filed to meet competition only when it effects decreases in fares or charges and/or increases the value of service so that the level of the fares or charges and the services provided will be substantially similar to the level of fares or charges and the services of a competing carrier or carriers.
(B) New matter will be deemed to have been filed to meet competition only when it establishes or affects a
(C) When new or changed matter is filed to meet competition over a portion of the filing air carrier's system and is simultaneously made applicable to the balance of the system, such matter, insofar as it applies over the balance of the system, will be deemed to be within the exception in this paragraph (c)(1)(iv) of this section only if such carrier submits an explanation as to the necessity of maintaining uniformity over its entire system with respect to such new or changed matter.
(D) In any case where new or changed matter is filed to meet competition, the filing carrier or agent must supply, as part of the filing justification, the complete tariff references which will serve to identify the competing tariff matter which the tariff purports to meet. In such case the justification or attachment shall state whether the new or changed matter is identical to the competing tariff matter which it purports to meet or whether it approximates the competing tariff matter. If the new or changed matter is not identical, the transmittal letter or attachment shall contain a statement explaining, in reasonable detail, the basis for concluding that the tariff publication being filed is substantially similar to the competing tariff matter.
(2) [Reserved]
Carriers must make tariff information available to the general public, and in so doing must comply with either:
(a) Sections 221.101, 221.102, 221.103, 221.104, 221.105, and 221.106, or
(b) Sections 221.105, 221.106 and 221.107 of this subpart.
(a) Each carrier shall make available for public inspection at each of its stations, offices, or other locations at which tickets for passenger transportation are sold and which is in charge of a person employed exclusively by the carrier, or by it jointly with another person, all tariffs applicable to passenger traffic from or to the point where such station, office, or location is situated, including tariffs covering any terminal services, charges, or practices whatsoever, which apply to passenger traffic from or to such point.
(b) A carrier will be deemed to have complied with the requirement that it “post” tariffs, if it maintains at each station, office, or location a file in complete form of all tariffs required to be posted; and in the case of tariffs involving passenger fares, rules, charges or practices, notice to the passenger as required in § 221.105.
(c) Tariffs shall be posted by each carrier party thereto no later than the filed date designated thereon except that in the case of carrier stations, offices or locations situated outside the United States, its territories and possessions, the time shall be not later than five days after the filed date, and except that a tariff which the Department has authorized to be filed on shorter notice shall be posted by the carrier on like notice as authorized for filing.
Each file of tariffs shall be kept in complete and accessible form. Employees of the carrier shall be required to give any desired information contained in such tariffs, to lend assistance to seekers of information therefrom, and to afford inquirers opportunity to examine any of such tariffs without requiring the inquirer to assign any reason for such desire.
Each carrier shall cause to be displayed continuously in a conspicuous public place at each station, office, or location at which tariffs are required to be posted, a notice printed in large type reading as follows:
All the currently effective passenger tariffs to which this company is a party and all passenger tariff publications which have
In addition, a complete file of all tariffs of this company, with indexes thereof, is maintained and kept available for public inspection at. (Here indicate the place or places where complete tariff files are maintained, including the street address, and where appropriate, the room number.)
(a)(1) In addition to the other requirements of this subpart, each air carrier and foreign air carrier which, to any extent, avails itself of the limitation on liability to passengers provided by the Warsaw Convention, shall, at the time of delivery of the ticket, furnish to each passenger whose transportation is governed by the Convention and whose place of departure or place of destination is in the United States, the following statement in writing:
Passengers embarking upon a journey involving an ultimate destination or a stop in a country other than the country of departure are advised that the provisions of a treaty known as the Warsaw Convention may be applicable to their entire journey including the portion entirely within the countries of departure and destination. The Convention governs and in most cases limits the liability of carriers to passengers for death or personal injury to approximately $10,000.
Additional protection can usually be obtained by purchasing insurance from a private company. Such insurance is not affected by any limitation of the carrier's liability under the Warsaw Convention. For further information please consult your airline or insurance company representative.
(2) Provided, however, That when the carrier elects to agree to a higher limit of liability to passengers than that provided in Article 22(1) of the Warsaw Convention, such statement shall be modified to reflect the higher limit. The statement prescribed herein shall be printed in type at least as large as 10-point modern type and in ink contrasting with the stock on:
(i) Each ticket;
(ii) A piece of paper either placed in the ticket envelope with the ticket or attached to the ticket; or
(iii) The ticket envelope.
(b) Each air carrier and foreign air carrier which, to any extent, avails itself of the limitation on liability to passengers provided by the Warsaw Convention, shall also cause to be displayed continuously in a conspicuous public place at each desk, station, and position in the United States which is in the charge of a person employed exclusively by it or by it jointly with another person, or by any agent employed by such air carrier or foreign air carrier to sell tickets to passengers whose transportation may be governed by the Warsaw Convention and whose place of departure or destination may be in the United States, a sign which shall have printed thereon the statement prescribed in paragraph (a) of this section: Provided, however, That an air carrier, except an air taxi operator subject to part 298 of this subchapter, or foreign air carrier which provides a higher limitation of liability than that set forth in the Warsaw Convention and has signed a counterpart of the agreement among carriers providing for such higher limit, which agreement was approved by the Civil Aeronautics Board by Order E-23680, dated May 13, 1966 (31 FR 7302, May 19, 1966), may use the alternate form of notice set forth in the proviso to § 221.106(a) of this chapter in full compliance with the posting requirements of this paragraph. And provided further, That an air taxi operator subject to part 298 of this subchapter, which provides a higher limitation of liability than that set forth in the Warsaw Convention and has signed a counterpart of the agreement among carriers providing for such higher limit, which agreement was approved by the Civil Aeronautics Board by Order E-23680, dated May 13, 1966 (31 FR 7302, May 19, 1966), may use the following notice in the manner prescribed by this paragraph in full compliance with the posting requirements of this paragraph. Such statements shall be printed in bold faced type at least one-fourth of an inch high.
Passengers traveling to or from a foreign country are advised that airline liability for death or personal injury and loss or damage to baggage may be limited by the Warsaw Convention and tariff provisions. See the notice with your ticket or contact your airline ticket office or travel agent for further information.
(a)(1) Each air carrier and foreign air carrier which, to any extent, avails itself of limitations on liability for loss of, damage to, or delay in delivery of baggage shall cause to be displayed continuously in a conspicuous public place at each desk, station, and position in the United States which is in the charge of a person employed exclusively by it or by it jointly with another person, or by any agent employed by such air carrier or foreign air carrier to sell tickets to persons or accept baggage for checking, a sign which shall have printed thereon the following statement:
For most international travel (including domestic portions of international journeys) liability for loss, delay, or damage to baggage is limited to approximately $9.07 per pound for checked baggage and $400 per passenger for unchecked baggage unless a higher value is declared and an extra charge is paid. Special rules may apply for valuables. Consult your carrier for details.
(2) Provided, however, That an air carrier or foreign air carrier which provides a higher limitation of liability for death or personal injury than that set forth in the Warsaw Convention and has signed a counterpart of the agreement approved by the Civil Aeronautics Board by Order E-23680, dated May 13, 1966 (31 FR 7302, May 19, 1966), may use the following notice in full compliance with the posting requirements of this paragraph and of § 221.105(b):
Airline liability for death or personal injury may be limited by the Warsaw Convention and tariff provisions in the case of travel to or from a foreign country.
For most international travel (including domestic portions of international journeys) liability for loss, delay or damage to baggage is limited to approximately $9.07 per pound for checked baggage and $400 per passenger for unchecked baggage unless a higher value is declared and an extra charge is paid. Special rules may apply to valuable articles.
See the notice with your tickets or consult your airline or travel agent for further information.
(3) Provided, however, That carriers may include in the notice the parenthetical phrase “($20.00 per kilo)” after the phrase “$9.07 per pound” in referring to the baggage liability limitation for most international travel. Such statements shall be printed in bold-face type at least one-fourth of an inch high and shall be so located as to be clearly visible and clearly readable to the traveling public.
(b)(1) Each air carrier and foreign air carrier which, to any extent, avails itself of limitations of liability for loss of, damage to, or delay in delivery of, baggage shall include on or with each ticket issued in the United States or in a foreign country by it or its authorized agent, the following notice printed in at least 10 point type:
For most international travel (including domestic portions of international journeys) liability for loss, delay, or damage to baggage is limited to approximately $9.07 per pound for checked baggage and $400 per passenger for unchecked baggage unless a higher value is declared in advance and additional charges are paid. Excess valuation may not be declared on certain types of valuable articles. Carriers assume no liability for fragile or perishable articles. Further information may be obtained from the carrier.
(2) Provided, however, That carriers may include in their ticket notice the parenthetical phrase “($20.00 per kilo)” after the phrase “$9.07 per pound” in referring to the baggage liability limitation for most international travel.
(c) It shall be the responsibility of each carrier to insure that travel agents authorized to sell air transportation for such carrier comply with the notice provisions of paragraphs (a) and (b) of this section.
(d) Any air carrier or foreign air carrier subject to the provisions of this
(e) The requirements as to time and method of delivery of the notice (including the size of type) specified in paragraphs (a) and (b) of this section and the requirement with respect to travel agents specified in paragraph (c) of this section may be waived by the Department upon application and showing by the carrier that special and unusual circumstances render the enforcement of the regulations impractical and unduly burdensome and that adequate alternative means of giving notice are employed.
(f) Applications for relief under paragraphs (d) and (e) of this section shall be filed with the Department's Office of International Aviation not later than 15 days before the date on which such relief is requested to become effective.
(g) Notwithstanding any other provisions of this section, no air taxi operator subject to part 298 of this subchapter shall be required to give the notices prescribed in this section, either in its capacity as an air carrier or in its capacity as an agent for an air carrier or foreign air carrier.
(a)
(2) Each carrier shall make the full text of all terms that are incorporated in a contract of carriage readily available for public inspection at each airport or other ticket sales office of the carrier: Provided, That the medium,
(3) Each carrier shall display continuously in a conspicuous public place at each airport or other ticket sales office of the carrier a notice printed in large type reading as follows:
All passenger (and/or cargo as applicable) contract terms incorporated into the contract of carriage to which this company is a party are available in this office. These provisions may be inspected by any person upon request and for any reason. The employees of this office will lend assistance in securing information, and explaining any terms.
In addition, a file of all tariffs of this company, with indexes thereof, from which incorporated contract terms may be obtained is maintained and kept available for public inspection at. (Here indicate the place or places where tariff files are maintained, including the street address and, where appropriate, the room number.)
(4) Each carrier shall provide to the passenger a complete copy of the text of any/all terms and conditions applicable to the contract of carriage, free of charge, immediately, if feasible, or otherwise promptly by mail or other delivery service, upon request at any airport or other ticket sales office of the carrier. In addition, all other locations where the carrier's tickets may be issued shall have available at all times, free of charge, information sufficient to enable the passenger to request a copy of such term(s).
(b)
(1) The contract of carriage may incorporate terms and conditions by reference; passengers may inspect the full text of each applicable incorporated term at any of the carrier's airport locations or other ticket sales offices of the carrier; and passengers, shippers and consignees have the right to receive, upon request at any airport or other ticket sales office of the carrier, a free copy of the full text of any/all such terms by mail or other delivery service;
(2) The incorporated terms may include, among others, the terms shown in paragraphs (b)(2) (i) through (iv) of this section. Passengers may obtain a concise and immediate explanation of the terms shown in paragraphs (b)(2) (i) through (iv) of this section from any
(i) Limits on the carrier's liability for personal injury or death of passengers (subject to § 221.105), and for loss, damage, or delay of goods and baggage, including fragile or perishable goods.
(ii) Claim restrictions, including time periods within which passengers must file a claim or bring an action against the carrier for its acts or omissions or those of its agents.
(iii) Rules about re-confirmations or reservations, check-in times, and refusal to carry.
(iv) Rights of the carrier and limitations concerning delay or failure to perform service, including schedule changes, substitution of alternate carrier or aircraft, and rerouting.
(c)
(d)
(a) Each carrier required to file tariffs in accordance with this part shall make available to any person so requesting a subscription service as described in paragraph (b) of this section for its passenger tariffs issued by it or by a publishing agent on its behalf.
(b) Under the required subscription service one copy of each new tariff publication, including the justification required by § 221.94, must be transmitted to each subscriber thereto by first-class mail (or other equivalent means agreed upon by the subscriber) not later than one day following the time the copies for official filing are transmitted to the Department. The subscription service described in this section shall not preclude the offering of additional types of subscription services by carriers or their agents.
(c) The carriers or their publishing agents at their option may establish a charge for providing the required subscription service to subscribers: Provided, That the charge may not exceed a reasonable estimate of the added cost of providing the service.
The Department may reject any tariff which is not consistent with section 41504 of the statute, with the regulations in this part, or with Department orders.
When a tariff is rejected, the issuing carrier or agent thereof will be notified electronically or in writing that the tariff is rejected and of the reason for such rejection.
A tariff rejected by the Department is void and is without any force or effect whatsoever. Such rejected tariff must not be used.
(a)
(b)
(1)
(2)
(3)
(4) The fact that a passenger fare is within a statutory or Department-established zone of fare flexibility constitutes grounds for approving an application for Special Tariff Permission to file a tariff stating that fare and any rules affecting them exclusively, on less than statutory notice. The Department's policy on approving such applications is set forth in § 399.35 of this chapter.
(5)
(c)
(a)
(b)
(c)
(d)
(1) To offer passenger fares that would be outside a Department-established zone of price flexibility or, in markets for which the Department has not established such a zone, outside the statutory zone of price flexibility; or
(2) To file any price increase or rule change that the carrier believes is likely to be controversial.
(e)
Each Special Tariff Permission to file fares, or other tariff provisions on less than statutory notice shall be used in its entirety as granted. If it is not desired to use the permission as granted, and lesser or more extensive or different permission is desired, a new application for Special Tariff Permission conforming with § 221.121 in all respects and referring to the previous permission shall be filed.
If a tariff containing matter issued under Special Tariff Permission is rejected, the same Special Tariff Permission may be used in a tariff issued in lieu of such rejected tariff provided that such re-use is not precluded by the terms of the Special Tariff Permission, and is made within the time limit thereof or within seven days after the date of the Department's notice of rejection, whichever is later, but in no event later than fifteen days after the expiration of the time limit specified in the Special Tariff Permission.
Applications for waiver or modification of any of the requirements of this part 221 or for modification of chapter 415 of the statute with respect to the filing and posting of tariffs shall be made by the issuing carrier or issuing agent.
Applications for waivers shall be in the form of a letter addressed to the Office of International Aviation, Department of Transportation Washington, DC 20590, and shall:
(a) Specify (by section and paragraph) the particular regulation which the applicant desires the Department to waive.
(b) Show in detail how the proposed provisions will be shown in the tariff under authority of such waiver if granted (submitting exhibits of the proposed provision where necessary to clearly show this information).
(c) Set forth all facts and circumstances on which the applicant relies as warranting the Department's granting the authority requested. No tariff or other documents shall be filed pursuant to such application prior to the Department's granting the authority requested.
(a) A concurrence prepared in a manner acceptable to the Office of International Aviation shall be used by a carrier to give authority to another carrier to issue and file with the Department tariffs which contain joint fares or charges, including provisions governing such fares or charges, applying to, from, or via points served by the carrier giving the concurrence. A concurrence shall not be used as authority to file joint fares or charges in which the carrier to whom the concurrence is given does not participate, and it shall not be used as authority to file local fares or charges.
(b)
(c)
(a) A concurrence may be revoked by filing with the Department a Notice of Revocation of Concurrence prepared in a form acceptable to the Office of International Aviation.
(b)
(c)
(d) Amendment of tariffs when concurrence revoked. When a concurrence is revoked, a corresponding amendment of the tariff or tariffs affected shall be made by the issuing carrier of such tariffs, on not less than statutory notice, to become effective not later than the effective date stated in the Notice of Revocation of Concurrence. In the event of failure to so amend the tariff or tariffs, the provisions therein shall remain applicable until lawfully canceled.
If a carrier desires to issue a concurrence conferring less authority than a previous concurrence given to the same carrier, the new concurrence shall not direct the cancellation of such previous concurrence. In such circumstances, such previous concurrence shall be revoked by issuing and filing a Notice of Revocation of Concurrence in a form acceptable to the Office of International Aviation. Such revocation notice shall include reference to the new concurrence.
(a)
(b)
(c)
(d)
(a) A power of attorney may be revoked only by filing with the Department in the manner specified in this section a Notice of Revocation of Power of Attorney in a form acceptable to the Office of International Aviation.
(b)
(c)
(d)
If a carrier desires to issue a power of attorney conferring less authority than a previous power of attorney issued in favor of the same agent, the new power of attorney shall not direct the cancellation of such previous power of attorney. In such circumstances, such previous power of attorney shall be revoked by issuing and filing a Notice of Revocation of Power of Attorney in a form acceptable to the Office of International Aviation. Such revocation notice shall include reference to the new power of attorney.
(a) When the name of a carrier is changed or when its operating control is transferred to another carrier (including another company which has not previously been a carrier), the carrier which will thereafter operate the properties shall immediately issue, file with the Department, and post for public inspection, an adoption notice in a form and containing such information as is approved by the Office of International Aviation. (The carrier under its former name or the carrier from whom the operating control is transferred shall be referred to in this subpart as the “former carrier”, and the carrier under its new name or the carrier, company, or fiduciary to whom the operating control is transferred shall be referred to in this subpart as the “adopting carrier”.)
(b) The adoption notice shall be prepared, filed, and posted as a tariff. The adoption notice shall be issued and filed by the adopting carrier and not by an agent.
(c)
At the same time that the adoption notice is issued, posted, and filed pursuant to § 221.160, the adopting carrier shall issue, post and file with the Department a notice in each effective tariff issued by the former carrier providing specific notice of the adoption in a manner authorized by the Office of International Aviation and which shall contain no matter other than that authorized.
A receiver shall, immediately upon assuming control of a carrier, issue and file with the Department an adoption notices as prescribed by §§ 221.160 and 221.161 and shall comply with the requirements of this subpart.
If the former carrier is shown as a participating carrier under concurrence in tariffs issued by other carriers or is shown as a participating carrier under power of attorney in tariffs issued by agents, the issuing carriers and agents of such tariffs shall, upon receipt of the adoption notice, promptly file on statutory notice the following amendments to their respective tariffs:
(a) Cancel the name of the former carrier from the list of participating carriers.
(b) Add the adopting carrier (in alphabetical order) to the list of participating carriers. If the adopting carrier already participates in such tariff, reference to the substitution notice shall be added in connection with such carrier's name in the list of participating carriers.
(a) Adopting carrier shall reissue adopted concurrences and powers of attorney. Within a period of 120 days after the date on which the change in name or transfer of operating control occurs, the adopting carrier shall reissue all effective powers of attorney and concurrences of the former carrier by issuing and filing new powers of attorney and concurrences, in the adopting carrier's name, which shall direct the cancellation of the respective powers of attorney and concurrences of the former carrier. The adopting carrier shall consecutively number its powers of attorney and concurrences in its own series of power of attorney numbers and concurrence numbers (commencing with No. 1 in each series if it had not previously filed any such instruments with the Department), except that a receiver or other fiduciary shall consecutively number its powers of attorney or concurrences in the series of the former carrier. The cancellation reference shall show that the canceled power of attorney or concurrence was issued by the former carrier.
(b) If such new powers of attorney or concurrences confer less authority than the powers of attorney or concurrences which they are to supersede, the new issues shall not direct the cancellation of the former issues; in such instances, the provisions of §§ 221.142 and 221.152 shall be observed. Concurrences and powers of attorney which will not be replaced by new issues shall be revoked in the form and manner and upon the notice required by §§ 221.141 and 221.151.
(c)
If a carrier ceases operations without having a successor, it shall:
(a) File a notice in each tariff of its own issue and cancel such tariff in its entirety.
(b) Revoke all powers of attorney and concurrences which it has issued.
(a) Every air carrier and foreign air carrier shall file its international passenger fares tariffs consistent with the provisions of this subpart, and part 221 generally. Additionally, any air carrier and any foreign air carrier may file its international passenger rules tariffs electronically in machine-readable form as an alternative to the filing of printed paper tariffs as provided for elsewhere in part 221. This subpart applies to all carriers and tariff publishing agents and may be used by either if the carrier or agent complies with the provisions of subpart R. Any carrier or agent that files electronically under this subpart must transmit to the Department the remainder of the tariff in a form consistent with part 221, Subparts A through Q, on the same day that the electronic tariff would be deemed received under § 221.190(b).
(b) To the extent that subpart R is inconsistent with the remainder of part 221, subpart R shall govern the filing of electronic tariffs. In all other respects, part 221 remains in full force and effect.
(a) No carrier or filing agent shall file an electronic tariff unless, prior to filing, it has signed a maintenance agreement or agreements, furnished by the Department of Transportation, for the maintenance and security of the on-line tariff database.
(b) No carrier or agent shall file an electronic tariff unless, prior to filing, it has submitted to the Department's Office of International Aviation, Pricing and Multilateral Affairs Division, and received approval of, an application containing the following commitments:
(1) The filer shall file tariffs electronically only in such format as shall be agreed to by the filer and the Department. (The filer shall include with its application a proposed format of tariff. The filer shall also submit to the Department all information necessary for the Department to determine that the proposed format will accommodate the data elements set forth in § 221.202.)
(2) The filer shall provide, maintain and install in the Public Reference Room at the Department (as may be required from time to time) one or more CRT devices and printers connected to its on-line tariff database. The filer shall be responsible for the transportation, installation, and maintenance of this equipment and shall agree to indemnify and hold harmless the Department and the U.S. Government from any claims or liabilities resulting from defects in the equipment, its installation or maintenance.
(3) The filer shall provide public access to its on-line tariff database, at Departmental headquarters, during normal business hours.
(4) The access required at Departmental headquarters by this subpart shall be provided at no cost to the public or the Department.
(5) The filer shall provide the Department access to its on-line tariff database 24 hours a day, 7 days a week, except, that the filer may bring its computer down between 6:00 a.m. and 6:00 p.m. Eastern Standard Time or Eastern Daylight Saving Time, as the case may be, on Sundays, when necessary, for maintenance or for operational reasons.
(6) The filer shall ensure that the Department shall have the sole ability to approve or disapprove electronically any tariff filed with the Department and the ability to note, record and retain electronically the reasons for approval or disapproval. The carrier or agent shall not make any changes in data or delete data after it has been transmitted electronically, regardless of whether it is approved, disapproved, or withdrawn. The filer shall be required to make data fields available to the Department in any record which is part of the on-line tariff database.
(7) The filer shall maintain all fares and rules filed with the Department and all Departmental approvals, disapprovals and other actions, as well as all Departmental notations concerning such approvals, disapprovals or other actions, in the on-line tariff database for a period of two (2) years after the fare or rule becomes inactive. After this period of time, the carrier or agent
(8) The filer shall ensure that its on-line tariff database is secure against destruction or alteration (except as authorized by the Department), and against tampering.
(9) Should the filer terminate its business or cease filing tariffs, it shall provide to the Department on a machine-readable tape or any other mutually acceptable electronic medium, contemporaneously with the cessation of such business, a complete copy of its on-line tariff database.
(10) The filer shall furnish to the Department, on a daily basis, on a machine-readable tape or any other mutually acceptable electronic medium, all transactions made to its on-line tariff database.
(11) The filer shall afford any authorized Departmental official full, free, and uninhibited access to its facilities, databases, documentation, records, and application programs, including support functions, environmental security, and accounting data, for the purpose of ensuring continued effectiveness of safeguards against threats and hazards to the security or integrity of its electronic tariffs, as defined in this subpart.
(12) The filer must provide a field in the Government Filing File for the signature of the approving U.S. Government Official through the use of a Personal Identification Number (PIN).
(13) The filer shall provide a leased dedicated data conditioned circuit with sufficient capacity (not less than 28.8K baud rate) to handle electronic data transmissions to the Department. Further, the filer must provide for a secondary or a redundancy circuit in the event of the failure of the dedicated circuit. The secondary or redundancy circuit must be equal to or greater than 14.4K baud rate. In the event of a failure of the primary circuit the filer must notify the Chief of the Pricing and Multilateral Affairs Division of the Department's Office of International Aviation, as soon as possible, after the failure of the primary circuit, but not later than two hours after failure, and must provide the name of the contact person at the telephone company who has the responsibility for dealing with the problem.
(c) Each time a filer's on-line tariff database is accessed by any user during the sign-on function the following statement shall appear:
The information contained in this system is for informational purposes only, and is a representation of tariff data that has been formally submitted to the Department of Transportation in accordance with applicable law or a bilateral treaty to which the U.S. Government is a party.
(a) A tariff, or revision thereto, or a special tariff permission application may be electronically filed with the Department immediately upon compliance with § 221.180, and anytime thereafter, subject to § 221.400. The actual date and time of filing shall be noted with each filing.
(b) For the purpose of determining the date that a tariff, or revision thereto, filed pursuant to this subpart, shall be deemed received by the Department:
(1) For all electronic tariffs, or revisions thereto, filed before 5:30 p.m. local time in Washington, DC, on Federal business days, such date shall be the actual date of filing.
(2) For all electronic tariffs, or revisions thereto, filed after 5:30 p.m. local time in Washington, DC, on Federal business days, and for all electronic tariffs, or revisions thereto, filed on days that are not Federal business days, such date shall be the next Federal business day.
(a) Any tariff, or revision thereto, filed in paper format which accompanies, governs, or otherwise affects, a tariff filed electronically, must be received by the Department on the same date that a tariff or revision thereto, is filed electronically with the Department under § 221.190(b). Further, such paper tariff, or revision thereto, shall be filed in accordance with the requirements of subparts A through Q of part 221. No tariff or revision thereto, filed electronically under this subpart, shall
(b) Any printed justifications, or other information accompanying a tariff, or revision thereto, filed electronically under this subpart, must be received by the Department on the same date as any tariff, or revision thereto, filed electronically.
(c) If a filer submits a filing which fails to comply with paragraph (a) of this section, or if the filer fails to submit the information in conformity with paragraph (b) of this section, the filing will be subject to rejection, denial, or disapproval, as applicable.
(a)
(b)
(1) The following symbols shall be used:
(2) Other symbols may be used only when an explanation is provided in each tariff and such symbols are consistent throughout all the electronically filed tariffs from that time forward.
(a) Every electronic tariff filed by or on behalf of an air carrier that contains fares which, by international convention or agreement entered into between any other country and the United States, are required to be filed with that country, shall include the following statement:
The rates, fares, charges, classifications, rules, regulations, practices, and services provided herein have been filed in each country in which filing is required by treaty, convention, or agreement entered into between that country and the United States, in accordance with the provisions of the applicable treaty, convention, or agreement.
(b) The statement referenced in § 221.201(a) may be included with each filing advice by the inclusion of a symbol which is properly explained.
(c) The required symbol may be omitted from an electronic tariff or portion thereof if the tariff publication that has been filed with any other country pursuant to its tariff regulations bears a tariff filing designation of that country in addition to the D.O.T. number appearing on the tariff.
All electronic tariffs and amendments filed under this subpart, including those for which authority is sought to effect changes on less than bilateral/statutory notice under § 221.212, shall contain the following data elements:
(a) A Filing Advice Status File—which shall include:
(1) Filing date and time;
(2) Filing advice number;
(3) Reference to carrier;
(4) Reference to geographic area;
(5) Effective date of amendment or tariff;
(6) A place for government action to be recorded; and
(7) Reference to the Special Tariff Permission when applicable.
(b) A Government Filing File—which shall include:
(1) Filing advice number;
(2) Carrier reference;
(3) Filing date and time;
(4) Proposed effective date;
(5) Justification text; reference to geographic area and affected tariff number;
(6) Reference to the Special Tariff Permission when applicable;
(7) Government control data, including places for:
(i) Name of the government analyst, except that this data shall not be made
(ii) Action taken and reasons therefor.
(iii) Remarks, except that internal Departmental data shall not be made public, notwithstanding any other provision in this or any other subpart;
(iv) Date action is taken; and
(v) Personal Identification Number; and
(8) Fares tariff, or proposed changes to the fares tariffs, including:
(i) Market;
(ii) Fare code;
(iii) One-way/roundtrip (O/R);
(iv) Fare Amount;
(v) Currency;
(vi) Footnote (FN);
(vii) Rule Number, provided that, if the rule number is in a tariff, reference shall be made to that tariff containing the rule;
(viii) Routing (RG) Number(s), provided that the abbreviation MPM (Maximum Permissible Routing) shall be considered a number for the purpose of this file;
(ix) Effective date and discontinue date if the record has been superseded;
(x) Percent of change from previous fares; and
(xi) Expiration date.
(9) Rules tariff, or proposed changes to the rules tariffs.
(i) Rules tariffs shall include:
(A) Title: General description of fare rule type and geographic area under the rule;
(B) Application: Specific description of fare class, geographic area, type of transportation (one way, round-trip, etc.);
(C) Period of Validity: Specific description of permissible travel dates and any restrictions on when travel is not permitted;
(D) Reservations/ticketing: Specific description of reservation and ticketing provisions, including any advance reservation/ticketing requirements, provisions for payment (including prepaid tickets), and charges for any changes;
(E) Capacity Control: Specific description of any limitation on the number of passengers, available seats, or tickets;
(F) Combinations: Specific description of permitted/restricted fare combinations;
(G) Length of Stay: Specific description of minimum/maximum number of days before the passenger may/must begin return travel;
(H) Stopovers: Specific description of permissible conditions, restrictions, or charges on stopovers;
(I) Routing: Specific description of routing provisions, including transfer provisions, whether on-line or inter-line;
(J) Discounts: Specific description of any limitations, special conditions, and discounts on status fares, e.g. children or infants, senior citizens, tour conductors, or travel agents, and any other discounts;
(K) Cancellation and Refunds: Specific description of any special conditions, charges, or credits due for cancellation or changes to reservations, or for request for refund of purchased tickets;
(L) Group Requirements: Specific description of group size, travel conditions, group eligibility, and documentation;
(M) Tour Requirements: Specific description of tour requirements, including minimum price, and any stay or accommodation provisions;
(N) Sales Restrictions: Specific description of any restrictions on the sale of tickets;
(O) Rerouting: Specific description of rerouting provisions, whether on-line or inter-line, including any applicable charges; and
(P) Miscellaneous provisions: Any other applicable conditions.
(ii) Rules tariffs shall not contain the phrase “intentionally left blank”.
(10) Any material accepted by the Department for informational purposes only shall be clearly identified as “for informational purposes only, not part of official tariff”, in a manner acceptable to the Department.
(c) A Historical File—which shall include:
(1) Market;
(2) Fare code;
(3) One-way/roundtrip (O/R);
(4) Fare amount;
(5) Currency;
(6) Footnote (FN);
(7) Rule Number, provided that, if the rule number is in a tariff other than the fare tariff, reference shall be made to that tariff containing the rule;
(8) Rule text applicable to each fare at the time that the fare was in effect.
(9) Routing (RG) Number(s), provided that the abbreviation MPM (Maximum Permissible Routing) shall be considered a number for the purpose of this file;
(10) Effective Date;
(11) Discontinue Date;
(12) Government Action;
(13) Carrier;
(14) All inactive fares (two years);
(15) Any other fare data which is essential; and
(16) Any necessary cross reference to the Government Filing File for research or other purposes.
(a) Each “bundled” and “unbundled” normal economy fare applicable to foreign air transportation shall bear a unique rule number.
(b) The unique rule numbers for the fares specified in this section shall be set by mutual agreement between the filer and the Department prior to the implementation of any electronic filing system.
When one carrier adopts the tariffs of another carrier, the effective and prospective fares of the adopted carrier shall be changed to reflect the name of the adopting carrier and the effective date of the adoption. Further, each adopted fare shall bear a notation which shall reflect the name of the adopted carrier and the effective date of the adoption, provided that any subsequent revision of an adopted fare may omit the notation.
Any carrier or its agent must provide, as to any new or increased bundled or unbundled (whichever is lower) on-demand economy fare in a direct-service market, a comparison between, on the one hand, that proposed fare and, on the other hand, the ceiling fare allowed in that market based on the SFFL.
All fares filed electronically in direct-service markets shall be filed as single factor fares.
(a) A fare, charge, rule or other tariff provision that is suspended by the Department pursuant to section 41509 of the statute shall be noted by the Department in the Government Filing File and the Historical File.
(b) When the Department vacates a tariff suspension, in full or in part, and after notification of the carrier by the Department, such event shall be noted by the carrier in the Government Filing File and the Historical File.
(c) When a tariff suspension is vacated or when the tariff becomes effective upon termination of the suspension period, the carrier or its agent shall refile the tariff showing the effective date.
When, pursuant to an order of the Department, the cancellation of rules, fares, charges, or other tariff provision is required, such action shall be made by the carrier by appropriate revisions to the tariff.
(a) When a filer submits an electronic tariff or an amendment to an electronic tariff for which authority is sought to effect changes on less than bilateral/statutory notice, and no related tariff material is involved, the submission shall bear a sequential filing advice number. The submission shall appear in the Government Filing File and the Filing Advice Status File, and shall be referenced in such a manner to clearly indicate that such changes are sought to be made on less than bilateral/statutory notice.
(b) When a filer submits an electronic tariff or an amendment to the electronic tariff for which authority is sought to effect changes on less than bilateral/statutory notice, and it contains related paper under § 221.195, the paper submission must bear the same
(c) Departmental action on the Special Tariff Permission request shall be noted by the Department in the Government Filing File and the Filing Advice Status File.
(d) When the paper portion of a Special Tariff Permission that has been filed with the Department pursuant to paragraph (b) of this section is disapproved or other action is taken by the Department, such disapproval or other action will be reflected on the next consecutive revision of the affected tariff page(s) in the following manner:
(1) Example of disapproval statement:
(2) Example of other action:
(e) When the Department disapproves in whole or in part or otherwise takes an action against any submission filed under this part, the filer must take corrective action within two business days following the disapproval or notice of other action.
(f) All submissions under this section shall comply with the requirements of § 221.202.
In the event that the electronic tariff system is discontinued, or the source of the data is changed, or a filer discontinues its business, all electronic data records prior to such date shall be provided immediately to the Department, free of charge, on a machine-readable tape or other mutually acceptable electronic medium.
(a) After approval of any application filed under § 221.180 of this subpart to allow a filer to file tariffs electronically, the filer in addition to filing electronically must continue to file printed tariffs as required by subparts A through Q of part 221 for a period of 90 days, or until such time as the Department shall deem such filing no longer to be necessary: Provided that during the period specified by this section the filed printed tariff shall continue to be the official tariff.
(b) Upon notification to the filer that it may commence to file its tariffs solely in an electronic mode, concurrently with the implementation of filing electronically the filer shall:
(1) Furnish the Department with a copy of all the existing effective and prospective records on a machine-readable tape or other mutually acceptable electronic medium accompanied by an affidavit attesting to the accuracy of such records; and
(2) Simultaneously cancel such records from the paper tariff in the manner prescribed by subparts A through Q of part 221.
(a) Each filer that files an electronic tariff under this subpart shall make available to any person so requesting, a subscription service meeting the terms of paragraph (b) of this section.
(b) Under the required subscription service, remote access shall be allowed to any subscriber to the on-line tariff database, including access to the justification required by § 221.205. The subscription service shall not preclude the offering of additional services by the filer or its agent.
(c) The filer at its option may establish a charge for providing the required subscription service to subscribers: Provided that the charge may not exceed a reasonable estimate of the added cost of providing the service.
(d) Each filer shall provide to any person upon request, a copy of the machine-readable data (raw tariff data) of
Copies of information contained in a filer's on-line tariff database may be obtained by any user at Departmental Headquarters from the printer or printers placed in Tariff Public Reference Room by the filer. The filer may assess a fee for copying, provided it is reasonable and that no administrative burden is placed on the Department to require the collection of the fee or to provide any service in connection therewith.
(a) When an electronically filed record which has been submitted to the Department under this subpart, is disapproved (rejected), or a special tariff permission is approved or denied, under authority assigned by the Department of Transportation's Regulations, 14 CFR 385.13, such actions shall be understood to include the following provisions:
(1)
(2)
(b) [Reserved]
Secs. 204, 402, Pub. L. 85-726, as amended, 72 Stat. 743, 757; 49 U.S.C. 1324, 1372.
This part applies to all air transportation of property that includes both air movement by a direct foreign air carrier and surface transportation to or from any point within the United States (hereafter referred to as “intermodal cargo services”).
(a) Under its foreign air carrier permit, a direct foreign air carrier may provide or control the surface portion of intermodal cargo services within a zone extending 35 miles from the boundary of the airport or city it is authorized to serve. A direct foreign air carrier shall not provide or control the surface portion of intermodal cargo services outside of this 35-mile zone unless authorized to do so by the Board in accordance with §§ 222.3, 222.4 and 222.5.
(b) A direct foreign air carrier shall be considered to control the surface portion of intermodal cargo services if it has or publicly represents that it has any responsibility for or control over the movement of, or has any ownership, controlling or exclusive dealing relationship with, the carrier actually providing the surface transportation.
(c) Except as provided in paragraphs (a) and (b) of this section with respect to control by a direct foreign air carrier, any U.S. or foreign indirect air carrier, surface carrier or surface
(d) The Board may withdraw the authority of an indirect foreign air carrier to provide the surface portion of intermodal cargo services, or the authority of a direct foreign air carrier to offer intermodal cargo services pursuant to joint fares with other carriers providing the surface transportation, at any time, with or without hearing, if the Board finds it in the public interest.
(a) Application for a Statement of Authorization shall be filed with the Board's Regulatory Affairs Division, Bureau of International Aviation, in duplicate, on CAB Form 222 (obtainable from the Civil Aeronautics Board, Publications Services Division, Washington, D.C. 20428), attached as Appendix A. In most cases the Board will act upon applications for Statements of Authorization within 60 days.
(b) Persons objecting to an application for a Statement of Authorization shall file their objections with the Regulatory Affairs Division, Bureau of International Aviation, within 28 days of the filing date of the application. The Board will list the names and nationalities of all persons applying for Statements of Authorization in its Weekly Summary of Filings.
(c) An application shall include a copy of any bilateral agreement, memorandum of consultations, or diplomatic note or letter, in support of the authority requested. Documents that appear in official U.S. publications may be incorporated by reference.
(a) After review of an application form filed under § 222.3, the Board will take one or more of the following actions:
(1) Indicate by stamp on CAB Form 222 the effective date of the Statement of Authorization, and return to the carrier the duplicate copy of Form 222 as evidence of approval under this part;
(2) Request additional information from the applicant;
(3) Set the application for notice and hearing procedures;
(4) Disapprove the application or approve it subject to such terms, conditions, or limitations as may be required by the public interest; or
(5) Reject the application on the grounds that there is no agreement by the United States authorizing the proposed services.
(b) An order disapproving an application or subjecting it to conditions or limitations shall be transmitted to the President for stay or disapproval. If the President does not stay or disapprove the Board's order, it shall become effective on the 31st day after transmittal to the President, or within any longer time period established in the order.
A Statement of Authorization may be canceled or made subject to additional terms, conditions, or limitations, at any time, with or without hearing, if the Board finds that it is in the public interest to do so. An order canceling or conditioning a Statement of Authorization shall be submitted to the President for stay or disapproval and shall become effective on the 31st day after transmittal or within any longer time period established by the Board.
Secs. 204, 403, 404, 405(j), 407, 416, Pub. L. 85-726, as amended, 72 Stat. 743, 758, 760, 766, 771, 49 U.S.C. 1325, 1373, 1374, 1375, 1377, 1386, sec. 2 of the Postal Reorganization Act, 84 Stat. 767, 39 U.S.C. 5007.
As used in this part, unless the context otherwise requires:
An
(a) Who controls that carrier, or is controlled by that carrier or by another person who controls or is controlled by that carrier; and
(b) Whose principal business in purpose or in fact is:
(1) The holding of stock in one or more carriers;
(2) Transportation by air or the sale of tickets therefor;
(3) The operation of one or more airports, one or more of which are used by that carrier or by another carrier who controls or is controlled by that carrier or that is under common control with that carrier by another person; or
(4) Activities related to the transportation by air conducted by that carrier or by another carrier that controls or is controlled by that carrier or which is under common control with that carrier by another person.
(a) An air carrier;
(b) An all-cargo air carrier operating under section 401 or section 418 of the Act;
(c) A foreign air carrier;
(d) An intrastate carrier;
(e) An air taxi (including a commuter air carrier) operating under parts 294 or 298 of this chapter; and
(f) Any person operating as a common carrier by air, or in the carriage of mail by air, or conducting transportation by air, in a foreign country.
(a) With respect to carrier directors, officers, and employees, persons receiving retirement benefits from any carrier;
(b) With respect to the general public, persons not regularly working at a full-time paying job, and not intending to do so in the future.
(a) Any all-cargo carrier is exempted from section 401 of the Act to the extent necessary to carry, for purposes of in-flight observation, technical representatives of companies that have been engaged in the manufacture, development, or testing of aircraft or aircraft equipment.
(b) Every carrier providing transportation under this section shall also comply with the applicable regulations of the Federal Aviation Administration such as regulations pertaining to admission of persons to the aircraft flight deck.
Every air carrier shall carry, without charge, on any aircraft that it operates, the following persons:
(a) Security guards who have been assigned to the duty of guarding such aircraft against unlawful seizure, sabotage or other unlawful interference, upon the exhibition of such credentials as may be prescribed by the Administrator of the Federal Aviation Administration;
(b) Safety inspectors of the National Transportation Safety Board or of the Federal Aviation Administration who have been assigned to the duty of inspecting during flight such aircraft or its equipment, route facilities, operational procedures, or airman competency upon the exhibition of credentials or a certificate from the agency involved in authorizing such transportation; and
(c) Postal employees on duty in charge of the mails or traveling to or from such duty, upon the exhibition of the credentials issued by the Postmaster General.
Any pass authorizing free or reduced-rate transportation issued by a carrier may be made transferable to the extent specified by the granting carrier.
The Federal Aviation Administration, National Transportation Safety Board, National Weather Service, and the Postal Service shall be responsible for the following:
(a) The issuance of any credentials or certificates to their personnel eligible for free or reduced-rate transportation under this part; and
(b) The promulgation of any internal rules that are necessary to obtain compliance by such personnel with this part.
(a) Each air carrier and foreign air carrier shall maintain at its principal office either a copy or all instructions to its employees and of all company rules governing its practice in connection with the issuance and interchange of free and reduced-rate transportation passes or a statement describing those practices.
(b) The rules or statement required by this section shall, at a minimum, include the following:
(1) The titles of its officials upon whose authorizations passes may be issued;
(2) The titles of other officials who are authorized by these officials to
(3) The titles of persons who are authorized to request passes from other carriers.
(c) The rules, instructions, or statement required by this section shall be furnished to the Board upon request or to a member of the public upon payment of a reasonable charge for this service.
Air carriers may charge any rate or fare for interstate and overseas air transportation.
(a) Any air carrier or foreign air carrier may provide free or reduced-rate foreign air transportation to any classes of persons specifically named in section 403(b) of the Act or free transportation to those named in § 375.35 of this chapter.
(b) Air carriers and foreign air carriers may offer reduced fares for foreign air transportation to ministers of religion, the elderly, retired, and handicapped passengers, and to attendants required by handicapped passengers, but shall file tariffs for such fares. Carriers may establish reasonable tariff rules to assist in identifying those who qualify for reduced fares.
Air carriers and foreign air carriers are exempted from sections 403 and 404(b) of the Act and part 221 of this chapter to the extent necessary to provide free or reduced-rate foreign air transportation, including passes, to the following:
(a) Directors, officers, employees, and retirees and members of their immediate families, of any carrier or of any affiliate of such carrier, subject to the requirements of § 223.25.
(b) Persons to whom the carrier is required to furnish such transportation by law or government directive or by a contract or agreement between the carrier and the government of any country served by the carrier. The Board may, without prior notice, direct the carrier to file a tariff covering such transportation if it finds that the law or government directive in question requires the provision of such transportation. This transportation may be provided only if:
(1) The contract or agreement is filed with the Board, and it is not disapproved by the Board; and
(2) The law or government directive does not require the furnishing of such transportation to the general public or any segment thereof.
(c) Technical representatives of companies that have been engaged in the manufacture, development or testing of a particular type of aircraft or aircraft equipment, when the transportation is provided for the purposes of in-flight observation, and subject to applicable regulations of the Federal Aviation Administration such as regulations pertaining to admission of persons to the aircraft flight deck.
(d) Any person in return for goods or services provided by such person whether the transportation is used by that person or any designee of such person;
(e) Persons engaged in promoting transportation and their immediate families, when such transportation is undertaken for a promotional purpose;
(f) Persons being transported on an inaugural flight or delivery flight of the carrier except that, in the case of delivery flights, this exemption extends only to free, and not reduced-rate, transportation;
(g) Any law-enforcement official, including any person who has the duty of guarding government officials traveling on official business against unlawful interference;
(h) As compensation to persons that file a complaint or claim against the carrier;
(i) Charitable organizations; and
(j) Any person in an aviation-related occupation when the transportation is
(a) Any air carrier or foreign air carrier desiring special authorization to provide free or reduced-rate foreign air transportation to persons to whom the carrier would not otherwise be authorized to furnish such transportation under the previous provisions of this part may apply to the Board, by letter or other writing, for such authorization.
(b) The application shall include the following information:
(1) The identity of the persons to whom the transportation is to be furnished;
(2) The points between which the transportation is to be furnished;
(3) The approximate time of departure; and
(4) The carrier's reasons for desiring to furnish such transportation.
(c) No transportation for which approval is required shall be furnished by the carrier until that approval is received by the carrier.
Any carrier authorized to engage in foreign air transportation may transport in foreign air transportation empty air mail bags from any country to the country of origin of such bags, free of charge, on a voluntary space-available basis.
(a) Each carrier shall maintain at its principal office a list containing all of that carrier's affiliates, showing the exact relationship of each affiliate to the carrier.
(b) No pass may be issued under § 223.22(a) to a director, officer, employee, or members of their immediate family, of any affiliate, unless that affiliate is on the list required by paragraph (a) of this section.
(c) The list required by paragraph (a) of this section shall be furnished to the Board upon request.
49 U.S.C. Chapters 401, 419.
(a) Any person who would be aggrieved by an order of the Postmaster General issued under and within the meaning of section 41902 of the Statute may, within not more than 10 days after the issuance of such order, apply to the Department for a review thereof.
(b) An application for review filed under this part shall be made in writing and shall be conspicuously entitled Application for Review of Order of the Postmaster General under section 41902 of the Statute. Except as otherwise provided in paragraph (c) of this section, such application for review shall specify:
(1) The schedule affected and identity of the order complained of;
(2) The manner in which the applicant is or would be aggrieved by the order;
(3) The relief sought;
(4) The facts relied upon to establish that the public convenience and necessity require that such order be amended, revised, suspended, or canceled by the Department;
(5) An estimate of the total economic impact (including nonmail revenues) on the carrier of complying with the Postmaster General's order;
(6) A history of the flight or flights in question and any predecessor flights cooperated in the market at or about
(7) A detailed statement of the reasons for the schedule change, including copies of any economic data considered by carrier management in reaching that determination;
(8) Any other schedule changes in the affected market which accompany the schedule change in question, or a statement to the effect that there are no such changes;
(9) Monthly load-factor data on the flight or flights in question for the most recent twelve-month period;
(10) Profit and loss data for the flight or flights in question for the most recent twelve-month period, provided that the data be submitted on a fully allocated cost by functional account number or by some other method in which costs are determined on a fully allocated basis and which is explained in complete detail; and
(11) A statement indicating whether the carrier is willing to seatload sack mail on the flight or flights in question.
(c) Where the application is for review of an order which does not involve disapproval, alteration, or amendment of a change or changes which a carrier sought to make in its own schedule(s), the application need not include items 6 through 11, inclusive, specified in paragraph (b) of this section.
(a) Any interested person may, within not more than ten days after the filing of an application for review, serve and file with the Department an answer in opposition to, or in support of, such applications. Such answer shall set forth the economic data and other facts upon which it is based.
(b) An answer of the Postmaster General or U.S. Postal Service shall contain the following particular information, where applicable:
(1) The Postal Service's critical time frame for the movement of the mail in question together with a detailed explanation of the operational factors which support that estimate;
(2) The alternate air and surface services (including air taxi service) available in the market in question together with a statement of the costs of using such alternate services and, where appropriate, an explanation of why such services are unacceptable;
(3) An estimate of the average amount and expected actual density of mail which will be tendered to the carrier if the order in question is upheld;
(4) An estimate of the amount and type of containers which will be tendered to the carrier if the order in question is upheld;
(5) The volume (including density of mail, amount and types of containers) of mail historically carried on the flight or flights in question;
(6) An estimate of the volume (including density of mail, amount and types of containers) of mail historically carried on the flight or flights in question which could be accommodated on other flights serving the market without significant impairment of service under the mail delivery time standards of the Postal Service, together with an explanation of how that estimate was computed; and
(7) An estimate of the impact of the flight or flights in question on mail delivery time standards of the Postal Service, together with an explanation of how that estimate was computed.
Any interested person may, within not more than seven days after the filing of an answer to an application for review, serve and file with the Department a reply in opposition to, or in support of, such answer.
(a) Any person who would be aggrieved by an order of the Postmaster
(b) An application for postponement of the effective date filed under this part may be made in writing or by telegram, and shall be conspicuously entitled Application for Postponement of the Effective Date of Order of the Postmaster General Pending Review Under section 41902 of the Statute. Such application for postponement shall specify:
(1) The schedule affected and identity of the order complained of;
(2) The manner in which the applicant is or would be aggrieved by the order;
(3) The relief which will be sought;
(4) That the applicant intends to file a timely application for review of the order under § 232.1; and
(5) A summary of the justification and facts relied upon to establish that the stay should be granted.
(c) Any interested person may, within not more than four calendar days after the service of an application for postponement of the effective date, serve and file with the Department an answer in opposition to, or in support of, the application:
(a) An application, answer or reply filed hereunder shall be deemed to have been filed on the date on which it is actually received by the Department at its offices in Washington, D.C.
(b) At the time a written or telegraphic application, answer, or reply is filed under this part, a copy thereof shall be served by personal service, registered mail, or telegraph upon the Postmaster General and upon the air carrier operating or ordered to operate the mail service in question. Except in the case of telegraphic delivery each copy so served shall be accompanied by a letter of transmittal stating that such service is being made pursuant to this section. In the case of telegraphic delivery the copy shall be accompanied by a telegraphic statement that service is being made pursuant to this section.
(c) The execution, number of copies, and verification of a written application, answer, or reply filed under this part, and the formal specifications of papers included in such application, answer, or reply shall be in accordance with the requirements of the Rules of Practice relating to applications generally (see part 302 of this chapter).
49 U.S.C. 329 and Sections 41708 and 41709.
The reporting requirements contained in this part have been approved by the Office of Management and Budget under control number 2138-0041.
The purpose of this part is to set forth required data that certain air carriers must submit to the Department and to computer reservations system vendors in computerized form, except as otherwise provided, so that information on air carriers' quality of service can be made available to consumers of air transportation. This part also requires that service quality data be disclosed directly to consumers.
For the purpose of this part:
This part applies to certain domestic scheduled passenger flights that are held out to the public by certificated air carriers that account for at least 1 percent of domestic scheduled passenger revenues. Certain provisions also apply to voluntary reporting to on-time performance by carriers.
(a) Each reporting carrier shall file BTS Form 234 “On-Time Flight Performance Report” with the Office of Airline Information on a monthly basis, setting forth the information for each of its reportable flights held out in the
(1) Carrier and flight number.
(2) Aircraft tail number.
(3) Origin and Destination airport codes.
(4) Published OAG departure and arrival times for each scheduled operation of the flight.
(5) CRS scheduled arrival and departure time for each scheduled operation of the flight.
(6) Actual departure and arrival time for each operation of the flight.
(7) Difference in minutes between OAG and CRS scheduled arrival times.
(8) Difference in minutes between OAG and CRS scheduled departure times.
(9) Actual wheels-off and wheels-on times for each operation of the flight.
(10) Date and day of week of scheduled flight operation.
(11) Scheduled elapsed time, according to CRS schedule.
(12) Actual elapsed time.
(13) Amount of departure delay, if any.
(14) Amount of arrival delay, if any.
(15) Amount of elapsed time difference, if any.
(16) Causal code for cancellation, if any.
(17) Minutes of delay attributed to the air carrier, if any.
(18) Minutes of delay attributed to extreme weather, if any.
(19) Minutes of delay attributed to the national aviation system, if any.
(20) Minutes of delay attributed to security, if any.
(21) Minutes of delay attributed to a previous late arriving aircraft, if any.
(22) For gate returns, first gate-departure time at origin airport.
(23) Total ground time away from gate for all gate/air returns at origin airport, including cancelled flights—actual minutes.
(24) Longest time away from gate for gate return or cancelled flight.
(25) Three-letter code of airport where diverted flight landed.
(26) Wheels-on time at diverted airport.
(27) Total time away from gate at diverted airport.
(28) Longest period of time away from gate at diverted airport.
(29) Wheels-off time at diverted airport.
(b) Repeat fields (25) through (29) for each subsequent diverted airport landing.
(c) When reporting the information specified in paragraph (a) of this section for diverted flights, a reporting carrier shall use the original scheduled flight number and the origin and destination airport codes except for item (25).
(d) A reporting carrier shall report the information specified in paragraph (a) of this section for a new flight beginning with the first day of the new scheduled operation.
(e) A reporting carrier shall not report the information specified in paragraph (a) of this section for any discontinued or extra-section flight.
(f) Actual arrival, departure and elapsed times shall be measured by the
(g) The published arrival time and departure time of a flight shall be, respectively, the scheduled arrival and departure times in effect on the date of the scheduled operation of the flight, as shown in the most recent
(h) Reporting carriers should use the following codes to identify causes for cancelled flights:
(1) Air Carrier cancellations are due to circumstances that were within the control of the air carrier (e.g., lack of flight crew, maintenance, etc.).
(2) Extreme weather cancellations are caused by weather conditions (e.g., significant meteorological conditions), actual or forecasted at the point of departure, en route, or point of arrival that, in accordance with applicable regulatory standards and/or in the judgment of the air carrier, prevents operation of that flight and/or prevents operations of subsequent flights due to the intended aircraft being out of position as a result of a prior cancellation or delay attributable to weather.
(3) NAS cancellations are caused by circumstances within the National Aviation System. This term is used to refer to a broad set of conditions: weather-non-extreme, airport operations, heavy traffic volume, air traffic control, etc.
(4) Security cancellations may be the result of malfunctioning screening or other security equipment or a breech of security that causes the evacuation of the airport or individual concourses, or the need to re-screen passengers.
(i) Reporting carriers should use the following causes to identify the reasons for delayed flights:
(1) Air carrier delays are due to circumstances within the control of the air carrier.
(2) Extreme weather delays are caused by weather conditions (e.g., significant meteorological conditions, actual or forecasted at the point of departure, en route, or point of arrival that, in accordance with applicable regulatory standards and/or in the judgment of the air carrier, prevents operation of that flight and/or prevents operations of subsequent flights due to the intended aircraft being out of position as a result of a prior cancellation or delay attributable to weather.
(3) NAS delays are caused by circumstances within the National Aviation System. This term is used to refer to a broad set of conditions: weather-non-extreme, airport operations, heavy traffic volume, air traffic control, etc.
(4) Security delays may be the result of malfunctioning screening or other security equipment or a breech of security that causes the evacuation of the airport or individual concourses or the need to re-screen passengers.
(5) Late arriving aircraft delays are the result of a late incoming aircraft from the previous flight.
(j) When reporting causal codes in paragraph (a) of this section, reporting carriers are required to code delays only when the arrival delay is 15 minutes or greater; and reporting carriers must report each causal component of the reportable delay when the causal component is 5 minutes or greater.
Except where otherwise noted, all reports required by this part shall be filed within 15 days of the end of the month for which data are reported. The reports must be submitted to the Office of Airline Information in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Assistant Director for Airline Information.
Each reporting carrier shall report monthly to the Department on a domestic system basis, excluding charter flights, the total number of passengers enplaned systemwide, and the total number of mishandled-baggage reports filed with the carrier. The information shall be submitted to the Department within 15 days of the end of the month to which the information applies and must be submitted with the transmittal letter accompanying the data for on-time performance in the form and manner set forth in accounting and reporting directives issued by the Director, Office of Airline Information.
(a) In addition to the data for each reportable flight required to be reported by this part, a reporting carrier may report to DOT for every other nonstop domestic flight that it schedules, the reportable flight data specified in this part.
(b) Any air carrier that is not a reporting carrier may file the data specified in this part for every reportable flight that it schedules, or for every nonstop domestic flight that it schedules.
(c) Voluntary reports containing information not required to be filed (1) must be submitted in the same form and manner, and at the same time, as reports containing data required to be filed, and (2) must be accompanied by a written statement describing in detail the information that is being voluntarily submitted. A carrier that files a voluntary report must continue to do so for a period of not less than 12 consecutive months.
(a) Each reporting carrier shall calculate an on-time performance code in accordance with this section and as provided in more detail in accounting and reporting directives issued by the Director, Office of Airline Information. The calculations shall be performed for each reportable flight, except those scheduled to operate three times or less during a month. In addition, each reporting carrier shall assign an on-time performance code to each of its single plane one-stop or multi-stop flights, or portion thereof, that the carrier holds out to the public through a CRS, the last segment of which is a reportable flight.
(b) The on-time performance code shall be calculated as follows:
(1) Based on reportable flight data provided to the Department, calculate the percentage of on-time arrivals of each nonstop flight. Calculations shall not include discontinued or extra-section flights for which data are not reported to the Department.
(2) Based upon the on-time performance percentage calculated in paragraph (b)(1) of this section, assign a single digit code to each flight that reflects the percentile of on-time performance achieved by the flight, as set forth in the following table:
(3) For a one-stop or multi-stop flight, or portion thereof, listed in a CRS, the performance code for the nonstop flight segment arriving at the destination listed in the CRS shall be used.
(4) In the case of a new flight, carriers shall assign a performance code consisting of the letter “N.” A flight
(c) Carriers shall calculate on-time performance percentages and assign on-time performance codes on a monthly basis. This process shall be completed no later than the 15th day of each month, when the reports required by this part are due to the Department, and the codes shall reflect the previous month's operations.
No later than the 15th day of each month, each reporting carrier shall deliver, or arrange to have delivered, to each system vendor, as defined in 14 CFR part 255, the on-time performance codes required to be determined above. Carriers may report the codes by insuring that they are included in basic schedule tapes provided to CRS vendors or by providing a separate tape that will permit the CRS vendors to match the performance codes with basic schedule tapes.
(a) Any air carrier may determine, in accordance with the provisions of § 234.8 of this part, the on-time performance codes for the flights for which it voluntarily provides flight information to the Department pursuant to § 234.7 of this part.
(b) A carrier may supply these additional on-time performance codes to system vendors at the same time and in the same manner as the required disclosures are made to system vendors, provided that voluntary disclosures must continue for a period of not less than 12 consecutive months, and must be supplied either
(1) For each of the carrier's reportable flights and each of its single plane one-stop or multi-stop flights, or portions thereof, that it holds out to the public through a CRS, the last segment of which is a reportable flight or
(2) For each of the carrier's domestic flights.
(a) During the course of reservations or ticketing discussions or transactions, or inquiries about flights, between a carrier's employees or contractors and the public, the carrier shall disclose upon reasonable request the on-time performance code for any flight that has been assigned a code pursuant to this part.
(b) For each domestic flight for which schedule information is available on its Web site, including domestic code-share flights, a reporting carrier shall display the following information regarding the flight's performance during the most recent calendar month for which the carrier has reported on-time performance data to the Department: the percentage of arrivals that were on time—
(c) The first time each carrier must load the information whose disclosure is required under paragraphs (a) and (b) of this section onto its Web site is on Saturday, July 24, 2010, for June data. Carriers must load all subsequent flight performance information on the fourth Saturday of the month following the month that is being reported.
(d) A reporting carrier must meet the requirements of paragraphs (b) and (c) of this section by June 29, 2010.
Any carrier may request a waiver from the reporting requirements of this part. Such a request, at the discretion of the Director, Bureau of Transportation Statistics may be granted for good cause shown. The requesting party shall state the basis for such a waiver.
(a) Any air carrier that provides scheduled passenger air transportation shall, within 15 days of the end of the month to which the information applies, submit to the United States Department of Transportation's Aviation Consumer Protection Division a report on any incidents involving the loss, injury, or death of an animal during air transport provided by the air carrier.
(b) The report shall be made in the form and manner set forth in reporting directives issued by the Deputy General Counsel for the U.S. Department of Transportation and shall contain the following information:
(1) Carrier and flight number;
(2) Date and time of the incident;
(3) Description of the animal, including name, if applicable;
(4) Identification of the owner(s) and/or guardian of the animal;
(5) Narrative description of the incident;
(6) Narrative description of the cause of the incident;
(7) Narrative description of any corrective action taken in response to the incident; and
(8) Name, title, address, and telephone number of the individual filing the report on behalf of the air carrier.
(c) For purposes of this section:
(1) The air transport of an animal includes the entire period during which an animal is in the custody of an air carrier, from check-in of the animal prior to departure until the animal is returned to the owner or guardian of the animal at the final destination of the animal; and
(2) Animal means any warm or cold blooded animal which, at the time of transportation, is being kept as a pet in a family household in the United States.
(a) In the exercise of the authority granted by section 407(e) of the Act, the authority of any special agent or auditor to inspect and examine lands, buildings, equipment, accounts, records, memorandums, papers or correspondence shall include the authority to make such notes and copies thereof as he deems appropriate.
(b) The term “special agent” and “auditor” are construed to mean any employee of the Bureau of Enforcement and any other employee of the Board specifically designated by it or by the Director, Office of Facilities and Operations.
(c) The issuance in the form set forth below of an identification card and credentials to any such employee shall be construed to be an order and direction of the Board to such individual to inspect and examine lands, buildings, equipment, accounts, records, and memorandums in accordance with the authority conferred on the Board by the Act.
This is to certify that______, whose signature and photograph appear hereon is a duly designated
The holder hereof is authorized to investigate violations of the Federal Aviation Act, as amended, collect evidence in cases in which the regulatory authority of the Civil Aeronautics Board is or may be involved and perform other duties imposed upon him by law.
Under the Federal Aviation Act and part 240 of the Economic Regulations of the Civil Aeronautics Board (14 CFR part 240), the duly accredited special agents and auditors of the Board are empowered at all times to obtain access to all lands, buildings and equipment of any air carrier or foreign air carrier and to inspect, examine, and make notes and copies of all accounts, records, memorandums, documents, papers and correspondence kept or required to be kept by any air carrier, foreign air carrier or ticket agent.
The issuance of these credentials to the holder hereof constitutes an order and direction on the part of the Civil Aeronautics Board to such individual to carry out these duties as aforesaid and as more fully described in part 240 of the Board's Economic Regulations.
Failure to honor these credentials will result in penalties as provided by law.
Upon the demand of a special agent or auditor of the Board, and upon the presentation of the identification card and credentials issued to him in accordance with this part: (a) Any air carrier or foreign air carrier shall forthwith permit such special agent or auditor to inspect and examine all lands, buildings and equipment; (b) any air carrier, foreign air carrier or ticket agent shall forthwith permit such special agent or auditor to inspect and examine all accounts, records, memorandums, documents, papers and correspondence now or hereafter existing, and kept or required to be kept by the air carrier, foreign air carrier, or ticket agent, and shall permit such special agent or auditor to make such notes and copies thereof as he deems appropriate.
49 U.S.C. 329 and chapters 41101, 41708, and 41709.
This Uniform System of Accounts and Reports for Large Certificated Air Carriers is issued, prescribed and administered under the following provisions of the Federal Aviation Act of 1958, as amended (72 Stat. 731, 49 U.S.C. 1301):
(2) Any such civil penalty may be compromised by the Administrator in the case of violations of Titles III, V, VI, or XII, or any rule, regulation, or order issued thereunder, or by the Board in the case of violations of Titles IV or VII, or any rule, regulation or order issued thereunder, or under section 1002(i), or any term, condition, or limitation of any permit or certificate issued under Title IV, or by the Postmaster General in the case of regulations issued by him. The amount of such penalty, when finally determined, or the amount agreed upon in compromise, may be deducted from any sums owing by the United States to the person charged.
The definition includes, but is not limited to following examples of passengers when traveling free or pursuant to token charges:
(1) Directors, officers, employees, and others authorized by the air carrier operating the aircraft;
(2) Directors, officers, employees, and others authorized by the air carrier or another carrier traveling pursuant to a pass interchange agreement;
(3) Travel agents being transported for the purpose of familiarizing themselves with the carrier's services;
(4) Witnesses and attorneys attending any legal investigation in which such carrier is involved;
(5) Persons injured in aircraft accidents, and physicians, nurses, and others attending such persons;
(6) Any persons transported with the object of providing relief in cases of general epidemic, natural disaster, or other catastrophe;
(7) Any law enforcement official, including any person who has the duty of guarding government officials who are traveling on official business or traveling to or from such duty;
(8) Guests of an air carrier on an inaugural flight or delivery flights of newly-acquired or renovated aircraft;
(9) Security guards who have been assigned the duty to guard such aircraft against unlawful seizure, sabotage, or other unlawful interference;
(10) Safety inspectors of the National Transportation Safety Board or the FAA in their official duties or traveling to or from such duty;
(11) Postal employees on duty in charge of the mails or traveling to or from such duty;
(12) Technical representatives of companies that have been engaged in the manufacture, development or testing of a particular type of aircraft or aircraft equipment, when the transportation is provided for the purpose of in-flight observation and subject to applicable FAA regulations;
(13) Persons engaged in promoting air transportation;
(14) Air marshals and other Transportation Security officials acting in their official capacities and while traveling to and from their official duties; and
(15) Other authorized persons, when such transportation is undertaken for promotional purpose.
(1) Passengers traveling under publicly available tickets including promotional offers (for example two-for-one) or loyalty programs (for example, redemption of frequent flyer points);
(2) Passengers traveling on vouchers or tickets issued as compensation for denied boarding or in response to consumer complaints or claims;
(3) Passengers traveling at corporate discounts;
(4) Passengers traveling on preferential fares (Government, seamen, military, youth, student, etc.);
(5) Passengers traveling on barter tickets; and
(6) Infants traveling on confirmed-space tickets.
For
(a) All large certificated air carriers are placed into three basic air carrier groupings based upon their level of operations and the nature of these operations. In order to determine the level of operations, total operating revenues for a twelve-month period are used. The following operating revenue ranges are used to establish air carrier groupings:
For reporting purposes, Group I air carriers are further divided into two subgroups: (1) Air carriers with total annual operating revenues from $20,000,000 to $100,000,000 and (2) Air carriers with total annual operating revenues below $20,000,000.
(b) Both the criteria for establishing air carrier groupings and the assignment of each air carrier to a specific group of carriers will be reviewed periodically by the Director, Office of Airline Information, to assure the maintenance of appropriate standards for the grouping of carriers. When an air carrier's level of operations passes the upper or lower limit of its currently assigned carrier grouping, the carrier is not automatically transferred to a different group and a new level of reporting. The Office of Airline Statistics will issue an updated listing of the carrier groups on an annual basis. A carrier may petition for reconsideration of its assigned carrier grouping or request a waiver from the accounting and reporting requirements that are applicable to a particular group under the provisions of section 1-2 of this Uniform System of Accounts and Reports.
Each large certificated air carrier shall keep its books of account, records and memoranda and make reports to the BTS in accordance with this system of accounts and reports. The BTS reserves the right, however, under the provisions of sections 49 U.S.C. 41701 and 41708, to expand or otherwise modify the classes of carriers subject to this system of accounts and reports.
A waiver from any provision of this system of accounts or reports may be made by the BTS upon its own initiative or upon the submission of written request therefor from any air carrier, or group of air carriers, provided that such a waiver is in the public interest and each request for waiver expressly demonstrates that: existing peculiarities or unusual circumstances warrant
(a) This system of accounts and reports is designed to permit limited contraction or expansion to reflect the varying needs and capacities of different air carriers without impairing basic accounting comparability as between air carriers. In its administration three air carrier groups, designated Group I, Group II, and Group III, respectively (see section 04), are established by the BTS. This grouping will be reviewed from time to time upon petition of individual air carriers or by initiative of the BTS with the view of a possible regrouping of the air carriers.
(b) Under the system of accounts prescribed, balance sheet elements are accounted for by all air carrier groups within a fixed uniform pattern of specific accounts. All profit and loss elements are accounted for within specific objective accounts established for each air carrier group resulting from dual classifications, designated for each air carrier group, which are descriptive of both basic areas of financial activity, or functional operation, and objective served. The profit and loss elements of the three air carrier groups can be reduced to broad objectives and general or functional classifications which are comparable for all air carrier groups. Both balance sheet and profit and loss accounts and account groupings are designed, in general, to embrace all activities, both air transport and other than air transport, in which the air carrier engages and provide for the separation of elements identifiable exclusively with other than air transport activities. Profit and loss elements which are recorded during the current accounting year are subclassified as between (1) those which relate to the current accounting year and adjustments of a recurrent nature applicable to prior accounting years, and (2) extraordinary items of material magnitude.
(c) In order to afford air carriers as much flexibility and freedom as possible in establishing ledger and subsidiary accounts to meet their individual needs, a minimum number of account subdivisions have been prescribed in this Uniform System of Accounts. It is intended, however, that each air carrier, in maintaining its accounting records, will provide subaccount and subsidiary account segregations of accounting elements which differ in nature of accounting characteristics, in a manner which will render individual elements readily discernible and traceable throughout the accounting system, and will provide for relating profit and loss elements to applicable balance sheet counterparts.
(a) A four digit control number is assigned for each balance sheet and profit and loss account. Each balance sheet account is numbered sequentially, within blocks, designating basic balance sheet classifications. The first two digits of the four digit code assigned to each profit and loss account denote a detailed area of financial activity or functional operation. The first two digits, thus assigned to each profit and loss account, are numbered sequentially within blocks, designating more general classifications of financial activity and functional operation. The second two digits assigned to profit and loss accounts denote objective classifications.
(b) A fifth digit, appended as a decimal, has been assigned for internal control by the BTS of prescribed subdivisions of the primary objective balance sheet and profit and loss classifications. A different fifth digit code number from that assigned by the BTS may be adopted for internal recordkeeping by the air carrier provided the
(a) The general books of account and all books, records, and memoranda which support in any way the entries therein shall be kept in such manner as to provide at any time full information relating to any account. The entries in each account shall be supported by such detailed information as will render certain the identification of all facts essential to a verification of the nature and character of each entry and its proper classification under the prescribed Uniform System of Accounts. Registers, or other appropriate records, shall be maintained of the history and nature of each note receivable and each note payable.
(b) The books and records referred to herein include not only accounting records in a limited technical sense, but all other records such as organization tables and charts, internal accounting manuals and revisions thereto, minute books, stock books, reports, cost distributions and other accounting work sheets, correspondence, memoranda, etc., which may constitute necessary links in developing the history of, or facts regarding, any accounting or financial transaction.
(c) All books, records and memoranda shall be preserved and filed in such manner as to readily permit the audit and examination thereof by representatives of the DOT. All books, records, and memoranda shall be housed or stored in such manner as to afford protection from loss, theft, or damage by fire, flood or otherwise and no such books and records shall be destroyed or otherwise disposed of, except in conformance with 14 CFR part 249 for the preservation of records.
(a) Separate accounting records shall be maintained for each air transport entity for which separate reports to the BTS are required to be made by sections 21(g) and for each separate corporate or organizational division of the air carrier. For purposes of this Uniform System of Accounts and Reports, each nontransport entity conducting an activity which is not related to the air carrier's transport activities and each transport-related activity or group of activities qualifying as a nontransport venture pursuant to paragraph (b) of this section, whether or not formally organized within a distinct organizational unit, shall be treated as a separately operated organizational division; except that provisions of this paragraph and paragraph (b) shall not apply to leasing activities.
(b) As a general rule, any activity or group of activities comprising a transport-related service provided for in transport-related revenue and expense accounts 09 through 18 shall be considered a separate nontransport venture under circumstances in which either: (1) A separate corporate or legal entity has been established to perform such services, (2) the aggregate annual revenue rate, as determined in section 2-1(d), during either of the prior two years exceeds the greater of $1 million per annum or one percent of the air carrier's total annual transport revenues, or (3) the aggregate annual expense rate, as determined in section 2-1(d), during either of the prior two years exceeds the greater of $1 million or one percent of the carrier's total annual operating expenses:
(c) The records for each required accounting entity shall be maintained with sufficient particularity to permit a determination that the requirements of section 2-1 have been complied with.
To the end that uniform accounting may be maintained, questions involving matters of accounting significance which are not clearly provided for should be submitted to the Director, Office of Airline Information, K-25, Bureau of Transportation Statistics, for explanation, interpretation, or resolution.
Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(a) The accounting provisions contained in this part are based on generally accepted accounting principles (GAAP). Persons subject to this part are authorized to implement, as prescribed by the Financial Accounting Standards Board, newly issued GAAP pronouncements until and unless the Director, Office of Airline Information (OAI), issues an Accounting Directive making an initial determination that implementation of a new pronouncement would adversely affect the Department's programs.
(b) The Director, OAI, shall review each newly issued GAAP pronouncement to determine its affect on the Department's regulatory programs. If adopting a specific change in GAAP would adversely affect the Department's programs, the Director will issue the results of the review in the form of an Accounting Directive. The directive will state the reasons why the particular change should not be incorporated in the uniform system of accounts and contain accounting guidance for maintaining the integrity of the Department's air carrier accounting provisions.
(c) Objections and comments relating to the Department's decision not to implement a change in generally accepted principles may be addressed to Director, Office of Airline Information, K-25, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590. If significant objections are raised urging adoption of a particular GAAP pronouncement, the Department will institute a rulemaking.
(a) The provisions of this section shall apply to each person controlling an air carrier, each person controlled by the air carrier, as well as each transport entity and organizational division of the air carrier for which separate records must be maintained pursuant to section 1-6.
(b) Each transaction shall be recorded and placed initially under accounting controls of the particular air transport entity or organizational division of the air carrier or member of an affiliated group to which directly traceable. If applicable to two or more accounting entities, a proration shall be made from the entity of original recording to other participating entities on such basis that the statements of financial condition and operating results of each entity are comparable to those of distinct legal entities. The allocations involved shall include all debits and credits associated with each entity.
(c) For purposes of this section, investments by the air carrier in resources or facilities used in common by the regulated air carrier and those transport-related revenue services defined as separate nontransport ventures under section 1-6(b) shall not be allocated between such entities but shall be reflected in total in the appropriate accounts of the entity which predominately uses those investments. Where the entity of predominate use is a nontransport venture, the air carrier shall reflect the investment in account
(d) For purposes of this Uniform System of Accounts and Reports, all revenues shall be assigned to or apportioned between accounting entities on bases which will fully recognize the services provided by each entity, and expenses, or costs, shall be apportioned between accounting entities on such bases as will result: (1) With respect to transport-related services, in the assignment thereto of proportionate direct overheads, as well as direct labor and materials, of the applicable expense functions prescribed by this system of accounts and reports, and (2) with respect to separate ventures, in the assignment thereto of proportional general and administrative overheads as well as the direct overheads, labor, and materials.
(a) Revenues and expenses attributable to a single natural objective account or functional classification shall be assigned accordingly.
(b) Revenue and expense items which are common to two or more natural objective accounts shall be recorded in the objective accounts to which they predominantly relate.
(c) Expense items contributing to more than one function shall be charged to the general overhead functions to which applicable except that where only incidental contribution is made to more than a single function an item may be included in the function to which primarily related, provided such function is not distorted by including an aggregation of amounts applicable to other functions. When assignment of expense items on the basis of the primary activity to which related does not in the aggregate result in a fair presentation of the expenses applicable to each function, apportionment shall be made between functions based upon a study of the contribution to each function during a representative period.
(a) The accounting year of each air carrier subject to this Uniform System of Accounts shall be the calendar year unless otherwise approved by the BTS.
(b) Each air carrier shall keep its financial accounts and records on a full accrual basis for each quarter so that all transactions, as nearly as may reasonably be ascertained, shall be fully reflected in the air carrier's books for the quarter in which revenues have been earned and the costs attaching to the revenues so earned in each quarter have been incurred independently of the incidence of sales or purchases and settlement with debtors or creditors.
(c) Expenditures incurred during the current accounting year which demonstrably benefit operations to be performed during subsequent accounting years to a significant extent shall be deferred and amortized to the period in which the related operations are performed when of sufficient magnitude to distort the accounting results of the year in which incurred.
(d) Expenditures charged directly or amortized to operations within one accounting year shall not be reversed in a subsequent accounting year and reamortized or charged directly against operations of subsequent years except that retroactive adjustments are permitted where necessary to conform with adjustments required by the DOT for ratemaking purposes.
(a) Revenue accounting practices shall conform to the provisions of account 2160, Air Traffic Liability.
(b) Each route air carrier shall physically verify the reliability of its passenger revenue accounting practice at least once each accounting year.
(c) For those carriers who use the yield or average-fare method to determine earned revenue, the analysis supporting the verification shall include:
(1) The cutoff date for the liability to be verified; such cutoff date shall be at the end of a calendar month.
(2) The number of months after the cutoff date during which documents were examined to verify the liability; the number of months after the cutoff date during which documents are examined shall not exceed the maximums set forth below:
(3) The nature of the documents which were examined for purposes of the verification.
(4) The totals for each of the various types of documents examined, on actual or sampling basis.
(5) A description of the sampling technique and conversion to totals, if sampling was employed.
(6) The amount and basis for all estimates employed in the verification.
(7) The amount of resulting adjustments and the quarter in which such adjustments were, or are to be, made in the accounts.
(d) For those carriers who use the sales-lift match method to determine earned revenue, the analysis supporting the physical inventory verification shall include:
(1) The cutoff date for the liability to be verified; such cutoff date shall be at the end of a calendar month.
(2) A trial balance as of the cutoff date of all subaccounts supporting the Air Traffic Liability control account; the subsidiary trial balance must agree with the Air Traffic Liability control account or a reconciliation statement furnished.
(3) A statement to the effect that a sales listing of the value of all unmatched auditor coupons has been compiled and compared to the general ledger control figure; the statement required by this subparagraph shall indicate whether or not the value of the unmatched coupons is in agreement with the general ledger. If the sales listing is not in agreement with the Air Traffic Liability control account, the amount of such difference shall be shown on such statement.
(a) The balance sheet accounts are designed to show the financial condition of the air carrier as at a given date, reflecting the asset and liability balances carried forward subsequent to the closing or constructive closing of the air carrier's books of account.
(b) The balance sheet accounts prescribed in this system of accounts for each air carrier group are set forth in Section 3, Chart of Balance Sheet Accounts. The balance sheet elements to
(a) Record here all general and working funds available on demand as of the date of the balance sheet which are not formally restricted or earmarked for specific objectives. Funds deposited for special purposes which are to be satisfied within one year shall be included in account 1100 Short-term Investments and funds restricted as to general availability, which are not offset by current liabilities, shall be included in account 1550 Special Funds.
(b) Each air carrier shall subdivide this account in such manner that the balance can be readily segregated as between balances in United States currency and the balances in each foreign currency.
(a) Record here the cost of short-term investments such as special deposits and United States Government securities, any other temporary cash investments, and the allowance for unrealized gain or loss on current marketable equity securities.
(b) Special deposits for more than one year, not offset by current liabilities, shall not be included in this account but in account 1550 Special Funds.
(c) This account should be charged or credited for discount or premium on United States Government securities or other securities which should be amortized to profit and loss account 80 Interest Income.
(a) Record here current notes receivable including those from associated companies, company personnel, and all other sources.
(b) Balances of notes payable to associated companies shall not be offset against amounts carried in this account. Balances with associated companies which are not normally settled currently shall not be included in this account but in balance sheet account 1510.3 Advances to Associated Companies.
(a) Record here current accounts receivable including those due from the United States Government, foreign governments, associated companies, company personnel, and other amounts due for the performance of air transportation.
(b) Amounts due from the United States Government shall be maintained in such fashion as will clearly and separately identify service mail pay receivables, subsidy receivables and other than mail transportation receivables.
(c) Amounts due for the performance of air transportation shall include gross amounts due whether settled through airline clearing houses or with individual carriers. Amounts payable collected as agent shall not be credited to this account, but should be included in account 2190 Other Current Liabilities.
(d) Balances payable to associated companies shall not be offset against amounts carried in this account. Balances with associated companies which are not normally settled currently shall not be included in this account but in balance sheet account 1510.3 Advances to Associated Companies.
(a) Record here accruals for estimated losses from uncollectible accounts.
(b) All accounts against which allowances have been established shall be examined quarterly for the purpose of redetermining the basis of accruals to be applied to subsequent accounting
(a) Record here the cost of:
(1) Flight equipment replacement parts of a type which ordinarily would be recurrently expended and replaced rather than repaired and reused;
(2) Unissued fuel inventories for use in the overall or system operations of the carrier. Adjustments of inventories for aircraft fuel due to retroactive price increases and decreases shall not be entered in this account but in profit and loss account 45, Aircraft Fuels and Oils; and
(3) Unissued and unapplied materials and supplies held in stock such as unissued shop materials, expendable tools, stationery and office supplies, passenger service supplies, and restaurant and food service supplies.
(b) Costs paid by the air carrier such as transportation charges and customs duties; excise, sales, use and other taxes; special insurance; and other charges applicable to the cost of spare parts and supplies shall be charged to this account when they can be definitely allocated to specific items or units of property. If such costs cannot be so allocated, or if of minor significance in relation to the cost of such property, such amounts may be charged to balance sheet account 1890 Other Assets and Deferred Charges and cleared either by a suitable “loading charge” as the parts are used or by current charges to appropriate expense or property accounts; so long as the method of application does not cause material distortion in operating expenses from one accounting period to another.
(c) Reusable spare parts and supplies recovered in connection with construction, maintenance, or retirement of property and equipment shall be included in this account at fair and reasonable values but in no case shall such values exceed original cost. Recoveries of normally reparable and reusable parts of a type for which losses in value may be covered on a practical basis through valuation allowance provisions shall be included in this account on an original cost basis. Scrap and nonusable parts, expensed from this account and recovered, shall be included at net amounts realizable therefrom with contra credit to the expense accounts initially charged.
(d) The cost of rotable parts and assemblies of material value included in this account which ordinarily are repaired and reused and possess a service life approximating that of the primary property types to which related shall not be recorded in this account but in balance sheet account 1608 Flight Equipment Rotable Parts and Assemblies. For purposes of identifying rotable parts and assemblies of insignificant unit value which may be included in this account, a reasonable maximum unit value limitation may be established.
(e) Any losses sustained or gains realized upon the abandonment or other disposition of flight equipment expendable parts shall be taken up as capital gains or losses in the periods in which sustained or realized. (See balance sheet account 1311.)
(f) Items in this account shall be charged to appropriate expense accounts as issued for use. Profit and loss on sales of inventory items as a routine service to others shall be included in profit and loss accounts 14 General Service Sales—Associated Companies, or 16 General Service Sales—Outside, and the parts sold shall be removed from this accounts at full cost.
(g) Materials and supplies held in small supply and purchased currently may be charged to appropriate expense accounts when purchased.
(h) An allowance for inventory adjustment applicable to materials and supplies is prohibited. Items in this account shall be charged to appropriate expense accounts as issued for use.
(i) Subaccounts shall be established within this account for the separate recording of each class or type of spare parts and supplies.
(a) Accruals shall be made to this account when allowances are established for losses in the value of expendable parts. The accruals to this account shall be made by charges to profit and
(b) The accruals to this account shall be based upon a predetermination by the air carrier of that portion of the total inventory of each class and type of expendable parts against which an allowance for loss is to be accrued. Expendable parts issued for use in operations shall be charged to operating expenses as issued and shall not be charged to this account. If at the end of any calendar year the amount of the allowance exceeds the product of the applicable inventory for the year determined consistently on a year-end or average basis, and the sum of the standard percentage accrual rates for all prior years including the current, the allowance shall be adjusted downward by the amount of the excess. Such adjustments shall be charged to this account and credited to profit and loss account 73 Provisions for Obsolescence and Deterioration—Expendable Parts.
(c) Where changing conditions necessitate a revision or adjustment in rates of accrual, such revision or adjustment shall be made applicable to current and subsequent accounting periods and shall not be applied retroactively to prior accounting periods. Following retirement of airframe or aircraft engine types to which related, any balance remaining in this account shall be offset against related balances carried in balance sheet account 1300 Spare Parts and Supplies and the net cleared to profit and loss accounts 88.5 Capital Gains and Losses—Operating Property or 88.6 Capital Gains and Losses—Other.
Record here prepayments of obligations which if not paid in advance would require the expenditure of working capital within one year, such as prepaid rent, insurance, taxes, interest, etc. Unexpired insurance and miscellaneous prepayments applicable to periods extending beyond one year where significant in amount shall be charged to balance sheet account 1820 Long-Term Prepayments.
Record here current assets not provided for in balance sheet accounts 1010 to 1410, inclusive.
(a) Record here net investments in associated companies.
(b) [Reserved]
(c) This account shall be subdivided by all air carrier groups as follows:
Record here the cost of investments in investor controlled companies except that permanent impairment in the value of securities may be reflected through charges to profit and loss classification 8100, Nonoperating Income or Expense—Net. This account shall also include the equity in undistributed earnings or losses since acquisition. In the event dividends are declared by such companies, the air carrier shall credit this account for its share in dividends declared and debit balance sheet account 1270 Accounts Receivable. This account shall separately state: (a) The cost of such investments at date of acquisition and (b) the equity in undistributed earnings or losses since acquisition.
Record here the cost of investments in associated companies other than investor controlled companies. Cost shall represent the amount paid at the date of acquisition without regard to subsequent changes in the net assets through earnings or losses of such associated companies. However, permanent impairment in the value of securities may be reflected through charges to profit and loss classification 8100, Nonoperating Income or Expense—Net.
(a) Record here advances, loans, and other amounts not settled currently with investor controlled and other associated companies
(b) In the case of nontransport divisions three subaccounts shall be maintained:
(1) Net investment;
(2) current net profit or loss; and
(3) current accounts receivable or payable between the air carrier and the nontransport division.
(c) Each nontransport division shall be accounted for separately in net amounts receivable which shall be included in this account or net amounts payable which shall be included in balance sheet account 2240 Advances from Associated Companies.
Record here notes and accounts receivable not due within one year, investments in securities issued by others, investments in leveraged leases, the noncurrent net investment in direct financing and sales-type leases, and the allowance for unrealized gain or loss on noncurrent marketable equity securities. Securities held as temporary cash investments shall not be included in this account but in balance sheet account 1100 Short-Term Investments. Investments in and receivables from associated companies which are not settled currently shall be included in balance sheet account 1510 Investments in Associated Companies.
Record here special funds not of a current nature and restricted as to general availability. Include items such as sinking funds, cash and securities posted with courts of law, employee's funds for purchase of capital stock, pension funds under the control of the air carrier and equipment purchase funds.
“Operating Property and Equipment” shall encompass items used in air transportation services and services related thereto.
(a) Record here the total cost to the air carrier of airframes of all types and classes together with the full complement of instruments, appurtenances and fixtures comprising complete airframes including accessories necessary to the installation of engines and flight control and transmission systems, except as specifically provided otherwise in accounts 1602 and 1607. Also record here in separate subaccounts the costs of airframes overhauls accounted for on a deferral and amortization basis.
(b) Airframes designed to permit multiple payload configurations shall be recorded in this account at the total cost of the maximum complement of instruments, appurtenances, and fixtures used in the air carrier's operations.
(c) This account shall be subdivided as follows by all air carriers:
(a) Record here the total cost to the air carrier of complete units of aircraft engines of all types and classes together with a full complement of accessories, appurtenances, parts and fixtures comprising fully assembled engines as delivered by the engine manufacturer ready for operation in test but without the accessories necessary to its installation in airframes. Also record here in separate subaccounts the costs of aircraft engine overhauls accounted for on a deferral and amortization basis.
(b) This account shall be subdivided as follows by all air carriers:
Record here the total cost incurred by the air carrier for modification, conversion or other improvements to leased flight equipment. Also record here, in separate subaccounts, the costs of airframe and aircraft engine
(a) Record here the total cost to the air carrier of all spare instruments, parts, appurtenances and subassemblies related to the primary components of flight equipment units provided for in balance sheet accounts 1601 through 1607, inclusive. This account shall include all parts and assemblies of material value which are rotable in nature, are generally reserviced or repaired, are used repeatedly and possess a service life approximating that of the property type to which they relate. Items of an expendable nature which generally may not be repaired and reused, shall not be recorded in this account but in account 1300 Spare Parts and Supplies. Except for recurrent service sales, flight equipment parts recorded in this account shall not be charged to operating expenses as retired. Profit or loss on sales of parts as a routine service to others shall be included in profit and loss account 14 General Service Sales, and parts sold shall be removed from this account at full cost irrespective of any allowance for depreciation which has been provided.
(b) This account shall be subdivided as follows by Group II and Group III air carriers:
This classification is established only for purposes of control by the BTS and shall reflect the total cost of property and equipment of all types and classes used in the in-flight operations of aircraft.
(a) Record here accumulated provisions for overhauls of flight equipment.
(b) Separate subaccounts shall be established for recording accumulated provisions related to each type of airframe and aircraft engine, respectively.
At the option of the air carrier, the number “2629” may be assigned to this account for accounting purposes. However, for purposes of reporting on BTS Form 41, the balance in this account shall be reported under account “1629.”
Record here the total cost to the air carrier of ground equipment to include the following:
(a) Equipment assigned to aircraft or active line operations as opposed to items held in stock for servicing passengers such as broilers, bottleware, dishes, food boxes, thermos jugs, blankets, first aid kits, etc. Spare items shall be carried in balance sheet account 1300 Spare Parts and Supplies and shall be charged directly to expense upon withdrawal from stock for replacing original complements.
(b) Equipment used in restaurants and kitchens.
(c) Equipment of all types and classes used in enplaning and handling traffic and in handling aircraft while on ramps, including motorized vehicles used in ramp service. Classes of equipment used interchangeably between handling aircraft on ramps and in maintaining aircraft may be classified in accordance with normal predominant use.
(d) Nonairborne equipment of all types and classes used in meteorological and communication services which is not a part of buildings.
(e) Equipment of all types and classes including motorized vehicles used in engineering and drafting services and in maintaining, overhauling, repairing and testing other classes of property and equipment.
(f) Property and equipment of all types and classes used in ground and marine transportation services.
(g) Property and equipment of all types and classes used in storing and distributing fuel, oil and water, such as fueling trucks, tanks, pipelines, etc.
(h) All other ground equipment of all types and classes such as medical, photographic, employees' training equipment, and airport and airway lighting equipment.
Record here the total cost to the air carrier of furniture, fixtures and office equipment of all types and classes wherever used or located.
Record here the total cost to the air carrier incurred in connection with modification, conversion, or other improvements to leased buildings and equipment.
Record here the total cost to the air carrier of owned buildings, structures and equipment and related improvements. Each air carrier shall maintain the following subaccounts in which the values fairly assignable to maintenance and other operations shall be separately recorded:
This classification is established only for purposes of control by the BTS and shall reflect the total cost of property and equipment of all types and classes other than flight equipment, equipment purchase deposits and advance payments, land, and work in progress.
(a) Record in accounts 1611 and 1618, inclusive, and 1650 through 1660, inclusive, accruals for depreciation of flight equipment and ground property and equipment.
(b) As set forth in section 3, Chart of Balance Sheet Accounts, separate accounts shall be established for depreciation allowances to parallel balance sheet accounts 1601 through 1608 established for recording the cost of flight equipment and accounts 1630 through 1640 established for recording the cost of ground property and equipment.
(c) This account shall be used as a control account and shall reflect the total amounts recorded in balance sheet accounts 1611 through 1618 and 1650 through 1660 in addition to account 1629 Flight Equipment Airworthiness Allowance.
Record here the initial cost and the cost of improving land.
Record here the amount of purchase deposits and advance payments made to acquire operating property and equipment under outstanding purchase commitments. Funds set aside but not deposited or used as advance payments should not be included in this account but in Account 1550 Special Funds.
(a) Record here all direct and indirect costs of the air carrier that are expended for constructing and readying property and equipment of all types and classes for installation in operations. The amount reported shall reflect all such expenses that are accumulated to the balance sheet date. Where properly includable in the property and equipment classification, record here also the accumulated costs for uncompleted overhauls of airframes, aircraft engines, or other material units of property.
(b) At the option of the air carrier this account may be used as a clearing account for recording the cost of property and equipment acquisitions prior to a distribution thereof to the appropriate property accounts, whether or not conditioning or modification is necessary before placing in service.
(a) Record here the total costs to the air carrier for all property obtained under capital leases.
(b) This account shall be subdivided by all air carrier groups as follows:
(a) Record here accruals for amortization of leased property obtained under capital leases.
(b) This account shall be subdivided by all air carrier groups as follows:
“Nonoperating Property and Equipment” includes investments in property and equipment not separately accounted for within a nontransport division but assigned to other than air transportation and transport-related services, and property and equipment held for future use.
The total cost to the air carrier of nonoperating property and equipment and related allowances for depreciation shall be recorded in balance sheet accounts 1701 through 1796 which, as set forth in section 3, Chart of Balance Sheet Accounts, parallel balance sheet accounts 1601 through 1689, for recording the cost of operating property and equipment. In addition to these accounts, Account 1797 has been established for recording the cost of property on operating-type leases to others and property held for lease; any accumulated depreciation applicable to the assets contained in Account 1797 shall be recorded in Account 1798.
Record here the total cost to the air carrier of property on operating-type lease to others and property held for lease.
Record here accruals for depreciation of property on operating-type leases to others and property held for lease.
Record here prepayments of obligations applicable to periods extending beyond one year such as payments on leased property and equipment and other payments and advances for rents, rights, or other privileges.
(a) Record here costs accumulated and deferred by the air carrier pertaining to the development of new routes or extension of existing routes, preparation for operation of new routes subsequent to certification by the DOT, the integration of new types of aircraft or services, and other preparations for substantial alterations in operational characteristics.
(b) Costs chargeable to this account shall include items directly related to each specific developmental or preoperating project, such as travel
(c) Records shall be established for new routes or extensions of existing routes to record separately: (1) Costs incurred in acquiring or applying for the routes, including all costs incurred prior to certification by the DOT and inauguration of service by the air carrier, and (2) costs incurred after revenue operations begin over the new routes or extensions.
(d) Subclassifications shall be established to record for each developmental project the period covered and the purpose of each item of expense. Each air carrier shall classify the costs of all projects included in this account between: (1) Those related and contributing to the normal air transportation services currently conducted by the air carrier; (2) those related to services conducted by the air carrier which are extraneous to or are not otherwise related to the air transportation services currently conducted; and (3) those held in suspense pending status determination in terms of possible contribution to the air transportation services and inauguration of the service or operation to which related.
(e) Amounts included in this account which contribute to or protect the position of the normal air transportation services currently conducted by the carrier shall be amortized to profit and loss account 74 Amortization, unless otherwise approved or directed by the DOT. Other amounts included in this account shall be amortized or charged to profit and loss account 89.9 Other Miscellaneous Nonoperating Debits.
(a) Record here other assets and deferred charges not provided for elsewhere.
(b) Record here debits, the proper final disposition of which cannot be determined until additional information has been received. This account shall include the accumulated cost of labor, materials and outside services used in the process of manufacturing flight equipment expendable parts and materials and supplies for stock, the accumulated cost of jobs in process for others, projects to be charged to expense upon completion. This account shall also include unamortized debt expense, property acquisition adjustments and intangible assets.
(c) This account shall be charged with property loss and other costs related to casualties and credited with recoveries from purchased insurance and salvage. A debit or credit balance in this account related to property retired as a result of a casualty shall be recorded in profit and loss account 88.5 Capital Gains and Losses—Operating Property or 88.6 Capital Gains and Losses—Other; however, any balances related to property not retired or to other casualties shall be recorded in profit and loss account 58 Injuries, Loss and Damage. Proceeds from purchased insurance for property damage, received prior to repair of such damage, shall not be credited to this account but to balance sheet account 2390 Other Deferred Credits pending repair. The records for each major casualty shall
(d) Record here the unamortized debt expense related to the assumption by the air carrier of debt of all types and classes. Amounts recorded shall be amortized to profit and loss account 84 Amortization of Debt Discount, Premium and Expense.
(e) Unamortized debt expense shall not include the excess of the par value of debt securities over the cash value of consideration received. Instead, discounts shall be recorded in a subaccount of the related liability.
(f) Record here the cost of patents, copyrights and other intangible properties, rights and privileges acquired as a part of a business from other air carriers and other intangibles not provided for elsewhere. This account shall be subdivided to reflect the nature of each intangible asset included in this account.
(g) Record here the difference between the purchase price to the air carrier of property and equipment acquired as a part of a business from another air carrier through consolidation, merger, or reorganization, pursuant to a plan approved by the DOT, and the depreciated cost to the predecessor company at date of acquisition. Record here also such differences relating to purchases of property and equipment from associated companies unless other treatment is approved by the BTS. Separate subaccounts shall be established to record the amounts applicable to each such acquisition.
(h) Balances in this account relating to property acquisition adjustments shall be amortized by charges to profit and loss account 89.9 Other Miscellaneous Nonoperating Debits unless otherwise directed or approved by the BTS.
Record here the face value or principal amount of debt securities issued or assumed by the air carrier which is payable within 12 months of the balance sheet date unless such debt is to refinance, or where payment is to be made from assets of a type not properly classifiable as current.
Record here the face value of all notes, drafts, acceptances, or other similar evidences of indebtedness payable on demand or within one year to a bank or another financial institution with the exception of current maturities of long-term debt which should be included in account 2000.
Record here the face value of all notes, drafts, acceptances, or other similar evidences of indebtedness payable on demand or within one year to an associated company or party other than a financial institution.
Record here all accounts payable within one year which accrued from generally recognized trade practices.
Record here all accounts payable within one year which are not provided for in accounts 2000 to 2021, inclusive.
Record here the total current liability applicable to property obtained under capital leases.
Record here amounts accrued for unpaid compensation to personnel, which
(a) Record here accruals of liabilities for personnel vacations. All vacation policies, plans, or agreements whether oral or written shall be accounted for on an accrual basis whenever a lag exists between vacations earned and vacations taken, thereby resulting in a liability against the carrier under the applicable policy, plan or agreement.
(b) This account shall be credited and the applicable personnel compensation expense account concurrently charged with the cost of any lag between vacations accrued and vacations taken. Accruals may be based upon standard rates of lag, if such standard rates are verified by physical inventory and adjusted accordingly at least once each calendar year. Adjustments of balances in this account shall be cleared to applicable compensation expense accounts.
Record here interest payable within one year for all outstanding obligations.
(a) Record here accruals for currently payable income and other forms of taxes which constitute a charge borne by the air carrier as opposed to those collected as an agent for others.
(b) Each air carrier shall disclose in the footnotes of its BTS Form 41 for each calendar quarter whether utilized credits are accounted for by the flow-through method or the deferred method. The method selected shall be consistently followed by the carrier.
Record here in separate subdivisions for each class and series of capital stock, all dividends declared but unpaid on capital stock.
(a) Record here balances representing the value of unused transportation sold. Transportation sold includes both sales for transportation to be provided by the air carrier and transportation to be provided by another air carrier.
(b) Earned revenue, determined by the yield or average fare method or by the sales-lift-match method, shall be consistently and periodically cleared by debit to this account, and by credit to the appropriate profit and loss revenue account. Amounts receivable for transportation to be provided by the air carrier shall be debited to balance sheet account 1270 Accounts Receivable.
(c) Carriers who determine earned revenue on a yield or average fare method may not accrue income during the accounting year in anticipation of a favorable annual physical inventory determination, nor for unused or unpresented tickets.
(d) Subaccounts to this account shall be established to record balances pertaining to passenger and cargo transportation sold, respectively, and separately to sales in scheduled and non-scheduled services.
Record here current and accrued liabilities, including amounts payable collected as an agent, not provided for in accounts 2110 to 2160, inclusive.
(a) Record here the face value of principal amount of debt securities issued or assumed by the air carrier and held by other than associated companies, which has not been retired or cancelled and is not payable within 12 months of the balance sheet date.
(b) In cases where debt coming due within 12 months is to be refunded, or where payment is to be made from assets of a type not properly classifiable as current, the amount payable shall not be removed from this account. In addition, this account shall include short-term debt obligations when both the intent to refinance the short-term
Record here net amounts due associated companies and nontransport divisions for notes, loans and advances which are not settled currently. Balances payable to and receivable from different associated companies shall not be offset.
Record here the liability of the air carrier under employee pension plans, to which either or both employees and the air carrier contribute, if the plan is administered by the air carrier.
Record here the total noncurrent liability applicable to property obtained under capital leases.
Record here noncurrent liabilities not provided for in balance sheet accounts 2210 to 2280, inclusive, such as the liability for installments received on capital stock from company personnel who are not bound by legally enforceable subscription contracts, accruals for personnel dismissal liability, and accruals of other demonstrable miscellaneous noncurrent liabilities.
Record here credits and debits representing the net tax effect of material timing differences originating and reversing in the current accounting period, giving appropriate recognition to the portion of investment tax credits which would have been allowed if taxes were based on pretax accounting income by a reduction of the deferred tax provision.
Record here investment tax credits utilized as reduction of tax liabilities, when the carrier exercises the option to defer such credits for amortization over the service life of the related equipment.
Record here credits, not provided for elsewhere, the proper final disposition of which cannot be effected until additional information has been received.
Record here in separate subdivisions for each class and series, the par or stated value of preferred capital stock issued or in the case of no-par stock without stated value, the full consideration received.
Record here in separate subdivisions for each class and series, the par or stated value of common stock issued or in case of no-par stock without stated value, the full consideration received.
Record here in separate subdivisions for each class and series, the par or stated value, or the subscription price in the case of stock without par or stated value, of legally enforceable subscriptions to the capital stock of the air carrier.
(a) Record herein separate subdivisions for each class and series, the difference between the price at which capital stock is sold and the par or stated value of the stock; gains or losses arising from the reacquisition and the resale or retirement of each class and series of capital stock; donations; the excess of retained earnings capitalized over par or stated value of capital
(b) Each air carrier shall maintain the following subaccounts:
2890.1
2890.2
2890.3
(a) Record here the net income or loss from operations of the air carrier and dividends declared on capital stock.
(b) This account shall not be charged with dividends on treasury stock. If a dividend is not payable in cash, the values entered in this account shall be completely described.
(c) Delayed credits or charges to income shall not be entered in this account directly but in appropriate profit and loss accounts.
(d) Net income or loss accounted for during the current fiscal year shall not be entered in this account until the close of the fiscal year. Individual proprietorships or partnerships may clear net income or loss accounted for during the year directly to balance sheet account 2890 Additional Capital Invested, or optionally, to this account for subsequent transfer to balance sheet account 2890 Additional Capital Invested.
(e) A separate subaccount to this account shall be maintained to record changes in the valuation of marketable equity securities included in noncurrent assets. Such changes shall be reflected in this subaccount to the extent the balance in this subaccount represents a net unrealized loss as of the current balance sheet date.
(a) Record here the cost of capital stock issued by the air carrier reacquired by it and not retired or canceled.
(b) Separate records shall be established for each class and series of capital stock held in this account.
(a) The profit and loss accounts are designed to reflect, through natural groupings, the elements entering into the derivation of income or loss accruing to the proprietary interests during each accounting period.
(b) The prescribed system of accounts provides for the co-ordinate grouping of all revenues and expenses in terms of both major natural objectives and functional activities and for subdivision of both to provide varying degrees of detail for air carriers of differing accounting capacities and/or requirements.
(c) The detailed objective accounts established for each air carrier group, by the dual subdivision of profit and loss elements in terms of both natural objectives and functional activities, are set forth in section 7, Chart of Profit and Loss Accounts.
(d) The prescribed system of accounts provides generally that profit and loss elements shall be grouped in accordance with their inherent characteristics within the following primary classifications:
(1)
(ii) Operating revenues shall be subclassified in terms of functional activities as provided in section 9.
(2)
(ii) Operating expenses shall be subclassified in terms of functional activities as provided in sections 10 and 11.
(3)
(4)
(5)
(6)
(7)
This classification is prescribed for all air carrier groups and shall include all revenues from the air transportation of traffic of all classes. It shall consist of the following subclassifications:
This subclassification shall include revenues from the transportation by air of individual passengers or cargo shipments (as opposed to charter flights) pursuant to published schedules, including extra sections and other flights performed as an integral part of published flight schedules.
This subclassification shall include revenues from the transportation by air of traffic applicable to the performance of aircraft charters, and other air transportation services not part of services performed pursuant to published flight schedules (but shall not include data applicable to flights performed as extra sections to published flight schedules, which shall be reported in the subclassification 3100 Scheduled Services).
(a) This classification is prescribed for all air carrier groups and shall include all revenues from the United States Government as direct grants or aids for providing air transportation facilities and all revenues from services which grow from and are incidental to the air transportation services performed by the air carrier.
(b) Revenues related to services of a magnitude or scope beyond an incidental adjunct to air transportation services shall not be included in this classification (see section 1-6(b)). Revenues applicable to such services shall be included in profit and loss classification 8100, Nonoperating Income and Expense-Net, and the accounting modified to conform with that of a nontransport
(a) This function shall include expenses incurred directly in the in-flight operation of aircraft and expenses attaching to the holding of aircraft and aircraft operational personnel in readiness for assignment to an in-flight status.
(b) This function shall not include expenses incurred in repairing, servicing or storing aircraft, expenses incurred on the ground in protecting and controlling the inflight movement of aircraft, or the compensation of ground personnel and other expenses incurred in scheduling or preparing aircraft or aircraft operational personnel for flight assignment. Such expenses shall be included in function 5400 Maintenance or function 6900 General Services and Administration.
(a) This function shall include all expenses, both direct and indirect, specifically identifiable with the repair and upkeep of property and equipment as may be required to meet operating and safety standards; in inspecting or checking property and equipment in accordance with prescribed operational standards; and in polishing or cleaning property and equipment when such polishing or cleaning is not an incidental routine in connection with the normal productive use of property and equipment.
(b) This function shall include the cost of direct labor, materials, and outside services and maintenances overhead or other costs specifically associated with maintenance operations regardless of the location at which incurred.
(c) This function shall not include costs incurred in the construction, improvement, or modification of property and equipment even when necessitated to meet new or changed operating or safety standards. Such costs shall be charged to appropriate property and equipment accounts.
(d) Costs incurred by aircraft handling personnel in visual inspection, minor check and servicing of aircraft, while in line service, shall not be included in this function when performed as an incidental routine during the normal productive use of aircraft but shall be included in function 6900 General Services and Administration.
(e) Each Group I air carrier shall maintain the following subfunctions:
a. This subfunction shall include the costs of labor, materials and outside services consumed directly in periodic maintenance operations and the maintenance and repair of property and equipment, of all types and classes, regardless of the location at which incurred, exclusive of costs specifically identified with maintenance property and equipment expenses in balance sheet accounts 1630 Equipment, 1639 Improvements to Leased Buildings and Equipment, and 1640.1 Maintenance Buildings and Improvements which shall be included in subfunction 5300 Maintenance Burden.
b. The cost of direct labor, materials and supplies, as well as outside repairs, used in the maintenance and repair of property and equipment shall be recorded on running job orders or tickets covering repairs and periodic inspections except servicing. Where a number of like items are maintained on a group basis, it will be necessary to maintain only one job order for each group.
c. When supervisory personnel such as crew chiefs, inspectors and foremen are engaged in direct labor in connection with equipment maintenance, a proportionate part of their salaries and wages shall be charged to the appropriate direct labor accounts. The cost of transporting property to and from shops for repair and maintenance shall be included as a part of the cost of the materials and supplies used in the repair or maintenance of such property and equipment. Transportation charges, customs and duties, etc.; shall be included in the cost of repairs and maintenance operations when made by outside parties.
a. This subfunction shall include all overhead or general expenses which are specifically identified with activities involved in periodic maintenance operations and the maintenance and repair of property and equipment of all types and classes, including the cost of direct labor, materials and outside services identified with the maintenance and repair of maintenance property and
b. This subfunction shall not include expenses related to financial accounting, purchasing or other overhead activities which are of general applicability to all operating functions. Such expenses shall be included in function 6900 General Services and Administration.
c. This subfunction shall include only those expenses attributable to the current air transport operations of the air carrier. Maintenance burden associated with capital projects of the air carrier, other than overhauls of airframes and aircraft engines shall be allocated to such projects. Maintenance burden incurred in common with services to other companies and operating entities shall be allocated to such services on a pro rata basis unless the services are so infrequent in performance or small in volume as to result in no appreciable demands upon the air carrier's maintenance facilities. When overhauls of airframes or aircraft engines are as a consistent practice accounted for on an accrual basis instead of being expensed directly, maintenance burden shall be allocated to such overhauls on a pro rata basis. Standard burden rates may be employed for quarterly allocations of maintenance burden provided the rates are reviewed at the close of each calendar year. When the actual burden rate for the year differs materially from the standard burden rate applied, adjustment shall be made to reflect the actual cost incurred for the full accounting year. Allocations of maintenance burden to capital projects, and service sales to others shall be made through the individual maintenance burden objective accounts, except that the air carrier may make such allocations by credits to profit and loss account 77 Uncleared Expense Credits provided that use of that account will not undermine the significance of the individual maintenance burden objective accounts in terms of the expense levels associated with the air carrier's air transport services. Maintenance burden allocated to overhauls shall be credited to profit and loss subaccounts 5372.1 or 5372.6 Airworthiness Allowance Provisions.
This function shall include expenses incurred on the ground in controlling and protecting the in-flight movement of aircraft; landing, handling, or servicing aircraft on the ground; selling transportation; servicing and handling traffic of all classes; promoting the development of traffic; administering operations generally; and all other expenses not otherwise provided for in functions 5100 Flying Operations, 5400 Maintenance and 7000 Depreciation and Amortization.
This function shall include all charges to expense to record losses suffered through current exhaustion of the serviceability of property and equipment due to wear and tear from use and the action of time and the elements, which are not replaced by current repairs, as well as losses in serviceability caused by obsolescence, supersession, discoveries, change in demand or actions by public authority. It shall also include charges for the amortization of capitalized developmental and preoperating costs, leased property under capital leases and other intangible assets applicable to the performance of air transportation. (See sections 6-1696, 1830 and 1890.)
(a) This function shall include all expense items applicable to the generation of transport-related revenues included in section 9, Function 4800.
(b) Such expense related to services of a magnitude or scope beyond an incidental adjunct to air transportation services shall not be included in this function (see section 1-6(b)). Expenses applicable to the generation of such revenues shall be included in profit and loss classification 8100, Nonoperating Income and Expense-Net, and the accounting modified to conform with that of a nontransport division whether or not the service is organized as a nontransport division.
(c) This function shall also include expenses representing increases in costs incurred in common with the air
(a) This function shall include expenses incurred directly in the in-flight operation of aircraft and expenses attaching to the holding of aircraft and aircraft operational personnel in readiness for assignment to an in-flight status.
(b) This function shall not include expenses incurred in repairing, servicing or storing aircraft, expenses incurred on the ground in protecting and controlling the in-flight movement of aircraft, or compensation of ground personnel and other expenses incurred in scheduling or preparing aircraft or aircraft operational personnel for flight assignment. Such expenses shall be included in function 5400 Maintenance, or function 6400 Aircraft and Traffic Servicing.
(a) This function shall include all expenses, both direct and indirect, incurred in the repair and upkeep of property and equipment as may be required to meet operating and safety standards; in inspecting or checking property and equipment in accordance with prescribed operational standards; and in polishing or cleaning property and equipment when such polishing or cleaning is not an incidental routine in connection with the normal productive use of property and equipment.
(b) This function shall include the cost of direct labor, materials, and outside services and maintenance overhead or other costs associated with maintenance operations regardless of the location at which incurred.
(c) This function shall not include costs incurred in the construction, improvement, or modification of property and equipment even when necessitated to meet new or changed operating or safety standards. Such costs shall be charged to appropriate property and equipment accounts.
(d) Costs incurred by aircraft handling personnel in visual inspection, minor check and servicing of aircraft, while in line service, shall not be included in this function when performed as an incidental routine during the normal productive use of aircraft but shall be included in function 6400 Aircraft and Tariff Servicing.
(e) Both Group II air carriers and Group III air carriers shall maintain the following subfunctions:
a. This subfunction shall include the costs of labor, materials and outside services consumed directly in periodic maintenance operations and the maintenance and repair of property and equipment of all types and classes, regardless of the location at which incurred, exclusive of maintenance property and equipment included in balance sheet accounts 1630 Equipment, 1639 Improvements to Leased Buildings and Equipment, and 1640.1 Maintenance Buildings and Improvements, which shall be included in subfunction 5300 Maintenance Burden.
b. The cost of direct labor, materials and supplies, as well as outside repairs, used in the maintenance and repair of property and equipment shall be recorded on running job orders or tickets covering repairs and periodic inspections except servicing. Where a number of like items are maintained on a group basis, it will be necessary to maintain only one job order for each group.
c. When supervisory personnel such as crew chiefs, inspectors and foremen are engaged in direct labor in connection with equipment maintenance, a proportionate part of their salaries and wages shall be charged to the appropriate direct labor accounts. The cost of transporting property to and from shops for repair and maintenance shall be included as a part of the cost of the materials and supplies used in the repair or maintenance of such property and equipment. Transportation charges, customs and duties, etc., shall be included in the cost of repairs and maintenance operations when made by outside parties.
a. This subfunction shall include all overhead or general expenses used directly in the activities involved in periodic maintenance operations and the maintenance and repair of property and equipment of all types and classes, including the cost of direct labor, materials and outside services used in the maintenance and repair of maintenance property and equipment included in balance sheet accounts 1630 Equipment, 1639 Improvements to Leased Buildings and Equipment, and 1640.1 Maintenance Buildings and Improvements. It shall include expenses related to the administration of maintenance stocks and stores, the keeping of pertinent maintenance operation records, and the scheduling, controlling, planning and supervision of maintenance operations.
b. This subfunction shall not include expenses related to financial accounting, purchasing or other overhead activities which are of general applicability to all operating functions. Such expenses shall be included in function 6800 General and Administrative.
c. This subfunction shall include only those expenses attributable to the current air transport operations of the air carrier. Maintenance burden associated with capital projects of the air carrier, other than overhauls of airframes and aircraft engines, shall be allocated to such projects. Maintenance burden incurred in common with services to other companies and operating entities shall be allocated to such services on a pro rata basis unless the services are so infrequent in performance or small in volume as to result in no appreciable demands upon the air carrier's maintenance facilities. When overhauls of airframes or aircraft engines are as a consistent practice accounted for on an accrual basis instead of being expensed directly, maintenance burden shall be allocated to such overhauls on a pro rata basis. Standard burden rates may be employed for quarterly allocations of maintenance burden provided the rates are reviewed at the close of each calendar year. When the actual burden rate for the year differs materially from the standard burden rate applied, adjustment shall be made to reflect the actual costs incurred for the full accounting year. Allocations of maintenance burden to capital projects, and service sales to others shall be made through the individual maintenance burden objective accounts, except that the air carrier may make such allocations by credits to profit and loss account 77 Uncleared Expense Credits under such circumstances in which the use of that account will not undermine the significance of the individual maintenance burden objective accounts in terms of the expense levels associated with the air carrier's air transport services. Maintenance burden allocated to overhauls shall be credited to profit and loss subaccounts 5372.1 or 5372.6 Airworthiness Allowance Provisions.
This function shall include all expenses chargeable directly to activities contributing to the comfort, safety and convenience of passengers while in flight and when flights are interrupted. It shall not include expenses incurred in enplaning or deplaning passengers, or in securing and selling passenger transportation and caring for passengers prior to entering a flight status. Such expenses shall be included in functions 6400 Aircraft and Traffic Servicing and 6700 Promotion and Sales, respectively.
(a) This function shall include the compensation of ground personnel and other expenses incurred on the ground incident to the protection and control of the in-flight movement of aircraft, scheduling and preparing aircraft operational crews for flight assignment, handling and servicing aircraft while in line operation, servicing and handling traffic on the ground, subsequent to the issuance of documents establishing the air carrier's responsibility to provide air transportation, and in-flight expenses of handling and protecting all nonpassenger traffic including passenger baggage.
(b) This function shall include only those aircraft servicing and cleaning expenses which are incurred as an incidental routine during the normal productive use of aircraft in line operations. It shall not include expenses incurred in the repair and maintenance of property and equipment, or in checking or inspecting property and equipment in accordance with prescribed operational standards when such activities are not an incidental routine during the normal productive use of aircraft. Such expenses shall be included in function 5400 Maintenance.
(c) This function shall not include expenses incurred in securing traffic, arranging aircraft space for traffic sold or in issuing documents confirming
(d) Group III air carriers shall further subdivide this function as follows:
a. This subfunction shall include the compensation of ground personnel and other expenses incurred on the ground incident to the protection and control of the in-flight movement of aircraft; scheduling or preparing aircraft operational crews for flight assignment; landing and parking aircraft; visual inspection, routine checking, servicing and fueling of aircraft; and other expenses incurred on the ground incident to readying for arrival and takeoff of aircraft.
a. This subfunction shall include the compensation of ground personnel and other expenses incurred on the ground incident to handling traffic of all types and classes on the ground subsequent to the issuance of documents establishing the air carrier's responsibility to provide air transportation. Expenses attributable to the operation of airport traffic offices shall also be included in this subfunction; expenses attributable to reservations centers shall be excluded. It shall include expenses incurred in both enplaning and deplaning traffic as well as expenses incurred in preparation for enplanement and all expenses subsequent to deplane-ment.
b. This subfunction shall also include costs incurred in handling and protecting all nonpassenger traffic while in flight. It shall not include expenses incurred in contributing to the comfort, safety and convenience of passengers while in flight or when flights are interrupted. Such expenses shall be included in function 5500 Passenger Service.
a. This subfunction shall include expenses of a general nature incurred in performing supervisory or administrative activities relating solely and in common to subfunctions 6100 Aircraft Servicing and 6200 Traffic Servicing.
b. This subfunction shall not include supervisory or administrative expenses which can be charged directly to subfunction 6100 Aircraft Servicing or subfunction 6200 Traffic Servicing. Nor shall this subfunction include expenses of a general administrative character and of significant amount regularly contributing to operating functions generally. Such expenses shall be included in function 6800 General and Administrative.
c. The expenses in this subfunction shall be recorded separately for each geographic location at which incurred.
(a) This function shall include expenses incurred in creating public preference for the air carrier and its services; stimulating the development of the air transport market; and promoting the air carrier or developing air transportation generally.
(b) It shall also include the compensation of personnel and other expenses incident to documenting sales; expenses incident to controlling and arranging or confirming aircraft space for traffic sold; expenses incurred in direct sales solicitation and selling of aircraft space; and expenses incurred in developing tariffs and schedules for publication.
(c) This function shall not include expenses incurred in handling traffic subsequent to the issuance of documents establishing the air carrier's responsibility to provide air transportation which shall be included in functions 5500 Passenger Service and 6400 Aircraft and Traffic Servicing. However, for purposes of this system of accounts, expenses attributable to the operation of airport traffic offices, excluding reservation centers, shall be included in function 6400 Aircraft and Traffic Servicing. Expenses attributable to the operation of reservation or aircraft space control centers shall be included in function 6700 Promotion and Sales regardless of the location at which incurred.
(d) Group III air carriers shall subdivide this function as follows:
This subfunction shall include expenses incident to direct sales solicitation, documenting sales, controlling and arranging or confirming aircraft space sold, and in developing tariffs and schedules for publication. It shall also include expenses attributable to
a. This subfunction shall include expenses incurred in creating public preference for the air carrier and its services; stimulating development of the air transport market; and promoting the air carrier or developing air transportation generally.
b. This subfunction shall not include expenses incurred in direct sales solicitation and selling of aircraft space. Such costs shall be included in subfunction 6500 Reservations and Sales.
(a) This function shall include expenses of a general corporate nature and expenses incurred in performing activities which contribute to more than a single operating function such as general financial accounting activities, purchasing activities, representation at law, and other general operational administration, which are not directly applicable to a particular function.
(b) This function shall not include expenses incurred directly in promoting traffic or in promoting relations of the air carrier generally with the public which shall be included in function 6700 Promotion and Sales. Nor shall this function include expenses, regularly applicable in large part to a specific function, which contribute only incidentally, or in small amount, to various other functions. Such expenses when of such size as will not distort the function to which predominantly related, shall be included in the specific function to which regularly related. However, expenses of a general administrative character and of significant amount regularly contributing to operating functions generally shall be included in this function.
This function shall include all charges to expense to record losses suffered through current exhaustion of the serviceability of property and equipment due to wear and tear from use and the action of time and the elements, which are not replaced by current repairs, as well as losses in serviceability occasioned by obsolescence, supersession, discoveries, change in popular demand or action by public authority. It shall also include charges for the amortization of capitalized developmental and preoperating costs, leased property under capital leases, and other intangible assets applicable to the performance of air transportation. (See sections 6-1696, 1830 and 1890.)
(a) This function shall include all expense items applicable to the generation of transport-related revenues included in section 9, Function 4800.
(b) Such expense related to services of a magnitude or scope beyond an incidental adjunct to air transportation services shall not be included in this function (see section 1-6(b)). Expenses applicable to the generation of such revenues shall be included in profit and loss classification 8100, Nonoperating Income and Expense-Net, and the accounting modified to conform with that of a nontransport division whether or not the service is organized as a nontransport division.
(c) This function shall also include expenses representing increases in costs incurred in common with the air transport service, to the extent such increases result from the added transport-related services, as well as a pro rata share of the costs incurred by the air carrier in operating facilities which are used jointly with others. As a general rule, this function shall not include those expenses, other than joint facilities, costs, which would remain as an essential part of the air transport services if the transport-related services were terminated.
(a) Basic objective accounts, applicable to all air carrier groups, are established for recording all revenue and expense elements. These basic accounts
(b) Each air carrier shall credit the gross revenues accruing from services ordinarily associated with air transportation and transportation-related services to the appropriate account established for each revenue source. Expenses incident to transport and transport-related services shall be charged to the accounts established in this section in accordance with the objectives served by each expenditure. However, direct costs of forwarding traffic as a result of interrupted trips, and refunds of sales, shall be charged to the applicable revenue account.
(c) To the end that the integrity of the prescribed objective accounts shall not be impaired, each air carrier shall:
(1) Charge the appropriate account prescribed for each service purchased or expense element incurred expressly for the benefit of the air carrier regardless of whether incurred directly by the air carrier or through an agent or other intermediary, and (2) except as provided in objective account 77, Uncleared Expense Credits, credit or charge, as appropriate, the account prescribed for each expense element which may be involved in distributions of expenses between (i) separate operating entities of the air carrier, (ii) transport-related services and transport services, or transport functions, (iii) balance sheet and profit and loss elements, and (iv) the air carrier and others, when the expenses are incurred initially by or for the benefit of the air carrier. At the option of the air carrier, standard rates applicable to each objective account comprising a particular pool of expenses subject to assignment between two or more activities, may be established for proration purposes, provided the rates established are predicated upon the experience of the air carrier and are reviewed and modified as appropriate at least once each year.
(a) Record here revenue from the transportation of passengers by air, including infants transported at reduced fares, berth charges, surcharges for premium services and other similar charges. Revenue from airline employees, officers and directors, or other persons, except for ministers of religion, who are traveling under reduced-rate transportation authorized by 49 U.S.C. 41511(a) and 14 CFR part 223, as well as revenue from travel agents, cargo agents and tour conductors traveling at reduced fares, and revenues from service charges for passengers traveling on a nonrevenue basis shall be recorded in objective account 19 Air Transport—Other.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here revenue from the air transportation of passengers moving at either standard fares or premium fares, or at reduced fares not predicated upon the use of aircraft space specifically separated from first class, and for whom standard or premium quality services are provided.
Record here revenue from the air transportation of passengers moving at special fares reduced from the first class or premium fares which are predicated upon both the operation of specifically designated aircraft space and a reduction in the quality of service regularly and ordinarily provided.
(a) Record here revenue from the transportation by air of both United States and foreign mail.
(b) Fines and penalties imposed by the United States Government and foreign governments in connection with the carriage of mail shall not be charged to this account but to profit and loss account 89.9 Other Miscellaneous Nonoperating Debits.
(c) This account shall be subdivided as follows by all air carrier groups:
Record here revenue from United States mail for which transportation by air is provided on a priority basis.
Record here revenue from United States mail for which transportation by air is provided on a space available basis.
Record here revenue from the transportation by air of mail other than United States mail.
(a) Record here revenue from the transportation by air of property including excess passenger baggage.
(b) Revenues resulting from services incidental to the transportation services such as collection of shipper's interest insurance premiums and charges and fees for service such as pick-up and delivery, assembly and distribution, storage and handling, and C.O.D. collection shall not be credited to this account but to profit and loss account 17 Air Cargo Services.
(c) This account shall be subdivided as follows by all air carrier groups:
Record here revenue from the transportation by air of property other than passenger baggage.
Record here revenue from the transportation by air of passener baggage in excess of fixed free allowance.
(a) Record here the revenue from nonscheduled air transport services (except as otherwise required by profit and loss Account 86 Income from Nontransport Ventures) where the party receiving the transportation obtains exclusive use of an aircraft at either published tariff or other contractual rates and the remuneration paid by the party receiving transportation accrues directly to, and the responsibility for providing transportation is that of, the accounting air carrier. This account shall also include revenues from air transport services other than inter-airport services, whether scheduled or nonscheduled, where each passenger or shipment receiving transportation is individually documented and does not obtain exclusive use of an aircraft.
(b) This account shall not include revenues or fees received from other air carriers for flight facilities furnished or operated by the accounting air carrier where the remuneration paid by the party receiving transportation accrues directly to, and the responsibility for providing transportation is that of other air carriers. Such revenues and related expenses shall be included in profit and loss accounts 11, Rents; 13, Interchange Sales; or 18, Other Transport-Related Revenues and Expenses.
(c) This account shall be subdivided as follows by all air carrier groups:
Record here revenue from the transportation of passengers and their personal baggage.
Record here revenue from the transportation of property.
Record here amounts of compensation received pursuant to the provisions of 49 U.S.C. 41733 under rates established by the Department of Transportation for the provision of essential air service to small communities.
(a) Record here revenues from and expenses related to transport-related services performed while in flight.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here revenues from and expenses related to the operation of restaurants and similar facilities, and from sales of food. (See section 12-51.)
(b) This account shall be subdivided as follows by all air carrier groups.
(a) Record here revenues from and expenses related to property and equipment owned or leased which has been rented or subleased to others exclusive of associated companies. This account shall not include fees from the use by others of air carrier aircraft under aircraft interchange agreements.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here revenues from and expenses related to the operation of passenger limousine surface transportation services.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here the revenues or fees from and the expenses related to services provided associated companies and other than associated companies by the air carrier under aircraft interchange agreements. This account shall be charged and the applicable operating expense objective accounts shall be credited, except as provided in operating expense objective account 77, Uncleared Expense Credits, with the expenses attaching to services provided all companies under aircraft interchange agreements.
(b) This account shall not include revenues or expenses related to air transportation services performed in the name of and for the account of the accounting air carrier. Such revenues shall be included in applicable transport revenue and operating expense objective accounts.
(c) This account shall be subdivided as follows by all air carrier groups:
(a) Record here the revenues, commissions or fees from and expenses related to other than air transportation and aircraft interchange services provided to associated and outside companies by the air carrier. This account shall include the contractual fees or other revenues from and expenses related to services provided to associated and other companies in the operation of facilities which are used jointly with associated and other companies as well as revenues from and the costs related to the sale of supplies, parts and repairs sold directly or furnished as a part of services to associated and other companies.
(b) This account shall not include consideration received from sales of property, equipment, materials or supplies when disposed of as a part of a program involving retirement of property and equipment as opposed to routine sales and services to associated and other companies unless such disposition is conducted as a normal part of the incidental sales activity. Such retirement gain or loss shall be included in capital gains and losses accounts. Maintenance parts, materials or supplies sold as a service to others shall be charged to this account at cost without adjustment of related obsolescence or depreciation allowances.
(c) This account shall be subdivided as follows by all air carrier groups:
(a) Record here revenues from and expenses related to substitute service. This account shall include as revenues all monies received from substitute carriers and as expense all monies paid to substitute carriers.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here fees and other revenues from and expenses related to incidental services performed in connection with cargo shipments such as pickup and delivery fees, shipper's interest insurance charges, storage and handling fees, etc.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here revenues from and expenses related to transport-related services not provided for in profit and loss accounts 10 through 17, inclusive, such as revenues and expenses incident to the operation of flight facilities by the accounting air carrier, except those operated under aircraft interchange agreements, where the remuneration paid by the party receiving transportation accrues directly to, and the responsibility for providing transportation is that of, other air carriers; and the revenues and expenses incident to vending machines, parcel rooms, storage facilities, etc.
(b) [Reserved]
(c) Revenues from the renting or leasing of property and equipment to others shall not be included in this account but in profit and loss account 11 Rents.
(d) This account shall be subdivided as follows by all air carrier groups:
(a) Record here revenues associated with air transportation conducted by the air carrier, not provided for in profit and loss accounts 01 through 09, inclusive, such as revenue from (1) airline employees, officers and directors, or other persons, except for ministers of religion, who are traveling under reduced-rate transportation authorized by 49 U.S.C. 41511(a) and 14 CFR part 223, as well as travel agents, cargo agents and tour conductors traveling at reduced fares, (2) service charges for failure to cancel or for late cancellation of air transportation reservations, and (3) nontransportation service charges collected on both revenue and nonrevenue flights.
(b) Revenues derived from sightseeing, aerial photography, advertising, or other special flights shall not
(c) This account shall be subdivided as follows by all air carrier groups:
(a) Each element of expense ordinarily associated with air transportation services shall be charged to the accounts established in this section in accordance with the objectives served by each expenditure. Basic objective accounts, applicable to all air carrier groups, are established for recording all expense elements. These basic accounts are in certain areas subdivided to provide greater detail for indicated air carrier groups.
(b) To the end that the integrity of the prescribed objective accounts shall not be impaired, each air carrier shall:
(1) Charge the appropriate account prescribed for each service purchased or expense element incurred expressly for the benefit of the air carrier regardless of whether incurred directly by the air carrier or through an agent or other intermediary, and (2) except as provided in objective account 77 Uncleared Expense Credits, credit or charge, as appropriate, the account prescribed for each expense element which may be involved in distributions of expenses between (i) separate operating entities of the air carrier, (ii) incidental and transport services or transport functions, (iii) balance sheet and profit and loss elements and (iv) the air carrier and others, when the expenses are incurred initially by or for the benefit of the air carrier. At the option of the air carrier, standard rates applicable to each objective account comprising a particular pool of expenses subject to assignment between two or more activities, may be established for proration purposes, provided the rates established are predicated upon the experience of the air carrier and are reviewed and modified as appropriate at least once each year.
Record here the compensation, including vacation and sick leave pay, of general officers and supervisors, and immediate assistants regardless of locality at which based, responsible for an activity not provided for in profit and loss accounts 25 through 35, inclusive, or an activity involving two or more such accounts.
Record here the compensation, including vacation and sick leave pay, of pilots and copilots assigned or held inactive awaiting assignment to flight duty.
Record here the compensation, including vacation and sick leave pay, of other flight personnel assigned or held inactive awaiting assignment to flight status, not responsible for the in-flight management of aircraft, such as engineers, navigation officers and cabin attendants.
(a) Record here the compensation for time of personnel spent directly on specific property and equipment maintenance projects. (See sections 10 and 11-5200.) Vacation and sick leave pay shall be charged to profit and loss account 28 Trainees, Instructors and Unallocated Shop Labor.
(b) This account shall be subdivided as follows:
Record here the direct labor expended upon airframes, spare parts related to airframes, and other flight equipment (Other than aircraft engines and spare parts related to aircraft engines). Other flight equipment shall include instruments, which encompass all gauges, meters, measuring devices, and indicators, together with appurtenances thereto for installation in aircraft and aircraft engines which are maintaned separately from airframes and aircraft engines.
Record here the direct labor expended upon aircraft engines and spare parts related to aircraft engines.
Record here the direct labor expended upon flight equipment of all types and classes.
Record here the direct labor expended upon ground property and equipment of all types and classes. Direct labor expended upon general ground properties shall be charged to subfunction 5200 Direct Maintenance; and direct labor expended upon maintenance buildings and equipment shall be charged to subfunction 5300 Maintenance Burden.
(a) Record here the compensation, including vacation and sick leave pay, of personnel of all types and classes, including direct supervisory personnel, assigned to ground activities, engaged directly in protecting and controlling aircraft in flight, scheduling and preparing flight crews for flight assignment, parking and servicing aircraft incidental to line operations, and of personnel of all types and classes engaged in servicing and handling traffic of all types and classes on the ground.
(b) This account shall be subdivided as follows by Group II and Group III air carriers:
Record here compensation of personnel handling or controlling aircraft and generally servicing or handling traffic of all types and classes whose activities are not identifiable with the particular activities provided for in subaccounts 26.2, 26.3, or 26.4, inclusive.
Record here compensation of personnel whose activities are identifiable with the protection and control of aircraft in flight and in scheduling or preparing flight crews for flight assignment.
Record here compensation of personnel whose activities are identifiable with the handling of passengers.
Record here compensation of personnel whose activities are identifiable with the handling of passenger baggage, mail, express, or freight.
(a) Record here the compensation, including vacation and sick leave pay, of instructors and personnel in an off-the-job training status; direct maintenance personnel compensation not assigned to specific projects; and vacation or sick leave pay of direct maintenance personnel.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here the compensation of instructors and personnel in a training status.
Record here the pay of direct maintenance personnel which has not been assigned to profit and loss account 25 Maintenance Labor for time spent on specific maintenance projects, and vacation or sick leave pay of direct maintenance personnel.
Record here the compensation, including vacation and sick leave pay, of personnel of all types and classes, including direct supervisory personnel, engaged in local, interstation, or groundair communication activities. This account shall include compensation of personnel such as radio operators, telephone operators, switchboard operators, teletype operators, messengers, etc.
Record here the compensation, including vacation and sick leave pay, of personnel including supervisory personnel, whose primary duties relate to maintaining records or conducting economic or other analyses required for general management controls, such as accountants, economists, statisticians, maintenance record clerks, stores
Record here the compensation, including vacation and sick leave pay, of air carrier personnel engaged in law research or representing the air carrier in matters of law.
Record here the compensation, including vacation and sick leave pay, of personnel engaged directly in solicitation of traffic of all types and classes. This account shall not include compensation of traffic office personel engaged in soliciting activities incidental to the documenting of sales and assigning aircraft space which shall be included in profit and loss account 26 Aircraft and Traffic Handling Personnel.
(a) Record here the compensation, including vacation and sick leave pay, of personnel, including direct supervisory personnel, engaged in purchasing activities.
(b) This account shall include compensation of personnel engaged in maintaining purchasing records but shall not include compensation of personnel responsible for the control of inventories or stores which shall be included in objective account 31 Record Keeping and Statistical Personnel. In cases where the responsibility for maintaining purchasing and stores records are inseparable, the related compensation may be accounted for in accordance with dominant responsibilities.
Record here the compensation, including vacation and sick leave pay, of personnel whose activities are not identifiable with activities provided for in profit and loss accounts 21 through 34, inclusive.
(a) Record here expenses incurred by officers, executives, directors and other personnel, whether for the benefit of the air carrier or for the private benefit of such persons, which are directly or indirectly borne by the air carrier.
(b) This account shall include allowances in lieu of expenses as well as expenses incurred for travel, lodgings, meals, entertainment of individuals or groups of individuals, and membership fees and dues in professional or social clubs and associations.
(c) Records shall be maintained in a conveniently accessible form which will separately and clearly document each charge to this account in terms of its natural characteristics and contribution to the performance of the air carrier's transport operations. The records shall be maintained in such manner as will identify specifically the persons incurring the cost. Costs for standby hotel or other facilities maintained for the air carrier's personnel generally need not be allocated among the individuals using such facilities; however, sufficiently detailed records are required to identify the use made of such facilities by each individual.
Record here expenses, including related taxes, incurred for rental of communication services and for communication services of all types and classes not provided by personnel of the air carrier, such as telegraph, telephone, teletype, private line services, and charges for communication services from organizations operated jointly with associated companies or others.
Record here charges related to the provision of light, heat, power and water including related taxes.
(a) Record here charges by others, including associated companies, for commissions arising from sales of transportation. Commissions, fees or other charges incurred for general agency services, as opposed to commissions
(b) This account shall be subdivided as follows by Group II and Group III air carriers.
Record here charges for commissions arising from sales of passenger transportation.
Record here charges for commissions arising from sales of nonpassenger transportation.
Record here expenditures incurred for legal services by counsel retained on a fee basis and related expenses reimbursed or borne directly by the air carrier and other expenses incurred directly by the air carrier for legal supplies not obtainable from the air carrier's general stationery stock. This account shall not be charged with legal fees or expenses incurred in connection with claims occasioned by accidents or other casualties. Such charges shall be accumulated in balance sheet account 1890 Other Assets and cleared to profit and loss account 58 Injuries, Loss and Damage upon settlement of insurance claims. Nor should this account include fees or expenses related to developmental projects. Such expenses shall be included, as appropriate, in profit and loss account 89.9 Other Miscellaneous Nonoperating Debits or balance sheet account 1830 Unamortized Developmental and Preoperating Costs.
Record here fees and expenses, other than legal fees and expenses, incurred for outside professional and technical services which are reimbursed or borne directly by the air carrier. This account shall not include fees or expenses related to developmental projects. Such expenses shall be included, as appropriate, in profit and loss account 89.9 Other Miscellaneous Nonoperating Debits or balance sheet account 1830 Unamortized Developmental and Preoperating Costs.
(a) Record here charges for services performed for the air carrier by outside and associated companies which are not identifiable with services provided for in profit and loss accounts 37 through 41, inclusive, or which are not expressly identified with other objective expense accounts.
(b) Charges from outside and associated companies for services provided the air carrier under aircraft interchange agreements or other agreements embracing a complete activity or service, such as the operating of jointly used ground facilities, shall be included in this account for each operating function to which the services contribute. Charges for providing aircraft capacity, including charges for depreciation and interest on the capital related to the flight equipment provided, shall be included in function 5100 Flying Operations.
(c) This account shall be subdivided by each air carrier group, as follows:
Record here charges for maintenance or repair of airframes and spare parts related to airframes owned or leased by the air carrier. Charges for maintenance or repair of other flight equipment (including instruments) owned or leased by the air carrier, excluding aircraft engines and spare parts related to aircraft engines, shall also be recorded here. Instruments shall include all gauges, meters, measuring devices, and indicators, together with appurtenances thereto for installation in aircraft and aircraft engines, which are maintained separately from airframes and aircraft engines. Charges by outside and associated companies for maintenance of flight equipment provided under aircraft interchange agreements shall not be included in this subaccount but in subaccount 43.7 Aircraft Interchange Charges.
Record here charges for maintenance of repair or aircraft engines, including spare parts related to aircraft engines owned or leased by the air carrier. Charges by outside and associated companies for maintenance of aircraft engines provided under aircraft
Record here charges for maintenance or repair of flight equipment of all types and classes owned or leased by the air carrier. Charges by outside and associated companies for maintenance of flight equipment provided under aircraft interchange agreements shall not be included in this subaccount but in subaccount 43.7 Aircraft Interchange Charges.
Record here charges by outside and associated companies for providing aircraft capacity or services related to the direct operation or maintenance of flight equipment under aircraft interchange agreements.
Record here charges by outside and associated companies for services provided the air carrier under aircraft interchange agreements, other than charges related to the direct operation or maintenance of flight equipment, including all charges for maintenance and repair of group properties, as well as fees or charges for traffic solicitation and sales, or supervision and administration covered by the aircraft interchange agreements. Charges for depreciation or interest on capital related to flight equipment provided under interchange agreements shall not be included in this subaccount but in subaccount 43.7 Aircraft Interchange Charges.
Record here charges for maintenance and repair of ground property and equipment of all types and classes and other charges for services performed by outside and associated companies not provided for elsewhere. This subaccount shall include only those charges for services not provided for elsewhere in profit and loss accounts 37 to 41, inclusive, and subaccounts 43.1 to 43.8, inclusive, embracing a complete activity or service provided by outside and associated companies such as the operation of traffic offices or other facilities used jointly with the air carrier which do not represent reimbursement of specific expense elements incurred expressly for the benefit of the air carrier. Reimbursement of expenses incurred expressly for the benefit of the air carrier shall be entered in appropriate personnel compensation or other objective expense accounts. The cost of services received in the repair of general ground properties shall be charged to subfunction 5200 Direct Maintenance; and services received in the repair of maintenance buildings and equipment shall be charged to subfunction 5300 Maintenance Burden.
Record here the charges and fees incurred for landing of aircraft while in line operation.
(a) Record here the cost of fuels and oils issued from stocks of the air carrier, or delivery directly by others, to aircraft for use in flight operations. Adjustments of inventories of aircraft fuel and oil shall also be entered in this account. The cost of fuels and oils used in repairs and maintenance services and nonrefundable fuel and oil taxes shall not be included in this account but in profit and loss accounts 49 Shop and Servicing Supplies and 69 Taxes—Other than Payroll, respectively.
(b) This account shall be subdivided as follows by Group II and Group III air carriers:
Record here the cost of fuels used in flight operations.
Record here the cost of oils used in flight operations.
(a) Record here the cost of materials and supplies consumed directly in specific property and equipment maintenance projects.
(b) This account shall be subdivided as follows:
Record here the cost of materials and supplies consumed directly in maintenance of airframes and spare parts related to airframes. Other flight equipment (including instruments), excluding aircraft engines and spare parts related to aircraft engines, shall also be recorded here. Instruments shall include all gauges, meters, measuring devices, and indicators, together with appurtenances thereto for installation in aircraft and aircraft engines, which are maintained separately from airframes and aircraft engines.
Record here the cost of materials and supplies consumed directly in maintenance of aircraft engines and spare parts related to aircraft engines.
Record here the cost of materials and supplies consumed directly in the maintenance of flight equipment of all types and classes.
Record here the cost of materials and supplies consumed directly in the maintenance of ground property and equipment of all types and classes. The cost of materials and supplies consumed in the repair of general ground properties shall be charged to subfunction 5200 Direct Maintenance and materials and supplies consumed in the repair of maintenance buildings and equipment shall be charged to subfunction 5300 Maintenance Burden.
Record here rentals, fee, or charges incurred in the use of property and equipment provided by others. When a lease arrangement provides that the amounts paid include charges for maintenance, insurance, or taxes, the amounts related thereto shall not be recorded in this account but in the appropriate expense account to which related.
Record here the cost of supplies and expendable small tools and equipment used in maintaining, servicing and cleaning property or equipment the cost of which cannot be directly assigned to a specific job or type of work.
Record here the cost of stationery and forms used by the air carrier including the cost of engineering and shipping supplies.
(a) Record here the cost of food and refreshments served passengers except food costs arising from interrupted trips.
(b) If the air carrier prepares its own food, the initial cost and expenses incurred in the preparation thereof shall be accumulated in a clearly identified clearing account through which the cost of food shall be cleared to this account, to profit and loss account 36 Personnel Expenses, and to profit and loss account 10 Hotel, Restaurant and Food Service on bases which appropriately allocate the cost of food served passengers, the cost of food provided employees without charge and the cost of food sold.
Record here the cost of supplies consumed and not provided for otherwise.
Record here adjustments for overage, shortage or shrinkage of inventories carried in balance sheet account 1300 Spare Parts and Supplies. Adjustment of aircraft fuel and oil inventories due to retroactive price increases and decreases shall not be included in this account but in profit and loss account 45 Aircraft Fuels and Oils. Gains or losses from retirements of materials and supplies shall not be recorded in this account but in profit and loss account 88.5 Capital Gains and Losses—Operating Property.
Record here the cost of public liability and property damage insurance and all other general insurance except insurance covering liability for injuries, loss, and damage to passengers and cargo, and insurance carried for the protection or welfare of employees.
Record here the cost of purchased insurance covering liability for injuries, loss and damage to passengers and cargo.
(a) Record here all costs for the benefit or protection of employees including all pension expenses whether for payments to or on behalf of retired employees or for accruals or annuity payments to provide for pensions; and all expenses for accident, sickness, hospital, and death benefits to employees or the cost of insurance to provide these benefits. Include, also, expenses incurred in medical, educational, or recreational activities for the benefit of employees. Do not include vacation and sick leave pay, or salaries of doctors, nurses, trainees, or instructors, which shall be recorded in the regular salary accounts.
(b) [Reserved]
Record here the remainder of gains, losses or costs resulting from accidents, casualties or mishandlings, after offsetting insurance recoveries, as accumulated until finally determined in balance sheet account 1890 Other Assets and Deferred Charges. This account shall not include gains or losses from retirement of property and equipment resulting from casualties. Such gains or losses shall be recorded in appropriate capital gains or losses accounts.
Record here the production and distribution cost, excluding compensation of air carrier personnel, of all operating schedules, timetables, circulars and related quick reference charts.
Record here the cost, excluding compensation of air carrier personnel, of all space, direct mail, spot and other advertising for the purpose of increasing air travel, disseminating air travel information and publicizing services offered by the air carrier.
Record here gains or losses from transactions involving currency translations resulting from normal, routine, current fluctuations in rates of foreign exchange. Gains or losses of a nonroutine abnormal character and gains or losses which arise from long-term debt principal and interest transactions shall not be entered in this account but in profit and loss account 85, Foreign Exchange Gains and Losses.
Record here the costs, excluding compensation of air carrier personnel, of producing and distributing publicity releases and other expenses, not chargeable to profit and loss accounts 59 and 60, incurred for the purpose of publicizing or improving the public relations of the air carrier generally.
Record here expenses allowed or paid for the care and serving of passengers because of unscheduled interruptions in passenger journeys. Transportation refunds and the cost of forwarding traffic by surface common carrier or otherwise as a result of such interruptions shall not be charged to this account but to the appropriate operating revenue account.
Record here the cost of membership dues in trade associations, chambers of commerce, or other business associations and organizations together with special assessments related thereto.
Record here corporate and fiscal fees and expenses of the air carrier and all expenses in connection with exchange and transfer of capital stock excluding expenses in connection with original issuance of capital stock.
Record here losses from uncollectible accounts and allowance provisions and adjustments thereto, for such losses.
Record here clearance, customs, duties and brokerage fees and charges applicable to clearing aircraft and traffic.
Record here all taxes levied against the air carrier based upon or directly relating to compensation of personnel.
(a) Record here all taxes levied against the air carrier not otherwise provided for including nonrefundable aircraft fuel and oil taxes. Interest and penalties on delinquent taxes shall not be charged to this account but to profit and loss accounts 82 Other Interest and 89.9 Other Miscellaneous Nonoperating Debits, respectively.
(b) Entries to this account shall clearly reveal each kind of tax and the governmental agency to which paid or payable.
Record here all expenses ordinarily associated with air transportation and its incidental services not provided for otherwise.
(a) Record here airframe and aircraft engine overhauls of the current period which are transferred to balance sheet subaccounts 1601.2 Unamortized Airframe Overhauls or 1602.2 Unamortized Aircraft Engine Overhauls. This account shall also include the amount of deferred overhauls costs being amortized for the current period. For carriers which elect to continue accruing for aircraft overhauls for aircraft types acquired before January 1, 1976, as well as for other aircraft of the same type acquired after January 1, 1976, the related provisions and charges shall be recorded in the appropriate subaccounts of this account.
(b) This account shall be subdivided as follows by all carrier groups:
Record here current provisions for effecting an equitable distribution of airframe overhaul costs between different accounting periods. Record here also credits for airframe overhaul costs incurred in the current period which have been charged against related airworthiness allowances.
Record here airframe overhauls of the current period transferred to subaccount 1601.2, Unamortized Airframe Overhauls, and the amount of deferred airframe overhaul costs amortized for the current period.
Record here current provisions for effecting an equitable distribution of aircraft engine overhauls costs between different accounting periods. Record here also credits for aircraft engine overhaul costs incurred in the current period which have been charged against related airworthiness allowances.
Record here airframe overhauls of the current period transferred to subaccount 1602.2, Unamortized Aircraft Engine Overhauls, and the amount of deferred aircraft engine overhaul costs amortized for the current period.
(a) Where allowances for loss in value of flight equipment expendable parts are established, provisions for accruals to such allowances shall be charged to this account and credited to balance sheet account 1311 Allowance for Obsolescence in accordance with the provisions of that account.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here provisions during the current period for losses in value of expendable parts.
Record here credits applicable to the current period for any adjustments for excess inventory allowance levels determined pursuant to section 6-1311.
(a) Record here amortization of deferred changes attaching to the air transportation services conducted by the air carrier which are not prepayments of recurrent expenses ordinarily requiring expenditures of working capital within one year.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here amortization of the cost of projects carried in balance sheet account 1830 Unamortized Developmental and Preoperating Costs.
Record here mortization of the cost of intangibles not provided for otherwise.
(a) Record here provisions for depreciation of property and equipment carried in balance sheet accounts 1601 through 1640, inclusive.
(b) This account shall be subdivided as follows:
Record here provisions for depreciation of property and equipment carried in balance subaccount 1601.1 Airframes.
Record here provisions for depreciation of property and equipment carried in balance sheet subaccount 1602.1 Aircraft Engines.
Record here provisions for depreciation of spare airframe instruments and parts carried in balance sheet subaccount 1608.1 Airframe Parts and Assemblies.
Record here provisions for depreciation of spare aircraft engine instruments and parts carried in balance sheet subaccount 1608.5 Aircraft Engine Parts and Assemblies.
Record here provisions for depreciation of property and equipment carried in balance sheet account 1607 Improvements to Leased Flight Equipment (exclusive of capitalized overhauls accounted for on a deferral and amortization basis) and balance sheet subaccount 1608.9 Other Parts and Assemblies. Group I air carriers shall also include in this subaccount provisions for depreciation of property carried in balance sheet account 1608 Flight Equipment Rotable Parts and Assemblies.
This classification is established only for purposes of control by the BTS and shall include all charges to operating expenses for depreciation of flight equipment of all types and classes.
Record here provisions for depreciation of maintenance property and equipment included in balance sheet accounts 1630 Equipment, 1639 Improvements to Leased Buildings and Equipment, and 1640.1 Maintenance Buildings and Improvements.
Record here provisions for depreciation of property and equipment included in balance of property and equipment included in balance sheet accounts 1630 through 1640, exclusive of provision for depreciation of maintenance property and equipment included in account 75.8.
(a) Record here amortization charges applicable to assets recorded under capital leases in Account 1695—Leased Property under Capital Leases.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here amortization charges applicable to flight equipment acquired under capital leases.
Record here the amortization charges applicable to property and equipment, other than flight equipment, acquired under capital leases.
(a) Record here credits to operating expenses, which have not been cleared to the objective accounts to which applicable.
(b) Each air carrier shall credit, or charge as appropriate, the objective account prescribed for each expense element which may be involved in distribution of expenses between separate reporting entities or nontransport divisions of the air carrier. At the option of the air carrier, either the individual applicable objective accounts or this account may be credited with amounts capitalized, charged against incidental services, or otherwise assigned to other than separate operating entities of the air carrier provided the aggregate credits to this account in each function do not, for any accounting year, distort the individual objective accounts of the function to which related and all expense credits applicable to complete individual transactions are consistently credited either to this account or the individual objective accounts to which related. Each air carrier using this account shall establish such standard practices as may be prescribed by the BTS or, in the absence of such action by the Civil Aeronautics Board, such standard practices as will prevent credits to this account from significantly distorting the individual objective accounts of each function to which related.
(c) This account shall not be credited with amounts applicable to objective accounts of the Flying Operations, Depreciation, and Direct Maintenance functions. Credits applicable to such functions shall be carried to the individual objective accounts to which applicable.
(d) This account shall be subdivided as follows by all air carrier groups:
Record here credits to operating expenses, from operations performed for others under aircraft interchange agreements, which have not been cleared to the objective accounts to which applicable.
Record here credits to operating expenses, from other than operations under aircraft interchange agreements, which have not been cleared to the objective accounts to which applicable.
This classification is established for purposes of control by the BTS and shall include all charges to operating expenses for maintenance of flight equipment of all types and classes.
(a) This classification is established only for purposes of control by the BTS and reporting on Form 41 by air carriers, and shall reflect all maintenance burden applied in accordance with the provisions of section 24, schedule P-5 of this system of accounts and reports.
(b) This classification shall be subdivided as follows by all air carrier groups:
Included under account 89 Other Nonoperating Income and Expense—Net.
(a) Record here interest expense applicable to long-term debt and capitalized leases.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here interest on all classes of long-term debt. This includes interest expense applicable to all portions of long-term debt which are classified as either current (Account 2000) or long-term (Account 2210) for balance sheet classification purposes.
Record here for all capitalized leases, that portion of each lease payment which represents interest expense.
(a) This account shall be subdivided as follows by all air carrier groups:
Record here interest on all classes of short-term debt.
Record here credits related to imputed interest capitalized and recorded in asset accounts.
Record here debits related to imputed interest deferred in balance sheet account 2390, Other deferred credits.
Record here periodic credits for imputed interest, cleared to this account as the amount of such interest in the asset accounts is amortized.
Record here interest which is capitalized and recorded in asset accounts.
Record here for all classes of debt the amortizations of discount and expense on short-term and long-term obligations.
Record here for all classes of debt the amortizations of premium on short-term and long-term obligations.
(b) [Reserved]
Included under account 82 Other Interest.
Included under account 82 Other Interest.
Record here gains and losses from transactions involving currency translations resulting from nonroutine abnormal changes in rates of foreign exchange and gains or losses which arise from translations of long-term debt principal and interest transactions.
Included under account 89 Other Non-Operating Income and Expense—Net.
Included under account 89 Other Nonoperating Income and Expense—Net.
(a) Record here all debits and credits of a nonoperating character which are not otherwise provided for in this section.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here interest income from all sources. This account shall include as an increase or reduction of interest received the proportionate amortization of any discount or premium on the purchase price of securities of others held by the air carrier.
(b) This account shall not include interest on securities issued or assumed by the air carrier and subsequently reacquired.
(a) Record here the gross revenues and expenses applicable to operations not reasonably considered as incidental to the commercial air transport services of the accounting entity; rents from nonoperating properties used by others; income or loss from nontransport divisions; and other income or loss from activities of the air carrier which are extraneous to the air transport and incidental services of the accounting entity.
(b) This account shall include revenues and expenses applicable to nonscheduled transport services performed for the defense establishment when separate reports for such services are required in accordance with section 21 “Introduction to System of Reports.” Where the foregoing transport services are
Record here the equity in the current earnings or losses of investor controlled companies. Dividends declared on the stock of such companies shall not be included in this account as income but shall be entered in balance sheet subaccount 1510.1 Investments in Investor Controlled Companies as a return on investment.
Record here all intercompany credits for any differences between amounts at which transactions between the air carrier and its nontransport divisions or associated companies are initially recorded and are to be settled.
Record here income from dividends declared on stocks of other than investor controlled companies. Dividends declared on stock of investor controlled companies shall not be included in this account but shall be entered in balance sheet subaccount 1510.1 Investments in Investor Controlled Companies.
Record here the net unrealized gain or loss on the valuation of marketable equity securities.
Record here the net realized gain or loss on the valuation of marketable equity securities.
Record here gains or losses on retirements of operating property and equipment, flight equipment expendable parts, or miscellaneous materials and supplies sold or otherwise retired in connection with a general retirement program as opposed to incidental sales performed as a service to others.
Record here gains or losses not required to be reported in accounts 88.3, 88.4 and 88.5 such as gains or losses on retirement of nonoperating property and equipment, investments in other than marketable equity securities, and the transfer of assets in a troubled debt restructuring.
Record here cash discounts on routine purchases of materials, repair parts or supplies. Cash discounts on classes of assets included in property and equipment accounts shall not be recorded in this account but shall be applied as a reduction of the cost of such accounts.
Record here all credits of a nonoperating character not provided for otherwise, such as royalties from patents, gains from reacquisition and retirement or resale of debt securities issued by the air carrier, and gains resulting from troubled debt restructurings.
Record here all intercompany debits for any differences between amounts at which transactions between the air carrier and its nontransport divisions or associated companies are initially recorded and are to be settled.
Record here all debits of a nonoperating character not provided for otherwise, such as the following:
(a) Fines or penalties imposes by governmental authorities;
(b) Costs associated with employment discrimination that include the following:
(1) Fines or penalties paid by the carrier as a result of a judicial or administrative decree; or the amount paid to the complainant in settling or securing a consent decree;
(2) Back pay awards as a result of a judicial or administrative decree or a compromise settlement regardless of admission of guilt;
(3) Attorneys' fees or court costs awarded to the complainant by a judicial or administrative decree or as a result of a compromise settlement regardless of admission of guilt;
(4) The fees of outside legal counsel or of experts retained in the unsuccessful defense of a discrimination suit or in securing a compromise settlement or consent decree, unless the amounts attributable to the discrimination are not reasonably identifiable; or
(5) Any other expenses, such as employee salaries, resulting from employment practices that were found to be discriminatory or that were the subject of a compromise settlement or consent decree where the amounts attributable to discrimination are reasonably identifiable.
(c) Amortization expense attributable to capital leases recorded in balance sheet Account 1795, Leased Property under Capital Leases;
(d) Costs related to property held for future use;
(e) Donations for charitable, social or community welfare purposes;
(f) Losses on reacquired and retired or resold debt securities of the air carrier;
(g) Losses resulting from troubled debt restructurings;
(h) Losses on uncollectible nonoperating receivables; or
(i) Accruals to allowance for uncollectible nonoperating receivables.
(a) Record here quarterly provisions for accruals of Federal, State, local, and foreign taxes based upon net income, computed at the normal tax and surtax rates in effect during the current accounting year. In general, this account shall reflect provisions within each period for currently accruing tax liabilities as actually or constructively computed on tax returns, and any subsequent adjustments. This account shall include credits for refund claims arising from the carryback of losses in the year in which the loss occurs, credits for the carry-forward of losses in the year to which the loss is carried, and investment tax credits in the year in which each credit is utilized to reduce the liability for income taxes.
(b) Income taxes shall be allocated among the transport entities of the air carrier, its nontransport divisions, and members of an affiliated group. Under circumstances in which income taxes are determined on a consolidated basis by an air carrier and other members of an affiliated group, the income tax expense to be recorded by the air carrier shall be the same as would result if determined for the air carrier separately for all time periods, except that the tax effect of carryback and carryforward operating losses, investment tax credits, or other tax credits generated by operations of the air carrier shall be recorded by the air carrier during the period in which applied in settlement of the taxes otherwise attributable to any member, or combination of members, of the affiliated group. Any difference between the income tax so recorded and the amount at which settlement is to be made shall be recorded in subaccount 88.1 Intercompany Transaction Adjustment—Credit or in subaccount 89.1 Intercompany Transaction Adjustment—Debit, as is appropriate.
(c) This account shall be subdivided as follows by all carrier groups:
Record here accruals of income taxes based upon taxable income of the period.
Record here investment tax credits utilized to reduce the accrued liability for income taxes.
(a) Record here income tax debits and credits deferred in accordance with the provisions of balance sheet account 2340 Deferred Income Taxes for all material timing differences.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here investment tax credits of the current period which are transferred to balance sheet account 2345 Deferred Investment Tax Credits in accordance with the provisions of balance sheet account 2130 Accrued Taxes. This account shall also include amounts for previously deferred investment tax credits amortized during the current period.
(b) This account shall be subdivided as follows by all carrier groups:
(a) Record here the earnings (losses) of discontinued nontransport operations. For the purposes of this system of accounts and reports discontinued operations shall refer to the disposal of investor controlled companies and nontransport ventures whether sold, abandoned, spun off, or otherwise disposed of. This account shall not include earnings or losses from discontinued transport or transport-related operations.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here the results of operations of the discontinued operations.
Record here the gain or loss on the disposal of an operation. If loss is anticipated it should be provided for at the measurement date. If gain is anticipated it should be recognized when realized.
Record here material items characterized by their unusual nature and infrequent occurrence. Events or transactions which are material and either unusual or nonrecurring, but not both, shall be recorded in the profit and loss accounts to which they relate and disclosed on BTS Form 41 Schedule P-2 with identification as to their nature and financial effects.
Record here income taxes allocable to items of income included in profit and loss account 96 Extraordinary Items and income tax assessments that do not constitute ordinary adjustments of a recurrent nature. Records supporting entries to this account shall be maintained with sufficient particularity to identify the nature and gross amount of each extraordinary credit and each extraordinary debit.
Record here the difference between the amount of retained earnings at the beginning of the period of a change in accounting principle and the amount of retained earnings that would have been reported at that date if the new accounting principle had been applied retroactively for all periods which would have been affected and by recognizing only the direct effects of a change and the related income tax effect.
(a)
(b)
(c) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format
(d) On-flight market and nonstop segment detail data by carrier shall be made public only as provided in section 19-6.
(a) Each air carrier required to file Form 41 Schedule T-100 data shall maintain its operating statistics, covering the movement of traffic in accordance with the uniform classifications prescribed. Codes are prescribed for each operating element and service class. All traffic statistics shall be compiled in terms of each flight stage as actually performed.
(b) Each carrier shall maintain data applicable to the specified traffic and capacity elements prescribed in section 19-5 and section 25, and by general service classes prescribed in section 19-4 of this part.
(c) Operating statistics shall be maintained in accordance with the type of record, either nonstop segment or on-flight market.
(d) Schedule T-100 collects summarized flight stage data and on-flight market data. All traffic statistics shall be compiled in terms of each revenue flight stage as actually performed. The detail T-100 data shall be maintained in a manner permitting monthly summarization and organization into two basic groupings: The nonstop segment information that must be summarized by equipment type, within class of service, within pair-of-points, without regard to individual flight numbers. The second grouping requires that the enplanement/deplanement information be broken out into separate units called “on-flight market records.” These records must be summarized by class of service, within pair-of-points, without regard for equipment type or flight number.
(e) The Department may authorize joint-service operations between two direct air carriers. Examples of these joint-services are blocked-space agreements, part-charter agreements, code-share agreements, wet-lease agreements, and other similar arrangements. Joint services operations are reported by the air carrier in operational control of the aircraft. The traffic moving under these agreements is reported on Schedule T-100 the same way as any other traffic on the aircraft.
(f) Any questions regarding T-100 should be e-mailed to
(a) Each reporting air carrier shall maintain its prescribed operating statistics in a manner and at such locations as will permit ready accessability for examination by representatives of the Department. The record retention requirements are prescribed in part 249 of this chapter.
(b) [Reserved]
(c) Form 41 Schedule T-100 reports shall be transmitted in accordance with the standard practices established by the Department, and must be received by the Department within 30 days following the end of each reporting month.
The statistical classifications are designed to reflect the operating elements attributable to each distinctive class of service offered. The operating elements shall be grouped in accordance with their inherent characteristics as follows:
(a)
(b)
(c)
(a) Within each of the service classifications prescribed in section -19-4, data shall be reported as applicable to specified air transport traffic and capacity elements.
(b) These reported items are as follows:
(c) These reported items are further described as follows:
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)
(13)
(14)
(15)
(16)
(17)
(18)
(19)
(20)
(21)
(22)
(23) Revenue aircraft departures performed. The number of revenue aircraft departures performed.
(24)
(25)
(26)
(27)
(28)
(29)
(30)
(a) Detailed domestic on-flight market data and nonstop segment data except military data shall be made publicly available after processing. Domestic data are defined as data from air transportation operations from a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin
(b) Detailed international on-flight market and nonstop segment data in Schedule T-100 and Schedule T-100(f) reports, except military data, shall be publicly available immediately following the Department's determination that the database is complete, but no earlier than six months after the date of the data. Military operations are reported under service codes N or R. Data for on-flight markets and nonstop segments involving no U.S. point shall not be made publicly available for three years. Industry and carrier summary data may be made public before the end of six months or the end of three years, as applicable, provided there are three or more carriers in the summary data disclosed. The Department may, at any time, publish international summary statistics without carrier detail. Further, the Department may release nonstop segment and on-flight market detail data by carrier before the end of the confidentiality period as follows:
(1) To foreign governments as provided in reciprocal arrangements between the foreign country and U.S. Government for exchange of on-flight market and/or nonstop segment data submitted by air carriers of that foreign country and U.S. carriers serving that foreign country;
(2) To parties to any proceeding before the Department under Title IV of the Federal Aviation Act of 1958, as amended, as required by the Administrative Law Judge or other decisionmaker of the Department. Parties may designate agents or consultants to receive the data in their behalf, provided the agents or consultants agree to abide by the disclosure restrictions. Any data to which access is granted pursuant to this provision may be introduced into evidence, subject to the normal rules of admissibility of evidence.
(3) To agencies and other components of the U.S. Government for their internal use only.
(a) All U.S. large certificated air carriers conducting scheduled passenger operations (except helicopter carriers) shall participate in a Passenger Origin-Destination (O & D) Survey covering domestic and international operations, as described in the instructions manual entitled,
(b) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(c) A statistically valid sample of light coupons shall be selected for reporting purposes. The sample shall consist of at least 1 percent of the total lifted ticket flight coupons for all large domestic markets listed in the Instructions and 10 percent for all others—including domestic and international markets. The sample shall be selected and reported in accordance with the requirements of paragraph (a) of their section, except that the participating O & D carriers with nonstandard ticketing procedures, or other special operating characteristics, may propose alternative procedures. Such departures from standard O & D Survey
(d) Data covering the operations of foreign air carriers that are similar to the information collected in the Passenger Origin-Destination Survey are generally not available to the Department, the U.S. carriers, or U.S. interests. Therefore, because of the damaging competitive impact on U.S. carriers and the adverse effect upon the public interest that would result from unilateral disclosure of the U.S. survey data, the Department has determined its policy to be that the international data in the Passenger Origin-Destination Survey shall be disclosed only as follows:
(1) To an air carrier directly participating in and contributing input data to the Survey or to a legal or consulting firm designated by an air carrier to use on its behalf O & D data in connection with a specific assignment by such carrier.
(2) To parties to any proceeding before the Department to the extent that such data are relevant and material to the issues in the proceeding upon a determination to this effect by the Administrative Law Judge or by the Department's decision-maker. Any data to which access is granted pursuant to this section may be introduced into evidence subject to the normal rules of admissability of evidence.
(3) To agencies and other components of the U.S. Government.
(4) To other persons upon a showing that the release of the data will serve specifically identified needs of U.S. users which are consistent with U.S. interests.
(5) To foreign governments and foreign users as provided in formal reciprocal arrangements between the foreign and U.S. governments for the exchange of comparable O & D data.
(e) The Department reserves the right to make such other disclosures of the O & D data as is consistent with its regulatory functions and responsibilities.
A single O&D Survey is conducted continuously by the large U.S. certificated air carriers. Foreign air carriers do not directly participate in the Survey, although some of their data are captured in the Survey, since passengers who share a ticketed itinerary between a U.S. carrier and a foreign carrier may be sampled by the U.S. carrier. The authority for these instructions is found in 14 CFR part 241, section 19-7, and in the CAB Sunset Act of 1984 (Pub. L. 94-443).
The Survey samples revenue passenger trips moving in whole or in part on domestic and/or international scheduled services of the carriers participating in the Survey. In general, these requirements do not apply to small certificated, all-cargo and all charter carriers.
The source documents for the Survey data are passenger tickets. These data are collected from the “lifted” flight coupons of tickets (a portion of a multi-part ticket booklet of three
The Survey data are taken from the coupon that is lifted by a participating carrier, unless it is apparent from the lifted coupon that another participating carrier has already recorded and reported the data, in which instance the ticket coupon is non-reportable for the second honoring/participating carrier. The complete passenger itinerary, and related data on type of fare and dollar value of the ticket, is recorded as
The recording of data from the sampled flight coupon normally consists of transcribing the information exactly as indicated on the ticket. The detail recorded for each trip shows the complete routing from the origin city (airport code) to the destination city (airport code) including, in sequence from the origin, each point of transfer and stopover (intraline and interline), the summarized fare-basis code shown for each flight coupon stage of the itinerary, and the total dollar value of the fare and tax for the entire ticket.
Prior to 1987, the Survey was generally based on a 10-percent sample of passenger tickets. Beginning July 1, 1987, the Survey is collected primarily on the basis of a stratified, scientific sample of at least 1 percent of tickets in domestic major markets and 10 percent of tickets in all other domestic and in all international city-pair markets. The Survey data are taken from the selected flight coupons of the tickets sampled: single-coupon or double-coupon round trips in domestic major markets where the ticket serial number ends in double zero (00) and all other ticket coupons ending in zero (0). This procedure yields a “two-tiered” stratified sample.
Group tickets are included on the basis of a 10-percent sample when the number of passengers on such a group ticket is 10 or less. Group tickets with more than 10 passengers on each ticket are included on the basis of a 100 percent census,
Following the selection of reportable flight coupons and the recording of data, each participating carrier shall edit and summarize
These data collection and reporting instructions are effective on and after July 1, 1987 and apply to all flight coupons lifted on or after July 1, 1987.
A.
B.
A.
B.
C.
D. [Reserved]
E. All reports shall be filed with the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
A.
(1)
(2)
(b) Those group-ticket flight coupons with 10 or fewer passengers with ticket serial numbers ending with the digit zero (0);
(c) Those group-ticket flight coupons with 11 or more passengers without regard to serial number; and
(d) Itineraries in major domestic markets that comprise more than two coupons are sampled on a uniform 10 percent basis, by selecting all ticket serial numbers ending with the digit zero (0).
B.
If a participating carrier has preceded an examining carrier on any stage in the trip itinerary, including any stage in a conjunction itinerary and any stage in a reissued ticket (either before or after reissue) that coupon is not reportable.
For conjunction tickets, the ticket number for the first ticket booklet determines if the conjunction tickets should be reported in the Survey. Otherwise, conjunction tickets do not require special treatment and are governed by the rules for regular tickets.
No adjustment is made in the Survey for alterations or changes in the trip itinerary subsequent to the stage covered by the reportable coupon.
C.
(1) Alternative sampling procedures or alternative O&D data systems may be proposed by participating carriers with nonstandard ticketing procedures, or other special operating characteristics. Data reported under proposed alternative procedures must approximate the usefulness and statistical validity of the O&D Survey.
(2) Such departures from the prescribed O&D Survey practices shall not be authorized unless approved in writing by the Director, Office of Airline Information (address inside front cover). The proposed alternative O&D Survey procedures must be described in detail in the letter requesting the waiver.
D.
(a) Point of origin,
(b) Operating carrier on each flight stage (if unknown, identify ticketed carrier),
(c) Ticketed carrier on each flight stage,
(d) Fare-basis on each flight coupon, C, D, F, G, X or Y,
(e) Points of stopover or connection (interline and intraline),
(f) Point of destination,
(g) Number of passengers, and
(h) Total dollar value of ticket (fare plus tax and other charges, such as Passenger Facility Charges).
(2) The individual items are to be recorded in the sequence of occurrence in the itinerary as follows:
(a) All entries for
In the above example, the passenger trip stages or segments are compressed into the maximum of 7 stages so that several intermediate city-pairs (Los Angeles to Seattle to Anchorage, or LAX—SEA—Anc) and the related carriers have not been recorded, as prescribed below in this Section V.D.(3)(e). In addition, after the fourth city-pair (Los Angeles-Salt Lake City), the passenger trip itinerary moves from the initial four-part ticket booklet onto another “conjunction” ticket, and the summary fare code data are not recorded beyond the initial four-part ticket.
(b) All entries for operating and ticketed carriers for a coupon stage of an itinerary are to be recorded using two character IATA-assigned or DOT codes, as in the above example. Note that the fare code summary was properly inserted after the ticketed carrier's code, i.e., UA for United Air Lines and Y for unrestricted coach class service. When a two-character carrier code is shown on the ticket, record that code for the ticketed carrier. However, if a code is obviously incorrect, record the correct carrier code. If the reporting carrier does not know the operating carrier on a downline code-share segment, it would use the ticketed carrier's code for both the operating and ticketed carriers. The reporting carrier is not responsible for knowing the operating carrier of a downline code-share where it is not a party to the code-share segment. Except for the infrequent compression of data to fit into the stage-length limitation (7 or 23 stages at the carrier's option), all carrier codes are to be recorded, including data on air taxis, commuters, intra-state, and other carrier portions of itineraries. On tickets involving interchange service or other cooperative carrier arrangements, the juncture point(s) where the passenger moves from one carrier system to another is to be recorded as an intermediate point in the itinerary, even when not shown on the ticket and even though the flight may overfly the juncture point.
(c) Entries for fare-basis codes are to be taken from the “fare basis” and “fare description” portions of the ticket and simplified into the appropriate category, as shown below. No attempt shall be made to determine and record fare-basis codes for that portion of a conjunction ticket appearing in the ticket. Fare-basis codes are to be recorded in one-character alphabetic codes. The fare-basis codes are recorded as follows:
(d) In recording the number of passengers, each single-passenger ticket is to be recorded as one passenger. Tickets for infants under two years of age not occupying a seat are not to be counted. A revenue passenger is defined in Section X.
For group tickets of 10 or fewer passengers per ticket record the actual number of passengers on each ticket,
(e) The total dollar value shall be taken from the “Total” box on each ticket and shall be the sum of the fare plus tax for the entire ticket. Record this amount in whole U.S. dollars, with the cents dropped. Do not round cents to nearest whole dollar.
Amounts on tickets stated in foreign currency are to be converted to U.S. dollar equivalents. For
(3) The
(a) Combine any contiguous open, unknown carrier, or surface stages eliminating the connecting point, and ignoring the fare-basis codes, if different:
(b) Combine any contiguous stages via the same non-U.S. carrier, eliminating the connecting point, and ignoring the fare-basis codes, if different;
(c) Combine any contiguous stages via different non-U.S. carrier, making the carrier “UK”, eliminating the connecting point, and ignoring fare-basis codes, if different:
(d) Combine any contiguous stages via the
(e) If the trip, after applying the four steps above, is still too long, record the compressed routing through to the stage length limitation city (seventh or twenty-third city), enter UK as the final carrier, and then record the ticketed destination as the next (the 8th or 24th) city.
A.
B.
C.
D.
A.
B.
C.
A.
(1) Develop a written statement describing the procedures it will employ in examining and selecting reportable flight coupons and in recording, summarizing, editing, and testing the Survey data.
(2) Submit any proposed changes in the above procedures to the Department's Office of Airline Information, prior to implementation of such changes.
(3) Establish continuous quantity controls on the flow of all lifted flight coupons through the carrier's accounting processing to determine the total number of coupons handled, and the number of reportable coupons selected. Tests are to be made continuously to assure that all reportable coupons are being selected and the data recorded. Such tests should be completed while the “lifted” flight coupons (representing earned passenger revenues for flight segments operated) remain in the possession of the carrier. Establish such other internal control procedures as are necessary for supervising and monitoring the accuracy of the recording of data from reportable flight coupons.
B.
[Reserved]
Selected terms used in the foregoing instructions are here defined and explained in the context of the O&D Survey.
[Reserved]
(a) Each large certificated air carrier subject to the Federal Aviation Act of 1958, as amended, shall file with the BTS, monthly, quarterly, semiannually, and annually BTS Form 41 Reports of financial and operating statistics as prescribed herein unless waiver has been made by the Civil Aeronautics Board.
(b) The system prescribed provides for the submission by each air carrier of four classes of financial and operating statistics, on individual schedules of the BTS Form 41 Report, grouped as follows:
(c) The prescribed system of reports provides that the frequency of reporting shall be monthly for some schedules, quarterly for some, semiannually for some and annually for others. It also provides in some areas for the classification of large certificated air carriers into Group I, Group II, and Group III with the form and content differentiated as between groups.
(d) Each schedule of the prescribed BTS Form 41 Report has been assigned a specific code. The prefix alphabetical codes A, B, P and T, respectively, have been employed to denote certification, balance sheet, profit and loss, and traffic and capacity. The digits immediately following the alphabetical prefix designate the particular schedule.
(e) [Reserved]
(f) [Reserved]
(g) Four separate air carrier entities shall be established for large certificated air carriers conducting scheduled service for the purpose of submitting the prescribed reports. They are as follows: (1) Domestic operations; (2) operations via the Atlantic Ocean; (3) operations via the Pacific Ocean; and (4) operations in Latin American areas. With respect to the first classification, the domestic entity shall embrace all operations within and between the 50 States of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the U.S. Virgin Islands, and shall also include Canadian transborder operations. The reports to be submitted by each entity shall be comparable to those required of a distinct legal entity whether the reporting entity constitutes such an entity, a semiautonomous physically separated operating division of the carrier, or an entity established for reporting purposes only.
(h) Two separate entities shall be established for large certificated air carriers predominantly engaged in conducting charter activities for the purpose of submitting the prescribed reports: (1) Domestic operations; and (2) international operations. The domestic entity includes all operations within and between the 50 States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, and the U.S. Virgin Islands. All other operations will be in the international entity.
(i) The entities for which separate reports shall be made by the different route and charter air carriers will be set semiannually by the Office of Airline Information.
(j) As a general rule separate reports shall be filed for the air carrier and for each associated company air carriers as defined in section 03 which is an air carrier. However, transactions of associated companies in which 100 percent equity control resides in the reporting air carrier shall be consolidated with transactions of the reporting air carrier when such associated companies perform services related to the transport operations of the reporting air carrier almost exclusively and are not engaged in air transportation for their own account.
(k) Generally, route air carriers' nonscheduled services shall be treated as an integral part of the reporting entity to which most closely related without regard to the geographic area in which such nonscheduled services may actually be performed. However, supplemental reports shall be made of nonscheduled services (including service for the Department of Defense) in areas not encompassed by the prescribed reporting entity in any month in which the available ton-miles of such nonscheduled services exceed 5 percent of
(l) When and as required in the national interest, any air carrier which performs nonscheduled transport services for the Department of Defense shall, when directed by the Department, make separate reports for such services as if they were conducted by a physically separate transport entity, such reports shall consist of Schedules P-1 through P-7, T-1, and T-2. The letter “D” shall be inserted on such reports, following the schedule number of each P and T schedule. When a carrier has more than one reporting entity, nonscheduled transport and nonscheduled Defense services shall be assigned to the reporting entity to which more closely related.
(a) One copy of each schedule in the BTS Form 41 report shall be filed with the BTS and shall be received on or before the due date indicated for each such schedule in the list titled “Due Dates of Schedules in BTS Form 41 Report.”
(b) Each large certificated air carrier shall file the applicable schedules of the BTS Form 41 Report with the BTS in accordance with the above instructions with the following exceptions:
(1) The time for filing B and P report schedules for the final quarter or semiannual period of each calendar year may be extended to the following March 30 if the preliminary Schedules B-1 or B-1.1 and P-1.1 or P-1.2 are submitted, as applicable, and are received on or before their respective due dates.
(2) For the third month of any calendar quarter, Schedule P-1(a) need not be filed if Schedule P-1.1 or P-1.2 for the quarter or semiannual period, as applicable, is received on the due date prescribed for Schedule P-1(a).
(3) Income and expense data on Schedule P-1(a) for each month will be withheld by the BTS from public disclosure, until such time as (i) the semiannual or quarterly financial reports are due, (ii) the semiannual or quarterly financial reports are filed, or (iii) information covered by monthly reports is publicly released by the carrier concerned, whichever occurs first. Before that time, income and expense data reported on Schedule P-1(a) will be disclosed to parties to any proceeding before the DOT to the extent that such data are relevant and material to the issues in the proceeding upon a determination to this effect by the administrative law judge assigned to the case or by the DOT. Any data to which access is granted may be introduced into evidence, subject to the normal rules of admissibility of evidence. The DOT will make other disclosure of these data upon its own motion or upon application of any interested person, when the DOT finds the public interest so requires. The BTS may, from time to time, publish summary information compiled from Schedule P-1(a) in a form which will not identify the individual carrier. At the request of an air carrier, and upon a showing by such air carriers that public disclosure of its preliminary year-end report would adversely affect its interests and would not be in the public interest, the BTS will withhold such preliminary year-end report from public disclosure until such time as (i) the final report is filed, (ii) the final report is due, or (iii) information covered by the preliminary report is publicly released by the carrier concerned, whichever occurs first.
(c) If circumstances prevent the filing of a report on or before the prescribed due date, consideration will be given to the granting of an extension
(d) [Reserved]
(e) All financial data reported on B, P and G schedules shall reflect the status of the air carrier's books of account for the period for which the report is being made and shall conform to the instructions contained in this Uniform System of Accounts and Reports. At the option of the air carrier, Group III air carriers may round reported financial data to the nearest thousands of dollars by typing “($000)” at the top of each amount column. All Group I and Group II air carriers may, at their option, round reported financial data to the nearest whole dollars by dropping the cents. All rounded amounts must be balanced within and between schedules. This option applies only to the submission of hardcopy reports. Instructions for the submission of data in ADP format are contained in the Accounting and Reporting Directives, which are available from OAI.
(f) Traffic and other operational statistics included in schedules of the BTS Form 41 reports shall reflect data pertaining to the month, quarter or 12-months-to-date period for which the report is being made.
(g) Adjustments correcting errors in previously reported traffic and other operational statistics shall not be included in data reported in schedules for the current period but shall be effected by submission of corrected schedules for the period to which applicable or, if only a few items are involved, by written notice and authorization to the BTS to correct previously filed reports except that any correction which amounts to less than one-half of one percent (0.5%) of the corrected amount for the month to which related may be included in the report for the current month provided the amount of the correction is clearly noted on the Form 41 Report.
(h) All letters and statements of correction or revision of reported data shall be a part of the BTS Form 41 reports.
(i) All changes in accounting methods having a material impact upon the particular financial elements involved, and all changes in methods of computing and reporting traffic and capacity statistics having a material impact upon the particular statistic involved shall be adequately explained and identified in the report first reflecting such changes. Such explanations related to financial position or financial results shall be made on BTS Form 41 Schedule P-2. Changes in methods for computing or reporting traffic and capacity statistics shall be identified and explained on a separate sheet attached to the first report affected. (See sec. 2-16.) The reporting requirements shall not be construed, in any sense, as relieving the air carrier of the responsibility for conforming its procedures to those otherwise prescribed in this system of accounts and reports.
(j) All financial statements released by carriers to the public reflecting a financial position or operating results for dates or reporting periods not covered by reports on file with the Board shall be filed with the Board simultaneously with their public release.
For
(a) The certification of the BTS Form 41 Report shall be signed by an elective corporate officer, executive, or director. Other
(b) The certification of the Form 41 reports, embodied in Schedule A thereof, shall read as follows:
I, the undersigned (Title of officer in charge of accounts) ____ of the (Full name of the reporting company) ___ do certify that this report and all schedules, ADP-media submissions, Passenger Origin-Destination Survey submissions and supporting documents which are submitted herewith or have been submitted heretofore as parts of this report filed for the above indicated period have been prepared under my direction; that I have carefully examined them and declare that they correctly reflect the accounts and records of the company, and to the best of my knowledge and belief are a complete and accurate statement, after adjustments to reflect full accruals, of the operating revenues and expenses, income items, assets, liabilities, capital, retained earnings, and operating statistics for the periods reported in the several schedules, the Schedule T-100 ADP-media submissions, and the Passenger Origin-Destination Survey; that the various items herein reported were determined in accordance with the Uniform System of Accounts and Reports for Large Certificated Air Carriers prescribed by the Department of Transportation; and that the data contained herein are reported on a basis consistent with that of the preceding report except as specifically noted in the financial and statistical statements.
(a) This schedule shall be filed by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) This schedule shall reflect the balances at the close of business on the last day of each calendar quarter for the overall or system operations of each air carrier in conformance with the provisions of sections 4, 5 and 6.
(c) Individual proprietors or partners shall report the aggregate capital contributed by the proprietor or partners in account 2890 Additional Capital Invested.
(a) This schedule shall be filed semiannually by Group I air carriers with annual operating revenues below $20 million.
(b) Each carrier shall insert in the space provided for “OAG Code” its carrier code as contained in the Official Airlines Guide (OAG). If the OAG does not contain a carrier code for the reporting carrier, a code will be provided by the Office of Airline Information upon request. This code will then be inserted in the space provided for “carrier code.”
(c) This schedule shall show the account balances at the close of business on June 30 or December 31, as applicable, of each semiannual reporting period.
(d) “Current Assets” shall include all resources that may reasonably be expected to be realized in cash or sold or consumed within one year. This group of assets is classified into three basic accounts:
(1) “Cash and Equivalents” shall include cash on hand and on deposit, U.S. Government securities, and other temporary cash investments.
(2) “Notes and Accounts Receivable-Net” shall include general traffic accounts receivable, government receivables, notes and receivables from associated companies, officers, employees and others, and a deduction for a reasonable allowance for bad debts.
(3) “Other Current Assets” shall contain all other current assets not provided for in the above classifications. This account shall include, but is not limited to, short-term prepayments, expendable spare parts, supplies and other inventories of flight equipment replacement parts that are usually replaced rather than repaired, and materials and supplies held in stock, such as fuel and oil, expendable tools, office supplies and food service supplies. Spare parts may be reduced by an allowance for obsolescence to provide for losses in value.
(e) “Property and Equipment” shall be segregated into that which is owned and that which is leased under capital leases. All property and equipment, with the deception of land, shall be reported net of accumulated depreciation or amortization.
(f) “Other Assets” shall included all assets not included in the above categories, such as long-term investments, long-term prepayments, long-term receivables, deferred charges, intangible assets, equipment purchase deposits, and construction work in progress.
(g) “Current Liabilities” shall include all obligations, the liquidation of which is reasonably expected to require the use of existing resources within one year. This group of liabilities is classified into three basic accounts:
(1) “Notes and Accounts Payable” shall include any payments on long-term debt, short-term notes and accounts payable, and accrued expenses that are payable within one year.
(2) “Accrued Taxes” shall include tax liabilities, such as those imposed on income, property and payroll, which are reasonably expected to be liquidated within one year.
(3) “Other Current Liabilities” shall include all current liabilities which are not provided for elsewhere, such as air traffic liabilities for unused transportation sold (includes sales of transportation on both the reporting carrier and other carriers).
(h) “Long-Term Debt” shall include all obligations which are not reasonably expected to be liquidated within one year. Typical examples include bonds payable, long-term notes payable, lease obligations, and pension obligations.
(i) “Other Liabilities” shall include any debts or obligations which are not properly listed in the “Current Liabilities” or “Long-Term Debt” sections.
(j) “Deferred Credits” shall include all credit balances of a general clearing nature, including credits held in suspense pending receipt of further information necessary for final disposition. Included in this account are deferred income taxes and deferred investment tax credits.
(k) “Stockholder's Equity” shall be reported as follows:
(1) “Capital Stock” shall be segregated as between common and preferred. The number of shares outstanding, along with the par or stated value of the stock, shall be reported. In the case of no-par stock without stated value, the full consideration received shall be reported.
(2) “Other Paid-In Capital” shall include the difference between the price at which the capital stock is sold and the par or stated value of the stock.
(3) “Retained Earnings” shall represent the net income or loss from all operations of the corporate entity less dividends.
(4) “Treasury Stock” shall represent the cost of stock issued by the carrier and reacquired by it but not retired or cancelled.
(l) The statement of certification shall be signed by the carrier's chief accounting officer.
(m) All substantive matters that may materially influence interpretations or conclusions in regard to the financial condition or the earnings position of the air carrier which are not clearly identified in the body of the schedule or which represent information that cannot be expressed adequately in monetary terms shall be completely and clearly stated in a note attached to this schedule and cross-referenced to the affected account or accounts.
(a) This schedule shall be filed by all Group II and Group III air carriers.
(b) Data applicable to acquisitions and data applicable to retirements shall be grouped and reported separately. The data reported within each group (acquisitions; retirements) shall be further subgrouped and reported as follows:
(1) Acquisitions: the indicated data shall be reported for each individual airframe, identified by type, model, and design of cabin as to use for passengers exclusively, cargo exclusively, or both passengers and cargo in combination. Data pertaining to aircraft engines shall be reported in aggregate for each type or model; however, leased aircraft engines shall be separately reported under captions entitled: Capital Leases—Aircraft Engines; and Operating Leases—Aircraft Engines. Airframe units leased from others for a period of more than 90 days shall be reported in a separate subsection of this schedule, captioned as follows: Capital Leases—Airframe Units; and Operating Leases—Airframe Units. In addition, a notation shall be made by license number of airframe units of the air carrier returned after lease to others for a period of more than 90 days. Airframe units obtained through interchange lease arrangements shall not be so reported.
(2) Retirements: The indicated data shall be reported for the sale or retirement of each airframe, each type of aircraft engine (stating the number of units retired) and, to the extent retired along with airframes and engines, in aggregates by accounts, operating property and equipment included in accounts 1607 and 1608 and nonoperating property and equipment included in accounts 1707 and 1708. Disposition of properties in accounts 1608 and 1708 not related to airframe and aircraft engine retirements shall be reported in a separate group for each account. Airframe units leased from others for a period of more than 90 days shall be reported, upon return to the lessor, in a separate subsection of this schedule and captioned as follows: Capital Leases—Airframe Units; and Operating Leases—Airframe Units. In addition, a notation shall be made by license number and name of lessee of airframe units leased to others for a period of more than 90 days; moreover, airframe units leased to others under sales-type or direct financing leases shall be separately captioned and reported on this schedule. Airframe units leased under interchange arrangements shall not be so reported. Aircraft engines leased from others for a period of more than 90 days shall be reported, upon return to the lessor, in a separate subsection of this schedule and captioned as follows: Capital Leases—Aircraft Engines; and Operating Leases—Aircraft Engines. In addition, a notation shall be made by model number, number of units, and name of lessee of aircraft engines leased to others for a period of more than 90 days; moreover, aircraft engines leased to others under sales-
(c) All dates shall indicate the day, the month and the year; shall be provided on a unit basis for airframes only, and, shall be reported for each aircraft engine group by date of transaction.
(d) Column 1, “Year of First Delivery—Airframe,” shall reflect, for each reported airframe, the year that the airframe was first delivered by its manufacturer.
(e) Column 2, “Airframe Manufacturer's Serial Number,” shall reflect the serial number assigned to each reported airframe by its manufacturer.
(f) Column 4, “Acquisitions or Retirements,” shall be used to indicate, for each item entered, whether it represents an acquisition or retirement. This shall be indicated by inserting in Column 4 an “A” for acquisition or an “R” for retirement.
(g) Column 8, “Maximum Seating Capacity,” shall reflect the number of passenger seats installed in each airframe acquired. When airframes are designed for multiple adjustable seating configurations, the maximum number of seats for which designed shall be reported. When the seating configuration of airframes is modified subsequent to original acquisition, the revised passenger capacity of each airfame shall be reported in the quarter in which modified and referenced to identify original capacity reported.
(h) Column 9, “Cost,” shall reflect the book cost of reported airframe and aircraft engine acquisitions and retirements.
(i) Column 10, “Amortization/Depreciated Cost,” shall reflect the book cost, less amortization or depreciation expense, for airframes and aircraft engines that have been retired.
(j) Column 11, “Realization,” shall reflect the proceeds from the disposition of airframes and aircraft engines, including any insurance proceeds.
(k) Column 12, “Acquired From/Disposition,” shall reflect: (1) for acquisitions: the name of the person or organization from which airframes and aircraft engines are acquired and (2) for dispositions (retirements): the name of the person or organization to which airframes and aircraft engines are sold or a notation as to the nature of the retirement and the account to which any depreciated cost has been charged, if not sold. Items included in accounts 1607, 1608, 1707, and 1708, sold as a part of an airframe or aircraft sales transaction, shall also be identified by the name of the buyer. Other sales of items included in these accounts shall be reported in a separate group in aggregate for each property account affected.
(a) This Schedule shall be filed quarterly by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) This schedule shall be filed for the overall or system operations of the air carrier.
(c) The statement of cash flows shall separately disclose the amount of net cash provided or used during the reporting period from the carrier's operating activities, investing activities and financing activities. The effect on cash and cash equivalents of the total amount of net cash provided or used during the quarter from each of the above activities shall be clearly disclosed so as to reconcile beginning and ending cash and cash equivalents.
(d) Carriers may use either the direct or indirect method of reporting cash flows. Under either method, the reporting of cash flows from investing and financing activities will remain the same. However, the reporting of cash flows from operating activities does differ between the two methods.
(e) For carriers electing to use the direct method, cash flows from operating activities are reported as gross amounts of the principal components of cash receipts and cash payments from operating activities, such as cash received from passengers and shippers, cash paid to suppliers, and cash paid to employees. Each carrier using the direct method shall provide as part of its statement of cash flows, a separate schedule that reconciles net income (as reported on Schedule P-1.2 in Account 9899) to cash flow from operating activities.
(f) For carriers electing to use the indirect method, cash flows from operating activities shall reflect net income (as reported on Schedule P-1.2 in Account 9899) along with the adjustments necessary to reconcile net income (Account 9899) to net cash for the period (Net Cash Provided or Used By Operating Activities).
(g) Regardless of the method used, the statement of cash flows shall reflect the amount of net cash flow provided or used by operating activities during the reporting period.
(h) The balance of “Cash and Cash Equivalents,” at the beginning and ending of the quarterly period covered by the report, should equal the sum of Accounts 1010, “Cash,” and 1100, “Short-term Investments,” as reported on the immediately preceding and current quarterly Schedule B-1, “Balance Sheet.” If the sum of these two accounts does not equal the total “Cash and Cash Equivalents” reported on the statement of cash flows, then a footnote explaining the difference shall be provided as part of the statement of cash flows.
(i) Carriers shall submit Schedule B-12 in a format specified in accounting and reporting
(a) This schedule shall be filed by all Group I, Group II and Group III air carriers.
(b) The indicated data shall be reported for each individual airframe, identified by type, model and design of cabin (main deck) as to use for passengers exclusively, cargo exclusively, or both passengers and cargo in combination. Type and model refers to aircraft models such as B-707-100, B-707-200, DC-10-40, Beech-18, Piper PA-32, etc. Aircraft type designations are prescribed in Accounting and Reporting Directive No. 178, “List of Aircraft Type Numeric Codes.” Copies of this directive and subsequent updates to the list of aircraft type codes are available from the Department's Office of Airline Information. Airframes that are authorized for operation over water under FAA regulation FAR 121 shall be so indicated by asterisk.
(c) Data pertaining to aircraft engines shall be reported on a group basis by type of engine and by type of aircraft to which related.
(d) Data in this schedule shall be grouped and subtotaled as data pertaining to airframes and data pertaining to aircraft engines. Data pertaining to nonoperating airframes and aircraft engines shall be reported in a group below the data for operating equipment. Data pertaining to airframes and aircraft engines obtained under operating and capital leases shall be reported, by type of lease, in a separately captioned grouping below nonoperating airframes and aircraft engines and subgrouped within those groups according to operating and nonoperating equipment.
(e) Column 1, “Year of First Delivery—Airframe,” shall reflect, for each reported airframe, the year that the airframe was first delivered by its manufacturer.
(f) Column 2, “Airframe Manufacturer's Serial Number,” shall reflect the serial number assigned to each reported airframe by its manufacturer.
(g) Data pertaining to airframes and aircraft engines obtained under operating leases shall be listed in Columns 1 through 9; the cost of improvements to equipment under operating leases shall be reported in Columns 10 through 12.
(h) Column 9, “Available Capacity (Weight),” shall reflect, for each reported aircraft type, the available capacity (stated in pounds) that is used in computing the available ton-miles reported on Schedules T-100, T-1, and T-2.
(i) Column 10, “Acquired Cost or Capitalized Value,” shall include (1) the acquisition cost of owned airframes and aircraft engines; (2) the total capitalized cost of obtaining airframes and engines under capital leases; and (3) the cost of improvements to airframes and engines obtained under operating leases.
(j) Column 11, “Allowance for Depreciation or Amortization,” shall include (1) the accumulations of all provisions for losses due to use and obsolescence that are applicable to owned airframes and aircraft engines, (2) the amount of amortization recorded for amortizing the value of airframes and engines obtained under capital leases, and (3) the amount of amortization recorded for amortizing the value of improvements to airframes and aircraft engines obtained under operating leases.
(k) Column 12, “Depreciated Cost or Amortized Value,” shall be calculated as either (1) Acquired Cost (Column 10) less the Allowance for Depreciation (Column 11) or (2) Capitalized Value (Column 10) less Amortization (Column 11).
(l) Column 13, “Estimated Residual Value,” shall state, in dollars, the residual value assigned to owned and capital-leased airframes and aircraft engines, including any overhaul value not subject to depreciation.
(m) Column 14, “Estimated Depreciable or Amortizable Life (Months),” shall state the estimated depreciable or amortizable life from the date of acquisition of each airframe and each group of aircraft engines.
For
(a) This schedule shall be filed semiannually by Group I air carriers with annual operating revenues below $20 million. Data reported on this schedule shall be for the overall or system operations of the air carrier.
(b) This schedule shall show the results of operations for six-month periods ending June 30 and December 31. Data reported in the “12 Months-to-Date” column shall represent for each individual item the sum of the amount reported in the “Current Period” column and the next previous six-month period.
(c) Each carrier shall insert in the space provided for “OAG Code” its carrier code as contained in the Official Airlines Guide (OAG). If the OAG does not contain a carrier code for the reporting carrier, a code will be provided by the Office of Airline Information upon request. This code will then be placed in the space provided for “carrier code.”
(d) “Operating Revenue” shall be put in categories as follows:
(1) “Transport Revenue” shall include the revenue generated by the performance of air
(i) “Scheduled Service” shall include all transport revenue derived from operations between pairs of points which are served on a regularly scheduled basis. Transport revenue received from scheduled service operations shall be subdivided as follows:
(A)
(B)
(ii) “Nonscheduled Service” shall include all transport revenue derived from operations between pairs of points which are not served on a regularly scheduled basis.
(2) “Transport-Related Revenue” shall include monies received for providing air transportation facilities associated with the performance of services which flow from and are incidental to air transportation services performed by the air carrier. This category shall be subdivided as follows:
(i)
(ii)
(e) “Operating Expense” shall be segregated as follows:
(1) “Flying Operations” shall include expenses incurred directly in the in-flight operation of aircraft and expenses incurred in the holding of aircraft and aircraft operation personnel in readiness for assignment to an in-flight status.
(2) “Maintenance” shall include all expenses which are specifically identifiable with the repair and upkeep of property and equipment used in the performance of air transportation.
(3) “General and Administrative” shall include that portion of all expenses of a general corporate nature and all other expenses not provided for elsewhere which are related to air transport operations either directly or indirectly.
(4) “Depreciation and Amortization” shall include all depreciation and amortization expenses applicable to property and equipment used in providing air transportation services. These expenses shall be segregated between those applicable to owned property and equipment and those applicable to property and equipment which is leased.
(5) “Transport-Related Expense” shall include all expenses associated with the transport-related revenues reported on line 5 of this schedule.
(f) “Operating Profit (Loss)” shall be computed by subtracting the total operating expenses from the total operating revenues.
(g) “Nonoperating Income and Expense” shall include all revenues and expenses resulting from commercial ventures which are not inherently related to the performance of air transport services. For example, the revenues and expenses related to operating a hotel or motel would be reported under this category. This category shall also include the total interest expense incurred from all sources and shall be subdivided as follows:
(1) Interest Expense.
(2) Other Nonoperating (Net).
(h) “Income Tax” shall reflect the provisions for accruals of Federal, State, local, and foreign taxes based upon taxable income, and computed at the normal and surtax rates in effect during the current accounting year.
(i) “Discontinued Operations, Extraordinary Items or Accounting Changes” shall reflect any earnings or losses from discontinued operations, the net of the tax amount of extraordinary items, and the cumulative effect of any changes in accounting principles.
(j) Any air carrier that does not file Schedule P-1(a) in accordance with the filing option described in section 22—General Reporting Instructions shall, for the sixth month of any semi-annual period during which the option is exercised, type in the bottom margin of this statement of operations the total number of full-time and part-time employees to be labeled as such and calculated in accordance with paragraph (d) of the reporting instructions for Schedule P-1(a).
(a) This schedule shall be filed quarterly by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) Route and charter carriers shall file separate statements of operations for each separate operating entity and for the overall, or system operations.
(c) Data reported on this schedule shall conform with the instructions pertaining to profit and loss classifications within this Uniform System of Accounts and Reports.
(d) Data reported in the “12 Months-to-Date” column shall represent for each item the sum of amounts reported in the “Quarter” column for the current and next previous three quarters.
(e) Group III air carriers shall subdivide total Transport Revenues-Passenger (Account 3901) between Accounts 3901.1, Passenger-Flight Class and Account 3901.2 Passenger-Coach, only for operations that are reported in the international entity (Atlantic, Pacific and Latin American). First class and coach passenger revenues associated
(f) All Group I and Group II air carriers shall report first class and coach passenger revenues as a combined total in Account 3901 Transport Revenues-Passenger, for both domestic and international entity operations. However, U.S. air carriers in any carrier group that elect to do so may continue to report first class and coach revenue data, if they consider such voluntary reporting to be less burdensome than changing their existing financial reporting system.
(g) Any air carrier that does not file Schedule P-1(a) in accordance with the filing option described in section 22—General Reporting Instructions shall, for the third month of any calendar quarter during which the option is exercised, type in the bottom margin of the system statement of operations the total number of full-time and part-time employees to be labeled as such and calculated in accordance with paragraph (d) of the reporting instructions for Schedule P-1(a).
(a) This schedule shall be filed by all air carriers.
(b) This schedule shall be filed for the overall or system operations of the air carrier.
(c) Data reported on this schedule shall reflect the results of operations for the month covered by the report and shall conform to the instructions pertaining to profit and loss classifications within this Uniform System of Accounts and Reports.
(d) Air carriers shall report on this schedule:
(1) Total operating revenues,
(2) Total operating expenses,
(3) Operating profit or loss,
(4) Net income,
(5) Passenger revenues—scheduled service,
(6) Public service revenues (subsidy) and other information on
(7) The total number of full-time and
(8) Part-time employees. Total number of full-time employees and total number of part-time employees shall reflect for the overall or system operations of the air carrier the total number of full-time and part-time employees, respectively, who worked or received pay for any part of the pay period(s) ending nearest the 15th day of the month. For the purposes of this part, “part-time employees” means those employees hired to work less than the number of hours that is customary or standard for their occupational specialty.
(e) In the event of a labor strike, the “number of employees” to be reported on this schedule shall be determined on and actual payroll basis. Actual payroll shall be determined in accordance with paragraph (d) of these reporting instructions. An air carrier that on October 24, 1978, held a certificate issued under 49 U.S.C. 41102 shall also report in a footnote on this schedule the number of full-time employees who were deprived of employment because of a strike (
(a) This schedule shall be filed quarterly by all Group II and Group III air carriers and Group I air carriers with annual revenues of $20 million or more. Carriers shall submit Schedule P-2 in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(b) Route and charter air carriers shall file this schedule for each separate operating entity and for the overall, or system operations of the carrier.
(c) All substantive matters which may influence materially interpretations or conclusions in regard to the financial condition or the earnings position of the air carrier which are not clearly identified in the body of the Form 41 report or which represent information that cannot be expressed adequately in monetary terms shall be completely and clearly stated in this schedule and cross-referenced to the affected account or accounts. The informative disclosure on this schedule for the system operations of the air carrier shall conform, at the end of each carrier's fiscal or calendar year, with the footnotes prepared for audited financial statements.
(d) The amounts and estimated delivery dates of any purchase commitments of material size and not of a recurrent routine character shall be explained on this schedule. In the case of commitments involving flight equipment, the amount for each equipment type may be given in total, including any engines, airframes and spares; but the number of airframes and the number of engines by type shall be given, as well as the estimated delivery date for each complete aircraft. Reports on commitments other than for flight equipment are required only in the December 31 report of each calendar year.
(e) Each scheduled air carrier shall include on this schedule a description of each interruption in air transport operations, the aggregate effect of which is ten (10) percent or more of the scheduled revenue plane-miles which, except for the interruption, would have been operated during the month or either of 2 consecutive months affected. The information to be reported for each such interruption in operations shall consist of:
(1) For the report period in which partial or complete interruption first occurs, the nature of the interruption and dates of partial and/or complete cessation of operations, as applicable;
(2) For each report period until full resumption of operations, an estimate of the revenue plane-miles canceled in each month of the quarter because of the interruption; and
(3) For the report period in which scheduled operations are resumed, dates of partial and/or complete resumption, as applicable.
(a) This schedule shall be filed by all Group I air carriers. Group I air carriers that have annual operating revenues of $20 million or more shall file this schedule quarterly and only report direct operating expense data (lines 1 thru 9). Group I air carriers with annual operating revenues below $20 million shall file this schedule semiannually and report both direct and indirect operating expense data (lines 1 thru 16).
(b) Subject to the provisions of Section 22(a), quarterly reports are due on May 10, August 10, November 10 and February 10 for the first, second, third and fourth calendar quarters, respectively. Semiannual reports are due on August 10 and February 10.
(c) Each carrier shall indicate in the space provided its full corporate name and an “X” shall be inserted in the appropriate box to indicate whether the data being reported are quarterly or six months data. The period-ending data shall be indicated in the space provided.
(d) Route and charter air carriers subject to the quarterly filing requirement shall file this schedule for each operating entity of the air carrier. Air carriers subject to the semiannual filing requirement shall file this schedule for the overall or system operations of the air carrier.
(e) This schedule shall show the direct and indirect expenses incurred in aircraft operations plus total aircraft hours, gallons of fuel issued, and aircraft days assigned to service. Direct expense data applicable to each aircraft type operated by the carrier shall be reported in separate colums of this schedule. Each aircraft type reported shall be identified at the head of each column in the space provided. “Aircraft Type” refers to aircraft models such as B-707-100, B-707-200, DC-10-40, Beech-18, Piper PA-32, etc, Aircraft Type designations are prescribed in the Accounting and Reporting Directives, which is available from the Board's Information Management Division. In the space provided for “Aircraft Code” carriers shall insert the four digit code which is prescribed in the Accounting and Reporting Directives for the reported aircraft type.
(f) Direct aircraft operating expenses shall be reported in the following categories:
(1) Line 2 “Flying Operations (Less Rental)” shall be subdivided as follows:
(i) Line 3 “Pilot and Copilot” expense shall include pilots' and copilots' salaries, and related employee benefits, pensions, payroll taxes and personnel expenses.
(ii) Line 4 “Aircraft Fuel and Oil” expense shall include the cost of fuel and oil used in flight operations and nonrefundable aircraft fuel and oil taxes.
(iii) Line 5 “Other” expenses shall include general (hull) insurance, and all other expenses incurred in the in-flight operation of aircraft and holding of aircraft and aircraft operational personnel in readiness for assignment to an in-flight status that are not provided for otherwise on this schedule.
(2) Line 6 “Total Flying Operations (Less Rentals)” shall equal the sum of lines 3, 4 and 5.
(3) Line 7 “Maintenance-Flight Equipment” shall include the cost of labor, material and related overhead expended by the carrier to maintain flight equipment, general services purchased for flight equipment maintenance from associated or other outside companies, and provisions for flight equipment overhauls.
(4) Line 8 “Depreciation and Rental-Flight Equipment” expense shall include depreciation of flight equipment, amortization of capitalized leases for flight equipment, provision for obsolescence and deterioration of spare parts, and rental expense of flight equipment.
(5) Line 9 “Total Direct Expense” shall equal the sum of lines 6, 7 and 8.
(g) Line 10 Indirect aircraft operating expenses shall be reported only in total for all aircraft types and shall be segregated according to the following categories:
(1) Line 11 “Flight Attendant Expense” shall include flight attendants' salaries, and related employee benefits, pensions, payroll taxes and personnel expenses.
(2) Line 12 “Traffic Related Expense” shall include traffic solicitor salaries, traffic commissions, passenger food expense, traffic liability insurance, advertising and other promotion and publicity expenses, and the fringe benefit expenses related to all salaries in this classification.
(3) Line 13 “Departure Related (Station) Expense” shall include aircraft and traffic handling salaries, landing fees, clearance, customs and duties, related fringe benefit expenses and maintenance and depreciation on ground property and equipment.
(4) Line 14 “Capacity Related Expense” shall include salaries and fringe benefits for general management personnel, recordkeeping and statistical personnel, lawyers, and law clerks, and purchasing personnel; legal fees and expenses; stationery; printing; uncollectable accounts; insurance purchased-general; memberships; corporate and fiscal expenses; and all other expenses which cannot be identified or allocated to some other specifically identified indirect cost category.
(h) Line 15 “Total Indirect Expense” shall equal the sum of lines 11, 12, 13 and 14.
(i) Line 16 “Total Operating Expense” shall equal the sum of lines 9 and 15.
(j) Line 17 “Total Aircraft Hours” shall equal the sum of revenue and nonrevenue aircraft hours.
(k) Line 18 “Gallons of Fuel Issued” shall equal the aircraft fuels issued (account Z921).
(l) Line 19 “Aircraft Days Assigned to Service” equals the number of days that aircraft owned or acquired through rental or lease are in the possession of the reporting air carrier and are available for service on the reporting carrier's routes plus the number of days such aircraft are in service on routes of others under wet-lease agreements. Includes days in overhaul, or temporarily out of service due to schedule cancellations. Excludes days that newly acquired aircraft are on hand but not available for productive use, days dry-leased or rented to others, and days in possession but formally withdrawn from air transportation service.
(a) This schedule shall be filed by all Group II and Group III air carriers.
(b) Route and charter air carriers shall file this schedule for each operating entity of the air carrier.
(c) Data applicable to each aircraft type operated by the air carrier shall be reported in separate columns of this schedule. “Aircraft Type” refers to aircraft models (such as B-707-100, B-707-300, DC-9-30, etc.) that are prescribed in the
(d) Each aircraft type for which a report is being made shall be identified at the head of each column in the space provided. Data applicable to aircraft designed primarily for cargo services and only incidentally used for passenger services shall be reported in separate columns, and the word “cargo” shall be inserted after the aircraft type at the head of the column. The prescribed reporting by aircraft types may be reviewed from time to time upon request by individual air carriers, or upon the initiative of the BTS, and groupings of aircraft types for reporting purposes may be prescribed or amended in specific instances.
(e) Italicized codes and item titles do not constitute accounts or account numbers prescribed for air carrier accounting, but shall be used for reporting purposes only.
(f) Item 79.6 “Applied Maintenance Burden” shall reflect a memorandum allocation by each air carrier of the total expenses included in subfunction 5300 “Maintenance Burden” between maintenance of flight equipment, by aircraft type, and maintenance of ground property and equipment. The allocation of subfunction 5300 (maintenance burden) shall include the net effect of charges and credits to profit and loss account 5272 Flight Equiment Airworthiness Provisions.
(g) Item 73 “Obsolescence and Deterioration—Expendable Parts” shall reflect (for obsolescence and deterioration of flight equipment expandable parts) the gross provisions for losses in value of expendable parts during the current accounting period offset by any credits applicable to the current period for adjustments for excess inventory levels determined pursuant to section 6-1311.
(h) The total of function 5100 “Flying Operations” reported on this schedule shall agree with corresponding amounts reported on Schedule P-1.2.
(a) This schedule shall be filed quarterly by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) Route and charter air carriers shall file this schedule for each separate operating entity.
(c) Line 36 “Total Operating Expenses” shall agree with the corresponding amount reported on Schedule P-1.
(a) This schedule shall be filed by all Group III air carriers.
(b) Route and charter air carriers shall file this schedule for each operating entity of the air carrier.
(c) Line 38 “Total Operating Expenses” shall agree with the corresponding amount reported on Schedule P-1.2.
(a) This schedule shall be filed annually by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) Separate sets of this schedule shall be filed for each operating entity of the air carrier. Employees will be allocated to the reporting entities on a basis consistent with that used in the allocation of salaries for Form 41 financial reporting purposes.
(c) Column 3, “Number of Employees,” shall reflect, for each category in column 1, the weighted average number of full-time employees who received pay for any part of the calendar year. In determining the weighted average, all temporary or part-time employees shall be restated, based on their hours paid, as an equivalent number of full-time employees. The calculation shall be based on a standard full-time 2,080/hour year with overtime hours excluded from the computation.
(d) Labor category description—“Other personnel” shall include all employees whose salary is chargeable to accounts 30, 32, 34 and 35 in this Uniform System of Accounts and Reports.
(e) Labor category description— “Transport-related” shall include all employees whose salary is not chargeable to one of the various salary accounts contained in the Uniform System of Accounts and Reports. For example, this category would include those employees who work in transport-related operations and other activities for which a separate payroll account is not prescribed. The number of employees reported as transport-related shall be calculated in accordance with paragraph (c) of these reporting instructions.
(a) This schedule shall be filed monthly by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) A single copy (original only) of this schedule shall be filed to report monthly fuel consumption data by type of service and entity.
(c) For the purposes of this schedule, type of service shall be either scheduled service or nonscheduled service as those terms are defined in section 03 of part 241.
(d) For the purpose of this schedule, scheduled service shall be reported separately for: (1) Intra-Alaskan operations; (2) domestic operations, which shall include all operations within and between the 50 States of the United States (except Intra-Alaska), the District of Columbia, the Commonwealth of Puerto Rico and the United States Virgin Islands and Canadian transborder operations; (3) Atlantic operations (excluding Bermuda); (4) Pacific operations which shall include the North/Central Pacific, South Pacific (including Australia) and the Trust Territories; and (5) Latin American operations which shall include the Caribbean (including Bermuda and the Guianas), Mexico and South/Central America.
(e) For the purpose of this schedule, nonscheduled service shall be reported separately for domestic operations and international operations as defined in paragraph (d) above, except that domestic and international MAC operations shall be reported on separate lines.
(f) The cost data reported on each line shall represent the average cost of fuel, as determined at the station level, consumed in that entity.
(g) The cost of fuel shall include shrinkage but exclude (1) “through-put” and “in to plane” fees,
(h) Each air carrier shall maintain records for each station showing the computation of fuel inventories and consumption for each fuel type. The periodic average cost method shall be used in computing fuel inventories and consumption. Under this method, an average unit cost for each fuel type shall be computed by dividing the total cost of fuel available (Beginning Inventory plus Purchases) by the total gallons available. The resulting unit cost shall then be used to determine the ending inventory and the total consumption costs to be reported on this schedule.
(i) Where amounts reported for a specific entity include other than Jet A fuel, a footnote shall be added indicating the number of gallons and applicable costs of such other fuel included in amounts reported for that entity.
(j) Where any adjustment(s) recorded on the books of the carrier results in a material distortion of the current month's schedule, carriers shall file a revised schedule P-12(a) for the month(s) affected.
(k) Data reported on this schedule shall be withheld from public release until the quarterly Form 41 P schedules for the calendar quarter to which the monthly schedules relate are due at the BTS. However, aggregate data may be released before that time without identifying individual carriers. Provisions governing the due dates for submitting the quarterly P schedules are contained in paragraphs (a) and (b) of section 22 of this part. Individual carrier fuel data withheld from public disclosure may be disclosed by the BTS to:
(1) Parties to any proceeding before the DOT to the extent such material is relevant and material to the issues in the proceeding upon a determination to this effect by the
(2) Agencies and other components of the Federal Government for their internal use only; and
(3) Such persons and in such circumstances as the BTS determines to be in the public interest or consistent with its regulatory functions and responsibilities.
For
(b) Carriers submitting Schedule T-100 shall use magnetic computer tape or IBM compatible disk for transmitting the prescribed data to the Department. Upon good cause shown, OAI may approve the request of a U.S. air carrier, under section 1-2 of this part, to use hardcopy data input forms or submit data via e-mail.
(a) This schedule shall be filed annually by all air carriers that conduct all-cargo operations under certificates issued under 49 U.S.C. 41103.
(b) [Reserved]
(c)
(1) Total operating revenue, categorized as follows:
(i) Transport revenues from the carriage of property in scheduled and nonscheduled service;
(ii) Transport revenues from the carriage of mail in scheduled and nonscheduled service; and
(iii) Transport-related revenues.
(2) Total operating expenses; and
(3) Operating profit or loss, computed by subtracting the total operating expenses from the total operating revenues.
(d) Summary of traffic and capacity statistics. This summary shall include the following elements:
(1) Total revenue ton-miles, which are the aircraft miles flown on each flight stage times the number of tons of revenue traffic carried on that stage. They shall be categorized as follows:
(i) Property; and
(ii) Mail.
(2) Revenue tons enplaned, reflecting the total revenue tons of cargo loaded on aircraft during the annual period;
(3) Available ton-miles, reflecting the total revenue ton-miles available for all-cargo service during the annual period, and computed by multiplying aircraft miles flown on each flight stage by the number of tons of aircraft capacity available for that stage;
(4) Aircraft miles flown, reflecting the total number of aircraft miles flown in cargo service during the annual period;
(5) Aircraft departures performed, reflecting the total number of take-offs performed in cargo service during the annual period; and
(6) Aircraft hours airborne, reflecting the aircraft hours of flight (from take-off to landing) performed in cargo service during the annual period.
(a) Schedule T-100 collects detailed on-flight market and nonstop segment data on all revenue flights flown by U.S. certificated air carriers. This schedule is filed monthly. Separate data shall be reported for each operating entity (Latin America, Atlantic, Pacific; International, or Domestic) of the air carrier. Data for each operating entity shall be reported using the five digit entity code prescribed under section 19-5(c) of this part.
(b) Guidelines for reporting the automated monthly Schedule T-100 are included in the Appendix to this section.
(c) Reported data shall be compiled as aggregates of the basic data elements and service classes contained in sections 19-4 and 19-5 of this part.
(d)
For
49 U.S.C. 40101, 40101nt., 40105, 40113, 40114, 41708, 41709, 41711, 41501, 41702, 41712, 44909, 46301, 46310, 46316; section 203 of Pub. L. 101-604, 104 Stat. 3066 (22 U.S.C. 5501-5513), Title VII of Pub. L. 104-264, 110 Stat. 3213 (22 U.S.C. 5501-5513) and Pub. L. 105-148, 111 Stat. 2681 (49 U.S.C. 41313.)
The purpose of this part is to ensure that the U.S. government has prompt and adequate information in case of an aviation disaster on covered flight segments.
(1) An occurrence associated with the operation of an aircraft that takes place between the time any passengers have boarded the aircraft with the intention of flight and the time all such persons have disembarked or have been removed from the aircraft, and in which any person suffers death or serious injury, and in which the death or injury was caused by a crash, fire, collision, sabotage or accident;
(2) A missing aircraft; or
(3) An act of air piracy.
(1) certificated air carriers, and
(2) foreign air carriers, except those that hold Department of Transportation authority to conduct operations in foreign air transportation using only small aircraft (i.e., aircraft designed to have a maximum passenger capacity of not more than 60 seats or a maximum payload capacity of not more than 18,000 pounds).
This part applies to covered flight segments operated by covered airlines. (See § 243.3 of this part)
(a) For covered flight segments, each covered airline shall:
(1) Collect, or cause to be collected, the full name for each passenger who is a U.S. citizen. U.S.-citizen passengers for whom this information is not obtained shall not be boarded;
(2) Solicit, or cause to be solicited, a name and telephone number of a contact from each passenger who is a U.S. citizen; and
(3) Maintain a record of the information collected pursuant to this section.
(b) The covered airline operating the flight segment shall be responsible for ensuring compliance with paragraph (a) of this section.
Covered airlines may use any method or procedure to collect, store and transmit the required information, subject to the following conditions:
(a) Information on individual passengers shall be collected before each passenger boards the aircraft on a covered flight segment.
(b) The information shall be kept until all passengers have disembarked from the covered flight segment.
(c) The contact information collected pursuant to section 243.7(a)(2) of this part shall be kept confidential and released only to the U.S. Department of State, the National Transportation Safety Board (upon NTSB's request), and the U.S. Department of Transportation pursuant to oversight of this part. This paragraph does not preempt other governments or governmental agencies that have an independent, legal right to obtain this information.
(d) The contact information collected pursuant to section 243.7(a)(2) of this part shall only be used by covered airlines for notification of family members or listed contacts following an aviation disaster. The information shall not be used for commercial or marketing purposes.
(a) Each covered airline shall inform the Managing Director of Overseas Citizen Services, Bureau of Consular Affairs, U.S. Department of State immediately upon learning of an aviation disaster involving a covered flight segment operated by that carrier. The Managing Director may be reached 24 hours a day through the Department of State Operations Center at (202) 647-1512.
(b) Each covered airline shall transmit a complete and accurate compilation of the information collected pursuant to § 243.7 of this part to the U.S. Department of State as quickly as possible, but not later than 3 hours, after the carrier learns of an aviation disaster involving a covered flight segment operated by that carrier.
(c) Upon request, a covered airline shall transmit a complete and accurate compilation of the information collected pursuant to § 243.7 of this part to the Director, Family Support Services, National Transportation Safety Board.
(a) Each covered airline that operates one or more covered flight segments shall file with the U.S. Department of Transportation a brief statement summarizing how it will collect the passenger manifest information required by this part and transmit the information to the Department of State following an aviation disaster. This description shall include a contact at the covered airline, available at any time the covered airline is operating a covered flight segment, who can be consulted concerning information gathered pursuant to this part.
(b) Each covered airline shall file any contact change as well as a description of any significant change in its means of collecting or transmitting manifest information on or before the date the change is made.
(c) All filings under this section should be submitted to OST Docket 98-3305, Dockets Facility (SVC-121.30), U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590. The statement shall be filed by July 1, 1998, or, for covered airlines beginning operations after July 1, 1998, prior to the date a covered airline operates a covered flight segment.
(a) If a covered airline obtains a waiver in the manner described in this section, it will not be required to solicit, collect or transmit information under this part in countries where such solicitation or collection would violate applicable foreign law, but only to the extent it is established by the carrier
(b) Covered airlines that claim that such solicitation, collection or transmission would violate applicable foreign law in certain foreign countries shall file a petition requesting a waiver in the Docket Facility, on or before October 1, 1998, or on or before beginning service between that country and United States. Such petition shall include copies of the pertinent foreign law, as well as a certified translation, and shall include opinions of appropriate legal experts setting forth the basis for the conclusion that collection would violate such foreign law. Statements from foreign governments on the application of their laws will also be accepted.
(c) The U.S. Department of Transportation will notify the covered airline of the extent to which it has been satisfactorily established that compliance with all or part of the data collection requirements of this part would constitute a violation of foreign law.
(d) The U.S. Department of Transportation will maintain an up-to-date listing in OST Docket 98-3305 of countries where adherence to all or a portion of this part is not required because of a conflict with applicable foreign law.
The U.S. Department of Transportation may at any time require a covered airline to produce a passenger manifest including emergency contacts and phone numbers for a specified covered flight segment to ascertain the effectiveness of the carrier's system. In addition, it may require from any covered airline further information about collection, storage and transmission procedures at any time. If the Department finds a covered airline's system to be deficient, it will require appropriate modifications, which must be implemented within the period specified by the Department. In addition, a covered airline not in compliance with this part may be subject to enforcement action by the Department.
49 U.S.C. chapter 401.
The direct airport-to-airport mileage record now maintained, and as hereafter amended or revised from time to time by the Office of Airline Information of the Bureau of Transportation Statistics of the Department of Transportation in the regular performance of its duties, is hereby adopted as the official mileage record of the Department and the mileages set forth therein shall be used in all instances where it shall be necessary to determine direct airport-to-airport mileages pursuant to the provisions of Titles IV and X of the Federal Aviation Act of 1958, as amended, or any rule, regulation, or order of the Department pursuant thereto.
49 U.S.C. 329 and chapters 41102, 41708, and 41709.
The requirements of this part shall be applicable to all air carriers subject to the requirements of part 241 of this subchapter.
(a) Whenever any air carrier subject to § 248.1 shall have caused an annual audit of its books, records, and accounts to be made by independent public accountants, such air carrier shall file with the Office of Airline Information, in duplicate, a special report consisting of a true and complete copy of
(b) Each air carrier subject to § 248.1 that does not cause an annual audit to be made of its books, records, and accounts for any fiscal year shall, at the close of such fiscal year file with the Board's Office of the Comptroller, as a part of its periodic reports, a statement that no such audit has been performed.
(c) Carriers shall submit their audit reports or their statement that no audit was performed in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
The report required by this part shall be filed with the Office of Airline Information within 15 days after the due date of the appropriate periodic BTS Form 41 Report, filed for the 12-month period covered by the audit report, or the date the accountant submits its audit report to the air carrier, whichever is later.
The special reports required to be filed by § 248.2 shall be withheld from public disclosure, until further order of the BTS, if such treatment is requested by the air carrier at the time of filing.
49 U.S.C. 329 and chapters 401, 411, 413, 417.
The recordkeeping requirements contained in this part have been approved by the Office of Management and Budget under control number 2138-0006.
Subparts A and B of this part apply to:
(a) Air carriers, as defined in 49 U.S.C. 40102, that hold either certificates of public convenience and necessity or certificates for all-cargo air service.
(b) Public charter operators, as defined in part 380 of this chapter.
(c) Overseas military personnel charter operators, as defined in part 372 of this chapter.
For the purposes of this part:
(a) All records listed in §§ 249.20 and 249.21 may be preserved on either paper or nonerasable microfilm (see § 249.4). However, a paper or microfilm record need not be created to satisfy the requirements of this part if the record is initially prepared in a machine-readable medium such as punched cards, magnetic tapes, and disks. The records maintained in machine-readable media and the underlying data used in their preparation shall be preserved for the periods prescribed in §§ 249.20 and 249.21. A paper or microfilm record shall not be destroyed after transfer to a machine-readable medium before expiration of the prescribed period: however, a waiver permitting the early destruction of paper or microfilm records transferred to a machine-readable medium may be granted by the Director, Office of Airline Information, when it is demonstrated by the requesting carrier that the substantive purpose of the retention requirement will be met by retention of the information in machine-readable form (see § 249.10).
(b) Each record kept in a machine-readable medium shall be accompanied by a statement clearly indicating the type of data included in the record and certifying that the information contained in it is complete and accurate. This statement shall be executed by a person having personal knowledge of the facts contained in the records. The records shall be indexed and retained in such a manner so that they are easily accessible, and the carrier shall have the facilities available to locate, identify and reproduce the records in readable form without loss of clarity. Authorized representatives of the DOT shall be given immediate access to the carrier's facilities upon request.
(c) If any record which must be retained under the provisions of §§ 249.20
(d) The provisions in this part do not excuse noncompliance with requirements of any other governmental body, Federal or State, prescribing longer retention periods for any rec-ords.
(a) Any record may be transferred to nonerasable microfilm (including microfiche, computer output microfilm, and aperture cards) at any time. Records so maintained on microfilm shall satisfy the minimum requirements listed in paragraphs (b) through (f) of this section.
(b) The microfilm shall be of a quality that can be easily read and that can be reproduced in paper similar in size to an original without loss of clarity or detail during the periods the records are required to be retained in §§ 249.20 and 249.21.
(c) Microfilm records shall be indexed and retained in such a manner as will render them readily accessible, and the company shall have facilities available to locate, identify and read the microfilm and reproduce in paper form. Authorized representatives of the DOT shall be given immediate access to these facilities upon request.
(d) Any significant characteristic, feature, or other attribute which microfilm will not preserve shall be clearly indicated at the beginning of each roll of film or series of microfilm records if applicable to all records on the roll or series, or on the individual record, as appropriate.
(e) The printed side of printed forms need not be microfilmed for each record if nothing has been added to the printed matter common to all such forms, but an identified specimen of the form shall be on the film for reference.
(f) Each roll of film or series of microfilm records shall include a microfilm of a certificate stating that the photographs are direct and facsimile reproductions of the original records and they have been made in accordance with prescribed regulations. Such a certificate shall be executed by a person having personal knowledge of these facts. Where the microfilm is computer output, the microfilm certificate shall state that the information is complete and accurate.
Each carrier shall provide reasonable protection from damage by fire, floods, and other hazards for records subject to the provisions of this part.
(a) Upon the expiration of the period of preservation prescribed in this regulation, records may be destroyed at the option of the carrier.
(b) Unless otherwise specified, duplicate copies of records may be destroyed at any time if they contain no significant information not shown on the originals.
(a) Each carrier that has been named a party to a pending mail rate case shall retain all records remaining in its custody as of the beginning of an “open mail rate period” until the occurrence of one of the following contingencies, whichever is first:
(1) Final adjudication of a DOT order fixing the final mail compensation payable for services rendered during an “open mail rate period.”
(2) Receipt of a notice issued by the Director, Office of Airline Information in response to a written application filed by the carrier, authorizing the destruction of specifically identified categories of records. An application should be filed when the carrier believes that certain categories of records are not relevant to the proper processing of a pending mail proceeding. The application should list those categories of records which the carrier wants to destroy and its reasons for believing that the records are not necessary or useful in determining its satutory mail pay.
(b) Each carrier shall preserve records supporting the computation of subsidy mail pay in accordance with the provisions of § 249.20 unless the carrier has been advised that these computations are subject to further review and disposition by the Board. When the DOT is still reviewing the compensation amount after expiration of the normal retention period specified in § 249.20, these records must be retained until the carrier is notified by the Director, Office of Airline Information, that the records may be destroyed.
(c) Each carrier that has been named a party to an enforcement proceeding or against whom a third-party complaint has been filed shall retain all records relating to the case until the receipt of formal notification from the Director, Office of Airline Information, following a written application from the carrier, which authorizes the destruction of these records.
(d) Each carrier that has been named a party to a pending case which is not of a type discussed in paragraphs (a), (b), and (c) of this section, shall preserve all records according to the provisions of § 249.20 unless the Director, Office of Airline Information, notifies the carrier in writing that specific records shall be preserved until final adjudication of the pending case.
(e) Each carrier that is a party to litigation in a Federal court of which the DOT is also a party shall retain all records relating to the case until the receipt of formal notification from the Director, Office of Airline Information, following a written application from the carrier, which authorizes the destruction of these records.
If records are destroyed or lost before the expiration of the prescribed retention period, a statement shall be prepared and submitted to the Director, Office of Airline Information, which lists, as accurately as possible, the unavailable records and describes the circumstances under which they became unavailable.
The records referred to in these regulations may be destroyed after the business is discontinued and the carrier is completely liquidated. The records may not be destroyed until dissolution is final and all transactions and litigations are completed. When a carrier is merged with another company which is regulated by the DOT, the successor company shall preserve records of the merged company in accordance with these regulations.
A waiver from any provision of this regulation may be made by the Director, Office of Airline Information, upon the Director's own initiative or upon submission of a written request by a carrier or group of carriers. Each request for waiver shall demonstrate that unusual circumstances warrant a departure from prescribed retention periods, procedures, or techniques, or that compliance with the prescribed requirements would impose an unreasonable burden on the carrier, and that granting the waiver would be in the public interest.
Each certificated air carrier shall retain its records according to the provisions of this section. Unless otherwise specified in the “Schedule of Records,” each retention period shall begin on the date when the records are created or otherwise come into the possession of the carrier.
Each operator authorized under parts 372 and 380 of this chapter shall retain the following records for 6 months after completion or cancellation of the flight or series of flights. The records shall be made available upon request of an authorized representative of the DOT.
(a) All receipts and statements of travel agents and all other documents which show deposits made by each charter participant or which show refunds to charter participants.
(b) All receipts and statements of travel agents and all other documents which show or reflect commissions received, paid to, or deducted by travel agents in connection with the flight or series of flights.
(c) All statements, invoices, bills, and receipts from suppliers for furnishing of goods or services in connection with the tour or series of tours.
(d) All customer reservations records for each flight.
(e) All contracts with individual tour participants.
(f) All bank statements and reconciliations for escrow bank accounts opened and maintained in accordance with DOT regulations.
This subpart is applicable to all air carriers and foreign air carriers as defined in 49 U.S.C. 40102, including, without limitation, direct carriers, air taxi operators registered under part 298 of this chapter, indirect air carriers registered under part 296 of this chapter, charter operators authorized under parts 372 and 380 of this chapter, and foreign air carriers holding permits to engage in indirect foreign air transportation issued under 49 U.S.C. 41302.
Air carriers and foreign air carriers shall preserve evidence of compliance with the requirements imposed under Regulation Z of the Board of Governors of the Federal Reserve System (12 CFR part 226), implementing the provisions of Title I (Truth in Lending) and Title V (General Provisions) of the Consumer Credit Protection Act, as amended (15 U.S.C. 1601
49 U.S.C. 329 and chapters 41102, 41301, 41708, 41709, and 41712.
This part applies to every carrier, as defined in § 250.1, with respect to scheduled flight segments using an aircraft that has a designed passenger capacity of 30 or more passenger seats, operating in (1) interstate air transportation or (2) foreign air transportation with respect to nonstop flight segments originating at a point within the United States.
In the event of an oversold flight, every carrier shall ensure that the smallest practicable number of persons holding confirmed reserved space on that flight are denied boarding involuntarily.
(a) In the event of an oversold flight, every carrier shall request volunteers for denied boarding before using any other boarding priority. A “volunteer” is a person who responds to the carrier's request for volunteers and who willingly accepts the carriers' offer of compensation, in any amount, in exchange for relinquishing the confirmed reserved space. Any other passenger denied boarding is considered for purposes of this part to have been denied boarding involuntarily, even if that passenger accepts the denied boarding compensation.
(b) Every carrier shall advise each passenger solicited to volunteer for denied boarding, no later than the time the carrier solicits that passenger to volunteer, whether he or she is in danger of being involuntarily denied boarding and, if so, the compensation the carrier is obligated to pay if the passenger is involuntarily denied boarding. If an insufficient number of volunteers come forward, the carrier may deny boarding to other passengers
(a) Every carrier shall establish priority rules and criteria for determining which passengers holding confirmed reserved space shall be denied boarding on an oversold flight in the event that an insufficient number of volunteers come forward. Such rules and criteria shall reflect the obligations of the carrier set forth in §§ 250.2a and 250.2b to minimize involuntary denied boarding and to request volunteers, and shall be written in such manner as to be understandable and meaningful to the average passenger. Such rules and criteria shall not make, give, or cause any undue or unreasonable preference or advantage to any particular person or subject any particular person to any unjust or unreasonable prejudice or disadvantage in any respect whatsoever.
(b) Boarding priority factors may include, but are not limited to, the following:
(1) A passenger's time of check-in;
(2) Whether a passenger has a seat assignment before reaching the departure gate for carriers that assign seats;
(3) The fare paid by a passenger;
(4) A passenger's frequent-flyer status; and
(5) A passenger's disability or status as an unaccompanied minor.
(a) Subject to the exceptions provided in § 250.6, a carrier to whom this part applies as described in § 250.2 shall pay compensation to passengers denied boarding involuntarily from an oversold flight at the rate of 200 percent of the fare (including any surcharges and air transportation taxes) to the passenger's next stopover, or if none, to the passenger's final destination, with a maximum of $800. However, the compensation shall be one-half the amount described above, with a $400 maximum, if the carrier arranges for comparable air transportation [see § 250.1], or other transportation used by the passenger that, at the time either such arrangement is made, is planned to arrive at the airport of the passenger's next stopover, or if none, the airport of the passenger's final destination, not later than 2 hours after the time the direct or connecting flight from which the passenger was denied boarding is planned to arrive in the case of interstate air transportation, or 4 hours after such time in the case of foreign air transportation.
(b) Carriers may offer free or reduced rate air transportation in lieu of the cash due under paragraph (a) of this section, if (1) the value of the transportation benefit offered is equal to or greater than the cash payment otherwise required, and (2) the carrier informs the passenger of the amount of cash compensation that would otherwise be due and that the passenger may decline the transportation benefit and receive the cash payment.
A passenger denied boarding involuntarily from an oversold flight shall not be eligible for denied boarding compensation if:
(a) The passenger does not comply fully with the carrier's contract of carriage or tariff provisions regarding ticketing, reconfirmation, check-in, and acceptability for transportation;
(b) The flight for which the passenger holds confirmed reserved space is unable to accommodate that passenger because of substitution of equipment of lesser capacity when required by operational or safety reasons; or, on an aircraft with a designed passenger capacity of 60 or fewer seats, the flight for which the passenger holds confirmed reserved space is unable to accommodate that passenger due to weight/balance restrictions when required by operational or safety reasons;
(c) The passenger is offered accommodations or is seated in a section of the aircraft other than that specified on the ticket at no extra charge, except that a passenger seated in a section for which a lower fare is charged shall be entitled to an appropriate refund; or
(d) The carrier arranges comparable air transportation, or other transportation used by the passenger at no extra cost to the passenger, that at the time such arrangements are made is planned to arrive at the airport of the passenger's next stopover or, if none, at the airport of the final destination not later than 1 hour after the planned arrival time of the passenger's original flight or flights.
(a) Every carrier shall tender to a passenger eligible for denied boarding compensation, on the day and place the denied boarding occurs, except as provided in paragraph (b), cash or an immediately negotiable check for the appropriate amount of compensation provided in § 250.5.
(b) Where a carrier arranges, for the passenger's convenience, alternate means of transportation that departs before the payment can be prepared and given to the passenger, tender shall be made by mail or other means within 24 hours after the time the denied boarding occurs.
(a) Every carrier shall furnish passengers who are denied boarding involuntarily from flights on which they hold confirmed reserved space immediately after the denied boarding occurs, a written statement explaining the terms, conditions, and limitations of denied boarding compensation, and describing the carriers' boarding priority rules and criteria. The carrier shall also furnish the statement to any person upon request at all airport ticket selling positions which are in the charge of a person employed exclusively by the carrier, or by it jointly with another person or persons, and at all boarding locations being used by the carrier.
(b) The statement shall read as follows:
If you have been denied a reserved seat on (name of air carrier), you are probably entitled to monetary compensation. This notice explains the airline's obligation and the passenger's rights in the case of an oversold flight, in accordance with regulations of the
If a flight is oversold (more passengers hold confirmed reservations than there are seats available), no one may be denied boarding against his or her will until airline personnel first ask for volunteers who will give up their reservation willingly, in exchange for a payment of the airline's choosing. If there are not enough volunteers, other passengers may be denied boarding involuntarily in accordance with the following boarding priority of (name of air carrier): (In this space the carrier inserts its boarding priority rules or a summary thereof, in a manner to be understandable to the average passenger.)
If you are denied boarding involuntarily, you are entitled to a payment of “denied boarding compensation” from the airline unless: (1) you have not fully complied with the airline's ticketing, check-in and reconfirmation requirements, or you are not acceptable for transportation under the airline's usual rules and practices; or (2) you are denied boarding because the flight is canceled; or (3) you are denied boarding because a smaller capacity aircraft was substituted for safety or operational reasons; or (4) on a flight operated with an aircraft having 60 or fewer seats, you are denied boarding due to safety-related weight/balance restrictions that limit payload; or (5)
Passengers who are eligible for denied boarding compensation must be offered a payment equal to their one-way fare to their destination (including connecting flights) or first stopover of four hours or longer, with a $400 maximum. However, if the airline cannot arrange “alternate transportation” (see below) for the passenger, the compensation is doubled ($800 maximum). The fare upon which the compensation is based shall include any surcharge and air transportation tax.
“Alternate transportation” is air transportation (by any airline licensed by
Except as provided below, the airline must give each passenger who qualified for involuntary denied boarding compensation a payment by cash or check for the amount specified above, on the day and at the place the involuntary denied boarding occurs. If the airline arranges alternate transportation for the passenger's convenience that departs before the payment can be made, the payment shall be sent to the passenger within 24 hours. The air carrier may offer free or discounted transportation in place of the cash payment. In that event, the carrier must disclose all material restrictions on the use of the free or discounted transportation before the passenger decides whether to accept the transportation in lieu of a cash or check payment. The passenger may insist on the cash/check payment or refuse all compensation and bring private legal action.
Acceptance of the compensation may relieve (name of air carrier) from any further liability to the passenger caused by its failure to honor the confirmed reservation. However, the passenger may decline the payment and seek to recover damages in a court of law or in some other manner.
(a) Every reporting carrier as defined in 14 CFR 234.2 and any carrier that voluntarily submits data pursuant to § 234.7 of that part shall file, on a quarterly basis, the information specified in BTS Form 251. The reporting basis shall be flights originating or terminating at, or servicing, a point within the United States. The reports are to be submitted within 30 days after the quarter covered by the report. The calendar quarters end March 31, June 30, September 30 and December 31. “Total Boardings” on line 7 of Form 251 shall include only passengers on flights for which confirmed reservations are offered. No reports need be filed for inbound international flights on which the protections of this part do not apply.
(b) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of
(a) Every carrier shall cause to be displayed continuously in a conspicuous public place at each desk, station and position in the United States which is in the charge of a person employed exclusively by it, or by it jointly with another person, or by any agent employed by such air carrier or foreign air carrier to sell tickets to passengers, a sign located so as to be clearly visible and clearly readable to the traveling public, which shall have printed thereon the following statement in boldface type at least one-fourth of an inch high:
Airline flights may be overbooked, and there is a slight chance that a seat will not be available on a flight for which a person has a confirmed reservation. If the flight is overbooked, no one will be denied a seat until airline personnel first ask for volunteers willing to give up their reservation in exchange for compensation of the airline's choosing. If there are not enough volunteers, the airline will deny boarding to other persons in accordance with its particular boarding priority. With few exceptions, including failure to comply with the carrier's check-in deadline (carrier shall insert either “of _ minutes prior to each flight segment” or “(which are available upon request from the air carrier)” here), persons denied boarding involuntarily are entitled to compensation. The complete rules for the payment of compensation and each airline's boarding priorities are available at all airport ticket counters and boarding locations. Some airlines do not apply these consumer protections to travel from some foreign countries, although other consumer protections may be available. Check with your airline or your travel agent.
(b) Every carrier shall include with each ticket sold in the United States the notices set forth in paragraph (a) of this section, printed in at least 12-point type. The notice may be printed on a separate piece of paper, on the ticket stock, or on the ticket envelope. The last two sentences of the notice shall be printed in a type face contrasting with that of the rest of the notice.
(c) It shall be the responsibility of each carrier to ensure that travel agents authorized to sell air transportation for that carrier comply with the notice provisions of paragraphs (a) and (b) of this section.
(d) [Reserved]
(e) Any air carrier or foreign air carrier engaged in foreign air transportation that complies fully with this part for inbound traffic to the United States need not use the last two sentences of the notices required by paragraph (a) of this subsection.
Pub. L 101-164; 49 U.S.C. 40102, 40109, 40113, 41701, 41702, 41706, as amended by section 708 of Pub. L 106-181, 41711, and 46301.
For smoking rules of the Federal Aviation Administration, see 14 CFR 121.317(c), 121.571(a)(1)(i), 129.29, 135.117(a)(1), and 135.127(a).
This part implements a ban on smoking of tobacco products on air carrier and foreign air carrier flights in scheduled intrastate, interstate and foreign air transportation, as required by 49 USC 41706. It also addresses smoking on
As defined in 49 U.S.C. 40102, an “air carrier” is a citizen of the United States undertaking to provide air transportation, and a “foreign air carrier” is a person, not a citizen of the United States, undertaking to provide foreign air transportation.
This part applies to all operations of air carriers engaged in interstate, intrastate and foreign air transportation and to foreign air carriers engaged in foreign air transportation, but does not apply to the on-demand services of air taxi operators.
Air carriers shall prohibit smoking on all scheduled passenger flights.
(a) Foreign air carriers shall prohibit smoking on all scheduled passenger flight segments:
(1) Between points in the United States, and
(2) Between the U.S. and any foreign point.
(b) A foreign government objecting to the application of paragraph (a) of this section on the basis that paragraph (a) provides for extraterritorial application of the laws of the United States may request and obtain a waiver of paragraph (a) from the Assistant Secretary of Transportation for Transportation Policy, provided that an alternative smoking prohibition resulting from bilateral negotiations is in effect.
(a) Except as provided in paragraph (b) of this section, air carriers operating nonstop flight segments to which §§ 252.3 and 252.13 do not apply shall provide, at a minimum:
(1) A no-smoking section for each class of service;
(2) A sufficient number of seats in each no-smoking section to accommodate all persons in that class of service who wish to be seated there;
(3) Expansion of no-smoking sections to meet passenger demand; and
(4) Special provisions to ensure that if a no-smoking section is placed between smoking sections, the nonsmoking passengers are not unreasonably burdened.
(b) On flights for which passengers may make confirmed reservations and on which seats are assigned before boarding, an air carrier need not provide a seat in a no-smoking section to a passenger who has not met the carrier's requirements as to time and method of obtaining a seat on the flight, or who does not have a confirmed reservation. If a seat is available in the established no-smoking section, however, an air carrier shall seat there any enplaning passenger who so requests, regardless of boarding time or reservation status.
The restrictions on smoking described in §§ 252.3 through 252.7 shall apply to all locations within the aircraft.
Air carriers shall prohibit smoking whenever the ventilation system is not fully functioning. Fully functioning for this purpose means operating so as to provide the level and quality of ventilation specified and designed by the manufacturer for the number of persons currently in the passenger compartment.
(a) Air carriers shall prohibit smoking whenever the aircraft is on the ground.
(b) With respect to the restrictions on smoking described in § 252.5, foreign air carriers shall prohibit smoking from the time an aircraft begins enplaning passengers until the time passengers complete deplaning.
Air carriers shall prohibit smoking on aircraft designed to have a passenger capacity of 30 or fewer seats.
This section, like the rest of this part, does not apply to on-demand services of air taxi operators; see § 252.2 in this part.
Air carriers shall prohibit the smoking of cigars and pipes aboard aircraft.
Air carriers and foreign air carriers shall take such action as is necessary to ensure that smoking by passengers or crew is not permitted in the passenger cabin or lavatories on no-smoking flight segments. Air carriers shall take such action as is necessary to ensure that smoking by passengers or crew is not permitted in no-smoking sections or at other times or places where smoking is prohibited by this part, and to maintain required separation of passengers in smoking and no-smoking areas.
On single-entity charters operated pursuant to §§ 207.50 or 208.300 of this title, air carriers need not comply with the procedures of this part 252 if such a request is made by the charterer, provided that each passenger on such flights is given notice of the smoking procedures for the flight at the time he or she first makes arrangements to take the flight.
49 U.S.C. 40113; 49 U.S.C. Chapters 401, 415 and 417.
The purpose of this rule is to set uniform disclosure requirements, which preempt any State requirements on the same subject, for terms incorporated by reference into contracts of carriage for scheduled service in interstate and overseas passenger air transportation.
This rule applies to all scheduled direct air carrier operations in interstate and overseas air transportation. It applies to all contracts with passengers, for those operations, that incorporate terms by reference.
(a) A ticket or other written instrument that embodies the contract of carriage may incorporate contract terms by reference (i.e., without stating their full text), and if it does so shall contain or be accompanied by notice to the passenger as required by this part. In addition to other remedies at law, an air carrier may not claim the benefit as against the passenger of, and the passenger shall not be bound by, any contract term incorporated by reference if notice of the term has not been provided to that passenger in accordance with this part.
(b) Each air carrier shall make the full text of each term that it incorporates by reference in a contract of carriage available for public inspection at each of its airport and city ticket offices.
(c) Each air carrier shall provide free of charge by mail or other delivery service to passengers, upon their request, a copy of the full text of its terms incorporated by reference in the contract. Each carrier shall keep available at all times, free of charge, at all locations where its tickets are sold within the United States information
Except as provided in § 253.8, each air carrier shall include on or with a ticket, or other written instrument given to a passenger, that embodies the contract of carriage and incorporates terms by reference in that contract, a conspicuous notice that:
(a) Any terms incorporated by reference are part of the contract, passengers may inspect the full text of each term incorporated by reference at the carrier's airport or city ticket offices, and passengers have the right, upon request at any location where the carrier's tickets are sold within the United States, to receive free of charge by mail or other delivery service the full text of each such incorporated term;
(b) The incorporated terms may include and passengers may obtain from any location where the carrier's tickets are sold within the United States further information concerning:
(1) Limits on the air carrier's liability for personal injury or death of passengers, and for loss, damage, or delay of goods and baggage, including fragile or perishable goods;
(2) Claim restrictions, including time periods within which passengers must file a claim or bring an action against the carrier for its acts or omissions or those of its agents;
(3) Rights of the carrier to change terms of the contract. (Rights to change the price, however, are governed by § 253.7);
(4) Rules about reconfirmation of reservations, check-in times, and refusal to carry;
(5) Rights of the carrier and limitations concerning delay or failure to perform service, including schedule changes, substitution of alternate air carrier or aircraft, and rerouting.
Each air carrier shall ensure that any passenger can obtain from any location where its tickets are sold within the United States a concise and immediate explanation of any terms incorporated by reference, concerning the subjects listed in § 253.5(b).
A passenger shall not be bound by any terms restricting refunds of the ticket price, imposing monetary penalties on passengers, or permitting the carrier to raise the price, unless the passenger receives conspicuous written notice of the salient features of those terms on or with the ticket.
(a) If notice is not provided in accordance with § 253.5 at a ticket sales location outside of the United States that is not a U.S. air carrier ticket office, the price paid for the portion of such ticket that is for interstate and overseas air transportation shall be refundable without penalty if the passenger refuses transportation by the carrier. Each air carrier shall ensure that passengers who have bought tickets at those locations without the notice required in § 253.5 are given that notice not later than check-in for the travel in interstate or overseas air transportation, and that conspicuous notice is included on or with the ticket stating that the price for that travel is refundable without penalty.
(b) An air taxi operator (including a commuter air carrier) not operating under subpart I of part 298 of this chapter shall not be considered to have incorporated terms by reference into its contract of carriage merely because a passenger has purchased a flight segment on that carrier that appears on ticket stock that contains a statement that terms have been incorporated by reference. However, such an air taxi operator may not claim the benefit as against the passenger of, and the passenger shall not be bound by, any contract term incorporated by reference if notice of the term has not been provided to the passenger in accordance with this part.
An air carrier may not retroactively apply to persons who have already bought a ticket any material amendment to its contract of carriage that has significant negative implications for consumers.
49 U.S.C. 40113, 41501, 41504, 41510, 41702, and 41707.
The purpose of this part is to establish rules for the carriage of baggage in interstate and intrastate air transportation. The part sets permissible limitations of air carrier liability for loss, damage, or delay in the carriage of passenger baggage and requires air carriers to provide certain types of notice to passengers.
This part applies to any air carrier that provides charter or scheduled passenger service in interstate or intrastate air transportation.
On any flight segment using large aircraft, or on any flight segment that is included on the same ticket as another flight segment that uses large aircraft, an air carrier shall not limit its liability for provable direct or consequential damages resulting from the disappearance of, damage to, or delay in delivery of a passenger's personal property, including baggage, in its custody to an amount less than $3,300 for each passenger.
In any flight segment using large aircraft, or on any flight segment that is included on the same ticket as another flight segment that uses large aircraft, an air carrier shall provide to passengers, by conspicuous written material included on or with its ticket, either:
(a) Notice of any monetary limitation on its baggage liability to passengers; or
(b) The following notice: “Federal rules require any limit on an airline's baggage liability to be at least $3,300 per passenger.”
The Department of Transportation will review the minimum limit of liability prescribed in this part every two years. The Department will use the Consumer Price Index for All Urban Consumers as of July of each review year to calculate the revised minimum
49 U.S.C. 40101, 40102, 40105, 40113, 41712.
(a) The purpose of this part is to set forth requirements for the operation of computer reservations systems used by travel agents and certain related air carrier distribution practices so as to prevent unfair, deceptive, predatory, and anticompetitive practices in air transportation and the sale of air transportation.
(b) Nothing in this part operates to exempt any person from the operation of the antitrust laws set forth in subsection (a) of the first section of the Clayton Act (15 U.S.C. 12).
This part applies to firms that operate computerized reservations systems for travel agents in the United States, and to the sale in the United States of interstate, overseas, and foreign air transportation through such systems.
(a) All systems shall provide at least one integrated display that includes the schedules, fares, rules, and availability of all participating carriers in accordance with the provisions of this section. This display shall be at least as useful for subscribers, in terms of functions or enhancements offered and the ease with which such functions or
(1) Each system must offer an integrated display that uses the same editing and ranking criteria for both on-line and interline connections and does not give on-line connections a system-imposed preference over interline connections. This display shall be at least as useful for subscribers, in terms of functions or enhancements offered and the ease with which such functions or enhancements can be performed or implemented, as any other display maintained by the system vendor.
(2) Each integrated display offered by a system must either use elapsed time as a significant factor in selecting service options from the database or give single-plane flights a preference over connecting services in ranking services in displays.
(b) In ordering the information contained in an integrated display, systems shall not use any factors directly or indirectly relating to carrier identity.
(1) Systems may order the display of information on the basis of any service criteria that do not reflect carrier identity and that are consistently applied to all carriers and to all markets.
(2) When a flight involves a change of aircraft at a point before the final destination, the display shall indicate that passengers on the flight will change from one aircraft to another.
(3) Each system shall provide to any person upon request the current criteria used in editing and ordering flights for the integrated displays and the weight given to each criterion and the specifications used by the system's programmers in constructing the algorithm.
(c) Systems shall not use any factors directly or indirectly relating to carrier identity in constructing the display of connecting flights in an integrated display.
(1) Systems shall select the connecting points (and double connect points) to be used in the construction of connecting flights for each city pair on the basis of service criteria that do not reflect carrier identity and that are applied consistently to all carriers and to all markets.
(2) Systems shall select connecting flights for inclusion (“edit”) on the basis of service criteria that do not reflect carrier identity and that are applied consistently to all carriers.
(3) Systems shall provide to any person upon request current information on:
(i) All connecting points and double connect points used for each market;
(ii) All criteria used to select connecting points and double connect points;
(iii) All criteria used to “edit” connecting flights; and
(iv) The weight given to each criterion in paragraphs (c)(3)(ii) and (iii) of this section.
(4) Participating carriers shall be entitled to request that a system use up to five connect points (and double connect points) in constructing connecting flights for the display of service in a market. The system may require participating carriers to use specified procedures for such requests, but no such procedures may be unreasonably burdensome, and any procedures required of participating carriers must be applied without unreasonable discrimination between participating airlines.
(5) When a system selects connecting points and double connect points for use in constructing connecting flights it shall use at least fifteen points and six double connect points for each city-pair, except that a system may select fewer such connect or double connect points for a city-pair where:
(i) Fewer than fifteen connecting points and six double connect points meet the service criteria described in paragraph (c)(1) of this section; and
(ii) The system has used all the points that meet those criteria, along with all additional connecting points and double connect points requested by participating carriers.
(6) If a system selects connecting points and double connect points for use in constructing connecting flights it shall use every point requested by a participating carrier up to the maximum number of points that the system can use. The system may use fewer
(i) Points requested by participating carriers do not meet the service criteria described in paragraph (c)(1) of this section; and
(ii) The system has used all the points that meet those criteria.
(d) Each system shall apply the same standards of care and timeliness to loading information concerning every participating carrier. Each system shall display accurately information submitted by participating carriers. Each system shall provide to any person upon request all current data base update procedures and data formats.
(e) Systems shall use or display information concerning on-time performance of flights as follows:
(1) Within 10 days after receiving the information from participating carriers or third parties, each system shall include in all integrated schedule and availability displays the on-time performance code for each nonstop flight segment and one-stop or multi-stop single plane flight, for which a participating carrier provides a code.
(2) A system shall not use on-time flight performance as a ranking factor in ordering information contained in an integrated display.
(f) Each participating carrier shall ensure that complete and accurate information is provided each system in a form such that the system is able to display its flights in accordance with this section.
(g) A system may make available to subscribers the internal reservations system display of a participating carrier, provided that a subscriber and its employees may see any such display only by requesting it for a specific transaction.
(a) No system may require a carrier to maintain any particular level of participation or buy any enhancements in its system on the basis of participation levels or enhancements selected by that carrier in any other foreign or domestic computerized reservations system, as a condition to participation in the system.
(b) No system may require any carrier as a condition to participation to provide it with fares that the carrier has chosen not to sell through that system.
The obligations of a system under § 255.4 shall not apply with respect to a carrier that refuses to enter into and comply with a participating airline contract with that system.
No carrier may induce or attempt to induce a system to create a display that would not comply with the requirements of § 255.4.
Unless extended by a document published in the
49 U.S.C. 40113(a) and 41712.
The purpose of this part is to ensure that ticket agents doing business in the United States, air carriers, and foreign air carriers tell consumers clearly when the air transportation they are buying or considering buying involves a code-sharing arrangement or a long-term wet lease, and that they disclose to consumers the transporting carrier's identity.
This part applies to the following:
(a) Direct air carriers and foreign air carriers that participate in code-sharing arrangements or long-term wet leases involving scheduled passenger air transportation; and
(b) Ticket agents doing business in the United States that sell scheduled passenger air transportation services involving code-sharing arrangements or long-term wet leases.
As used in this part:
(a)
(b)
(c)
(d)
(e)
(1) Lasts more than 60 days; or
(2) Is part of a series of such leases that amounts to a continuing arrangement lasting more than 60 days.
(f)
(g)
The holding out or sale of scheduled passenger air transportation involving a code-sharing arrangement or long-term wet lease is prohibited as unfair and deceptive in violation of 49 U.S.C. 41712 unless, in conjunction with such holding out or sale, carriers and ticket agents follow the requirements of this part.
(a)
(b)
(c)
(1) If an itinerary is issued, there shall appear in conjunction with the listing of any flight segment on which the designator code is not that of the transporting carrier a legend that states “Operated by” followed by the corporate name of the transporting carrier and any other name in which that service is held out to the public. In the case of single-flight-number service involving a segment or segments on which the designator code is not that of the transporting carrier, the notice shall clearly identify the
(2) If no itinerary is issued, the selling carrier or ticket agent shall provide a separate written notice that clearly identifies the transporting carrier by its corporate name and any other name under which that service is held out to the public for any flight segment on which the designator code is not that of the transporting carrier. The following form of notice will satisfy the requirement of this paragraph (c)(2):
(3) If transportation is purchased far enough in advance of travel to allow for advance delivery of the ticket by mail or otherwise, the written notice required by this part shall be delivered in advance along with the ticket. If time does not allow for advance delivery of the ticket, or in the case of ticketless travel, the written notice required by this part shall be provided no later than the time that they check in at the airport for the first flight in their itinerary.
(4) At the purchaser's request, the notice required by this part may be delivered in person or by telecopier, electronic mail, or any other reliable method of transmitting written material.
(d) In any printed advertisement published in or mailed to or from the United States (including those published through the Internet) for service in a city-pair market that is provided under a code-sharing arrangement or long-term wet lease, the advertisement shall prominently disclose that the advertised service may involve travel on another carrier and clearly indicate the nature of the service in reasonably sized type and shall identify all potential transporting carriers involved in the markets being advertised by corporate name and by any other name under which that service is held out to the public. In any radio or television advertisement broadcast in the United States for service in a city-pair market that is provided under a code-sharing or long-term wet lease, the advertisement shall include at least a generic disclosure statement, such as “Some services are provided by other airlines.”
(a) This Part is effective as of August 25, 1999.
(b) Compliance with the following sections is mandatory as of August 25, 1999:
(1) § 257.1, § 257.2, § 257.3, § 257.4, § 257.5(d), and § 257.6.
(2) § 257.5(b) to the extent that it requires sellers of air transportation to give consumers oral notice before booking transportation involving a code-share arrangement
(i) Of the fact that the selling carrier is not the transporting carrier and
(ii) Of the transporting carrier's identity (as shown by its two-letter designator code in CRS displays).
(c) Compliance with the following sections is mandatory as of March 15, 2000:
(1) § 257.5(a) and § 257.5(c) in their entirety.
(2) § 257.5(b) insofar as it requires sellers of air transportation to give consumers
(i) Oral notice before booking transportation involving a code-share arrangement of the transporting carrier's corporate name and any other name under which the service is held out to the public and
(ii) The same disclosures for long-term wet leases as for code-sharing arrangements.
49 U.S.C. 40113(a) and 41712.
The purpose of this part is to ensure that consumers are adequately informed before they book air transportation or embark on travel involving change-of-gauge services that these services require a change of aircraft en route.
This part applies to the following:
(a) Direct air carriers and foreign air carriers that sell or issue tickets in the United States for scheduled passenger air transportation on change-of-gauge services or that operate such transportation; and
(b) Ticket agents doing business in the United States that sell or issue tickets for scheduled passenger air transportation on change-of-gauge services.
As used in this part:
(a)
(b)
(c)
(d)
The holding out or sale of scheduled passenger air transportation that involves change-of-gauge service is prohibited as an unfair or deceptive practice or an unfair method of competition within the meaning of 49 U.S.C. 41712 unless, in conjunction with such holding out or sale, carriers and ticket agents follow the requirements of this part.
(a)
(b)
(c)
For at least one of your flights, you must change aircraft en route even though your ticket may show only one flight number and have only one flight coupon for that flight. Further, in the case of some travel, one of your flights may not be identified at the airport by the number on your ticket, or it may be identified by other flight numbers in addition to the one on your ticket. At your request, the seller of this ticket will give you details of your change of aircraft, such as where it will occur and what aircraft types are involved.
(a) This Part is effective as of August 25, 1999.
(b) Compliance with the following sections is mandatory as of August 25, 1999: § § 258.1, 258.2, 258.3, 258.4, 258.5(a), 258.5(b), and 258.6.
(c) Compliance with § 258.5(c) is mandatory as of March 15, 2000.
49 U.S.C. 40101(a)(4), 40101(a)(9), 40113(a), 41702, and 41712.
The purpose of this part is to mitigate hardships for airline passengers during lengthy tarmac delays and otherwise to bolster air carriers' accountability to consumers.
This rule applies to all the flights of a certificated or commuter air carrier if the carrier operates scheduled passenger service or public charter service using any aircraft originally designed to have a passenger capacity of 30 or more seats, with the following exceptions: §§ 259.5 and 259.7 do not apply to charter service.
(a)
(b)
(1) For domestic flights, assurance that the air carrier will not permit an aircraft to remain on the tarmac for more than three hours unless:
(i) The pilot-in-command determines there is a safety-related or security-related reason (e.g., weather, a directive from an appropriate government agency) why the aircraft cannot leave its position on the tarmac to deplane passengers; or
(ii) Air traffic control advises the pilot-in-command that returning to the gate or another disembarkation point elsewhere in order to deplane passengers would significantly disrupt airport operations.
(2) For international flights that depart from or arrive at a U.S. airport, assurance that the air carrier will not permit an aircraft to remain on the tarmac at a large or medium hub U.S. airport for more than a set number of hours, as determined by the carrier and set out in its contingency plan, before allowing passengers to deplane, unless:
(i) The pilot-in-command determines there is a safety-related or security-related reason why the aircraft cannot leave its position on the tarmac to deplane passengers; or
(ii) Air traffic control advises the pilot-in-command that returning to the gate or another disembarkation point elsewhere in order to deplane passengers would significantly disrupt airport operations.
(3) For all flights, assurance that the air carrier will provide adequate food and potable water no later than two hours after the aircraft leaves the gate (in the case of departure) or touches down (in the case of an arrival) if the aircraft remains on the tarmac, unless the pilot-in-command determines that safety or security considerations preclude such service;
(4) For all flights, assurance of operable lavatory facilities, as well as adequate medical attention if needed, while the aircraft remains on the tarmac;
(5) Assurance of sufficient resources to implement the plan; and
(6) Assurance that the plan has been coordinated with airport authorities at all medium and large hub airports that the carrier serves, including medium and large hub diversion airports.
(c)
(d)
(1) The length of the delay;
(2) The precise cause of the delay;
(3) The actions taken to minimize hardships for passengers, including the provision of food and water, the maintenance and servicing of lavatories, and medical assistance;
(4) Whether the flight ultimately took off (in the case of a departure delay or diversion) or returned to the gate; and
(5) An explanation for any tarmac delay that exceeded 3 hours (
(e)
(a)
(b)
(1) Offering the lowest fare available;
(2) Notifying consumers of known delays, cancellations, and diversions;
(3) Delivering baggage on time;
(4) Allowing reservations to be held without payment or cancelled without penalty for a defined amount of time;
(5) Providing prompt ticket refunds;
(6) Properly accommodating passengers with disabilities and other special-needs, including during tarmac delays;
(7) Meeting customers' essential needs during lengthy tarmac delays;
(8) Handling “bumped” passengers with fairness and consistency in the case of oversales;
(9) Disclosing travel itinerary, cancellation policies, frequent flyer rules, and aircraft configuration;
(10) Ensuring good customer service from code-share partners;
(11) Ensuring responsiveness to customer complaints; and
(12) Identifying the services it provides to mitigate passenger inconveniences resulting from cancellations and misconnects.
(c)
(a) Each air carrier that is required to adopt a Contingency Plan for Lengthy Tarmac Delays or a Customer Service Plan may include such plans in their Contract of Carriage.
(b) Each air carrier that has a Web site shall post its Contract of Carriage on its Web site in easily accessible form, including all updates to its Contract of Carriage.
(c) Each air carrier that is required to adopt a Contingency Plan for Lengthy Tarmac Delays shall, if it has a Web site but does not include such Contingency Plan for Lengthy Tarmac Delays in its Contract of Carriage, post its Contingency Plan for Lengthy Tarmac Delays on its Web site in easily accessible form, including all updates to its Contingency Plan for Lengthy Tarmac Delays.
(d) Each air carrier that is required to adopt a Customer Service Plan shall, if it has a Web site but does not include such Customer Service Plan in its Contract of Carriage, post its Customer Service Plan on its Web site in easily accessible form, including all updates to its Customer Service Plan.
(a)
(b)
(c)
49 U.S.C. Chapters 401, 417.
This part establishes the guidelines required by 49 U.S.C. 41736 to be used by the Department in establishing the fair and reasonable amount of compensation needed to ensure the continuation of essential air service to an eligible place under 49 U.S.C. 41731 and 41734. These guidelines are intended to cover normal carrier selection cases and rate renewal cases, and not necessarily emergency carrier selection cases.
As used in this part:
(1) Was an eligible point under section 419 of the Federal Aviation Act of 1958 as in effect before October 1, 1988;
(2) Received scheduled air transportation at any time between January 1, 1990, and November 4, 1990; and
(3) Is not listed in Department of Transportation Orders 89-9-37 and 89-12-52 as a place ineligible for compensation under Subchapter II of Chapter 417 of the Statute.
In establishing the subsidy for an air carrier providing essential air service at an eligible place, the Department will consider the following:
(a) The reasonable projected costs of a carrier in serving that place;
(b) The carrier's reasonable projected revenues for serving that place;
(c) The appropriate size of aircraft for providing essential air service at that place; and
(d) A reasonable profit for a carrier serving that place.
(a) The reasonable costs projected for a carrier providing essential air service at an eligible place will be evaluated:
(1) For costs attributable to the carrier's flying operations (direct expenses), by comparing the projected costs submitted by the carrier with the following:
(i) The carrier's historical direct operating costs with the same or similar aircraft types;
(ii) The direct operating unit costs of similar carriers using the same or similar equipment; and
(iii) Data supplied by the manufacturer of the carrier's aircraft.
(2) For other costs, by one or more of the following methods:
(i) By direct assignment where the indirect costs are attributable to the carrier's operations at the eligible place;
(ii) By comparing the carrier's systemwide indirect operating expenses to those submitted by the carrier for the eligible place; or
(iii) By comparing the indirect operating expenses submitted by the carrier with the ratio of indirect to direct costs that have been experienced by the carrier in other markets or to costs that are representative of the industry.
(3) By considering the unique circumstances of the carrier or the community being served that justify deviations from the costs that would otherwise be established for that carrier under this paragraph.
(4) By determining whether the aircraft to be used by the carrier at the eligible place, and on which its costs are derived, are appropriate for providing essential air service there. The appropriateness of the aircraft to be used is based on the following characteristics of the eligible place:
(i) Traffic levels;
(ii) The level of air service that the Department has decided is essential for the eligible place;
(iii) Distance to the designated hub;
(iv) The altitude at which the carrier must fly to the designated hub; and
(v) Other operational elements involved.
(b) When the essential air service would be made part of the carrier's linear system, the Department might, instead of the factors in paragraph (a) of this section, consider only the incremental costs that the carrier will incur in adding that service to its system.
(a) The projected passenger revenue for a carrier providing essential air service at an eligible place will be calculated by multiplying the following:
(1) A reasonable projected net fare, which is the standard fare expected to be charged for service between the eligible place and the designated hub less any dilution caused by joint fare arrangements, discount fares that it offers, or prorates of fares for through one-line passengers; and
(2) The traffic (including both local and beyond traffic) projected to flow between the eligible place and the designated hub or hubs, which is based on the carrier's own estimates, Department estimates, and on traffic levels in the market at issue when such data are available.
(b) The reasonableness of a carrier's passenger revenue projections will be evaluated by:
(1) Comparing the carrier's proposed fare with the fare charged in other city-pair markets of similar distances and traffic densities; and
(2) Comparing the carrier's proposed pricing structure with historical pricing practices in the market at issue, with the pricing practices of that carrier in other markets, and with any standard industry pricing guidelines that may be available.
(c) An estimate of freight and other transport-related revenue will be included as a component of projected revenues and will be based on recent experience in the market involved and on the experience of the carrier involved in other markets.
The reasonable return for a carrier for providing essential air service at an eligible place generally will be set at a flat percentage, typically 5 percent of that carrier's projected operating costs as established under § 271.4, plus any applicable interest expenses on flight equipment.
(a) Subsidy will be paid by the Department to the air carrier monthly, based on the subsidy rate established by the Department for the carrier under this part. Payments will not vary except as provided in this section.
(b) While a carrier's subsidy rate will not vary even if actual revenues or costs differ from projections, the actual amount of each payment may vary depending on the following factors:
(1) Seasonal characteristics of the carrier's operations at the eligible place;
(2) The actual number of flights completed, aircraft miles flown, available seat-miles flown, or variations in other operational elements upon which the subsidy rate is based; or
(3) Adjustments to the carrier's subsidy required by § 271.8(b).
(c) Payments will continue for the duration of the rate term established under § 271.8 provided that the carrier continues to provide the required service.
(a) The subsidy rate generally will be set for a 2-year period, or two consecutive 1-year periods. The Department may set the rate for a shorter period in the following situations:
(1) A commuter air carrier is replacing a larger certificated carrier at the eligible place;
(2) Traffic at the eligible place has substantially decreased;
(3) The Department considers the cost or revenue projections of the carrier for the second year to be unrealistic;
(4) It is likely that there will be changes in the eligible place essential air service level; or
(5) The uncertainties of the market or other circumstances warrant a shorter rate period.
(b) The subsidy rate established for a carrier under this part will not be changed during the rate period unless an adjustment is required in the public interest.
(c) At the end of the rate period, the carrier will not have a continuing right to receive subsidy for providing essential air service at the eligible place.
(a) All air carriers receiving subsidy under this part shall comply with the following:
(1) The Age Discrimination Act of 1975;
(2) The Civil Rights Act of 1964 and 49 CFR part 21; and
(3) The Rehabilitation Act of 1973, 49 CFR part 27, and part 382 of this chapter.
(b) Within 1 year after it first receives a subsidy under this part, the carrier shall evaluate its practices and procedures for accommodating the handicapped in accordance with § 382.23 of this chapter.
(c) All air carriers seeking a subsidy under this part shall include in their subsidy application the assurances required by 49 CFR parts 20, 21, 27 and 29, and § 382.21 of this chapter.
49 U.S.C. Chapters 401, 402, 416, 461, 1102; sec. 221(a)(5) of the Compact of Free Association, and paragraph 5 of Article IX of the Federal Programs and Services Agreement in implementation of that Compact (Pub. L. 99-239; Pub. L. 99-658); Pub. L. 101-219.
Paragraph 5 of Article IX of the Federal Programs and Services Agreement implementing section 221(a)(5) of the Compact of Free Association between the United States and the Governments of the Federated States of Micronesia, the Marshall Islands and Palau (the Freely Associated States) provides, among other things, for the Department of Transportation (Department), as successor to the Civil Aeronautics Board (Board), to guarantee essential air service, with compensation if necessary, to certain places in these islands. Subparagraph 5(h) of the Agreement provides that the Department shall adopt rules to implement the provisions of paragraph 5 as it in its discretion deems appropriate. Section 221(a)(5) of the Compact, which was adopted by Congress as public laws (Pub. L. 99-239, Jan. 14, 1986; Pub. L. 99-658, Nov. 14, 1986), provides that the Department (as successor to the Board) has the authority to implement the provisions of paragraph 5 of the Agreement. This part implements these provisions of paragraph 5.
This part establishes the provisions applicable to the Department's guarantee of essential air service to places in the Federated States of Micronesia, the Marshall Islands and Palau, and the payment of compensation for such services. The rule applies to U.S. air carriers and Freely Associated State Air Carriers providing essential air service to these places.
(a) Subject to the provisions of this part, and paragraph 5 of Article IX of the Federal Programs and Services Agreement, the Department will make provision for the operation of essential air service, with compensation if necessary, to the following places in the Freely Associated States:
In the
In the
In
(b) The places specified herein in the Federated States of Micronesia, the Marshall Islands or Palau, respectively, shall cease to be eligible places under this part if any of those Governments withdraw from the subsidy provisions of Article IX of the Federal Programs and Services Agreement in accordance with paragraph 8 of Article IX or Article XII of that Agreement.
Since the authority of the Department to guarantee essential air service is derived from the Federal Programs and Services Agreement and the Compact of Free Association, the provisions and procedures utilized by the Department in implementation of 49 U.S.C. 41731-42 will be followed only to
Procedures for the determination of essential air service under this section, and review of that determination, shall, except to the extent otherwise directed by the Department, be governed by § 325.4 (except the application of 49 U.S.C. 41737 in § 325.4(b)); § 325.6(a); §§ 325.8-325.11; § 325.12 (provided that all documents shall be served on the President and the designated authorities of the Freely Associated State concerned); and §§ 325.13 and 325.14 of this chapter.
(a) In the determination of essential air service to an eligible Freely Associated State place, the Department shall consider, among other factors, the following:
(1) The demonstrated level of traffic demand;
(2) The amount of compensation necessary to maintain a level of service sufficient to meet that demand;
(3) The extent to which the demand may be accommodated by connecting or other services of U.S., Freely Associated State, or foreign carriers by air—through U.S., Freely Associated State, or foreign places—that provide access to the U.S. air transportation system;
(4) Alternative modes of transportation that may be available; and
(5) The peculiar needs of the Freely Associated States for air transportation services.
(b) The Guidelines for Individual Determinations of essential air service set forth in part 398 of this chapter shall be applied only to the extent the Department concludes that they are applicable to the special circumstances affecting transportation to the Freely Associated States and reflective of the provisions of this part.
(c) Nothing in this part shall be construed as providing for a level of essential air service that would exceed the level of service justified by the considerations set forth in paragraph (a) of this section.
(a) An air carrier or Freely Associated State Air Carrier shall not terminate, suspend, or reduce air service to any eligible Freely Associated State place, unless it has given notice as specified in this section, if as a result of the reduction of such service the aggregate of the remaining air service provided to such place would be below:
(1) If the Department has not made a determination of essential air service for such place, the level of service specified in Order 80-9-63; and
(2) If the Department has made a determination of essential air service for such place, that level of essential air service.
(b) An air carrier or Freely Associated State Air Carrier wishing to terminate, suspend or reduce air service under paragraph (a) shall file a notice of such proposed reduction in service at least 90 days prior to such service reduction, in accordance with the procedures specified in §§ 323.4, 323.6, and 323.7 of this chapter.
(c) The notice shall be served on the President and the designated Authorities of the Freely Associated State concerned, in addition to the persons specified in § 323.7.
(d) The procedures specified in §§ 323.9-323.18, to the extent applicable to 90-day notices filed by certificated air carriers, shall also be applicable to notices of terminations, suspensions or reductions in service filed under this section.
(a) If the Department finds that a proposed termination, suspension, or reduction in service by an air carrier or Freely Associated State Air Carrier
(b) During any period the Department requires an air carrier or Freely Associated State Air Carrier to maintain a level of service proposed to be terminated, suspended or reduced, following the filing of a 90 day notice in accordance with § 272.7, the Department will provide for the payment of compensation to such carrier for any losses incurred by that carrier as a result of such required continuation of service in accordance with the procedures set forth in part 271 of this chapter. If the carrier is already receiving compensation pursuant to § 272.9 of this part, the Department will continue to direct payment of such compensation during any period the carrier is required to maintain service. Such payments shall be made by the Department of Interior from funds appropriated for this purpose.
(c) The Department will review its order from time to time and will revise the level of required service as necessary to maintain only the level of essential air service determined by the Department for that place, considering all other service to such place in accordance with § 272.6(a)(3).
(d) During the period any such air carrier or Freely Associated State Air Carrier is required to maintain service under this section, the Department will make every effort to obtain alternative service, with compensation if necessary, as required to maintain essential air service to such place.
(a) If the Department finds that essential air service will not be maintained to an eligible Freely Associated State place, the Department shall invite applications to provide the service required to maintain essential air service to such place.
(b) If the Department determines that essential air service will not be provided to such place in the absence of the payment of subsidy compensation to a carrier or carriers, the Department shall determine the compensation necessary, considering all other service to such place in accordance with § 272.6(a)(3), to maintain the level of essential air service determined by the Department under § 272.5, and the times and manner of the payment of such compensation.
(c) The compensation determined by the Department to be necessary to maintain essential air service to such place shall be paid by the Department of Interior out of funds appropriated for that purpose, to the carrier or carriers selected by the Department.
(d) The Department shall continue to specify compensation to be paid to a carrier or carriers under this section only as long as the Department determines that essential air service will not be provided to the Freely Associated State in the absence of the payment of such compensation.
(e) Except as permitted in paragraph (f) of this section, the Department shall select a U.S. air carrier or carriers to provide essential air service for compensation.
(f) The Department may select a Freely Associated State Air Carrier, holding a foreign air carrier permit issued in accordance with subpart D of part 211 of this chapter, to provide essential air service for compensation, only if—
(1) No U.S. air carrier is available to provide the required essential air service; or
(2) The compensation necessary for the provision of the required essential air service would be substantially less than the compensation necessary if such essential air service were to be provided by a U.S. air carrier.
(g) Any order of the Department selecting a Freely Associated State Air Carrier to provide such essential air service shall be submitted to the President of the United States not less than 10 days prior to its effective date and shall be subject to stay or disapproval by the President.
(h) Among the criteria that will be considered by the Department in its determination of the carrier or carriers to be selected to perform the required essential air service are:
(1) The desirability of developing an integrated linear system of air transportation whenever such a system most adequately meets the air transportation needs of the Freely Associated States concerned;
(2) The experience of the applicant in providing scheduled air service in the vicinity of the Freely Associated States for which essential air service is proposed to be provided;
(3) The amount of compensation that will be required to provide the proposed essential air service;
(4) The impact of the proposed service on service provided to other Freely Associated State points; and
(5) The views of the Governments of the Freely Associated States concerned.
(i) The Department may from time to time, on its own motion, or upon application of any carrier or government, review and change its selection of a carrier to provide essential air service, or its determination as to the compensation necessary to provide such essential air service.
(j) All applications or other documents filed or issued in proceedings under this section shall be served upon the President of the Freely Associated State concerned and the Authorities designated by that Government(s) in accordance with Article II, paragraph 10, of the Federal Programs and Services Agreement supplemental to the Compact of Free Association, and such Government shall be a party to any such proceeding. In reaching its determination, the Department will carefully consider any views of such Government that have been submitted.
(a) The Department may, after providing an opportunity for comment by the carrier or carriers affected, impose service, fare or rate conditions on any U.S., Freely Associated State, foreign air carrier, or foreign carrier by air as a precondition to the payment of compensation necessary to maintain essential air service, whether or not the affected carrier is itself receiving subsidy compensation in the market, if it finds that:
(1) Essential air service in a Freely Associated State market or markets will not be provided in the absence of the payment of compensation;
(2) Specified service, rate or fare conditions are or will be necessary or desirable to minimize the required subsidy compensation; and
(3) The imposition of such conditions will not unduly impair the service provided in the market.
(b) To the extent the carrier or carriers upon whom the conditions are imposed pursuant to paragraph (a) of this section do not hold a certificate, permit, or other authority from the Department that may be amended to effectively implement the specified conditions, the Department may notify the Government(s) of the Freely Associated States concerned that the imposition of such conditions on those carriers by those Governments shall be a precondition to the payment of the subsidy compensation required to maintain essential air service in the market in question.
(c) The Department may withhold or suspend its provision for the payment of subsidy compensation required to maintain essential air service unless and until the Freely Associated State(s) concerned take the necessary action to impose the specified conditions on the carriers referred to in paragraph (b) of this section, and those carriers have complied with the specified conditions.
(d) Any order of the Department imposing conditions, or requiring the imposition of conditions, pursuant to this paragraph shall be submitted to the President for review not less than 10 days prior to its effective date, and
The provisions of this part shall not become effective for Palau until the Compact of Free Association and Article IX of the Federal Programs and Services Agreement become effective for Palau.
These provisions shall terminate on October 1, 1998, unless the program of essential air service to the Federated States of Micronesia, the Marshall Islands, and Palau is specifically extended by Congress.
This amendment is issued under the authority of 49 CFR 1.57(l).
49 U.S.C. 329 and chapters 41103, 41708 and 41709.
This part applies to cargo operations in interstate air transportation by air carriers certificated under section 41102 or 41103 of the Statute. It also applies to applicants for an all-cargo air transportation certificate under section 41103 of the Statute.
(1) Between a place in—
(i) A State, territory, or possession of the United States and a place in the District of Columbia or another State, territory, or possession of the United States;
(ii) Hawaii and another place in Hawaii through the airspace over a place outside Hawaii;
(iii) The District of Columbia and another place in the District of Columbia; or
(iv) A territory or possession of the United States and another place in the same territory or possession; and
(2) When any part of the transportation is by aircraft.
Applications for all-cargo air service certificates shall comply with the provisions of part 201 and subpart B of part 302 of this chapter with regard to filing procedures, and with the provisions of part 204 of this chapter with regard to evidentiary requirements.
The rules in this subpart apply to cargo operations in interstate air transportation performed by air carriers certificated under sections 41102 or 41103 of the Statute. Section 41103 carriers that operate passenger-only or combination aircraft under section 41102, part 298 of this chapter, or other Department authority, must comply with the rules in this subpart in connection with cargo operations in interstate air transportation, whether provided on all-cargo or combination aircraft, operated pursuant to this authority or otherwise. In case a carrier may operate a particular flight under either a section 41102 certificate or a section 41103 certificate, the flight is presumed to be operated under the carrier's section 41103 authority.
No air carrier shall operate all-cargo aircraft or provide all-cargo air transportation unless such carrier has and maintains in effect aircraft accident liability coverage that meets the requirements of part 205 of this chapter.
(a) The provisions of 14 CFR part 249,
(b) Each carrier shall retain for 1 year a copy of each rate sheet, airwaybill contract, and other document reflecting changed, new, or other previously unreported general or special prices or rules governing the carriage of freight in interstate air transportation (except mail), unless the transportation was performed in accordance with an effective tariff on file with the Department. Each carrier shall retain for 1 year a copy of any formula based on standard weight,
Except for this part and those parts of the Department's Economic Regulations (parts 200 through 299 of this title) specifically referred to in this part, carriers providing cargo operations in interstate air transportation are, with respect to that transportation, relieved from all obligations imposed on air carriers by those economic regulations. Flights operated entirely within interstate air transportation shall be free from those obligations, even though they may also carry shipments to or from points outside that geographic area. This waiver shall not apply to the requirements of part 239 of this title.
The following exemptions, except as otherwise specifically noted, apply only to cargo operations in interstate air transportation. They do not relieve a carrier from obligations derived from other transportation.
(a) Each section 41102 or 41103 air carrier providing cargo operations in interstate air transportation is, with respect to such transportation, exempted from the following portions of the Statute only if and so long as it complies with the provisions of this part and the conditions imposed herein, and to the extent necessary to permit it to conduct cargo operations in interstate air transportation:
(1) Sections 41310, 41705,
(2) Chapter 415, and
(3) Chapter 419 for all-cargo operations under section 41103.
(b) Each air carrier providing cargo operations in interstate air transportation under section 41103 of the Statute is exempted from the provisions of section 41106(a) of the Statute to the extent necessary to permit it to compete for and operate cargo charters in interstate air transportation for the Department of Defense under contracts of more than 30 days' duration.
(c) The Department of Defense is exempted from section 41106(a) of the Statute to the extent necessary to permit it to negotiate and enter into contracts of more than 30 days' duration with any section 41103 carrier for operation of cargo charters in interstate air transportation.
(a) Carriers providing cargo operations in interstate air transportation that also conduct other operations under section 41102 shall comply with the provisions of part 241 of this title.
(b) Carriers providing cargo operations in interstate air transportation under section 41103 certificates shall comply with § 291.42.
(c) Carriers providing cargo operations in interstate air transportation under section 41103, and also providing other services under part 298 of this title, shall report their cargo operations in interstate air transportation operations in accordance with § 291.42, and shall report all other traffic in accordance with the provisions of subpart F of part 298.
(a)
(1) A single copy of the BTS Form 291-A report shall be filed annually with the Office of Airline Information (OAI) for the year ended December 31, to be received on or before February 10 of the immediately following year. A single copy of the monthly BTS Schedule P-12(a) is due at OAI within 20 days after the end of each month. An electronic filing of the monthly Schedule T-100 is due at OAI within 30 days after the end of each month. Due dates falling on a Saturday, Sunday or Federal holiday will become effective on the next work day.
(2) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(b)
(1) Total operating revenue, categorized as follows:
(i) Transport revenues from the carriage of property in scheduled and nonscheduled service;
(ii) Transport revenue from the carriage of mail in scheduled and nonscheduled service; and
(iii) Transport-related revenues.
(2) Total operating expenses;
(3) Operating profit or loss, computed by subtracting the total operating expenses from the total operating revenues; and
(4) Net income, computed by subtracting the total operating and nonoperating expenses, including interest expenses and income taxes, from the total operating and nonoperating revenues.
(c)
(1) Total revenue ton-miles, which are the aircraft miles flown on each flight stage times the number of tons of revenue traffic carried on that stage. They shall be categorized as follows:
(i) Property; and
(ii) Mail.
(2) Revenue tons enplaned, reflecting the total revenue tons of cargo loaded on aircraft during the annual period;
(3) Available ton-miles, reflecting the total revenue ton-miles available for all-cargo service during the annual period, and computed by multiplying aircraft miles flown on each flight stage by the number of tons of aircraft capacity available for that stage;
(4) Aircraft miles flown, reflecting the total number of aircraft miles flown in cargo service during the annual period;
(5) Aircraft departures performed, reflecting the total number of take-offs performed in cargo service during the annual period; and
(6) Aircraft hours airborne, reflecting the aircraft hours of flight (from takeoff to landing) performed in cargo service during the annual period.
Form 291-A contains the following data elements:
(a) Total operating revenue, categorized as follows:
(1) Transport revenues from the carriage of property in scheduled and nonscheduled service;
(2) Transport revenues from the carriage of mail in scheduled and nonscheduled service; and
(3) Transport-related revenues;
(b) Total operating expenses;
(c) Operating profit or loss, computed by subtracting the total operating expenses from the total operating revenues; and
(d) Net income, computed by subtracting the total operating and nonoperating expenses, including interest expenses and income taxes, from the
(a) For the purposes of BTS schedule P-12(a), type of service shall be either scheduled service or nonscheduled service as those terms are defined in § 291.45(c)(2) and (3).
(b) For the purpose of this schedule, scheduled service shall be reported separately for:
(1) Intra-Alaskan operations;
(2) Domestic operations, which shall include all operations within and between the 50 States of the United States (except Intra-Alaska), the District of Columbia, the Commonwealth of Puerto Rico and the United States Virgin Islands, or a U.S. territory or possession to a place in any State of the United States the District of Columbia, the Commonwealth of Puerto Rico and the United States Virgin Islands, or a U.S. territory or possession;
(3) International operations are flight stages with one or both terminals outside the 50 States of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the United States Virgin Islands, or a U.S. territory or possession.
(c) For the purpose of this schedule, nonscheduled service shall be reported separately for domestic operations and international operations as defined in paragraphs (b)(2) and (b)(3) of this section, except that domestic and international Military Airlift Command (MAC) operations shall be reported on separate lines.
(d) The cost data reported on each line shall represent the average cost of fuel, as determined at the station level, consumed in that geographic entity.
(e)(1) The cost of fuel shall include shrinkage, but excludes:
(i) “Throughput” and “in to plane” fees, i.e., service charges or gallonage levies assessed by or against the fuel vendor or concessionaire and passed on to the carrier in a separately identifiable form; and
(ii) Nonrefundable Federal and State excise taxes.
(2) However, “through-put” and “in to plane” charges that cannot be identified or segregated from the cost of fuel shall remain a part of the cost of fuel as reported on this schedule.
(f) Each air carrier shall maintain records for each station showing the computation of fuel inventories and consumption for each fuel type. The periodic average cost method shall be used in computing fuel inventories and consumption. Under this method, an average unit cost for each fuel type shall be computed by dividing the total cost of fuel available (Beginning Inventory plus Purchases) by the total gallons available. The resulting unit cost shall then be used to determine the ending inventory and the total consumption costs to be reported on this schedule.
(g) Where amounts reported for a specific entity include other than Jet A fuel, a footnote shall be added indicating the number of gallons and applicable costs of such other fuel included in amounts reported for that entity.
(h) Where any adjustment(s) recorded on the books of the carrier results in a material distortion of the current month's schedule, carriers shall file a revised Schedule P-12(a) for the month(s) affected.
(a) Each section 41103 all-cargo air carrier shall file Schedule T-100, “U.S. Air Carrier Traffic and Capacity Data by Nonstop Segment and On-Flight Market”.
(b) Schedule T-100 shall be filed monthly.
(1) Schedule T-100 collects summarized flight stage data and on-flight market data for revenue flights. All traffic statistics shall be compiled in terms of each flight stage as actually performed. The detail T-100 data shall be maintained in such a manner as to permit monthly summarization and organization into two basic groupings. First, the nonstop segment information which is to be summarized by equipment type, within class of service,
(2)
(i) Joint-service operations are reported by the carrier in operational control of the flight, i.e., the carrier that uses its flight crews under its own FAA operating authority. The traffic moving under these agreements is reported on Schedule T-100 the same way as any other traffic on the aircraft.
(ii) If there are questions about reporting a joint-service operation, contact the BTS Assistant Director—Airline Information (fax no. 202 366-3383, telephone no. 202 366-4373). Joint-service operations are reported in Schedule T-100 in accordance with this paragraph (b).
(iii)
(c)
(2) Scheduled services include traffic and capacity elements applicable to air transportation provided pursuant to published schedules and extra sections of scheduled flights. Scheduled Passenger/Cargo (Service Class F) is a composite of first-class, coach, and mixed passenger/cargo service.
(3) Nonscheduled services include all traffic and capacity elements applicable to the performance of nonscheduled aircraft charters, and other air transportation services not constituting an integral part of services performed pursuant to published flight schedules.
(d)
(e) These reported items are further described as follows:
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)
(13)
(14)
(15)
(16)
(17)
(18)
(19)
(20)
(21)
(22)
(23)
(24)
(25)
(26)
(27)
(28)
(29)
(30)
(31)
(f)
(a)
(2)
(ii)
(iii)
(b)
(c)
(d)
(i) Volume label.
(ii) Header label.
(iii) Data records.
(iv) Trailer label.
(2) [Reserved]
(e)
(2) Report date.
(3) File identification.
(4) Carrier address for return of tape reel.
(f)
(g)
(h)
(2)
(i)
(1)
(2)
(i) Record type S = SEGMENT.DAT
(ii) Record type M = MARKET.DAT
In case of any violation of any of the provisions of the Statute, or this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding pursuant to section 46101 of the Statute before the Department, or sections 46106 through 46108 of the Statute before a
(a) Detailed domestic on-flight market data and nonstop segment data, except military data, shall be made publicly available after processing. Domestic data are defined as data from air transportation operations from a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession to a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession. Domestic military operations are reported under service codes N or R.
(b) Detailed international on-flight market and nonstop segment data in Schedule T-100 and Schedule T-100(f) reports, except military data, shall be publicly available immediately following the Department's determination that the database is complete, but no earlier than six months after the date of the data. Military operations are reported under service codes N or R. Data for on-flight markets and nonstop segments involving no U.S. points shall not be made publicly available for three years. Industry and carrier summary data may be made public before the end of six months or the end of three years, as applicable, provided there are three or more carriers in the summary data disclosed. The Department may, at any time, publish international summary statistics without carrier detail. Further, the Department may release nonstop segment and on-flight market detail data by carrier before the end of the confidentiality period as follows:
(1) To foreign governments as provided in reciprocal arrangements between the foreign country and the U.S. Government for exchange of on-flight market and/or nonstop segment data submitted by air carriers of that foreign country and U.S. carriers serving that foreign country.
(2) To parties to any proceeding before the Department under Title IV of the Federal Aviation Act of 1958, as amended, as required by an Administrative Law Judge or other decision-maker of the Department. Parties may designate agents or consultants to receive the data in their behalf, provided the agents or consultants agree to abide by the disclosure restrictions. Any data to which access is granted pursuant to this provision may be introduced into evidence, subject to the normal rules of admissibility.
(3) To agencies or other components of the U.S. Government for their internal use only.
49 U.S.C. 40101, 40105, 40109, 40113, 40114, 41504, 41701, 41707, 41708, 41709, 41712, 46101; 14 CFR 1.56(j)(2)(ii).
This part applies to direct air carriers providing scheduled transportation of cargo in foreign air transportation.
For purposes of this part:
Direct air carriers are exempted from the requirement to file cargo tariffs with the Department of Transportation provided in 49 U.S.C. 41504 and 14 CFR Part 221.
(a) The Department, upon complaint or upon its own initiative, may, immediately and without hearing, revoke, in whole or in part, the exemption granted by this part with respect to a carrier or carriers, when such action is in the public interest.
(b) Any such action will be taken in an order issued by the Assistant Secretary for Aviation and International Affairs, and will identify:
(1) The tariff matter to be filed; and
(2) The deadline for carrier compliance.
(c) Revocations under this section will have the effect of reinstating all applicable tariff requirements and procedures specified in the Department's regulations for the tariff material to be filed, unless otherwise specified by Department order.
Carriers holding an effective exemption from the duty to file tariffs under this part shall not, unless otherwise directed by order of the Department, be subject to tariff posting, notification or subscription requirements set forth in 49 U.S.C. 41504 or 14 CFR part 221,
(a) Carriers holding an effective exemption from the duty to file tariffs under this part may incorporate contract terms by reference (
(1) The notice, inspection, explanation and other requirements set forth in 14 CFR 221.177(a)(1), (a)(2), (a)(4), (b), (c) and (d) are complied with, to the extent applicable, except that the notice required under 14 CFR 221.177(b)(1) shall refer to the title or general nature of the publication(s) or document(s) containing the full text of the referenced terms rather than to “terms and conditions filed in public tariffs with U.S. authorities”;
(b) In addition to other remedies at law, a carrier may not claim the benefit as against a shipper or consignee of, and a shipper or consignee shall not be bound by, any contract term which is incorporated by reference under this part unless the requirements of paragraph (a)(1) of this section are complied with, to the extent applicable; and
(c) The purpose of this section is to set uniform disclosure requirements, which preempt any State requirements on the same subject, for terms incorporated by reference into contracts of carriage for the scheduled transportation of cargo in foreign air transportation.
(a) Cargo rate tariffs on file with the Department, including related classification and/or applicability rules, cease to be effective as tariffs under 49 U.S.C. 41504 and 41510, as well as under the provisions of 14 CFR Part 221, and they are canceled by operation of law.
(b) As of March 1, 1996, all remaining cargo tariffs on file with the Department cease to be effective as tariffs under 49 USC 41504 and the provisions
(c) Applications for filing and/or effectiveness of any cargo tariffs pending on November 30, 1995 are dismissed by operation of law. No new filings or applications will be permitted except as provided under § 292.11.
49 U.S.C. 40101, 40105, 40109, 40113, 40114, 41504, 41701, 41707, 41708, 41709, 41712, 46101; 14 CFR 1.56(j)(2)(ii).
This part applies to air carriers and foreign air carriers providing scheduled transportation of passengers and their baggage in foreign air transportation.
For purposes of this part the definitions in § 221.3 of this chapter apply.
(a) Air carriers and foreign air carriers are exempted from the duty to file passenger tariffs with the Department of Transportation, as required by 49 U.S.C. 41504 and 14 CFR part 221, as follows:
(1) The Assistant Secretary for Aviation and International Affairs will, by notice, issue and periodically update a list establishing the following categories of markets:
(i) In Category A markets, carriers are exempted from the duty to file all passenger tariffs unless they are nationals of countries listed in Category C, or are subject to the provisions of paragraph (c) of this section.
(ii) In Category B markets, carriers are exempted from the duty to file all passenger tariffs except those setting forth one-way economy-class fares and governing provisions thereto, unless they are nationals of countries listed in Category C, or are subject to the provisions of paragraph (c) of this section.
(iii) In Category C markets, carriers shall continue to file all passenger tariffs, except as provided in § 293.10(b);
(2) The Assistant Secretary will list country-pair markets falling in Categories A and C, taking into consideration the factors in paragraphs (a)(2) (i) through (iv) of this section. All country-pair markets not listed in Categories A or C shall be considered to be in Category B and need not be specifically listed.
(i) Whether the U.S. has an aviation agreement in force with that country providing double-disapproval treatment of prices filed by the carriers of the Parties;
(ii) Whether the country's Government has disapproved or deterred U.S. carrier price leadership or matching tariff filings in any market;
(iii) Whether the country's Government has placed significant restrictions on carrier entry or capacity in any market; and
(iv) Whether the country's government is honoring the provisions of the bilateral aviation agreement and there are no significant bilateral problems.
(b) By notice of the Assistant Secretary, new country-pair markets will be listed in the appropriate category, and existing country-pair markets may be transferred between categories.
(c) Notwithstanding a determination that a country is in Category A or B, if the Assistant Secretary finds that effective price leadership opportunities for U.S. carriers are not available between that country and any third country, carriers that are nationals of such country may be required to file tariffs, as provided under part 221 or as otherwise directed in the notice, for some or all of their services between the U.S. and third countries.
(d) Air carriers and foreign air carriers are exempted from the duty to file governing rules tariffs containing general conditions of carriage with the Department of Transportation, as required by 49 U.S.C. 41504 and 14 CFR part 221. A description of the general conditions of carriage will be included in the Assistant Secretary's initial notice.
(e) Notwithstanding paragraph (d) of this section, air carriers and foreign air carriers shall file and maintain a tariff with the Department to the extent required by 14 CFR 203.4 and other implementing regulations.
(f) Authority for determining what rules are covered by paragraph (d) of this section and for determining the filing format for the tariffs required by paragraph (e) of this section is delegated to the Director of the Office of International Aviation.
Each governing rules tariff shall include the following statements:
(a) “Rules herein containing general conditions of carriage are not part of the official U.S. D.O.T. tariff.”
(b) “The rules and provisions contained herein apply only to the passenger fares and charges that the U.S. Department of Transportation requires to be filed as tariffs.”
(a) The Department, upon complaint or upon its own initiative, may, immediately and without hearing, revoke, in whole or in part, the exemption granted by this part with respect to a carrier or carriers, when such action is in the public interest.
(b) Any such action will be taken in a notice issued by the Assistant Secretary for Aviation and International Affairs, and will identify the tariff matter to be filed, and the deadline for carrier compliance.
(c) Revocations under this section will have the effect of reinstating all applicable tariff requirements and procedures specified in the Department's Regulations for the tariff material to be filed, unless otherwise specified by the Department.
To the extent that a carrier holds an effective exemption from the duty to file tariffs under this part, it shall not, unless otherwise directed by order of the Department, be subject to tariff posting, notification or subscription requirements set forth in 49 U.S.C. 41504 or 14 CFR part 221, except as provided in § 293.21.
Carriers holding an effective exemption from the duty to file tariffs under this part may incorporate contract terms by reference (
(a) The notice, inspection, explanation and other requirements set forth in 14 CFR 221.107, paragraphs (a), (b), (c) and (d) are complied with, to the extent applicable;
(b) In addition to other remedies at law, a carrier may not claim the benefit under this section as against a passenger, and a passenger shall not be bound by incorporation of any contract term by reference under this part, unless the requirements of paragraph (a), of this section are complied with, to the extent applicable; and
(c) The purpose of this section is to set uniform disclosure requirements, which preempt any State requirements on the same subject, for incorporation
(a) One hundred and eighty days after the date of effectiveness of the Assistant Secretary's notice, passenger tariffs on file with the Department covered by the scope of the exemption will cease to be effective as tariffs under 49 U.S.C. 41504 and 41510, and the provisions of 14 CFR part 221, and will be canceled by operation of law.
(b) One hundred and eighty days after the date of effectiveness of the Assistant Secretary's notice, pending applications for filing and/or effectiveness of any passenger tariffs covered by the scope of the exemption, will be dismissed by operation of law. No new filings or applications will be permitted after the date of effectiveness of the Assistant Secretary's notice except as provided under § 293.12.
49 U.S.C. Chapters 401, 417.
This part establishes a classification of foreign air carriers known as “Canadian charter air taxi operators,” and establishes registration procedures for these carriers operating or seeking to operate transborder services between Canada and the United States. This part also exempts Canadian charter air taxi operators from certain provisions of the Subtitle VII of Title 49 of the United States Code (Transportation), and establishes rules applicable to their operations in the United States. This part does not provide exemption from the safety regulatory provisions of the Statute that are administered by the U.S. Department of Transportation through the Federal Aviation Administration (FAA), and Canadian charter air taxi operators in the conduct of
As used in this part:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(1) Crew—200 pounds per crew member required under FAA regulations, (2) oil—350 pounds, (3) fuel—the minimum weight of fuel required under FAA regulations for a flight between domestic points 200 miles apart, assuming VFR weather conditions and flights not involving extended overwater operations. However, in the case of aircraft for which a maximum zero fuel weight is prescribed by the FAA, maximum payload capacity means the maximum zero fuel weight less the empty weight, less all justifiable aircraft equipment, and less the operating load (consisting of minimum flight crew, steward's supplies, etc., but not including disposable fuel or oil).
(2) [Reserved]
(i)
(1) A maximum passenger capacity of not more than 30 seats and a maximum payload capacity of not more than 7,500 pounds, and/or
(2) maximum authorized takeoff weight on wheels not greater than 35,000 pounds.
A Canadian charter air taxi operator shall conduct charter air service between the United States and Canada only if it:
(a) Has been registered by the Department under this part;
(b) Does not directly or indirectly utilize large aircraft in charter air services;
(c) Has and maintains in effect liability insurance coverage that complies with the requirements set forth in subpart E of this part and has and maintains a current certificate of insurance evidencing such coverage on file with the Department;
(d) Has and maintains in effect and on file with the Department a signed counterpart of Agreement 18900 (OST Form 4523) and complies with all other
(e) Has effective authority from the Government of Canada to conduct charter air service between the United States and Canada.
(f) Has been granted Federal Aviation Administration operations specifications required under part 129 of the Federal Aviation Regulations;
(g) Is substantially owned and effectively controlled by Canadian citizens, or the Government of Canada, or a combination of both; and
(h) Complies with the terms, conditions, and limitations of this part.
Canadian charter air taxi operators registered under this part are exempt from the following provisions of the Statute to the extent necessary to perform charter air service between the United States and Canada, and as long as they comply with the terms, conditions, and limitations of this part:
(a) Section 41302 (permits).
(b) Section 41501 (carrier's duty to observe reasonable rates).
(c) Section 41310 (discrimination).
(d) Section 41313 (aviation disaster family assistance plans for foreign air carriers)
To apply for registration under this part, a Canadian charter air taxi operator shall file with the Department's Office of International Aviation, Special Authorities Division, the following:
(a) A currently effective certificate of insurance (see § 294.40); and
(b) Three copies of OST Forms 4523 and 4505, which may be obtained from the Department's Office of International Aviation, Special Authorities Division. All the information required by OST Form 4505 shall be filled in, and it shall be certified by a responsible officer of the applicant Canadian charter air taxi operator.
(a) The Department will list the names and addresses of all persons applying for registration under this part in its Weekly Summary of Filings.
(b) Any person objecting to the registration of a Canadian charter air taxi operator shall file an objection with the Office of International Aviation, Special Authorities Division, and serve a copy on the applicant within 28 days after the Department receives the properly completed registration application. Objections shall include any facts and arguments upon which they are based.
(c) Any answers to objections shall be filed within 14 days after the date that the objections were due.
(d) After receipt of OST Form 4505, the Department may request additional information.
(e) After the period for objections and answers has expired, the Department will take one of the following actions:
(1) Issue the registration by stamping its effective date on OST Form 4505 and sending a copy of it to the carrier.
(2) Reject the application for failure to comply with this part;
(3) Issue the registration subject to such terms, conditions, or limitations as may be consistent with the public interest; or
(4) Institute evidentiary proceedings to consider whether the registration should be issued.
(f) An action described in paragraph (e) of this section will normally be
(g) A registration shall not be issued until the Department receives evidence that the applicant has effective authority issued by the Government of Canada. The applicant must provide copies of its Air Carrier Operating certificate and non-scheduled international license issued by the Government of Canada.
(h) Rejection of an application for registration will not preclude the filing of a new application by the same carrier.
Registrants shall refile a copy of OST Form 4505 with the Department's Office of International Aviation, Special Authorities Division, upon any of the following events. The refiling shall be sent by electronic mail, or other means, so as to be received by the Department not later than 30 days after the reported event has occurred.
(a) The carrier changes its name. When a carrier refiles OST Form 4505 to indicate a change of name:
(1) A registration ceases to be in effect unless the Government of Canada amends the registrant's Air Carrier Operating Certificate to reflect the registrant's new name within 60 days of the name change and the registrant submits to the Department a copy of its amended Canadian authority.
(2) The registrant must also refile three copies of Agreement 18900 (OST Form 4523) under its new name;
(3) The registrant must also refile its certificate of insurance under its new name; and
(4) The registrant must also advise the appropriate FAA office referred to in § 294.33 of the carrier's new name.
(b) The carrier changes its designated agent.
(c) A change occurs in the carrier's ownership and control resulting in a person acquiring a beneficial or voting interest in the registrant of 10 percent or more. The name(s), address(es), citizenship(s), and percentages of ownership of the new owners shall be indicated on the form. Acquisition of ownership interest by persons who are not citizens of the country of citizenship of the registrant may invalidate the registration.
(d) The carrier temporarily or permanently ceases operations.
(a) Upon fulfillment of the requirements of § 294.3 of this part, the registrant will have Department authority to engage in charter air services between any point or points in Canada and any point or points in the United States using small aircraft.
(b) Nothing in this part shall be construed as authorizing the operation of large aircraft in charter air service, and the exemption provided by this part to Canadian charter air taxi operators that register with the Department extends only to the direct operations of charter air service in accordance with the limitations and conditions of this part using aircraft designed to have:
(1) A maximum passenger capacity of no more than 30 seats and a maximum payload capacity of no more than 7,500 pounds, and/or
(2) A maximum authorized takeoff weight on wheels not greater than 35,000 pounds.
(c) A Canadian charter air taxi operator shall not use large aircraft for charter air service until it has been granted a permit by the Department under section 41302 of the Statute or granted an exemption under section 41701 of the Statute. Its application for such a permit or exemption should refer to the registration under this part. Registration under this part will
(a) A Canadian charter air taxi operator, in holding out charter air service to the public and performing its charter operations, shall do so only in the names in which its registration is issued under this part. The Department may require a Canadian charter air taxi operator to change such names where they appear to be inconsistent with the public interest.
(b) [Reserved]
When a Canadian charter air taxi operator performs a Public Charter under part 380 of this chapter, either:
(a) The Canadian charter air taxi operator shall meet the bonding or escrow requirements applicable to foreign air carriers as set forth in § 212.8 of this chapter.
(b) The Canadian charter air taxi operator shall ensure that it does not receive any payments for the charter until after the charter has been completed. In this case, its contracts with the charter operator and the charter operator's depository bank, if any, shall state that the charter operator or bank, as applicable, shall retain control of and responsibility for all participant funds intended for payment for charter air service until after the charter has been completed, notwithstanding any provision of part 380.
(a) Registrants under this part shall obtain FAA operations specifications required under part 129 or other applicable rules of the Federal Aviation Regulations prior to beginning operations into the United States. Registrants should write to the FAA office at one of the following addresses to obtain instructions on how to apply for FAA authority.
(b) If the registrant's business address is located on or east of 76 degrees West Longitude (in or east of Ottawa, Ontario) it should write to: Federal Aviation Administration, General Aviation District Office No. 1, Albany County Airport, Albany, New York 12211.
(c) If the registrant's business address is located on or east of 100 degrees West Longitude (in or east of Winnipeg, Manitoba) and west of 76 degrees West Longitude (west of, but not including, Ottawa, Ontario) it should write to: Federal Aviation Administration, Flight Standards District Office, 1 Airport Way, Rochester, New York 14624.
(d) If the registrant's business address is west of Winnipeg, Manitoba, it should write to: Federal Aviation Administration, General Aviation District Office, 1601 Lind Avenue, SW., Renton, Washington 98055.
The Department, by order or regulation and without hearing, may require advance approval of individual charter trips conducted by the registrant under the authority granted by this part, if it finds such action to be consistent with the public interest.
No Canadian charter air taxi operator shall engage in charter air service unless such carrier has and maintains in effect aircraft accident liability coverage that meets the requirements of part 205 of this chapter. Evidence of such insurance coverage, in the form of a certificate of insurance, as required in part 205 of this chapter, shall be
The registration of a carrier subject to this part may be revoked, canceled, suspended, modified, or otherwise subjected to additional terms and conditions by the Department if:
(a) The carrier files with the Department a written notice that it is discontinuing operations;
(b) The carrier is the holder of a section 41302 permit to perform large aircraft charters under the Agreement;
(c) Substantial ownership or effective control is acquired by persons who are not (1) citizens of Canada, (2) the Government of Canada, or (3) a combination of both;
(d) The Government of Canada terminates or suspends authority it granted to the registrant to conduct charter air service between the United States and Canada.
(e) The Agreement between the two countries is terminated;
(f) The registrant fails to have proper insurance coverage, or fails to file or keep a current insurance certificate on file with the Department;
(g) The registrant fails to comply with the terms, conditions, or limitations of this part;
(h) The carrier's operations specifications issued by the FAA are suspended or terminated;
(i) The Department finds that it is in the public interest to do so.
A Department order under § 294.50 (e), (g) or (i) shall be subject to stay or disapproval by the President within 60 days.
(a) Where the terms, conditions, or limitations of this part, particularly § 294.81, require prior approval of individual flights or charter programs, the registrant shall apply for such approval by filing three copies of OST Form 4540 with the Office of International Aviation, Foreign Air Carrier Licensing Division. OST Form 4540 may be obtained from the Foreign Air Carrier Licensing Division.
(b) Action on the application for authorization filed under paragraph (a) of this section will normally be taken within 30 days after the application is filed. The Department will consider requests for faster action that include a full explanation of the need for expedited action.
The Department upon application or on its own initiative may waive any of the provisions of this part if it finds such action to be in the public interest.
In case of any violation of any of the provisions of the Statute, or this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding under section 46101 of the Statute before the Department, or sections 46106 through 46108 of the Statute before a U.S. District Court, as the case may be, to compel compliance; or to impose civil penalties under the provisions of section 46301 of the Statute; or in the case
By accepting an approved registration under this part, a registrant waives any right it may possess to assert any defense of sovereign immunity in any action or proceeding instituted against it in any court or other tribunal in the United States based upon any claim arising out of its operations under this part.
(a) Except as set forth in paragraph (b) of this section or § 294.60, a registrant shall not carry passengers, cargo, or mail between two or more United States points for compensation or hire.
(b) A registrant may grant stopover privileges at any point or points in the United States to passengers and their accompanied baggage as part of a single continuous operation to or from Canada.
A registrant shall not operate any aircraft under this part unless it:
(a) Complies with operational safety requirements at least equivalent to Annex 6 of the Chicago Convention;
(b) Complies with all applicable provisions of the Agreement; and
(c) Complies with all applicable provisions of any treaty, convention, or agreement affecting international air transportation to which the United States and Canada are parties.
Registrants shall conform to the airworthiness and airman competency requirements prescribed by the Government of Canada for Canadian international air service.
(a) Registrants may perform U.S.-originating charters authorized under Annex B (III)(A) of the Agreement as follows: Commercial air transportation of passengers and their accompanied baggage, and of property, on a time, mileage, or trip basis, where the entire planeload capacity of one or more aircraft has been engaged by a person for his own use or by a person for the transportation of a group of persons and/or their property, as agent or representative of such group, or other small aircraft operations as may be authorized under any amendments, supplements, reservations, or supersessions of the Agreement.
(b) Registrants may perform Canadian-originating charters authorized by Annex B (III)(B) of the Agreement and any amendments, supplements, reservations or supersessions of it. Such charters may be performed only to the extent authorized by the Air Carrier Regulations of the Canadian Transport Commission applicable to operations by small aircraft.
A registrant shall not engage in flights for the purpose of industrial or agricultural operations (e.g., crop dusting, pest control, pipeline patrol, mapping, surveying, banner towing, skywriting, aerial photography) within the United States unless it has obtained a permit from the Department under part 375 of this chapter.
A registrant shall not, in the performance of operations authorized by this part, use any aircraft or conduct any operations except in accordance with the authority and conditions contained in the registrant's applicable Canadian licenses.
49 U.S.C. Chapters 401, 417.
This part establishes rules for the indirect air transportation of property. It creates a class of air carriers to provide this air transportation and grants exemptions from certain provisions of the Subtitle VII of Title 49 of the United States Code (Transportation).
This part applies to air transportation of property by indirect cargo air carriers, and to persons entering into control relationships with indirect cargo air carriers.
An indirect cargo air carrier is any U.S. citizen who undertakes to engage indirectly in air transportation of property, and uses for the whole or any part of such transportation the services of an air carrier or a foreign air carrier that directly engages in the operation of aircraft under a certificate, regulation, order, or permit issued by the Department of Transportation or the Civil Aeronautics Board, or the services of its agent, or of another indirect cargo air carrier.
Nothing in this part shall preclude joint loading, meaning the pooling of shipments and their delivery to a direct air carrier for transportation as one shipment, under an agreement between two or more indirect air carriers or foreign indirect air carriers.
An indirect cargo air carrier may act as agent of a shipper, or of a direct air carrier that has authorized such agency, rather than as an air carrier, if it expressly reserves the option to do so when the shipment is accepted.
Every indirect cargo air carrier shall give notice in writing to the shipper, when any shipment is accepted, of the existence or absence of cargo liability accident insurance, and of the limits on the extent of its liability, if any. The notice shall be clear and conspicuously included on or attached to all of its rate sheets and airwaybills.
(a) Indirect cargo air carriers are exempted from the provisions of the Statute only if and so long as they comply with the provisions of this part and its conditions, and to the extent necessary to permit them to organize and arrange their air freight shipments to provide indirect air transportation, except for the following sections:
(1) Section 41510(b) (solicitation of rebates). However, indirect cargo air carriers are exempt from section 41510(b) to the extent necessary to permit them to solicit, accept, or receive fees from direct air carriers.
(2) Section 41702 to the extent required to provide safe service, equipment, and facilities in connection with air transportation.
(3) Section 41310 (nondiscrimination) with respect to foreign air transportation.
(4) Section 41708 (accounts, records, and reports) and section 41709 (inspection of accounts and property);
(5) Section 41712 (unfair or deceptive practices or method of competition);
(6) Section 40102(b) (form of control); and
(7) Section 41711 (inquiry into air carrier management).
(b)-(c) [Reserved]
(d) Direct air carriers are exempted from Chapter 415 of the Statute to the extent necessary to permit them to pay, directly or indirectly, fees to indirect cargo air carriers.
In case of any violation of any of the provisions of the Statute, or of this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding under section 46101 of the Statute before the Department, or sections 46106 through 46108 of the Statute before a U.S. District Court, as the case may be, to compel compliance. The violator may also be subject to civil penalties under the provisions of section 46301 of the Statute, or other lawful sanctions.
49 U.S.C. Chapters 401, 417.
This part establishes registration procedures and operating rules for foreign air carriers that engage indirectly in interstate or foreign air transportation of property. It relieves these carriers from certain provisions of Subtitle VII of Title 49 of the United States Code (Transportation), and establishes simplified reports for them.
This part applies to interstate air transportation of property and to foreign air transportation of property outbound from the United States by foreign indirect air carriers. It also applies to applications for registration as
For purpose of this part:
(a)
(b)
(c)
(d)
Nothing in this part shall preclude joint loading, meaning the pooling of shipments and their delivery to a direct air carrier for transportation as one shipment, under an agreement between two or more indirect air carriers or foreign indirect air carriers.
A foreign air freight forwarder may act as agent of a shipper, or of a direct air carrier that has authorized such agency, if it expressly reserves the option to do so when the shipment is accepted. A foreign air freight forwarder shall not act as the agent of any direct air carrier with respect to shipments accepted for forwarding.
A foreign cooperative shippers association may act as agent of a shipper, or of a direct air carrier that has authorized such agency, if it expressly reserves the option to do so when the shipment is accepted. A cooperative shippers association shall not act as an agent of any direct air carrier with respect to shipments accepted in its capacity as an indirect air carrier.
(a) Foreign indirect air carriers with an effective registration under this part are exempted from the following provisions of the Statute only if and so long as they comply with the provisions of this part and the conditions imposed herein, and to the extent necessary to permit them to arrange their air freight shipments:
(1) Section 41302 (Permits);
(2) Sections 41504 and 41510(a) (Tariffs);
(3) Section 41510(b) (Solicitation of rebates) to the extent necessary to permit them to solicit, accept, or receive fees from direct air carriers;
(4) Section 41501 (Carrier's duty to establish just and reasonable rates, etc.); and
(5) If awarded interstate air transportation operating rights, any other provision of the Statute that would otherwise prohibit them from engaging in the interstate indirect air transportation of property.
(6) Section 41310 (nondiscrimination) with respect to interstate and overseas air transportation.
(b) Direct air carriers are exempted from Chapter 415 of the Statute to the extent necessary to permit them to
The Department declines to exercise its jurisdiction over foreign indirect air carriers of property with respect to shipments that originate in a foreign country. The Department reserves the right to exercise its jurisdiction over any foreign indirect air carrier of property at any time it finds that such action is in the public interest.
(a) The direct air transportation provided must be performed by direct air carriers that hold authority under section 41102, 41103, 41302, or 41701 of the Statute or are operating under part 298 of this chapter;
(b) Only U.S. citizen direct air carriers may provide direct air transportation operations in interstate air transportation.
(c) Foreign indirect air carriers that hold authority to engage in foreign air transportation must apply additionally for permission to consolidate freight in interstate air transportation.
(a) Not later than 60 days before the start of operations as a foreign indirect air carrier, every foreign air freight forwarder and foreign cooperative shippers association shall apply for registration with the Department, unless upon a showing of good cause, the Director, Office of Aviation Analysis, allows application at a later time.
(b) Application shall consist of filing with the Department's Office of Aviation Analysis, Special Authorities Division, two copies of completed OST Form 4506, which may be obtained from the Department of Transportation, Special Authorities Division.
Persons objecting to registration by a foreign air freight forwarder or foreign cooperative shippers association shall file their objections with the Office of Aviation Analysis, Special Authorities Division, within 28 days of the filing date of the registration forms. The Department will list the names and nationality of all persons applying for registration in its Weekly Summary of Filings.
After review of a registration form filed under § 297.20, the Department will take one or more of the following actions:
(a) Indicate by stamp on OST Form 4506 the effective date of registration, and return to the carrier the duplicate copy of OST Form 4506 as evidence of registration with the Department under this part;
(b) Reject an application for registration for failure to comply with this part, for reasons relating to the failure of effective reciprocity, or if the Department finds that it is in the public interest to do so.
(c) Request additional information from the applicant;
(d) Issue an order subjecting a carrier's exercise of authority under this part to such terms, conditions, or limitations as may be required by the public interest; or
(e) Institute a proceeding under section 41302 of the Statute.
By accepting an approval registration form under this part, a carrier waives any right it may possess to assert any defense of sovereign immunity from suit in any action or proceeding instituted against the carrier in any court or other tribunal in the United States based upon any claim arising out of operations by the carrier under this part.
(a) Not later than 30 days before any change in its name or address or any temporary or permanent cessation of operations, each foreign indirect air carrier shall notify the Department's Office of Aviation Analysis, Special Authorities Division, of the change by resubmitting OST Form 4506.
(b) The registrant shall apply for an amendment of its registration not later than 30 days after any person listed on its existing registration as owning or holding beneficial ownership of 10 percent or more of the registrant's stock no longer has an interest of 10 percent or more, or after any person not so listed becomes an owner or holder of 10 percent or more. Application for amendment shall be made by resubmitting OST Form 4506, but the existing registration shall remain valid pending Department action on the amendment.
The registration of a foreign indirect air carrier may be canceled or subjected to additional terms, conditions or limitations if:
(a) It files with the Department a written notice that it is discontinuing foreign indirect air carrier activities;
(b) It fails to perform air transportation services as authorized;
(c) It fails to file the reports required by this part;
(d) A substantial ownership or control interest is acquired by persons who are not citizens of the country of citizenship of the registrant;
(e) There is a failure of effective reciprocity; or
(f) The Department finds that it is in the public interest to do so.
Every foreign air freight forwarder shall give notice in writing to the shipper, when any shipment is accepted, of the limits of its cargo liability insurance, or of the absence of such insurance, and the limits of its liability, if any. The notice shall be included clearly and conspicuously on all of its rate sheets and airwaybills, and on any other documentation that is given to a shipper at the time of acceptance of the shipment.
(a) Each registered foreign indirect air carrier shall prepare an accurate airwaybill describing completely all services rendered to or on behalf of the shipper, including the conditions under which the contract will be completed, in its capacity as a foreign indirect air carrier. A copy of the airwaybill shall be given to the consignor and to the consignee.
(b) Each registered foreign indirect air carrier shall prepare an accurate manifest showing every individual shipment included in each shipment consigned for transportation to a direct air carrier.
(c) A waiver of paragraph (a) of this section may be granted by the Department upon a written application by the foreign indirect air carrier not less than 30 days before the shipment to which it relates is transported, if the waiver is in the public interest, and is warranted by special or unusual circumstances.
In case of any violation of any of the provisions of the Statute, or this part,
49 U.S.C. 329 and chapters 41102, 41708, and 41709.
This part establishes classifications of air carriers known as “air taxi operators” and “commuter air carriers,” provides certain exemptions to them from some of the economic regulatory provisions of Subtitle VII of Title 49 of the United States Code (Transportation), specifies procedures by which such air carriers may obtain authority to conduct operations, and establishes rules applicable to their operations in interstate and/or foreign air transportation in all States, Territories and possessions of the United States. This part also establishes reporting requirements for commuter air carriers and small certificated air carriers.
As used in this part:
Foreign air transportation is defined in section 40102(a)(23) of the Statute as the transportation of passengers or property by aircraft as a common carrier for compensation, or the transportation of mail by aircraft, between a place in the United States and a place outside the United States when any part of the transportation is by aircraft.
Air transportation also is defined to include the transportation of mail by aircraft. Section 5402 of the Postal Reorganization Act, 39 U.S.C. 5402, authorizes the carriage of mail by air taxi operators and commuter air carriers in some circumstances under contract with the U.S. Postal Service.
(1) An individual who is a citizen of the United States;
(2) A partnership each of whose partners is an individual who is a citizen of the United States; or
(3) A corporation or association organized under the laws of the United States or a state, the District of Columbia, or a territory or possession of the United States, of which the president and at least two-thirds of the board of directors and other managing officers are citizens of the United States, which is under the actual control of citizens of the United States, and in which at least 75 percent of the voting interest is owned or controlled by persons that are citizens of the United States.
(1)(i) Was an eligible point under section 419 of the Federal Aviation Act of 1958 as in effect before October 1, 1988;
(ii) Received scheduled air transportation at any time after January 1, 1990; and
(iii) Is not listed in Department of Transportation Orders 89-9-37 and 89-12-52 as a place ineligible for compensation under Subchapter II of Chapter 417 of the Statute; or
(2) Was determined, on or after October 1, 1988, and before the date of the enactment of the Wendell H. Ford Aviation Investment and Reform Act for the 21st Century, by the Department to be eligible to receive subsidized small community air service under section 41736(a) of the Statute.
(i) Crew—200 pounds per crew member required under FAA regulations,
(ii) Oil—350 pounds,
(iii) Fuel—the minimum weight of fuel required under FAA regulations for a flight between domestic points 200 miles apart,
(2)
(1) Directors, officers, employees, and others authorized by the air carrier operating the aircraft;
(2) Directors, officers, employees, and others authorized by the air carrier or another carrier traveling pursuant to a pass interchange agreement;
(3) Travel agents being transported for the purpose of familiarizing themselves with the carrier's services;
(4) Witnesses and attorneys attending any legal investigation in which such carrier is involved;
(5) Persons injured in aircraft accidents, and physicians, nurses, and others attending such persons;
(6) Any persons transported with the object of providing relief in cases of general epidemic, natural disaster, or other catastrophe;
(7) Any law enforcement official, including any person who has the duty of guarding government officials who are traveling on official business or traveling to or from such duty;
(8) Guests of an air carrier on an inaugural flight or delivery flights of newly-acquired or renovated aircraft;
(9) Security guards who have been assigned the duty to guard such aircraft against unlawful seizure, sabotage, or other unlawful interference;
(10) Safety inspectors of the National Transportation Safety Board or the FAA in their official duties or traveling to or from such duty;
(11) Postal employees on duty in charge of the mails or traveling to or from such duty;
(12) Technical representatives of companies that have been engaged in
(13) Persons engaged in promoting air transportation;
(14) Air marshals and other Transportation Security officials acting in their official capacities and while traveling to and from their official duties; and
(15) Other authorized persons, when such transportation is undertaken for promotional purpose.
(1) Passengers traveling under publicly available tickets including promotional offers (for example two-for-one) or loyalty programs (for example, redemption of frequent flyer points);
(2) Passengers traveling on vouchers or tickets issued as compensation for denied boarding or in response to consumer complaints or claims;
(3) Passengers traveling at corporate discounts;
(4) Passengers traveling on preferential fares (Government, seamen, military, youth, student, etc.);
(5) Passengers traveling on barter tickets; and
(6) Infants traveling on confirmed-space tickets.
(a) There is hereby established a classification of air carriers, designated as “air taxi operators,” which directly engage in the air transportation of persons or property or mail or in any combination of such transportation and which:
(1) Do not directly or indirectly utilize large aircraft in air transportation;
(2) Do not hold a certificate of public convenience and necessity and do not engage in scheduled passenger operations as specified in paragraph (b) of this section;
(3) Have and maintain in effect liability insurance coverage in compliance with the requirements set forth in part 205 of this chapter and have and maintain a current certificate of insurance evidencing such coverage on file with the Department;
(4) If operating in foreign air transportation or participating in an interline agreement, subscribe to Agreement 18900 (OST Form 4523 or OST Form 4507) and comply with all other requirements of part 203 of this chapter; and
(5) Have registered with the Department in accordance with subpart C of this part.
(b) There is hereby established a classification of air carriers, designated as “commuter air carriers,” which directly engage in the air transportation of persons, property or mail, and which:
(1) Do not directly or indirectly utilize large aircraft in air transportation;
(2) Do not hold a certificate of public convenience and necessity;
(3) Carry passengers on at least five round trips per week on at least one route between two or more points according to its published flight schedules that specify the times, days of the week, and places between which those flights are performed;
(4) Have and maintain in effect liability insurance coverage in compliance with the requirements set forth in part 205 of this chapter and have and maintain a current certificate of insurance evidencing such coverage on file with the Department;
(5) Have and maintain in effect and on file with the Department a signed counterpart of Agreement 18900 (OST Form 4523) and comply with all other requirements of part 203 of this chapter; and
(6) Hold a Commuter Air Carrier Authorization issued in accordance with subpart E of this part.
(c) A person who does not observe the conditions set forth in paragraph (a) or (b) of this section shall not be an air taxi operator or commuter air carrier within the meaning of this part with respect to any operations conducted while such conditions are not being observed, and during such periods is not entitled to any of the exemptions set forth in this part.
In any instance where an air taxi operator or commuter air carrier is required by a foreign government to produce evidence of its authority to engage in foreign air transportation under the laws of the United States, the Director, Office of Aviation Analysis (X-50), Office of the Secretary, 1200 New Jersey Avenue, SE., Washington, DC 20590, will, upon request, furnish the carrier with a written statement, outlining its general operating privileges under this part for presentation to the proper authorities of the foreign government.
Air taxi operators and commuter air carriers are hereby relieved from the following provisions of the Statute only if and so long as they comply with the provisions of this part and the conditions imposed herein, and to the extent necessary to permit them to conduct air taxi or commuter air carrier operations:
(a) Section 41101;
(b) Section 41504; except that the requirements of that section shall apply to:
(1) Tariffs for through rates, fares, and charges filed jointly by air taxi operators or commuter air carriers with air carriers or with foreign air carriers subject to the tariff-filing requirements of Chapter 415; and
(2) Tariffs required to be filed by air taxi operators or commuter air carriers which embody the provisions of the counterpart to Agreement 18900 as specified in part 203 of this chapter;
(c) Section 41702, except for the requirements that air taxi operators and commuter air carriers shall:
(1) Provide safe service, equipment, and facilities in connection with air transportation;
(2) Provide adequate service insofar as that requires them to comply with parts 252 and 382 of this chapter;
(3) Observe and enforce just and reasonable joint rates, fares, and charges, and just and reasonable classifications, rules, regulations and practices as provided in tariffs filed jointly by air taxi operators or commuter air carriers with certificated air carriers or with foreign air carriers; and
(4) Establish just, reasonable, and equitable divisions of such joint rates, fares, and charges as between air carriers participating therein which shall not unduly prefer or prejudice any of such participating air carriers;
(d) Section 41310, except that the requirements of that subsection shall apply to through service provided pursuant to tariffs filed jointly by air taxi operators or commuter air carriers with certificated air carriers or with foreign air carriers and to transportation of the handicapped to the extent that that is required by part 382 of this chapter;
(e) Section 41902;
(f) Section 41708.
The exemption from any provision of the Statute provided by this part shall continue in effect only until such time as the Department shall find that enforcement of that provision would be in the public interest, at which time the exemption shall terminate or be conditioned with respect to the person, class of persons, or service (e.g., limited-entry foreign air transportation market) subject to the finding.
(a) Every air taxi operator who plans to commence operations under this part shall register with the Department not later than 30 days prior to the commencement of such operations, unless, upon a showing of good cause satisfactory to the Manager, Program Management Branch (AFS-260), Federal Aviation Administration, registration within a lesser period of time is allowed.
(b) The registration of an air taxi operator shall remain in effect until it is amended by the carrier or canceled by the Department.
(c) Registration by all air taxi operators shall be accomplished by filing with the Department at the address specified in paragraph (d) of this section the following:
(1) Air Taxi Registration (OST Form 4507), executed in duplicate.
(i) The name of the carrier and its mailing address;
(ii) The carrier's principal place of business, if different from its mailing address, and its telephone number and fax number;
(iii) The carrier's FAA certificate number, if any, and the address and telephone number of the carrier's local FAA office;
(iv) The type of service the carrier will offer (scheduled passenger,
(v) A list of the aircraft that the carrier proposes to operate, or, in the case of an amendment to the registration, the aircraft that it is currently operating in its air taxi operations, and the aircraft type, FAA registration number and passenger capacity of each aircraft;
(vi) For initial registration, the proposed date of commencement of air taxi operations;
(vii) For amendments, whether the carrier has carried passengers in foreign air transportation during the previous 12 months;
(viii) Whether the carrier is a citizen of the United States; and
(ix) A certification that the registration is complete and accurate and that, if the carrier is engaged in foreign air transportation, or participating in an interline agreement, it subscribes to the terms of Agreement 18900 (
(2) A certificate of insurance (OST Form 6410) which is currently effective (or in case of initial registration, is to become effective), as defined in part 205 of this chapter;
(3) An 8 dollar ($8) registration filing fee in the form of a check, draft, or postal money order payable to the Department of Transportation.
(d) Registrations required in paragraph (c) of this section shall be submitted to the Department of Transportation, Federal Aviation Administration, Program Management Branch (AFS-260), 800 Independence Avenue, SW., Washington, DC 20591. For those air taxi operators that have a mailing address in the State of Alaska, the registrations shall be filed with the Department of Transportation, Federal Aviation Administration, Alaskan Region Headquarters (AAL-230), 222 West 7th Avenue, Box 14, Anchorage, Alaska 99513.
After examination of the OST Form 4507 submitted by the carrier, the Department will stamp the effective date of the registration on the form and return the duplicate copy to the carrier to confirm that it has registered with the Department as required by this part. The effective date of the registration shall not be earlier than the effective date of the insurance policy or policies named in the certificate of insurance filed by the carrier under § 298.21(c)(2).
(a) If any of the information contained on its registration changes, an air taxi operator shall submit an amendment reflecting the updated information. This amendment shall be filed no later than 30 days after the change occurs. There is no filing fee for submitting an amendment.
(b) An amendment shall be made by resubmitting OST Form 4507 to the Department of Transportation, Federal Aviation Administration, Program Management Branch (AFS-260), 800 Independence Avenue, SW., Washington, DC 20591. If the air taxi operator has a mailing address in the State of Alaska, the form shall be mailed to the Department of Transportation, Federal Aviation Administration, Alaskan Region Headquarters (AAL-230), 222 West 7th Avenue, Box 14, Anchorage, Alaska 99513.
The registration of an air taxi operator may be canceled by the Department if any of the following occur:
(a) The operator ceases its operations;
(b) The operator's insurance coverage changes or lapses;
(c) The operator fails to file an amended registration when required by § 298.23;
(d) The operator's Air Carrier Certificate and/or Operations Specifications is revoked by the Federal Aviation Administration;
(e) The operator fails to qualify as a citizen of the United States;
(f) The Department determines that it is otherwise in the public interest to do so.
(a) Every air taxi and commuter air carrier shall cause to be displayed continuously in a conspicuous public place at each desk, station and position in the United States that is in charge of a person employed exclusively by it, or by it jointly with another person, or by any agent employed by it to sell tickets to passengers, a sign located so as to be clearly visible and readable to the traveling public, containing a statement setting forth the air taxi and commuter air carrier's policy on baggage liability and denied boarding compensation.
(b) An air taxi or commuter air carrier shall provide a written notice on or with a passenger's ticket concerning baggage liability as provided in § 254.5 of this chapter. These ticket notices are required only for passengers whose ticket includes a flight segment that uses large aircraft (more than 60 seats).
(c) If the substantive terms of the counter sign and ticket notice required by this section differ, the terms contained in the required ticket notice govern.
Nothing in this part shall be construed as authorizing the operation of large aircraft in air transportation, and the exemption provided by this part to air taxi operators and commuter air carriers that register with the Department extends only to the direct operation in air transportation in accordance with the limitations and conditions of this part of aircraft originally designed to have a maximum passenger capacity of 60 seats or less or a maximum payload capacity of 18,000 pounds or less.
No person shall provide scheduled passenger service as a commuter air carrier at an eligible place unless it has been found by the Department to be fit, willing, and able to conduct such service and issued a Commuter Air Carrier Authorization as provided in subpart E of this part.
In conducting operations under this part, an air taxi operator or a commuter air carrier is required to adhere to all security requirements established by the Department of Transportation and the Department of Homeland Security applicable to such operations.
An air taxi operator or commuter air carrier is not authorized to carry mail except pursuant to contract with the U.S. Postal Service entered into pursuant to section 5402 of the Postal Reorganization Act (39 U.S.C. 5402).
(a) An air taxi operator or commuter air carrier in holding out to the public and in performing its services in air transportation shall do so only in the name or names in which its air carrier certificate is issued pursuant to section 44702 of the Statute by the Federal Aviation Administration, and in which it is registered with the Department under this part, or in which its Commuter Air Carrier Authorization is issued or other trade name is registered.
(b) Slogans shall not be considered names for the purposes of this section, and their use is not restricted hereby.
(c) Commuter air carriers are subject to the provisions of part 215 of this chapter with regard to the use and change of air carrier names.
(d) Neither the provisions of this section nor the grant of a permission hereunder shall preclude Department intervention or enforcement action should there be evidence of a significant potential for, or of actual, public confusion.
An air taxi operator or commuter air carrier shall not operate in air transportation or provide or offer to provide air transportation unless there is in effect liability insurance which covers such transportation and which is evidenced by a current certificate of insurance on file with the Department as required by part 205 of this chapter.
When an air taxi operator or commuter air carrier performs a Public Charter under part 380 of this chapter, either:
(a) The air taxi operator or commuter air carrier shall meet the bonding or escrow requirements applicable to certificated air carriers as set forth in § 212.8 of this chapter; or
(b) The air taxi operator or commuter air carrier shall ensure that it does not receive any payments for the charter until after the charter has been completed. In this case, its contracts with the charter operator and the charter operator's depository bank, if any, shall state that the charter operator or bank, as applicable, shall retain control of and responsibility for all participant funds intended for payment for air transportation until after the charter has been completed, notwithstanding any provision of part 380 of this chapter.
(a) Any person desiring to provide air transportation as a commuter air carrier must first obtain a Commuter Air Carrier Authorization. This shall be accomplished by filing with the Department—
(1) An application in accordance with the requirements of parts 201 and 302 of this chapter;
(2) Data in accordance with part 204 of this chapter to support a determination by the Department that the person is “fit, willing, and able” to operate the proposed commuter service; and
(3) A $670 filing fee in the form of a check, draft, or postal money order payable to the Department of Transportation.
(b) An executed original and two true copies of an application for a Commuter Air Carrier Authorization shall be filed with Department of Transportation Dockets, 1200 New Jersey Avenue, SE., Washington, DC 20590.
In processing applications filed in accordance with § 298.50, the Department will generally follow the procedures set forth in §§ 302.207 through 302.211 of this chapter.
(a) A commuter air carrier that holds an effective Commuter Air Carrier Authorization and otherwise meets the requirements of this part is also authorized to conduct air taxi operations (e.g., scheduled cargo, mail under a U.S. Postal Service contract, on-demand passenger, on-demand cargo, or other service such as air ambulance operations, firefighting or seasonal operations) without having to meet the registration requirements of subpart C of this part, except as provided in paragraph (b) of this section.
(b) Should a commuter air carrier cease conducting all scheduled passenger operations and its Commuter Air Carrier Authorization is suspended pursuant to §§ 298.53 and/or 204.7 of this chapter, it may continue to conduct air taxi operations
A Commuter Air Carrier Authorization may be suspended or revoked if any of the following occur:
(a) The operator fails to maintain insurance coverage as required by part 205 of this chapter for commuter operations;
(b) The scheduled passenger authority under the operator's Air Carrier Certificate is suspended or revoked by the Federal Aviation Administration;
(c) The operator does not commence operations for which it has been found fit, or the operator ceases those operations as provided in § 204.7 of this chapter;
(d) The Department finds that the carrier is not fit, willing, and able to conduct scheduled service or fails to qualify as a citizen of the United States; or
(e) The Department determines that it is otherwise in the public interest to do so.
(a) Each commuter air carrier and each small certificated air carrier shall file with the Department's Bureau of Transportation Statistics (BTS) the applicable schedules of BTS Form 298-C, A Report of Financial and Operating Statistics for Small Aircraft Operators' and Schedule T-100, AU.S. Air Carrier Traffic and Capacity Data by Nonstop Segment and On-Flight Market” as required by this section.
(b) A single copy of the BTS Form 298-C report shall be filed quarterly with the Office of Airline Information (OAI) for the periods ended March 31, June 30, September 30 and December 31 of each year to be received on or before May 10, August 10, November 10, and February 10, respectively. An electronic filing of the monthly Schedule T-100 is due at OAI within 30 days after the end of each month. Due dates falling on a Saturday, Sunday or Federal holiday will become effective on the next work day.
(c) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(a) Each commuter air carrier and small certificated air carrier shall file Schedule T-100, AU.S. Air Carrier Traffic and Capacity Data by Nonstop Segment and On-Flight Market.”
(b) Schedule T-100 shall be filed monthly as set forth in “298.60.
(1) Schedule T-100 collects summarized flight stage data and on-flight market data from revenue flights. All traffic statistics shall be compiled in terms of each flight stage as actually performed. The detail T-100 data shall be maintained in such a manner as to permit monthly summarization and organization into two basic groupings. The first grouping, the nonstop segment information, is to be summarized by equipment type, within class of service, within pair-of-points, without regard to individual flight number. The second grouping requires that the enplanement/deplanement information be broken out into separate units called on-flight market records, which shall be summarized by class of service, within pair-of-points, without regard for equipment type or flight number.
(2)
(i) Joint-service operations are reported by the carrier in operational control of the flight, i.e., the carrier that uses its flight crews under its own FAA operating authority. The traffic moving under these agreements is reported on Schedule T-100 the same way as any other traffic on the aircraft.
(ii) If there are questions about reporting a joint-service operation, contact the BTS Assistant Director—Airline Information (fax no. 202 366-3383, telephone no. 202 366-4373). Joint-service operations are reported in Schedule
(iii)
(c)
(2) Scheduled services include traffic and capacity elements applicable to air transportation provided pursuant to published schedules and extra sections of scheduled flights. Scheduled Passenger/Cargo (Service Class F) is a composite of first class, coach, and mixed passenger/cargo service.
(3) Nonscheduled services include all traffic and capacity elements applicable to the performance of nonscheduled aircraft charters, and other air transportation services not constituting an integral part of services performed pursuant to published flight schedules.
(d)
(2) [Reserved]
(e) These reported items are further described as follows:
(1)
(2) Carrier, Carrier entity code. Each air carrier shall report its name and entity code (a five digit code assigned by BTS that identifies both the carrier and its entity) for its particular operations. The Office of Airline Information (OAI) will assign or confirm codes upon request; OAI's address is Office of Airline Information, BTS, DOT, K-14, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(3)
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(f)
(a) Each commuter air carrier and each small certificated air carrier shall file BTS Form 298-C, Schedule F-1 “Report of Financial Data.” This report shall be filed quarterly as set forth in § 298.60 of this part.
(b) Each carrier shall indicate in the space provided, its full corporate name and the quarter for which the report is filed.
(c) This schedule shall be used to report financial data for the overall or system operations of the carrier. At the option of the carrier, the data may be reported in whole dollars by dropping the cents. Financial data shall be reported in the following categories:
(1) Line 1 “Total Operating Revenues” shall include gross revenues accruing from services ordinarily associated with air transportation and air transportation-related services. This category shall include revenue derived from scheduled service operations, revenue derived from nonscheduled service operations, amounts of compensation paid to the carrier under section 41732 of the Statute and other transport-related revenue such as in-flight sales, restaurant and food service (ground), rental of property or equipment, limousine service, cargo pick-up and delivery charges, and fixed-base operations involving the selling or servicing of aircraft, flying instructions, charter flights, etc.
(2) Line 2 “Total Operating Expenses” shall include expenses of a character usually and ordinarily incurred in the performance of air transporation and air transportation services. This category shall include expenses incurred: directly in the in-flight operation of aircraft; in the holding of aircraft and aircraft personnel in readiness for assignment to an in-flight status; on the ground in controlling and protecting the in-flight movement of aircraft; landing, handling or servicing aircraft on the ground; selling transportation; servicing and handling traffic; promoting the development of traffic; and administering operations generally. This category shall also include expenses which are specifically identifiable with the repair and upkeep of property and equipment used in the performance of air transportation, all
(3) Line 3 “Net Income or (Loss)” shall reflect all operating and nonoperating items of profit and loss recognized during the period except for prior period adjustments.
(4) Line 4 “Passenger Revenues-Scheduled Service” shall include revenue generated from the transportation of passengers between pairs of points which are served on a regularly scheduled basis.
(d) Data reported on this schedule shall be withheld from public release for a period of 3 years after the close of the calendar quarter to which the report relates.
(a) Each small certificated air carrier shall file BTS Form 298-C, Schedule F-2 “Report of Aircraft Operating Expenses and Related Statistics.” This schedule shall be filed quarterly as prescribed in § 298.60. Data reported on this report shall be for the overall or system operations of the air carrier.
(b) Each carrier shall indicate in the space provided its full corporate name and the quarter for which the report is filed.
(c) This schedule shall show the direct and indirect expenses incurred in aircraft operations. Direct expense data applicable to each aircraft type operated by the carrier shall be reported in separate columns of this schedule. Each aircraft type reported shall be identified at the head of each column in the space provided for “Aircraft Type.” “Aircraft Type” refers to aircraft models such as Beech-18, Piper PA-32, etc. Aircraft Type designations are prescribed in the
(d) Line 1 Direct aircraft operating expenses shall be reported in the following categories:
(1) Line 2 “Flying Operations (Less Rental)” shall be subdivided as follows:
(i) Line 3 “Pilot and Copilot” expense shall include pilots' and copilots' salaries, and related employee benefits, pensions, payroll taxes and personnel expenses.
(ii) Line 4 “Aircraft Fuel and Oil” expense shall include the cost of fuel and oil used in flight operations and nonrefundable aircraft fuel and oil taxes.
(iii) Line 5 “Other” expenses shall include general (hull) insurance, and all other expenses incurred in the in-flight operation of aircraft and holding of aircraft and aircraft operational personnel in readiness for assignment to an in-flight status, which are not provided for otherwise on this schedule.
(2) Line 6 “Total Flying Operations (Less Rentals)” shall equal the sum of lines 3, 4 and 5.
(3) Line 7 “Maintenance-Flight Equipment” shall include the cost of labor, material and related overhead expended by the carrier to maintain flight equipment, general services purchased for flight equipment maintenance from associated or other outside companies, and provisions for flight equipment overhauls.
(4) Line 8 “Depreciation and Rental-Flight Equipment” expense shall include depreciation of flight equipment, amortization of capitalized leases for
(5) Line 9 “Total Direct Expense” shall equal the sum of lines 6, 7 and 8.
(e) Line 10 Indirect aircraft operating expenses shall be reported only in total for all aircraft types and shall be segregated according to the following categories:
(1) Line 11 “Flight Attendant Expense” shall include flight attendants' salaries, and related employee benefits, pensions, payroll taxes and personnel expenses.
(2) Line 12 “Traffic Related Expense” shall include traffic solicitor salaries, traffic commissions, passenger food expense, traffic liability insurance, advertising and other promotion and publicity expenses, and the fringe benefit expenses related to all salaries in this classification.
(3) Line 13 “Departure Related (Station) Expense” shall include aircraft and traffic handling salaries, landing fees, clearance, customs and duties, related fringe benefit expenses and maintenance and depreciation on ground property and equipment.
(4) Line 14 “Capacity Related Expense” shall include salaries and fringe benefits for general management personnel, recordkeeping and statistical personnel, lawyers and law clerks, and purchasing personnel; legal fees and expenses; stationery; printing; uncollectible accounts; insurance purchased-general; memberships; corporate and fiscal expenses; and all other expenses which cannot be identified or allocated to some other specifically identified indirect cost category.
(f) Line 15 “Total Indirect Expense” shall equal the sum of lines 11, 12, 13 and 14.
(g) Line 16 “Total Operating Expense” shall equal the sum of lines 9 and 15.
(h) Line 17 “Total Gallons of Fuel Issued” shall include the gallons of fuel used in flight operations related to fuel cost reported in total and by aircraft type on Line 4.
(a) If circumstances prevent the filing of BTS Form 298-C on or before the due date, a written request for an extension may be submitted. Except in cases of emergency, the request must be delivered to the BTS's Office of Airline Information in writing at least three days in advance of the due date. The request must state good and sufficient reason to justify the granting of the extension and the date when the reports can be filed. If the request is denied, the air carrier remains subject to the filing requirements to the same extent as if no request for extension of time had been made.
(b) The Office of Airline Information may waive any reporting requirements contained in § 298.61, § 298.62, § 298.63 and § 298.64 of this part, upon its own initiative or upon written request from any air carrier if the waiver is in the public interest and the request demonstrates that:
(1) Unusual circumstances warrant such a departure;
(2) A specifically defined alternative procedure or technique will result in a substantially equivalent or more accurate portrayal; and
(3) The application of the alternative procedure will maintain or improve uniformity in reporting between air carriers.
(a) The Office of Airline Information may exempt a commuter air carrier from the reporting requirements of § 298.61 of this part if a State government collects the information specified in that section and provides it to the Department by the dates specified. The data provided to the Department in this manner must be at least as reliable as if they were collected by the Department directly.
(b) The Office of Airline Information will provide assistance to any State
(a) Detailed domestic on-flight market data and nonstop segment data except military data shall be made publicly available after processing. Domestic data are defined as data from air transportation operations from a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession to a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession. Domestic military operations are reported under service codes N or R.
(b) Detailed international on-flight market and nonstop segment data in Schedule T-100 and Schedule T-100(f) reports, except military data, shall be publicly available immediately following the Department's determination that the database is complete, but no earlier than six months after the date of the data. Military operations are reported under service codes N or R. Data for on-flight markets and nonstop segments involving no U.S. points shall not be made publicly available for three years. Industry and carrier summary data may be made public before the end of six months or the end of three years, as applicable, provided there are three or more carriers in the summary data disclosed. The Department may, at any time, publish international summary statistics without carrier detail.
(c) Schedule F-1 “Report of Financial Data” shall be withheld from public release for a period of 3 years after the close of the calendar quarter to which the report relates.
(d) The Department may release nonstop segment and on-flight market detail data by carrier or individual Schedule F-1 “Report of Financial Data” before the end of the confidentiality period as follows:
(1) To foreign governments as provided in reciprocal arrangements between the foreign country and the U.S. Government for exchange of on-flight market and/or nonstop segment data submitted by air carriers of that foreign country and U.S. carriers serving that foreign country.
(2) To parties to any proceeding before the Department under Title IV of the Federal Aviation Act of 1958, as amended, as required by an Administrative Law Judge or other decision-maker of the Department. Parties may designate agents or consultants to receive the data in their behalf, provided the agents or consultants agree to abide by the disclosure restrictions. Any data to which access is granted pursuant to this provision may be introduced into evidence, subject to the normal rules of admissibility.
(3) To agencies or other components of the U.S. Government for their internal use only.
In case of any violation of the provisions of the Statute, or this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding pursuant to section 46101 of the Statute before the Department, or sections 46106 through 46108 of the Statute before a U.S. District Court, as the case may be, to compel compliance therewith; or to civil penalties pursuant to the provisions of section 46301 of the Statute; or, in the case of a willful violation, to criminal penalties pursuant to the provisions of section 46316 of the Statute; or other lawful sanctions including revocation of operating authority.
49 U.S.C. subtitle I and chapters 401, 411, 413, 415, 417, 419, 421, 449, 461, 463, and 465.
The rules of conduct set forth in this part except as otherwise provided in this or any other DOT regulation shall govern the conduct of the parties and their representatives, and the relationships between the Office of the Secretary of Transportation, the Office of the Assistant Secretary for Aviation and International Affairs, and the Office of the General Counsel, including regular personnel, and officials, special Government employees, consultants, or experts under contract to the Department of Transportation (DOT) and administrative law judges (hereinafter referred to as “DOT employee(s)”) and all other persons in all DOT matters involving aviation economic and enforcement proceedings.
(a) Except as provided in paragraph (b) of this section, each DOT employee involved in matters covered by this chapter shall comply with the rules on “Employee Responsibilities and Conduct” in 49 CFR part 99.
(b) The rules in this part shall be construed as being consistent with those in 49 CFR part 99. If a rule in this part is more restrictive than a rule in 49 CFR part 99, the more restrictive rule shall apply.
Certain of DOT's functions involving aviation economic and enforcement proceedings are similar to those of a court, and parties to cases before DOT and those who represent such parties are expected—in fact and in appearance—to conduct themselves with honor and dignity as they would before a court. By the same token, any DOT employee or administrative law judge carrying out DOT's quasi-judicial functions and any DOT employee making recommendations or advising them are expected to conduct themselves with the same fidelity to appropriate standards of propriety that characterize a court and its staff. The standing and effectiveness of DOT in carrying out its quasi-judicial functions are in direct relation to the observance by DOT,
(a)
(b)
(1) A “substantive communication” is any written or oral communication relevant to the merits of the proceeding.
(2) The “DOT decisionmaker” is defined in 14 CFR 302.2 and 302.18.
(3) A “concerned DOT employee” is a DOT employee who is or may reasonably be expected to be directly involved in a decision which is subject to a public proceeding.
(4) A “public proceeding” is one of the following:
(i) A hearing proceeding (i.e., proceeding conducted on-the record after notice and opportunity for an oral evidentiary hearing as provided in §§ 302.17- 302.38)
(ii) A rulemaking proceeding involving a hearing as described in paragraph (b)(4)(i) of this section or an exemption proceeding covered by this chapter. (Other rulemaking proceedings are covered by the ex parte communication policies of DOT Order 2100.2.)
(iii) A tariff filing after DOT has ordered an investigation or a complaint has been filed or docketed.
(iv) A proceeding initiated by DOT show-cause order, after the filing in the docket of an identifiable written opposition to the order's tentative findings.
(v) Any other proceeding initiated by a docket filing, other than a petition for generally applicable rulemaking, after the filing in the docket of an identifiable written opposition to the initiating document.
(c)
(1) Informal communications between legal counsel, including discussions about stipulations and other communications considered proper in Federal court proceedings.
(2) Information given to a DOT employee who is participating in a hearing case on behalf of an office that is a party, to another DOT employee who is reviewing that work, or to his or her supervisors within that office.
(3) Communications made in the course of an investigation to determine whether formal enforcement action should be begun.
(4) Settlement discussions and mediation efforts.
(5) Information given at the request of a DOT employee acting upon a specific direction of DOT, in a case other than a hearing proceeding as described in paragraphs (b)(4) (i) and (ii) (a “nonhearing case”), where DOT has decided that emergency conditions exist and this rule would otherwise prevent the obtaining of needed information in a timely manner.
(6) Information given at the request of a DOT employee in a tariff matter after a complaint is filed but before an investigation is ordered.
(7) Nonhearing cases that are to be decided within 30 days after the filing of the initiating document.
(8) Nonhearing cases arising under 49 U.S.C. 41731-42.
(9) In nonhearing cases, communications with other Federal agencies not exempted by paragraph (e) of this section, provided the agencies have not participated as parties in the proceeding by making filings on-the-record.
(10) Information given at the request of a DOT career employee in the course of investigating or clarifying information filed, or pursuant to a waiver granted to an applicant or other interested person, in docketed proceedings involving determinations of fitness and/or U.S. citizenship only, for that portion of the proceeding that precedes the issuance of a show-cause order or an order instituting a formal proceeding. Motions for such waivers and
(d)
(e)
(f)
(a)
(1) Any communication in violation of § 300.2(a) of this chapter.
(2) Information given upon determination of an emergency under § 300.2(c)(5) of this chapter.
(3) Information given at the request of a DOT employee in a tariff matter under § 300.2(c)(6) of this chapter.
(4) Communications in nonhearing cases to be decided within 30 days under § 300.2(c)(7) of this chapter.
(5) Communications in nonhearing cases arising under 49 U.S.C. 41731-42, made under § 300.2(c)(8).
(b)
(2) An oral communication shall be summarized by the DOT employee receiving it. One copy shall be put into a public file as described in paragraph (b) (1) of this section, and another copy shall be mailed to the communicator.
(3) Electronic copies of written communications and oral summaries shall be posted to the DOT's electronic docket. Such docketed materials may be searched, viewed, and downloaded through the Internet at
(4) Copies of all filings under this part dealing with discontinuances or reductions of air transportation shall be mailed to the directly affected local communities, State agencies, and airport managers.
(c)
(1) Refer the communicator to Office of Docket Operations and Media Management.
(2) If the DOT decisionmaker responds by advising on the status, put a memorandum describing the exchange in the public file as described in paragraph (b)(1) of this section.
(a) This section applies after the initiation of a hearing or enforcement case by the Department.
(b) A DOT employee who is participating in a hearing case on behalf of an
(c) In hearing cases involving fares or rates, or applications for a certificate or permit under 49 U.S.C. 41102 and 41302, or applications by a holder for a change in a certificate or permit, a supervisor who would not be permitted to advise the DOT decisionmaker under paragraph (a) may advise the DOT decisionmaker in the following manner: The supervisor's advice must either be made orally in an open DOT meeting or by a memorandum placed in the docket or other public file of such matter. Oral advice must be summarized in writing by the supervisor and placed in the docket or file of the matter. A copy of such written memorandum or summary of oral advice must be served on each party to the proceeding within 3 business days after such advice is given to the concerned DOT decisionmaker. Each of the parties may comment in writing on such advice within 5 business days after service or the summary. In no event, however, may a supervisor advise the DOT decisionmaker if he or she acted as the office's counsel or witness in the matter.
(d) In enforcement cases, the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings, under the supervision of the Deputy General Counsel, will conduct all enforcement proceedings and related investigative functions, while the General Counsel will advise the DOT decisionmaker in the course of the decisional process. The Office of the Assistant General Counsel for Aviation Enforcement and Proceedings will report to the Deputy General Counsel. To ensure the independence of these functions, this Office and the Deputy General Counsel, for the purpose of this section, shall be considered an “office” as that term is used in paragraph (a), separate from the General Counsel and the rest of the Office of the General Counsel.
No person shall: (a) Attempt to influence the judgment of a concerned DOT employee by any unlawful means such as deception or the payment of money or other consideration; or
(b) Disrupt or interfere with the fair and orderly disposition of a DOT proceeding.
Every person representing a client in matters before DOT in all contacts with DOT employees, should:
(a) Strictly observe the standards of professional conduct;
(b) Refrain from statements or other actions designed to mislead DOT or to cause unwarranted delay;
(c) Avoid offensive or intemperate behavior;
(d) Advise all clients to avoid improprieties and to obey the law as the attorney believes it to be; and
(e) Terminate the professional relationship with any client who persists in improprieties in proceedings before DOT.
Every oral or written statement made in a DOT proceding shall be as
(a) No person, otherwise than as provided by law for the proper discharge of official duty, shall directly or indirectly give, offer, or promise anything of value to any DOT employee for or because of any official act performed or to be performed by such DOT employee (18 U.S.C. 201).
(b) Subject to 49 CFR part 99, it is improper for persons interested in the business of DOT to provide hospitality, gifts, entertainment, or favors to any DOT employee.
(c) Persons interested in the business of DOT should familiarize themselves with (49 CFR part 99), in order that they shall not encourage or cause any violation of the provisions of that part by any DOT employee.
Any DOT employee shall permanently disqualify himself or herself from participation in every matter before the Department in which he or she previously personally and substantially participated for an interested person or entity, including other agencies of the United States Government, before joining the DOT or the Civil Aeronautics Board. Such disqualification shall be applicable also if a person is closely related to is a DOT employee as partner, associate, employer, or the like, personally and substantially participated in a matter before DOT prior to the employee's employment by the Department or the Civil Aeronautics Board and the circumstances were such that the DOT employee's subsequent participation in the matter as a DOT employee could fairly be said to create the appearance that his or her participation would be affected by his or her prior relationship. Notwithstanding the foregoing, the disqualification of any DOT employee, including any member of a DOT employee's personal staff or a special Government employee, whose prior personal and substantial participation in a DOT or Civil Aeronautics Board proceeding or whose relationship to one who so participated occurred on behalf of another agency of the United States Government shall only be applicable with respect to issues on which the prior governmental employer took a position in the proceeding unless participation could fairly be said to create the appearance that his or her participation would be affected by his or her prior relationship.
Any DOT employee shall temporarily disqualify himself or herself from participation in any matter before DOT if he or she represented, was associated with or was employed by an interested person or entity including other agencies of the United States Government before joining DOT, and, although he or she did not personally and substantially participate in the matter, the matter was within his or her “official responsibility,” as that term is defined in § 300.14 of this chapter except that the action referred to therein shall be private action as well as “Government” action. Such disqualification shall be applicable also if a person closely related to the DOT employee as partner, associate, employer, or the like, who, while not personally and substantially participating in the matter, had it within his or her “official responsibility” as that term is defined in § 300.14 of this chapter, and modified above, and the circumstances are such that the DOT employee's subsequent participation in the matter as a DOT employee could fairly be said to create the appearance that his or her participation would be affected by his or her prior relationship. Notwithstanding the foregoing, the disqualification of any DOT employee whose prior “official responsibility” or relationship to one with such responsibility occurred on behalf of another agency of the United States Government shall only be applicable with respect to issues on which the prior governmental employer took a position in the proceeding. The temporary disqualification shall run for a period of one year from the date of the
The terms of §§ 300.9 and 300.10 shall not be construed to apply to DOT employees who previously personally and substantially participated in matters before the Board, which have become the subject of DOT proceedings.
No officer or employee of the Federal Government, other than a “special Government employee” as defined in 18 U.S.C. 202, shall represent anyone, otherwise than in the proper discharge of his or her official duties, in any DOT proceeding or matter in which the United States is a party or has a direct and substantial interest.
A special Government employee, who qualifies as such under the provisions of 18 U.S.C. 202(a), may participate in DOT proceedings only to the extent and in the manner specified in 18 U.S.C. 205.
No former Board member or employee or DOT employee shall act as agent or attorney before DOT for anyone other than the United States in connection with any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, or other particular matter, involving a specific party or parties, in which the United States is a party or has a direct and substantial interest and in which he or she participated personally and substantially through decision, approval, disapproval, recommendation, rendering of advice, investigation, or otherwise as a Board member or employee or DOT employee.
Within one year after termination of employment with DOT, no former DOT employee shall appear personally before DOT on behalf of any person other than the United States in any DOT proceeding or matter in which the United States is a party or has a direct and substantial interest and which was under his or her official responsibility at any time within one year preceding termination of such responsibility. The term “official responsibility” means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.
(a) The General Counsel is authorized to render opinions or rulings to the public on the application of the provisions of this part. When written request is made for such opinions and rulings, they shall be transmitted to DOT and shall be available to the public in the Documentary Services Division after any appeal to or review by the Secretary has been completed or after the time for review has expired. Identifying details shall normally be stricken from copies available to the public unless the public interest requires disclosure of such details.
(b) If any person is disqualified from a particular proceeding under the provisions of §§ 300.9, 300.10, 300.13, 300.14, and 300.17 of this chapter by a ruling of the General Counsel, or by such person's own action, such disqualification shall be memorialized in a writing filed
(a) A former Board member, Board employee or DOT employee with outstanding scientific or technological qualifications who is disqualified from acting in a representative capacity under the provisions of § 300.13 or § 300.14 of this chapter may nevertheless participate in a proceeding in a scientific or technological field pursuant to the terms of a certificate issued in compliance with the proviso following 18 U.S.C. 207 (a) and (b).
(b) An employee who believes his or her prior employment relationships will not affect the integrity of his or her services may request that the prohibition of § 300.9 or § 300.10 of this chapter be waived by the appropriate Ethics Counselor under 49 CFR 99.735-71.
No partner of a DOT employee shall act as agent or attorney for anyone other than the United States in any DOT proceeding or matter in which such employee participates or has participated personally and substantially through decision, approval, disapproval, recommendation, rendering advice, investigation, or otherwise, or which is the subject of his or her official responsibility.
In cases to be determined on an evidentiary record, a party desiring that a concerned DOT employee disqualify himself or herself from participating in a DOT decision shall file a motion supported by an affidavit setting forth the grounds for such disqualification in the form and within the periods prescribed in § 302.11 of this chapter. Where review of the administrative law judge's decision can be obtained only upon the filing of a petition for discretionary review, such motions must be filed on or before the date answers are due pursuant to § 302.32. In cases where exceptions are filed to recommended, initial, or tentative decisions or where the DOT decisionmaker orders review of an initial or recommended decision on his or her own initiative, such motions must be filed on or before the date briefs are due pursuant to § 302.35 or § 302.218, as applicable. Failure to file a timely motion will be deemed a waiver of disqualification. Applications for leave to file an untimely motion seeking disqualification of a concerned DOT employee must be accompanied by an affidavit setting forth in detail why the facts relied upon as grounds for disqualification were not known and could not have been discovered with reasonable diligence within the prescribed time.
No former CAB member or employee or DOT employee, or any person associated with him or her, shall ever use or undertake to use in any DOT proceeding or matter any confidential facts or information which came into the possession of such Member or employee or to his or her attention by reason of his or her employment with the CAB or DOT without first applying for and obtaining the consent of the appropriate ethics counselor for the use of such facts or information.
(a) DOT may disqualify, and deny temporarily or permanently the privilege of appearing or practicing before it in any way to, any person who is found by DOT after written notice of charges and hearing to have engaged in unethical or improper professional conduct. Any violation of this part shall be deemed to be such conduct.
(b) When appropriate in the public interest, DOT may deny any application or other request of a party in a proceeding subject to this part where DOT finds after hearing that such party has, in connection with any DOT proceeding, violated any of the provisions of this part or any of the provisions of Chapter 11 of Title 18 of the United States Code. DOT may also condition its further consideration of such party's application or other request or the effectiveness of any order granting such application or other request upon
(c) The actions authorized by this section may take place within the framework of the matter during or concerning which the violations occur or in a separate matter, as the DOT decisionmaker or the presiding administrative law judge may direct. A complaint alleging that a violation has occurred in the course of a matter shall be filed in the docket or appropriate public file of such matter unless such complaint is made after DOT's decision of the matter has become final, in which event such complaint may be filed pursuant to part 302, subpart D of the rules of practice. A violation in the course of a matter which may be attributable to or affect the fitness of a party will ordinarily either be disposed of within the framework of such matter or be considered within the context of any subsequent matter involving the interests of such party. Other violations will ordinarily be disposed of in a separate proceeding.
(d) In the case of any violation of the provisions of this part, the violator may be subject to civil penalties under the provisions of 49 U.S.C. 46301. The violator may also be subject to a proceeding brought under 49 U.S.C. 46101 before the Department, or sections 46106 through 46108 of the Statute before a U.S. District Court, as the case may be, to compel compliance with civil penalties which have been imposed.
39 U.S.C. 5402; 42 U.S.C., 4321, 49 U.S.C. Subtitle I and Chapters 401, 411, 413, 415, 417, 419, 461, 463, 471.
(a)
(b)
(c)
(a)
(2) Such documents will be deemed to be filed on the date on which they are actually received by the Department. Documents must be filed between the hours of 9:00 a.m. and 5:00 p.m., eastern standard or daylight savings time, whichever is in effect in the District of Columbia at the time, Monday to Friday, inclusive, except on legal holidays. Electronic filings may be made at any time under the process set by the Department. Electronic filings that are received after the specified Dockets Facility hours shall be deemed to be constructively received on the next Dockets Facility business day.
(b)
(2) Papers may be reproduced by any duplicating process, provided all copies are clear and legible. Appropriate notes or other indications must be used, so that the existence of any matters shown in color on the original will be accurately indicated on all copies.
(c)
(d)
(i) Such document and its filing by the person submitting it have been expressly authorized or required in the Statute, any other law, this part, other Department regulations, or any order, notice or other document issued by the DOT decisionmaker, the Chief Administrative Law Judge or an administrative law judge assigned to the proceeding, and
(ii) Such document complies with each of the requirements of this paragraph and 302.7, and for those electronically filed, the requirements specified at the DOT DMS internet website, and is submitted as a formal application, complaint, petition, motion, answer, pleading, or similar paper rather than as a letter, telegram, or other informal written communication;
(2) If any document initiating, or filed in, a proceeding is not in substantial conformity with the applicable rules or regulations of the Department as to the contents thereof, or is otherwise insufficient, the Department, on its own initiative, or on motion of any party, may reject, strike or dismiss such document, or require its amendment.
(e)
(f)
(a)
(2)(i) Each document must include with or provide on its first page:
(A) The docket title and subject;
(B) The relevant operating administration before which the application or request is filed;
(C) The identity of the filer and its filing agent, if applicable;
(D) The name and mailing address of the designated agent for service of any documents filed in the proceeding, along with the telephone and facsimile numbers and, if available, electronic mail address of that person; and
(E) The title of the specific action being requested.
(ii) Department of Transportation Dockets has an Expedited Processing Sheet that filers can use to assist in preparing this index for submission of paper documents, and an electronic registration for electronic filing at the DOT DMS internet website.
(3) All documents filed under this part consisting of twenty (20) or more pages must contain a subject index of the matter in such document, with page references.
(b)
(a) An application may be amended prior to the filing of answers thereto, or, if no answer is filed, prior to the issuance of an order establishing further procedures, disposing of the application, or setting the case for hearing. Thereafter, applications may be amended only if leave is granted pursuant to the procedures set forth in § 302.11.
(b) Except as otherwise provided, if properly amended, a document and any statutory deadline shall be made effective as of the date of original filing but the time prescribed for the filing of an answer or any further responsive document directed towards the amended document shall be computed from the date of the filing of the amendment.
(a)
(b)
(c)
(2) Such motions shall contain a concise statement of the matters relied upon as good cause and shall be attached to the pleading or other document for which leave to file is sought, or the written motion may be incorporated into the otherwise unauthorized document for which admission is sought. In such event, the document filed shall be titled to describe both the motion and the underlying documents.
(3) Where unauthorized responsive documents are not permitted, all new matter contained in an answer filed pursuant to paragraph (a) of this section shall be deemed controverted.
(d)
(a)
(2)
(b)
(c)
(d)
(e)
(1) A certificate of mailing executed by the person mailing the document.
(2) A certificate of successful transmission executed by the person transmitting the document by facsimile or electronic mail, listing the facsimile numbers or electronic mail address to which the document was sent, and stating that no indication was received that any transmission had failed. In the event of an electronic transmission failure, any other authorized means of service may be substituted and the appropriate proof of service provided.
(f)
(g)
In computing any period of time prescribed or allowed by this part, by notice, order or regulation or by any applicable statute, the day of the act, event, or default after which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included, unless it is a Saturday, Sunday, or legal holiday for the Department, in which event the period runs until the end of the next day that is neither a Saturday, Sunday, nor holiday. When the period of time prescribed is seven (7) days or fewer, intermediate Saturdays, Sundays, and holidays shall be excluded in the computation, unless otherwise specified by the DOT decisionmaker or the administrative law judge assigned to the proceeding, as the case may be.
(a) Whenever a party has the right or obligation to take action within a period prescribed by this part, by a notice given thereunder, or by an order or regulation, the DOT decisionmaker or the administrative law judge assigned to the proceeding, as appropriate, may:
(1) Before the expiration of the prescribed period, with or without notice, extend such period, or
(2) Upon motion, permit the act to be done after the expiration of the specified period, where good cause for the failure to act on time is clearly shown.
(b) Except where an administrative law judge has been assigned to a proceeding, requests for continuance or extensions of time, as described in paragraph (a) of this section, shall be directed to the DOT decisionmaker. Requests for continuances and extensions of time may be directed to the Chief Administrative Law Judge in the absence of the administrative law judge assigned to the proceeding.
(a) In addition to the persons set forth in § 302.2, in hearing cases, parties
(b) Upon motion and for good cause shown, the Department may order a substitution of parties, except that in case of the death of a party, substitution may be ordered without the filing of a motion.
(c) An association composed entirely or in part of air carriers may participate in any proceedings of the Department to which the Department's procedural regulations apply if the association represents members that are identified in any documents filed with the Department, and that have specifically authorized the positions taken by the association in that proceeding. The specific authorizations may be informal and evidence of them shall be provided only upon request of the Department. Upon motion of any interested person or upon its own initiative, the Department may issue an order requiring an association to withdraw from a case on the grounds of significant divergence of interest or position within the association.
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(a)
(b)
(c)
(d)
(1) The motion shall include:
(i) An index listing the information or document sought to be withheld by an identifying number, and including its title, description and number of pages, and, if relevant, the specific location within a document;
(ii) A statement explaining how and why the information falls within one or more of the exemptions from the Freedom of Information Act (5 U.S.C. 552(b)(1)-(9)); and
(iii) A statement explaining how and why public disclosure of the information would adversely affect the interests of the objecting persons and is not required in the interest of the public.
(2) Such motion shall be filed with the person conducting the proceeding, or with the person with whom said application, report, or submission is required to be filed. Such motion will be denied when the complete justification required by this paragraph is not provided.
(3) During the pendency of such motion, the ruling official may, by notice or order, allow limited disclosure to parties' representatives, for purposes of participating in the proceeding, upon submission by them of affidavits swearing to protect the confidentiality of the documents at issue.
(e)
(f)
(a)
(b)
(c)
(a)
(i) Any interested person may file a petition for reconsideration of any interlocutory order issued by the Department that institutes a proceeding; and
(ii) Any party to a proceeding may file a petition for reconsideration, rehearing, or reargument of final orders issued by the Department (
(2) Unless otherwise provided, petitions for reconsideration shall be filed, in the case of a final order, within twenty (20) days after service thereof, and, in the case of an interlocutory order, within ten (10) days after service. However, neither the filing nor the granting of such a petition shall operate as a stay of such final or interlocutory order unless specifically so ordered by the DOT decisionmaker. Within ten (10) days after a petition for reconsideration, rehearing, or reargument is filed, any party to the proceeding may file an answer in support of or in opposition. Motions for extension of time to file a petition or answer, and for leave to file a petition or answer after the time for the filing has expired, will not be granted except on a showing of unusual and exceptional circumstances, constituting good cause for the movant's inability to meet the established procedural dates.
(b)
(c)
In cases where oral evidentiary hearing procedures will not be used, § 302.17 through § 302.37, relating to hearing procedures, shall not be applicable except to the extent that the DOT decisionmaker shall determine that the application of some or all of such rules in the particular case will be conducive to the proper dispatch of its business and to the public interest. References in these and other sections of this part to powers or actions by administrative law judges shall not apply.
Any interested person may petition the Department for the issuance, amendment, modification, or repeal of any regulation, subject to the provisions of part 5, Rulemaking Procedures, of the Office of the Secretary regulations (49 CFR 5.1
(a)
(i) To give notice concerning and to hold hearings;
(ii) To administer oaths and affirmations;
(iii) To examine witnesses;
(iv) To issue subpoenas and to take or cause depositions to be taken;
(v) To rule upon offers of proof and to receive relevant evidence;
(vi) To regulate the course and conduct of the hearing;
(vii) To hold conferences before or during the hearing for the settlement or simplification of issues;
(viii) To rule on motions and to dispose of procedural requests or similar matters;
(ix) To make initial or recommended decisions as provided in § 302.31;
(x) To take any other action authorized by this part or by the Statute.
(2) The administrative law judge shall have the power to take any other action authorized by part 385 of this chapter or by the Administrative Procedure Act.
(3) The administrative law judge assigned to a particular case is delegated the DOT decisionmaker's function of making the agency decision on the substantive and procedural issues remaining for disposition at the close of the hearing in such case, except that this delegation does not apply in cases where the record is certified to the DOT decisionmaker, with or without an initial or recommended decision by the administrative law judge, or in cases requiring Presidential approval under section 41307 of the Statute. This delegation does not apply to the review of rulings by the administrative law judge on interlocutory matters that have been appealed to the DOT decisionmaker in accordance with the requirements of § 302.11.
(4) The administrative law judge's authority in each case will terminate either upon the certification of the record in the proceeding to the DOT decisionmaker, or upon the issuance of an initial or recommended decision, or when he or she shall have withdrawn from the case upon considering himself or herself disqualified.
(b)
(a)
(b)
(1) Decisions of the senior career official are subject to review by, and at the discretion of, the Assistant Secretary for Aviation and International Affairs. Petitions for discretionary review of decisions of the senior career official will not be entertained. A notice of review by the Assistant Secretary will establish the procedures for review. Unless a notice of review is issued, the decision of the senior career official will be issued as a final decision of the Department and will be served fourteen (14) days after it is adopted by the senior career official.
(2) Final decisions of the senior career official may be reviewed upon a petition for reconsideration filed pursuant to § 302.14. Such a petition shall state clearly the basis for requesting reconsideration and shall specify any questions of national transportation policy that may be involved. The Assistant Secretary will either grant or deny the petition.
(3) Upon review or reconsideration, the Assistant Secretary may either affirm the decision or remand the decision to the senior career official for further action consistent with such order of remand.
(4) Subject to the provisions of paragraphs (b)(1) through (3) of this section, final decisions of the senior career official will be transmitted to the President of the United States when required under 49 U.S.C. 41307.
(c)
Any person, including any State, subdivision thereof, State aviation commission, or other public body, may appear at any hearing, other than in an enforcement proceeding, and present any evidence that is relevant to the issues. With the consent of the administrative law judge or the DOT decisionmaker, such person may also cross-examine witnesses directly. Such persons may also present to the administrative law judge a written statement on the issues involved in the proceeding. Such written statements shall be filed and served on all parties prior to the close of the hearing.
(a)
(b)
(1) The nature of the petitioner's right under the statute to be made a party to the proceeding;
(2) The nature and extent of the property, financial or other interest of the petitioner;
(3) The effect of the order that may be entered in the proceeding on petitioner's interest;
(4) The availability of other means whereby the petitioner's interest may be protected;
(5) The extent to which petitioner's interest will be represented by existing parties;
(6) The extent to which petitioner's participation may reasonably be expected to assist in the development of a sound record; and
(7) The extent to which participation of the petitioner will broaden the issues or delay the proceeding.
(c)
(2)
(i) A petition to intervene shall be filed with the Department prior to the first prehearing conference, or, in the event that no such conference is to be held, not later than fifteen (15) days prior to the hearing.
(ii) A petition to intervene filed by a city, other public body, or a chamber of commerce shall be filed with the Department not later than the last day prior to the beginning of the hearing.
(iii) A petition to intervene that is not timely filed shall be dismissed unless the petitioner shall clearly show good cause for his or her failure to file such petition on time.
(3)
(4)
(d)
(a) Any party to a proceeding may appear and be heard in person or by a designated representative.
(b) No register of persons who may practice before the Department is maintained and no application for admission to practice is required.
(c) Any person practicing or desiring to practice before the Department may, upon hearing and good cause shown, be suspended or barred from practicing.
(a)
(1) Matters that the DOT decisionmaker can consider without the necessity of proof;
(2) Admissions of fact and of the genuineness of documents;
(3) Requests for documents;
(4) Admissibility of evidence;
(5) Limitation of the number of witnesses;
(6) Reducing of oral testimony to exhibit form;
(7) Procedure at the hearing; and
(8) Use of electronic media as a basis for exchange of briefs, hearing transcripts and exhibits, etc., in addition to the official record copy.
(b)
(c)
The administrative law judge to whom the case is assigned or the DOT decisionmaker shall give the parties reasonable notice of a hearing or of the change in the date and place of a hearing and the nature of such hearing.
(a)
(b)
(c)
(d)
(e)
(f)
(1) The portion is specified with particularity in such manner as to be readily identified;
(2) The party offering the same agrees unconditionally to supply such copies later, or when required by the DOT decisionmaker;
(3) The parties represented at the hearing stipulate upon the record that such portion may be incorporated by reference, and that any portion offered by any other party may be incorporated by like reference upon compliance with paragraphs (f)(1) and (2) of this section; and
(4) The administrative law judge directs such incorporation or waives the requirement in paragraph (f)(3) of this section with the consent of the parties.
(g)
(i) Air carrier certificates or applications therefor, together with any requests for amendment, and pleadings responding to applications when properly filed.
(ii) All Form 41 reports required to be filed by air carriers with the Department.
(iii) Reports of Traffic and Financial Data of all U.S. Air Carriers issued by the Civil Aeronautics Board (CAB) or the Department.
(iv) Airline Traffic Surveys and Passenger Origin-Destination Surveys, Domestic and International, compiled by the CAB or the Department and published and/or made available either to the public or to parties in proceedings.
(v) Compilations of data relating to competition in the airline industry and made available to the public by the CAB or the Department, such as the 1990 Airline Competition Study.
(vi) Passenger, mail, express, and freight data submitted to the CAB or the Department as part of ER-586 Service Segment Data by U.S. carriers, or similar data submitted to the Department by U.S. air carriers (T-100) or by foreign air carriers (T-100F) that is not confidential.
(vii) All tariffs, including the electronic versions, and amendments thereof, of all air carriers, on file with the Department.
(viii) Service Mail Pay and Subsidy for U.S. Certificated Air Carriers published by the CAB and any supplemental data and subsequent issues published by the CAB or the Department.
(ix) Airport Activity Statistics of Certificated Air Carriers compiled and published by the Federal Aviation Administration (FAA) or the Department.
(x) Air Traffic Activity Data issued by the FAA.
(xi) National Plan of Integrated Airport Systems (NPIAS) issued by the FAA.
(xii) Airport Facilities Directory, Form 5010, issued by the FAA.
(xiii) The Airman's Information Manual issued by the FAA.
(xiv) ICAO Statistical Summary, Preliminary Issues and Nos. 1 through 14, and Digest of Statistics, Nos. 15 through 71, prepared by ICAO, Montreal, Canada, with all changes and additions.
(xv) Monthly, quarterly and annual reports of the Immigration and Naturalization Service, U.S. Department of Justice.
(xvi) All forms and reports required by the U.S. Postal Service to be filed by air carriers authorized to transport mail.
(xvii) All orders of the Postmaster General designating schedules for the transportation of mail.
(xviii) Publications of the Bureau of the Census of the U.S. Department of Commerce (DOC) relating, but not necessarily limited, to population, manufacturing, business, statistics, and any yearbooks, abstracts, or similar publications published by DOC.
(xix) ABC World Airways Guide and all Official Airline Guides, including the North American, Worldwide, All-Cargo and quick reference editions, including electronic versions.
(xx) Official Guide of the Railways and Russell's Official National Motor Coach Guide.
(xxi) The Rand McNally Commercial Atlas and Marketing Guide, and the Rand McNally Road Atlas, United States, Canada, and Mexico.
(xxii) Survey of Buying Power published by Sales Management Magazine.
(2) Any fact contained in a document belonging to a category enumerated in paragraph (g)(1) of this section shall be deemed to have been physically incorporated into and made part of the record in such proceedings. However, such taking of official notice shall be subject to the rights granted to any party or intervener to the proceeding under section 7(d) of the Administrative Procedure Act (5 U.S.C. 557(d)).
(3) The decisions of the Department and its administrative law judges may officially notice any appropriate matter without regard to whether or not such items are contained in a document belonging to the categories enumerated in paragraph (g)(1) of this section. However, where the decision rests on official notice of a material fact or facts, it will set forth such items with sufficient particularity to advise interested persons of the matters that have been noticed.
(h)
(i)
(j)
(a) An application for a subpoena requiring the attendance of a witness at a hearing or the production of documentary evidence may be made without notice by any party to the administrative law judge or, in the event that an administrative law judge has not been assigned to a proceeding or is not available, to the DOT decisionmaker or the Chief Administrative Law Judge, for action.
(b) An application for a subpoena shall be in duplicate except that if it is
(c) All such applications, whether written or oral, shall contain a statement or showing of general relevance and reasonable scope of the evidence sought, and shall be accompanied by two copies of a draft of the subpoena sought that, in the case of evidence, shall describe the documentary or tangible evidence to be subpoenaed with as much particularity as is feasible, or, in the case of a witness, the name of the witness and a general description of the matters concerning which the witness will be asked to testify.
(d) The administrative law judge or DOT decisionmaker considering any application for a subpoena shall issue the subpoena requested if the application complies with this section. No attempt shall be made to determine the admissibility of evidence in passing upon an application for a subpoena, and no detailed or burdensome showing shall be required as a condition to the issuance of a subpoena.
(e) Where it appears during the course of a proceeding that the testimony of a witness or documentary evidence is relevant to the issues in a proceeding, the administrative law judge, Chief Administrative Law Judge or DOT decisionmaker may issue on his or her own initiative a subpoena requiring such witness to attend and testify or requiring the production of such documentary evidence.
(f) Subpoenas issued under this section shall be served upon the person to whom directed in accordance with § 302.7(b). Any person upon whom a subpoena is served may within seven (7) days after service or at any time prior to the return date thereof, whichever is earlier, file a motion to quash or modify the subpoena with the administrative law judge or, in the event an administrative law judge has not been assigned to a proceeding or is not available, to the DOT decisionmaker or the Chief Administrative Law Judge for action. If the person to whom the motion to modify or quash the subpoena has been addressed or directed, has not acted upon such a motion by the return date, such date shall be stayed pending his or her final action thereon. The DOT decisionmaker may at any time review, upon his or her own initiative, the ruling of an administrative law judge or the Chief Administrative Law Judge denying a motion to quash a subpoena. In such cases, the DOT decisionmaker may order that the return date of a subpoena be stayed pending action thereon.
(g) The provisions of this section are not applicable to the attendance of DOT employees or the production of documentary evidence in the custody thereof at a hearing. The attendance of DOT employees and the production of documentary evidence in their custody are governed by 49 CFR Parts 9 and 7, respectively.
(a) For good cause shown, the DOT decisionmaker or administrative law judge assigned to a proceeding may order that the testimony of a witness be taken by deposition and that the witness produce documentary evidence in connection with such testimony. Ordinarily an order to take the deposition of a witness will be 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 an undue burden to other parties or in undue delay.
(b) Any party desiring to take the deposition of a witness shall make application therefor in duplicate to the administrative law judge or, in the event that an administrative law judge has not been assigned to a proceeding or is not available, to the DOT decisionmaker or Chief Administrative Law Judge, setting forth the reasons why such deposition should be taken, the name and residence of the witness, the time and place proposed for the taking of the deposition, and a general description of the matters concerning
(c) Witnesses whose testimony is taken by deposition shall be sworn or shall affirm before any questions are put to them. Each question shall be recorded and the answers shall be taken down in the words of the witness.
(d) Objections to questions or evidence shall be in short form, stating the grounds of objection relied upon, but no transcript filed by the designated officer shall include argument or debate. Objections to questions or evidence shall be noted by the designated officer upon the deposition, but he or she shall not have power to decide on the competency or materiality or relevance of evidence, and he or she shall record the evidence subject to objection. Objections to questions or evidence not made before the designated officer shall not be deemed waived unless the ground of the objection is one that might have been obviated or removed if presented at that time.
(e) The testimony shall be reduced to writing by the designated officer, or under his or her direction, after which the deposition shall be signed by the witness unless the parties by stipulation waive the signing or the witness is ill or cannot be found or refuses to sign, and certified in usual form by the designated officer. If the deposition is not signed by the witness, the designated officer shall state on the record this fact and the reason therefor. The original deposition and exhibits shall be forwarded to Department of Transportation Dockets and shall be filed in the proceedings.
(f) Depositions may also be taken and submitted on written interrogatories in substantially the same manner as depositions taken by oral examination. Ordinarily such procedure will be authorized only if necessary to achieve the purposes of an oral deposition and to serve the balance of convenience of the parties. The interrogatories shall be filed in quadruplicate with two copies of the application and a copy of each shall be served on each party. Within seven (7) days after service any party may file with the person to whom application was made two copies of his or her objections, if any, to such interrogatories and may file such cross-interrogatories as he or she desires to submit. Cross-interrogatories shall be filed in quadruplicate, and a copy thereof together with a copy of any objections to interrogatories, shall be served on each party, who shall have five (5) days thereafter to file and serve his or her objections, if any, to such cross-interrogatories. Objections to interrogatories or cross-interrogatories, shall be served on the DOT decisionmaker or the administrative law judge considering the application. Objections to interrogatories shall be made before the order for taking the deposition issues and if not so made shall be deemed waived. When a deposition is taken upon written interrogatories, and cross-interrogatories, no party shall be present or represented, and no person other than the witness, a reporter, and the designated officer shall be present at the examination of the witness, which fact shall be certified by the designated officer, who shall ask the interrogatories and cross-interrogatories to the witness in their order and reduce the testimony to writing in the witness's own words. The provisions of paragraph (e) of this section shall be applicable to depositions taken in accordance with this paragraph.
(g) All depositions shall conform to the specifications of § 302.3 except that the filing of three copies thereof shall be sufficient. Any fees of a witness, the reporter, or the officer designated to take the deposition shall be paid by the person at whose instance the deposition is taken.
(h) The fact that a deposition is taken and filed in a proceeding as provided in this section does not constitute a determination that it is admissible in evidence or that it may be used in the proceeding. Only such part or the whole of a deposition as is received in evidence shall constitute a part of the record in such proceeding upon which a decision may be based.
(a) Any person appearing as a witness in any proceeding governed by this part, whether in response to a subpoena or by request or permission of the Department, may be accompanied, represented, and advised by counsel and may be examined by that counsel after other questioning.
(b) Any person who submits data or evidence in a proceeding governed by this part, whether in response to a subpoena or by request or permission of the Department, may retain, or, on payment of lawfully prescribed costs, procure, a copy of any document so submitted or a copy of any transcript made of such testimony.
(c) No person whose attendance at a hearing or whose deposition is to be taken shall be obliged to respond to a subpoena unless upon a service of the subpoena he or she is tendered attendance fees and mileage by the party at whose instance he or she is called in accordance with the requirements of paragraphs (c)(1) and (2) of this section;
(1) Witnesses who are not salaried employees of the United States, or such employees summoned to testify on matters not related to their public employment, shall be paid the same per diem, subsistence, and mileage fees paid to witnesses for like service in the courts of the United States that are in effect at the time of travel;
(2) Witnesses who are salaried employees of the United States and who are summoned to testify on matters relating to their public employment, irrespective of at whose instance they are summoned, shall be paid in accordance with applicable Government regulations.
(a) Hearings shall be recorded and transcribed under supervision of the administrative law judge, by a reporting firm under contract with the Department. Copies of the transcript that may, at the discretion of the administrative law judge, be furnished by use of electronic media in addition to the official copy, shall be supplied to the parties to the proceeding by said reporting firm, at the contract price for copies.
(b) The administrative law judge shall determine whether “ordinary transcript” or “daily transcript” (as those terms are defined in the contract) will be necessary and required for the proper conduct of the proceeding and the Department will pay the reporting firm the cost of reporting its proceedings at the contract price for such type of transcript. If the administrative law judge has determined that ordinary transcript is adequate, and has notified the parties of such determination (in the notice of hearings, or otherwise), then any party may request reconsideration of such determination and that daily transcript be
(1) The nature of the proceeding itself;
(2) The DOT decisionmaker's needs as well as the reasonable needs of the parties;
(3) The cost to the Department; and
(4) The requirements of a fair hearing.
(c) If the administrative law judge has determined that ordinary transcript is adequate, or, upon reconsideration, has adhered to such determination, then any party may request the reporting firm to provide daily transcript. In that case, pursuant to its contract with the Department, the reporting firm will be obligated to furnish to the Department daily transcript upon the agreement by the requesting party to pay to the reporting firm an amount equal to the difference between the contract prices for ordinary transcript and daily transcript, provided that the requesting party makes such agreement with the reporting firm at least twenty-four (24) hours in advance of the date for which such transcript is requested.
(d) Any party may obtain from the Office of the Assistant Secretary for Administration, the name and address of the private reporting company with which the Department currently has a contract for transcripts and copies, as well as the contract prices then in effect for such services.
(e) Copies of transcripts ordered by parties other than the Department shall be prepared for delivery to the requesting person at the reporting firm's place of business, within the stated time for the type of transcript ordered. The requesting party and the reporting firm may agree upon some other form or means of delivery (mail, messenger, electronic media, etc.) and the reporting firm may charge for such special service, provided that such charge shall not exceed the reasonable cost of such service.
(f) Changes in the official transcript may be made only when they involve errors affecting substance. A motion to correct a transcript shall be filed with Department of Transportation Dockets, within ten (10) days after receipt of the completed transcript by the Department. If no objections to the motion are filed within ten (10) days thereafter, the transcript may, upon the approval of the administrative law judge, be changed to reflect such corrections. If objections are received, the motion and objections shall be submitted to the official reporter by the administrative law judge together with a request for a comparison of the transcript with the reporter's record of the hearing. After receipt of the report of the official reporter an order shall be entered by the administrative law judge settling the record and ruling on the motion.
(a) The administrative law judge shall give the parties to the proceeding adequate opportunity during the course of the hearing for the presentation of arguments in support of or in opposition to motions, and objections and exceptions to rulings of the administrative law judge.
(b) When, in the opinion of the administrative law judge, the volume of the evidence or the importance or complexity of the issues involved warrants, he or she may, either on his or her own motion or at the request of a party, permit the presentation of oral argument, and may impose such time limits on the argument as he or she may determine appropriate. Such argument shall be transcribed and bound with the transcript of testimony and will be available to the Department decisionmaker for consideration in deciding the case.
Within such limited time after the close of the reception of evidence fixed by the administrative law judge, any party may, upon request and under such conditions as the administrative law judge may prescribe, file for his or her consideration briefs which may include proposed findings of fact and conclusions of law that shall contain exact references to the record and authorities relied upon.
(a)
(1)
(2)
(b)
(c) Every initial or recommended decision issued shall state the names of the persons who are to be served with copies of it, the time within which exceptions to, or petitions for review of, such decision may be filed, and the time within which briefs in support of the exceptions may be filed. In addition, every such decision shall recite that it is made under delegated authority, and contain notice of the provisions of paragraph (d) of this section. In the event the administrative law judge certifies the record to the DOT decisionmaker without an initial or recommended decision, he or she shall notify the parties of the time within which to file with the DOT decisionmaker briefs which may include proposed findings of fact and conclusions of law.
(d) Unless a petition for discretionary review is filed pursuant to § 302.32, exceptions are filed pursuant to § 302.217, or the DOT decisionmaker issues an order to review upon his or her own initiative, the initial decision shall become effective as the final order of the Department thirty (30) days after service thereof; in the case of a recommended decision, that decision shall be transmitted to the President of the United States under 49 U.S.C. 41307. If a petition for discretionary review or exceptions are timely filed or action to review is taken by the DOT decisionmaker upon his or her own initiative, the effectiveness of the initial decision or the transmission of the recommended decision is stayed until the further order of the DOT decisionmaker.
(a)
(2) Petitions for discretionary review shall be filed only upon one or more of the following grounds:
(i) A finding of a material fact is erroneous;
(ii) A necessary legal conclusion is without governing precedent or is a departure from or contrary to law, the Department's rules, or precedent;
(iii) A substantial and important question of law, policy or discretion is involved; or
(iv) A prejudicial procedural error has occurred.
(3) Each issue shall be separately numbered and plainly and concisely stated. Petitioners shall not restate the same point in repetitive discussions of an issue. Each issue shall be supported by detailed citations of the record when objections are based on the record, and by statutes, regulations or principal authorities relied upon. Any matters of fact or law not argued before the administrative law judge, but that the petitioner proposes to argue on brief to the DOT decisionmaker, shall be stated.
(4) Petitions for discretionary review shall be self-contained and shall not incorporate by reference any part of another document. Except by permission of the DOT decisionmaker, petitions shall not exceed twenty (20) pages including appendices and other papers physically attached to the petition.
(5) Requests for oral argument on petitions for discretionary review will not be entertained by the DOT decisionmaker.
(b)
(c)
(d)
(2) Where the DOT decisionmaker desires further proceedings, he or she will issue an order for review that will:
(i) Specify the issues to which review will be limited. Only those issues specified in the order shall be argued on brief to the DOT decisionmaker, pursuant to § 302.35, and considered by the DOT decisionmaker;
(ii) Specify the portions of the administrative law judge's decision, if any, that are to be stayed as well as the effective date of the remaining portions thereof; and
(iii) Designate the parties to the review proceeding.
(a) Except as provided in paragraph (b) of this section, whenever the administrative law judge certifies the record in a proceeding directly to the DOT decisionmaker without issuing an initial or recommended decision in the matter, the DOT decisionmaker shall, after consideration of any briefs submitted by the parties, prepare a tentative decision and serve it upon the parties. Every tentative decision of the DOT decisionmaker shall state the names of the persons who are to receive copies of it, the time within which exceptions to such decision and briefs, if any, in support of or in opposition to the exceptions may be filed, and the date when such decision will become final in the absence of exceptions thereto. If no exceptions are filed to the tentative decision of the DOT decisionmaker within the period fixed, it shall become final at the expiration of such period unless the DOT decisionmaker orders otherwise.
(b) The DOT decisionmaker may, in his or her discretion, omit a tentative decision in proceedings under subpart
(a)
(b)
(c)
(a)
(b)
(c)
(2)
(3)
(a) If any party desires to argue a case orally before the DOT decisionmaker, he or she shall request leave to make such argument in his or her exceptions or brief. Such request shall be filed no later than the date when briefs before the DOT decisionmaker are due in the proceeding. The DOT decisionmaker will rule on such request, and, if oral argument is to be allowed, all parties to the proceeding will be advised of the date and hour set for such argument and the amount of time allowed to each party. Requests for oral argument on petitions for discretionary review will not be entertained.
(b) Pamphlets, charts, and other written data may be offered to the DOT decisionmaker at oral argument only in accordance with the following rules: All such material shall be limited to facts in the record of the case being argued and shall be served on all parties to the proceeding with four (4) copies transmitted to Department of Transportation Dockets at least five (5) calendar days in advance of the argument.
The parties to any proceeding may agree to waive any one or more of the procedural steps provided in § 302.29 through § 302.36.
When a case stands submitted to the DOT decisionmaker for final decision on the merits, he or she will dispose of the issues presented by entering an appropriate order that will include a statement of the reasons for his or her findings and conclusions. Such orders shall be deemed “final orders” within the purview of § 302.14(a), in the manner provided by § 302.18.
(a) This subpart sets forth the specific rules applicable to proceedings on:
(1) U.S. air carrier certificates of public convenience and necessity and U.S. all-cargo air service certificates under Chapter 411 of the Statute, including renewals, amendments, modifications, suspensions and transfers of such certificates.
(2) Foreign air carrier permits under Chapter 413 of the Statute, including renewals, amendments, modifications, suspensions, and transfers of such permits.
(b) Except as modified by this subpart, the provisions of subpart A of this part apply.
(a) Certificate applications filed under this subpart shall contain the information required by part 201 of this chapter and, where applicable, part 204 of this chapter, and foreign air carrier permit applications shall contain the information required by part 211 of this
(b) Applications shall include a notice on the cover page stating that any person may support or oppose the application by filing an answer and serving a copy of the answer on all persons served with the application. The notice shall also state the due date for answers. Amendments to applications will be considered new applications for the purpose of calculating the time limitations of this subsection.
(c) Applications shall include a list of the names and addresses of all persons who have been served in accordance with § 302.203.
(d) Where required, each application shall be accompanied by an Energy Statement in conformity with part 313 of this chapter.
(a)
(2) Applicants shall serve a complete copy of the application on the Manager of the FAA Flight Standards District Office responsible for processing the application for any FAA authority needed to conduct the proposed operations.
(3) After an order under § 302.210 has been issued, parties need only serve documents on those persons listed in the service list accompanying the order.
(4) In the case of an application sought to be consolidated, the applicant shall serve the notice required in paragraph (a)(1) of this section on all persons served by the original applicant.
(b)
(A) Applicants for certificates to engage in interstate air transportation and other persons who file a pleading in the docket shall serve:
(
(
(B) Applicants for certificates to engage in foreign air transportation and other persons who file a pleading in the docket shall serve:
(
(
(
(ii) In certificate proceedings involving charter-only authority under 41102(a)(3) of the Statute, applicants and other persons who file a pleading in the docket shall serve any other person who has filed a pleading in the docket.
(2)
(A) All U.S. air carriers (including commuter air carriers) that publish schedules in the
(B) The U.S. Department of State,
(C) The airport authority of each U.S. airport that the applicant initially proposes to serve, and
(D) Any other person who has filed a pleading in the docket.
(ii) In foreign air carrier permit proceedings for charter-only authority, applicants and other persons who file a pleading in the docket shall serve the U.S. Department of State and any other person who has filed a pleading in the docket.
(c)
(a) Any person may file an answer in support of or in opposition to any application. Answers shall set forth the basis for the position taken, including any economic data or other facts relied on. Except as otherwise provided in § 302.212(d), answers shall be filed within twenty one (21) days of the original or amended application and shall be served in accordance with § 302.203.
(b) Replies to answers shall be filed within fourteen (14) days after the filing of the answer.
(c) Persons having common interests shall, to the extent practicable, arrange for the joint preparation of pleadings.
Whenever economic data and other facts are provided in any pleading, such information shall include enough detail so that final results can be obtained without further clarification. Sources, bases, and methodology used in constructing exhibits, including any estimates or judgments, shall be provided.
Any pleading filed under this subpart shall include a certification as provided in § 302.4(b).
(a) Applications under this subpart will be decided on the basis of written submissions unless the DOT decisionmaker, on petition as provided in § 302.208 or on his or her own initiative, determines that an oral presentation or an administrative law judge's decision is required because:
(1) Use of written procedures will prejudice a party;
(2) Material issues of decisional fact cannot adequately be resolved without oral evidentiary hearing procedures; or
(3) Assignment of an application for oral evidentiary hearing procedures or an initial or recommended decision by an administrative law judge is otherwise required by the public interest.
(b) The standards employed in deciding cases under § 302.210(a)(1) or (5) shall be the same as the standards applied in cases decided under § 302.210(a)(4). These are the standards set forth in the Statute as interpreted and expanded upon under that Statute.
(a) Any person may file a petition for oral evidentiary hearing, oral argument, an initial or recommended decision, or any combination of these. Petitions shall demonstrate that one or more of the criteria set forth in § 302.207 are applicable to the issues for which an oral presentation or judge's decision is requested. Such petitions shall be supported by a detailed explanation of the following:
(1) Why the evidence or argument to be presented cannot be submitted in the form of written evidence or briefs;
(2) Which issues should be examined by an administrative law judge and why such issues should not be presented directly to the DOT decisionmaker for decision;
(3) An estimate of the time required for the oral presentation and the number of witnesses whom the petitioner would present; and
(4) If cross-examination of any witness is desired, the name of the witness, if known, the subject matter of the desired cross-examination or the title or number of the exhibit to be cross-examined, what the petitioner expects to establish by the cross-examination, and an estimate of the time needed for it.
(b) Petitions for an oral hearing, oral argument, or an administrative law judge's decision shall be filed no later than the due date for answers in proceedings governed by § 302.211, § 302.212
(c) Where a stipulation of disputed facts would eliminate the need for an oral presentation or an administrative law judge's decision, parties shall include in their petitions an offer to withdraw the request should the stipulation be made.
Within twenty-eight (28) days after the filing of an application under this subpart, the DOT decisionmaker may defer further processing of the application until all of the information necessary to process that application is submitted. The time periods contained in this subpart with respect to the disposition of the application shall not begin to run until the application is complete. In addition, the DOT decisionmaker may defer action on a foreign air carrier permit application for foreign policy reasons.
(a)
(1) Issue an Order to Show Cause why the application should not be granted, denied or dismissed, in whole or in part.
(2) Issue a Final Order granting the application if the DOT decisionmaker determines that there are no material issues of fact that warrant further procedures for their resolution.
(3) Issue a Final Order dismissing or rejecting the application for lack of prosecution or if the application does not comply with this subpart or is otherwise materially deficient.
(4) Issue an order setting the application for oral evidentiary hearing. The order will establish the scope of the issues to be considered and the procedures to be employed, and will indicate whether one or more attorneys from the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings will participate as a party. All of the procedures set forth in § 302.214 through § 302.218 will apply unless the DOT decisionmaker decides otherwise.
(5) Begin to make a determination with respect to the application under simplified procedures without oral evidentiary hearing. In this event, the DOT decisionmaker may indicate which, if any, of the procedural steps set forth in § 302.215 through § 302.219 will be employed. The DOT decisionmaker may also indicate that other non-oral evidentiary hearing procedures will be employed.
(b)
(c)
(a)
(b)
(a)
(b)
(c)
(d)
(e)
(a)
(b)
(c)
If the DOT decisionmaker determines under § 302.210(a)(4) that an oral evidentiary hearing should be held, the application or applications will be set for oral hearing before an administrative law judge. The issues will be those set forth in the order establishing further procedures. The procedures in § 302.17 to § 302.38 governing the conduct of oral evidentiary hearings will apply.
Briefs to the administrative law judge shall be filed within the following periods, as applicable:
(a) Fourteen (14) days after the close of the oral evidentiary hearing, unless the administrative law judge determines that, under the circumstances of the case, briefs are not necessary or that the parties will require more time to prepare briefs; or
(b) Fourteen (14) days after the filing of additional evidence called for in the order establishing further procedures if no oral evidentiary hearing is called for, unless the DOT decisionmaker determines that some other period should be allowed.
(a) In a case that has been set for oral evidentiary hearing under § 302.210(a)(4), the administrative law judge shall adopt and serve an initial or recommended decision within one hundred thirty-six (136) days after the issuance of the order establishing further procedures unless:
(1) The DOT decisionmaker, having found extraordinary circumstances, has by order delayed the initial or recommended decision by a period of not more than thirty (30) days; or
(2) An applicant has failed to meet the procedural schedule adopted by the judge or the DOT decisionmaker. In this case, the administrative law judge may, by notice, extend the due date for the issuance of an initial or recommended decision for a period not to exceed the period of delay caused by the applicant.
(b) In a case in which some of the issues have not been set for oral hearing under § 302.210(a)(4), the administrative law judge shall adopt and serve an initial or recommended decision within the time established by the DOT decisionmaker in the order establishing further procedures, except that that due date may be extended in accordance with paragraph (a)(2) of this section.
(c) The initial or recommended decision shall be issued by the administrative law judge fourteen (14) days after it is served. Unless exceptions are filed under § 302.217 or the DOT decisionmaker issues an order to review on his or her own initiative, an initial decision shall become effective as the final order of the Department the day it is issued. Where exceptions are timely filed or the DOT decisionmaker takes action to review on his or her own initiative, the effectiveness of the initial decision is stayed until further order of the DOT decisionmaker.
(d) In all other respects, the provisions of § 302.31 shall apply.
(a) Within seven (7) days after service of any initial or recommended decision of an administrative law judge, any party may file exceptions to the decision with the DOT decisionmaker.
(b) If timely and adequate exceptions are filed, review of the initial or recommended decision is automatic.
(c) In all other respects, the provisions of § 302.34 shall apply.
(a) In a case in which an initial or recommended decision has been served and exceptions have been filed, any party may file a brief in support of or in opposition to any exceptions. Such briefs shall be filed within fourteen (14) days after service of the initial or recommended decision.
(b) In a case in which no exceptions have been filed, briefs shall not be filed unless the DOT decisionmaker has taken review of the initial or recommended decision on his or her own initiative and has specifically provided for the filing of such briefs.
(c) In all other respect, the provisions of § 302.35 shall apply.
If the order establishing further procedures provides for an oral argument, or if the DOT decisionmaker otherwise decides to hear oral argument, all parties will be notified of the date and hour set for that argument and the amount of time allowed each party. The provisions of § 302.36(b) shall also apply.
In addition to the provisions of § 302.38, the following provisions shall apply:
(a) In the case of a certificate application that has been set for oral evidentiary hearing under § 302.210(a)(4), the Department will issue its final order within ninety (90) days after the initial or recommended decision is issued. If an application has failed to meet the procedural schedule established by the Department, the DOT decisionmaker may, by notice, extend the date for a final decision for a period equal to the period of delay caused by the applicant.
(b) If the DOT decisionmaker does not act in the time period established in paragraph (a) of this section:
(1) in the case of an application for a certificate to engage in foreign air transportation, the recommended decision shall be transmitted to the President of the United States under 49 U.S.C. 41307; or
(2) in the case of an application not subject to review by the President of the United States, the initial decision shall become effective as the final order of the Department.
(c) In the case of a certificate application that has been processed under § 302.210(a)(1) or (5), the Department will issue its final order within one hundred eighty (180) days after the order establishing further procedures. If an applicant has failed to meet the procedural schedule established by the Department, the DOT decisionmaker may, by notice, extend the due date for a final decision for a period equal to the period of delay caused by the applicant.
(a) This subpart sets forth the specific rules applicable to proceedings for exemptions under sections 40109 and 41714 of the Statute, including the granting of emergency exemptions, as well as applications for frequency allocations and other limited authority under international agreements. Except as modified by this subpart, the provisions of subpart A of this part apply.
(b) Proceedings for the issuance of exemptions by regulation are subject to the provisions governing rulemaking.
(a) Except as provided in paragraphs (b) and (c) of this section, applications for exemption shall conform to the requirements of §§ 302.3 and 302.4.
(b) Applications for exemption from section 41101 or 41301 of the Statute (including those that incorporate an exemption from section 41504) that involve ten (10) or fewer flights may be submitted to the U.S. Air Carrier Licensing Division or the Foreign Air Carrier Licensing Division (as appropriate), Office of International Aviation, on OST Form 4536. However, that form may not be used for:
(1) Applications filed under section 40109(g) of the Statute;
(2) Applications by persons who do not have either:
(i) An effective air carrier certificate or foreign air carrier permit from the Department, or
(ii) A properly completed application for such a certificate or permit, and an effective exemption from the Department for operations similar to those proposed;
(3) Successive applications for the same or similar authority that would total more than ten (10) flights; or
(4) Any other application for which the Department decides the requirements of §§ 302.3 and 302.4 are more appropriate. Upon a showing of good cause, an application may be filed by cablegram, telegram, facsimile, electronic mail (when available), or telephone; all such telephonic requests must be confirmed by written application within three (3) business days of the original request.
(c) Applications for exemption from Chapter 415 of the Statute, from tariffs (except for waivers filed under subpart Q of part 221 of this chapter), or from Department regulations concerning tariffs may be submitted by letter. Three copies of such applications shall be sent to Department of Transportation Dockets. Upon a showing of good cause, the application may also be filed by cablegram, telegram, facsimile, electronic mail (when available), or telephone; all such requests must be confirmed by written application within three (3) business days of the original request.
(d) Applications filed under paragraph (a) of this section shall be docketed and any additional documents filed shall be identified by the assigned docket number.
(e) Applications filed under paragraph (b) or (c) of this section will normally not be docketed. The Department may require such applications to
(a)
(b)
(1) The section(s) of the Statute or the rule, regulation, term, condition, or limitation from which the exemption is requested;
(2) The proposed effective date and duration of the exemption;
(3) A description of how the applicant proposes to exercise the authority (for example, applications for exemption from section 41101 or 41301 of the Statute should include at least: places to be served; equipment types, capacity and source; type and frequency or service; and other operations that the proposed service will connect with or support); and
(4) Any other facts the applicant relies upon to establish that the proposed service will be consistent with the public interest.
(c)
(i) A statement of economic data, or other matters or information that the applicant desires the Department to officially notice;
(ii) Affidavits, or statements under penalty of 18 U.S.C. 1001, establishing any other facts the applicant wants the Department to rely upon; and
(iii) Information showing the applicant is qualified to perform the proposed services.
(2) In addition to the information required by paragraph (c)(1) of this section, an application for exemption from section 41101 or 41301 of the Statute (except exemptions under section 40109(g)) shall state whether the authority sought is governed by a bilateral agreement or by principles of comity and reciprocity. Applications by foreign carriers shall state whether the applicant's homeland government grants U.S. carriers authority similar to that requested. If so, the application shall state whether the fact of reciprocity has been established by the Department and cite the pertinent finding. If the fact of reciprocity has not been established by the Department, the application shall include documentation to establish such reciprocity.
(d)
(1) Because of an emergency created by unusual circumstances not arising in the normal course of business, traffic in the markets requested cannot be accommodated by air carriers holding certificates under section 41102 of the Statute;
(2) All possible efforts have been made to accommodate the traffic by using the resources of such air carriers (including, for example, the use of foreign aircraft, or sections of foreign aircraft, under lease or charter to such air carriers, and the use of such air carriers' reservation systems to the extent practicable);
(3) The authority requested is necessary to avoid unreasonable hardship for the traffic in the market that cannot be accommodated by air carriers; and
(4) In any case where an inability to accommodate traffic in a market results from a labor dispute, the grant of the requested exemption will not result in an unreasonable advantage to any party in the dispute.
(e)
(f)
(a)
(2) Applicants shall serve on the persons listed in paragraph (b) of this section a complete copy of the application and any supporting documents. Responsive pleadings shall be served on the same persons as applications.
(b)
(i) All U.S. air carriers (including commuter air carriers) that publish schedules in the
(ii) The airport authority of each U.S. airport that the applicant proposes to serve, and
(iii) Any other person who has filed a pleading in a related proceeding under section 41102, 41302, or 40109 of the Statute.
(2) Applicants for scheduled foreign air transportation authority shall serve:
(i) All U.S. air carriers (including commuter air carriers) that publish schedules in the
(ii)The airport authority of each U.S. airport that the applicant proposes to serve, and
(iii) Any other person who has filed a pleading in a related proceeding under section 41102, 41302, or 40109 of the Statute.
(3) Applicants for charter-only or nonscheduled-only authority shall serve any person who has filed a pleading in a related proceeding under section 41102, 41302, or 40109 of the Statute. However, applicants that file fewer than sixteen (16) days prior to the proposed start of service must also serve:
(i) Those U.S. carriers (including commuter carriers) that are known to be operating in the general market(s) at issue and
(ii) Those persons who may be presumed to have an interest in the subject matter of the application.
(4) Applicants for slot exemptions under section 41714 of the Statute shall serve:
(i) All U.S. air carriers (including commuter air carriers) that publish schedules in the
(ii) The manager of each of the affected airports,
(iii) The mayor of the city that each affected airport serves,
(iv) The Governor of the State in which each affected airport is located, and
(v) Any other person who has filed a pleading in a related proceeding under section 41714 of the Statute.
(5)
A copy of every docketed application for exemption shall be posted in Department of Transportation Dockets and listed in the Department's Weekly List of Applications Filed. A copy of every undocketed application shall be posted in the Licensing Division's lobby of the Office of International Aviation.
(a)
(b)
Within fifteen (15) days after the filing of an application for exemption, any person may file an answer in support of or in opposition to the grant of a requested exemption. Such answer shall set forth in detail the reasons why the exemption should be granted or denied. An answer shall include a statement of economic data or other matters the Department is requested
Within seven (7) days after the last day for filing an answer, any interested party may file a reply to one or more answers.
The Department will not normally conduct oral evidentiary hearings concerning applications for exemption. However, the Department may, in its discretion, order such a hearing on an application. Any applicant, or any person opposing an application, may request an oral evidentiary hearing. Such a request shall set forth in detail the reasons why the filing of affidavits or other written evidence will not permit the fair and expeditious disposition of the application. A request relying on factual assertions shall be accompanied by affidavits establishing such facts. If the Department orders an oral evidentiary hearing, the procedures in subpart A of this part shall apply.
The Department may grant exemptions on its own initiative when it finds that such exemptions are required by the circumstances and consistent with the public interest.
(a)
(b)(1)
(2)
(c)
This subpart contains the specific rules that apply to Department proceedings to enforce the provisions of Subtitle VII of the Statute, and the rules, regulations, orders and other requirements issued by the Department, as well as the filing of informal and formal complaints. Except as modified by this subpart, the provisions of subpart A of this part apply.
Any person may submit in writing to the Assistant General Counsel an informal complaint with respect to anything done or omitted to be done by any person in contravention of any provision of the Statute or any requirement established thereunder. Such informal complaints need not otherwise comply with the provisions of this part. Matters so presented may, if their nature warrants, be handled by correspondence or conference with the appropriate persons. Any matter not disposed of informally may be made the subject of an enforcement proceeding pursuant to this subpart. The filing of an informal complaint shall not bar the subsequent filing of a formal complaint.
(a)
(b)
(c)
(d)
(e)
(a)
(b)
(c)
(a) Within a reasonable time after an answer to a formal complaint is filed, the Assistant General Counsel shall either:
(1) Issue a notice instituting a formal enforcement proceeding in accordance with § 302.407 or
(2) Issue an order dismissing the complaint in whole or in part, stating the reasons for such dismissal.
(b) An order dismissing a complaint issued pursuant to paragraph (a)(2) of this section shall become effective as a final order of the Department thirty (30) days after service thereof.
(c) Whenever the Assistant General Counsel has failed to act on a formal complaint within a reasonable time after an answer is due, the following motions may be addressed to the Deputy General Counsel:
(1) By the complainant to institute an enforcement proceeding by docketing the complaint upon a showing that it is in the public interest to do so; and
(2) By the respondent to dismiss the complaint upon a showing that it is in the public interest to do so.
(d) The Deputy General Counsel may grant, deny, or defer any of the motions, in whole or in part, and take appropriate action to carry out his or her decision.
(a) Whenever in the opinion of the Assistant General Counsel there are reasonable grounds to believe that any economic regulatory provision of the Statute, or any rule, regulation, order, limitation, condition, or other requirement established pursuant thereto, has been or is being violated, that efforts to satisfy a complaint as provided by § 302.405 have failed, and that the investigation of any or all of the alleged violations is in the public interest, the Assistant General Counsel may issue a notice instituting an enforcement proceeding before an administrative law judge.
(b) The notice shall incorporate by reference the formal complaint submitted pursuant to § 302.404 or shall be accompanied by a complaint by an attorney from the Office of the Assistant General Counsel. The notice and accompanying complaint, if any, shall be formally served upon each respondent and each complainant.
(c) The proceedings thus instituted shall be processed in regular course in accordance with this part. However, nothing in this part shall be construed to limit the authority of the Department to institute or conduct any investigation or inquiry within its jurisdiction in any other manner or according to any other procedures that it may deem necessary or proper.
(d) Whenever the Assistant General Counsel seeks an assessment of civil penalties in an enforcement proceeding, he or she shall serve on all parties to the proceeding a notice of the violations alleged and the amount of penalties for which the respondent may be liable. The notice may be included in the notice instituting a formal enforcement proceeding or in a separate document.
(e) In any proceeding in which civil penalties are sought, any decisions issued by the Department shall state the amount of any civil penalties assessed upon a finding of violation, and the time and manner in which payment shall be made to the United States.
(a) Within fifteen (15) days after the date of service of a notice issued pursuant to § 302.407, the respondent shall file an answer to the complaint attached thereto or incorporated therein unless an answer has already been filed in accordance with § 302.405. Any requests for extension of time for filing of an answer to such complaint shall be filed in accordance with § 302.11.
(b) All answers shall be served in accordance with § 302.7 and shall fully and completely advise the parties and the
(c) The DOT decisionmaker or the administrative law judge may, in his or her discretion, require or permit the filing of a reply in appropriate cases; otherwise, no reply may be filed.
Failure of a respondent to file and serve an answer within the time and in the manner prescribed by § 302.408 shall be deemed to authorize the DOT decisionmaker or administrative law judge, as a matter of discretion, to find the facts alleged in the complaint incorporated in or accompanying the notice instituting a formal enforcement proceeding to be true and to enter such orders as may be appropriate without notice or hearing, or, as a matter of discretion, to proceed to take proof, without notice, of the allegations or charges set forth in the complaint or order;
The DOT decisionmaker or Chief Administrative Law Judge may, upon his or her own initiative, or upon motion of any party, consolidate for hearing or for other purposes, or may contemporaneously consider, two or more enforcement proceedings that involve substantially the same parties or issues that are the same or closely related, if he or she finds that such consolidation or contemporaneous hearing will be conducive to the dispatch of business and to the ends of justice and will not unduly delay the proceedings.
(a) At any time after an answer has been filed, any party may file with the DOT decisionmaker or the administrative law judge a motion to dismiss or a motion for summary judgment, including supporting affidavits. The procedure on such motions shall be in accordance with the Federal Rules of Civil Procedure (28 U.S.C.), particularly Rules 6(d), 7(b), 12, and 56, except that answers and supporting papers to a motion to dismiss or for summary judgment shall be filed within seven (7) days after service of the motion.
(b) Parties may petition the DOT decisionmaker to review any action by the administrative law judge granting summary judgment or dismissing an enforcement proceeding under the procedure established for review of an initial decision in § 302.32.
(a) At any time after an answer has been filed, any party may file with the DOT decisionmaker or administrative law judge and serve upon the opposing side a written request for the admission of the genuineness and authenticity of any relevant documents described in and exhibited with the request or for the admission of the truth of any relevant matters of fact stated in the request with respect to such documents.
(b) Each of the matters of which an admission is requested shall be deemed admitted unless within a period designated in the request, not less than ten (10) days after service thereof, or within such further time as the DOT decisionmaker or the administrative law judge may allow upon motion and notice, the party to whom the request is directed serves upon the requesting party a sworn statement either denying specifically the matters of which an admission is requested or setting forth in detail the reasons why he or she cannot truthfully either admit or deny such matters.
(c) Service of such request and answering statement shall be made as provided in § 302.7. Any admission made by a party pursuant to such request is only for the purposes of the pending proceeding, or any proceeding or action instituted for the enforcement of any order entered therein, and shall not constitute an admission by him or her for any other purpose or be used against him or her in any other proceeding or action.
Evidence of previous violations by any person or of any provision of the Statute or any requirement thereunder found by the Department or a court in any other proceeding or criminal or civil action may, if relevant and material, be admitted in any enforcement proceeding involving such person.
A prehearing conference may be held in an enforcement proceeding whenever the administrative law judge believes that the fair and expeditious disposition of the proceeding requires one. If a prehearing conference is held, it shall be conducted in accordance with § 302.22.
After the issues have been formulated, whether by the pleadings or otherwise, the administrative law judge shall give the parties reasonable written notice of the time and place of the hearings. Except as may be modified by the provisions of this subpart, the procedures in § 302.17 to § 302.38 governing the conduct of oral evidentiary hearings will apply.
With consent of the administrative law judge, appearances may be entered without request for or grant of permission to intervene by interested persons who are not parties to the proceeding. Such persons may, with the consent of the administrative law judge, cross-examine a particular witness or suggest to any party or counsel therefor questions or interrogations to be asked witnesses called by any party, but may not otherwise examine witnesses and may not introduce evidence or otherwise participate in the proceeding. However, such persons may present to both the administrative law judge and the DOT decisionmaker an oral or written statement of their position on the issues involved in the proceeding.
(a) The Deputy General Counsel and the respondent may agree to settle all or some of the issues in an enforcement proceeding at any time before a final decision is issued by the DOT decisionmaker. The Deputy General Counsel shall serve a copy of any proposed settlement on each party and shall submit the proposed settlement to the administrative law judge for approval. The submission of a proposed settlement shall not automatically delay the proceeding.
(b) Any party to the proceeding may submit written comments supporting or opposing the proposed settlement within ten (10) days from the date of service.
(c) The administrative law judge shall approve the proposed settlement, as submitted, if it appears to be in the public interest, or otherwise shall disapprove it.
(d) Information relating to settlement offers and negotiations will be withheld from public disclosure if the Deputy General Counsel determines that disclosure would interfere with the likelihood of settlement of an enforcement proceeding.
All motions for the suspension of the economic operating authority of an air carrier during the pendency of proceedings to revoke such authority shall be filed with, and decided by, the DOT decisionmaker. Proceedings on the motion shall be in accordance with § 302.11. In addition, the DOT decisionmaker shall afford the parties an opportunity for oral argument on such motion.
Whenever any party to a proceeding, in which an order of the Department has been issued pursuant to section 46101 of the Statute or an injunction or other form of enforcement action has been issued by a court of competent jurisdiction pursuant to section 46106 of the Statute, believes that changed conditions of fact or law or the public interest require that said order or judicial action be modified or set aside, in whole or in part, such party may file with the Department a motion requesting that the Department take such administrative action or join in applying to the appropriate court for such judicial action, as the case may be. The motion shall state the changes desired and the changed circumstances warranting such action, and shall include the materials and argument in support thereof. The motion shall be served on each party to the proceeding in which the enforcement action was taken. Within thirty (30) days after the service of such motion, any party so served may file an answer thereto. The Department shall dispose of the motion by such procedure as it deems appropriate.
Repeal, revision or amendment of any of the economic regulatory provisions of the Statute or of the Department's rules, regulations, orders, or other requirements shall not affect any pending enforcement proceeding or any enforcement proceeding initiated thereafter with respect to causes arising or acts committed prior to said repeal, revision or amendment, unless the act of repeal, revision or amendment specifically so provides.
This subpart sets forth the special rules applicable to proceedings with respect to rates, fares and charges in foreign air transportation under Chapter 415 of the Statute. Except as modified by this subpart, the provisions of subpart A apply.
A proceeding to determine the lawfulness of rates, fares, or charges for the foreign air transportation of persons or property by aircraft, or the lawfulness of any classification, rule, regulation, or practice affecting such rates, fares or charges, may be instituted by the filing of a petition or complaint by any person, or by the issuance of an order by the Department.
(a) If a petition or complaint is filed it shall state the reasons why the rates, fares, or charges, or the classification, rule, regulation, or practice complained of are unlawful and shall support such reasons with a full factual analysis.
(b) A petition or complaint shall be served by the petitioner or complainant upon the air carrier against whose tariff provision the petition or complaint is filed.
(c) Answers to complaints, other than those filed under § 302.506, shall be filed within seven (7) working days after the complaint is filed.
If the Department is of the opinion that a petition or complaint does not state facts that warrant an investigation or action on its part, it may dismiss such petition or complaint without hearing.
The Department, on its own initiative, or if it is of the opinion that the facts stated in a petition or complaint warrant it, may issue an order instituting an investigation of the lawfulness of any present or proposed rates, fares, or charges for the foreign air transportation of persons or property by aircraft or the lawfulness of any classification, rule, regulation, or practice affecting such rates, fares, or charges, and may assign the proceeding for hearing before an administrative law judge. If a hearing is held, except
(a) Formal complaints seeking suspension of tariffs pursuant to section 41509 of the Statute shall fully identify the tariff and include reference to:
(1) The issued or posting date,
(2) The effective date,
(3) The name of the publishing carrier or agent,
(4) The Department number, and
(5) Specific items or particular provisions protested or complained against. The complaint should indicate in what respect the tariff is considered to be unlawful, and state what complainant suggests by way of substitution.
(b) A complaint requesting suspension of a tariff ordinarily will not be considered unless made in conformity with this section and filed no more than ten (10) days after the issued date contained within such tariff.
(c) A complaint requesting suspension, pursuant to section 41509 of the Statute, of an existing tariff for foreign air transportation may be filed at any time. However, such a complaint must be accompanied by a statement setting forth compelling reasons for not having requested suspension within the time limitations provided in paragraph (b) of this section.
(d) In an emergency satisfactorily shown by the complainant, and within the time limits herein provided, a complaint may be sent by facsimile, telegram, or electronic mail (when available) to the Department and to the carrier against whose tariff provision the complaint is made. Such complaint shall state the grounds relied upon, and must be confirmed in writing within three (3) business days and filed and served in accordance with this part.
(e) Answers to complaints shall be filed within six (6) working days after the complaint is filed.
In computing the time for filing formal complaints pursuant to § 302.506, with respect to tariffs that do not contain a posting date, the first day preceding the effective date of the tariff shall be the first day counted, and the last day so counted shall be the last day for filing unless such day is a Saturday, Sunday, or legal holiday for the Department, in which event the period for filing shall be extended to the next successive day that is not a Saturday, Sunday, or holiday. The computation of the time for filing complaints as to tariffs containing a posting date shall be governed by § 302.8.
(a) This subpart contains the specific rules that apply to a complaint filed by one or more air carriers or foreign air carriers (“carriers”), pursuant to 49 U.S.C. 47129(a), for a determination of the reasonableness of a fee increase or a newly established fee for aeronautical uses that is imposed upon the carrier by the owner or operator of an airport. This subpart also applies to requests by the owner or operator of an airport for such a determination. An airport owner or operator is considered to have imposed a fee on a carrier when it has taken all steps necessary under its procedures to establish the fee, whether or not the fee is being collected or carriers are currently required to pay it.
(b) This subpart does not apply to—
(1) A fee imposed pursuant to a written agreement with a carrier using the facilities of an airport;
(2) A fee imposed pursuant to a financing agreement or covenant entered into prior to August 23, 1994, or
(3) Any other existing fee not in dispute as of August 23, 1994.
(c) Except as modified by this subpart, the provisions of subpart A of this part apply.
(a) Any carrier may file a complaint with the Secretary for a determination as to the reasonableness of any fee imposed on the carrier by the owner or operator of an airport. Any airport
(b) If a carrier has previously filed a complaint with respect to the same airport fee or fees, any complaint by another carrier and any airport request for determination shall be filed no later than seven (7) calendar days following the initial complaint. In addition, all complaints or requests for determination must be filed on or before the sixtieth (60th) day after the carrier receives written notice of the imposition of the new fee or the imposition of the increase in the fee.
(c) To ensure an orderly disposition of the matter, all complaints and any request for determination filed with respect to the same airport fee or fees will be considered in a consolidated proceeding, as provided in § 302.606.
(a) The complaint or request for determination shall set forth the entire grounds for requesting a determination of the reasonableness of the airport fee. The complaint or request shall include a copy of the airport owner or operator's written notice to the carrier of the imposition of the fee, a statement of position with a brief, and all supporting testimony and exhibits on which the filing party intends to rely. In lieu of submitting duplicative exhibits or testimony, the filing party may incorporate by reference testimony and exhibits already filed in the same proceeding.
(b) All exhibits and briefs prepared on electronic spreadsheet or word processing programs should be accompanied by standard-format computer diskettes containing those submissions. The disk submission must be in one of the following formats, in the latest two versions, or in such other format as may be specified by notice in the
(c) When a carrier files a complaint, it must also certify:
(1) That it has served on the airport owner or operator and all other carriers serving the airport the complaint, brief, and all supporting testimony and exhibits, and that those parties have received or will receive these documents no later than the date the complaint is filed. Such service shall be by hand, by electronic transmission, or by overnight express delivery. (Unless a carrier has informed the complaining carrier that a different person should be served, service may be made on the person responsible for communicating with the airport on behalf of the carrier about airport fees.);
(2) That the carrier has previously attempted to resolve the dispute directly with the airport owner or operator;
(3) That when there is information on which the carrier intends to rely that is not included with the brief, exhibits, or testimony, the information has been omitted because the airport owner or operator has not made that information available to the carrier. The certification shall specify the date and form of the carrier's request for information from the airport owner or operator; and
(4) That any submission on computer diskette is a true copy of the data file used to prepare the printed versions of the exhibits or briefs.
(d) When an airport owner or operator files a request for determination, it must also certify:
(1) That it has served on all carriers serving the airport the request, brief, and all supporting testimony and exhibits, and that those parties have received or will receive these documents no later than the date the request is filed. Such service shall be in the same manner as provided in § 302.603(c)(1).
(2) That the airport owner or operator has previously attempted to resolve the dispute directly with the carriers; and
(3) That any submission on computer diskette is a true copy of the data file used to prepare the printed versions of the exhibits or briefs.
(a)(1) When a carrier files a complaint under this subpart, the owner or operator of the airport and any other carrier serving the airport may file an answer to the complaint as provided in paragraphs (b) and (c) of this section.
(2) When the owner or operator of an airport files a request for determination of the reasonableness of a fee it has imposed, any carrier serving the airport may file an answer to the request.
(b) The answer to a complaint or request for determination shall set forth the answering party's entire response. When one or more additional complaints or a request for determination has been filed pursuant to § 302.602(b) with respect to the same airport's fee or fees, the answer shall set forth the answering party's entire response to all complaints and any such request for determination. The answer shall include a statement of position with a brief and any supporting testimony and exhibits on which the answering party intends to rely. In lieu of submitting duplicative exhibits or testimony, the answering party may incorporate by reference testimony and exhibits already filed in the same proceeding.
(c) Answers to a complaint shall be filed no later than fourteen (14) calendar days after the filing date of the first complaint with respect to the fee or fees in dispute at a particular airport. Answers to a request for determination shall be filed no later than fourteen (14) calendar days after the filing date of the request.
(d) All exhibits and briefs prepared on electronic spreadsheet or word processing programs should be accompanied by standard-format computer diskettes containing those submissions as provided in § 302.603(b).
(e) The answering party must also certify that:
(1) it has served the answer, brief, and all supporting testimony and exhibits by hand, by electronic transmission, or by overnight express delivery on the carrier filing the complaint or the airport owner or operator requesting the determination, and that those parties have received or will receive these documents no later than the date the answer is filed; and
(2) that any submission on computer diskette is a true copy of the data file used to prepare the printed versions of the exhibits or briefs.
(a) The carrier submitting a complaint may file a reply to any or all of the answers to the complaint. The airport owner or operator submitting a request for determination may file a reply to any or all of the answers to the request for determination.
(b) The reply shall be limited to new matters raised in the answers. It shall constitute the replying party's entire response to the answers. It shall be in the form of a reply brief and may include supporting testimony and exhibits responsive to new matters raised in the answers. In lieu of submitting duplicative exhibits or testimony, the replying party may incorporate by reference testimony and exhibits already filed in the same proceeding.
(c) The reply shall be filed no later than two (2) calendar days after answers are filed.
(d) All exhibits and briefs prepared on electronic spreadsheet or word processing programs should be accompanied by standard-format computer diskettes containing those submissions as provided in § 302.603(b).
(e) The carrier or airport owner or operator submitting the reply must certify that it has served the reply and all supporting testimony and exhibits on the party or parties submitting the answer to which the reply is directed, and that those parties have received or will receive these documents no later than the date the reply is filed, and that any submission on computer diskette is a true copy of the data file used to prepare the printed versions of the exhibits or briefs.
(a) Within thirty (30) days after a complaint or request for determination is filed under this subpart, the Secretary will determine whether the complaint or request meets the procedural requirements of this subpart and whether a significant dispute exists, and take appropriate action pursuant to paragraph (b), (c), or (d) of this section. When both a complaint and a request for determination have been filed with respect to the same airport fee or fees, the Secretary will issue a determination as to whether the complaint, the request, or both meet the procedural requirements of this subpart and whether a significant dispute exists within thirty (30) days after the complaint is filed.
(b) If the Secretary determines that a significant dispute exists, he or she will issue an instituting order assigning the complaint or request for hearing before an administrative law judge. The instituting order will—
(1) Establish the scope of the issues to be considered and the procedures to be employed;
(2) Indicate the parties to participate in the hearing;
(3) Consolidate into a single proceeding all complaints and any request for determination with respect to the fee or fees in dispute; and
(4) Include any special provisions for exchange or disclosure of information by the parties.
(c) If the Secretary determines that the complaint or request does not meet the procedural requirements of this subpart, the complaint or request for determination will be dismissed without prejudice to filing a new complaint. The order of the Secretary will set forth the terms and conditions under which a revised complaint or request may be filed.
(d) If the Secretary finds that no significant dispute exists—
(1) If the proceeding was instituted by a complaint, the Secretary will issue an order dismissing the complaint, which will contain a concise explanation of the reasons for the determination that the dispute is not significant.
(2) If the proceeding was instituted by a request for determination, the Secretary will either issue a final order as provided in § 302.610 or set forth the schedule for any additional procedures required to complete the proceeding.
The administrative law judge shall issue a decision recommending a disposition of a complaint or request for determination within sixty (60) days after the date of the instituting order, unless a shorter period is specified by the Secretary.
(a) Within five (5) calendar days after service of a decision by an administrative law judge, any party may file with the Secretary a petition for discretionary review of the administrative law judge's decision.
(b) Petitions for discretionary review shall comply with § 302.32(a). The petitioner must also certify that it has served the petition by hand, by electronic transmission, or by overnight express delivery on all parties to the proceeding and that those parties have received or will receive the petition no later than the date it is filed.
(c) Any party may file an answer in support of or in opposition to any petition for discretionary review. The answer shall be filed within four (4) calendar days after service of the petition for discretionary review. The answer shall comply with the page limits specified in § 302.32(b).
(a) When a complaint or a request for determination with respect to an airport fee or fees has been filed under this subpart and has not been dismissed, the Secretary will issue a determination as to whether the fee is reasonable within 120 days after the complaint or request is filed.
(b) When both a complaint and a request for determination have been filed with respect to the same airport fee or fees and have not been dismissed, the Secretary will issue a determination as to whether the fee is reasonable within 120 days after the complaint is filed.
(a) When a complaint or request for determination stands submitted to the Secretary for final decision on the merits, he or she may dispose of the issues presented by entering an appropriate order, which will include a statement of the reasons for his or her findings and conclusions. Such an order shall be deemed a final order of the Secretary.
(b) The final order of the Secretary shall include, where necessary, directions regarding an appropriate refund or credit of the fee increase or newly established fee which is the subject of the complaint or request for determination.
(c) If the Secretary has not issued a final order within 120 days after the filing of a complaint by an air carrier or foreign air carrier, the decision of the administrative law judge shall be deemed to be the final order of the Secretary.
(a) This subpart sets forth the special rules applicable to proceedings for the establishment of mail rates by the Department for foreign air transportation and air transportation between points in Alaska, and certain contractual arrangements between the U.S. Postal Service and certificated air carriers for the carriage of mail in foreign air transportation entered into pursuant to 39 U.S.C. 5402(a), 84 Stat. 772.
(b) Such contracts must be for the transportation of at least 750 pounds of mail per flight, and no more than five (5) percent, based on weight, of the international mail transported under any such contract may consist of letter mail.
(a) Proceedings for the determination of rates of compensation for the transportation of mail may be commenced by the filing of a petition by an air carrier whose rate is to be fixed, or the U.S. Postal Service, or upon the issuance of an order by the DOT decisionmaker.
(b) The petition shall set forth the rate or rates sought to be established, a statement that they are believed to be fair and reasonable, the reasons supporting the request for a change in rates, and a detailed economic justification sufficient to establish the reasonableness of the rate or rates proposed.
(c) In any case where an air carrier is operating under a final mail rate uniformly applicable to an entire rate-making unit as established by the DOT decisionmaker, a petition must clearly and unequivocally challenge the rate for such entire rate-making unit and not only a part of such unit.
(d) All petitions, amended petitions, and documents relating thereto shall be served upon the U.S. Postal Service by sending a copy to the Assistant General Counsel, Transportation Division, Washington, DC 20260-1124, by registered or certified mail, postpaid, prior to the filing thereof with the Department. Proof of service on the U.S. Postal Service shall consist of a statement in the document that the person filing it has served a copy as required by this section.
(e) Answers to petitions shall be filed within twenty (20) days after service of the petition.
Whether the proceeding is commenced by the filing of a petition or upon the Department's own initiative, the DOT decisionmaker may issue an order directing the respondent to show cause why it should not adopt such findings and conclusions and such final rates as may be specified in the order to show cause, or may issue an order setting the matter for hearing before an administrative law judge.
(a) Where an order to show cause is issued, any person having objections to the rates specified in such order shall file with the DOT decisionmaker an answer within forty-five (45) days after the date of service of such order or
(b) An answer to an order to show cause shall contain specific objections, and shall set forth the findings and conclusions, the rates, and the supporting exhibits that would be substituted for the corresponding items in the findings and conclusions of the show cause order, if such objections were found valid.
(c) An answer filed by a person who is neither a party nor a person ultimately permitted to intervene in an oral evidentiary hearing if such proceeding is established shall be treated as a memorandum filed under § 302.706.
(a) If no answer is filed within the designated time, or if a timely filed answer raises no material issue of fact, the DOT decisionmaker may, upon the basis of the record in the proceeding, enter a final order fixing the rate or rates.
(b) If an answer raising a material issue of fact is filed within the time designated in the Department's order, the DOT decisionmaker may then issue an order authorizing additional pleadings and/or establishing further procedural steps, including setting the matter for oral evidentiary hearing before an administrative law judge.
(a) If a hearing is ordered under § 302.705, the issues at such hearing shall be formulated in accordance with the instituting order, except that at a prehearing conference, the administrative law judge may permit the parties to raise such additional issues as he or she deems necessary to make a full determination of a fair and reasonable rate.
(b)(1) The parties to the proceeding shall be the air carrier or carriers for whom rates are to be fixed, the U.S. Postal Service, the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings and any other person whom the DOT decisionmaker or administrative law judge permits to intervene in accordance with § 302.20.
(2) In addition to participation in hearings in accordance with § 302.19, persons other than parties may, within the time fixed for filing an answer to an order to show cause as provided in § 302.704, submit a memorandum of opposition to, or in support of, the position taken in the petition or order. Such memorandum shall not be received as evidence in the proceeding.
(c) All direct evidence shall be in writing and shall be filed in exhibit form within the times specified by the DOT decisionmaker or by the administrative law judge.
(d) Except as modified by this subpart, the provisions of § 302.17 through § 302.38 of this part shall apply.
At any time during the pendency of a proceeding for the determination of final mail rates, the DOT decisionmaker, upon his or her own initiative, or on petition by the air carrier whose rates are in issue or by the U.S. Postal Service, may fix temporary rates of compensation for the transportation of mail subject to downward or upward adjustment upon the determination of final mail rates.
(a) Conferences between DOT employees, representatives of air carriers, the U.S. Postal Service and other interested persons may be called by DOT employees for the purpose of considering and clarifying issues and factual material in pending proceedings for the establishment of rates for the transportation of mail.
(b) At the commencement of an informal mail rate conference pursuant to this section, the authorized DOT employees conducting such conference shall issue to each person present at such conference a written statement to the effect that such conference is being conducted pursuant to this section and stating the time of commencement of such conference; and at the termination of such conference the DOT employees conducting such conference shall note in writing on such statement
The mail rate conferences shall be limited to the discussion of, and possible agreement on, particular issues and related factual material in accordance with sound rate-making principles. The duties and powers of DOT employees in rate conferences essentially will not be different, therefore, from the duties and powers they have in the processing of rate cases not involving a rate conference. The employees' function in both instances is to present clearly to the DOT decisionmaker the issues and the related material facts, together with recommendations. The DOT decisionmaker will make an independent determination of the soundness of the employees's analyses and recommendations.
The persons entitled to be present in mail rate conferences will be the representatives of the carrier whose rates are in issue, the staff of the U.S. Postal Service, and the authorized DOT employees. No other person will attend unless the DOT employees deem his or her presence necessary in the interest of one or more purposes to be accomplished, and in such case his or her participation will be limited to such specific purposes. No person, however, shall have the duty to attend merely by reason of invitation by the authorized DOT employees.
(a)
(1) Shall, except for necessary disclosures in the course of employment in connection with conference business, hold the information obtained in conference in absolute confidence and trust;
(2) Shall not deal, directly or indirectly, for the account of himself or herself, his or her immediate family, members of his or her firm or company, or as a trustee, in securities of the air carrier involved in the rate conference except that under exceptional circumstances special permission may be obtained in advance from the DOT decisionmaker; and
(3) Shall adopt effective controls for the confidential handling of such information and shall instruct personnel under his or her supervision, who by reason of their employment come into possession of information obtained at the conference, that such information is confidential and must not be disclosed to anyone except to the extent absolutely necessary in the course of employment, and must not be misused. (The term “information”, as used in this section, shall refer only to information obtained at the conference regarding the future course of action or position of the Department or its employees with respect to the facts or issues discussed at the conference.)
(b)
(c)
(d)
(e)
(1) Any representative of any air carrier and any representative of the U.S. Postal Service actually present at the conference;
(2) The directors and the officers of any air carrier that had a representative at the conference;
(3) The members of any firm of attorneys or consultants that had a representative at the conference; and
(4) The members of the U.S. Postal Service staff who come into possession of information obtained at the conference, knowing that such information is subject to the restrictions imposed in this section.
When an air carrier is requested to submit detailed estimates as to traffic, revenues and expenses by appropriate periods and the investment that will be required to perform the operations for a future period, full and adequate support shall be presented for all estimates, particularly where such estimates deviate materially from the air carrier's experience. With respect to the rate for a past period, essentially the same procedure shall be followed. Other information or data likewise may be requested by the DOT employees. All data submitted by the air carrier shall be certified by a responsible officer.
After a careful analysis of these data, the DOT employees will, in most cases, send the air carrier a statement of exceptions showing areas of differences. Where practicable, the air carrier may submit an answer to these exceptions. Conferences will then be scheduled to resolve the issues and facts in accordance with sound ratemaking principles.
The representatives of the U.S. Postal Service shall have access to all conference data and, insofar as practicable, shall be furnished copies of all pertinent data prepared by the DOT employees and the air carrier, and a reasonable time shall be allowed to review the facts and issues and to make any presentation deemed necessary;
No briefs, argument, or any formal steps will be entertained by the DOT decisionmaker after the rate conferences. The form, content and time of the staff's presentation to the DOT decisionmaker are entirely matters of internal procedure. Any party to the mail rate proceeding may, through an authorized DOT employee, request the opportunity to submit a written or oral statement to the DOT decisionmaker on any unresolved issue. The DOT decisionmaker will grant such requests whenever he or she deems such action desirable in the interest of further clarification and understanding of the issues. The granting of an opportunity for such further presentation shall not, however, impair the rights that any party might otherwise have under the Statute and this part.
No agreements or understandings reached in rate conferences as to facts or issues shall in any respect be binding on the Department or any participant. Any party to mail rate proceedings will have the same rights to file an answer and take other procedural steps as though no rate conference had been held. The fact, however, that a rate conference was held
After the termination of a mail rate conference hereunder, the air carrier whose rates were in issue may petition the DOT decisionmaker for a release from the obligations imposed upon it and all other persons by § 302.711. The DOT decisionmaker will grant such petition only after a detailed and convincing showing is made in the petition and supporting exhibits and documents that there is no reasonable possibility that any of the abuses sought to be prevented will occur or that the Department's processes will in any way be prejudiced. There will be no hearing or oral argument on the petition and the DOT decisionmaker will grant or deny the request without being required to assign reasons therefor.
Any air carrier that is a party to a contract to which this subpart is applicable shall file three (3) copies of the contract in the Office of Aviation Analysis, X-50, Department of Transportation, Washington, DC 20590, not later than ninety (90) days before the effective date of the contract. A copy of such contract shall be served upon the persons specified in § 302.720 and the certificate of service shall specify the persons upon whom service has been made. One copy of each contract filed shall bear the certification of the secretary or other duly authorized officer of the filing air carrier to the effect that such copy is a true and complete copy of the original written instrument executed by the parties.
Each contract filed pursuant to this subpart shall be accompanied by economic data and such other information in support of the contract upon which the filing air carrier intends that the Department rely, including, in cases where pertinent, estimates of the annual volume of contract mail (weight and ton-miles) under the proposed contract, the nature of such mail (letter mail, parcel post, third class, etc.), together with a statement as to the extent to which this traffic is new or diverted from existing classes of air and surface mail services and the priority assigned to this class of mail.
A copy of each contract filed pursuant to § 302.718, and a copy of all material and data filed pursuant to § 302.719, shall be served upon each of the following persons:
(a) Each certificated and commuter (as defined in § 298.2 of this chapter) air carrier, other than the contracting carrier, that is actually providing scheduled mail services between any pair of points between which mail is to be transported pursuant to the contract; and
(b) The Assistant General Counsel, Transportation Division, U.S. Postal Service, Washington, DC 20260-1124.
Within fifteen (15) days of the filing of a contract, any interested person may file with the Office of Aviation Analysis, X-50, Department of Transportation, Washington, DC 20590, a complaint with respect to the contract setting forth the basis for such complaint and all pertinent information in support of same. A copy of the complaint shall be served upon the air carrier filing the contract and upon each of the persons served with such contract pursuant to § 302.720.
Answers to the complaint may be filed within ten (10) days of the filing of the complaint, with service being made as provided in § 302.720.
(a) In any case where a complaint is filed, the DOT decisionmaker shall issue an order dismissing the complaint, disapproving the contract, or taking such other action as may be appropriate. Any such order shall be issued not later than ten (10) days prior to the effective date of the contract.
(b) In cases where no complaint is filed, the DOT decisionmaker may issue a letter of notification to all persons upon whom the contract was served indicating that the Department does not intend to disapprove the contract.
(c) Unless the DOT decisionmaker disapproves the contract not later than ten (10) days prior to its effective date, the contract automatically becomes effective.
Except in the case of a Department determination to disapprove a contract, no petitions for reconsideration of any Department determination pursuant to this subpart shall be entertained.
Appendix A shows the subjects covered by part 302 and the section numbers used before and after the final rule revising part 302, published in the
49 U.S.C. chapters 401, 413, 417.
These regulations set forth the procedures by which applications may be made to the Department of Transportation under sections 412 and 414 of the Federal Aviation Act, as amended (49 U.S.C. 1382 and 1384) and procedures governing proceedings to enforce these provisions.
(a) The term
(b) The term
(c) The term
(d) The term
(e) The term
(f)-(g) [Reserved]
(h) The term
(i) [Reserved]
A person who seeks approval of a section 412 transaction must file with the Documentary Services Division an application that conforms to the requirements set forth in §§ 303.04 and 303.05 of this part.
(a) Unless specifically exempted by these regulations or by an order of the Assistant Secretary, a person filing an application pursuant to § 303.03 of this part shall prepare and file the application in the manner specified in this section. The application shall also contain the information required by subpart D of this part. An application may be deemed incomplete if it is not in substantial compliance with these requirements.
(b) The parties to the transaction may file either separate applications or one joint application so long as all the information required herein is submitted for each party to the transaction. The Assistant Secretary or Administrative Law Judge, if the matter has been assigned to a judge, upon his or her initiative or upon application, may order the target company or other
(c) Each page of the application and each document submitted with the application shall be marked with the name, initials, or some other identifying symbol of the applicant. The application shall also indicate the date of preparation and the name and corporate position of the preparer.
(d) Where the required information is in data processing equipment, on microfilm, or is otherwise not eye-readable, the applicant shall provide such information in eye-readable form.
(e) The information provided by the applicant shall be updated in a timely fashion throughout the period of consideration of the application.
(f) If any information or documents required by the applicable subpart are not available, the applicants shall file an affidavit executed by the individual responsible for the search explaining why they cannot be produced.
(g) The Assistant Secretary or the Administrative Law Judge may order any applicant to submit information in addition to that required by the applicable subpart.
(h) An applicant may withhold a document required by this part on the grounds that it is privileged, but each document so withheld shall be identified and the applicant shall supply a brief description of the nature of the document, a written statement indicating the basis of the privilege claimed, and the names of the preparers and recipients of the document. If any interested party contests the assertion of privilege, the document shall be promptly submitted to the Assistant Secretary, or the Administrative Law Judge, if the matter has been assigned to a Judge. Where appropriate, an in camera inspection may be ordered.
(i) The person submitting the application to the Department shall send a complete copy of the application to the Chief, Transportation Section, Antitrust Division of the Department of Justice, at the same time as it is filed with the Documentary Services Division.
(j) The applicant shall, if requested, be responsible for expeditiously providing the application to any interested person, whether or not a party.
(k) Unless otherwise specified in this subpart, all applications shall conform generally to the requirements set forth in 14 CFR part 302, subpart A.
(l) In exceptional circumstances, the Assistant Secretary may waive or alter the procedural requirements of this part to permit a transaction to proceed on an expedited basis.
(a) Each application must state explicitly whether or not the applicant seeks antitrust immunity under the provisions of section 414 of the Act. If antitrust immunity is requested, the application should specify whether the applicant seeks full immunity or immunity only from the provisions of sections 4, 4a and 4c of the Clayton Act, 15 U.S.C. 15, 15a, 15c. Each application seeking antitrust immunity shall contain a statement explaining why the applicant believes immunity is in the public interest and necessary in order for the transaction to proceed.
(b) [Reserved]
(c) Any material misrepresentation of fact in such an application shall be grounds for rescission
(d) A request for renewal of any immunity granted does not operate under section 558 of Administrative Procedure Act, 5 U.S.C. 558(c), to extend the period of immunity conferred.
The Assistant Secretary may initiate a proceeding to review any antitrust immunity previously conferred by the Civil Aeronautics Board or the Department in any section 412 transaction. The Assistant Secretary may terminate or modify such immunity if the Assistant Secretary finds after notice and hearing that the previously conferred immunity is not consistent with the provisions of section 414. In any proceeding to review such immunity,
If a section 412 application or a request for antitrust immunity under section 414 is pending on the date this part is amended, such application or request shall be deemed made pursuant to the provisions of this part, as amended.
A Section 412 application shall contain the following general information:
(a) The name, mailing address and primary line of business of each party to the contract, agreement or request for authority to discuss a possible cooperative working arrangement.
(b) If the contract or agreement for which approval is sought is not evidenced by a resolution of an air carrier association, the application shall contain a copy of the contract or agreement that is certified to be true and complete by each party to the contract of agreement. If the contract or agreement is set forth in an exchange of correspondence, copies of all such correspondence must be submitted and must be certified as true and complete by all parties to the contract or agreement. If the contract or agreement is oral, a memorandum fully describing the agreement must be submitted and must be certified as true and complete by all parties to the contract or agreement. If approval is sought for a request for authority to discuss a possible cooperative working arrangement, the application shall contain a complete description of the possible cooperative working arrangement and all matters to be discussed. The description shall be certified to be true and complete by each party to the proposed discussion.
(c) If the contract, agreement or request for authority to discuss a cooperative working arrangement is evidenced by a resolution or other action of an air carrier association, the application shall contain the resolution or other action and a certification by an authorized employee of the association that the resolution or other action was duly adopted on a certain date. The authorized employee shall also specify in such certification the name of each air carrier that concurred in such resolution or other action and the name of each air carrier member that did not concur. Contracts, agreements and requests for authority to discuss cooperative working arrangements may be filed in this manner only if the Association has complied with 14 CFR part 263.
A section 412 application shall explain the nature and purpose of the contract, agreement or request to discuss a cooperative working arrangement and describe how it changes any price, rule or practice existing under a previously-approved application. The application also, consistent with Department of Transportation and CAB precedent, shall contain factual material, documentation and argument in support of the application. Economic analyses, when required, shall include full explanatory details, including data sources and allocation methods. If the applicants intend to rely on public benefits to justify approval they shall describe these benefits, including foreign policy and comity considerations.
(a) Except as provided in paragraph (b) of this section, a section 412 application described in § 303.30(c) of this subpart and any related pleadings shall be served on any person or organization that has previously advised the air carrier association of its desire for
(b) Service of IATA Traffic Conference agreements and amendments thereto upon any person or organization that previously has advised IATA of its desire for service of agreements may be accomplished by sending a summary notice specifying the filing date; the IATA memorandum number; the particular Conferences involved; the subject matter (e.g., cargo/passenger, tariffs/agency matters/ procedures); the proposed effective date(s); the markets or Conference areas affected; the names of the carriers participating in the agreement; the names of all persons served; and a notice that any party in interest may within 21 days of the date of filing of the application file comments with the Assistant Secretary in support of or opposition to the application. A request for a complete copy of the application can be made under the provisions of § 303.04(j).
This subpart also applies to all modifications or cancellations of contracts or agreements or requests for authority to discuss a possible cooperative working arrangement.
(a) Within 10 days after an application is filed pursuant to § 303.03, the Assistant Secretary will determine whether the application complies with the requirements of §§ 303.04 and 303.05.
(b) If the Assistant Secretary determines that the application is incomplete, he or she may issue a notice dismissing the application without prejudice. If the application is dismissed, and statutory time period for completion of proceedings will not begin to run until a completed application is filed.
(a) The Documentary Service Division shall compile a weekly list of all applications filed under §§ 303.04 and 303.05. The list shall include a description of the application, the docket number, date of filing, state that it may be reviewed in the Documentary Services Division, and indicate that interested parties may comment on the application or request a hearing within 21 days of the date of filling or other period as specified. The weekly list will normally be prepared on the following Monday, or as soon as possible, and will be posted on a public bulletin board in the Documentary Services Division. The list also shall be submitted for publication in the
(b) In appropriate case, particularly when an application concerns a matter of broad public significance, the Assistant Secretary may cause a notice of an application and request for public comment to be published separately in the
(a) Unless a different comment period is specified in the weekly list, or in a notice of filing published in the
(b) Comments supporting or opposing an application or proposing conditions and responses thereto shall state with particularity the factual basis on which the person commenting relies, and provide affidavits or other material in support of the factual basis, if appropriate.
(c) Requests for a formal oral evidentiary hearing must set out with specificity the material issues of fact in dispute that cannot be resolved without such a hearing. Vague, unsupported allegations will not suffice.
(a) [Reserved]
(b)
(c) Notice to the public of any full evidentiary hearing or order to show cause concerning an application shall be made by publication in the
If the Assistant Secretary determines that an application, or review of a previously granted application, will be considered in a show cause proceeding, a tentative decision shall be issued inviting interested persons to show cause why the tentative decision should not be made final. Interested persons may respond to the order within the time specified in the order. Replies to such responses shall be permitted within the time specified in the order. Persons wishing to introduce additional facts into the record should incorporate such information in their responses or replies by affidavit. In the case of applications, show cause orders may be issued after the receipt of initial comments on the application.
(a) If the Assistant Secretary determines that an application, or review of a previous granted application, should be the subject of a full evidentiary hearing, he or she shall issue an order so stating. The term “full evidentiary hearing” includes any hybrid format set out in the instituting order. This order shall set forth the issues that are to be considered in such hearing.
(b) After the issuance of an order for a full evidentiary hearing, the Chief Administrative Law Judge shall promptly appoint an Administrative Law Judge to conduct such hearing in accordance with section 7 of the Administrative Procedure Act, 5 U.S.C. 556, and the Rules of Practice in part 302 of this chapter.
(c) The applicants and the Assistant General Counsel for Aviation Enforcement and Proceedings shall be parties in any full evidentiary hearing held under these regulations. The Assistant Attorney General, Antitrust, shall be a party upon notice filed with the Administrative Law Judge. Other persons may intervene as parties as provided by § 302.20 of this chapter.
(d) Within the time specified in the order instituting the full evidentiary hearing, the Administrative Law Judge shall recommend to the Assistant Secretary that the application be approved or denied or that the previously granted exemption approval or immunity should be terminated or continued in accordance with the standards of the Act. The recommendation shall be in writing, shall be based solely on the hearing record, and shall include a statement of the Administrative Law Judge's findings and conclusions, and the reasons or basis therefore, or all material issues of fact, law or discretion presented on the record. Copies of the recommendation shall be served on each party.
(e) Within 10 days after the date the Administrative Law Judge serves his or her recommendation, any party may file written exceptions to the recommendation for consideration by the Assistant Secretary. Within 21 days after the service date of the judge's recommendation, any party may file a brief in support of or in opposition to any exceptions. This period may be altered by order of the Assistant Secretary, who may also authorize the filing of reply briefs.
The Assistant Secretary shall decide, on the basis of the record and in accordance with the procedures prescribed in part 302 of this chapter, whether to grant or deny, in whole or in part, the application. A copy of the Assistant Secretary's final decision shall be served on all parties.
49 U.S.C. chapters 401, 417, 461; 5 U.S.C. 555, 556.
The provisions of this part shall govern informal nonpublic investigations, as distinguished from formal investigations and adjudicatory proceedings, undertaken by the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings with a view to obtaining information from any person. While the Department seeks and encourages voluntary cooperation and believes that it is in the best interest of all parties concerned, it will utilize the procedures provided by this part to compel the disclosure of information by any person where DOT wishes to determine whether such person, or any other person, has been or is violating any provisions of Title IV or sections 101(3), 1002, 1003, or 1108(b) of the Act, or any rule, regulation, order, certificate, permit, or letter or registration issued pursuant thereto by DOT and when the information appears to be relevant to the matter under investigation. This part shall not apply to employees or records of other agencies of the U.S. Government, the District of Columbia, or the several States and their political subdivisions.
For the purpose of, and as used in this part, the term
An investigation may be initiated by order of the Department. Attorneys of the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings shall conduct such investigations pursuant to the provisions of this part and they shall be designated Investigation Attorneys. Investigation Attorneys, administrative law judges and the DOT decisionmaker are hereby authorized to exercise and perform their duties and functions under this part in accordance with the provisions of the Act and the rules and regulations of the Department.
Witnesses may be required to appear before any administrative law judge for the purpose of receiving their testimony or receiving from them documents or other data relating to any subject under investigation. Such testimony shall be mechanically or stenographically recorded, and a transcript thereof shall be made and incorporated in the record of the investigation.
(a) The Deputy General Counsel, the DOT decisionmaker, the chief administrative law judge or the administrative law judge designated to preside at the reception of evidence, may issue a subpena directing the person named therein to appear before a designated administrative law judge at a designated time and place to testify or to produce documentary evidence relating to any matter under investigation, or both. Each such subpena shall briefly advise the person required to testify or submit documentary evidence of the purpose and scope of the investigation, and a copy of the order initiating the investigation shall be attached to the subpena.
(b) Witnesses subpenaed to appear shall be paid the fees and mileage prescribed in § 302.7 of the Rules of Practice (14 CFR 302.7). Service of such subpenas shall be made in accordance with
Any person required to testify or to submit documentary evidence shall be entitled to procure, on payment of lawfully prescribed costs, a copy of any document produced by such person and of his or her own testimony as stenographically reported. Any person compelled to testify or to produce documentary evidence may be accompanied, represented, and advised by counsel.
Investigations shall be attended only by the witnesses and their counsel, the administrative law judge, the Investigation Attorney, other DOT personnel concerned with the conduct of the proceeding and the official stenographer. All orders initiating investigations, motions to quash or modify investigation subpenas, orders disposing of such motions, documents, and transcripts of testimony shall be part of the record in the investigation. Unless DOT determines otherwise, all orders initiating investigations which do not disclose the identity of the particular persons of firms under investigation shall be published in the
Upon completion of the investigation, where the Deputy General Counsel, determines that no corrective action is warranted, the investigation will be closed, and any documentary evidence obtained in the investigation will be returned to the persons who produced it. Where remedial action is indicated by the investigation, the Deputy General Counsel will proceed pursuant to subpart D of part 302 of the Rules of Practice or will take such other action as may be appropriate.
Any person upon whom an investigation subpena is served may, within seven (7) days after such service or at any time prior to the return date thereof, whichever is earlier, file a motion to quash or modify such subpena with the administrative law judge who issued such subpena, or in the event the administrative law judge is not available, with the chief administrative law judge for action by himself or herself or by the DOT decisionmaker. Such motions shall be made in writing in conformity with Rules 3 and 4 of the Rules of Practice (part 302 of this subchapter); shall state with particularity the grounds therefor and the relief sought; shall be accompanied by the evidence relied upon and all such factual matter shall be verified in accordance with the provisions of Rule 4(b) of the aforesaid Rules of Practice. Written memoranda or briefs may be filed with the motions, stating the points and authorities relied upon. No oral argument will be heard on such motions unless the chief administrative law judge, the administrative law judge or the DOT decisionmaker directs otherwise. A subpena will be quashed or modified if the evidence whose production is required is not reasonably relevant to the matter under investigation, or the demand made does not describe with sufficient particularity the information sought, or the subpena is unlawful or unduly burdensome. The filing of a motion to quash or modify an investigation subpena shall stay the return date of such subpena until such motion is granted or denied. The DOT decisionmaker may at any time review, upon his or her own initiative, the ruling of an administrative law judge or the chief administrative law
42 U.S.C. 6362(b), 49 U.S.C. Chapter 401.
(a) Chapter 77 (Energy Conservation) of Title 42 (The Public Health and Welfare), authorizes and directs certain actions to conserve energy supplies through energy conservation programs and where necessary, the regulation of certain energy uses, and to provide for improved energy efficiency of motor vehicles, major appliances, and certain other consumer products. In furtherance of these purposes, 42 U.S.C. 6362 requires several transportation regulatory agencies, including DOT, to submit a number of reports to the Congress with respect to energy conservation and efficiency, and where practicable and consistent with the exercise of DOT's authority under other law, to include in any major regulatory action a statement of its probable impact on energy efficiency and energy conservation. 42 U.S.C. 6362(b) directs DOT to define the term “major regulatory action” by rule.
(b) Section 40113 of Subtitle VII of Title 49 of the United States Code (Transportation)(“the Statute”), authorizes DOT to establish such rules, regulations, and procedures as are necessary to the exercise of its functions and are consistent with the purposes of the Statute.
(c) The purpose of these regulations is to establish procedures and guidelines for the implementation of DOT's responsibility under 42 U.S.C. 6362 to include in any major regulatory action taken by DOT a statement of the probable impact on energy efficiency and energy conservation.
(d) These regulations apply to all proceedings before DOT, as provided herein.
(a)
(b)
(c)
(d)
As used in this part:
(a)
(b)
(c)
(d)
(e)
(a) Any initial, recommended, tentative or final decision, opinion, order, or final rule is a major regulatory action requiring an energy statement, if it:
(1) May cause a near-term net annual change in aircraft fuel consumption of 10 million (10,000,000) gallons or more, compared to the probable consumption of fuel were the action not to be taken; or
(2) Is specifically so designated by DOT because of its precedential value, substantial controversy with respect to energy conservation and efficiency, or other unusual circumstances.
(b) Notwithstanding paragraph (a)(1) of this section, the following types of actions shall not be deemed as major regulatory actions requiring an energy statement:
(1) Tariff suspension orders under section 41509 of the Statute, emergency exemptions or temporary exemptions not exceeding 24 months under section 40109 of the Statute and other proceedings in which timely action is of the essence;
(2) Orders instituting or declining to institute investigations or rulemaking, setting or declining to set applications for hearing, on reconsideration, or on requests for stay;
(3) Other procedural or interlocutory orders;
(4) Actions taken under delegated authority; and
(5) Issuance of a certificate where no determination of public convenience and necessity is required.
(c) Notwithstanding paragraph (a)(1) of this section, DOT may provide that an energy statement shall not be prepared in a proceeding which may result in a major regulatory action, if it finds that:
(1) The inclusion of an energy statement is not consistent with the exercise of DOT's authority under the Statute or other law;
(2) The inclusion of an energy statement is not practicable because of time constraints, lack of information, or other unusual circumstances; or
(3) The action is taken under laws designed to protect the public health or safety.
(a) It shall be the responsibility of applicants and other parties or participants to a proceeding which may involve a major regulatory action to submit sufficient information about the energy consumption and energy efficiency consequences of their proposals or positions in the proceeding to enable the administrative law judge or the DOT decisionmaker, as the case may be, to determine whether the proceeding will in fact involve a major regulatory action for purposes of this part, and if so, to consider the relevant energy factors in the decision and prepare the energy statement.
(b) In proceedings involving evidentiary hearings, the energy information shall be submitted at such hearings pursuant to DOT's usual procedural regulations and practices, under control of the administrative law judge or other hearing officer.
(c) In proceedings not involving evidentiary hearings, the energy information shall be submitted at such time as other materials in justification of an application are submitted. Where an application itself is intended as justification for DOT action, the energy information shall be submitted with the application. In rulemakings not involving hearings, the energy information shall normally be submitted along with comments on the notice of proposed rulemaking, or as directed in any such notice or any advance notice.
(a) Each major regulatory action shall include, to the extent practicable, consideration of the probable impact of the action taken or to be taken upon energy efficiency and conservation. The administrative law judge or the DOT decisionmaker, as the case may be, shall normally make findings and conclusions about:
(1) The net change in energy consumption;
(2) The net change in energy efficiency; and
(3) The balance struck between energy factors and other public interest and public convenience and necessity factors in the decision.
(b) Energy findings and conclusions contained in any initial or recommended decision are a part of that decision and thus subject to discretionary review by DOT.
(c) In the case of orders to show cause initiated by DOT, energy findings and conclusions may be omitted if adequate information is not available. In such instances, the energy statement shall be integrated into the final decision.
(a) In proceedings in which an environmental impact statement or a finding of no significant impact is prepared by a responsible official pursuant to DOT's procedures implementing the National Environmental Policy Act of 1969 (NEPA), the energy information called for by this part may be included in that statement or declaration in order to yield a single, comprehensive document. In such instances, the DOT's NEPA procedures shall govern the submission of the energy information. However, it shall remain the responsibility of the administrative law judge or the DOT decisionmaker, as the case may be, to make the findings and conclusions required by § 313.6(a) of this part.
(b) A determination that a major regulatory action within the meaning of 42 U.S.C. 6362 and this part may be involved in a proceeding is independent from any determination that the proceeding is a “major Federal action significantly affecting the quality of the human environment” within the meaning of NEPA, and vice versa.
49 U.S.C. Chapters 401, 411, 417.
This part applies to certificated air carriers who terminate or suspend service to a point, or in a market, and to all air carriers who terminate, suspend, or reduce service below the level of essential air service under 49 U.S.C. 41731-41742.
As used in this part:
(1) Was an eligible point under section 419 of the Federal Aviation Act of 1958 as in effect before October 1, 1988;
(2) Received scheduled air transportation at any time between January 1, 1990, and November 4, 1990; and
(3) Is not listed in Department of Transportation Orders 89-9-37 and 89-12-52 as a place ineligible for compensation under Subchapter II of Chapter 417 of the Statute. (For availability of Department of Transportation Orders, see 49 CFR part 7, subpart E and appendix A.)
(a)
(1) Terminate or suspend all passenger air transportation that it is providing to any eligible place in the United States when that termination or suspension will leave no certificated carriers serving that place. Service shall be considered to be terminated or suspended whenever it is operated less than 5 days per week, with three or more intermediate stops, or in one direction only between the two places;
(2) Reduce passenger air transportation so that any eligible place receives less than the level of essential air service determined by DOT;
(3) Terminate or suspend all passenger air transportation that it is providing to any eligible place in the United States for which DOT has not issued an essential air service determination under either § 325.5 or § 325.7 of this chapter, when that termination or suspension will leave only one certificated carrier serving that place. Service shall be considered to be terminated or suspended whenever it is operated less than 5 days per week, with three or more intermediate stops, or in one direction only between the two places;
(4) Reduce passenger air transportation to any eligible place in Alaska for which DOT has not determined the level of essential air service so that the service between that place and every other place served by a certificated carrier is either:
(i) Less than two round trip flights per week, or
(ii) Less than the average weekly number of round trip flights actually provided during calendar year 1976, or
(iii) Less than the number of flights specified under an agreement between DOT and the State of Alaska; or
(5) Terminate, suspend, or reduce passenger air transportation at an eligible place for which DOT has issued, or is required to issue, an essential air service determination under section 41731 or section 41733 of the Statute so that the total available seats of all the carriers linking that place to FAA-designated hubs will be reduced by 33 percent or more during a 90-day period. Service to a hub shall be considered to be terminated or suspended whenever it is operated less than 5 days per week, with three or more intermediate stops, or in one direction only between two places.
(b) [Reserved]
(c)
(1) Air transportation so that any eligible place receives less than the level of essential air service determined by the DOT;
(2) Passenger air transportation to any eligible place for which DOT has not determined the level of essential air service, other than a place in Alaska, so that there is no FAA-designated hub from which the place receives at least two round trip flights per day, 5 days per week; or
(3) Passenger air transportation to any eligible place in Alaska, for which DOT has not determined the level of essential air service, so that the service between that place and every other place served by a certificated carrier is either:
(i) Less than two round trip flights per week, or
(ii) Less than the average number of weekly round trip flights actually provided during calendar year 1976, or
(iii) Less than the number of flights specified under an agreement between DOT and the State of Alaska.
(d) For the purpose of this section, in ascertaining the level of air transportation being provided to a place or between two places, air transportation that has been the subject of a notice filed under this section shall be considered not in operation for the duration of the notice period.
(e) If a certificated carrier was, before October 24, 1978, granted authority to suspend air transportation, and that authority ends on a stated date, the carrier shall comply with the requirements of this part before continuing the suspension beyond that date.
(f) If a certificated carrier was, before October 24, 1978, granted authority to terminate or suspend air transportation, but has not suspended service, the carrier shall comply with the requirements of this part before terminating or suspending service.
(a) The notice required under § 323.3 (a) and (c) shall contain:
(1) Identification of the carrier, including address and telephone number.
(2) Statement whether the carrier is a certificated carrier or an uncertificated carrier.
(3) Names of all other air carriers serving the point at the time of filing.
(4) Description of the service to be terminated, suspended, or reduced, including:
(i) Arrival and departure times at the affected points of the flights to be discontinued,
(ii) Aircraft type used,
(iii) Routes of the flights to be discontinued, and a statement of which routes, if any, will be left without nonstop or single-plane service from a certificated carrier by the intended change, and
(iv) Date of intended termination, suspension, or reduction of service.
(5) A statement whether DOT has determined the level of essential air service for the point, and
(i) If such a determination has been made, a statement whether the intended termination, suspension, or reduction will reduce air transportation to the place below the essential level; or
(ii) If such a determination has not been made, and the place is an eligible place, a statement whether the intended termination, suspension, or reduction reasonably appears to deprive the place of essential air service, and an explanation.
(6) If the place is an eligible place, the calendar date when objections are due under § 323.10.
(7) Proof of service upon all persons specified in § 323.7(a). The proof of service shall include the names of all carriers served and the names and addresses of all other persons served.
(b) [Reserved]
(c) DOT may require any carrier filing notice to supply additional information.
(a) Except as specified by paragraph (b) of this section, a notice required by § 323.3 shall be filed at least:
(1) 90 days before the intended termination, suspension, or reduction, if it is filed by a certificated carrier or by an uncertificated carrier receiving compensation under 49 U.S.C. 41731-41742 for service to the place;
(2) 30 days before the intended termination, suspension, or reduction, if it is filed by an uncertificated carrier not receiving compensation under section 419 of the Act for service to the place.
(b) The notice required by § 323.3(a)(3) shall be filed at least 30 days, and the notice required by § 323.3(a)(1) shall be filed at least 60 days, before the intended termination or suspension.
(a) Each notice filed under this part shall, unless otherwise specified, conform to the procedural rules of general applicability in subpart A of part 302 of this chapter.
(b) Each notice filed under this part shall be titled to indicate the place(s) involved, and to indicate whether it is a 30-, 60-, or 90-day notice and whether it involves a termination, a suspension, or a reduction of air transportation.
(a) A copy of each notice required by § 323.3 shall be served upon:
(1) The chief executive of the principal city or other unit of local government at the affected place. The principal city is the one named, or previously named, in the section 41102 certificate by virtue of which the place qualifies as an eligible place. For places in Alaska or Hawaii that are designated as eligible places without having been listed on a section 41102 certificate, the principal city is the most populous municipality at the place.
(2) [Reserved]
(3) The State agency with jurisdiction over transportation by air in the State containing any community required to be served under paragraph (a)(1) of this section. If there is no such State agency, the notice shall be sent to the governor of that State.
(4) The manager of, or other individual with direct supervision over and responsibility for, the airport at any community required to be served under paragraph (a)(1) of this section.
(5) The Postmaster General (marked for the attention of the Assistant General Counsel, Transportation), if the carrier filing the notice is authorized to transport United States mail to or from any community required to be served under paragraph (a)(1) of this section.
(6) Each air carrier providing scheduled service to a non-hub or FAA-designated small hub that is directly affected by the notice.
(7) The DOT Regional Office for the region in which the affected point is located.
(8) Any other person designated by DOT.
(b) [Reserved]
(c) Local communities, State agencies, and airport managers shall be served personally or by registered or certificated mail. All other persons may be served by ordinary mail.
Carriers are exempted from paragraphs (a)(1), (a)(3), and (a)(5) of § 323.3
(a) Any person may file an objection requesting DOT to prohibit any termination, suspension, or reduction of air transportation to an eligible place that is the subject of a notice filed under this part.
(b) Objections shall contain:
(1) Identification of the objector, including address and telephone number.
(2) A statement of DOT action requested.
(3) The schedules, routes, carriers, and aircraft types for all air transportation to the affected place other than that proposed to be terminated, suspended, or reduced.
(4) A suggested reasonable level of essential air service to the affected place.
(5) [Reserved]
(6) A justification of the suggested level of essential air service.
(7) Proof of service on the carrier filing the notice objected to, on all airport managers and State and local governments on whom the notice was filed, and any other person designated by DOT. The proof of service shall include the names of all carriers served and the names and addresses of all other persons served.
(c) Objectors are strongly urged to include in their objections facts to support the suggested level of essential air service (e.g., traffic and enplanement data, other market studies, facts descriptive of the place's isolation or dependence on air transportation).
(a) Objections shall be filed not later than:
(1) 12 days from the date of filing of a 30-day notice;
(2) 15 days from the date of filing of a 60-day notice; or
(3) 20 days from the date of filing of a 90-day notice.
(b) The Department may accept late-filed objections, upon motion, for good cause shown.
(c) Whenever a notice has been filed earlier than required under § 323.5, the Department may extend the time for filing an objection to that notice.
(a) Any person may file an answer to an objection filed under this part.
(b) An answer must be filed not later than 7 business days after the filing of the objection to which it responds. Late-filed answers may be allowed, and extensions of filing time granted, by the Department for the same reasons as for objections.
(c) An answer may contain the same type of facts and discussion permitted for objections under this part, and must contain:
(1) Proof of service on the objector, on all persons on whom the objection was required to be served, and on any other person designated by the Department. The proof of service shall include the names and addresses of all persons served.
(2) Identification of the answering party, including address and telephone number.
(a) Each objection and answer filed under this part shall, unless otherwise specified, conform to the procedural rules of general applicability in subpart A of part 302 of this chapter.
(b) Each objection shall be titled “Objection to Termination, Suspension, or Reduction of Air Service,” and shall identify the notice to which it responds. Each answer shall be titled “Answer to Objection to Termination, Suspension, or Reduction of Air Service,” and shall identify the objection to which it responds.
(a) If an objection has been filed under this part, DOT will dispose of the objection by order.
(b) If no objection has been filed within the time allowed by § 323.10(a), DOT may:
(1) By order prohibit a termination, suspension, or reduction that reasonably appears to deprive any eligible place of essential air transportation;
(2) Issue a notice or a final order that it will take no action on a notice filed under § 323.3; or
(3) Take no action.
(a) Any air carrier may temporarily suspend service without filing a notice under § 323.3 for any interruption of service that the carrier cannot reasonably be expected to foresee or control, such as rules, standards, or other action, or inaction, of the Administrator of the Federal Aviation Administration or of a foreign government, emergency measures, strikes, weather conditions, construction work on airports, or disasters. However, the provisions of this paragraph shall apply to interruptions due to airport inadequacies only if the carrier is unable to serve the place through any airport convenient to the place with the type of equipment last regularly used to serve the place.
(b) In the case of an interruption of service caused by a strike, the carrier shall give immediate notice of the interruption to DOT. Suspension authority under this section due to a strike shall expire 90 days after employees return to work.
(c) If service to a place is interrupted for more than 3 consecutive days for reasons beyond the carrier's control other than a strike, the holder shall give notice to DOT within 3 days following the date of first interruption, setting forth the date of first interruption and a full statement of the reasons for the interruption.
(d) The notice required by paragraph (b) or (c) of this section shall be marked for the attention of the Director, Office of Aviation Analysis.
(a) Within 15 days following resumption of service after a strike, an air carrier shall file a report with DOT containing a list of all flights that were canceled, the date they were canceled, and the date service was resumed.
(b) The report shall be marked for the attention of the Director, Office of Aviation Analysis.
Each air carrier filing a notice under § 323.3 (a)(2), (a)(4), (a)(5), or (c) shall continue to list the affected flights in all generally-distributed schedule publications in which the flight was listed before the notice. The listings shall continue until DOT permits the flights to be discontinued. The listings may include a notice stating that the flights are “to be discontinued as of (date) subject to government approval.”
If transportation that is the subject of a notice under this part is not discontinued within 90 days of the intended date stated in the notice, a new notice must be filed before the service may be discontinued. However, if DOT requires the carrier to provide service beyond the stated date, the carrier need not file a new notice if it discontinues the service within 90 days after DOT permits it to do so.
Any air carrier that terminates, suspends, or reduces air service, whether or not subject to the notice requirements of this part, shall make reasonable efforts to contact all passengers holding reservations on the affected flights to inform them of the flights' cancellation.
As a condition on the exemption, an air carrier operating under exemption authority in an international market which is the subject of a carrier selection proceeding shall file a notice with the Department at least ninety days before it terminates service in that market. Once such a notice has been filed, the carrier may not terminate service in that market during the notice period unless the air carrier chosen in the selection proceeding enters the market and the Department grants the operating carrier permission to do so. The Department may allow earlier termination for good cause when in the public interest.
49 U.S.C. Chapters 401, 417.
The purpose of this part is to establish procedures to be followed in designating eligible points and in determining essential air transportation levels for eligible points, and in the appeals and periodic reviews of these determinations, under section 419 of the Act.
This part applies to essential air service determinations for communities designated as eligible under section 419(a) of the Act and to eligible point designations and essential air service determinations for communities that qualify under section 419(b) of the Act. It applies to the gathering of data by the Department, and to the participation of State, local, and other officials and other interested persons in the designation and determination processes.
Criteria for designating eligible points under section 419(b) are contained in part 270 of this chapter. Guidelines for deciding essential air service levels are contained in part 398 of this chapter.
As used in this part,
(a) Any point in the United States, the District of Columbia, and the several territories and possessions of the United States to which any direct air carrier was authorized, under a certificate issued by CAB under section 401 of the Act, to provide air service on October 24, 1978, whether or not such service was actually provided;
(b) Any point in the United States and the several territories and possessions of the United States that was deleted from a section 401 certificate between July 1, 1968 and October 24, 1978, inclusive, and that has been designated as an eligible point under the Act; or
(c) Any other point in Alaska or Hawaii that has been designated as an eligible point under the Act.
(a) DOT, on a periodic basis, will send a questionnaire to each eligible point that is served by not more than one certificated air carrier, or is designated as an eligible point under section 419(b)
(1) The chief executive of the principal city, or other unit of local government at the affected point, that is named or has been previously named in a qualifying section 401 certificate. For points in Alaska or Hawaii that are named DOT as eligible points without having been listed on a section 401 certificate, the principal city is the most populous municipality at the point;
(2) The individual or entity with direct supervision over and responsibility for the airport at the eligible point; and
(3) The State agency with jurisdiction over air transportation in the State containing the eligible point. If there is no such State agency, the questionnaire will be sent to the governor of that State.
(b) Within 60 days after receipt of the questionnaire, five copies of the response shall be filed in the Documentary Services Division, unless the Department specifies another date. If no response is received within the period, essential air service for that eligible point may temporarily be set at the minimum level prescribed in section 419(f) of the Act.
(c) Any other interested person may, during the 60-day response period, submit information relevant to the essential air service level of that eligible point by filing in the Documentary Services Division, five copies of a document titled with the name of the point involved.
(d) As necessary, the DOT may request additional information to supplement the questionnaire.
(a) Not later than October 24, 1979, after reviewing all information submitted, CAB issued determinations of the essential level of air service for eligible points that, on October 24, 1978, were served by not more than one direct air carrier holding a certificate under section 401 of the Act for scheduled service to the point.
(b) DOT will issue a determination of the essential level of air service for a point within 6 months after each of the following events:
(1) A notice is received that service to an eligible point will be reduced to only one carrier that holds a section 401 certificate;
(2) A point is designated as an eligible point under section 419(b) of the Act and either paragraph (c) of this section, paragraph (d) of this section, or § 325.7(e); or
(3) A review was conducted of essential air service of that point under § 325.6.
(c) Not later than January 1, 1982, CAB designated the communities described in § 270.2(a) and (b) as eligible points or as ineligible.
(d) After January 1, 1982, DOT may designate communities in Alaska or Hawaii as eligible points if they apply for such designation.
(a) The Department will start a periodic review of essential air service within 1 year of the date of the previous determination of essential air service for eligible points receiving subsidized service, within 2 years of the date of the previous determination for eligible points in Alaska, and within 3 years of the date of the previous determination for eligible points without subsidized air service.
(b) The review shall be conducted in accordance with the procedures in §§ 325.4, 325.5 and 325.7.
(c) The Department may review the designation under section 419(b) of a community as an eligible point to determine whether that point continues to meet the criteria in part 270 of this chapter.
(a) Any person may file with DOT a petition titled “Petition for Modification of Essential Air Service Level,” asking to modify the essential air service level at a point.
(b) The petition shall identify the point affected, and specifically state the reasons why the petitioner believes
(c) Any person may, within 30 days after the filing of a petition for modification, file an answer to that petition titled “Answer to Petition for Modification.”
(d) After review, the Department may seek more information and the procedures of §§ 325.5 and 325.7 will be followed.
All documents filed under this part shall be filed in the Documentary Services Division, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, D.C. 20590, and on their front page state:
(a) The title of the document;
(b) The name of the affected community;
(c) The name, address, and telephone number of a person who can be contacted for further information concerning the subject of the document; and
(d) In the case of a responsive document, the docket number of the document to which it responds.
Any person, except one filing individually as a consumer, who files a document under this part, including responses to the questionnaire, shall serve that document upon those listed in § 325.4(a) of this part and upon the following:
(a) The governor of the State in which the eligible point is located;
(b) Each air carrier providing scheduled service to the affected eligible point;
(c) In the case of a responsive document, the one who filed the document to which it responds; and
(d) The U.S. Postal Service, Assistant General Counsel, Transportation Division, Law Department, Washington, D.C. 20260.
Notwithstanding any provision of part 312 or part 313 of this chapter, a person filing a petition or appeal under this part is not required to file an environmental evaluation or energy information with the application.
Except where they are inconsistent, the provisions of subpart A of part 302 of this chapter shall apply to proceedings under this part.
Pub. L. 107-42, 115 Stat. 230 (49 U.S.C. 40101 note); sec. 124(d), Pub. L. 107-71, 115 Stat. 631 (49 U.S.C. 40101 note).
The purpose of this part is to establish procedures to implement section 101(a)(2) of the Air Transportation Safety and System Stabilization Act (“the Act”), Public Law 107-42, 115 Stat. 230 (49 U.S.C. 40101 note). This statutory provision is intended to compensate air carriers for direct losses incurred as a result of the Federal ground stop order issued by the Secretary of Transportation, and any subsequent orders, following the terrorist attacks of September 11, 2001, and incremental losses incurred from September 11 through December 31, 2001, as the result of those attacks.
The following terms apply to this part:
Under this part, the Department will distribute up to the full amount of the compensation it determines is payable to air carriers under section 103(b) of the Act, and up to the full amount of the set-aside provided for in subpart C of this part to air carriers eligible for it. The Department may require additional information to support payments to individual carriers in connection with this final payment.
(a) You are eligible to receive compensation equaling the lesser of your direct and incremental losses or the amount calculated by the formula set forth in section 103(b)(2) of the Act.
(b) If at any time we determine that a carrier has been compensated in an amount that exceeds the amount to which it is entitled under section 103(b) of the Act or the subpart C set-aside program, the Department will notify
(a) If you are a certificated air carrier, a commuter air carrier, an air taxi, or an indirect air carrier, you are eligible to apply for compensation under subpart B of this part.
(b) [Reserved]
(c) If you are a foreign air carrier, commercial operator, flying club, fractional owner, general aviation operator, fixed base operator, flight school, or ticket agent, you are not eligible to apply for compensation under this part.
Yes, if, as an air carrier, you previously received compensation under section 101(a)(2) of the Act, you must, in all cases, submit a complete Form 330 (Final) and other documents required under this part. You must do so even if you are not seeking additional compensation.
(a) You must submit your application, and all required supporting information, in hard copy (not by fax or electronic means) to the following address:
(b) If your complete application is not sent to the address in paragraph (a) of this section as required in this section, the Department will not accept it.
As an air carrier applying for compensation under this part, you must provide to the Department all materials described in §§ 330.27-330.33. The Department will not accept your application if it does not comply fully with the requirements of this subpart.
(a) You must submit Form 330 (Final), found in appendix A to this part. Data supplied on Form 330 (Final) in appendix A to this part must be tied only to the airline portion of their businesses and must exclude non-air transportation related expenses.
(b) [Reserved]
(c) Air carriers that operate both passenger/combination aircraft and all-cargo aircraft and routinely report to the Department ASMs and RTMs separately for both types of flights must submit two versions of Form 330 (Final) in appendix A to this part to seek compensation on both an ASM and RTM basis. Financial and operational data (both actual and forecasted) must be disaggregated and correlate exclusively to one or the other type of operation.
(d) You must include the following financial information on Form 330 (Final) for the period September 11, 2001 through December 31, 2001:
(1) Your pre-September 11, 2001, profit/loss forecast for the period beginning September 11, 2001, and ending December 31, 2001. This forecast must reflect seasonal reductions in capacity and the cost savings associated with such reductions. Documentation verifying that the pre-September 11, 2001, forecast was, in fact, completed before that
(2) Your actual results for that same period reflecting any losses that were a direct result of the terrorist attacks of September 11, 2001. These actual results must incorporate all cost reductions associated with capacity reductions and furloughs you made due to the reduced demand for air service after the September 11th attacks (e.g., employee pay adjustments and furloughs, changes in aircraft fleet in service, schedule and capacity changes, etc.).
(3) The difference between your forecast profits/losses and actual results for that period (
(4) The actual losses you report must be net losses, before taxes, taking into account savings from such items as reductions in passenger and cargo handling costs, fuel consumption, landing fees, revenue/traffic-related expenses (e.g., commissions, food and beverage, booking fees, credit card fees), and savings of other costs due to the ground stop and subsequent schedule/capacity/staff reductions (including savings from layoffs of employees, adjusted for severance payments), as well as proceeds from business recovery insurance or other insurance payments. You must not report as losses insurance premium increases that have been or will be compensated by the Government under the Act, or other losses that have been or will be compensated by other subsidies or assistance provided by Federal, state, or local governments.
As an air taxi operator, you must complete Form 330 (Final) in accordance with the requirements in § 330.27. You must also complete pages 2, 5, and 6 (certifying pages 2 and 5) of Form 330-C as shown in appendix C to this part. Explanatory notes are included on that Form.
(a) Except as provided in paragraph (d) of this section, if you are applying for compensation as a passenger or combination passenger/cargo carrier, you must have submitted your August 2001 total completed ASM report to the Department for your system-wide air service (e.g., scheduled, non-scheduled, foreign, and domestic).
(b) Except as provided in paragraph (d) of this section, if you are applying for compensation as an all-cargo carrier, you must have submitted your RTM reports to the Department for the second calendar quarter of 2001.
(c) In calculating and submitting ASMs and RTMs under paragraphs (a) and (b) of this section, there are certain things you must not do:
(1) Except at the direction of the Department, or to correct an error that you document to the Department, you must not alter the ASM or RTM reports you earlier submitted to the Department. Your ASMs or RTMs for purposes of this part are as you have reported them to the Department according to existing standards, requirements, and methodologies established by the Office of Airline Information (Bureau of Transportation Statistics).
(2) You must not include ASMs or RTMs resulting from operations by your code-sharing or alliance partners.
(d) If you have not previously reported ASMs or RTMs as provided in paragraphs (a) and (b) of this section for a given operation or operations, you may submit your calculation of ASMs or RTMs to the Department with your application. You must certify the accuracy of this calculation and submit with your application the data and assumptions on which the calculation is based. After reviewing your submission, the Department may modify or reject your calculation.
(1) If you are a direct air carrier that has operated your aircraft for a lessee (i.e., a wet lease, or aircraft, crew, maintenance, and insurance (ACMI) operation), you may submit your calculation of ASMs or RTMs for these flights. Your submission must include the following elements:
(i) Documentation that you otherwise qualify as an air carrier;
(ii) Documentation that you are a wet lessor, and an explanation of why you did not previously report ASMs or RTMs for the operations in question;
(iii) Documentation of the identify of the wet lessees involved in these operations; and
(iv) Accurate and auditable records of ASMs or RTMs actually flown during the relevant time period for these operations.
(2) If you are an indirect air carrier, you may submit your calculation of ASMs or RTMs for flights that direct air carriers have operated for you under contract or other arrangement. Your submission must include the following elements:
(i) Documentation that you otherwise qualify as an air carrier;
(ii) Documentation that you are an indirect air carrier, and an explanation of why you did not previously report ASMs or RTMs for the operations in question;
(iii) Documentation of the identify of the direct air carriers involved in these operations; and
(iv) Accurate and auditable records of ASMs or RTMs actually flown during the relevant time period for these operations.
Yes, with respect to all information submitted or retained under §§ 330.27-330.31 and 330.35, your Chief Executive Officer (CEO), Chief Financial Officer (CFO), or Chief Operating Officer (COO) or, if those titles are not used, the equivalent officer, must certify that the submitted information was prepared under his or her supervision and is true and accurate, under penalty of law.
As an air carrier that applies for compensation under this part, you must retain records as follows:
(a) You must retain all books, records, and other source and summary documentation supporting your claims for compensation of direct and incremental losses pursuant to Sections 101, 103, and 106 of the Act. This requirement includes, but is not limited to, the following:
(1) You must retain supporting evidence and documentation demonstrating the validity of the data you provide under §§ 330.27-330.31.
(2) You must retain documentation verifying that your pre-September 11, 2001, forecast was the most recent forecast available to that date.
(3) You must also retain documentation outlining the assumptions made for all forecasts and the source of the data and other inputs used in making the forecasts.
(4) You must agree to have your independent public accountant retain all reports, working papers, and supporting documentation pertaining to the agreed-upon procedures engagement conducted by your independent public accountant under the requirements of this part for a period of five years. The accountant must make this information available for audit and examination by representatives of the Department of Transportation (including the Office of the Inspector General), the Comptroller General of the United States, or other Federal agencies.
(b) You must preserve and maintain this documentation in a manner that readily permits its audit and examination by representatives of the Department of Transportation (including the Office of the Inspector General), the Comptroller General of the United States, or other Federal agencies.
(c) You must retain this documentation for five years.
(d) You must make all requested data available within one week from a request by the Department of Transportation (including the Office of the Inspector General), the Comptroller General of the United States, or other Federal agencies.
(a) All payments you receive from the Department of Transportation under this program are subject to audit. All information you submit with your applications and all records and documentation that you retain are also subject to audit.
(b) Except as provided in paragraph (d) of this section, before you are eligible to receive payment from the final installment of compensation under the Act, there must be an independent public accountant's report based on the performance of procedures agreed upon by the Department of Transportation with respect to the carrier's forecasts and actual results. The independent public accountant's engagement must be performed in accordance with generally accepted professional standards applicable to agreed-upon procedures engagements. You must submit the results of the agreed-upon procedures engagement to the Department with your application for payment of the final installment.
(c) The following are the core requirements for the independent public accountant's review:
(1) Determine that the earnings forecast presented to the Department was inclusive of the entity's full operations as an air carrier and was the most current forecast prepared prior to September 11, 2001;
(2) Determine that, if forecasts presented to the Department for prior periods had material variances from actual results, the carrier provided explanations to account for such variances;
(3) Determine that the methodology for allocating revenue and expenses to the periods September 1-10 and September 11-30, from the forecasted and actual September results, was in accordance with air carrier records and analyses;
(4) Determine that the actual expenses and revenues presented to the Department are in accordance with the official accounting records of the carrier or the financial statements included in the carrier's Securities and Exchange Commission Form 10-Q (for availability, see 17 CFR 249.0-1(b)), and consistent with Generally Accepted Accounting Principles (GAAP), except to the extent that GAAP would require or allow treatment that would be inconsistent with the Act or this part;
(5) Verify that the carrier provided explanations supporting the allocation methodology used if the forecasted and/or actual results for the September 11-30 period was different from allocating 66.7 percent of the total amounts for September;
(6) Determine that the carrier provided full explanations for all material differences between forecast and actual results for the September 11-30, 2001 period and the October 1—December 31, 2001 period;
(7) Determine that the amounts included in management's explanations for such material differences were in accordance with the carrier's analysis of such fluctuations, and the amounts and explanations were traceable to supporting general ledger accounting records or analyses prepared by the carrier;
(8) Determine that the amounts presented to the Department in Form 330 (Final), pages 2-3, in appendix A to this part that the carrier identified as adjustments to the difference between the pre-September 11 forecast and actual results for the period September 11 through December 31, 2001, were in accordance with the official accounting records of the carrier or the financial statements included in the carrier's Securities and Exchange Commission Form 10-Q, and consistent with GAAP, except to the extent that GAAP would require or allow treatment that would be inconsistent with the Act or this part;
(9) Determine that the insurance recoveries and government payments reported by the air carrier and offsetting income were in accordance with the air carrier's general ledger accounting records;
(10) Determine that the information presented in the air carrier's Supplemental Certification were in accordance with the air carrier's general ledger accounting records;
(11) Include in the auditor's report full documentation for each exception taken by the auditor; and
(12) Identify air carrier reports and records utilized in performing the procedures in paragraphs (c)(1) through (11) of this section.
(d) If you are a carrier that reported fewer than 10 million ASMs for the month of August 2001 or fewer than two million RTMs for the quarter ending June 30, 2001, you are not required to report to the Department on the basis
(a)(1) The Department generally does not allow air carriers to include in their calculations aircraft impairment charges, charges or expenses attributable to lease buyouts, or other losses that are not actually and fully realized in the period between September 11, 2001 and December 31, 2001.
(2) The Department will consider requests to accept adjustments for extraordinary or non-recurring expenses or revenues on a case-by-case basis. If, as a carrier, you make such a request, you must demonstrate the following to the satisfaction of the Department:
(i) That the expense or revenue was (or was not, as appropriate) the direct result of the terrorist attacks of September 11, 2001;
(ii) That the revenue or expense was reported in accordance with Generally Accepted Accounting Principles (GAAP), except to the extent that the GAAP would require or allow treatment that would be inconsistent with the Act or this part;
(iii) That an expense was fully borne within the September 11—December 31, 2001, period and is permanent; and
(iv) That the resulting additional compensation would not be duplicative of other allowances for compensation.
(b) The Department generally does not accept claims by air carriers that cost savings should be excluded from the calculation of incurred losses. Consequently, the Department will generally not allow such claims to be used in a way that has the effect of increasing the compensation for which an air carrier is eligible.
The Department is setting aside a sum of up to $35 million to compensate eligible classes of air carriers, for which application of a distribution formula containing ASMs as a factor, as set forth in section 103(b)(2) of the Act, would inadequately reflect their share of direct and incremental losses.
There are two classes of eligible air carriers:
(a) You are a Class I air carrier if you are an air taxi, regional, commuter or indirect air carrier and you reported 75,000 or fewer ASMs to the Department for the month of August, 2001.
(b) You are a Class II air carrier if you are an air taxi, regional, commuter or indirect air carrier and you reported between 75,001 and 10 million ASMs to the Department for the month of August 2001.
(a) Except as provided in paragraph (c) of this section, as an air carrier eligible for compensation through the set-aside, you will be compensated for an amount calculated as provided in paragraph (b) of this section.
(b)(1) As a Class I carrier, your compensation will be calculated using a fixed ASM rate equivalent to the mean losses per ASM for all Class I carriers applying for compensation.
(2) As a Class II carrier, your compensation will be calculated using a graduated ASM rate equivalent to—
(i) The mean loss per ASM for all Class I carriers applying for compensation, for each of the first 75,000 ASMs reported; and
(ii) The mean remaining loss per ASM for all Class II carriers applying for compensation for each ASM in excess of 75,000.
(3) For purposes of this paragraph (b), ASMs are those verified by the Department for August 2001.
(4) Any compensation payments previously made to air carriers eligible for the set-aside will be deducted from the amount calculated as the carrier's
(c) If you are an air carrier whose compensation is calculated using an ASM rate as provided in paragraph (b) of this section, your compensation will not be less than an amount equivalent to 25 percent of the direct and incremental transportation-related losses you have demonstrated to the satisfaction of the Department were incurred as a direct result of the terrorist attacks of September 11, 2001. Your compensation will not be more than an amount equivalent to the mean percentage of compensation for losses received by passenger and combination air carriers that are not eligible for the set-aside funds, unless you would have been compensated for more than that percentage of losses under the formula set forth in section 103(b)(2) of the Act, in which case you will be compensated under that formula.
49 U.S.C. Chapters 401, 411, 413, 417.
This part establishes the terms and conditions governing the furnishing of overseas military personnel charters in air transportation by direct air carriers or foreign air carriers and by overseas military charter operators. This part also relieves charter operators from the provisions of section 41102 of Title 49 of the United States Code (“the Statute”), for the purpose of enabling them to provide overseas military personnel charters utilizing aircraft chartered from such direct air carriers or foreign air carriers. Nothing contained in this part shall be construed as repealing or amending any provisions of any of the Department's regulations, unless the context so requires.
As used in this part, unless the context otherwise requires:
A waiver of any of the provisions of this regulation may be granted by the Department upon its own initiative, or upon the submission by a charter operator of a written request therefor:
In case of any violation of the provisions of the Statute, or this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding pursuant to section 46101 of the Statute before the Department, or sections 46106 through 46108 of the Statute before a U.S. district court, as the case may be, to compel compliance therewith, to civil penalties pursuant to the provisions of section 46301 of the Statute, or in the case of willful violation, to criminal penalties pursuant to the provisions of section 46316 of the Statute; or other lawful sanctions.
The Department reserves the power to suspend the authority of any charter operator, without hearing, if it finds that such action is necessary in order to protect the rights of the traveling public, or to revoke such authority for cause.
Charter operators are hereby relieved from the provisions of section 41102 of the Statute only if and so long as they comply with the provisions of this part and the conditions imposed herein, and to the extent necessary to permit them to organize and arrange overseas military personnel charters.
No person shall engage in air transportation as an overseas military personnel charter operator by organizing, providing, selling, or offering to sell, soliciting, or advertising an overseas military personnel charter or charters unless there is in force an operating authorization issued pursuant to
Solicitation of charter participants through advertising by charter operators shall be restricted to the following:
(a) Radio and television stations operated by the U.S. Armed Forces;
(b) Newspapers, periodicals, or other printed media disseminated and distributed primarily among military personnel or civilian employees of the Department of Defense:
No charter operator shall make, give, or cause any undue or unreasonable preference or advantage to any particular person, port, locality, or description of traffic in air transportation in any respect whatsoever or subject any particular person, port, locality, or description of traffic in air transportation to any unjust discrimination or any undue or unreasonable prejudice or disadvantage in any respect whatsoever.
No charter operator shall engage in unfair or deceptive practices or unfair methods of competition in air transportation or the sale thereof.
(a) Before selling or offering to sell, soliciting or advertising any charter flight, a charter operator shall comply with one of the three following requirements:
(1) The charter operator shall furnish a surety bond in an amount not less than the maximum fare held out for charter flights proposed to be operated during each calendar month multiplied by 90 percent of the number of available seats on such flights:
(2) The charter operator shall:
(i) Furnish and file with the Department a surety bond in the amount of $100,000 for the protection of the charter participants:
(ii) Enter into an agreement with a bank, the terms of which shall include the following:
(
(
(
(
(
(
(3) The charter operator shall:
(i) Furnish and file with the Department a surety bond in the amount of $100,000 for the protection of the charter participants:
(ii) Enter into an agreement with a bank, the terms of which shall include the following:
(
(
(b) As used in this section, the term
(c) Any bond furnished under this section shall insure the financial responsibility of the charter operator and the supplying of the air transportation in accordance with the contract between the charter operator and the charter participants, and shall be in the form set forth as appendix A to this part. Such bond shall be issued by a bonding or surety company (1) whose surety bonds are accepted by the Interstate Commerce Commission under 49 CFR 1084.6; or (2) which is listed in Best's Insurance Reports (fire and casualty) with a general policyholders' rating of “A” or better. The bonding or surety company shall be one legally authorized to issue bonds of that type in the State in which the charter originates or in which the charter operator is incorporated. For purposes of this
(d) Any bond furnished under this section shall provide that unless the charter participant files a claim with the charter operator, or, if he is unavailable, with the surety, within sixty (60) days after termination of the charter, the surety shall be released from all liability under the bond to such charter participant. The contract between the charter operator and the charter participants shall contain notice of this provision.
Effective October 1, 1972, a charter operator shall not operate or sell or offer to sell, solicit or advertise, any charter trips unless such operator shall have on file with the Department a currently effective tariff showing all rates, fares, and charges for such charter trips and showing the rules, regulations, practices, and services in connection with such transportation.
It shall be an express condition upon the exercise of the exemption herein granted and the operating authorizations issued hereunder, that the charter operator concerned, in holding out to the public and performing air transportation services, shall do so only in a name the use of which is authorized under the provisions of part 215 of this chapter.
(a) Every charter operator conducting a charter pursuant to this part shall retain for 2 years after completion of the charter or series of charters true copies of the following documents at its principal or general office in the United States:
(1) All documents which evidence or reflect deposits made by, and refunds made to, each charter participant;
(2) All statements, invoices, bills, and receipts from suppliers or furnishers of goods and services in connection with the charter or series of charters.
(b) Every charter operator shall make the documents listed in this section available upon request by an authorized representative of the Department and shall permit such representative to make such notes and copies thereof as he deems appropriate.
(a)
(1) Date;
(2) Name of applicant, trade names, and name in which authorization is to be issued;
(3) Address of principal office and mailing address;
(4) Form of organization (i.e., corporation, partnership, etc.), State under whose laws company is authorized to operate and date company was formed;
(5) A list containing the names of each officer, director, partner, owner, or member of applicant, and holder of more than 5 percent of outstanding stock if a corporation, or owner of more than a 5-percent interest if other than a corporation; an indication as to whether or not 75 percent or more of the voting interest is owned or controlled by citizens of the United States or one of its possessions; if more than 5 percent of applicant's stock is held by a corporation, an indication must be made as to whether or not 75 percent or more of the voting interest in such corporation is owned or controlled by citizens of the United States or one of its possessions;
(6) A description of current business activities and of former business experience in, or related to, the transportation field;
(7) Description of operating authority granted applicant by agencies of the U.S. Government (such as customs broker, surface or air freight forwarder, motor carrier, ocean freight forwarder, etc.), and, if applicable, reasons for revocation or other termination;
(8) List of names of the officers, owners, etc., of applicants who have at any time applied for any type of authority or registration from the Civil Aeronautics Board or the Department of Transportation and, if applicable, reasons for revocation or other termination;
(9) List of officers, owners, etc., of applicant who have at any time been employed by or associated with any air carrier authorized to operate by the Civil Aeronautics Board or the Department of Transportation indicating dates of employment and capacity in which employed;
(10) Any additional information in support of application;
(11) Balance sheet as of a date not more than 3 months prior to application and profit and loss statement for the full year ending as of date of balance sheet;
(12) Brief account of any arrangement by which applicant will have available financial sources and facilities of other companies or individuals;
(13) The charter operator's surety bond and, where applicable, a copy of the depository, escrow or trust agreement with a bank as provided in § 372.24.
(b)
(a) If, after the filing of an application for an operating authorization, it appears that the applicant is capable of performing the air transportation authorized by this part as an overseas military personnel charter operator and of conforming to the provisions of the Act and all rules and requirements thereunder, and that the conduct of such operations by the applicant will not be inconsistent with the public interest, the applicant will be notified by letter. Such notification will advise
(b) If, after the filing of an application for an operating authorization, it appears that the applicant has not made a due showing of capability or that the conduct of operations by the applicant might otherwise be inconsistent with the public interest, the Department shall by letter notify the applicant of its findings to that effect. The Department may dismiss any such application unless within 30 days of the date of the mailing of such letter, the applicant has in writing requested reconsideration and submitted such additional information as it believes will make the necessary showing, or requested that the application be assigned for hearing, in which case the applicant shall outline the evidence to be presented at such hearing and shall show the need for hearing in order properly to present its case.
(c) In the event that reconsideration or hearing is requested, the Department may, without notice or hearing, enter an order of approval or of disapproval in accordance without notice or hearing, enter an order of approval or of disapproval in accordance with its determination of the public interest upon the showing made, or on its own initiative may assign the application for hearing.
Each operating authorization shall be effective upon the date specified therein, and shall continue in effect, unless sooner suspended or revoked, during such period as the authority provided by this part shall remain in effect, or if issued for a limited period of time, shall continue in effect until the expiration thereof unless sooner suspended or revoked.
(a) An operating authorization shall be nontransferable and shall be effective only with respect to the person named therein or his successor by operation of law, subject to the provisions of this section. The following persons may temporarily continue operations under an operating authorization issued in the name of another person, for a maximum period of 6 months from the effective date of succession, by giving written notice of such succession to the Department within 60 days after the succession:
(1) Administrators or executors of deceased persons;
(2) Guardians of incapacitated persons;
(3) Surviving partner or partners collectively of dissolved partnerships; and
(4) Trustees, receivers, conservators, assignees, or other such persons who are authorized by law to collect and preserve the property of financially disabled persons.
(b) All operations by successors, as above authorized, shall be performed in the name or names of the prior holder of the operating authorization and the name of the successor, whose capacity shall also be designated. Any successor desiring to continue operations after the expiration of the 6-month period above authorized must file an application for a new operating authorization within 120 days after such succession. If a timely application is filed, such successor may continue operations until final disposition of the application by the Department.
Know all men by these presents, that we ________ (name of charter operator) of ________ (address) as Principal hereinafter called “Principal”), and ________ (name of surety) a corporation created and existing under the laws of the State of ________ (State) as Surety (hereinafter called “Surety”) are held and firmly bound unto the United States of America in the sum of ________ (see § 372.24(a), 14 CFR Part 372) for which payment, well and truly to be made, we bind ourselves and our heirs, executors, administrators, successors, and assigns, jointly and severally firmly by these presents.
Whereas Principal is an overseas military personnel charter operator pursuant to the provisions of Part 372 of the Department's
Whereas this bond is written to assure compliance by Principal as an authorized charter operator with Part 372 of the Department's Special Regulations, and other rules and regulations of the Department relating to security for the protection of charter participants, and shall inure to the benefit of any and all charter participants to whom Principal may be held legally liable for any damages herein described.
Now, therefore, the condition of this obligation is such that if Principal shall pay or cause to be paid to charter participants any sum or sums for which Principal may be held legally liable by reason of Principal's failure faithfully to perform, fulfill and carry out all contracts, agreements, and arrangements made by Principal while this bond is in effect with respect to the receipt of moneys from charter participants, and proper disbursement thereof pursuant to and in accordance with the provisions of Part 372 of the Department's Special Regulations, then this obligation shall be void, otherwise to remain in full force and effect.
The liability of Surety with respect to any charter participant shall not exceed the charter price paid by or on behalf of such participant.
The liability of Surety shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall amount in the aggregate to the penalty (face amount) of the bond, but in no event shall Surety's obligation hereunder exceed the amount of said penalty.
Surety agrees to furnish written notice to the Office of Aviation Analysis, Department of Transportation, forthwith of all suits or claims made and judgments rendered, and payments made by Surety under this bond.
This bond shall cover the following Charters:
This bond is effective on the ___ day of _____, 199_, 12:01 a.m., standard time at the address of Principal as stated herein and as hereinafter provided. Principal or Surety may at any time terminate this bond by written notice to: Special Authorities Division (X-57), Office of Aviation Analysis, U.S. Department of Transportation, Washington, DC 20590, such termination to become effective thirty (30) days after the actual receipt of said notice by the Department. Surety shall not be liable hereunder for the payment of any damages hereinbefore described which arise as a result of any contracts, agreements, undertakings, or arrangements for the supplying of transportation and other services made by Principal after the termination of this bond as herein provided, but such termination shall not affect the liability of the bond hereunder for the payment of any damages arising as a result of contracts, agreements, or arrangements for the supplying of transportation and other services made by Principal prior to the date that such termination becomes effective. Liability of Surety under this bond shall in all events be limited only to a charter participant or charter participants who shall within sixty (60) days after the termination of the particular charter described herein give written notice of claim to the charter operator or, if it is unavailable, to Surety, and all liability on this bond shall automatically terminate sixty (60) days after the termination date of each particular charter covered by this bond except for claims made in the time provided herein.
In witness whereof, the said Principal and Surety have executed this instrument on the ___ day of _____, 199_.
Only corporations may qualify to act as surety and they must meet the requirements set forth in § 372.24(c) of Part 372.
15 U.S.C. 1601-1693r; 49 U.S.C. Subtitle VII; and 12 CFR parts 202 and 226.
The purpose of this part is to state the Department of Transportation's responsibility to enforce air carrier and foreign air carrier compliance with Subchapters I, III, IV, V and VI of the Consumer Credit Protection Act and Regulations B and Z of the Board of Governors of the Federal Reserve System.
This part is applicable to all air carriers and foreign air carriers engaging in consumer credit transactions.
(a) Each air carrier and foreign air carrier shall comply with the requirements of the Consumer Credit Protection Act, 15 U.S.C. 1601-1693r. Any violation of the following requirements of that Act will be a violation of 49 U.S.C. Subtitle VII, enforceable by the Department of Transportation:
(1) The Truth in Lending Act, as supplemented by the Fair Credit Billing Act, 15 U.S.C. 1601-1667, requiring disclosure of credit terms to the consumer and prohibiting inaccurate or unfair credit billing and credit card practices.
(2) The Fair Credit Reporting Act, 15 U.S.C. 1681-1681 setting forth requirements to be met by consumer credit reporting agencies and persons who use consumer credit reports.
(b) Each air carrier and foreign air carrier shall comply with the requirements of Regulation B, 12 CFR part 202, and Regulation Z, 12 CFR part 226, of the Board of Governors of the Federal Reserve Board. Any violation of the requirements of those regulations will be a violation of 49 U.S.C. Subtitle VII, enforceable by the Department of Transportation.
The statutes and regulations referred to in § 374.3 may be enforced by an enforcement procedure as set forth in part 302 of this chapter or by the assessment of civil penalties under 49 U.S.C. 46301.
49 U.S.C. chapters 401, 411, 415, 417.
Section 401 of the Federal Election Campaign Act of 1971 (Pub. L. 92-225, 86 Stat. 19, 2 U.S.C. 451, enacted February 7, 1972, and hereafter referred to as the “Election Campaign Act”) directs the Civil Aeronautics Board to promulgate, within 90 days after enactment, regulations with respect to the extension of unsecured credit by any person regulated by the Board to any candidate for Federal office, or to any person on behalf of such a candidate, for goods furnished or services rendered in connection with the campaign of such candidate for nomination for election, or election, to such office. The purpose of this part is to issue rules pursuant to said section 401 of the Election Campaign Act in accordance with the Civil Aeronautics Board's responsibility thereunder.
This regulation shall be applicable to all air carriers as defined herein.
(a) Unless adequate security is posted, or full payment in advance is made,
(1) At least once a month the air carrier shall submit to each such candidate or person a statement covering all unsecured credit extended to such candidate or person, as the case may be (whether in connection with the campaign of such candidate or otherwise.)
(2) Such statements shall be mailed no later than the second business day following the last day of the billing period, covered by the statement.
(3) The amount of indebtedness shown on each such statement shall be payable in full no later than 25 days after the last day of the billing period, after which time the indebtedness shall be overdue.
(4)(i) Unsecured credit shall not be extended by an air carrier to a candidate, or to any person acting on his behalf in connection with the campaign of such candidate, so long as any overdue indebtedness of such candidate to such air carrier shall remain unpaid, in whole or in part, or so long as such air carrier shall know that any overdue indebtedness of such candidate to any other air carrier remains unpaid, in whole or in part.
(ii) Unsecured credit shall not be extended by an air carrier to a person acting on behalf of a candidate, for transportation in connection with the campaign of such candidate, so long as any overdue indebtedness of such person to such carrier shall remain unpaid, in whole or in part, or so long as such air carrier shall know that any overdue indebtedness of such person to any other air carrier remains unpaid, in whole or in part.
(5)(i) With respect to transportation in connection with the campaign of any candidate to be performed after June 1, 1972, unsecured credit shall not be extended by an air carrier to any person acting on behalf of such candidate unless the carrier is authorized in writing by such candidate to extend such credit. The foregoing sentence shall not be construed as requiring the candidate to assume liability to the carrier for credit so extended.
(ii) Within 7 days after indebtedness becomes overdue for any unsecured credit extended by an air carrier to a person acting on behalf of a candidate in accordance with paragraph (a)(5)(i) of this section, the carrier shall notify the candidate in writing of the amount of the overdue indebtedness, and, unless paid in full within 25 days after the date of such notice, the overdue indebtedness shall be deemed to be the overdue indebtedness of the candidate, for the purposes of paragraph (b)(4)(i) of this section.
(b) It shall be presumed that a candidate or person acting on behalf of a candidate intends to use transportation in connection with the campaign of such candidate for nomination for election, or election, to Federal office.
Air carriers are exempt from the following provisions of Title IV of the Federal Aviation Act of 1958, as amended: (a) Section 403, (b) section 404(b), and any and all other provisions of Title IV of the Federal Aviation Act of 1958, as amended, to the extent necessary to enable air carriers to comply with the provisions of this part.
(a) Air carriers shall make monthly reports to the Bureau of Transportation Statistics with respect to the credit for transportation furnished to candidates, or persons acting on behalf of candidates, during the period from 6 months before nomination, if any, or from 6 months before election, until the date of election. After that 6-month period, air carriers shall file such a report with the Bureau of Transportation Statistics not later than the 20th day following the end of the calendar month in which the election or nomination takes place, and thereafter
(b)(1) A separate report shall be filed for each candidate with an aggregate indebtedness balance of over $5,000 on the last day of the month to which the report pertains. The report shall cover all debts incurred by the candidate, whether or not incurred in connection with his campaign, and all debts incurred by persons acting on his behalf in connection with such campaign. The indebtedness accounts reported shall be those which the air carrier knows, or has reason to know, have been incurred by or on behalf of a candidate; and it shall be presumed that the transportation for which the indebtedness has been incurred is intended to be used in connection with the campaign of such candidate for nomination for election, or election, to Federal office.
(2) The reports required by this paragraph (b) shall be filed with the Office of Airline Information not later than the 20th day following the end of the calendar month to which the report pertains. They shall include the following data: (i) Name of account; (ii) the credit limit established for such account; (iii) the balance, if any, of the amount payable for transportation not paid for in advance; (iv) any unpaid balance of the charges for such transportation as of the last day of the month covered by the report, and the length of time that such balance has remained unpaid; and (v) a description of the type and value of any bond, collateral, or other security securing such unpaid balance.
(3) The report required by this paragraph (b) shall be in the form attached hereto as Appendix A.
(c) A separate report shall be filed for each person acting on behalf of any candidate, if the aggregate indebtedness balance of such person to the reporting air carrier (including all debts incurred by such person, whether or not incurred in connection with the campaign of a candidate, as defined in this part) is over $5,000 on the last day of the month to which the report pertains. The report shall be filed with the Office of Airline Information not later than the 20th day following the end of the calendar month to which the report pertains and shall include (1) the credit limitation established for such person; (2) the balance, if any, of the amount payable for transportation not paid for in advance; (3) any unpaid balance of the charges for such transportation as of the last day of the month covered by the report, and the length of time that such balance has remained unpaid; and (4) a description of the type and value of any bond, collateral, or other security securing such unpaid balance.
(a) Every air carrier subject to the part shall retain for 2 years after a Federal election true copies of the following documents at its principal or general office in the United States:
(1) All documents which evidence or reflect the furnishing of transportation to a candidate for political office or a person acting on his behalf;
(2) All statements, invoices, bills, and receipts with respect to the furnishing of such transportation referred to in paragraph (a)(1) of this section.
(b) Every air carrier shall make the documents listed in this section available in the United States upon request by an authorized representative of the DOT and shall permit such representative to make such notes and copies thereof as he deems appropriate.
The provisions of this part shall apply only to the extension of credit by an air carrier to a candidate, or to a person acting on his behalf, which is made subsequent to the effective date of this part, and shall not be applicable to debts incurred prior to such date but which are unpaid as of the effective date of this part. The provisions of this part will be applicable, however, to all credit transactions which occur subsequent to the effective date of the part even though the credit account in
49 U.S.C. 40102, 40103, and 41703.
As used in this part:
The provisions of this part regulate the admission to, and navigation in, the United States of foreign civil aircraft other than aircraft operated under authority contained in a foreign air carrier permit or exemption. This part also contains provisions that specify the extent to which certain classes of flight operations by foreign civil aircraft may be conducted, and the terms and conditions applicable to such operations. Nothing in this part shall authorize any foreign civil aircraft to engage in air transportation nor be deemed to provide for such authorization by the Department.
Subject to the observance of the applicable rules, conditions, and limitations set forth in this part:
(a) Foreign civil aircraft manufactured in a State that at the time of manufacture was a member of the International Civil Aviation Organization (ICAO), and registered in a State that at the time of flight is a member of ICAO, may be navigated in the United States;
(b) Foreign civil aircraft manufactured in a State that at the time of manufacture was not a member of ICAO, and registered in a State that at the time of flight is a member of ICAO, may be navigated in the United States,
(1) If the State of registry has notified ICAO that the requirements under which it issues or renders valid certificates of airworthiness are equal to or above the minimum standards established pursuant to the Chicago Convention, or
(2) If such notification has not been made to ICAO at the time of flight, there is on file with the Department a statement by the State of registry that, with regard to aircraft of the type that is proposed to be operated hereunder, the requirements under which certificates of airworthiness are issued or rendered valid are equal to or above the minimum standards established pursuant to the Chicago Convention.
A foreign civil aircraft other than those referred to in § 375.10 may be navigated in the United States only when (a) the operation is authorized by the Department under the provisions of this part, and (b) the aircraft complies with any applicable airworthiness standards of the Federal Aviation Administration for its operation.
The provisions of this part, and of any permit issued hereunder, together with section 1108(b) of the Act, are designed, among other purposes, to carry out the international undertakings of the United States in the Chicago Convention, in particular Article 5. That article gives foreign aircraft the privilege of “taking on or discharging passengers, cargo or mail” subject to the
Foreign civil aircraft shall carry currently effective certificates of registration and airworthiness issued or rendered valid by the country of registry and shall display the nationality and registration markings of that country. However, a foreign civil aircraft may carry, in lieu of such certificate of airworthiness, an effective special flight authorization issued by the Federal Aviation Administration for the operations being performed.
Members of the flight crew of a foreign civil aircraft shall have in their personal possession valid airman certificates or licenses authorizing them to perform their assigned functions in the aircraft and for the operation involved issued or rendered valid by the country of registry of the aircraft or by the United States. No such flight crew members shall perform any flight duty within the United States that they are not currently authorized to perform in the country issuing or validating the certificate.
Flights of foreign civil aircraft in the United States shall be conducted in accordance with the currently applicable rules of the Federal Aviation Administration.
Foreign civil aircraft that are permitted to navigate in the United States on the basis of foreign airworthiness certificates must conform to the limitations on maximum certificated weights prescribed or authorized for the particular variation of the aircraft type, and for the particular category of use, by the country of manufacture of the aircraft type involved.
All U.S. entry and clearance requirements for aircraft, passengers, crews, baggage and cargo shall be followed.
No foreign civil aircraft shall be navigated in the United States unless authorized by this part. Commercial air operations (other than those authorized by § 375.36) shall not be undertaken without a permit issued by the Department.
Owners and operators of aircraft operated under this part that are engaged in proprietary of commercial activities waive any defense of sovereign immunity from suit in any action or proceeding instituted against any of them in any court or other tribunal in the United States for any claim relating to that operation.
Foreign civil aircraft that are not engaged in commercial air operations into, out of, or within the United States may be operated in the United States and may carry non-revenue traffic to, from or between points in the United States.
Flights of foreign civil aircraft within the United States may be made for the purpose of demonstration of the
Foreign civil aircraft that are engaged in agricultural or industrial operations to be performed wholly outside the United States may be navigated into, out of, and within the United States in connection with those operations provided that the aircraft is not at the time engaged in the carriage of passengers, cargo, or mail for remuneration or hire.
Foreign civil aircraft carrying passengers, property or mail for remuneration or hire, but not engaged in scheduled international air services, are authorized to navigate nonstop across the territory of the United States and to make stops for non-traffic purposes. The navigation of foreign civil aircraft in the United States is not authorized under this section when the elapsed time between landing and takeoff at a stop in the United States exceeds 24 hours and passengers are permitted to leave the airport or when passengers, property or mail are transferred to another aircraft. Flights involving stops under such circumstances may, however, be performed in the case of emergency relating to the safey of the aircraft, passengers, cargo or crew.
Foreign civil aircraft may be operated in the United States for the purpose of giving indoctrination training in the operation of the aircraft concerned to a buyer or a buyer's employees or designees. This section does not, however, authorize foreign civil aircraft to be used within the United States for the purpose of flight instruction for remuneration or hire.
(a) Foreign civil aircraft may be navigated in the United States by a foreign air carrier for the transportation of persons and property specified in paragraph (b) of this section over the following non-traffic segments provided such transportation is not for compensation or hire:
(1) Between two or more points in the United States;
(2) Between a point in the United States named in the carrier's section 402 permit or exemption, and a point outside the United States not so named, when authorized in accordance with the provisions of part 216 of this chapter to carry blind sector traffic to or from such unnamed foreign point; and
(3) Between a point in the United States and a point outside thereof when the carrier lands at the United States point for non-traffic purposes in exercise of the privilege granted under the International Air Services Transit Agreement.
(b) Free transportation may be provided under this section for the following categories of persons and property:
(1) Directors, officers and employees, and their parents and immediate families, of the foreign air carrier operating the aircraft;
(2) Directors, officers and employees, and their parents and immediate families, of an air carrier or another foreign air carrier traveling pursuant to a pass interchange arrangement;
(3) Travel agents being transported for the purpose of familiarizing themselves with the carrier's services, if the agents are under no obligation to sell the transporting carrier's services;
(4) Witnesses and attorneys attending any legal investigation in which any such foreign air carrier is involved;
(5) Persons injured in aircraft accidents and physicians and nurses attending such persons;
(6) Any persons or property with the object of providing relief in cases of general epidemic, natural disaster or other catastrophe;
(7) Any person who has the duty of guarding foreign government officials travelling on official business; and
(8) Guests of a foreign air carrier (including members of the press) on delivery flights of newly-acquired or newly-renovated aircraft.
(c) A charge reasonably related to the value of meals and beverages furnished enroute shall not be deemed to constitute compensation or hire for purposes of this section.
Foreign civil aircraft that are leased without crew to an air carrier or citizen or permanent resident of the United States, and used by the lessee in otherwise authorized air transportation or commercial air operations, may be operated into, out of, and within the United States in accordance with any applicable regulations prescribed by the Federal Aviation Administration.
For purposes of this section, “company” is defined as a person that operates civil aircraft in furtherance of a business other than air transportation. U.S.-registered foreign civil aircraft that are not otherwise engaged in commercial air operations, or foreign air transportation, and which are operated by a company in the furtherance of a business other than transportation by air, when the carriage is within the scope of, and incidental to, the business of the company (other than transportation by air), may be operated to, from, and within the United States as follows:
(a)
(b)
(c)
(d)
(1) Fuel, oil, lubricants, and other additives.
(2) Travel expenses of the crew, including food, lodging, and ground transportation.
(3) Hanger and tie-down costs away from the aircraft's base of operations.
(4) Insurance obtained for the specific flight.
(5) Landing fees, airport taxes, and similar assessments.
(6) Customs, foreign permit, and similar fees directly related to the flight.
(7) In flight food and beverages.
(8) Passenger ground transportation.
(9) Flight planning and weather contract services.
(10) An additional charge equal to 100 percent of the expenses for fuel, oil, lubricants, and other additives.
(a)
(b) Aircraft are not authorized to engage in air transportation under this section. Where an operation involves the carriage of persons, property or mail for compensation or hire, the Department will determine whether particular flights for which a permit is sought will be in common carriage, and therefore in air transportation, based on all the facts and circumstances surrounding the applicant's entire operations. The burden rests upon the applicant in each instance to demonstrate by an appropriate factual showing that the contemplated operation will not constitute common carriage from, to or within the United States. In general, an applicant that holds itself out to the public, or to a particular class or segment, as willing to furnish transportation for hire is a common carrier.
Foreign civil aircraft shall not be used for such commercial air operations as crop dusting, pest control, pipeline patrol, mapping, surveying, banner towing, skywriting or similar agricultural or industrial operations within the United States, including its territorial waters and overlying airspace, unless a permit has been issued by the Department and the operation is conducted in accordance with all applicable State and local laws and regulations as well as the applicable provisions of this part.
Occasional planeload charters may be authorized where, because of their limited nature and extent, special equipment or facilities utilized, or other circumstances pertaining to them, it appears that they are not within the scope of the applicant's normal holding out of transportation services to the general public. Such charters are normally limited to those in which the entire capacity of the aircraft is engaged by a single charterer, and since they are occasional in nature, should not exceed for any one applicant more than six flights during a calendar year. This part does not authorize operations that involve solicitation of the general public such as is usually involved in the transportation of individually-ticketed passengers or individually-waybilled cargo, or in which the charterer is a travel agent, a charter operator, a broker, an air freight forwarder or any other organization that holds itself out to the general public to provide transportation services. Carriage of cargo for the operator's own account is governed by the provisions of this section if the cargo is to be resold or otherwise used in the furtherance of a business other than the business of providing carriage by aircraft.
(a) Applications for foreign aircraft permits shall be submitted on OST Form 4509, (Appendix A), in duplicate, addressed to the Chief, Discrete Operations Branch, Licensing Division, P-45, Office of Aviation Operations. Upon a showing of good cause, applications may be made by telegram or by telephone.
(b) Applications shall contain a proper identification (including citizenship) of the applicant (the operator of the aircraft concerned) and of the owner thereof (if different from the applicant), a description of the aircraft by make, model, and registration marks; and a full description of the operations for which authority is desired, indicating type and dates of operations and number of flights, and routing. In the case of cargo flights, the names of all contractors, agents, if any, and the beneficial owner of the cargo, and a description of the cargo and of the proposed operations shall be provided. In the case of passenger flights, a full identification and description of the group chartering the aircraft, and identification of the travel agent, if any, shall be provided. Applications shall also contain a statement as to whether the applicant's homeland allows operators of U.S.-registered aircraft to conduct similar operations.
(c) Applications shall be filed at least 15 days in advance of the proposed commencement date of the operations. The Department may direct the applicant to serve copies of its application on additional persons. Late applications
(d)(1) Any party in interest may file a memorandum supporting or opposing an application. Two copies of each memorandum shall be filed within 7 business days after the application is filed but no later than the proposed commencement date of the operations. Memoranda will be considered to the extent practicable; the Department may act on an application without waiting for supporting or opposing memoranda to be filed.
(2) Each memorandum shall set forth the reasons why the applications should be granted or denied, accompanied by whatever data, including affidavits, the Department is asked to consider.
(3) A copy of each memorandum shall be served on the applicant.
(e)(1) Unless otherwise ordered by the Department, each application and memorandum filed in response shall be available for public inspection at the Licensing Division of the Office of Aviation Operations immediately upon filing. Notice of the filing of all applications shall be published in the Department's Weekly List of Applications Filed.
(2) Any person objecting to public disclosure of any information in an application or memorandum must state the grounds for the objection in writing. If the Department finds that disclosure of all or part of the information should be withheld under applicable provisions of law, and the public interest does not require disclosure, it will order that the injurious information be withheld.
(a) The Department will issue a foreign aircraft permit if it finds that the proposed operations meet the requirements of this part and are in the public interest. Foreign aircraft permits may be conditioned or limited by the Department. Permits must be carried aboard the applicant's aircraft during flight over U.S. territory, and are not transferable.
(b) In determining whether to grant a particular application, the Department will consider, among other factors, the extent to which the country of the applicant's nationality deals with U.S. civil aircraft operators on the basis of substantial reciprocity, and whether the operation is otherwise in the public interest.
(a)
(b) [Reserved]
(c)
(d)
(a)
(b)
(c)
(1) The name, country or organization, and citizenship of the operator, and, if other than the operator, of the carrier offering the services to the public. If any interest (direct or indirect) in the operator or offeror of services is held by nationals of a country other than the country of organization or citizenship, the nature and extent of such interest must be fully disclosed. If any officer or director of the operator or carrier offering the services is a national of a country other than the country of organization or citizenship, the position of duties of such officer or director, and the officer and director's relevant position in relation to other officers and directors must similarly be fully disclosed. If the information required in this subsection has been previously supplied to the Department, the applicant may incorporate it by reference.
(2) The State of registration of the aircraft proposed to be operated.
(3) A full description of the proposed operations including the type of operations (passenger, property, mail, or combination), date of commencement, duration and frequency of flights, and routing (including each terminal and intermediate point to be served).
(4) A statement as to whether or not any advertisement or publication of the proposed operations has been made in the United States. If there has been any advertisement or publication of the operations in the United States, copies of all such advertisements or publications shall be included.
(5) Any change with respect to these matters (minor changes in schedules or routing excepted) shall also be filed with the Department.
(d)
(1) The proposed services are authorized pursuant to the terms of the International Air Services Transit Agreement;
(2) Substantial ownership and effective control are vested in nationals of a State party to the International Air Services Transit Agreement;
(3) The proposed operations will be in compliance with the laws of the United States, the Department's rules, or the provisions of this section; or
(4) The operator or its government have performed their obligations under the International Air Services Transit Agreement.
(e)
(f)
(g)
(h)
The operation of a foreign aircraft within the United States or over adjacent territorial waters in violation of the provisions of this part constitutes a violation of the Federal Aviation Act and of this chapter, and may, in addition, constitute a violation of the rules of the Federal Aviation Administration. Such operation makes the person or persons responsible for the violation or violations subject to a civil penalty as provided in section 901 of the Act, and to the alteration, amendment, modification, suspension or revocation of any permit issued under this part and of any U.S. certificate involved as provided in section 609 of the Act. Engaging in air transportation as defined in the Act by a foreign aircraft without a foreign air carrier permit issued pursuant to section 402 of the Act or an exemption, or in violation of the terms of such authority constitutes not only a violation of this part but of title IV of the Act as well, which entails a criminal penalty as set forth in section 902 of the Act.
Any person desiring to navigate a foreign civil aircraft within the United States other than as specifically provided in this part may petition the Department for a special authorization to conduct the particular flight or series of flights. Such authorization may be issued only if the Department finds that the proposed operation is fully consistent with the applicable law, that the applicant's homeland grants a similar privilege with respect to operators of U.S.-registered aircraft, and that the proposed operation is in the interest of the public of the United States.
49 U.S.C. Chapters 401, 461; 5 U.S.C. 558, 559.
As used in this part:
(a) This part implements the last sentence of 5 U.S.C. 558(c) with regard to temporary authorizations granted by the Board.
The last sentence of 5 U.S.C. 558(c) provides: “When the licensee has made timely and sufficient application for a renewal or a new license in accordance with agency rules, a license with reference to an activity of a continuing nature does not expire until the application has been finally determined by the agency.”
(b) Nothing in this part prevents the Board from terminating at any time, in accordance with law, any authorization or any extension of an authorization.
(c) Nothing in this part constitutes a determination that any given authorization is a “license with reference to an activity of a continuing nature” within the meaning of 5 U.S.C. 558(c).
The Board hereby determines that the following authorizations are not licenses “with reference to an activity of a continuing nature” within the meaning of 5 U.S.C. 558(c):
(a) Authorizations granted for a specified period of 180 days or less; and
(b) Authorizations, other than those granted under section 401 of the Act, that by their terms are subject to termination at an uncertain date upon the happening of an event, including fulfillment of a condition subsequent or occurrence of a contingency.
Unless granted under section 401 of the Act, an authorization that by its terms is subject to termination alternatively, either at an uncertain date upon the happening of an event or upon the arrival of a specified date:
(a) Will not be considered a “license with reference to an activity of a continuing nature” within the meaning of 5 U.S.C. 558(c), if the event occurs before the specified date; and
(b) Ordinarily (subject to Board interpretation under § 377.5) will be considered such a license, if the event does not occur before the specified date and
(a) The Board will determine upon written request by the holder of a temporary authorization or by any competitively affected air carrier or foreign air carrier, or upon its own initiative, whether the temporary authorization is a “license with reference to an activity of a continuing nature” within the meaning of 5 U.S.C. 558(c).
(b) A written request for such a Board determination shall be filed at least 60 days before the deadline set forth in § 377.10 for a timely renewal application.
(c) The filing of such a written request shall not affect the timeliness requirements for renewal applications that are set forth in § 377.10 or any other applicable Board rule or order.
(a)
(b)
(c)
(1) For certificates issued under section 401 of the Act with a specified expiration date, the deadline is 180 days before the expiration date;
(2) For certificates issued under section 401 of the Act that terminate by their terms upon the happening of an event that could not be foreseen, the deadline is 30 days after the time that the carrier has notice that the event will occur or has occurred;
(3) For foreign air carrier permits issued under section 402 of the Act and exemptions issued under section 416 to non-U.S. citizens, the deadline is the expiration date itself;
(4) For renewal by substantially equivalent certificate authority of fixed term route authorizations granted by exemption and for interim extension of the exemption, pursuant to § 399.18 of this chapter, the deadline is 90 days before the expiration date; and
(5) Nothing in this part supersedes a requirement for earlier filing contained in any law, Board rule or order, or temporary authorization.
(d)
When the Board determines that a renewal application does not comply with the requirements of this part, or that it does not relate to a license with reference to an activity of a continuing nature, it will so notify the applicant. The applicant may amend his application to cure the deficiency as a matter of right at any time prior to the date when the application was due pursuant to § 377.10(c).
49 U.S.C. 40101, 40102, 40109, 40113, 41101, 41103, 41301, 41504, 41702, 41708, 41712, 46101.
This part applies to Public Charter air transportation of passengers in interstate or foreign air transportation, whether furnished by direct air carriers or Public Charter operators. This part also relieves such charter operators from various provisions of subtitle VII of Title 49 of the United States Code (statute), formerly Title IV of the Federal Aviation Act of 1958,
For the purposes of this part:
(1) A surety bond issued by a company—
(i) That is listed in the Best's Insurance Reports (Fire and Casualty) with a general policyholders' rating of “A” or better, or
(ii) That is listed in the U.S. Department of Treasury's notice listing companies holding Certificates of Authority as acceptable sureties on Federal bonds and as acceptable reinsuring companies, published in the
(2) A Surety trust agreement or a letter-of-credit, issued by a Federal Deposit Insurance Corporation-insured financial institution, which provides substantially equivalent protection.
(a) Public Charters may be operated on a one-way or round-trip basis, with no minimum group or contract size. Public Charters may be sold on an air-only basis, or with mandatory or optional land arrangements.
(b) A U.S. Public Charter operator operating a Public Charter which originates in a foreign country shall not be subject to the requirements of §§ 380.25, 380.28, 380.30 and 380.35.
(c) The Department declines to exercise jurisdiction over a foreign Public
(d)(1) An educational institution operating a Public Charter need not comply with the financial security requirements of § 380.34 if each student participant in the charter is enrolled in a formal academic course of study outside the United States, sponsored by or in conjunction with that institution, that is of at least four weeks' duration.
(2) The spouse, children, and parents of a student participant may accompany the participant on a charter operated under this section.
(e) The Department, upon application or on its own initiative, may waive any of the provision of this part if it finds such action to be in the public interest.
In the case of any violation of the provision of the Statute or of this part, or any other rule, regulations, or order issued under the Statute, the violator may be subject to a proceeding pursuant to the Statute before the Department or a U.S district court, as the case may be, to compel compliance therewith; to civil penalties pursuant to the provisions of the Statute, or to criminal penalties pursuant to the provisions of the Statute, or other lawful sanctions.
Public Charters under this part shall meet the following requirements:
(a)-(b) [Reserved]
(c) If the charter is on a round-trip basis, the departing flight and returning need not be performed by the same direct air carrier.
(d) The air transportation portion of the charter must be performed by direct air carriers that hold authority under Chapter 411 and 413 of the Statute, or are operating under 14 CFR part 298, except that only U.S. citizen direct air carriers may provide air transportation for operations in interstate air transportation.
Except for air taxi operators and commuter air carriers (which are governed by 14 CFR 298.38) and Canadian charter air taxi operators (which are governed by 14 CFR 294.32), the direct air carrier(s) shall be paid in full for the cost of the charter transportation (for both legs, if a round-trip charter) prior to the scheduled date of flight departure, as provided for in the basic charter regulations applicable to the direct air carrier(s) under part 212 of this chapter.
(a) The charter operator may not cancel a charter for any reason (including insufficient participation), except for circumstances that make it physically impossible to perform the charter trip, less than 10 days before the scheduled date of departure of the outbound trip.
(b) If the charter operator cancels 10 or more days before the scheduled date of departure, the operator must so notify each participant in writing within 7 days after the cancellation but in any event not less than 10 days before the scheduled departure date of the outbound trip. If a charter is canceled less than 10 days before scheduled departure (i.e., for circumstances that make it physically impossible to perform the charter trip), the operator must get the message to each participant as soon as possible.
The charter operator shall not accept any participant's payment for return transportation unless the participant has specified a particular return flight.
Noting contained in this part shall preclude a charter operator from utilizing any unused space on an aircraft by it for a Public Charter for the transportation, on a free or reduced basis, of
Subsititues may be arranged for charter participants at any time preceding departure. Participants who provide the charter operator or its sales agent with a substitute participant, or who are substituted for by a participant found by the operator, shall receive a refund of all moneys paid to the operator, except that the operator may reserve the right to retain an administrative fee not to exceed $25 for effecting the substitution.
(a) This section shall apply only to charters conducted by educational institutions for charter groups comprised of bona fide participants in a formal academic course of study abroad which is of at least 4 weeks duration. The charter group may also include a student participant's immediate family (spouse, children, and parents). Except as modified in this section, all terms and conditions of this part applicable to the operation of Public Charters shall apply to charters conducted by educational institutions.
(b) An educational institution conducting such a charter shall submit to the Office of Aviation Analysis, Special Authorities Division, a statement, signed by its president, certifying that it meets the definition of “educational institution” set forth in § 380.2.
(c) An educational institution conducting such a charter need not comply with the requirements of §§ 380.25, 380.28, 380.34, and 380.35.
(a) To the extent necessary to permit them to organize and arrange public charters, charter operators and foreign charter operators are hereby relieved from the following provisions of Subtitle VII of Title 49 of the U.S. Code, only if and so long as they comply with the provisions and the conditions imposed by this part:
(1) Chapter 411.
(2) Chapter 413.
(3) Chapter 415.
(4) Chapter 419.
(5) If foreign charter operators receive interstate air transportation rights, any other provision of the statute that would otherwise prohibit them from organizing and arranging Public Charters in interstate air transportation.
(b) A charter operator who is a citizen of the United States shall not be subject to the following requirements with respect to Public Charters that originate in a foreign country: §§ 380.25, 380.28, and 380.30 through 380.35.
The Department reserves the power to deny the exemption authority of any charter operator, without hearing, if it finds that such action is necessary in the public interest or is otherwise necessary in order to protect the rights of the traveling public.
A charter operator may organize and operate a Public Charter only in accordance with this part, and subject to the following conditions:
(a) No charter operator shall operate, sell, receive money from any prospective participant for, or offer to sell or otherwise advertise a charter or series of charters until the Office of Aviation Analysis, Special Authorities Division, has accepted a Public Charter prospectus as described in § 380.28.
(b) If within 10 days after the filing the Department notifies the charter operator that it has rejected the prospectus for noncompliance with this part, the prohibitions set forth in paragraph (a) of this section shall continue until the Department advises that it has accepted the prospectus.
(c) The following amendments to a filed prospectus may be made:
(1) The addition or cancellation of any flight;
(2) A change in any flight, date, origin city or destination city; and
(3) A change in or addition of any direct air carrier, securer, or depository bank.
(d) The charter operator shall amend the prospectus to reflect any change described in paragraph (c) of this section. The amendment shall be filed in the manner and form used for the original prospectus. It shall become effective upon filing unless the operator is otherwise notified.
(e) The charter operator shall notify the depository bank (if any) and the securer of any change described in paragraph (c) of this section not later than when filing a prospectus amendment to reflect the change. If the securer is unable to adjust the security agreement as required by the change, the Office of Aviation Analysis, Special Authorities Division shall be advised of this fact within 2 business days.
No charter operator shall make, give, or cause any undue or unreasonable preference or advantage to any particular person, port, locality, or description of traffic in air transportation in any respect whatsoever, or subject any particular person, port, locality, or description of traffic in air transportation to any unjust discrimination or any undue or unreasonable prejudice or disadvantage in any respect whatsoever.
No charter operator shall engage in unfair or deceptive practices or unfair methods of competition in air transportation or the sale thereof.
(a) The charter prospectus shall include an original and two copies of the following:
(1) From the charter operator and the direct air carrier:
(i) The proposed flight schedule, listing the origin and destination cities, dates, type of aircraft, number of seats, and charter price for each flight;
(ii) The tour itinerary (if any) including hotels (name and length of stay at each), and other ground accommodations and services; and
(iii) A statement that they have entered into a charter contract that covers the proposed flight schedule, that the contract complies with all applicable Department regulations, and that a copy of the schedule has been sent to the depository bank (if any) and the operator's securer. The schedule shall be identified with a number assigned by the charter operator that does not duplicate any schedule numbers assigned by the operator to other proposed flight schedules. The proposed flight schedule, tour itinerary (if any), and statement shall be filed on OST Form 4532.
(2)(i) From the charter operator and the securer, a statement:
(A) That they have entered into a security agreement covering the proposed flight schedule that complies with § 380.34, including the amount of the coverage, the number assigned to it by the securer, and the amount of any outstanding claims against it, and
(B) That the securer has received a copy of the proposed flight schedule. The statement shall identify the proposed flight schedule by the schedule number assigned by the charter operator in accordance with paragraph (a) of this section. If there are any outstanding claims against the agreement, the charter operator and securer shall also state that they have executed a rider or amendment increasing the coverage by the amount of the claims, or that the securer will separately pay any claims for which it may be liable without impairing the agreement or reducing the amount of its coverage.
(ii) These statements shall be filed an OST Form 4533.
(3) If a depository agreement is used, a statement from the charter operator, the direct air carrier, and the depository bank:
(i) That they have entered into a depository agreement covering the proposed flight schedule that complies with § 380.34, and
(ii) That the bank has received a copy of the proposed flight schedule by the schedule number assigned by the charter operator in accordance with paragraph (a)(1) of this section. This statement shall be filed on OST Form 4534.
(b) Each of the statements described in paragraph (a) of this section shall also include the names and addresses of the parties to it, and the originals shall be signed by those parties.
(c) The prospectus may cover a series of charters performed by one charter operator if the departure of the last charter is not more than one year after the departure of the first.
(d) If the prospectus covers a series of charters and the air transportation will be performed by more than one direct air carrier, the prospectus shall include separate statements in accordance with paragraphs (a)(1) and (a)(3) of this section to cover the flights that will be performed by each direct carrier.
The charter contract between the charter operator or foreign charter operator and the direct air carrier shall evidence a binding commitment on the part of the carrier to furnish the air transportation required for the trip or trips covered by the contract.
(a) All solicitation materials for a Public Charter shall include the name of the charter operator and the name of the direct air carrier.
(b) Any solicitation material that states a price per passenger shall also include one of the following:
(1) A statement referring to the operator-participant contract for further information about conditions applicable to the charter; or
(2) The full text of the operator-participant contract.
(c) Except as set forth in § 380.33a for operator's option plan contracts, if the charter prospectus names alternative dates or cities, any solicitation material that states a price per passenger shall also state that the actual dates or cities have not yet been selected, if that is the case.
(d) Any solicitation material that names a hotel but does not name every hotel named in the operator-participant contract shall also state that substitutions may be made.
(e) In any solicitation material from a direct air carrier, indirect air carrier, or an agent of either, for a charter, charter tour (
(a) Except for telephone sales for which payment is made by credit card as described in paragraph (b) of this section, the charter operator shall not accept payment from or on behalf of a prospective participant unless the participant has agreed to the conditions of the charter by signing an operator-participant contract as described in § 380.32. If a member of a group that will travel together pays for the group, that member may sign the contract on behalf of the group.
(b) For telephone sales only, the charter operator may accept payment by credit card without the participant having first signed an operator-participant contract provided that the charter operator first advises the customer:
(1) That he or she has the right to receive the operator-participant contract before making a booking;
(2) That the operator-participant contract will be mailed to the participant within 24 hours of accepting payment by credit card; and
(3) That the operator-participant contract must be signed, and the signed portion returned to the operator, before travel.
(4) A full refund must be made of any amounts charged to a credit card for any participant who cancels before the operator-participant contract is signed.
(c) The contract form may include a space that participants may check to authorize the charter operator to retain their money while attempting to make other arrangements for them if there is no space available on the flight or on specific alternative flights they have requested.
(d) If there is no space available on the flight or specific alternative flights
(e) Except as set forth in § 380.33a for operator's option plan contracts, the operator-participant contract shall not specify alternative dates for the outbound or return flights, or alternative origin or destination cities for any flight leg.
(f) The contract form shall be printed in 7-point or larger type. The statements required by paragraph (a), (f), (h), (l), (r), (s), and (x) of § 380.32 shall be printed so as to contrast with the rest of the contract by the use of bold-faced type, capital letters, or a type size that is at least 50 percent larger than that used for the rest of the contract.
(g) The contract form shall include a space that participants may check to indicate that they wish to be furnished details of trip cancellation, health, and accident insurance.
(h) The contract form shall be designed so as to enable participants to retain a copy of the general terms and conditions after signing it. The specific information supplied by participants (such as choices of dates, cities, or other options) need not be retainable.
Contracts between charter operators and charter participants shall state:
(a) The name and complete mailing address of the charter operator;
(b) The name of the direct air carrier, the dollar amounts of that carrier's liability limitations for participant's baggage, the type and capacity of the aircraft to be used for the flight, and the conditions governing aircraft-equipment substitutions;
(c) The dates of the outbound and return flights;
(d) The origin and destination cities of each flight leg;
(e) The amount and schedule of payments;
(f) If a depository agreement as provided in § 380.34(b) is used: That all checks, money orders, and credit card drafts must be made payable to the escrow account at the depository bank (identifying bank)
(g) The tour itinerary, if any, including the name and location of the hotels, length of stay at each, and other ground accommodations and services that are part of the tour;
(h) That the charter operator may not cancel the charter less than 10 days before the scheduled departure date, except for circumstances that make it physically impossible to perform the charter tip;
(i) That if a charter is canceled 10 or more days before the scheduled departure date, the operator will notify the participant in writing within 7 days after the cancellation, but in any event at least 10 days before the scheduled departure;
(j) That is a charter is canceled less than 10 days before departure (
(k) That if the charter is canceled, a refund will be made to the participant within 14 days after the cancellation;
(l) The right to refunds if the participant changes plans is limited;
(m) The right to refunds if the participant changes plans, including
(1) The right to a full refund, for sales made by credit card, until an operator-participant contract is signed; and
(2) That any participant who wishes to cancel will receive a full refund (less any applicable administrative fee, not to exceed $25) upon providing a substitute participant to the charter operator or its sales agent, or upon being substituted for by a participant found by the charter operator;
(n) The procedure for obtaining the refunds described in paragraph (m) of this section, including that they will be made within 14 days after the cancellation or substitution;
(o) The meaning of “major change”, as set forth in § 380.33(a);
(p) That if the charter operator knows of a major change 10 or more days before scheduled departure, the operator will notify the participant of the change within 7 days after first knowing of it, but in any event at least 10 days before scheduled departure;
(q) That is the operator first knows of a major change less than 10 days before scheduled departure, the operator will get the message to the participant as soon as possible;
(r) That within 7 days after receiving a pre-departure notification of a major change but in no event later than departure, the participant may cancel, and that a full refund will be made to the participant within 14 days after canceling;
(s) That upon a post-departure notification of a major change, the participant may reject the substituted hotel or the changed date, origin, or destination of a flight leg and be sent, within 14 days after the return date named in the contract, a refund of the portion of his payment allocable to the hotel accommodations or air transportation not provided;
(t) That the participants rights and remedies set forth in the contract, including the procedures for major changes, shall be in addition to any other rights or remedies available under applicable law, although the operator may condition a refund on the participant's waiver of additional remedies;
(u) That trip cancellation, health, and accident insurance is available and that the operator will furnish details of the insurance to participants who check the space provided for this purpose on the contract form;
(v) The name and address of the surety company or bank issuing the security agreement; and that unless the charter participant files a claim with the charter operator or, if he is unavailable, with the securer, within 60 days after termination of the charter, the securer shall be released from all liability under the security agreement to that participant. Termination means the date of arrival (or in the case of a canceled charter, the intended date or arrival) of the return flight. If there is no return flight in a participant's itinerary, termination means the date or intended date of departure of the last flight in the participant's itinerary;
(w) For international flights only: That additional restrictions may be imposed on the flight by the foreign government involved, and that if landing rights are denied by a foreign government the flight will be canceled with a full refund to the participant. This statement need not be included in the contract if—
(1) The prospectus includes a certification by the charter operator and the direct air carrier that landing rights have been obtained from all the foreign governments involved, and
(2) All the foreign governments involved have adopted country-of-origin rules for charterworthiness;
(x) That the charter operator is the principal and is responsible to the participants for all services and accommodations offered in connection with the charter. However, the contract may expressly provide that the charter operator, unless negligent, is not responsible for personal injury or property damage caused by any direct air carrier, hotel or other supplier of services in connection with the charter.
(a) For the purposes of this section, “major change” means any of the following:
(1) A change in the departure or return date shown in the operator-participant contract, (or, if the contract states alternative dates, the date designated to the participant by the charter operator in accordance with § 380.33a(b)), unless the change results from a flight delay. In any event, however, a date change that the operator knows of more than 2 days before the scheduled flight date, and any delay of more than 48 hours, will be considered a major change.
(2) A change in the origin or destination city shown in the operator-participant contract for any flight leg (or, if the contract states alternative cities, the city designated to the participant by the operator in accordance with § 380.33a(b)), unless the change affects only the order in which cities named in a tour package are visited.
(3) A substitution of any hotel that is not named in the operator-participant contract; and
(4) A price increase to the participant that occurs 10 or more days before departure and results in an aggregate price increase of more than 10 percent.
(b) The charter operator shall not increase the price to any participant less than 10 days before departure.
(c) The charter operator shall notify all participants of major changes, as required by the operator-participant contracts. This notification shall include the participants' rights to refunds required to be described in the operator-participant contract. The operator shall, if applicable, also notify the participants that the acceptance of a refund constitutes a waiver of their legal rights.
(d) Except as otherwise specified, notifications and refunds required by this part are considered made at the time they are mailed or sent by an equivalent method.
(e) The charter operator shall make all refunds required to be described in the operator-participant contract within the time limits set forth in paragraphs (k), (n), (r), and (s) of § 380.32, as applicable.
(a) For the purposes of this part, an operator's option plan contract that states alternative dates for the outbound or return flights, or alternative origin or destination cities for any flight leg.
(b) Operator's option plan contracts shall state, in addition to the information required by § 380.32, that the selection of the actual dates or cities, as applicable, is at the charter operator's option and will not entitle the participant to a refund, and that the operator will notify the participant of the actual dates or cities at least 10 days before the earliest of any alternative dates for the outbound flight.
(c) Contract forms for all operator's option plan contracts shall be labeled “OPERATOR'S OPTION PLAN” in bold-faced capital letters at least
(d) Any solicitation material that states a price per passenger for an operator's option plan contract shall clearly and conspicuously—
(1) Identify that price as being for the operator's option plan,
(2) Name all the possible dates or cities, as applicable, and
(3) State that the selection of the actual dates or cities is at the charter operator's option.
(e) Charter operators and their agents shall not misrepresent to prospective participants, orally, in solicitation materials, or otherwise, the probability that any particular city or date will be selected from among the alternatives named in an operator's option plan contract.
(f) The charter operator shall notify all participants with operator's option plan contracts of the actual dates or cities, as applicable, as required by contracts.
(a) Except as provided in paragraph (b) of this section, the charter operator
(1) For a charter or series of charters of 14 days or less, security in an amount of not less than the charter price for the air transportation to be furnished in connection with such charter or series of charters;
(2) For a charter or series of charters of more than 14 days but less than 28 days security in an amount of not less than twice the charter price; and
(3) For a charter or series of charters of 28 days or more, security in an amount of not less than three times the charter price: Provided, however, That the liability of the securer to any charter participant shall not exceed amounts paid by that participant to the charter operator with respect to the charter.
(b) The direct air carrier and the charter operator or foreign charter operator may elect, in lieu of furnishing a security agreement as provided under paragraph (a) of this section, to comply with the requirements of paragraphs (b)(1) and (b)(2) of this section, as follows:
(1) The charter operator shall furnish a security agreement in an amount of at least $10,000 times the number of flights, except that the amount need not be more than $200,000. The liability of the securer to any charter participant shall not exceed the amount paid by the participant to the charter operator for that charter.
(2) The direct air carrier and charter operator or foreign charter operator shall enter into an agreement with a designated bank, the terms of which shall provide that all payments by charter participants paid to charter operators or foreign charter operators and their retail travel agents shall be deposited with and maintained by the bank subject to the following conditions:
(i) On sales made to charter participants by charter operators or foreign charter operators the participant shall pay by check, money order, or credit card draft payable to the bank;
(ii) The bank shall pay the direct air carrier the charter price for the transportation not earlier than 60 days (including day of departure) prior to the scheduled day of departure of the originating or returning flight, upon certification of the departure date by the air carrier: Provided, That, in the case of a round trip charter contract to be performed by one carrier, the total round trip charter price shall be paid to the carrier not earlier than 60 days prior to the scheduled day of departure of the originating flight;
(iii) The bank shall reimburse the charter operator or foreign charter operator for refunds made by the latter to the charter participant upon written notification from the charter operator or foreign charter operator;
(iv) If the charter operator, foreign charter operator or the direct air carrier notifies the bank that a charter has been canceled, the bank shall make applicable refunds directly to the charter participants;
(v) After the charter price has been paid in full to the direct air carrier, the
(vi) As used in this section, the term “bank” means a bank insured by the Federal Deposit Insurance Corporation;
(vii) The bank shall maintain a separate accounting for each charter group;
(viii) Notwithstanding any other provisions of this section, the amount of total cash deposits required to be maintained in the depository account of the bank may be reduced by one or both of the following: The amount of the security agreement in the form prescribed in this section in excess of the minimum coverage required by paragraph (b)(1) of this section; an escrow with the designated bank of Federal, State, or municipal bonds or other securities, consisting of certificates of deposit issued by banks having a stated policy of redeeming such certificates before maturity at the request of the holder (subject only to such interest penalties or other conditions as may be required by law), or negotiable securities which are publicly traded on a securities exchange, all such securities to be made payable to the escrow account: Provided, That such other securities shall be substituted in an amount no greater than 80 percent of the total market value of the escrow account at the time of such substitution: And provided, further, That should the market value of such other securities subsequently decrease, from time to time, then additional cash or securities qualified for investment hereunder shall promptly be added to the escrow account, in an amount equal to the amount of such decreased value; and
(ix) Except as provided in paragraph (b)(2)(i), (iii), (iv), (v), and (viii) of this section, the bank shall not pay out any funds from the account prior to 2 banking days after completion of each charter, when the balance in the account shall be paid the charter operator or foreign charter operator, upon certification of the completion date by the direct air carrier: Provided, however, That if the Charter involves air transportation only and the bank has paid the direct air carrier(s) the charter price for the originating flight, and the returning flight if any, and has paid all refunds due to participants, as provided in paragraph (b)(2)(ii) and (iii), respectively, of this section, then the bank may pay the balance in the account to the charter operator upon certification by the direct air carrier performing the originating flight that such flight has in fact departed.
(c)(1) The security agreement required under paragraphs (a) and (b) of this section shall insure the financial responsibility of the charter operator or foreign charter operator and the supplying of the transportation and all other accommodations, services, and facilities in accordance with the contract between the charter operator or foreign charter operator and the charter participants.
(2) The security agreement may be either:
(i) A surety bond in the form set forth as appendix A to this part;
(ii) A surety trust agreement in the form set forth as appendix B to this part; or
(iii) An arrangement with a bank (for instance, a standby letter of credit) that provides protection of charter participants' funds equivalent to or greater than that provided by the Bond in appendix A. An arrangement that furnishes a lesser degree of protection than would be provided under the bond shall be invalid to that extent, and instead the bank, the charter operator or foreign charter operator, and the charter participants shall have the same rights and liabilities as provided under
(3) Any agreement under paragraph (c)(2)(iii) of this section shall include a statement that, in the event that the other provisions of the agreement do not provide protection to charter participants comparable to that provided under a bond in the form of appendix A, the bank shall assume, for the benefit of the charter participants, all the liabilities it would have if it entered into the bond.
(4) The security agreement shall be effective on or before the date the charter prospectus is filed with the Department.
(5) The security agreement shall be specifically identified by the issuing securer with a numbering system so that the Department can identify the security agreement with the specific charter or charters to which it relates. These data may be set forth in an addendum attached to the security agreement, which addendum must be signed by the charter operator or foreign charter operator and the securer.
(6) When security is provided by a surety bond, such bond shall be issued by a bonding or surety company that is listed in Best's Insurance Reports (Fire and Casualty) with a general policyholders' rating of “A” or better. The bonding or surety company shall be one legally authorized to issue bonds of that type in the State in which the charter originates. For purposes of this section the term “State” includes any territory or possession of the United States, or the District of Columbia.
(7) When security is provided by a security agreement other than a bond, the agreement shall be issued by a national bank complying with the provisions of 12 CFR 7.7010(a), or by a State bank complying with applicable State laws that give authority to issue such agreements, and all such banks must be insured by the Federal Deposit Insurance Corporation.
(d) The security agreement required by this section shall provide that unless the charter participant files a claim with the charter operator or foreign charter operator, or, if it is unavailable, with the securer, within 60 days after termination of the charter, the securer shall be released from all liability under the security agreement to such charter participant. Terminations means the date of arrival (or in the case of a canceled charter, the intended date of arrival) of the return flight. If there is no return flight in a participant's itinerary, termination means the date or intended date of departure of the last flight in the participant's itinerary.
(a) A direct air carrier may substitute its own security agreement and/or depository arrangements, as specified in this section, for those required of the charter operator under § 380.34, but only for charter trips in which all the air transportation is provided by one direct air carrier. Charter operators are relieved from § 380.34 to the extent that the direct carrier substitutes its own arrangements.
(b) The direct air carrier may substitute its security agreement for all of the arrangements required of the charter operator under § 380.34 (a) or (b). Alternatively, it may substitute its depository agreement for the depository agreement required of the charter operator under § 380.34(b)(2). If the direct carrier substitutes its depository agreement, it may also obtain and substitute a security agreement for the one otherwise required of the charter operator under § 380.34(b)(1). If the direct carrier substitutes its depository agreement only, the charter operator must supply the security agreement required under § 380.34(b)(1).
(c) If the direct carrier substitutes a security agreement for all the charter operator's requirements under § 380.34, the charter operator shall include in the charter prospectus, in place of the information in § 380.28(a)(2) regarding the charter operator's security agreement:
(1) A statement by the direct air carrier on OST Form 4535 that it will take responsibility for all charter participant payments (including those for
(2) A statement from the direct air carrier and its securer (under § 212.12 of this chapter), OST Form 4533, that they have entered into a security agreement assuring the direct air carrier's responsibilities to charter participants under this section in an unlimited amount (except that the liability of the securer with respect to any charter participant may be limited to the charter price paid by or on behalf of such participant), and that the securer has received a copy of the proposed flight schedule identified by the schedule number assigned by the charter operator under this part.
(d) A substitute depository agreement under this section shall be signed by the direct air carrier, the charter operator, and the depository bank, and shall provide, in addition to existing requirements under § 212.8 of this chapter, that:
(1) Payments by or on behalf of charter participants shall be allocated to the flight accounts matching the participant's itinerary in the following way: Each account shall have allocated to it the charter cost of the participant's air transportation on that flight. The portion of each payment not intended for air transportation services shall be allocated to the account for the return flight in the participant's itinerary. If there is only one flight in the itinerary, the entire payment shall be allocated to that account.
(2) The bank shall pay funds from a flight account directly to the hotels, sightseeing enterprises, or other persons or companies furnishing ground accommodations and services, if any, in connection with the charter flight, upon presentation to the bank of vendor's bills and upon certification by the person who contracted for the ground accommodations or services of the amounts payable and the persons or companies to whom payment is to be made, except that no disbursement shall be made that would reduce the balance in the account below the charter cost of the flight.
(3) On sales made to participants by a person other than a retail travel agent, the participant shall pay by check, money order, or credit card draft payable to the bank. On sales made to participants by a retail travel agent, payments shall be made in the same manner unless the agent deducts its commission and remits the balance to the bank by check, money order, or electronic transfer. The agent may deduct its commission only if it agrees in writing with its principal (the charter operator or direct air carrier, as applicable) that, if the charter is canceled, the agent shall remit to the bank the full amount of the commission previously deducted or received within 10 days after receipt of notification of the cancellation. The depository bank shall pay refunds directly to participants according to the terms of the operator-participant contract and the terms of this part.
(e) If the direct carrier substitutes a security agreement in addition to substituting a depository agreement, the charter prospectus information must include all the information required by paragraphs (c) and (d) of this section, except for the amount of the security agreement. That agreement shall be in an amount of at least $10,000 times the number of flights, except that the amount need not be more than $200,000.
(f) A copy of the depository agreement under paragraph (d) of this section shall be filed with the Department, and it shall not be effective until approved by the Department.
(g) A copy of the security agreement under paragraph (c) or paragraph (e) of this section shall be filed with the Department. It shall insure the financial responsibility of the direct air carrier for supplying the transportation and all other accommodations, services, and facilities in accordance with the contracts between the charter operator and the charter participants. Such security agreement shall meet all the other requirements of § 380.34 (c) and (d).
No charter operator or direct air carrier shall cause its agents or the depository bank to make disbursements or
Every charter operator conducting a charter pursuant to this part shall comply with the applicable record-retention provisions of part 249 of this chapter.
(a) For all Public Charters other than foreign-originating charters organized by foreign charter operators: A direct air carrier shall not perform air transportation in connection with such a charter unless it has made a reasonable effort to verify that all provisions of this part have been complied with and that the charter operator's authority under this part has not been suspended by the Department.
(b) For foreign-originating Public Charters organized by foreign charter operators: A direct air carrier shall not perform air transportation in connection with such a charter unless—
(1) The charter is conducted in accordance with subpart B of this part and
(2) The charter operator conforms to all requirements of this part that are applicable to charter operators within the Department's jurisdiction, other than §§ 380.25, 380.28, 380.30 through 380.36, and 380.50.
The direct air carrier shall not cancel any charter under this part less than 10 days before the scheduled departure date, except for circumstances that make it physically impossible to perform the charter trip.
The Department reserves the power to suspend the exemption authority of any air carrier, without hearing, if it finds that such action is necessary in order to protect the rights of the traveling public.
The direct air carrier shall promptly notify the Office of Aviation Analysis, Special Authorities Division, regarding any charters covered by a prospectus filed under § 380.28 that are later canceled.
This subpart establishes registration procedures for foreign charter operators intending to engage in the formation of groups for transportation on Public Charters that originate in the United States.
(a) Each foreign charter operator shall be registered under this subpart and file a prospectus under § 380.25 before organizing groups for transportation on Public Charters that originate in the United States.
(b) Each foreign charter registered under this subpart shall comply with the other provisions of this part directed to charter operators.
(a) To be registered under this subpart, a foreign charter operator shall file two copies of an application for registration with the Office of Aviation Analysis, Special Authorities Division. The Department will list the names and nationalities of all persons applying for registration in its Weekly Summary of Filings.
(b) The application shall be made on OST Form 4530, which can be obtained from the Office of Aviation Analysis, Special Authorities Division.
(c) The applicant shall clearly indicate in its application for registration whether it requests authority to engage in foreign and/or interstate air transportation.
Any person objecting to the registration application of a foreign charter operator or to a proposed change in the name or ownership of that operator shall file an objection with the Office of Aviation Analysis, Special Authorities Division, within 28 days after the Department receives the properly completed registration application.
(a) After a registration is received, one of the following actions will be taken.
(1) The application will be approved by the stamping of the effective date of registration on OST Form 4530 and returning the duplicate copy of the form to the operator;
(2) Additional information will be requested for the applicant;
(3) The applicant will be notified that its application will require further analysis or procedures, or is being referred to the Department for formal action;
(4)The registration application will be rejected if it does not comply with the filing requirements of this subpart;
(5) The application will be approved subject to such terms, conditions, or limitations as may be required by the public interest; or
(6) The registration application will be rejected for reasons relating to the failure of effective reciprocity or if the Department finds that it would be in the public interest to do so.
(b) One of the actions described in paragraph (a) of this section will normally be taken within 60 days after the registration application is received. The Department will also consider requests for faster action that include a full explanation of the need for expedited action.
(a) Not later than 30 days before any change in its name or address or before a temporary or permanent cessation of operations, each foreign charter operator registered under this subpart shall notify the Office of Aviation Analysis, Special Authorities Division, of the change by resubmitting OST Form 4530.
(b) A foreign charter operator registered under this subpart shall apply for an amendment to that registration not later than 30 days after either of the following events:
(1) A person listed on its existing registration as owning or holding beneficial interest in at least 10 percent of the operator or of the operator's stock reduces its holding to below 10 percent;
(2) A person not listed on the existing registration as owning or holding beneficial interest in at least 10 percent of the operator or of the operator's stock becomes an owner or holder of 10 percent or more of the company or of its stock.
(c) An application for an amendment shall be made by resubmitting OST Form 4530. The existing registration shall remain valid pending Department action on the amendment.
The registration of a foreign charter operator may be canceled or subjected to additional terms, conditions, or limitations if any of the following occur:
(a) The operator files a written notice with the Department that it is discontinuing its charter operations;
(b) A substantial ownership interest is acquired by persons who are not citizens of the same country as the registrant; or
(c) The Department finds, after notice and an opportunity for responses, that it is in the public interest to do so. In making this finding, the Department will consider whether effective reciprocity exists between the United States and the government of the foreign charter operator.
By accepting an approved registration form under this subpart, an operator waives any right it may have to assert any defense of sovereign immunity from suit in any proceeding against it, in any court or other tribunal of the United States, that is based upon a claim arising out of operations by the operator under this part.
Know all men by these presents, that we __________ (name of charter operator) of __________, (city) __________ (state or country) as Principal (hereinafter called Principal), and__________ (name of surety) a corporation created and existing under the laws of the State of __________ (State) as Surety (hereinafter called Surety) are held and firmly bound unto the United States of America in the sum of $__________ (see § 380.34(f) of Part 380) for which payment, well and truly to be made, we bind ourselves and our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents.
Whereas Principal intends to become a Public Charter operator pursuant to the provisions of part 380 of the Department's Special Regulations and other rules and regulations of the Department relating to insurance or other security for the protection of charter participants, and has elected to file with the Department of Transportation such a bond as will insure financial responsibility with respect to all moneys received from charter participants for services in connection with a Public Charter to be operated subject to Part 380 of the Department's Special Regulations in accordance with contracts, agreements, or arrangements therefor, and
Whereas this bond is written to assure compliance by Principal as an authorized charter operator with Part 380 of the Department's Special Regulations, and other rules and regulations of the Department relating to insurance and other security for the protection of charter participants, and shall inure to the benefit of any and all charter participants to whom Principal may be held legally liable for any damages herein described.
Now, therefor, the condition of this obligation is such that if Principal shall pay or cause to be paid to charter participants any sum or sums for which Principal may be held legally liable by reason of Principal's failure faithfully to perform, fulfill and carry out all contracts, agreements, and arrangements made by Principal while this bond is in effect with respect to the receipt of moneys from charter participants, and proper disbursement thereof pursuant to and in accordance with the provisions of Part 380 of the Department's Special Regulations, then this obligation shall be void, otherwise to remain in full force and effect.
The liability of Surety with respect to any charter participant shall not exceed the charter price paid by or on behalf of such participant.
The liability of Surety shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall amount in the aggregate to the penalty of the bond, but in no event shall Surety's obligation hereunder exceed the amount of said penalty.
Surety agrees to furnish written notice to the Office of Aviation Analysis, Department of Transportation, forthwith of all suits or claims filed and judgments rendered, and payments made by Surety under this bond.
The bond shall cover the following charters:
This bond is effective on the ___ day of ____, 12:01 a.m., standard time at the address of Principal as stated herein and as hereinafter provided. Principal or Surety may at any time terminate this bond by written notice to: “Special Authorities Division (P-57), Office of Aviation Analysis, U.S. Department of Transportation, Washington, DC 20590,” such termination to become effective thirty (30) days after the actual receipt of said notice by the Department. Surety shall not be liable hereunder for the payment of any damages hereinbefore described which arise as a result of any contracts, agreements, undertakings, or arrangements for the supplying of transportation and other services made by Principal after the termination of this bond as herein provided, but such termination shall not affect the liability of the bond hereunder for the payment of any damages arising as a result of contracts, agreements, or arrangements for the supplying of transportation and other services made by Principal prior to the date that such termination becomes effective. Liability of Surety under this bond shall in all events be limited only to a charter participant or charter participants who shall within sixty (60) days after the termination of the particular charter described herein give written notice of claim to the charter operator or, if it is unavailable, to Surety, and all liability on this bond shall automatically terminate sixty (60) days after the termination date of each particular charter covered by this bond except for claims made in the time provided herein.
In witness whereof, the said Principal and Surety have executed this instrument on the ___ day of ________, ____.
Only corporations may qualify to act as surety and they must meet the requirements set forth in § 380.34(c)(6) of Part 380.
This Trust Agreement is entered into between __________ (charter operator) incorporated under the law of __________ with the principal place of business being __________ (hereinafter referred to as the Operator), and __________ (Bank) with its principal place of business being __________ (hereinafter referred to as the “Trustee”), for the purpose of creating a trust to become effective as of the ___ day of ________, ____, which trust shall continue until terminated as hereinafter provided.
The Operator intends to become a Public Charter operator pursuant to the provisions of Part 380 of the Department's Special Regulations and other rules and regulations of the Department relating to insurance or other security for the protection of charter participants, and has elected to file with the Department of Transportation such a Surety Trust Agreements as will insure financial responsibility with respect to all moneys received from charter participants for services in connection with a Public Charter to be operated subject to Part 380 of the Department's Special Regulations in accordance with contracts, agreements, or arrangements therefor.
This Surety Trust Agreement is written to assure compliance by the Operator with the provisions of Part 380 of the Department's Special Regulations and other rules and regulations of the Department relating to insurance or other security for the protection of charter participants.
It shall inure to the benefit of any and all charter participants to whom the Operator may be held legally liable for any of the damages herein described.
It is mutually agreed by and between the operator and Trustee that the Trustee shall manage the corpus of the trust and carry out the purposes of the trust as hereinafter set forth during the term of the trust for the benefit of charter participants (who are hereinafter referred to as “Beneficiaries.”)
Beneficiaries of the trust created by this Agreement shall be limited to those charter participants who meet the following requirements:
1. Those for whom Operator or Operator's agent has received payment toward participation in one or more charters operated by or proposed to be operated by Operator.
2. Who have legal claim or claims for money damages against the Operator by reason of the Operators' failure faithfully to perform, fulfill, and carry out all contracts, agreements, and arrangements made by the Operator while this trust is in respect to the receipt of moneys and proper disbursement thereof pursuant to Part 380 of the Department's Special Regulations; and
3. Who have given notice of such claim or claims in accordance with this Trust Agreement, but who have not been paid by the Operator.
The Operator shall convey to the Trustee legal title to the trust corpus, which has a value of $________ by the time of the execution of this Agreement.
Trustee shall assume the responsibilities of the Trustee over the said trust corpus and shall distribute from the trust corpus to any and all Beneficiaries to whom the Operator, in its capacity as a Public Charter operator, may be held legally liable by reason of the Operator's failure faithfully to perform, fulfill, and carry out all contracts, agreements, and arrangements made by the Operator, while this trust is in effect with respect to the receipt of moneys and proper disbursement thereof pursuant to Part 380 of the Department's Special Regulations in connection with said charters, such damages as will discharge such liability while this trust is in effect; Provided, however, That the liability of the trust to any Beneficiary shall not exceed the charter price (as defined in Part 380 of the Department's Special Regulations) paid by or on behalf on any such Beneficiary; Provided, further, That there shall be on obligation of the trust to any Beneficiary if the Operator shall pay or cause to be paid to any Beneficiary any sum or sums for which the Operator may be held legally liable by reasons of its failure faithfully to perform, fulfill, and carry out all contracts, agreements, and arrangements made by the Operator in its capacity as charter operator while this trust is in effect with respect to the receipt of moneys and proper disbursement thereof pursuant to Part 380 of the Department's Special Regulations; And provided still further, That the liability of the trust as administered by the Trustee shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments, shall amount in the aggregate to $________. Notwithstanding anything herein to the contrary, in no event shall the obligation of the trust or the Trustee hereunder exceed the aggregate amount of $________.
The Trustee agrees to furnish written notice to the Office of Aviation Analysis, Department of Transportation, forthwith of all
The Trust shall not be liable hereunder for the payment of any damages hereinbefore described which arise as a result of any contracts, agreements, undertakings, or arrangements for the supplying of transportation and other services made by the Operator after the termination of this trust as herein provided, but such termination shall not affect the liability of the trust hereunder for the payment of any damages arising as a result of contracts, agreements, or arrangements for the supplying of transportation and other services made by the Operator prior to the date that such termination becomes effective.
Liability of the trust shall in all events be limited only to a Beneficiary or Beneficiaries who shall within sixty days after the termination of the particular charter give written notice of claim to the Operator or, if it is unavailable, to the Trustee, and all liability of the trust with respect to participants in a charter shall automatically terminate sixty days after the termination date of each particular charter covered by this trust except for claims filed in the time provided herein. Sixty-one days after the completion of the last charter covered by this Trust Agreement, the trust shall automatically terminate except for claims of any Beneficiary or Beneficiaries previously made in accordance with this Agreement still pending on and after said sixty-first day. To the extent of such claims, the trust shall continue until those claims are discharged, dismissed, dropped, or otherwise terminated; the remainder of the trust corpus shall be conveyed forthwith to the Operator. After all remaining claims which are covered by this Trust Agreement pending on and after the said sixty-first day have been discharged, dismissed, dropped, or otherwise terminated, the Trustee shall convey forthwith the remainder of the trust corpus, if any, to the Operator.
Either the Operator or Trustee may at any time terminate this trust by written notice to: “Special Authorities Division (P-57), Office of Aviation Analysis, U.S. Department of Transportation, Washington, DC 20590,” such termination to become effective thirty days after the actual receipt of said notice by the Department.
In the event of any controversy or claim arising hereunder, the Trustee shall not be required to determine same or take any other action with respect thereto, but may await the settlement of such controversy or claim by final appropriate legal proceedings, and in such event shall not be liable for interest or damages of any kind.
Any Successor to the Trustee by merger, consolidation, or otherwise, shall succeed to this trusteeship and shall have the powers and obligations set forth in this Agreement.
The trust created under this Agreement shall be operated and administered under the laws of the State of ________.
IN WITNESS WHEREOF, the Operator and Trustee have executed this instrument on the ___ day of ________, ____.
49 U.S.C. 40113(a) and 41712.
The purpose of this part is ensure that air travelers who have purchased tours to special events will receive the promised admission to the event. This part expands the “Super Bowl rule” to other events.
This part applies to Special Event Tours that are in interstate air transportation, or in foreign air transportation originating at a point in the United States. This part applies to U.S. and foreign operators of Special Event Tours, whether they be air carriers or ticket agents. This part applies to scheduled, charter, and other air transportation.
No operator of a Special Event Tour or agent of such an operator shall conduct, or cause or allow to be conducted, any advertising, solicitation or other promotion for a Special Event Tour unless:
(a) The operator is in physical possession of enough tickets for admission to the event to provide such tickets for a substantial number of seats on the tour; or
(b) The operator has entered into a written contract with an organization that is the distributor of such tickets or an organization that receives such tickets directly from the distributor (e.g., a bowl committee; football conference, league or team; concert promoter or arena; etc.), the terms of which provide for that organization to furnish the operator enough admission tickets to provide such tickets for a substantial number of seats on the tour; or
(c) The operator has entered into a written contract with another person or organization that has a written contract or series of written contracts with the distributor of such tickets or with an organization that receives such tickets directly from the distributor, the terms of which provide for that organization (the organization with which the operator has contracted) to furnish the operator enough admission tickets to provide such tickets for a substantial number of seats on the tour.
(a) Except as provided in paragraph (b) of this section:
(1) No operator of a Special Event Tour shall accept money for a seat on a Special Event Tour, or authorize an agent to accept such money, unless the operator has physical possession of, or written contracts (in the manner described in § 381.7) for, a ticket for admission to the event for that individual. To the extent that the operator receives an unsolicited booking for which the operator does not have physical possession of or written contracts for a ticket for admission to the event, any payment accompanying that booking must be returned within 3 business days.
(2) Upon acceptance of the money for a sale, the operator must reserve one event ticket for that individual. An operator may not sell more seats on the tour than it has event tickets in hand or under contract. (An operator need not continue to reserve an event ticket for an individual who withdraws from the tour by providing notice to the operator or by being notified by the operator that the individual's participation has been canceled due to failure to remit a required installment payment.)
(b) An operator of a Special Event Tour may accept a booking and payment from an individual for whom the operator does not have an event ticket in hand or under contract if that individual agrees in writing that he or she understands that no event ticket has been reserved for him or her. This agreement shall specify whether the person has agreed to participate in the tour without an event ticket and/or the operator has agreed to attempt to acquire an event ticket for this person. If the two parties agree that the operator will attempt to acquire an event ticket, the agreement shall specify any penalties that will apply if the individual later cancels because an event ticket did not become available. If the operator notifies this person that an event ticket has become available, that person shall enjoy all the other protections of this part from that time.
If promised admission to the primary event for which a Special Event Tour was organized is not furnished by the tour operator, at the tour price agreed to before departure (including any increases that the participant has accepted pursuant to § 381.13(a)), the operator must provide each tour participant affected in this way a refund of the total tour price. This refund is to be provided within 14 calendar days after the scheduled return date of the tour.
(a) Should the tour operator increase a participant's tour price by more than 10 percent (aggregate of all increases to that participant), that participant shall have the option of canceling his or her participation in the tour and receiving a full refund within 14 days after the cancellation.
(b) The tour operator shall not increase the tour price to any participant less than ten days before departure.
49 U.S.C. 41705.
The purpose of this Part is to carry out the Air Carrier Access Act of 1986, as amended. This rule prohibits both U.S. and foreign carriers from discriminating against passengers on the basis of disability; requires carriers to make aircraft, other facilities, and services accessible; and requires carriers to take steps to accommodate passengers with a disability.
In this regulation, the terms listed in this section have the following meanings:
(a)
(1) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: neurological, musculoskeletal, special sense organs, respiratory including speech organs, cardio-vascular, reproductive, digestive, genito-urinary, hemic and lymphatic, skin, and endocrine; or
(2) Any mental or psychological disorder, such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities.
The term
(b)
(c)
(d)
(1) Has a physical or mental impairment that does not substantially limit major life activities but that is treated by an air carrier as constituting such a limitation;
(2) Has a physical or mental impairment that substantially limits a major life activity only as a result of the attitudes of others toward such an impairment; or
(3) Has none of the impairments set forth in this definition but is treated by an air carrier as having such an impairment.
(a) Who, as a passenger (referred to as a “passenger with a disability”),
(1) With respect to obtaining a ticket for air transportation on a carrier, offers, or makes a good faith attempt to offer, to purchase or otherwise validly to obtain such a ticket;
(2) With respect to obtaining air transportation, or other services or accommodations required by this Part,
(i) Buys or otherwise validly obtains, or makes a good faith effort to obtain, a ticket for air transportation on a carrier and presents himself or herself at the airport for the purpose of traveling on the flight to which the ticket pertains; and
(ii) Meets reasonable, nondiscriminatory contract of carriage requirements applicable to all passengers; or
(b) Who, with respect to accompanying or meeting a traveler, using ground transportation, using terminal facilities, or obtaining information about schedules, fares, reservations, or policies, takes those actions necessary to use facilities or services offered by an air carrier to the general public, with reasonable accommodations, as needed, provided by the carrier.
As a U.S. or foreign carrier, you are required to comply with the requirements of this Part on May 13, 2009, except as otherwise provided in individual sections of this Part.
(a) If you are a U.S. carrier, this Part applies to you with respect to all your operations and aircraft, regardless of where your operations take place, except as otherwise provided in this Part.
(b) If you are a foreign carrier, this Part applies to you only with respect to flights you operate that begin or end at a U.S. airport and to aircraft used for these flights. For purposes of this Part, a “flight” means a continuous journey in the same aircraft or with one flight number that begins or ends at a U.S. airport. The following are some examples of the application of this term:
A passenger books a nonstop flight on a foreign carrier from New York to Frankfurt, or Frankfurt
A passenger books a journey on a foreign carrier from New York to Prague. The foreign carrier flies nonstop to Frankfurt. The passenger gets off the plane in Frankfurt and boards a connecting flight (with a different flight number), on the same foreign carrier or a different carrier, which goes to Prague. The New York-Frankfurt leg of the journey is a “flight” for purposes of this Part; the Frankfurt-Prague leg is not. On the reverse routing, the Prague-Frankfurt leg is not a covered flight for purposes of this Part, while the Frankfurt-New York leg is.
A passenger books a journey on a foreign carrier from New York to Prague. The plane stops for refueling and a crew change in Frankfurt. If, after deplaning in Frankfurt, the passengers originating in New York reboard the aircraft (or a different aircraft, assuming the flight number remains the same) and continue to Prague, they remain on a covered flight for purposes of this Part. This is because their transportation takes place on a direct flight between New York and Prague, even though it had an interim stop in Frankfurt. This example would also apply in the opposite direction (Prague to New York via Frankfurt).
In Example 3, the foreign carrier is not subject to coverage under this Part with respect to a Frankfurt-originating passenger who boards the aircraft and goes to Prague, or a Prague-originating passenger who gets off the plane in Frankfurt and does not continue to New York.
(c) As a foreign carrier, you are not subject to the requirements of this Part with respect to flights between two foreign points, even with respect to flights involving code-sharing arrangements with U.S. carriers. As a U.S. carrier that participates in a code-sharing arrangement with a foreign carrier with respect to flights between two foreign points, you (as distinct from the foreign carrier) are responsible for ensuring compliance with the service provisions of subparts A through C, F through H, and K with respect to passengers traveling under your code on such a flight.
A passenger buys a ticket from a U.S. carrier for a journey from New York to Prague. The ticket carries the U.S. carrier's code and flight number throughout the entire journey. There is a change of carrier and aircraft in Frankfurt, and a foreign carrier operates the Frankfurt-Prague segment. The foreign carrier is not subject to the provisions of Part 382 for the Frankfurt-Prague segment. However, the U.S. carrier must ensure compliance with the applicable provisions of Part 382 on the Frankfurt-Prague segment with respect to passengers flying under its code, and the Department could take enforcement action against the U.S. carrier for acts or omissions by the foreign carrier.
(d) As a foreign carrier, if you operate a charter flight from a foreign airport to a U.S. airport, and return to a foreign airport, and you do not pick up any passengers in the U.S., the charter flight is not a flight subject to the requirements of this Part.
(e) Unless a provision of this Part specifies application to a U.S. carrier or a foreign carrier, the provision applies to both U.S. and foreign carriers.
(f) If you are an indirect carrier, §§ 382.1 through 382.15 of this Part apply to you. §§ 382.17 through 382.157 of this Part do not apply to you except insofar as provided by § 382.11(b).
(g) Notwithstanding any provisions of this Part, you must comply with all FAA safety regulations, TSA security regulations, and foreign safety and security regulations having legally mandatory effect that apply to you.
(a) If you are a foreign carrier, and you believe that an applicable provision of the law of a foreign nation precludes you from complying with a provision of this Part, you may request a waiver of the provision of this Part.
(b) You must send such a waiver request to the following address: Assistant General Counsel for Aviation Enforcement and Proceedings, C-70 U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Room W96-322, Washington, DC 20590.
(c) Your waiver request must be in English and include the following elements:
(1) A copy, in the English language, of the foreign law involved;
(2) A description of how the foreign law applies and how it precludes compliance with a provision of this Part;
(3) A description of the alternative means the carrier will use, if the waiver is granted, to effectively achieve the objective of the provision of this Part subject to the waiver or, if applicable, a justification of why it would be impossible to achieve this objective in any way.
(d) The Department may grant the waiver request, or grant the waiver request subject to conditions, if it determines that the foreign law applies, that it does preclude compliance with a provision of this Part, and that the carrier has provided an effective alternative means of achieving the objective of the provisions of this Part subject to the waiver or have demonstrated by clear and convincing evidence that it would be impossible to achieve this objective in any way.
(e)(1) If you submit a waiver request on or before September 10, 2008, the Department will, to the maximum extent feasible, respond to the request before May 13, 2009. If the Department does not respond to the waiver request by May 13, 2009, you may continue to implement the policy or practice that is the subject of your request until the Department does respond. The Department will not take enforcement action with respect to your implementation of the policy or practice during the time prior to the Department's response.
(2) If you submit a waiver request after September 10, 2008, the Department will, to the maximum extent feasible, respond to the request by May 13, 2009 or within 180 days of receiving it, whichever is later. If the Department does not respond to the waiver request by this date, you may continue to implement the policy or practice that is the subject of your request until the Department does respond. However, the Department may take enforcement action with respect to your implementation of the policy or practice during the time between May 13, 2009 and the date of the Department's response.
(3) If you submit a waiver request after September 10, 2008, and the request pertains to an applicable provision of the law of a foreign nation that did not exist on September 10, 2008, you may continue to implement the policy or practice that is the subject of your request until the Department responds to the request. The Department will, to the maximum extent feasible, respond to such requests within 180 days of receiving them. The Department will not take enforcement action with respect to your implementation of the policy or practice during the time prior to the Department's response.
(f) Notwithstanding any other provision of this section, the Department may commence enforcement action at any time after May 13, 2009 with respect to the policy or practice that is the subject of the request if it finds the request to be frivolous or dilatory.
(g) If you have not submitted a request for a waiver under this section with respect to a provision of this Part, or such a request has been denied, you cannot raise the alleged existence of such a conflict as a defense to an enforcement action.
(a) As a U.S. or foreign carrier, you may apply to the Department for a determination that you are providing an equivalent alternative to passengers with disabilities.
(b) You must send your application for an equivalent alternative determination to the following address: Assistant General Counsel for Aviation Enforcement and Proceedings (C-70), U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Room W96-322, Washington, DC 20590.
(c) Your application must be in English and include the following elements:
(1) A citation to the specific provision of this Part concerning which you are proposing an equivalent alternative.
(2) A detailed description of the alternative policy, practice, or other accommodation you are proposing to use in place of compliance with the provision of this Part that you cite, and an explanation of how it provides substantially equivalent accessibility to passengers with disabilities.
(d) The Department may grant the application, or grant the application subject to conditions, if it determines
(e) If your application is granted, you will be deemed to be in compliance with this Part through implementing the equivalent alternative. If your application is denied, you must implement this Part as written.
(f)(1) If you submit your application on or before September 10, 2008, the Department will respond to the request before May 13, 2009 to the maximum extent feasible. If the Department does not respond to the application by May 13, 2009, you may implement your policy or practice that is the subject of your application until the Department does respond.
(2) With respect to an application you make after September 10, 2008, you must comply with the provisions of this Part without change from May 13, 2009 until the Department responds to your application.
(a) As a carrier, you must not do any of the following things, either directly or through a contractual, licensing, or other arrangement:
(1) You must not discriminate against any qualified individual with a disability, by reason of such disability, in the provision of air transportation;
(2) You must not require a qualified individual with a disability to accept special services (including, but not limited to, preboarding) that the individual does not request. However, you may require preboarding as a condition of receiving certain seating or in-cabin stowage accommodations, as specified in §§ 382.83(c), 382.85(b), and 382.123(a) of this Part.
(3) You must not exclude a qualified individual with a disability from or deny the person the benefit of any air transportation or related services that are available to other persons, except where specifically permitted by this Part. This is true even if there are separate or different services available for individuals with a disability, except when specifically permitted by another section of this Part; and
(4) You must not take any adverse action against an individual (
(b) As an indirect carrier, you must comply with §§ 382.17 through 382.157 of this Part when providing facilities or services to passengers that would have otherwise been provided by a direct air carrier.
(a) As a carrier, you must modify your policies, practices, and facilities when needed to provide nondiscriminatory service to a particular individual with a disability, consistent with the standards of section 504 of the Rehabilitation Act, as amended.
(b) This requirement is part of your general nondiscrimination obligation, and is in addition to your duty to make the specific accommodations required by this Part.
(c) However, you are not required to make modifications that would constitute an undue burden or would fundamentally alter your program.
(a) As a carrier, you must make sure that your contractors that provide services to the public (including airports where applicable) meet the requirements of this Part that would apply to you if you provided the services yourself.
(b) As a carrier, you must include an assurance of compliance with this Part in your contracts with any contractors that provide services to the public that are subject to the requirements of this Part. Noncompliance with this assurance is a material breach of the contract on the contractor's part.
(1) This assurance must commit the contractor to compliance with all applicable provisions of this Part in activities performed on behalf of the carrier.
(2) The assurance must also commit the contractor to implementing directives issued by your CROs under §§ 382.151 through 382.153.
(c) As a U.S. carrier, you must also include such an assurance of compliance in your contracts or agreements of appointment with U.S. travel agents. You are not required to include such an assurance in contracts with foreign travel agents.
(d) You remain responsible for your contractors' compliance with this Part and for enforcing the assurances in your contracts with them.
(e) It is not a defense against an enforcement action by the Department under this Part that your noncompliance resulted from action or inaction by a contractor.
As a carrier, you must not limit the number of passengers with a disability who travel on a flight. (See also § 382.27(c)(6) of this Part.)
(a) As a carrier, you must not refuse to provide transportation to a passenger with a disability on the basis of his or her disability, except as specifically permitted by this Part.
(b) You must not refuse to provide transportation to a passenger with a disability because the person's disability results in appearance or involuntary behavior that may offend, annoy, or inconvenience crewmembers or other passengers.
(c) You may refuse to provide transportation to any passenger on the basis of safety, as provided in 49 U.S.C. 44902 or 14 CFR 121.533, or to any passenger whose carriage would violate FAA or TSA requirements or applicable requirements of a foreign government.
(1) You can determine that there is a disability-related safety basis for refusing to provide transportation to a passenger with a disability if you are able to demonstrate that the passenger poses a direct threat (see definition in § 382.3). In determining whether an individual poses a direct threat, you must make an individualized assessment, based on reasonable judgment that relies on current medical knowledge or on the best available objective evidence, to ascertain:
(i) The nature, duration, and severity of the risk;
(ii) The probability that the potential harm to the health and safety of others will actually occur; and
(iii) Whether reasonable modifications of policies, practices, or procedures will mitigate the risk.
(2) If you determine that the passenger does pose a direct threat, you must select the least restrictive response from the point of view of the passenger, consistent with protecting the health and safety of others. For example, you must not refuse transportation to the passenger if you can protect the health and safety of others by means short of a refusal.
(3) In exercising this authority, you must not act inconsistently with the provisions of this Part.
(4) If your actions are inconsistent with any of the provisions of this Part, you are subject to enforcement action under Subpart K of this Part.
(d) If you refuse to provide transportation to a passenger on his or her originally-scheduled flight on a basis relating to the individual's disability, you must provide to the person a written statement of the reason for the refusal. This statement must include the specific basis for the carrier's opinion that the refusal meets the standards of paragraph (c) of this section or is otherwise specifically permitted by this Part. You must provide this written statement to the person within 10 calendar days of the refusal of transportation.
(a) You must not do any of the following things on the basis that a passenger has a communicable disease or infection, unless you determine that the passenger's condition poses a direct threat:
(1) Refuse to provide transportation to the passenger;
(2) Delay the passenger's transportation (
(3) Impose on the passenger any condition, restriction, or requirement not imposed on other passengers; or
(4) Require the passenger to provide a medical certificate.
(b) In assessing whether the passenger's condition poses a direct threat, you must apply the provisions of § 382.19(c)(1)-(2) of this subpart.
(1) In making this assessment, you may rely on directives issued by public health authorities (
(2) In making this assessment, you must consider the significance of the consequences of a communicable disease and the degree to which it can be readily transmitted by casual contact in an aircraft cabin environment.
The common cold is readily transmissible in an aircraft cabin environment but does not have severe health consequences. Someone with a cold would not pose a direct threat.
AIDS has very severe health consequences but is not readily transmissible in an aircraft cabin environment. Someone would not pose a direct threat because he or she is HIV-positive or has AIDS.
SARS may be readily transmissible in an aircraft cabin environment and has severe health consequences. Someone with SARS probably poses a direct threat.
(c) If a passenger with a communicable disease meeting the direct threat criteria of this section gives you a medical certificate of the kind outlined in § 382.23(c)(2) describing measures for preventing transmission of the disease during the normal course of the flight, you must provide transportation to the passenger, unless you are unable to carry out the measures.
(d) If your action under this section results in the postponement of a passenger's travel, you must permit the passenger to travel at a later time (up to 90 days from the date of the postponed travel) at the fare that would have applied to the passenger's originally scheduled trip without penalty or, at the passenger's discretion, provide a refund for any unused flights, including return flights.
(e) If you take any action under this section that restricts a passenger's travel, you must, on the passenger's request, provide a written explanation within 10 days of the request.
(a) Except as provided in this section, you must not require a passenger with a disability to have a medical certificate as a condition for being provided transportation.
(b)(1) You may require a medical certificate for a passenger with a disability—
(i) Who is traveling in a stretcher or incubator;
(ii) Who needs medical oxygen during a flight; or
(iii) Whose medical condition is such that there is reasonable doubt that the individual can complete the flight safely, without requiring extraordinary medical assistance during the flight.
(2) For purposes of this paragraph, a medical certificate is a written statement from the passenger's physician saying that the passenger is capable of completing the flight safely, without requiring extraordinary medical assistance during the flight.
(3) To be valid, a medical certificate under this paragraph must be dated within 10 days of the scheduled date of the passenger's initial departing flight.
A passenger who schedules a flight from New York to London on January 15 with a return on April 15 would have to show a medical certificate dated January 5 or later. The passenger would not have to show a second medical certificate dated April 5 or later.
(c)(1) You may also require a medical certificate for a passenger if he or she has a communicable disease or condition that could pose a direct threat to the health or safety of others on the flight.
(2) For purposes of this paragraph, a medical certificate is a written statement from the passenger's physician saying that the disease or infection would not, under the present conditions in the particular passenger's case, be communicable to other persons during the normal course of a flight. The medical certificate must state any conditions or precautions that would have to be observed to prevent the transmission of the disease or infection to other persons in the normal course of a flight. A medical certificate under this paragraph must be dated within 10 days of the date of the flight for which it is presented.
(d) As a carrier, you may require that a passenger with a medical certificate undergo additional medical review by you if there is a legitimate medical reason for believing that there has been a significant adverse change in the passenger's condition since the issuance of the medical certificate or that the certificate significantly understates the passenger's risk to the health of other persons on the flight. If the results of this medical review demonstrate that the passenger, notwithstanding the medical certificate, is likely to be unable to complete the flight without requiring extraordinary medical assistance (
As a carrier, you must not require a passenger with a disability to provide advance notice of the fact that he or she is traveling on a flight.
(a) Except as provided in paragraph (b) of this section and §§ 382.133(c)(4) and (5) and 382.133 (d)(5) and (6), as a carrier you must not require a passenger with a disability to provide advance notice in order to obtain services or accommodations required by this Part.
(b) You may require a passenger with a disability to provide up to 72 hours' advance notice and check in one hour before the check-in time for the general public to receive carrier-supplied in-flight medical oxygen on international flights, 48 hours' advance notice and check-in one hour before the check-in time for the general public to receive carrier-supplied in-flight medical oxygen on domestic flights, and 48 hours' advance notice and check-in one hour before the check-in time for the general public to use his/her ventilator, respirator, CPAP machine or POC.
(c) You may require a passenger with a disability to provide up to 48 hours' advance notice and check in one hour before the check-in time for the general public to receive the following services and accommodations. The services listed in paragraphs (c)(1) through (c)(3) of this section are optional; you are not required to provide them, but you may choose to do so.
(1) Carriage of an incubator;
(2) Hook-up for a respirator, ventilator, CPAP machine or POC to the aircraft electrical power supply;
(3) Accommodation for a passenger who must travel in a stretcher;
(4) Transportation for an electric wheelchair on an aircraft with fewer than 60 seats;
(5) Provision of hazardous materials packaging for batteries or other assistive devices that are required to have such packaging;
(6) Accommodation for a group of ten or more qualified individuals with a disability, who make reservations and travel as a group; and
(7) Provision of an on-board wheelchair on an aircraft with more than 60 seats that does not have an accessible lavatory.
(8) Transportation of an emotional support or psychiatric service animal in the cabin;
(9) Transportation of a service animal on a flight segment scheduled to take 8 hours or more;
(10) Accommodation of a passenger who has both severe vision and hearing impairments (see § 382.29(b)(4)).
(d) If the passenger with a disability provides the advance notice you require, consistent with this section, for a service that you must provide (see paragraphs (c)(4) through (c)(10) of this section) or choose to provide (see paragraphs (c)(1) through (c)(3) of this section), you must provide the requested service or accommodation.
(e) Your reservation and other administrative systems must ensure that when passengers provide the advance notice that you require, consistent with this section, for services and accommodations, the notice is communicated, clearly and on time, to the people responsible for providing the requested service or accommodation.
(f) If a passenger with a disability provides the advance notice you require, consistent with this section, and the passenger is forced to change to another flight (
(g) If a passenger does not meet advance notice or check-in requirements you establish consistent with this section, you must still provide the service or accommodation if you can do so by making reasonable efforts, without delaying the flight.
(a) Except as provided in paragraph (b) of this section, you must not require that a passenger with a disability travel with another person as a condition of being provided air transportation.
(b) You may require a passenger with a disability in one of the following categories to travel with a safety assistant as a condition of being provided air transportation, if you determine that a safety assistant is essential for safety:
(1) A passenger traveling in a stretcher or incubator. The safety assistant for such a person must be capable of attending to the passenger's in-flight medical needs;
(2) A passenger who, because of a mental disability, is unable to comprehend or respond appropriately to safety instructions from carrier personnel, including the safety briefing required by 14 CFR 121.571(a)(3) and (a)(4) or 14 CFR 135.117(b) or the safety regulations of a foreign carrier's government, as applicable;
(3) A passenger with a mobility impairment so severe that the person is unable to physically assist in his or her own evacuation of the aircraft;
(4) A passenger who has both severe hearing and severe vision impairments, if the passenger cannot establish some means of communication with carrier personnel that is adequate both to permit transmission of the safety briefing required by 14 CFR 121.57(a)(3) and (a)(4), 14 CFR 135,117(b) or the safety regulations of a foreign carrier's government, as applicable, and to enable the passenger to assist in his or her own evacuation of the aircraft in the event of an emergency. You may require a passenger with severe hearing and vision impairment who wishes to travel without a safety assistant to notify you at least 48 hours in advance to provide this explanation. If the passenger fails to meet this notice requirement, however, you must still accommodate him or her to the extent practicable.
(c)(1) If you determine that a person meeting the criteria of paragraph (b)(2), (b)(3) or (b)(4) of this section must travel with a safety assistant, contrary to the individual's self-assessment that he or she is capable of traveling independently, you must not charge for the transportation of the safety assistant. You are not required to find or provide the safety assistant, however.
(2) For purposes of paragraph (b)(4) of this section, you may require, contrary to the individual's self-assessment, that an individual with both severe hearing and vision impairments must travel with a safety assistant if you determine that—
(i) The means of communication that the individual has explained to you does not adequately satisfy the objectives identified in paragraph (b)(4) of this section; or
(ii) The individual proposes to establish communication by means of finger spelling and you cannot, within the time following the individual's notification, arrange for a flight crew member who can communicate using this method to serve the passenger's flight.
(3) If a passenger voluntarily chooses to travel with a personal care attendant or safety assistant that you do not require, you may charge for the transportation of that person.
(d) If, because there is not a seat available on a flight for a safety assistant whom the carrier has determined to be necessary, a passenger with a disability holding a confirmed reservation is unable to travel on the flight, you must compensate the passenger with a disability in an amount to be calculated as provided for instances of involuntary denied boarding under 14 CFR part 250, where part 250 applies.
(e) For purposes of determining whether a seat is available for a safety assistant, you must deem the safety assistant to have checked in at the same time as the passenger with a disability.
(f) Concern that a passenger with a disability may need personal care services (
(a) Except as otherwise provided in this Part you must not, as a carrier, impose charges for providing facilities, equipment, or services that this rule requires to be provided to passengers with a disability. You may charge for services that this Part does not require.
(b) You may charge a passenger for the use of more than one seat if the passenger's size or condition (
(c) If your web site that passengers use to make reservations or purchase tickets is not accessible to a passenger with a disability, you must not charge a fee to the passenger who is consequently unable to make a reservation or purchase a ticket on that site for using another booking method (
(a) As a carrier, you must not subject passengers with a disability to restrictions that do not apply to other passengers, except as otherwise permitted in this Part (
(b) Restrictions you must not impose on passengers with a disability include, but are not limited to, the following:
(1) Restricting passengers” movement within the terminal;
(2) Requiring passengers to remain in a holding area or other location in order to receive transportation, services, or accommodations;
(3) Making passengers sit on blankets on the aircraft;
(4) Making passengers wear badges or other special identification (
(5) Otherwise mandating separate treatment for passengers with a disability, unless permitted or required by
(a) As a carrier, you must not require passengers with a disability to sign a release or waiver of liability in order to receive transportation or to receive services or accommodations for a disability.
(b) You must not require passengers with a disability to sign waivers of liability for damage to or loss of wheelchairs or other assistive devices, or for the loss of, death of, or injury to service animals. Carriers may note pre-existing damage to an assistive device to the same extent that carriers do this with respect to other checked baggage.
As a carrier, you must provide the following information, on request, to qualified individuals with a disability or persons making inquiries on their behalf concerning the accessibility of the aircraft expected to make a particular flight. The information you provide must be specific to the aircraft you expect to use for the flight unless it is unfeasible for you to do so (
(a) The specific location of seats, if any, with movable armrests (
(b) The specific location of seats (
(c) Any aircraft-related, service-related or other limitations on the ability to accommodate passengers with a disability, including limitations on the availability of level-entry boarding to the aircraft at any airport involved with the flight. You must provide this information to any passenger who states that he or she uses a wheelchair for boarding, even if the passenger does not explicitly request the information.
(d) Any limitations on the availability of storage facilities, in the cabin or in the cargo bay, for mobility aids or other assistive devices commonly used by passengers with a disability, including storage in the cabin of a passenger's wheelchair as provided in §§ 382.67 and 382.123 of this Part;
(e) Whether the aircraft has an accessible lavatory; and
(f) The types of services to passengers with a disability that are or are not available on the flight.
(a) If, as a carrier, you provide telephone reservation and information service to the public, you must make this service available to individuals who use a text telephone (TTY), whether via your own TTY, voice relay, or other available technology, as follows:
(1) You must provide access to TTY users during the same hours as the telephone service is available to the general public.
(2) You must ensure that the response time for answering calls and the level of service provided to TTY users is substantially equivalent to the response time and level of service provided to the general public (
(3) You must not subject TTY users to charges exceeding those that apply to non-TTY users of telephone information and reservation service.
(4) In any medium in which you list the telephone number of your information and reservation service for the general public, you must also list your TTY number if you have one. If you do not have a TTY number, you must state how TTY users can reach your information and reservation service (
(5) If you are a foreign carrier, you must meet this requirement by May 13, 2010.
(b) The requirements of paragraph (a) do not apply to you in any country in
(a) As a carrier, you must keep a current copy of this Part at each airport you serve. As a foreign carrier, you must keep a copy of this Part at each airport serving a flight you operate that begins or ends at a U.S. airport. You must make this copy available for review by any member of the public on request.
(b) If you have a Web site, it must provide notice to consumers that they can obtain a copy of this Part in an accessible format from the Department of Transportation by any of the following means:
(1) For calls made from within the United States, by telephone via the Toll-Free Hotline for Air Travelers with Disabilities at 1-800-778-4838 (voice) or 1-800-455-9880 (TTY),
(2) By telephone to the Aviation Consumer Protection Division at 202-366-2220 (voice) or 202-366-0511 (TTY),
(3) By mail to the Air Consumer Protection Division, C-75, U.S. Department of Transportation, 1200 New Jersey Ave., SE., West Building, Room W96-432, Washington, DC 20590, and
(4) On the Aviation Consumer Protection Division's Web site (
(a) As a carrier, you must comply with the following requirements with respect to all terminal facilities you own, lease, or control at a U.S. airport:
(1) You must ensure that terminal facilities providing access to air transportation are readily accessible to and usable by individuals with disabilities, including individuals who use wheelchairs. You are deemed to comply with this obligation if the facilities meet requirements applying to places of public accommodation under Department of Justice (DOJ) regulations implementing Title III of the Americans with Disabilities Act (ADA).
(2) With respect to any situation in which boarding and deplaning by level-entry loading bridges or accessible passenger lounges to and from an aircraft is not available, you must ensure that there is an accessible route between the gate and the area from which aircraft are boarded (
(3) You must ensure that systems of intra- and inter-terminal transportation, including, but not limited to, moving sidewalks, shuttle vehicles and people movers, comply with applicable requirements of the Department of Transportation's ADA rules (49 CFR parts 37 and 38).
(4) Your contracts or leases with airport operators concerning the use of airport facilities must set forth your airport accessibility responsibility under this Part and that of the airport operator under applicable section 504 and ADA rules of the Department of Transportation and Department of Justice.
(5) In cooperation with the airport operator and in consultation with local service animal training organization(s), you must provide animal relief areas for service animals that accompany passengers departing, connecting, or arriving at an airport on your flights.
(6) You must enable captioning at all times on all televisions and other audio-visual displays that are capable of displaying captions and that are located in any portion of the terminal to which any passengers have access on May 13, 2009. The captioning must be high-contrast insofar as is feasible.
(7) You must replace any televisions and other audio-visual displays providing passengers with safety briefings, information, or entertainment that do not have high-contrast captioning capability with equipment that does have such capability whenever such equipment is replaced in the normal course of operations and/or whenever areas of
(8) If you newly acquire televisions and other audio-visual displays for passenger safety briefings, information, or entertainment on or after May 13, 2009, such equipment must have high-contrast captioning capability.
(b) As a carrier, you must ensure that passengers with a disability can readily use all terminal facilities you own, lease, or control at a foreign airport. In the case of foreign carriers, this requirement applies only to terminal facilities that serve flights covered by § 382.7 of this Part.
(1) This means that passengers with a disability must be able to move readily through such terminal facilities to get to or from the gate and any other area from which passengers board the aircraft you use for such flights (
(2) You may meet this obligation through any combination of facility accessibility, auxiliary aids, equipment, the assistance of personnel, or other appropriate means consistent with the safety and dignity of passengers with a disability.
(c) As a foreign carrier, you must meet the requirements of this section by May 13, 2010, except as otherwise indicated in paragraph (a). As a U.S. carrier, you must meet the requirements of paragraph (b) of this section by May 13, 2010.
(a)(1) As a U.S. carrier, you must ensure that passengers with a disability who identify themselves as persons needing visual or hearing assistance have prompt access to the same information provided to other passengers at each gate, ticketing area, and customer service desk that you own, lease, or control at any U.S. or foreign airport, to the extent that this does not interfere with employees' safety and security duties as set forth in FAA, TSA, and applicable foreign regulations.
(2) As a foreign carrier, you must make this information available at each gate, ticketing area, and customer service desk that you own, lease, or control at any U.S. airport. At foreign airports, you must make this information available only at gates, ticketing areas, or customer service desks that you own, lease, or control and only for flights that begin or end in the U.S.
(3) As a U.S. or foreign carrier, at any U.S. airport covered by this paragraph where the airport has effective control over the covered gates, ticketing areas, and customer service desks, you and the airport are jointly responsible for compliance.
(b) The information you must provide under paragraph (a) of this section includes, but is not limited to, the following: Information concerning flight safety, ticketing, flight check-in, flight delays or cancellations, schedule changes, boarding information, connections, gate assignments, checking baggage, volunteer solicitation on oversold flights (
(c) With respect to information on claiming baggage, you must provide the information to passengers who identify themselves as persons needing visual or hearing assistance no later than you provide this information to other passengers.
(a) All passengers, including those with disabilities, are subject to TSA security screening requirements at U.S. airports. In addition, passengers at foreign airports, including those with disabilities, may be subject to security
(b) If, as a carrier, you impose security screening procedures for passengers with disabilities that go beyond those mandated by TSA (or, at a foreign airport, beyond the law of the country in which the airport is located), you must ensure that they meet the following requirements:
(1) You must use the same criteria for applying security screening procedures to passengers with disabilities as to other passengers.
(2) You must not subject a passenger with a disability to special screening procedures because the person is traveling with a mobility aid or other assistive device if the person using the aid or device clears the security system without activating it.
(i) However, your security personnel may examine a mobility aid or assistive device which, in their judgment, may conceal a weapon or other prohibited item.
(ii) You may conduct security searches of qualified individuals with a disability whose aids activate the security system in the same manner as for other passengers.
(3) You must not require private security screenings of passengers with a disability to a greater extent, or for any different reason, than for other passengers.
(c) Except as provided in paragraph (d) of this section, if a passenger with a disability requests a private screening in a timely manner, you must provide it in time for the passenger to enplane.
(d) If you use technology that can conduct an appropriate screening of a passenger with a disability without necessitating a physical search of the person, you are not required to provide a private screening.
As a carrier, if your automated kiosks in airport terminals cannot readily be used by a passenger with a disability for such functions as ticketing and obtaining boarding passes that the kiosks make available to other passengers, you must provide equivalent service to the passenger (
(a) As a carrier, you must ensure that aircraft with 30 or more passenger seats on which passenger aisle seats have armrests are equipped with movable aisle armrests on at least one-half of the aisle seats in rows in which passengers with mobility impairments are permitted to sit under FAA or applicable foreign government safety rules.
(b) You are not required to provide movable armrests on aisle seats of rows which a passenger with a mobility impairment is precluded from using by an FAA safety rule.
(c) You must ensure that these movable aisle armrests are provided proportionately in all classes of service in the cabin. For example, if 80 percent of the aisle seats in which passengers with mobility impairments may sit are in coach, and 20 percent are in first class, then 80 percent of the movable aisle armrests must be in coach, with 20 percent in first class.
(d) For aircraft equipped with movable aisle armrests, you must configure cabins, or establish administrative systems, to ensure that passengers with mobility impairments or other passengers with a disability can readily identify and obtain seating in rows with movable aisle armrests. You must provide this information by specific seat and row number.
(e) You are not required to retrofit cabin interiors of existing aircraft to comply with the requirements of this section. However, if you replace any of an aircraft's aisle seats with newly manufactured seats, the new seats must include movable aisle armrests as required by this section. However, an aircraft is never required to have movable aisle armrests on more than one half of the aisle seats.
(f) As a foreign carrier, you must comply with the requirements of paragraphs (a) through (d) of this section with respect to new aircraft you operate that were initially ordered after May 13, 2009 or which are delivered after May 13, 2010. As a U.S. carrier, the requirements of paragraphs (a), (b), (d), and (e) of this section applies to you with respect to new aircraft you operate that were initially ordered after April 5, 1990, or which are delivered after April 5, 1992. As a U.S. carrier, paragraph (c) of this section applies to you with respect to new aircraft you operate that were initially ordered after May 13, 2009 or which were delivered after May 13, 2010.
(g) As a foreign carrier, you must comply with the requirements of paragraph (e) of this section with respect to seats ordered after May 13, 2009.
(a) As a carrier, you must ensure that aircraft with more than one aisle in which lavatories are provided shall include at least one accessible lavatory.
(1) The accessible lavatory must permit a qualified individual with a disability to enter, maneuver within as necessary to use all lavatory facilities, and leave, by means of the aircraft's on-board wheelchair.
(2) The accessible lavatory must afford privacy to persons using the on-board wheelchair equivalent to that afforded ambulatory users.
(3) The lavatory shall provide door locks, accessible call buttons, grab bars, faucets and other controls, and dispensers usable by qualified individuals with a disability, including wheelchair users and persons with manual impairments.
(b) With respect to aircraft with only one aisle in which lavatories are provided, you may, but are not required to, provide an accessible lavatory.
(c) You are not required to retrofit cabin interiors of existing aircraft to comply with the requirements of this section. However, if you replace a lavatory on an aircraft with more than one aisle, you must replace it with an accessible lavatory.
(d) As a foreign carrier, you must comply with the requirements of paragraph (a) of this section with respect to new aircraft you operate that were initially ordered after May 13, 2009 or which are delivered after May 13, 2010. As a U.S. carrier, this requirement applies to you with respect to new aircraft you operate that were initially ordered after April 5, 1990, or which were delivered after April 5, 1992.
(e) As a foreign carrier, you must comply with the requirements of paragraph (c) of this section beginning May 13, 2009. As a U.S. carrier, these requirements apply to you with respect to new aircraft you operate that were initially ordered after April 5, 1990, or which were delivered after April 5, 1992.
(a) As a carrier, you must equip aircraft that have more than 60 passenger seats, and that have an accessible lavatory (whether or not having such a lavatory is required by § 382.63 of this Part) with an on-board wheelchair. The Aerospatiale/Aeritalia ATR-72 and the British Aerospace Advanced Turboprop (ATP), in configurations having between 60 and 70 passenger seats, are exempt from this requirement.
(b) If a passenger asks you to provide an on-board wheelchair on a particular flight, you must provide it if the aircraft being used for the flight has more than 60 passenger seats, even if the aircraft does not have an accessible lavatory.
(1) The basis of the passenger's request must be that he or she can use an inaccessible lavatory but cannot reach it from a seat without using an on-board wheelchair.
(2) You may require the passenger to provide the advance notice specified in § 382.27 to receive this service.
(c) You must ensure that on-board wheelchairs meet the following standards:
(1) On-board wheelchairs must include footrests, armrests which are movable or removable, adequate occupant restraint systems, a backrest height that permits assistance to passengers in transferring, structurally sound handles for maneuvering the occupied chair, and wheel locks or another adequate means to prevent chair
(2) The chair must be designed to be compatible with the maneuvering space, aisle width, and seat height of the aircraft on which it is to be used, and to be easily pushed, pulled, and turned in the cabin environment by carrier personnel.
(d) As a foreign carrier, you must meet this requirement as of May 13, 2010. As a U.S. carrier, you must meet this requirement by May 13, 2009.
(a) As a carrier, you must ensure that there is a priority space in the cabin of sufficient size to stow at least one typical adult-sized folding, collapsible, or break-down manual passenger wheelchair, the dimensions of which are within a space of 13 inches by 36 inches by 42 inches without having to remove the wheels or otherwise disassemble it. This requirement applies to any aircraft with 100 or more passenger seats; and
(b) This space must be other than the overhead compartments and under-seat spaces routinely used for passengers' carry-on items.
(c) As a foreign carrier, you must meet the requirement of paragraph (a) of this section for new aircraft ordered after May 13, 2009 or delivered after May 13, 2010. As a U.S. carrier, this requirement applies to you with respect to new aircraft you operate that were ordered after April 5, 1990, or which were delivered after April 5, 1992.
(a) As a carrier, you must ensure that all new videos, DVDs, and other audio-visual displays played on aircraft for safety purposes, and all such new audio-visual displays played on aircraft for informational purposes that were created under your control, are high-contrast captioned. The captioning must be in the predominant language or languages in which you communicate with passengers on the flight.
(b) The requirements of paragraph (a) of this section go into effect with respect to audio-visual displays used for safety purposes on November 10, 2009.
(c) Between May 13, 2009 and November 9, 2009, U.S. carriers must ensure that all videos, DVDs, and other audio-visual displays played on aircraft for safety purposes have open captioning or an inset for a sign language interpreter, unless such captioning or inset either would interfere with the video presentation so as to render it ineffective or would not be large enough to be readable, in which case these carriers must use an equivalent non-video alternative for transmitting the briefing to passengers with hearing impairments.
(d) The requirements of paragraph (a) of this section go into effect with respect to informational displays on January 8, 2010.
(a) As a carrier, you must maintain all aircraft accessibility features in proper working order.
(b) You must ensure that any replacement or refurbishing of the aircraft cabin or its elements does not reduce the accessibility of that element to a level below that specified for new aircraft in this Part.
As a carrier, you must provide the following seating accommodations to the following passengers on request, if the passenger self-identifies to you as having a disability specified in this section and the type of seating accommodation in question exists on the particular aircraft. Once the passenger self-identifies to you, you must ensure that the information is recorded and properly transmitted to personnel responsible for providing the accommodation.
(a) For a passenger who uses an aisle chair to access the aircraft and who cannot readily transfer over a fixed aisle armrest, you must provide a seat in a row with a movable aisle armrest. You must ensure that your personnel are trained in the location and proper use of movable aisle armrests, including appropriate transfer techniques. You must ensure that aisle seats with movable armrests are clearly identifiable.
(b) You must provide an adjoining seat for a person assisting a passenger with a disability in the following circumstances:
(1) When a passenger with a disability is traveling with a personal care attendant who will be performing a function for the individual during the flight that airline personnel are not required to perform (
(2) When a passenger with a vision impairment is traveling with a reader/assistant who will be performing functions for the individual during the flight;
(3) When a passenger with a hearing impairment is traveling with an interpreter who will be performing functions for the individual during the flight; or
(4) When you require a passenger to travel with a safety assistant (see § 382.29).
(c) For a passenger with a disability traveling with a service animal, you must provide, as the passenger requests, either a bulkhead seat or a seat other than a bulkhead seat.
(d) For a passenger with a fused or immobilized leg, you must provide a bulkhead seat or other seat that provides greater legroom than other seats, on the side of an aisle that better accommodates the individual's disability.
(a) If you are a carrier that provides advance seat assignments to passengers (
(1) You may “block” an adequate number of the seats used to provide the seating accommodations required by § 382.81.
(i) You must not assign these seats to passengers who do not meet the criteria of § 382.81 until 24 hours before the scheduled departure of the flight.
(ii) At any time up until 24 hours before the scheduled departure of the flight, you must assign a seat meeting the requirements of this section to a passenger with a disability meeting one or more of the requirements of § 382.81 who requests it, at the time the passenger initially makes the request.
(iii) If a passenger with a disability specified in § 382.81 does not make a request at least 24 hours before the scheduled departure of the flight, you must meet the passenger's request to the extent practicable, but you are not required to reassign a seat assigned to another passenger in order to do so.
(2) You may designate an adequate number of the seats used to provide seating accommodations required by § 382.81 as “priority seats” for passengers with a disability.
(i) You must provide notice that all passengers assigned these seats (other than passengers with a disability listed in § 382.81 of this Part) are subject to being reassigned to another seat if necessary to provide a seating accommodation required by this section.
(ii) You may provide this notice through your computer reservation system, verbal information provided by reservation personnel, ticket notices, gate announcements, counter signs, seat cards or notices, frequent-flier literature, or other appropriate means.
(iii) You must assign a seat meeting the requirements of this section to a passenger with a disability listed in § 382.81 of this Part who requests the accommodation at the time the passenger makes the request. You may require such a passenger to check in and request the seating accommodation at least one hour before the standard check-in time for the flight. If all designated priority seats that would accommodate the passenger have been assigned to other passengers, you must reassign the seats of the other passengers as needed to provide the requested accommodation.
(iv) If a passenger with a disability listed in § 382.81 does not check in at least an hour before the standard check-in time for the general public, you must meet the individual's request to the extent practicable, but you are not required to reassign a seat assigned to another passenger in order to do so.
(b) If you assign seats to passengers, but not until the date of the flight, you must use the “priority seating” approach of paragraph (a)(2) of this section.
(c) If you do not provide advance seat assignments to passengers, you must allow passengers specified in § 382.81 to board the aircraft before other passengers, including other “preboarded” passengers, so that the passengers needing seating accommodations can select seats that best meet their needs.
(d) As a carrier, if you wish to use a different method of providing seating assignment accommodations to passengers with disabilities from those specified in this subpart, you must obtain the written concurrence of the Department of Transportation. Contact the Department at the address cited in § 382.159 of this Part.
As a carrier, you must provide the following seating accommodations to a passenger who self-identifies as having a disability other than one in the four categories listed in § 382.81 (a) through (d) of this Part and as needing a seat assignment accommodation in order to readily access and use the carrier's air transportation services:
(a) As a carrier that assigns seats in advance, you must provide accommodations in the following ways:
(1) If you use the “seat-blocking” mechanism of § 382.83(a)(1) of this Part, you must implement the requirements of this section as follows:
(i) When a passenger with a disability not described in § 382.81(a) through (d) of this Part makes a reservation more than 24 hours before the scheduled departure time of the flight, you are not required to offer the passenger one of the seats blocked for the use of passengers with a disability listed under § 382.81.
(ii) However, you must assign to the passenger any seat, not already assigned to another passenger that accommodates the passenger's needs, even if that seat is not available for assignment to the general passenger population at the time of the request.
(2) If you use the “designated priority seats” mechanism of § 382.83(a)(2) of this Part, you must implement the requirements of this section as follows:
(i) When a passenger with a disability not described in § 382.81 makes a reservation, you must assign to the passenger any seat, not already assigned to another passenger, that accommodates the passenger's needs, even if that seat is not available for assignment to the general passenger population at the time of the request. You may require a passenger making such a request to check in one hour before the standard check-in time for the flight.
(ii) If such a passenger is assigned to a designated priority seat, he or she is subject to being reassigned to another seat as provided in § 382.83(a)(2)(i) of this subpart.
(b) On flights where advance seat assignments are not offered, you must provide seating accommodations under this section by allowing passengers to board the aircraft before other passengers, including other “preboarded” passengers, so that the individuals needing seating accommodations can select seats that best meet their needs.
(c) If you assign seats to passengers, but not until the date of the flight, you must use the “priority seating” approach of section 382.83(a)(2).
(a) As a carrier, you must not exclude any passenger with a disability from any seat or require that a passenger with a disability sit in any particular seat, on the basis of disability, except to comply with FAA or applicable foreign government safety requirements.
(b) In responding to requests from individuals for accommodations under this subpart, you must comply with
(c) If a passenger's disability results in involuntary active behavior that would result in the person properly being refused transportation under § 382.19, and the passenger could be transported safely if seated in another location, you must offer to let the passenger sit in that location as an alternative to being refused transportation.
(d) If you have already provided a seat to a passenger with a disability to furnish an accommodation required by this subpart, you must not (except in the circumstance described in § 382.85(a)(2)(ii)) reassign that passenger to another seat in response to a subsequent request from another passenger with a disability, without the first passenger's consent.
(e) You must never deny transportation to any passenger in order to provide accommodations required by this subpart.
(f) You are not required to furnish more than one seat per ticket or to provide a seat in a class of service other than the one the passenger has purchased in order to provide an accommodation required by this Part.
(a) As a carrier, you must provide or ensure the provision of assistance requested by or on behalf of a passenger with a disability, or offered by carrier or airport operator personnel and accepted by a passenger with a disability, in transportation between gates to make a connection to another flight. If the arriving flight and the departing connecting flight are operated by different carriers, the carrier that operated the arriving flight (
(b) You must also provide or ensure the provision of assistance requested by or on behalf of a passenger with a disability, or offered by carrier or airport operator personnel and accepted by a passenger with a disability, in moving from the terminal entrance (or a vehicle drop-off point adjacent to the entrance) through the airport to the gate for a departing flight, or from the gate to the terminal entrance (or a vehicle pick-up point adjacent to the entrance after an arriving flight).
(1) This requirement includes assistance in accessing key functional areas of the terminal, such as ticket counters and baggage claim.
(2) This requirement also includes a brief stop upon the passenger's request at the entrance to a rest room (including an accessible rest room when requested). As a carrier, you are required to make such a stop only if the rest room is available on the route to the destination of the enplaning, deplaning, or connecting assistance and you can make the stop without unreasonable delay. To receive such assistance, the passenger must self-identify as being an individual with a disability needing the assistance.
(c) As a carrier at a U.S. airport, you must, on request, in cooperation with the airport operator, provide for escorting a passenger with a service animal to an animal relief area provided under § 382.51(a)(5) of this Part.
(d) As part of your obligation to provide or ensure the provision of assistance to passengers with disabilities in moving through the terminal (
As a carrier, you must offer preboarding to passengers with a disability who self-identify at the gate as needing additional time or assistance to board, stow accessibility equipment, or be seated.
(a) As a carrier, you must promptly provide or ensure the provision of assistance requested by or on behalf of passengers with a disability, or offered by carrier or airport operator personnel and accepted by passengers with a disability, in enplaning and deplaning. This assistance must include, as needed, the services of personnel and the use of ground wheelchairs, accessible motorized carts, boarding wheelchairs, and/or on-board wheelchairs where provided in accordance with this Part, and ramps or mechanical lifts.
(b) As a carrier, you must, except as otherwise provided in this subpart, provide boarding and deplaning assistance through the use of lifts or ramps at any U.S. commercial service airport with 10,000 or more annual enplanements where boarding and deplaning by level-entry loading bridges or accessible passenger lounges is not available.
The requirement of section 382.95(b) of this Part to provide boarding and deplaning assistance through the use of lifts applies with respect to all aircraft with a passenger capacity of 19 or more, with the following exceptions:
(a) Float planes;
(b) The following 19-seat capacity aircraft models: the Fairchild Metro, the Jetstream 31 and 32, the Beech 1900 (C and D models), and the Embraer EMB-120;
(c) Any other aircraft model determined by the Department of Transportation to be unsuitable for boarding and deplaning assistance by lift, ramp, or other suitable device.
The Department will make such a determination if it concludes that—
(1) No existing boarding and deplaning assistance device on the market will accommodate the aircraft without a significant risk of serious damage to the aircraft or injury to passengers or employees, or
(2) Internal barriers are present in the aircraft that would preclude passengers who use a boarding or aisle chair from reaching a non-exit row seat.
(a) As a carrier, you must negotiate in good faith with the airport operator of each U.S. airport described in § 382.95(b) to ensure the provision of lifts for boarding and deplaning where level-entry loading bridges are not available.
(b) You must have a written, signed agreement with the airport operator allocating responsibility for meeting the boarding and deplaning assistance requirements of this subpart between or among the parties. For foreign carriers, with respect to all covered aircraft, this requirement becomes effective May 13, 2010.
(c) For foreign carriers, the agreement with a U.S. airport must provide that all actions necessary to ensure accessible boarding and deplaning for passengers with a disability are completed as soon as practicable, but no later than May 13, 2011.
(d) Under the agreement, you may, as a carrier, require that passengers wishing to receive boarding and deplaning assistance requiring the use of a lift for a flight check in for the flight one hour before the standard check-in time for the flight. If the passenger checks in after this time, you must nonetheless provide the boarding and deplaning assistance by lift if you can do so by making a reasonable effort, without delaying the flight.
(e) The agreement must ensure that all lifts and other accessibility equipment are maintained in proper working condition.
(f) All carriers and airport operators involved are jointly and severally responsible for the timely and complete implementation of the agreement.
(g) You must make a copy of this agreement available, on request, to representatives of the Department of Transportation.
When level-entry boarding and deplaning assistance is not required to be provided under this subpart, you must, as a carrier, provide or ensure the provision of boarding and deplaning assistance by any available means to which the passenger consents. However, you must never use hand-carrying (
(a) The boarding or deplaning process occurs at a U.S. airport that is not a commercial service airport that has 10,000 or more enplanements per year;
(b) The boarding or deplaning process occurs at a foreign airport;
(c) You are using an aircraft subject to an exception from the lift boarding and deplaning assistance requirements under § 382.97 (a)-(c) of this subpart;
(d) The deadlines established in § 382.99(c) have not yet passed; and
(e) Circumstances beyond your control (
As a carrier, you must not leave a passenger who has requested assistance required by this subpart unattended by the personnel responsible for enplaning, deplaning, or connecting assistance in a ground wheelchair, boarding wheelchair, or other device, in which the passenger is not independently mobile, for more than 30 minutes. This requirement applies even if another person (
At a foreign airport at which enplaning, deplaning, or connecting assistance is provided by the airport operator, rather than by carriers, as a carrier you may rely on the services provided by the airport operator to meet the requirements of this subpart. If the services provided by the airport operator are not sufficient to meet the requirements of this subpart, you must supplement the airport operator's services to ensure that these requirements are met. If you believe you are precluded by law from supplementing the airport operator's services, you may apply for a conflict of laws waiver under § 382.9 of this Part.
As a carrier, you must provide services within the aircraft cabin as requested by or on behalf of passengers with a disability, or when offered by carrier personnel and accepted by passengers with a disability, as follows:
(a) Assistance in moving to and from seats, as part of the enplaning and deplaning processes;
(b) Assistance in preparation for eating, such as opening packages and identifying food;
(c) If there is an on-board wheelchair on the aircraft, assistance with the use of the on-board wheelchair to enable the person to move to and from a lavatory;
(d) Assistance to a semi-ambulatory person in moving to and from the lavatory, not involving lifting or carrying the person; or
(e) Assistance in stowing and retrieving carry-on items, including mobility aids and other assistive devices stowed in the cabin (
(f) Effective communication with passengers who have vision impairments or who are deaf or hard-of-hearing, so that these passengers have prompt access to information the carrier provides to other passengers (
As a carrier, you are not required to provide extensive special assistance to qualified individuals with a disability. For purposes of this section, extensive special assistance includes the following activities:
(a) Assistance in actual eating;
(b) Assistance within the restroom or assistance at the passenger's seat with elimination functions; and
(c) Provision of medical services.
As a carrier, you must comply with the following requirements with respect to on-board safety briefings:
(a) You must conduct an individual safety briefing for any passenger where required by 14 CFR 121.571(a)(3) and (a)(4), 14 CFR 135.117(b), or other FAA requirements.
(b) You may offer an individual briefing to any other passenger, but you may not require an individual to have such a briefing except as provided in paragraph (a) of this section.
(c) You must not require any passenger with a disability to demonstrate that he or she has listened to, read, or understood the information presented, except to the extent that carrier personnel impose such a requirement on all passengers with respect to the general safety briefing. You must not take any action adverse to a qualified individual with a disability on the basis that the person has not “accepted” the briefing.
(d) When you conduct an individual safety briefing for a passenger with a disability, you must do so as inconspicuously and discreetly as possible.
(e) The accessibility requirements for onboard video safety presentations that carriers must meet are outlined in section 382.69.
(a) As a carrier, you must permit a service animal to accompany a passenger with a disability.
(1) You must not deny transportation to a service animal on the basis that its carriage may offend or annoy carrier personnel or persons traveling on the aircraft.
(2) On a flight segment scheduled to take 8 hours or more, you may, as a condition of permitting a service animal to travel in the cabin, require the passenger using the service animal to provide documentation that the animal will not need to relieve itself on the flight or that the animal can relieve itself in a way that does not create a health or sanitation issue on the flight.
(b) You must permit the service animal to accompany the passenger with a disability at any seat in which the passenger sits, unless the animal obstructs an aisle or other area that must remain unobstructed to facilitate an emergency evacuation.
(c) If a service animal cannot be accommodated at the seat location of the passenger with a disability who is using the animal, you must offer the passenger the opportunity to move with the animal to another seat location, if present on the aircraft, where the animal can be accommodated.
(d) As evidence that an animal is a service animal, you must accept identification cards, other written documentation, presence of harnesses, tags, or the credible verbal assurances of a qualified individual with a disability using the animal.
(e) If a passenger seeks to travel with an animal that is used as an emotional support or psychiatric service animal, you are not required to accept the animal for transportation in the cabin unless the passenger provides you current documentation (
(1) The passenger has a mental or emotional disability recognized in the Diagnostic and Statistical Manual of Mental Disorders—Fourth Edition (DSM IV);
(2) The passenger needs the emotional support or psychiatric service animal as an accommodation for air travel and/or for activity at the passenger's destination;
(3) The individual providing the assessment is a licensed mental health professional, and the passenger is under his or her professional care; and
(4) The date and type of the mental health professional's license and the state or other jurisdiction in which it was issued.
(f) You are never required to accommodate certain unusual service animals (
(g) Whenever you decide not to accept an animal as a service animal, you must explain the reason for your decision to the passenger and document it in writing. A copy of the explanation must be provided to the passenger either at the airport, or within 10 calendar days of the incident.
(h) You must promptly take all steps necessary to comply with foreign regulations (
(i) Guidance concerning the carriage of service animals generally is found in the preamble of this rule. Guidance on the steps necessary to legally transport service animals on flights from the U.S. into the United Kingdom is found in 72 FR 8268-8277, (February 26, 2007).
(a) As a carrier, you must ensure that passengers with a disability who identify themselves as needing visual or hearing assistance have prompt access to the same information provided to other passengers on the aircraft as described in paragraph (b) of this section, to the extent that it does not interfere with crewmembers' safety duties as set forth in FAA and applicable foreign regulations.
(b) The covered information includes but is not limited to the following: information concerning flight safety, procedures for takeoff and landing, flight delays, schedule or aircraft changes that affect the travel of persons with disabilities, diversion to a different airport, scheduled departure and arrival time, boarding information, weather conditions at the flight's destination, beverage and menu information, connecting gate assignments, baggage claim, individuals being paged
(a) As a carrier, you must permit passengers with a disability to bring the following kinds of items into the aircraft cabin, provided that they can be stowed in designated priority storage areas or in overhead compartments or under seats, consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of carry-on items.
(1) Manual wheelchairs, including folding or collapsible wheelchairs;
(2) Other mobility aids, such as canes (including those used by persons with impaired vision), crutches, and walkers; and
(3) Other assistive devices for stowage or use within the cabin (
(b) In implementing your carry-on baggage policies, you must not count assistive devices (including the kinds of items listed in paragraph (a) of this section) toward a limit on carry-on baggage.
(a) The following rules apply to the stowage of passengers' wheelchairs or other assistive devices in the priority stowage area provided for in § 382.67 of this Part:
(1) You must ensure that a passenger with a disability who uses a wheelchair and takes advantage of the opportunity to preboard the aircraft can stow his or her wheelchair in this area, with priority over other items brought onto the aircraft by other passengers or crew enplaning at the same airport, consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of carry-on items. You must move items that you or your personnel have placed in the priority stowage area (
(2) You must also ensure that a passenger with a disability who takes advantage of the opportunity to preboard the aircraft can stow other assistive devices in this area, with priority over other items (except wheelchairs) brought onto the aircraft by other passengers enplaning at the same airport consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of carry-on items.
(3) You must ensure that a passenger with a disability who does not take advantage of the opportunity to preboard is able to use the area to stow his or her wheelchair or other assistive device on a first-come, first-served basis along with all other passengers seeking to stow carry-on items in the area.
(b) If a wheelchair exceeds the space provided for in § 382.67 of this Part while fully assembled but will fit if wheels or other components can be removed without the use of tools, you must remove the applicable components and stow the wheelchair in the designated space. In this case, you must stow the removed components in areas provided for stowage of carry-on luggage.
(c) You must not use the seat-strapping method of carrying a wheelchair in any aircraft you order after May 13, 2009 or which are delivered after May 13, 2011. Any such aircraft must have the designated priority stowage space required by section 382.67, and you must permit passengers to use the
(a) As a carrier, you must stow wheelchairs, other mobility aids, or other assistive devices in the baggage compartment if an approved stowage area is not available in the cabin or the items cannot be transported in the cabin consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of carry-on items.
(b) You must give wheelchairs, other mobility aids, and other assistive devices priority for stowage in the baggage compartment over other cargo and baggage. Only items that fit into the baggage compartment and can be transported consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of items in the baggage compartment need be transported. Where this priority results in other passengers' baggage being unable to be carried on the flight, you must make your best efforts to ensure that the other baggage reaches the passengers' destination on the carrier's next flight to the destination.
(c) You must provide for the checking and timely return of passengers' wheelchairs, other mobility aids, and other assistive devices as close as possible to the door of the aircraft, so that passengers may use their own equipment to the extent possible, except
(1) Where this practice would be inconsistent with Federal regulations governing transportation security or the transportation of hazardous materials; or
(2) When the passenger requests the return of the items at the baggage claim area instead of at the door of the aircraft.
(d) In order to achieve the timely return of wheelchairs, you must ensure that passengers' wheelchairs, other mobility aids, and other assistive devices are among the first items retrieved from the baggage compartment.
(a) Whenever baggage compartment size and aircraft airworthiness considerations do not prohibit doing so, you must, as a carrier, accept a passenger's battery-powered wheelchair or other similar mobility device, including the battery, as checked baggage, consistent with the requirements of 49 CFR 175.10(a)(15) and (16) and the provisions of paragraphs (b) through (f) of this section.
(b) You may require that passengers with a disability wishing to have battery-powered wheelchairs or other similar mobility devices transported on a flight check in one hour before the check-in time for the general public. If the passenger checks in after this time, you must nonetheless carry the wheelchair or other similar mobility device if you can do so by making a reasonable effort, without delaying the flight.
(c) If the battery on the passenger's wheelchair or other similar mobility device has been labeled by the manufacturer as non-spillable as provided in 49 CFR 173.159(d)(2), or if a battery-powered wheelchair with a spillable battery can be loaded, stored, secured and unloaded in an upright position, you must not require the battery to be removed and separately packaged. Notwithstanding this requirement, you must remove and package separately any battery that is inadequately secured to a wheelchair or, for a spillable battery, is contained in a wheelchair that cannot be loaded, stowed, secured and unloaded in an upright position, in accordance with 49 CFR 175.10(a)(15) and (16). A damaged or leaking battery should not be transported.
(d) When it is necessary to detach the battery from the wheelchair, you must, upon request, provide packaging for the battery meeting the requirements of 49 CFR 175.10(a)(15) and (16) and package the battery. You may refuse to use packaging materials or devices other than those you normally use for this purpose.
(e) You must not disconnect the battery on wheelchairs or other mobility devices equipped with a non-spillable battery completely enclosed within a case or compartment integral to the design of the device unless an FAA or PHMSA safety regulation, or an applicable foreign safety regulation having mandatory legal effect, requires you to do so.
(f) You must not drain batteries.
(a) As a carrier, you must permit passengers with a disability to provide written directions concerning the disassembly and reassembly of their wheelchairs, other mobility aids, and other assistive devices. You must carry out these instructions to the greatest extent feasible, consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of carry-on items.
(b) When wheelchairs, other mobility aids, or other assistive devices are disassembled by the carrier for stowage, you must reassemble them and ensure their prompt return to the passenger. You must return wheelchairs, other mobility aids, and other assistive devices to the passenger in the condition in which you received them.
With respect to transportation to which 14 CFR Part 254 applies, the limits to liability for loss, damage, or delay concerning wheelchairs or other assistive devices provided in Part 254 do not apply. The basis for calculating the compensation for a lost, damaged, or destroyed wheelchair or other assistive device shall be the original purchase price of the device.
(a) Except for on-demand air taxi operators, as a U.S. carrier conducting passenger service you must permit any individual with a disability to use in the passenger cabin during air transportation, a ventilator, respirator, continuous positive airway pressure machine, or an FAA-approved portable oxygen concentrator (POC) on all flights operated on aircraft originally designed to have a maximum passenger capacity of more than 19 seats, unless:
(1) the device does not meet applicable FAA requirements for medical portable electronic devices and does not display a manufacturer's label that indicates the device meets those FAA requirements, or
(2) the device cannot be stowed and used in the passenger cabin consistent with applicable TSA, FAA, and PHMSA regulations.
(b) Except for foreign carriers conducting operations of a nature equivalent to on-demand air taxi operations by a U.S. carrier, as a foreign carrier conducting passenger service you must permit any individual with a disability to use a ventilator, respirator, continuous positive airway pressure machine, or portable oxygen concentrator (POC) of a kind equivalent to an FAA-approved POC for U.S. carriers in the passenger cabin during air transportation to, from or within the United States, on all aircraft originally designed to have a maximum passenger capacity of more than 19 seats unless:
(1) The device does not meet requirements for medical portable electronic devices set by the foreign carrier's government if such requirements exist and/or it does not display a manufacturer's label that indicates the device meets those requirements, or
(2) The device does not meet requirements for medical portable electronic devices set by the FAA for U.S. carriers and does not display a manufacturer's label that indicates the device meets those FAA requirements in circumstances where requirements for medical portable electronic devices
(3) The device cannot be stowed and used in the passenger cabin consistent with applicable TSA, FAA and PHMSA regulations, and the safety or security regulations of the foreign carrier's government.
(c) As a U.S. carrier, you must provide information during the reservation process as indicated in paragraphs (c)(1) through (c)(6) of this section upon inquiry from an individual concerning the use in the cabin during air transportation of a ventilator, respirator, continuous positive airway machine, or an FAA-approved POC. The following information must be provided:
(1) The device must be labeled by the manufacturer to reflect that it has been tested to meet applicable FAA requirements for medical portable electronic devices;
(2) The maximum weight and dimensions (length, width, height) of the device to be used by an individual that can be accommodated in the aircraft cabin consistent with FAA safety requirements;
(3) The requirement to bring an adequate number of batteries as outlined in paragraph (f)(2) of this section and to ensure that extra batteries carried onboard to power the device are packaged and protected from short circuit and physical damage in accordance with SFAR 106, Section 3 (b)(6);
(4) Any requirement, if applicable, that an individual contact the carrier operating the flight 48 hours before scheduled departure to learn the expected maximum duration of his/her flight in order to determine the required number of batteries for his/her particular ventilator, respirator, continuous positive airway pressure machine, or POC;
(5) Any requirement, if applicable, of the carrier operating the flight for an individual planning to use such a device to check-in up to one hour before that carrier's general check-in deadline; and
(6) For POCs, the requirement of paragraph 382.23(b)(1)(ii) of this Part to present to the operating carrier at the airport a physician's statement (medical certificate) prepared in accordance with applicable federal aviation regulations.
(d) As a foreign carrier operating flights to, from or within the United States, you must provide the information during the reservation process as indicated in paragraphs (d)(1) through (d)(7) of this section upon inquiry from an individual concerning the use in the cabin during air transportation on such a flight of a ventilator, respirator, continuous positive airway machine, or POC of a kind equivalent to an FAA-approved POC for U.S. carriers:
(1) The device must be labeled by the manufacturer to reflect that it has been tested to meet requirements for medical portable electronic devices set by the foreign carrier's government if such requirements exist;
(2) The device must be labeled by the manufacturer to reflect that it has been tested to meet requirements for medical portable electronic devices set by the FAA for U.S. carriers if requirements for medical portable electronic devices have not been set by the foreign carrier's government and the foreign carrier elects to apply FAA requirements for medical portable electronic devices;
(3) The maximum weight and dimensions (length, width, height) of the device to be used by an individual that can be accommodated in the aircraft cabin consistent with the safety regulations of the foreign carrier's government;
(4) The requirement to bring an adequate number of batteries as outlined in paragraph (f)(2) of this section and to ensure that extra batteries carried onboard to power the device are packaged in accordance with applicable government safety regulations;
(5) Any requirement, if applicable, that an individual contact the carrier operating the flight 48 hours before scheduled departure to learn the expected maximum duration of his/her flight in order to determine the required number of batteries for his/her particular ventilator, respirator, continuous positive airway pressure machine, or POC;
(6) Any requirement, if applicable, of the carrier operating the flight for an
(7) Any requirement, if applicable, that an individual who wishes to use a POC onboard an aircraft present to the operating carrier at the airport a physician's statement (medical certificate).
(e) In the case of a codeshare itinerary, the carrier whose code is used on the flight must either inform the individual inquiring about using a ventilator, respirator, CPAP machine or POC onboard an aircraft to contact the carrier operating the flight for information about its requirements for use of such devices in the cabin, or provide such information on behalf of the codeshare carrier operating the flight.
(f)(1) As a U.S. or foreign carrier subject to paragraph (a) or (b) of this section, you must inform any individual who has advised you that he or she plans to operate his/her device in the aircraft cabin, within 48 hours of his/her making a reservation or 24 hours before the scheduled departure date of his/her flight, whichever date is earlier, of the expected maximum flight duration of each segment of his/her flight itinerary.
(2) You may require an individual to bring an adequate number of fully charged batteries onboard, based on the battery manufacturer's estimate of the hours of battery life while the device is in use and the information provided in the physician's statement, to power the device for not less than 150% of the expected maximum flight duration.
(3) If an individual does not comply with the conditions for acceptance of a medical portable electronic device as outlined in this section, you may deny boarding to the individual in accordance with 14 CFR 382.19(c) and in that event you must provide a written explanation to the individual in accordance with 14 CFR 382.19(d).
(a) As a carrier that operates aircraft with 19 or more passenger seats, you must provide training, meeting the requirements of this paragraph, for all personnel who deal with the traveling public, as appropriate to the duties of each employee.
(1) You must ensure training to proficiency concerning:
(i) The requirements of this Part and other applicable Federal regulations affecting the provision of air travel to passengers with a disability;
(ii) Your procedures, consistent with this Part, concerning the provision of air travel to passengers with a disability, including the proper and safe operation of any equipment used to accommodate passengers with a disability; and
(iii) For those personnel involved in providing boarding and deplaning assistance, the use of the boarding and deplaning assistance equipment used by the carrier and appropriate boarding and deplaning assistance procedures that safeguard the safety and dignity of passengers.
(2) You must also train such employees with respect to awareness and appropriate responses to passengers with a disability, including persons with physical, sensory, mental, and emotional disabilities, including how to distinguish among the differing abilities of individuals with a disability.
(3) You must also train these employees to recognize requests for communication accommodation from individuals whose hearing or vision is impaired and to use the most common methods for communicating with these individuals that are readily available, such as writing notes or taking care to enunciate clearly, for example. Training in sign language is not required. You must also train these employees to recognize requests for communication accommodation from deaf-blind passengers and to use established means of communicating with these passengers when they are available, such as passing out Braille cards if you have them,
(4) You must consult with organizations representing persons with disabilities in your home country when developing your training program and your policies and procedures. If such organizations are not available in your home country, you must consult with individuals with disabilities and/or international organizations representing individuals with disabilities.
(5) You must ensure that all personnel who are required to receive training receive refresher training on the matters covered by this section, as appropriate to the duties of each employee, as needed to maintain proficiency. You must develop a program that will result in each such employee receiving refresher training at least once every three years. The program must describe how employee proficiency will be maintained.
(6) You must provide, or ensure that your contractors provide, training to the contractors' employees concerning travel by passengers with a disability. This training is required only for those contractor employees who deal directly with the traveling public, and it must be tailored to the employees' functions. Training for contractor employees must meet the requirements of paragraphs (a)(1) through (a)(5) of this section.
(7) The employees you designate as CROs, for purposes of § 382.151 of this Part, must receive training concerning the requirements of this Part and the duties of a CRO.
(8) Personnel subject to training required under this Part, who are already employed on May 13, 2009, must be trained one time in the changes resulting from the reissuance of this Part.
(b) If you are a carrier that operates only aircraft with fewer than 19 passenger seats, you must provide training for flight crewmembers and appropriate personnel to ensure that they are familiar with the matters listed in paragraphs (a)(1) and (a)(2) of this section and that they comply with the requirements of this Part.
(a) As a U.S. carrier, you must meet the training requirements of § 382.141 by the following times.
(1) Employees designated as CROs shall receive training concerning the requirements of this Part and the duties of a CRO before assuming their duties under § 382.151 (see § 382.141(a)(7)). You must ensure that all employees performing the CRO function receive annual refresher training concerning their duties and the provisions of this regulation. The one-time training for CROs about the changes to Part 382 must take place by May 13, 2009. For employees who have already received CRO training, this training may be limited to changes from the previous version of Part 382.
(2) The one-time training for existing employees about changes to Part 382 (see § 382.141(a)(8)) must take place for each such employee no later than the next scheduled recurrent training taking place after May 13, 2009 or within one year after May 13, 2009, whichever comes first.
(3) For crewmembers subject to training requirements under 14 CFR Part 121 or 135 whose employment in any given position commences after May 13, 2009, before they assume their duties; and
(4) For other personnel whose employment in any given position commences after May 13, 2009, within 60 days after the date on which they assume their duties.
(b) As a foreign carrier that operates aircraft with 19 or more passenger seats, you must provide training meeting the requirements of § 382.141(a) for all personnel who deal with the traveling public in connection with flights that begin or end at a U.S. airport, as appropriate to the duties of each employee. You must ensure that personnel required to receive training complete the training by the following times:
(1) Employees designated as CROs shall receive training in accordance with paragraph (a)(1) of this section, by May 13, 2009.
(2) For crewmembers and other personnel who are employed on May 13, 2009, within one year after that date;
(3) For crewmembers whose employment commences after May 13, 2010, before they assume their duties;
(4) For other personnel whose employment in any given position commences after May 13, 2010, or within 60 days after the date on which they assume their duties; and
(5) For crewmembers and other personnel whose employment in any given position commences after May 13, 2009, but before May 13, 2010, by May 13, 2010 or a date 60 days after the date of their employment, whichever is later.
(a) As a carrier that operates aircraft with 19 or more passenger seats, you must incorporate procedures implementing the requirements of this Part in the manuals or other guidance or instructional materials provided for the carrier and contract personnel who provide services to passengers, including, but not limited to, pilots, flight attendants, reservation and ticket counter personnel, gate agents, ramp and baggage handling personnel, and passenger service office personnel. You must retain these records for review by the Department on the Department's request. If, upon such review, the Department determines that any portion of these materials must be changed in order to comply with this Part, DOT will direct you to make appropriate changes. You must incorporate and implement these changes.
(b) You must retain for three years individual employee training records demonstrating that all persons required to receive initial and refresher training have done so.
(a) As a carrier providing service using aircraft with 19 or more passenger seats, you must designate one or more CROs.
(b) As a U.S. carrier, you must make a CRO available at each airport you serve during all times you are operating at that airport. As a foreign carrier, you must make a CRO available at each airport serving flights you operate that begin or end at a U.S. airport. You may make the CRO available in person at the airport or via telephone, at no cost to the passenger. If a telephone link to the CRO is used, TTY service or a similarly effective technology must be available so that persons with hearing impairments may readily communicate with the CRO. You must make CRO service available in the language(s) in which you make your services available to the general public.
(c) You must make passengers with a disability aware of the availability of a CRO and how to contact the CRO in the following circumstances:
(1) In any situation in which any person complains or raises a concern with your personnel about discrimination, accommodations, or services with respect to passengers with a disability, and your personnel do not immediately resolve the issue to the customer's satisfaction or provide a requested accommodation, your personnel must immediately inform the passenger of the right to contact a CRO and then contact a CRO on the passenger's behalf or provide the passenger a means to do so(
(2) Your reservation agents, contractors, and Web sites must provide information equivalent to that required by paragraph (c)(1) of this section to passengers with a disability using those services who complain or raise a concern about a disability-related issue.
(d) Each CRO must be thoroughly familiar with the requirements of this Part and the carrier's procedures with respect to passengers with a disability. The CRO is intended to be the carrier's “expert” in compliance with the requirements of this Part.
(e) You must ensure that each of your CROs has the authority to make dispositive resolution of complaints on behalf of the carrier. This means that
When a complaint is made directly to a CRO for a carrier providing service using aircraft with 19 or more passenger seats, the CRO must promptly take dispositive action as follows:
(a) If the complaint is made to a CRO before the action or proposed action of carrier personnel has resulted in a violation of a provision of this Part, the CRO must take, or direct other carrier personnel to take, whatever action is necessary to ensure compliance with this Part.
(b) If an alleged violation of a provision of this Part has already occurred, and the CRO agrees that a violation has occurred, the CRO must provide to the complainant a written statement setting forth a summary of the facts and what steps, if any, the carrier proposes to take in response to the violation.
(c) If the CRO determines that the carrier's action does not violate a provision of this Part, the CRO must provide to the complainant a written statement including a summary of the facts and the reasons, under this Part, for the determination.
(d) The statements required to be provided under this section must inform the complainant of his or her right to pursue DOT enforcement action under this Part. The CRO must provide the statement in person to the complainant at the airport if possible; otherwise, it must be forwarded to the complainant within 30 calendar days of the complaint.
(a) As a carrier providing service using aircraft with 19 or more passenger seats, you must respond to written complaints received by any means (
(b) As a passenger making a written complaint, you must state whether you had contacted a CRO in the matter, provide the name of the CRO and the date of the contact, if available, and enclose any written response you received from the CRO.
(c) As a carrier, you are not required to respond to a complaint postmarked or transmitted more than 45 days after the date of the incident, except for complaints referred to you by the Department of Transportation.
(d) As a carrier, you must make a dispositive written response to a written disability complaint within 30 days of its receipt. The response must specifically admit or deny that a violation of this Part has occurred.
(1) If you admit that a violation has occurred, you must provide to the complainant a written statement setting forth a summary of the facts and the steps, if any, you will take in response to the violation.
(2) If you deny that a violation has occurred, your response must include a summary of the facts and your reasons, under this Part, for the determination.
(3) Your response must also inform the complainant of his or her right to pursue DOT enforcement action under this Part.
(a) For the purposes of this section, a disability-related complaint means a specific written expression of dissatisfaction received from, or submitted on behalf, of an individual with a disability concerning a difficulty associated with the person's disability, which the person experienced when using or attempting to use an air carrier's or foreign carrier's services.
(b) If you are a carrier covered by this Part, conducting passenger operations with at least one aircraft having a designed seating capacity of more than 60 passengers, this section applies to you. As a foreign carrier, you are
(c) You must categorize disability-related complaints that you receive according to the type of disability and nature of complaint. Data concerning a passenger's disability must be recorded separately in the following areas: vision impaired, hearing impaired, vision and hearing impaired, mentally impaired, communicable disease, allergies (
(d) You must submit an annual report summarizing the disability-related complaints that you received during the prior calendar year using the form specified at the following internet address:
(e) You must retain correspondence and record of action taken on all disability-related complaints for three years after receipt of the complaint or creation of the record of action taken. You must make these records available to Department of Transportation officials at their request.
(f)(1) As either carrier in a codeshare relationship, you must comply with paragraphs (c) through (e) of this section for—
(i) Disability-related complaints you receive from or on behalf of passengers with respect to difficulties encountered in connection with service you provide;
(ii) Disability-related complaints you receive from or on behalf of passengers when you are unable to reach agreement with your codeshare partner as to whether the complaint involves service you provide or service your codeshare partner provides; and
(iii) Disability-related complaints forwarded by another carrier or governmental agency with respect to difficulties encountered in connection with service you provide.
(2) As either carrier in a codeshare relationship, you must forward to your codeshare partner disability-related complaints you receive from or on behalf of passengers with respect to difficulties encountered in connection with service provided by your code-sharing partner.
(g) Each carrier, except for carriers in codeshare situations, shall comply with paragraphs (c) through (e) of this section for disability-related complaints it receives from or on behalf of passengers as well as disability-related complaints forwarded by another carrier or governmental agency with respect to difficulties encountered in connection with service it provides.
(h) Carriers that do not submit their data via the Web shall use the disability-related complaint data form specified in Appendix A to this Part when filing their annual report summarizing the disability-related complaints they received. The report shall be mailed, by the date specified in paragraph (d) of this section, to the following address: U.S. Department of
(a) Any person believing that a carrier has violated any provision of this Part may seek assistance or file an informal complaint at the Department of Transportation no later than 6 months after the date of the incident by either:
(1) Going to the web site of the Department's Aviation Consumer Protection Division at
(2) Writing to Department of Transportation, Aviation Consumer Protection Division (C-75), 1200 New Jersey Avenue, SE., Washington, DC 20590.
(b) Any person believing that a carrier has violated any provision of this Part may also file a formal complaint under the applicable procedures of 14 CFR Part 302.
(c) You must file a formal complaint under this Part within six months of the incident on which the complaint is based in order to ensure that the Department of Transportation will investigate the matter.
The Department is providing the following table to assist users familiar with the current Part 382 in finding material in the new, renumbered Part 382.
Sec. 503, Public Law 108-176, 117 Stat. 2490; Public Law 101-410, 104 Stat. 890; Public Law 104-134, § 31001.
(a)
(b)
Civil penalties payable to the U.S. Government for violations of Title 49, Chapters 401 through 421, pursuant to 49 U.S.C. 46301(a), are as follows:
(a) A general civil penalty of not more than $27,500 (or $1,100 for individuals or small businesses) applies to violations of statutory provisions and rules or orders issued under those provisions, other than those listed in paragraph (b) of this section, (
(b) With respect to small businesses and individuals, notwithstanding the general $1,100 civil penalty, the following civil penalty limits apply:
(1) A maximum civil penalty of $11,000 applies for violations of most provisions of Chapter 401, including the anti-discrimination provisions of sections 40127 (general provision), and 41705 (discrimination against the disabled) and rules and orders issued thereunder (
(2) A maximum civil penalty of $5,500 applies for violations of section 41719 and rules and orders issued thereunder (
(3) A maximum civil penalty of $2,500 applies for violations of section 41712 or consumer protection rules or orders (
49 U.S.C. 329 and chapters 40101, 41101, 41301, and 41701.
This part describes the organization of the Department insofar as, pursuant to authority conferred on it by section 40113 of the Statute, the Department has adopted rules herein or elsewhere which make continuing assignments of authority with respect to any of its functions of making orders or other determinations, many of which are not required to be made on an evidentiary record upon notice and hearing or which are not the subject of contest, and Department personnel have been assigned to perform such functions.
Applications for relief which, pursuant to this part, may be granted by staff members under assigned authority, and proceedings on such requests shall be governed by applicable rules in the same manner as if no assignment had been made (see § 385.5). In such proceedings, each staff member may determine any procedural matters which may arise, including, inter alia, service of documents on additional persons; filing of otherwise unauthorized documents; waivers of procedural requirements; requests for hearing; requests for additional information; dismissal of applications upon the applicant's request, moot applications, or incomplete or otherwise defective applications; and extensions of time. Such determinations, except those which would terminate the matter, shall be subject to review only in connection with review of the staff member's decision on the merits. The dismissal of incomplete or otherwise defective applications under authority set forth in this part shall be without prejudice except where under otherwise applicable law the time for making application has run out or where the defect is not corrected within a reasonable time fixed by the staff member. Under the authority assigned to the staff as set forth in this part to approve, disapprove, grant, or deny, relief may be granted or denied in part and grants may be made subject to lawful and reasonable conditions. Moreover, where applicable, the authority to grant relief also includes authority to renew or extend an existing authorization.
Unless otherwise specified, staff action shall be by order or informal writing (letters, telegrams, decision marked on copy of application form, etc.). Such orders or informal writings shall contain a recital that action is taken pursuant to authority assigned herein, shall, in cases where there are “parties or interveners,” or where there may be an adverse effect upon a person with a substantial interest, contain a brief reference to the right of aggrieved parties to petition the Reviewing Official for review pursuant to applicable procedural rules, including a statement of the time within which petitions must be filed (§ 385.51); shall state whether the filing of a petition shall preclude the action from becoming effective; and shall be in the name of the person exercising the assigned function. They shall contain all findings, determinations and conclusions which would be required or appropriate if they were issued by the Secretary. Upon request, the appropriate Department Official shall attest as Departmental action orders or informal writings issued pursuant to this part which have become the action of the Department (§ 385.52).
Procedures set forth in this part do not supersede procedures applicable to matters on which decision has been assigned unless otherwise specifically provided herein:
When the staff member finds that the public interest so requires, or that, with respect to other than matters requiring immediate action as hereafter specified, there will be insufficient time for discretionary review of his or her decision upon petition, the staff member shall, in lieu of exercising the authority, submit the matter to the Reviewing Official for decision. In any case in which the staff member finds that immediate action is required with respect to any matter assigned herein, the disposition of which is governed by prior precedent and policy, the staff member may take appropriate action and specify that the filing of a petition for review shall not preclude such action from becoming effective.
Any assignment of authority to a staff member other than the Chief Administrative Law Judge, the Administrative Law Judge, and the Deputy General Counsel, shall also be deemed to be made, severally, to each such staff member's respective superiors. In accordance with the Department's principle of management responsibility, the superior may choose to exercise the assigned power personally. Moreover, the Secretary may at any time exercise any authority assigned herein.
Unless the assignment provides otherwise, staff members serving in an “acting” capacity may exercise the authority assigned to the staff members for whom they are acting.
The Chief Administrative Law Judge has authority to:
(a) Consolidate, upon recommendation of the Director, Office of International Aviation (or such staff member of the Office of International Aviation as he or she may designate), into one proceeding cases involving the investigation of a tariff or of complaints concerned with related tariffs.
(b) With respect to matters to be decided after notice and hearing:
(1) Dismiss applications or complaints (except those falling under subpart D of part 302 of this chapter (Procedural Regulations)) when such dismissal is requested or consented to by the applicant or complainant, or where such party has failed to prosecute such application or complaint;
(2) Dismiss proceedings upon his or her finding that the proceeding has become moot or that no further basis for continuation exists; and
(3) Dismiss an application subject to dismissal as stale under part 302 of this chapter.
The Administrative Law Judges, Office of Hearings, have authority to take the following actions in matters to which they are respectively assigned:
(a) Grant or deny intervention in formal proceedings.
(b) With respect to matters to be decided after notice and hearing, dismiss applications or complaints (except those falling under subpart D of part 302 of this chapter (Procedural Regulations)) when such dismissal is requested or consented to by the applicant or complainant, or where such party has failed to prosecute such application or complaint.
(c) Grant requests for consolidation of applications for route authority within the scope of the proceeding before him or her, and deny requests for consolidation of applications for route authority not within the scope of the proceeding.
(d) Approve or disapprove proposed settlements of enforcement proceedings submitted under § 302.215 of this chapter.
The Director, Office of Aviation Analysis, has authority:
(a) With respect to applications filed under section 41102 to engage in interstate or foreign scheduled or charter air transportation, section 41103 to engage in all-cargo air transportation, or section 41738 to engage in certain commuter air transportation:
(1) To issue an order stating the Department's intention to process the application through show-cause procedures or other expedited procedures, where that course of action is clear under current policy and precedent.
(2) To issue an order to show cause proposing to grant such application in those cases where no objections to the application have been filed, and where the Department has already found the applicant to be fit, willing and able to provide service of the same basic scope and character.
(3) To issue an order, subject to any Presidential review required under section 41307 of the Statute, making final an order to show cause issued under paragraph (a)(2) of this section, where no objections to the order to show cause have been filed.
(4) To issue an order dismissing an application:
(i) When dismissal is requested or consented to by the applicant;
(ii) For lack of prosecution; or
(iii) When the application has become moot.
(5) To review Air Carrier Certificates and Operations Specifications issued by the Federal Aviation Administration to carriers that have been granted certificate or commuter air carrier authority, and information concerning those carriers' fitness to operate under that authority that emerged following the issuance of orders establishing their fitness, and—
(i) To amend orders issuing the certificate or commuter air carrier authority to advance the effective dates of the authority if the review is satisfactory;
(ii) To stay the effectiveness of such orders for up to 30 days if the review is unsatisfactory;
(iii) To lift the stay of effectiveness imposed under paragraph (a)(5)(ii) of this section when the unsatisfactory conditions that required issuance of the stay have been resolved; or
(iv) To issue notices announcing the effective date of the certificate or commuter air carrier authority.
(b) To approve or deny applications of air carriers:
(1) For exemptions from section 41102 or 41103 of the Statute, and from orders issued thereunder, and from applicable regulations under this chapter where the course of action is clear under current policy or precedent.
(2) For waivers of the Department's filing fee requirements under part 389 of this chapter, in accordance with current policy or precedent.
(3) For relief under section 40109 of the Statute to hold out, arrange, and coordinate the operation of air ambulance flights as indirect air carriers in accordance with established precedent.
(c) To waive the deadlines in § 377.10(c) of this chapter for filing applications for the renewal of temporary authorizations when, in the Director's judgment, the public interest would be served. The provisions of § 377.10(d) of this chapter shall apply in the same manner as to a timely filed application.
(d) With respect to air carrier names:
(1) To register names and trade names of certificated and commuter air carriers pursuant to part 215 of this chapter.
(2) To reissue certificates issued under sections 41102 or 41103 of the Statute when revisions thereof are necessitated by a change in the name of a carrier, provided that no issue of substance concerning the operating authority of the carrier is involved.
(e) To approve, deny, or cancel registrations filed with the Department by air taxi operators pursuant to part 298 of this chapter.
(f) With respect to Canadian charter air taxi operations:
(1) To approve applications for registration, or require that a registrant submit additional information, or reject an application for registration for failure to comply with part 294 of this chapter.
(2) To cancel, revoke, or suspend the registration of any Canadian charter air taxi operator using small aircraft
(i) Filed with the Department a written notice that it is discontinuing operations;
(ii) No longer is designated by its home government to operate the services contemplated by its registration;
(iii) Holds a foreign air carrier permit under section 41302 to operate large aircraft charters between the United States and Canada;
(iv) Fails to keep its filed certificate of insurance current;
(v) No longer is substantially owned or effectively controlled by persons who are:
(A) Citizens of Canada;
(B) The Government of Canada; or
(C) A combination of both; or
(vi) No longer holds current effective Operations Specifications issued by the FAA.
(3) To grant or deny requests for a waiver of part 294 of this chapter, where grant or denial of the request is in accordance with current policy or precedent.
(g) To approve certificates of insurance filed with the Department on behalf of U.S. and foreign air carriers in accordance with the provisions of part 205 of this chapter.
(h) With respect to foreign air freight forwarders:
(1) To approve applications for registration, or require that a registrant submit additional information, or reject an application for registration for failure to comply with part 297 of this chapter.
(2) To cancel the registration of any foreign air freight forwarder or foreign cooperative shippers association that files a written notice with the Department indicating the discontinuance of common carrier activities.
(3) To exempt the registrant from the requirement contained in § 297.20 of this chapter that substantial ownership and effective control reside in citizens of the country that the applicant claims as its country of citizenship, where the course of action is clear under current precedent or policies.
(i) With respect to charter operations:
(1) To grant or deny requests for waiver of parts 207, 208, 212, 372, and 380 of this chapter, where grant or denial of the request is in accordance with established precedent.
(2) To approve or disapprove direct air carrier escrow agreements filed pursuant to parts 207, 208, and 212 of this chapter.
(3) To reject or accept Public Charter prospectuses filed under part 380 of this chapter.
(4) With respect to the procedures for the registration of foreign charter operators under subpart F of part 380 of this chapter:
(i) To approve applications for registration, or require that a registrant submit additional information, or reject an application for registration for failure to comply with part 380 of this chapter.
(ii) To notify the applicant that its application will require further analysis or procedures, or is being referred to the Assistant Secretary for Aviation and International Affairs for formal action.
(iii) To cancel the registration of a foreign charter operator if it files a written notice with the Department that it is discontinuing its charter operations.
(iv) To waive provisions of subpart F of part 380 of this chapter.
(j) With respect to mail rates:
(1) To issue show-cause orders proposing to make modifications of a technical nature in the mail rate formula applicable to temporary or final service mail rate orders.
(2) To issue final orders establishing temporary and final service mail rates:
(i) In those cases where no objection has been filed following release of the show-cause order, and where the rates established are the same as those proposed in the show-cause order; and
(ii) In those cases where it is necessary to make modifications of a technical nature in the rates proposed in the show-cause order.
(3) To issue final orders amending mail rate orders of air carriers to reflect changes in the names of the carriers subject to the orders.
(4) To issue a letter, in the case of air mail contracts filed with the Department under part 302 of this chapter against which no complaints have been filed, stating that the contract will not
(k) With respect to essential air service proceedings:
(1) To establish procedural dates.
(2) To issue orders setting interim rates of compensation for carriers required to provide essential air service.
(3) To issue orders approving a carrier's alternate service pattern if:
(i) The resulting level of service at the eligible place would be equal to or greater than the level of service earlier determined to be essential for that place;
(ii) The community concerned does not object to the carrier's implementation of the alternate service pattern; and
(iii) The carrier is not receiving a subsidy for the service or implementation of the alternate service pattern would not increase the carrier's subsidy.
(4) To issue orders adjusting the operational and/or financial unit rates of the payout formula for a carrier receiving subsidy under section 41732 of the Statute where the adjustment will not increase the total amount of compensation that the carrier will receive.
(5) To renew, up to five times in succession, an order under section 41734 of the Statute to an air carrier to continue providing essential air service while the Department attempts to find a replacement carrier.
(6) To request service and subsidy proposals from carriers interested in providing essential air service to an eligible place that is not receiving essential air service and for which no appeal of its essential air service determination is pending.
(7) To request service and subsidy proposals from carriers interested in providing essential air service when no proposals were filed in response to a previous request for proposals.
(8) To issue final orders establishing interim or final subsidy rates under section 41732 or final adjustments of compensation for continued service under section 41732 in those cases where no objection has been filed to a show-cause order, and where the rates established are the same as or less than those proposed in the approved show-cause order.
(9) With respect to provisions for terminations, suspensions, or reductions of service under part 323 of this chapter:
(i) To require any person who files a notice, objection, or answer to supply additional information.
(ii) To require service of a notice, objection, or answer upon any person.
(iii) To accept late-filed objections or answers, upon motion, for good cause shown.
(iv) To extend the time for filing objections for answers, when the initial notice has been filed earlier than required under § 323.5.
The Director, Office of International Aviation, has authority to:
(a) Approve or deny applications for exemptions, where the course of action is clear under current policy or precedent:
(1) For air carriers, from chapter 411 of the Statute and from certificates and orders issued under that chapter;
(2) For foreign air carriers, from section 41301 and from permits and related orders issued under chapter 413;
(3) For air carriers and foreign air carriers, from chapter 415 and from orders issued and tariffs filed under that chapter; and
(4) From orders and applicable regulations under this chapter.
(b) With respect to applications for certificates of public convenience and necessity under section 41102 and foreign air carrier permits under section 41302:
(1) Issue an order to show cause proposing to grant such application in those cases where no objections to the application have been filed, and the applicant has already been found fit, willing, and able by the Department to provide service of the same basic scope and character;
(2) Issue an order stating the Department's intention to process the application through show-cause procedures;
(3) Issue an order, subject to Presidential review under section 41307, to make final an order to show cause
(4) Reissue certificates of public convenience and necessity and foreign air carrier permits when revisions are necessitated by a change in the name of the carrier or of points specified, provided that no issue of substance concerning the operating authority of a carrier is involved.
(c) With respect to an application under section 41102 for a certificate to engage in foreign scheduled air transportation, issue an order instituting an investigation of the applicant's fitness and other issues related to the application, where no person has already filed an objection to the application and the investigation will be conducted by oral hearing procedures.
(d) Issue an order to show cause why a foreign air carrier permit should not be revoked under section 41304 when:
(1) The government of the permit holder's home country represents that it does not object to revocation of the permit; and
(2) The permit holder—
(i) Has ceased operations; or
(ii) No longer holds valid authority from its own government to operate the services in its permit.
(e) Approve or disapprove requests by foreign air carriers for authorizations provided for, or waivers of restrictions contained, in any agreement or in any permit or order of the Department, when no person disclosing a substantial interest objects or where the course of action is clear under current policy or precedent.
(f) Waive the deadlines in § 377.10(c) of this chapter for filing applications for renewal of unexpired temporary authorizations when, in the Director's judgment, the public interest would be served. The provisions of § 377.10(d) of this chapter shall apply in the same manner as to a timely filed application.
(g) Extend the time allowed for action on a complaint of unfair or discriminatory practices, filed under section 41310, for an additional period or periods of 30 days each, not to exceed the 180th day after filing unless that deadline has been waived by the complainant.
(h) Grant or deny applications for statements of authorization under parts 207, 208, and 212 of this chapter, and requests for waivers of the requirements of parts 207, 208, and 212 of this chapter, where grant or denial of the request is in accordance with current policy or precedent.
(i) Approve or disapprove charter trips by foreign air carriers, and those by air carriers that are predominantly in foreign air transportation, when prior authorization is required by:
(1) Any provision of this chapter; or
(2) An order of the Department.
(j) Approve or disapprove requests by foreign air carriers for waivers of the 30-day advance filing requirement for proposed schedules whose filing the Department has ordered under part 213 of this chapter.
(k) Approve, when no person disclosing a substantial interest objects, or disapprove requests by foreign air carriers for special authorizations provided for in part 216 of this chapter.
(l) With respect to applications for statements of authorization to conduct intermodal cargo services under part 222 of this chapter:
(1) Approve applications under part 222 of this chapter where no person with a substantial interest raises objections citing specific facts of nonreciprocity or of restraints on competition by U.S. air carriers;
(2) Reject applications under part 222 of this chapter where there is no agreement by the United States permitting the proposed services; or
(3) Require that an applicant under part 222 of this chapter submit additional information.
(m) Approve or disapprove issuance of foreign aircraft permits provided for in part 375, subparts E and H, of this chapter.
(n) Grant or deny applications of foreign air carriers for renewal of emergency exemptions granted under 49 U.S.C. 40109(g).
(o) Grant or deny applications by air carriers and foreign air carriers under part 389 of this chapter for waivers of the Department's filing fee requirements, in accordance with current policy or precedent.
(p) Determine matters in proceedings under section 40109 and chapters 411, 413 and 415, that have not been set for oral evidentiary hearing, in addition to those authorized under § 385.3, such matters to include,
(q) Approve or disapprove applications under part 223 of this chapter for permission to furnish free or reduced-rate foreign air transportation.
(r) With respect to International Air Transport Association (IATA) agreements filed with the Department pursuant to sections 41309 and 41308 of the Statute, or pursuant to Civil Aeronautics Board Order E-9305 of June 15, 1955:
(1) Issue orders approving or disapproving IATA agreements relating to fare and rate matters under section 41309, and granting or denying antitrust immunity under section 41308, where the course of action is clear under current policy and precedent.
(2) Issue orders describing filed agreements, establishing procedural dates for submission of justification, comments and replies, which support or oppose agreements, and prescribing the particular types of data to be included in such submission.
(s) Reject any tariff, supplement, or revised page that is filed by any U.S. air carrier or foreign air carrier, and that is subject to rejection because it is not consistent with chapter 415 of the Statute or with part 221 or 222 of this chapter. Where a tariff, supplement or loose-leaf page is filed on more than 60 days' notice and is not rejected within the first 30 days (including the filing date), it shall not be rejected after such 30-day period under this authority unless the issuing carrier is given an opportunity to remove the cause for rejection by the effective date, by special tariff permission if necessary, and fails to take such corrective action.
(t) Approve or disapprove any application for special tariff permission under part 221, subpart P, of this chapter to make tariff changes upon less than statutory notice.
(u) Approve or disapprove applications for waiver of part 221 of this chapter.
(v) Institute an investigation of, or institute an investigation and suspend the effectiveness of, a tariff or change in a tariff which:
(1) Is substantially similar to a prior tariff under investigation or suspension; and
(2) Is filed by or on behalf of one or more of the parties to the prior tariff; and
(3) Is filed within 90 days after the expiration, modification, or cancellation of the prior tariff, or within 90 days after the effective date of an order requiring its cancellation or modification.
(w) In instances when an investigation of a tariff is pending, or the tariff is under suspension, or when a complaint requesting investigation or suspension of a tariff has been filed:
(1) Permit cancellation of the tariff; or
(2) If the grounds for the investigation or complaint have been removed through cancellation, expiration or modification of the tariff, either dismiss the investigation or complaint, or terminate the suspension.
(x) Extend the period of suspension of a tariff when the proceedings concerning the lawfulness of such tariff cannot be concluded before the expiration of the existing suspension period, provided that the aggregate of such extensions may not be for a longer period than permitted under section 41509.
(y) Cancel the suspension of and/or dismiss an investigation of a tariff relating to service predominantly in foreign air transportation where the course of action is clear under current policy and precedent.
(a) The General Counsel has authority to:
(1) Issue proposed or final regulations for the purpose of making editorial
(2) Where a petition for review is duly filed, reverse any rulemaking action taken by him or her pursuant to paragraph (a) of this section by withdrawing a proposed or final regulation issued thereunder, in which case the petition for review will not be submitted to the Reviewing Official involved. (Such a withdrawal is not subject to the review procedures of subpart C of this part.)
(3) Issue, upon request therefor, interpretations of facts bearing upon disqualifications of former members and employees, and Department employees under § 300.13 or § 300.14 of this chapter (Procedural Regulations).
(4) Issue orders deferring action until after oral argument on motions submitted by parties subsequent to the issuance of an Administrative Law Judge's initial or recommended decision.
(5) Reissue existing regulations for the purpose of incorporating prior amendments adopted by the Department.
(b) To the extent that a hearing case is involved, the authority assigned to the General Counsel in paragraph (a) of this section shall not be reassigned to the Deputy General Counsel or exercised by the Deputy General Counsel in the capacity of Acting General Counsel.
The Deputy General Counsel has authority to:
(a) Compromise any civil penalties being imposed in enforcement cases.
(b) Issue orders initiating and terminating informal nonpublic investigations under part 305 of this chapter (Procedural Regulations).
(c) Issue orders requiring air carriers to prepare and submit within a specified reasonable period, special reports, copies of agreements, records, accounts, papers, documents, and specific answers to questions upon which information is deemed necessary. Special reports shall be under oath whenever the Deputy General Counsel so requires.
(d) Institute and prosecute in the proper court, as agent of the Department, all necessary proceedings for the enforcement of the provisions of the act or any rule, regulation, requirement, or order thereunder, or any term, condition, or limitation of any certificate or permit, and for the punishment of all violations thereof. Any action taken by the Deputy General Counsel, pursuant to the authority of this section shall not be subject to the review procedures of this part.
(e) Make findings regarding the reasonable necessity for the application of the Department's authority to obtain access to lands, buildings and equipment, and to inspect, examine and make notes and copies of accounts, records, memorandums, documents, papers and correspondence of persons having control over, or affiliated with, any person subject to regulation under Titles IV or X of the Act, through issuance of an appropriate order, letter or other transmittal.
(f) Issue orders denying or granting conditional or complete confidential treatment of information supplied by any person to the Office of Aviation Enforcement and Proceedings. Confidential treatment may only be granted upon a finding that, if the information were in the Department's possession and a Freedom of Information Act (FOIA) request were made for the information:
(1) At the time of the confidentiality request, the FOIA request would be denied on the basis of one or more of the FOIA exemptions; and
(2) At any later time, the FOIA request would also be denied, absent a material change in circumstances (which may include a demonstration
The heads of Offices and Assistant General Counsels have the authority to:
(a) Grant requests for permission to withdraw petitions, applications, motions, complaints, or other pleadings or documents which the respective Office has responsibility for processing where such authority has not otherwise been assigned in this regulation.
(b) Grant extensions of time for filing of documents or reports which are required to be filed by regulation or Department order and which reports or documents the respective Office has the responsibility for processing.
(c) Grant waivers of the environmental procedures set by Department order in any proceeding or portion of a proceeding dealing with environmental matters.
(d) Establish procedures on a case-by-case basis for environmental proceedings to ensure compliance with applicable law.
The Assistant General Counsel for Regulation and Enforcement has authority to:
(a) Call public meetings in pending rulemaking proceedings,
(b) Issue a notice suspending the effective dates of final regulations issued by the General Counsel pending Departmental determination of review proceedings instituted thereon, whether by petition or upon order of the Department. (Such a notice is not subject to the review procedures of subpart C of this part.), and
(c) Approve or disapprove, for good cause shown, requests to extend the time for filing comments on all proposed or final new or amended regulations, and requests to extend comment periods following the issuance of final rules.
The Chief, Coordination Section, Documentary Services Division, has the authority to coordinate and perform all administrative functions of the Department provided for in sections 2, 3 and 5 of Executive Order 12597 issued May 13, 1987, except that this delegation shall not include the exercise of the authority delegated by the President to the Secretary by sections 2 and 5 of that Order to determine not to disapprove orders of the Department in certain cases.
The Director, Office of Aviation Information, Bureau of Transportation Statistics (BTS) has authority to:
(a) Conduct all rulemaking proceedings concerning accounting, reporting, and record retention requirements for carrying out Subparts I, II, and IV of the Statute, except the issuance of final rules and the disposition of petitions for reconsideration.
(b) Interpret the accounting, reporting, and record retention requirements used to carry out Subparts I, II, and IV of the Statute.
(c) Waive any of the accounting, reporting, and record retention requirements upon a showing of the existence of such facts, circumstances or other grounds, and subject to such limitations or conditions as may be prescribed for waivers in the applicable regulations, unless such authority is otherwise specifically assigned.
(d) Dismiss petitions for Department or BTS action with respect to accounting, reporting, and record retention matters when such dismissal is requested or consented to by the petitioner.
(e) Require special reports, documentation, or modifications to reports required by this chapter from any air carrier upon a determination that such reports or documentation or modifications are necessary to meet temporary information needs, assist in an evaluation of continued financial fitness, or comply with special information requests by Congress, Department officials, or another agency or component of the Federal Government.
(f) Grant or deny a request by an air carrier or foreign air carrier for an extension of a filing date for reports required by subchapters A and D of this chapter.
(g) Grant or deny requests by air carriers for substitution of their own forms, adaptation of Department forms, or use of ADP media to meet special needs where Department approval of such forms or ADP media is required by subchapter A of this chapter.
(h) Determine the data necessary to complete the International Civil Aviation Organization reports required by U.S. Treaty; as provided in Order 81-3-120, establish any necessary supplemental reporting requirements; and dispose of petitions for extensions of filing dates or waivers with respect to the data required for such reports.
(i) Grant or deny motions filed under § 302.12 of this chapter requesting confidential treatment of aviation economic information or reports filed with BTS and place the decision in the motion's docket, which decision will be subject to review through a petition for reconsideration filed within ten days of issuance, to be acted upon by the Director, BTS.
(j) Grant or deny requests filed under § 241.22 of this chapter for confidential treatment of preliminary year-end financial reports.
(k) Grant or deny requests filed under § 248.5 of this chapter for confidential treatment of individual air carrier special reports.
(l) Grant or deny requests for use of domestic and international service segment and market data in accordance with the limitations on the availability of these data contained in § 241.19-6 of this chapter and Order 81-12-9.
(m) Grant or deny requests for use of international Origin and Destination Survey statistics in accordance with the limitations on the availability of these data contained in § 241.19-7 of this chapter.
(n) Grant or deny requests for individual air carrier fuel data in accordance with the limitations on the availability of these data contained in paragraph (k) of the reporting instructions for Schedule P-12(a), which are contained in § 241.24 of this chapter.
(o) Grant or deny requests for individual air carrier financial data in accordance with the limitation on the availability of these data contained in paragraph (d) of the reporting instructions for Schedule F-1, which are contained in § 298.62 of this chapter.
(p) Grant or deny requests for individual air carrier financial data as reported on Schedule P-1(a) in accordance with § 241.22(b)(3) of this chapter.
The Inspector General has authority to:
(a) Require special reports, including documentation, from any air carrier regarding audits and other examinations of carrier facilities, operations, and accounting and statistical records.
(b)(1) For accounting purpose, make findings regarding the reasonable necessity for the application of the Department authority to obtain access to lands, buildings, and equipment, and to inspect, examine, and make notes and copies of accounts, records, documents, papers, and correspondence of persons having control over, or affiliated with, any person subject to regulation used to carry out titles IV and X of the Act through issuance of an appropriate order, letter, or other transmittal;
(2) Authorize one or more auditors or special agents to conduct audits, inspections, and examinations and to make notes and copies in accordance with such findings.
(c) Release to the carrier that is the subject of a financial audit the audit
(d) Require submission by carriers of special statements necessary to an explanation of any carrier accounting practice.
The Chief, Accounting Division, Office of Budget and Policy, Federal Transit Administration, has authority to:
(a) Approve and order the payment of refunds of filing fees paid under § 389.27(b) of this chapter when such refunds have been authorized by either the Director, Office of Aviation Analysis, or the Director, Office of International Aviation.
(b) Pay from appropriated funds all properly documented claims consistent with Treasury, OMB, GAO, and DOT policies.
(c) Make minor or routine adjustments to payments based on audit reports prepared by the Inspector General, and through routine internal examinations of claims and vouchers.
(d) Design air carrier subsidy claim forms for small community service under 49 U.S.C. 41737.
Petitions for review may be filed by the applicant; by persons who have availed themselves of the opportunity, if any, to participate in the matter at the staff action level; and by persons who have not had opportunity to so participate or show good and sufficient cause for not having participated:
(a)
(b)
(c)
(d)
(e)
Unless, within the time provided by or pursuant to this regulation, a petition for review is filed or the Department gives notice that it will review on its own motion, staff action shall, without further proceedings, be effective and become the action of the Department upon the expiration of such period. A timely petition for review filed in accordance with the provisions of this section, or notice given by the Department of review on its own motion, shall stay the staff action pending disposition by the Department, unless the Department determines otherwise or unless the staff action provides otherwise in accordance with subpart A of this part. However, in cases where the Department's regulations provide that permissions or approvals are granted, or that other legal effects result, within a stated period from the filing with the Department of a prescribed document, unless the Department gives notice to the contrary or takes other action within said period, such notice given or action taken by a staff member under delegated authority shall toll the running of such period. A timely petition for review of staff action which is not stayed by its filing which is received after or not acted upon before the effective date of the action shall be entertained and disposed of on its merits as a petition for reconsideration.
Where a petition for review is duly filed, the staff member may, upon consideration of all documents properly filed, reverse his or her decision. Except in the case of Administrative Law Judges, action taken by a staff member other than an office head or Assistant General Counsel may be reversed by the respective office head or Assistant General Counsel who is in the supervisory chain of command with respect to the staff member who took the initial action. If the initial action is reversed, the petition for review will not be submitted to the Reviewing Official. Staff action reversing the initial action shall be subject to petition for Department review as any other staff action.
(a)
(b)
Sec. 204, 1002, Pub. L. 85-726, as amended, 72 Stat. 743, 797; 49 U.S.C. 1324, 1502. Act of August 31, 1951, ch. 376, 65 Stat. 268; 31 U.S.C. 483a.
Pursuant to the provisions of Title V of the Independent Offices Appropriation Act of 1952 (5 U.S.C. 140) as implemented by Bureau of Budget Circular A-25, dated September 23, 1959, the Board sets forth in this regulation the special services made available by the Board and prescribes the fees to be paid for these and various other services.
This subpart describes certain special services made available by the Board and prescribes the fees and charges for these services.
Upon request and payment of fees as provided in subsequent sections, there are available, with respect to documents subject to inspection, services as follows:
(a) Locating and copying records and documents.
(b) Certification of copies of documents under seal of the Board.
(c) Subscriptions to publications of the Board.
(d) Transcripts of hearings.
The fees charged for special services may be paid by check, draft, or postal money order, payable to the Civil Aeronautics Board, except for charges for reporting services which are performed under competitive bid contracts with non-Government firms. Fees for reporting are payable to the firms providing the services.
Except for photocopy work, the basic fees set forth below provide for documents to be mailed with ordinary first class postage prepaid. If copy is to be transmitted by registered, certified, air, or special delivery mail, postal fees therefor will be added to the basic fee. Also, if special handling or packaging is required, costs therefor will be added to the basic fee. For photocopy work, postage will be in addition to the fee for copying.
Public records and documents on file with the Civil Aeronautics Board will
(a) There shall be no charge in connection with searches for records or documents under this chapter.
(b) Photocopies of records or documents shall be made using the Board's facilities or by contractors.
(1) The fee for photocopying will be 15 cents per page.
(2) The fee for copying by contractors will be that established in the contracts with the Board and will be billed directly by those contractors.
(c) Copies of board data on magnetic tapes, or extractions of data from Board data tapes, will be made by the National Archives and Records Service (NARS) of the General Services Administration or by computer service bureaus.
(1) The Director, Bureau of Accounts and Statistics, furnishes many public records and documents contained on magnetic tape to NARS. Initial requests for data should be made directly to the Machine Readable Archives Division, National Archives and Records Services, General Services Administration, Washington, D.C. 20408, with the applicant directly reimbursing NARS for its copying or data extraction charges. When NARS does not have the requested data, the Director, Bureau of Accounts and Statistics, upon written request, will furnish the tapes for a reasonable length of time to a computer service bureau chosen by the applicant subject to the Director's approval. The computer service bureau shall assume the liability for the cost of replacing any tape that may be damaged or destroyed by it.
(2) The fee for data copying by NARS will be determined by NARS.
(3) The fee for data copying by a computer service bureau shall be established by agreement between the requesting party and the computer service bureau.
(d) Where the Board's fee for service requested will exceed $100, the service will not be performed until payment has been received. In such cases, the requester will be notified promptly of the amount of the fee, and the requested service will be performed as expeditiously as practicable following receipt of payment.
(e) Applications for waivers or modifications of any fees required to be paid to the Board under this section may be filed in accordance with the following:
(1) Each applicant shall set forth briefly and succinctly the relief that it seeks and the reasons why such relief should be granted. Waivers or modifications of stated fees shall be granted only where it is demonstrated that such action is in the public interest because furnishing of the information requested can be considered as primarily benefiting the general public.
(2) Applications requesting waivers or modifications of fees under this section shall be addressed to the Managing Director, who has been delegated authority by the Board to decide such applications in § 385.12 of this chapter, and shall accompany the request for service under this section.
(3) The Managing Director shall either rule on the application or, at his discretion, pass the matter on to the Board for its determination. In acting upon such applications the Managing Director and the Board, where applicable, shall be guided by the procedures and requirements of § 310.9(d) of this chapter.
(4) A decision by either the Managing Director or the Board pursuant to paragraph (d)(3) of this section is final and will not be subject to petitions for reconsideration.
The Secretary of the Board will provide, on request, certifications or validation (with the Civil Aeronautics Board seal) of documents filed with or issued by the Board. Copies of tariffs filed with the Board will be certified only when such copies have been made under the Board's supervision upon request of the applicant. Charges for this service are as follows:
(a) Certification of the Secretary, $2. This fee includes clerical services involved in checking the authenticity of records to be certified. If copying of the documents to be certified is required, the copying charges provided for in § 389.14 will be in addition to the charges specified in this section.
(b) [Reserved]
(a)
(b)
(c)
Transcripts of testimony and oral argument are furnished to the Board by a non-Government contractor for any proceeding in which the presiding officer has determined that such transcript should be made, and copies thereof may be purchased directly from the reporting firm, at prices and upon other terms and conditions specified in the contract made between the Board and the reporting firm, and currently in effect, pursuant to section 11 of the Federal Advisory Committee Act (Pub. L. 92-463, 86 Stat. 770, 5 U.S.C. App. I). Any person may obtain from the Director, Office of Facilities and Operations, the name and address of the reporting firm with which the Board currently has such contract, as well as the contract prices then in effect for the various types of transcript and copying services covered by such contract.
(a) This subpart applies to the filing of certain documents and records of the Department by non-government parties, and prescribes fees for their processing.
(b) For the purpose of this subpart, record means those electronic tariff records submitted to the Department under subpart W of 14 CFR part 221, and contains that set of information which describes one (1) tariff fare, or that set of information which describes one (1) related element associated with such tariff fare.
(a) Any document or record for which a filing fee is requried by § 389.25 shall be accompanied by either (1) a check, draft, or postal money order, payable to the Civil Aeronautics Board, in the amount prescribed herein, or (2) a request for waiver or modification of the filing fee.
(b) [Reserved]
(c) Where a document seeks authority or relief in the alternative and therefore would otherwise be subject to more than one filing fee, only the highest fee shall be required.
(d) Where a document relating to a single transaction or matter seeks multiple authorities or relief and therefore would otherwise be subject to more than one filing fee, only the highest fee shall be required. Where a document relating to more than one transaction or matter seeks multiple authorities or relief, the requried filing fee shall be determiend by combining the highest fees for each transaction or matter. For purposes of this paragraph, a specific number of charters or inclusive tours described in one application will be regarded as a single transaction or matter.
(e) No fee shall be returned after the document has been filed with the
(a)(1) Except as provided in § 389.23, documents (except tariff publications) which are not accompanied by filing fees shall be returned to the filing party, and such documents shall not be considered as filed by the Board.
(2) Except as provided in § 389.23, records which are not accompanied by the appropriate filing fees shall be retained and considered filed with the Department. The Department will notify the filer concerning the nonpayment or underpayment of the filing fees, and will also notify the filer that the records will not be processed until the fees are paid.
(b) The filing fee tendered by a filing party shall be accepted by the Board office to whom payment is made, subject to post audit by the Chief of the Board's Finance Division and notification to the filing party within 30 days of any additional amount due. Not more than 5 days after receipt of the notification, the determination of the Chief, Finance Division, may be appealed to the Managing Director of the Board, who has been delegated authority by the Board to decide such appeals in § 385.12 of this chapter. The filing party may submit to the Board a petition for review of the Managing Director's decision pursuant to § 385.50 of this chapter, and proceedings thereon will be governed by part 385, subpart C, of this chapter.
(c) The amount found due by the Chief, Finance Division, shall be paid within 10 days of notification except that (1) if that decision is appealed to the Managing Director, the amount due shall be paid within 10 days after the Managing Director notifies the filing party that he has affirmed or modified the decision of the Chief, Finance Division; and (2) if the decision of the Managing Director is appealed to the Board, the amount due shall be paid within 10 days after the Board notifies the filing party that it has affirmed or modified the staff decision. If the amount due is not paid, the document (except a tariff publication) shall be returned to the filing party along with the fee tendered, and such document shall be deemed to have been dismissed or withdrawn.
(a) Applications may be filed asking for waiver or modification of any fee paid under this subpart. Each applicant shall set forth the reasons why a waiver or modification should be granted, and by what legal authority.
(b) Applications asking for a waiver or modification of fees shall be sent to the Managing Director of the Board, and shall accompany the document filed. Applicants may appeal the decision of the Managing Director to the Board under § 385.50 of this chapter. When no petition for review is filed with the Board, or when the Board reviews the Managing Director's decision, if the amount found due is not paid within 10 days after receipt of notification of the final determination, the document shall be returned to the filing party.
A foreign air carrier, or such carriers, if from the same country, acting jointly, may apply for a waiver of the requirements of this part based on reciprocity for U.S. air carriers contained in the requirement of their home governments, or as provided in a treaty or agreement with the United States. To apply for a waiver under this section, foreign air carriers shall send waiver requests to the Director, Bureau of International Aviation. The request should include applicable official government rules, decisions, statements of policy, or comparable evidence concerning filing fees for U.S. air carriers, or for all carriers serving that country. Once a waiver has been granted for a
(a)
(b)
(a)
(b)
(2) If the tariff is issued for one or more air carriers and one or more foreign air carriers, the fee will be charged for each page, except for those pages that the issuing agent states contain only:
(i) Matters pertaining exclusively to foreign air carriers that have been granted a waiver, or
(ii) Changes in matters pertaining to foreign air carriers that have been granted a waiver and that are included
(3) The fee will not be charged for a blank looseleaf page unless it cancels matters in the preceding page.
(4) No fee will be charged when two pages are published back-to-back, one page is not subject to the fee under paragraph (b)(2), and the page on the reverse is issued without substantive change.
(5) The fee will be charged for two looseleaf pages containing a correction number check sheet unless all other pages of the tariff are exempt from the fee.
(a) Any fee charged under this part may be refunded in full or in part upon request if the document for which it is charged is withdrawn before final action is taken. Such requests shall be filed in accordance with § 389.23.
(b) Any person may file an application for refund of a fee paid since April 28, 1977, on the grounds that such fee exceeded the Board's cost in providing the service. The application shall be filed with the Board's Comptroller and shall contain: the amount paid, the date paid, and the category of service.
49 U.S.C. Chapters 401, 417; Airport and Airway Safety and Capacity Expansion Act of 1987 (Pub. L. 100-223, Dec. 30, 1987).
The purpose of this part is to establish general guidelines for the determination of basic essential air service for each eligible place under 49 U.S.C. 41731 and 41732. Procedures for the determination of the essential air service level for a place are contained in part 325 of this chapter.
(a)
(1) A
(2) A
(3) A
(b)
(2) In Alaska or when the nearest large or medium hub is more than 400 miles from the eligible place, the Department may instead require service to a small hub or nonhub.
(3) In some cases, the Department may require service to two hubs, of which at least one will be a large or medium hub. The Department will require service to two hubs if an eligible place has close commercial, geographic, and political ties to both hubs and if there is sufficient traffic from the eligible place to support two round trips a day to both hubs. If traffic is not sufficient, the Department may require one round trip a day to both hubs if the community requests such service.
(4) In no event will essential air service consist of service to more than two hubs.
(c)
(i) The extent to which candidate hubs provide access to the national air transportation system;
(ii) The commercial, geographic, and political ties of candidate hubs to the eligible place;
(iii) The traffic levels to candidate hubs, as shown by traffic studies and origin and designation data;
(iv) The distance of candidate hubs from the eligible place; and
(v) The size of candidate hubs. Large size will be a positive factor, but principally as substantiating the access and community-ties factors.
(2) For Alaska, rather than requiring service to a hub, the Department may instead require that service from an eligible place be provided to a nearby focal point for traffic which, in turn, has service to a hub.
(a) At an eligible place, essential air service may be specified as service to a particular airport. In the case of hyphenated places, essential air service will be specified as service to more than one airport only if clearly necessary and if the multi-airport service is economically feasible and justified on the basis of traffic levels at those airports.
(b) At a hub, essential air service is not usually specified as service to a particular airport.
(a) Except in Alaska, service will be provided by aircraft offering at least 15 passenger seats, unless:
(1) Average daily enplanements at the place did not exceed 11 passengers for any fiscal year from 1976 through 1986;
(2) The requirement would necessitate the payment of compensation in a fiscal year for service at the place when compensation would otherwise not be necessary; or
(3) The affected community agrees in writing to the use of smaller aircraft to provide service at the place.
(b) The aircraft must have at least two engines and use two pilots, unless scheduled air transportation has not been provided to the place in aircraft with at least two engines and using two pilots for at least 60 consecutive operating days at any time since October 31, 1978.
(c) The aircraft must be pressurized when the service regularly involves flights above 8,000 feet in altitude.
(d) All aircraft must meet the applicable safety standards of the Federal Aviation Administration.
(e) The aircraft must be conveniently accessible to passengers by stairs rather than over the wing.
(a) Except in Alaska, at least two round trips each weekday and two round trips each weekend.
(b) In Alaska, a level of service at least equal to that provided in 1976, or two round trips each week, whichever is greater, except that the Department and the appropriate State authority of Alaska may agree to a different level of service after consulting with the affected community.
(c) An essential air service level may be set at more than that stated in paragraphs (a) and (b) of this section if:
(1) Historical traffic data and studies of traffic-generating potential for the place indicate that more frequent service is needed to accommodate passengers and accompanying baggage with the aircraft used at that place;
(2) More flights are needed because the capacity available to the eligible place is being shared with traffic destined for an intermediate stop or for a place beyond the eligible place;
(3) More flights are needed to accommodate passengers because smaller aircraft are being used at the place;
(4) More flights are needed in order to ensure adequate connecting opportunities as provided for by § 398.7; or
(5) For Alaska, the appropriate state agency agrees that more frequent service is needed to accommodate cargo traffic with the aircraft used at the eligible place.
(d) For eligible places where traffic levels vary substantially with the season, a two-tier level of essential air service may be established with required flight frequencies changing accordingly.
(a) The number of seats guaranteed at the eligible place will be sufficient to accommodate the estimated passenger traffic at an average load factor of 60 percent, except that an average load factor of 50 percent will be used when service is provided with aircraft having fewer than 15 passenger seats.
(b) Only under unusual circumstances will an eligible place's essential air service level be set at a number of flights that will accommodate more than 40 passengers a day in each direction (a total of 80 inbound and outbound passengers). Generally, 40 passengers can be accommodated by guaranteeing 67 seats a day in each direction (a total of 134 inbound and outbound seats).
(c) The Department may guarantee an eligible place more than 67 seats a day if:
(1) The number of stops between or beyond the eligible place and the hub results in available aircraft capacity being shared with passengers at those other places;
(2) The distance between the eligible place and the designated hub requires the use of large aircraft;
(3) The eligible place has suffered an abrupt and significant reduction in its service that warrants a temporary increase in the maximum guaranteed capacity; or
(4) Other unusual circumstances warrant guaranteeing the eligible place more than 67 seats a day.
To qualify as essential air service, flights must depart at reasonable times, considering the needs of passengers with connecting flights at the hub. It is the policy of the Department to consider the reasonableness of the time in view of the purpose for which the local passengers are traveling. If travel is primarily to connect with other flights at the hub, local flight times should be designed to link with those flights. If travel is primarily local (
(a) Except in Alaska, no more than one intermediate stop is permitted in providing essential air service between the eligible place and its hub, unless otherwise agreed to with the community. In cases where an eligible place receives service to two hubs, however, more than one intermediate stop is permitted between that place and its secondary hub.
(b) In Alaska, more than one intermediate stop is permitted if required by low traffic levels at the eligible place or by the long distance between the eligible place and its hub.
(c) The Department may specify nonstop service when necessary to make the service viable.
(d) Where an eligible place normally is an intermediate stop that shares available capacity with another place, it is the policy of the Department either to require additional capacity (more flights or larger aircraft) between the eligible place and its hub or to specify some turnaround operations on that route segment.
The load factor standards used in this part may be raised for individual eligible places under either of the following circumstances:
(a) The place is served by the carrier as part of a linear route; or
(b) It would be in the interest of the community, the carrier, or the general public to raise the load factor standard for that place.
The Department considers it a violation of 49 U.S.C. 41732 and the air service guarantees provided under this part for an air carrier providing essential air service to an eligible place to overfly that place, except under one or more of the following circumstances:
(a) The carrier is not compensated for serving that place and another carrier is providing by its flights the service required by the Department's essential air service determination for that place;
(b) Circumstances beyond the carrier's control prevent it from landing at the eligible place;
(c) The flight involved is not in a market where the Department has determined air service to be essential; or
(d) The eligible place is a place in Alaska for which the Department's essential air service determination permits the overflight.
(a) If, in any fiscal year, appropriations for payments to air carriers remain at or below the amounts estimated as necessary to maintain subsidy-supported essential air service at the places receiving such service, and Congress provides no statutory direction to the contrary, appropriations shall not be available for essential air service to otherwise eligible places within the 48 contiguous States and Puerto Rico that have a rate of subsidy per passenger in excess of $200.00, or are located:
(1) Less than 70 highway miles from the nearest large or medium hub airport;
(2) Less than 55 miles from the nearest small hub airport; or
(3) Less than 45 highway miles from the nearest nonhub airport that has enplaned, on certificated or commuter carriers, 100 or more passengers per day in the most recent year for which the Department has obtained complete data.
(b) The rate of subsidy per passenger shall be calculated by dividing the annual subsidy in effect as of July 1 of the prior fiscal year by the total origin-and-destination traffic during the most recent year for which the Department has obtained complete data.
49 U.S.C. 40101
All statements of general policy adopted by the Board for the guidance of the public will be published in this part, except as provided in § 399.2.
The following types of policies are generally not included in this part:
(a) Policies relating solely to the internal management of the Board;
(b) Policies requiring secrecy in the public interest or in the interest of national defense;
(c) Policies that are repetitive of section 102 of the Act;
(d) Policies that are fully expressed in a procedural or substantive rule of the Board, or in any opinion, decision, order, certificate, permit, exemption, or waiver of the Board;
(e) Expressions of encouragement or admonition to industry to follow a certain course of action;
(f) Positions on legislative items and on other matters that are outside the scope of the Board's current statutory powers and duties.
No statement contained in any Board opinion, decision, order, certificate, permit, exemption, or waiver shall be considered a statement of policy within the meaning of this part, even though such statements may constitute a precedent in future cases or declare future policy to be followed in like cases. Similarly, a denial by the Board or relief sought, or statements of the Board's reasons for failure to issue a rule upon which rulemaking proceedings have been commenced shall not be considered statements of policy, except to the extent that it is specifically stated that such denial or failure is based upon a policy thereafter to be followed.
Policy statements published in this part will be observed by the Board until rescinded, but any policy may be amended from time to time as experience or changing conditions may require. Changes in policy may be made with or without advance notice to the public and will become effective upon publication in the
The statements of general policy relating to the various duties and functions of the Board are grouped according to subject matter in the following subparts; the titles of the subparts indicate the general subject matter included therein.
(a) It is the policy of the Board (jointly with the Department of State) that, as a general rule, landing rights abroad for United States flag air carriers will be acquired through negotiation by the U.S. Government with foreign governments rather than by direct negotiation between an air carrier and a foreign government.
(b) It is corollary to the foregoing policy that no United States air carrier may avail itself of representations by one foreign government to further its interest with another foreign government, especially with respect to landing rights, except insofar as such representations have been specifically authorized by the U.S. Government.
It is the policy of the Board to limit the duration of exemptions which authorize fixed-term route service to a maximum period of two years, and to entertain requests for renewal of such authority only when incorporated in a duly filed application for substantially equivalent certificate authority under section 401 of the Act. (See § 377.10(c) of this chapter (Special Regulations).)
In deciding applications for exemptions from section 41102 of Title 49 of the United States Code by air carriers seeking to perform charter service in air transportation, we will give primary weight to the chartering public's own assessment of the air carrier services that best meet its transportation needs. Therefore, we will not, as a general rule, consider as relevant to our decision on such applications, objections based upon (1) offers by the objectors to perform the charter service, and/or (2) estimates of revenue or traffic diversion, unless in the latter case the objectors demonstrate that the diversion resulting from grant of the exemption would threaten their ability to fulfill their certificate obligations.
As used in this subpart:
(a)
(b)
(1) For U.S. Mainland-Puerto Rico/Virgin Islands markets where the Board has specified day-of-week fare differentials: the peak-season midweek fare appearing in tariffs in effect on July 1, 1977.
(2) For U.S. Mainland-Puerto Rico/Virgin Islands markets where the Board has specified only seasonal fare differentials: the off-peak-season fare appearing in tariffs in effect on July 1, 1977.
(3) For U.S. Mainland-Hawaii markets: the peak-season second class fare appearing in tariffs in effect on July 1, 1977.
(4) For all other interstate and overseas markets: the lowest unrestricted fare in effect on July 1, 1977.
(c)
(d)
(e)
(a)
(1) Within the 48 contiguous States and the District of Columbia (“the Mainland”); and
(2) Between the Mainland and Puerto Rico, the Virgin Islands, Hawaii, or Alaska.
(b)
(1) There is a high probability that the fare would be found to be unlawful after investigation;
(2) There is a substantial likelihood that the fare is predatory so that there would be an immediate and irreparable harm to competition if the fare were allowed to go into effect;
(3) The harm to competition is greater than the injury to the traveling public if the proposed fare were unavailable; and
(4) The suspension is in the public interest.
(c) [Reserved]
(d)
(1) For service on the Mainland: Up to 30 percent above the sum of the SIFL plus $14. Each time after January 13, 1981, that the Board adjusts the SIFL for cost increases in accordance with § 399.31(c), it will adjust the $14 figure by the same percentage rounded to the nearest whole dollar. The Board order announcing the adjustment will be published in the
(2) For service between the Mainland and Puerto Rico, the Virgin Islands, Hawaii, or Alaska: Up to 30 percent above the SIFL.
(e)
For scheduled service in the areas set forth in § 399.32(a), certificated air carriers have the following fare flexibility in addition to that set forth in § 399.32:
(a)
(b)
(c)
For scheduled service within Hawaii, and within and between Puerto Rico and the Virgin Islands, certificated air carriers have the fare flexibility set forth in §§ 399.32 and 399.33, except that:
(a) Instead of the limits set forth in § 399.32(d), the upper limit of the zone for Puerto Rico/Virgin Islands is 30 percent above the SIFL, and for Hawaii is 30 percent above the SHFL; and
(b) The fare flexibility set forth in § 399.33(a) (first class) does not apply to service within Hawaii.
(a)
(b)
(1) The Board will not grant STP to match a tariff filed on statutory notice; and
(2) The Board will not grant STP if the proposed fares, rates, charges, or rules raise significant questions of lawfulness, that is, could reasonably be expected to be found unjust or unreasonable, unjustly discriminatory, unduly preferential, unduly prejudicial, or predatory, under current statutory or Board guidelines. In these situations, if the carrier files the tariff on statutory notice and at the same time applies for STP to advance the tariff's effective date, the Board will use its best efforts to act within 15 days to grant or deny STP.
(c)
(1) To grant STP if the resulting fares or rates are within a statutory or Board-established zone of fare or rate flexibility; and
(2) Otherwise, to deny STP.
(a) As used in this section:
(1)
(2)
(b) Except in unusual circumstances or as provided in paragraph (c) of this section, the Board will find a rate for domestic air transportation to constitute unreasonable discrimination only if:
(1) There is a reasonable probability that the rate will result in significant long-run economic injury to passengers or shippers;
(2) The rate is in fact discriminatory according to a reasonable cost allocation or other rational basis;
(3) The rate does not provide transportation or other statutorily recognized benefits that justify the discrimination; and
(4) Actual and potential competitive forces cannot reliably be expected to eliminate the undesirable effects of the discrimination within a reasonable period.
(c) A rate that discriminates on the basis of the status of the traffic carried will not be presumed to be unreasonably discriminatory, unless the use of the status categories in question is contrary to established national anti-discrimination policy.
There should be joint fares in all markets over all routings within the contiguous 48 states and the District of Columbia as follows:
(a)
(b)
Equipment purchase deposits are advance payments made by air carriers to manufacturers for the purchase of equipment to be delivered in the future, or funds segregated by air carriers for this purpose. It is the policy of the Board not to recognize equipment purchase deposits in an air carrier's investment base for ratemaking purposes. When equipment is acquired by an air carrier and placed in air-transport service, the Board will recognize in the air carrier's investment base interest on purchase deposits on such equipment capitalized and amortized in accordance with the Uniform System of Accounts and Reports for Certificated Air Carriers (part 241 of this chapter).
The Board will not approve or accept any tariff filings for interstate of overseas air transportation to be performed on or after January 1, 1983. Any tariffs for such transportation that do not specify an earlier expiration date shall expire at midnight on December 31, 1982.
(a)
(b)
(c)
(1) For all bulk rates (GCR's and SCR's) in the Atlantic region, 20 percent above the standard foreign rate level.
(2) For all bulk rates (GCR's and SCR's) in the Pacific region, 15 percent above the standard foreign rate level.
(3) For all bulk rates (GCR's and SCR's) in the Western Hemisphere region (except Mexico and Canada), 5 percent above the standard foreign rate level.
(4) For all bulk rates (GCR's and SCR's) in Canada/Mexico transborder markets, 10 percent above the standard foreign rate level for the Western Hemisphere.
(5) For all container rates, no maximum level.
(d)
(1) The suspension is in the public interest because of unreasonable regulatory action by a foreign government with respect to rate proposals of an air carrier, or
(2) All of the following extraordinary circumstances are present:
(i) It is highly probable that the fare would be found unreasonable after investigation;
(ii) There is a substantial likelihood of immediate and irreparable harm to the public if the rate is allowed to go into effect; and
(iii) The suspension is required by the public interest.
(e)
(f)
(2) Costs will be averaged for three regions—the Atlantic, the Pacific, and Western Hemisphere—and applied equally among all markets in each region.
(3) Cost computations will be based on scheduled freighter and combination service by U.S. air carriers.
(4) Adjustments will be made on April 1 and October 1 of each year, or more frequently as the Board finds appropriate.
(5) In computing costs under this section, the Board will make no adjustments for load factors, aircraft utilization, or other matters due to operational decisions made solely by carrier management. However, the Board retains the discretion to normalize costs for strikes, mandatory aircraft groundings, and other occurrences not solely due to management decisions.
(g)
(1)
(2)
(3)
For rate-making purposes, for air carriers receiving subsidy under section 406 of the Act, it is the policy of the Board that flight equipment depreciation will be based on the conventional straight-line method of accrual, employing the service lives and residual values set forth below:
In determining the appropriate treatment of leased aircraft for ratemaking purposes, it is the Board's policy to recognize actual rental expenses. In unusual circumstances where the leased aircraft value (determined on a constructive depreciated basis) in relation to net book value of owned aircraft operated by the same air carrier is significantly in excess of the ratio for the aggregate of the domestic trunklines and local service carriers (computed on the same basis), a reasonable profit element may be added which shall reflect the additional risks of operations with the leased aircraft, to the extent that such risks are not compensated by the return on investment. Such profit element would be determined by applying the standard rate of return, less 6 percentage points, to the value of the leased aircraft, on a constructive depreciated basis, to the extent the ratio of such value to depreciated cost of owned aircraft plus the value of leased aircraft exceeds the average for the domestic air carriers. Rental cost plus allowable profit, if any, will not be recognized in amounts exceeding depreciation plus return on investment computed as if the aircraft had been purchased by the carrier.
For rate-making purposes other than the determination of subsidy under section 406(b), it is the policy of the Board that Federal income tax expense should be based on the normal taxes that would be paid under the depreciation standards used for rate making, and that accumulated reserves for deferred taxes should be excluded from the recognized capitalization for rate-base purposes.
(a)
(b)
(1) Statutory requirements for preference or statutory limitations on the time within which the Board shall act;
(2) The impact of delay on the public or particular persons;
(3) The need for promptly securing compliance with the provisions of the Act;
(4) The time for which the matter has already been pending and which would be required to dispose of it;
(5) Whether the application requests renewal of an existing temporary authorization; and
(6) In matters relating to operating authority:
(i) Whether a proposal might reduce subsidy or increase economy of operations;
(ii) Whether an application proposes new service;
(iii) The volume of traffic that might be affected by the grant or denial of the proposal;
(iv) The period that has elapsed since the Board considered the service needs of the places or areas involved; and
(v) The relative availability of necessary staff members of the carriers, communities and the Board, in the light of other proceedings already in progress, to handle the processing of the case.
For the purpose of implementing the Board's policy to provide for the exclusion of irrelevant, immaterial, or unduly repetitious evidence and otherwise to expedite route proceedings, and in light of experience, the following guidelines are hereby established:
(a) Public and civic bodies which represent the same geographic area or community should consolidate their presentation of evidence, briefs or oral argument to the examiner and the Board;
(b) A public body or a civic organization, or several such bodies or organizations whose presentation of evidence is consolidated, should keep to a minimum the number of witnesses used to present the factual evidence in support of the community's position;
(c) Exhibits offered in evidence by a public body or civic organization should be limited to evidence of the economic characteristics of the community and area involved, data as to community of interest and traffic, evidence with respect to the sufficiency of existing service, and airport data, and should not include data relating to number of electricity, water and gas meters, telephones, schools, freight car loadings, building permits, sewer connections, or volume of bank deposits in the community.
(a)
(b)
(c)
(2) In the case of petitions for review or for reconsideration, notices of target dates shall be issued, served, and filed within 20 days of the date for the filing of answers:
(a)
(b)
(1) In route cases designated by the Board that offer the opportunity for developing new policies, the staff shall make a prehearing presentation of the decisional options available, and describe the kinds of evidence needed or available to develop each option. The staff need not and should not be required to develop evidence on each option. In every case, after the close of the hearing, however, the staff shall advocate a position based upon one or more of the decisional options identified in its prehearing presentation or developed at trial.
(2) In any route case in which the administrative law judge finds that there exists unusual policy or evidentiary issues clearly requiring a prehearing presentation, the staff shall submit a prehearing statement of the decisional options available.
(3) To the extent possible, the Board, in its instituting orders, will identify or designate the cases which involve the development of new policies or unusual evidentiary issues that will require the type of staff participation described in § 399.63(b)(1).
The rules and policies relating to the disposition of rulemaking petitions by the Department of Transportation Office of the Secretary are located in its rulemaking procedures contained in 49 CFR part 5. The criteria for identifying significant rules and determining whether a regulatory analysis will be
For the purposes of the Department's implementation of chapter 6 of title 5, United States Code (Regulatory Flexibility Act), a direct air carrier or foreign air carrier is a small business if it provides air transportation only with small aircraft as defined in § 298.3 of this chapter (up to 60 seats/18,000 pound payload capacity).
It is the policy of the Board to regard any of the following enumerated practices (among others) by a ticket agent as an unfair or deceptive practice or unfair method of competition:
(a) Misrepresentations
(b) Using or displaying or permitting or suffering to be used or displayed the name, trade name, slogan or any abbreviation thereof, of the ticket agent, in advertisements, on or in places of business, or on aircraft in connection with the name of an air carrier with whom it does business, in such manner that it may mislead or confuse the traveling public with respect to the agency status of the ticket agent.
(c) Misrepresentations as to the quality or kind of service, type or size of aircraft, time of departure or arrival, points served, route to be flown, stops to be made, or total trip-time from point of departure to destination.
(d) Misrepresentation as to qualifications of pilots or safety record or certification of pilots, aircraft or air carriers.
(e) Misrepresentations that passengers are directly insured when they are not so insured; for example, where the only insurance in force is that protecting the air carrier in event of liability.
(f) Misrepresentations as to fares and charges for air transportation or services in connection therewith.
(g) Misrepresentation that special discounts or reductions are available, when such discounts or reductions are not specific in the lawful tariffs of the air carrier which is to perform the transportation.
(h) Advertising or otherwise offering for sale or selling air transportation or services in connection therewith at less than the rates, fares and charges specified in the currently effective tariffs of the air carrier or air carriers who are engaged to perform such air transportation or services, or offering or giving rebates or other concessions thereon, or assisting, suffering or permitting persons to obtain such air transportation or services at less than such lawful rates, fares and charges.
(i) Misrepresentations that special priorities for reservations are available when such special considerations are not in fact granted to members of the public generally.
(j) Selling air transportation to persons on a reservation or charter basis for specified space, flight, or time, or representing that such definite reservation or charter is or will be available or has been arranged, without a binding commitment with an air carrier for the furnishing of such definite reservation or charter as represented or sold.
(k) Selling or issuing tickets or other documents to passengers to be exchanged or used for air transportation knowing or having reason to know or believe that such tickets or other documents will not be or cannot be legally honored by air carriers for air transportation.
(l) Failing or refusing to make proper refunds promptly when service cannot
(m) Misrepresentations regarding the handling, forwarding or routing of baggage or other property, or the loss or tracing thereof, or failing or refusing to honor proper claims for loss of or damage to baggage or other property.
(n) Misrepresentation as to the requirements that must be met by persons or organizations in order to qualify for charter or group fare flights.
(a) The unrealistic scheduling of flights by any air carrier providing scheduled passenger air transportation is an unfair or deceptive practice and an unfair method of competition within the meaning of 49 U.S.C. 41712.
(b) With respect to the advertising of schedule performance, it is an unfair or deceptive practice and an unfair method of competition to use any figures purporting to reflect schedule or on-time performance without indicating the basis of the calculation, the time period involved, and the pairs of points or the percentage of system-wide operations thereby represented and whether the figures include all scheduled flights or only scheduled flights actually performed.
(c)
(2) For the purposes of this section, a chronically delayed flight means any domestic flight that is operated at least 10 times a month, and arrives more than 30 minutes late (including cancelled flights) more than 50 percent of the time during that month.
(3) For purposes of this paragraph, the Department considers all of a carrier's flights that are operated in a given city-pair market whose scheduled departure times are within 30 minutes of the most frequently occurring scheduled departure time to be one single flight.
(4) The holding out of a chronically delayed flight for more than four consecutive one-month periods represents one form of unrealistic scheduling and is an unfair or deceptive practice and an unfair method of competition within the meaning of 49 U.S.C. 41712.
(a)
(b)
(1) Owns or controls 10 percent or more of the securities of the other, with or without an accompanying power to vote;
(2) Is in control of the other within the meaning of section 408 of the Act;
(3) Has any of the interlocking relationships described in section 409 of the Act;
(4) Is jointly controlled with the other carrier, directly or indirectly by a third person;
(5) Provides general agency services for the other carrier.
(c)
(1) An air carrier and any affiliated foreign air carrier shall not engage in joint public relations activities at points served by both carriers which tend to pass off the services of one carrier as the services of the other carrier or as part of a unified system of which each is a part;
(2) Where one affiliated carrier provides general agency services for the other carrier, at points served by both carriers, it shall specifically identify all flights of the other carrier as flights of that carrier without reference to any relationship to the carrier performing the agency services;
(3) All forms of display (including aircraft insignia), scheduled publications, advertising, or printed matter employed by affiliated carriers shall not state or imply that the services of either carrier are performed in common with the other carrier or as part of a single system. In cases where it is necessary to indicate that any agency service is performed by one affiliated carrier for the other, the references to the carrier performing the agency should be sufficiently subordinated to the name of the other carrier as to emphasize the limited role of the agent;
(4) Telephone facilities at points served by both carriers should preserve the identity of the individual carriers;
(5) Where joint traffic or sales facilities are maintained by affiliated carriers, the separate identity of each carrier should be maintained by reasonably comparable use of display advertising, desk-space, personnel uniforms, and other facilities and activities;
(6) Where one carrier sells time payment tickets for travel over the other carrier (except interline travel), the application form should identify the carrier performing the transportation;
(7) The respective personnel of the affiliated carriers shall preserve the individual identity of the respective carriers in all public dealings.
(d)
(e)
It is the policy of the Board to consider the practice of an air carrier, foreign air carrier, or ticket agent, of stating to a prospective passenger by telephone or other means of communication that a reservation of space on a scheduled flight in air transportation is confirmed before a passenger has received a ticket specifying thereon his confirmed reserved space, to be an unfair or deceptive practice and an unfair method of competition in air transportation or the sale thereof within the
The Board considers any advertising or solicitation by a direct air carrier, indirect air carrier, or an agent of either, for passenger air transportation, a tour (i.e., a combination of air transportation and ground accommodations), or a tour component (e.g., a hotel stay) that states a price for such air transportation, tour, or tour component to be an unfair or deceptive practice, unless the price stated is the entire price to be paid by the customer to the air carrier, or agent, for such air transportation, tour, or tour component.
The Board considers that payments by air carriers and foreign air carriers to shippers, indirect air carriers, or foreign indirect air carriers for non-air transportation preparation of air cargo shipments are for services ancillary to the air transportation, and are not prohibited under section 403 of the Act.
(a)
(b)
(1) The air carrier selected should possess the necessary technical and managerial skills and economic strength to perform the assigned task in the recipient country to the credit of the United States. Where familiarity with the particular language and culture of the recipient country are important to the success of the project, weight should be given to the capabilities of all interested carriers in this regard, including particularly those which a route carrier may have acquired through service to the country or area.
(2) Where a single U.S. route carrier is serving or is certificated to serve the recipient country or the region in which it is located, and where initiation or continued operation of the route by such carrier is an important national interest objective of the United States, weight should be given to any evidence that an award of the contract to the route carrier as opposed to any other U.S. carrier would be held to achieve this objective.
(3) An air carrier performing a technical assistance contract will necessarily occupy a close special relationship with the airline and government of the recipient country. Over and above the terms of any specific contract, there is latent in such relationship the possibility of a relative preference for such carrier over a competing U.S. air carrier in matters of interline traffic, governmental restrictions, etc. Accordingly, where more than one U.S. route carrier is certificated to serve the recipient country and more than one such carrier wishes to perform the technical assistance, none of such carriers should be awarded the contract over the objection of
(4) Technical assistance contracts should contain realistic objectives and require competent performance at reasonable cost and within a reasonable period of time consistent with the ability of the foreign airline to become self-sufficient.
(5) Technical assistance contracts should not be awarded to a U.S. route carrier with major economic interests hostile to those of the U.S. route carrier serving the country.
(6) Technical assistance contracts should not be awarded to subsidized carriers except under special circumstances. Such circumstances should include at least a showing (i) that the subsidized carrier has special qualifications, the utilization of which is required in the national interest by the circumstances of a particular program, and (ii) that performance of the contract will not interfere with the primary business of the subsidized carrier which is to provide air transportation in the United States. In the latter connection, it is to be recognized that participation with maximum effectiveness in a technical assistance program would not only divert the attention of top management from certificated services but might also involve the assignment of the most competent senior operational and technical personnel, the diversion of funds at least on a short-term basis, and the possible transfer from certificated services of aircraft and related equipment. Normally, therefore, unless substantial evidence and arguments are produced to the contrary, participation by subsidized carriers in technical assistance programs will be considered inconsistent with the public interest.
(a) By Executive Order 11920, 41 FR 23665 (June 11, 1976), effective July 11, 1976, the President has authorized the issuance for public inspection of decisions by the Board in cases where the action of the Board is subject to the review or approval of the President in accordance with section 801 of the Federal Aviation Act. In the interest of national security, and in order to allow for consideration of appropriate action under Executive Order 11652, Executive Order 11920 provides that decisions shall be withheld from public disclosure for five days after submission to the President but may be released on or after the sixth day following receipt by the President as to all unclassified portions of the text if the Board is not notified by the Assistant to the President for National Security Affairs or his designee that all or part of the decision shall be withheld from public disclosure.
(b) It is the policy of the Board to release to the public all decisions by the Board in section 801 cases as promptly as possible following submission of such decision to the President. Upon receipt of notice by the Assistant to the President for National Security Affairs as required by the Executive Order, the Board shall promptly provide one copy for public inspection in the Docket Section and one copy for public inspection and copying in the Public Reference Room, and shall promptly thereafter print and process the decision for more general distribution in accordance with Board procedures. Where the Board is required to withhold portions of the text of its decision it shall make public those portions of its decision which may be publicly released. Where the Board is required to withhold public release of its decision in its entirety it shall nonetheless publicly indicate that its decision has been transmitted to the President. The Board shall not publicly indicate that its decision has been transmitted to the President in those cases in which the Assistant to the President for National Security Affairs or his designee determines that classification of the existence of the decision is appropriate and so informs the Board. The provisions are also applicable to decisions submitted to the President for review pursuant to section 801(b) of the Act.
Secs. 102, 105, 204, 401, 403, and 416 of the Federal Aviation Act of 1958, as amended; 72 Stat. 740, 743, 754, 758, 771; 49 U.S.C. 1302, 1305, 1324, 1371, 1373, and 1386.
(a) All operations of Federally authorized carriers are subject to the requirements of Title IV of the Act, including certification and tariff-filing requirements, unless otherwise exempted from one or more of those requirements by Board order or regulation.
(b) When any intrastate air carrier that in August 1, 1977, was operating primarily in intrastate air transportation regulated by a State receives the authority to provide interstate air transportation, any authority received from such State shall be considered to be part of its authority to provide air transportation received from the Board under Title IV of the Act, until suspended, amended, or terminated as provided under such title.
All certificate authority that the Department grants to U.S. air carriers in carrier selection proceedings will be awarded in the form of experimental certificates of five years' duration pursuant to section 401(d)(8) of the Federal Aviation Act. This provision does not alter or amend permanent certificates issued prior to January 1, 1985.
(Parts 400 to 1199)
49 U.S.C. 70101-70121.
The basis for the regulations in this chapter is the Commercial Space Launch Act of 1984, and applicable treaties and international agreements to which the United States is party.
These regulations set forth the procedures and requirements applicable to the authorization and supervision under 49 U.S.C. Subtitle IX, chapter 701, of commercial space transportation activities conducted in the United States or by a U.S. citizen. The regulations in this chapter do not apply to amateur rockets activities, as defined in 14 CFR 1.1, or to space activities carried out by the United States Government on behalf of the United States Government.
49 U.S.C. 70101-70121.
The Office of Commercial Space Transportation, referred to in these regulations as the “Office,” is a line of business within the Federal Aviation Administration and is located in the Federal Aviation Administration Headquarters, 800 Independence Avenue, SW., Room 331, Washington, DC 20591.
The Office is headed by an Associate Administrator to exercise the Secretary's authority to license or permit and otherwise regulate commercial space transportation and to discharge the Secretary's responsibility to encourage, facilitate, and promote commercial space transportation by the United States private sector.
As used in this chapter—
(1)
(ii) Under a permit, launch begins when any pre-flight ground operation at a U.S. launch site meets all of the following criteria:
(A) Is closely proximate in time to flight,
(B) Entails critical steps preparatory to initiating flight,
(C) Is unique to space launch, and
(D) Is inherently so hazardous as to warrant the FAA's regulatory oversight.
(2)
(ii) For launch of an orbital reusable launch vehicle (RLV) with a payload, launch ends after deployment of the payload. For any other orbital RLV, launch ends upon completion of the first sustained, steady-state orbit of an RLV at its intended location.
(iii) For a suborbital ELV or RLV launch, launch ends after reaching apogee if the flight includes a reentry, or otherwise after vehicle landing or impact on Earth, and after activities necessary to return the vehicle to a safe condition on the ground.
(1) An event that causes a fatality or serious injury (as defined in 49 CFR 830.2) to any person who is not associated with the flight;
(2) An event that causes damage estimated to exceed $25,000 to property not associated with the flight that is not located at the launch site or designated recovery area;
(3) An unplanned event occurring during the flight of a launch vehicle resulting in the impact of a launch vehicle, its payload or any component thereof:
(i) For an expendable launch vehicle, outside designated impact limit lines; and
(ii) For a reusable launch vehicle, outside a designated landing site.
(4) For a launch that takes place with a person on board, a fatality or serious injury to a space flight participant or crew member.
(1) An outdoor location, structure, or cluster of structures that may be occupied by people;
(2) Sections of roadways and waterways that are frequented by automobile and boat traffic; or
(3) Agricultural lands, if routinely occupied by field workers.
(1) Any unplanned event occurring during the reentry of a reentry vehicle resulting in the impact of the reentry vehicle, its payload, or any component thereof, outside a designated reentry site;
(2) An event that causes a fatality or serious injury (as defined in 49 CFR 830.2) to any person who is not associated with the reentry;
(3) An event that causes damage estimated to exceed $25,000 to property not associated with the reentry and not located within a designated reentry site; and
(4) For a reentry that takes place with a person on board, a fatality or serious injury to a space flight participant or crew member.
(1) Has the ability to control, in real time, a launch or reentry vehicle's flight path, and
(2) Is not on board the controlled vehicle.
(1) Any individual who is a citizen of the United States;
(2) Any corporation, partnership, joint venture, association, or other entity organized or existing under the laws of the United States or any State; and
(3) Any corporation, partnership, joint venture, association, or other entity which is organized or exists under the laws of a foreign nation, if the controlling interest in such entity is held by an individual or entity described in paragraph (1) or (2) of this definition.
49 U.S.C. 70101-70121.
This part establishes procedures for issuing regulations to implement 49 U.S.C. Subtitle IX, chapter 701, and for eliminating or waiving requirements for licensing or permitting of commercial space transportation activities under that statute.
(a) Any person may petition the Associate Administrator to:
(1) Issue, amend, or repeal a regulation to eliminate as a requirement for a license or permit any requirement of Federal law applicable to commercial space launch and reentry activities and the operation of launch and reentry sites;
(2) Waive any such requirement in the context of a specific application for a license or permit; or
(3) Waive the requirement for a license.
(b) Each petition filed under this section must:
(1) Be submitted in duplicate to the:
(i) Office of Commercial Space Transportation, Federal Aviation Administration, 800 Independence Avenue, SW., Room 331, Washington, DC 20591; or
(ii) Be submitted in duplicate to the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590;
(2) Set forth the text or substance of the regulation or amendment proposed, the regulation to be repealed, the licensing or permitting requirement to be eliminated or waived, or the type of license or permit to be waived;
(3) In the case of a petition for a waiver of a particular licensing or permitting requirement, explain the nature and extent of the relief sought;
(4) Contain any facts, views, and data available to the petitioner to support the action requested; and
(5) In the case of a petition for a waiver, be submitted at least 60 days before the proposed effective date of the waiver unless good cause for later submission is shown in the petition.
(c) A petition for rulemaking filed under this section must contain a summary, which the Associate Administrator may cause to be published in the
(1) A brief description of the general nature of the action requested; and
(2) A brief description of the pertinent reasons presented in the petition for instituting the rulemaking.
(d) A petition filed under this section may request, under 14 CFR 413.9, that the Department withhold certain trade secrets or proprietary commercial or financial data from public disclosure.
(a)
(b)
(c)
(d)
(e)
(1) There is a significant additional fact and the reason it was not included in the original petition;
(2) FAA made an important factual error in our denial of the original petition; or
(3) The denial by the FAA is not in accordance with the applicable law and regulations.
(a) Unless the Associate Administrator finds, for good cause, that notice is impractical, unnecessary, or contrary to the public interest, a notice of proposed rulemaking is issued and interested persons are invited to participate in proceedings related to each substantive rule proposed.
(b) Unless the Associate Administrator determines that notice and comment is necessary or desirable, interpretive rules, general statements of policy, and rules relating to organization, procedure, or practice are issued as final rules without notice or other proceedings.
(c) In the Associate Administrator's discretion, interested persons may be invited to participate in the rulemaking proceedings described in § 404.19 of this Subpart.
(a) Any person may petition the Associate Administrator for an extension of time to submit comments in response to a notice of proposed rulemaking. The petition shall be submitted in duplicate not less than three days before expiration of the time stated in the notice. The filing of the petition does not automatically extend the time for petitioner's comments.
(b) The Associate Administrator grants the petition only if the petitioner shows a substantive interest in the proposed rule and good cause for the extension, and if the extension is in the public interest. If an extension is granted, it is granted as to all persons and is published in the
All timely comments are considered before final action is taken on a rulemaking proposal. Late filed comments may be considered to the extent possible, provided they do not cause undue additional expense or delay.
The FAA may initiate other rulemaking proceedings, if necessary or desirable. For example, it may invite interested people to present oral arguments, participate in conferences, appear at informal hearings, or participate in any other proceedings.
(a) Sections 556 and 557 of Title 5, United States Code, do not apply to
(b) The Associate Administrator designates a representative to conduct any hearing held under this part. The FAA Chief Counsel designates a legal officer for the hearing.
49 U.S.C. 70101-70121.
Each licensee or permittee must allow access by and cooperate with Federal officers or employees or other individuals authorized by the Associate Administrator to observe licensed facilities and activities, including launch sites and reentry sites, as well as manufacturing, production, testing, and training facilities, or assembly sites used by any contractor, licensee, or permittee to produce, assemble, or test a launch or reentry vehicle and to integrate a payload with its launch or reentry vehicle. Observations are conducted to monitor the activities of the licensee, permittee, or contractor at such time and to such extent as the Associate Administrator considers reasonable and necessary to determine compliance with the license or permit or to perform the Associate Administrator's responsibilities pertaining to payloads for which no Federal license, authorization, or permit is required.
(a) The FAA may modify a license or permit issued under this chapter upon application by the licensee or permittee or upon the FAA's own initiative, if the FAA finds that the modification is consistent with the requirements of the Act.
(b) The FAA may suspend or revoke any license or permit issued to such licensee or permittee under this chapter if the FAA finds that a licensee or permittee has substantially failed to comply with any requirement of the Act, any regulation issued under the Act, the terms and conditions of a license or permit, or any other applicable requirement; or that public health and safety, the safety of property, or any national security or foreign policy interest of the United States so require.
(c) Unless otherwise specified by the Office, any modification, suspension or revocation made by the Office under this section:
(1) Takes effect immediately; and
(2) Continues in effect during any review of such action under Part 406 of this chapter.
(d) Whenever the FAA takes any action under this section, the FAA immediately notifies the licensee or permittee in writing of the FAA's finding and the action, which the FAA has taken or proposes to take regarding such finding.
The Associate Administrator may immediately terminate, prohibit, or suspend a licensed or permitted launch, reentry, or operation of a launch or reentry site if the Associate Administrator determines that—
(a) The licensed or permitted launch, reentry, or operation of a launch or reentry site is detrimental to public health and safety, the safety of property, or any national security or foreign policy interest of the United States; and
(b) The detriment cannot be eliminated effectively through the exercise of other authority of the Office.
49 U.S.C. 70101-70121.
(a) Pursuant to 49 U.S.C. 70110, the following are entitled to a determination on the record after an opportunity for a hearing in accordance with 5 U.S.C. 554.
(1) An applicant for a license and a proposed transferee of a license regarding any decision to issue or transfer a license with conditions or to deny the issuance or transfer of such license;
(2) An owner or operator of a payload regarding any decision to prevent the launch or reentry of the payload;
(3) A licensee regarding any decision to suspend, modify, or revoke a license or to terminate, prohibit, or suspend any licensed activity;
(4) An applicant for a permit regarding an FAA decision to issue a permit with conditions or to deny the issuance of the permit; and
(5) A permittee regarding any decision to suspend, modify, or revoke a permit or to terminate, prohibit, or suspend any permitted activity.
(b) An administrative law judge will be designated to preside over any hearing held under this part.
(a) The FAA will make decisions about license, permit, and payload actions under this subpart based on written submissions unless the administrative law judge requires an oral presentation.
(b) Submissions must include a detailed exposition of the evidence or arguments supporting the petition. Where an applicant must demonstrate an equivalent level of safety or fidelity, the applicant must make a clear and convincing demonstration.
(c) Petitions shall be filed as soon as practicable, but in no event more than 30 days after issuance of decision or finding under § 406.1.
(a) The Associate Administrator, who shall make the final decision on the matter at issue, shall review the recommended decision of the administrative law judge. The Associate Administrator shall make such final decision within thirty days of issuance of the recommended decision.
(b) The authority and responsibility to review and decide rests solely with the Associate Administrator and may not be delegated.
(a)
(b)
(c)
(1) Pay the amount of the proposed civil penalty or an agreed upon amount, in which case the agency attorney will issue either an order imposing civil penalty or a compromise order in that amount.
(2) Submit to the agency attorney one of the following:
(i) Written information, including documents and witnesses statements, demonstrating that a violation did not occur or that a penalty, or the amount of the proposed 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 document 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.
(3) Request that a final notice of proposed civil penalty be issued so that the respondent may request a hearing in accordance with paragraph (g) of this section.
(d)
(1) The agency attorney issues a final notice if one of the following occurs:
(i) The respondent fails to respond to the notice of proposed civil penalty not later than 30 days after the date the respondent received the notice of proposed civil penalty.
(ii) The parties have not agreed to a resolution of the action after participating in informal procedures under paragraph (c)(2) of this section.
(iii) The respondent requests the issuance of a final notice in accordance with paragraph (c)(3) of this section.
(2) Not later than 15 days after the date the respondent received the final notice of proposed civil penalty, the respondent shall do one of the following:
(i) Submit the amount of the proposed civil penalty or an agreed-upon amount, in which case the agency attorney issues either an order imposing civil penalty or a compromise order in that amount.
(ii) Request a hearing in accordance with paragraph (g) of this section.
(e)
(1) The agency attorney either issues an order imposing civil penalty, or another document becomes an order imposing civil penalty, as described below.
(i) The agency attorney issues an order imposing civil penalty if, in response to a notice of proposed civil penalty or a final notice of proposed civil penalty, the respondent pays or agrees to pay a civil penalty in the amount proposed or an agreed upon amount (other than an agreement for a compromise order under paragraph (f) of this section).
(ii) Unless the respondent requests a hearing not later than 15 days after the date the respondent received a final notice of proposed civil penalty, the final notice of proposed civil penalty becomes an order imposing civil penalty.
(iii) Unless an appeal is filed with the FAA decisionmaker in accordance with § 406.175, if the administrative law judge finds that a violation occurred and determines that a civil penalty, in an amount found appropriate by the administrative law judge, is warranted, an initial decision of an administrative law judge under subpart B of this part becomes an order imposing civil penalty.
(iv) Unless a complaint is filed with a United States district court in accordance with § 406.176, if the FAA decisionmaker finds that a violation occurred and determines that a civil penalty, in an amount found appropriate by the FAA decisionmaker, is warranted, a final decision and order of the FAA decisionmaker under subpart B of this part becomes an order imposing civil penalty. If a person seeks judicial review not later than 60 days after the final decision and order has been served on the respondent, the final decision and order is stayed.
(2) [Reserved]
(f)
(1) The respondent agrees to pay a civil penalty.
(2) The FAA makes no finding of a violation.
(3) The compromise order may not be used as evidence of a prior violation in any subsequent civil penalty action, license, or permit action.
(g)
(1) The respondent must file a written request for hearing with the Federal Docket Management System (U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590) and must serve a copy of the request on the agency attorney. Sections 406.113 and 406.115 state how filing and service must be done.
(2) The request for hearing must be dated and signed.
(h)
(i)
(j)
(1) An order imposing civil penalty issued by an agency attorney under paragraph (e)(1)(i) of this section.
(2) A final notice of proposed civil penalty that becomes an order imposing civil penalty under paragraph (e)(1)(ii) of this section.
(3) An initial decision of an administrative law judge that was not appealed to the FAA decisionmaker.
(4) A compromise order under paragraph (f) of this section.
(k)
(a)
(1) A civil penalty action in which the respondent has requested a hearing under § 406.9.
(2) [Reserved]
(b) [Reserved]
For the purpose of this part:
(a)
(1) The following officials have the authority to act as the agency attorney under this part: The Deputy Chief Counsel; the Assistant Chief Counsel for Enforcement; the Assistant Chief Counsel for Regulations; the Assistant
(2) An agency attorney may not include:
(i) The Chief Counsel or the Assistant Chief Counsel for Litigation;
(ii) Any attorney on the staff of the Assistant Chief Counsel for Litigation who advises the FAA decisionmaker regarding an initial decision or any appeal to the FAA decisionmaker; or
(iii) 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.
(b)
(2) An agency employee engaged in the performance of investigative or prosecutorial functions must 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.
(a) Any party may appear and be heard in person.
(b) Any party may be accompanied, represented, or advised by an attorney or representative designated by the party.
(1) An attorney or representative who represents a party must file a notice of appearance in the action with the Docket Management System and must serve a copy of the notice of appearance on each other party before participating in any proceeding governed by this subpart.
(2) The attorney or representative must include his or her name, address, and telephone number in the notice of appearance.
(3) That attorney or representative in any proceeding governed by this subpart may examine the party.
(4) Service of a document on the party's attorney or representative is considered to be service on the party.
(c) An agency attorney represents the complainant.
(a)
(1) Give notice of, and hold, prehearing conferences and hearings;
(2) Administer oaths and affirmations;
(3) Issue subpoenas authorized by law and 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)
(2) The administrative law judge must file with the FDMS a copy of each ruling and order issued by the administrative law judge, except those portions that contain confidential information.
(3) The administrative law judge must file with the FDMS, or instruct the court reporter to file with the FDMS, a copy of each transcript and exhibit, except those portions that contain confidential information.
(4) The administrative law judge must maintain any confidential information filed in accordance with § 406.117 and deliver it to the Assistant Chief Counsel for Litigation when the
(c)
(d)
(a)
(b)
(1) Consistent with these rules;
(2) Warranted by existing law or that a good faith argument exists for extension, modification, or reversal of existing law; and
(3) Not unreasonable or unduly burdensome or expensive, not made to harass any person, not made to cause unnecessary delay, not made to cause needless increase in the cost of the proceedings, or for any other improper purpose.
(c)
(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.
(a)
(2) 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 responses with the Federal Docket Management System or submit them to administrative law judge, except as provided in 406.143.
(b)
(c)
(d)
(1) Each document must be legible. It may be handwritten, typewritten, or printed from a computer.
(2) Each document must have a caption on its first page, clearly visible, with the following information:
(i) “FAA Space Adjudication.”
(ii) Case name, such as “In the matter of X Corporation.”
(iii) FAA Case Number and FDMS docket number, if assigned.
(iv) Name of the document being filed, including the party filing the document, such as “Respondent's Motion to Dismiss.”
(v) “Confidential information filed with administrative law judge” or “Confidential information filed with Assistant Chief Counsel for Litigation” if the party is filing confidential information under 406.117.
(3) The document must be capable of being scanned and be easy to read both in paper form and as scanned into the electronic docket. A document that meets the following specifications is capable of being scanned using automatic feeders and is easy to read both in paper form and as scanned into the electronic docket. Documents that do not meet these specifications may not be legible.
(i) On white paper.
(ii) On paper not larger than 8
(iii) In black ink.
(iv) Text double-spaced. Footnotes and long quotes may be single spaced.
(v) At least 12 point type.
(vi) Margins at least 1 inch on each side.
(vii) The original not bound or hole-punched, only held together with removable metal clips or the like. The copy that is filed or sent to the administrative law judge or Assistant Chief Counsel for Litigation, and the copy served on another party, need not meet this specification.
(viii) The original has no tabs. The copy that is filed or sent to the administrative law judge or Assistant Chief Counsel for Litigation, and the copy served on another party, need not meet this specification.
(e)
(f)
(1) 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.
(2) Through the Internet at
(3) By requesting it from the FDMS and paying reasonable costs.
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(a)
(1) Place the information in a separate sealed envelope and clearly mark the envelope “CONFIDENTIAL.” At least the first page of the document in the envelope also must be marked “CONFIDENTIAL.”
(2) Attach to this envelope a cover document marked “Confidential information filed with administrative law judge” or “Confidential information filed with Assistant Chief Counsel for Litigation.” The cover document must include, at the least, a short statement of what is being filed, such as “Respondent's motion for confidentiality order.”
(3) Unless such a motion has already been granted, enclose a motion for confidentiality order in accordance with paragraph (c) of this section. The motion must be in the sealed envelope if it contains confidential information; otherwise the motion must be outside of the sealed envelope.
(b)
(c)
(1) The party must state the specific grounds for withholding the information from the public.
(2) If the party claims that the information is protected under 49 U.S.C. 70114, and if both the complainant and the respondent agree that the information is protected under that section, the administrative law judge must grant the motion. If one party does not agree that the information is protected under 49 U.S.C. 70114 the administrative law judge must decide. Either party may file an interlocutory appeal of right under § 406.173(c).
(3) If the party claims that the information should be protected on grounds other than those provided by 49 U.S.C. 70114 the administrative law judge must grant the motion if, based on the
(4) If the administrative law judge determines that the information is not necessary to decide the case or would not otherwise lead to the discovery of relevant material, the administrative law judge must preclude any inquiry into the matter by any party.
(5) 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.
(6) If the administrative law judge determines that the requested material is necessary to decide the case, or would otherwise lead to the discovery of relevant material, and that a confidentiality order is warranted, the administrative law judge must—
(i) Provide an opportunity for review of the document by the attorneys of record off the record.
(ii) Provide procedures for excluding the information from the record, or order that portion of the record that includes confidential information be closed.
(iii) Order that the parties must not disclose the information in any manner and the parties must not use the information in any other proceeding.
(7) If an administrative law judge orders a record closed, in whole or in part:
(i) The closed record is not available to the public.
(ii) The closed record is available to the parties' attorneys of record.
(iii) The administrative law judge may determine whether the closed record is available to the parties, the parties' representatives, or other persons such as witnesses for a party.
(iv) No party, attorney of record, representative of record, or person who receives information from such persons, may disclose information that has been protected under this section except to a person authorized by this section or the administrative law judge to receive it.
(v) If a person other than one authorized by this section desires to view or copy a closed record, the person must file a motion to open the record.
(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 the FAA decisionmaker, 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.
Before an appeal is filed with the FAA decisionmaker, the parties may seek an extension of time as follows:
(a)
(b)
(c)
Waivers of any rights provided by statute or regulation must be in writing or by stipulation made at a hearing and entered into the record. The parties must set forth the precise terms of the waiver and any conditions.
(a)
(2)
(3)
(i) The facts alleged.
(ii) Any requirement of the Act, a regulation issued under the Act, or any term or condition of a license or permit issued or transferred under the Act allegedly violated by the respondent.
(iii) The proposed civil penalty.
(b)
(2)
(3)
(4)
(ii)
(iii)
(iv)
(5)
(a)
(1) Not later than 15 days before the scheduled date of a hearing, a party may amend a complaint or an answer without the consent of the administrative law judge.
(2) Less than 15 days before the scheduled date of a hearing, the administrative law judge may allow amendment of a complaint or an answer only for good cause shown in a motion to amend.
(b)
At any time before or during a hearing, the complainant may withdraw a complaint or a party may withdraw a request for a hearing without the consent of the administrative law judge. If the complainant withdraws the complaint or a party withdraws the request for a hearing and the answer, the administrative law judge must dismiss the proceedings under this subpart with prejudice.
(a) A person may file with the Federal Docket Management System and serve on each other party a motion for leave to intervene as party in an adjudication. Except for good cause shown, a motion for leave to intervene must be filed not later than 10 days before the hearing.
(b) The administrative law judge may grant a motion for leave to intervene if the administrative law judge finds that—
(1) Intervention will not unduly broaden the issues or delay the proceedings, and
(2) The intervener will be bound by any order or decision entered in the action or the intervener has a property, financial, or other legitimate interest that may not be addressed adequately by the parties.
(c) The administrative law judge may determine the extent to which an intervener may participate in the proceedings.
(a)
(b)
(1) The joint schedule may include, but need not be limited to, times for requests for discovery, any objections to discovery requests, responses to discovery requests, submission of prehearing motions, responses to prehearing motions, exchange of exhibits to be introduced at the hearing, and lists of witnesses that may be called at the hearing.
(2) Each party must sign the original joint schedule.
(c)
(d)
(e)
(f)
(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.
(a)
(b)
(c)
(d)
(e)
(1)
(2)
(3)
(f)
(2)
(i)
(ii)
(iii)
(3)
(4)
(5)
(6)
(7)
(8)
(i)
(ii)
(iii)
(a)
(b)
(c)
(d)
(e)
(f)
(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)
(h)
(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)
(1) A party must supplement or amend any response to a question requesting the identity and location of any person having knowledge of discoverable matters.
(2) A party must 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 must 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)
(1)
(2)
(3)
(4)
(k)
(2) A party must file a motion for leave to serve more than 30 interrogatories on a party before serving additional interrogatories on a party. The administrative law judge must grant the motion only if the party shows good cause for the party's failure to inquire about the information previously and that the information cannot reasonably be obtained using less burdensome discovery methods or be obtained from other sources.
(3) A party must answer each interrogatory separately and completely in writing.
(4) A party, or the party's attorney or representative of record, must sign the party's responses to interrogatories.
(5) If a party objects to an interrogatory, the party must state the objection and the reasons for the objection.
(6) An opposing party may offer into evidence any part or all of a party's responses to interrogatories at a hearing under this subpart to the extent that the response is relevant, material, and not repetitious.
(l)
(1)
(2)
(3)
(m)
(n)
(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.
(a)
(b)
(c)
(d)
(a)
(b)
(c)
The administrative law judge must issue an initial decision or must 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 must prove the party's case or defense by a preponderance of reliable, probative, and substantial evidence.
(a) Except in the case of an affirmative defense, in a civil penalty adjudication the burden of proof is on the complainant.
(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.
A party whose evidence has been excluded by a ruling of the administrative law judge may offer the evidence for the record on appeal.
An employee of the FAA may not be called as an expert or opinion witness for any party other than the agency, in any proceeding governed by this part. An employee of a respondent may not be called as an expert or opinion witness for the complainant in any proceeding governed by this part to which the respondent is a party.
(a)
(b)
(c)
(a)
(b)
(a)
(b) A person may keep the original document, data, or other evidence, with the consent of the administrative law judge, by substituting a legible copy for the record.
(a)
(b)
(c)
(a)
(b)
(c)
(a)
(b)
(c)
(1) A ruling or order by the administrative law judge barring a party, or a party's attorney or representative, from the proceedings.
(2) A ruling or order by the administrative law judge allegedly in violation of the limitations on the administrative law judge under § 406.109(c).
(3) Failure of the administrative law judge to grant a motion for a confidentiality order based on 49 U.S.C. 70114, under § 406.117(c)(2).
(4) Failure of the administrative law judge to dismiss the proceedings in accordance with § 406.135.
(d)
(e)
(a)
(b)
(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 during the hearing that support the appeal.
(c)
(1)
(2)
(d)
(1) A party must set forth, in detail, the party's specific objections to the initial decision or rulings in the appeal brief. A party also must 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 must specifically refer to the pertinent evidence contained in the record 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.
(e)
(1)
(2)
(f)
(g)
(h)
(i)
(j)
(1) The FAA decisionmaker may raise any issue, on the FAA decisionmaker's own initiative, that is required for proper disposition of the proceedings. The FAA decisionmaker will give the parties a reasonable opportunity to submit arguments on the new issues before making a decision on appeal. If an issue raised by the FAA decisionmaker requires the consideration of additional testimony or evidence, the FAA decisionmaker will remand the case to the administrative law judge for further proceedings and an initial decision related to that issue. If an issue raised by the FAA decisionmaker is solely an issue of law or the issue was addressed at the hearing but was not raised by a party in the briefs on appeal, a remand of the case to the administrative law judge for further proceedings is not required but may be provided in the discretion of the FAA decisionmaker.
(2) The FAA decisionmaker will issue the final decision and order of the Administrator on appeal in writing and will serve a copy of the decision and order on each party.
(3) A final decision and order of the FAA decisionmaker is precedent in any other civil penalty action under this part. 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.
(a)
(b)
(1) If the petition is based, in whole or in part, on allegations regarding the
(2) If the petition is based, in whole or in part, on new material not previously raised in the proceedings, the party must 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 must explain, in detail, why the new material was not discovered through due diligence prior to the hearing.
(c)
(d)
(e)
(f)
(a) A person may seek judicial review of a final decision and order of the FAA decisionmaker as provided in 5 U.S.C. chapter 7 and 28 U.S.C. 1331. A party seeking judicial review must file with a United States district court.
(b) In accordance with § 406.9(e)(iv), if a person seeks judicial review not later than 60 days after the final decision and order has been served on the respondent, the final decision and order is stayed.
(c) In accordance with § 406.9(i), if a respondent does not pay a civil penalty and does not file an appeal with the United States district court within 60 days after service of the final decision and order, the FAA may refer the order to the United States Department of Treasury or Department of Justice to collect the civil penalty.
49 U.S.C. 70101-70121.
(a) This part explains how to apply for a license or experimental permit. These procedures apply to all applications for issuing a license or permit, transferring a license, and renewing a license or permit.
(b) Use the following table to locate specific requirements:
(a) A person must obtain a license in accordance with this section, unless eligible for an experimental permit under paragraph (f) of this section.
(b) A person must obtain a license to—
(1) Launch a launch vehicle from the United States;
(2) Operate a launch site within the United States;
(3) Reenter a reentry vehicle in the United States; or
(4) Operate a reentry site within the United States.
(c) A person who is a U.S. citizen or an entity organized under the laws of the United States or any State must obtain a license to—
(1) Launch a launch vehicle outside the United States;
(2) Operate a launch site outside the United States;
(3) Reenter a reentry vehicle outside the United States; or
(4) Operate a reentry site outside the United States.
(d) A foreign entity in which a United States citizen has a controlling interest must obtain a license to launch a launch vehicle from or to operate a launch site in—
(1) Any place that is outside the territory or territorial waters of any nation, unless there is an agreement in force between the United States and a foreign nation providing that such foreign nation has jurisdiction over the launch or the operation of the launch site; or
(2) The territory of any foreign nation, including its territorial waters, if there is an agreement in force between the United States and that foreign nation providing that the United States has jurisdiction over the launch or the operation of the launch site.
(e) A foreign entity in which a U.S. citizen has a controlling interest must obtain a license to reenter a reentry vehicle or to operate a reentry site in—
(1) Any place that is outside the territory or territorial waters of any nation, unless there is an agreement in force between the United States and a foreign nation providing that such foreign nation has jurisdiction over the reentry or the operation of the reentry site; or
(2) The territory of any foreign nation if there is an agreement in force between the United States and that foreign nation providing that the United States has jurisdiction over the reentry or the operation of the reentry site.
(f) A person, individual, or foreign entity otherwise requiring a license under this section may instead obtain an experimental permit to launch or reenter a reusable suborbital rocket under part 437 of this chapter.
A prospective applicant must consult with the FAA before submitting an application to discuss the application process and possible issues relevant to the FAA's licensing or permitting decision. Early consultation helps an applicant to identify possible regulatory issues at the planning stage when changes to an application or to proposed licensed or permitted activities are less likely to result in significant delay or costs to the applicant.
(a) Form. An application must be in writing, in English and filed in duplicate with the Federal Aviation Administration, Associate Administrator for Commercial Space Transportation, Room 331, 800 Independence Avenue, SW., Washington, DC 20591. Attention: Application Review.
(b)
(1) The name and address of the applicant;
(2) The name, address, and telephone number of any person to whom inquiries and correspondence should be directed; and
(3) The type of license or permit for which the applicant is applying.
(c)
(1) For a corporation: An officer or other individual authorized to act for the corporation in licensing or permitting matters.
(2)
(3) For a joint venture, association, or other entity: An officer or other individual authorized to act for the joint venture, association, or other entity in licensing or permitting matters.
(d)
(1) Identify the safety approval in the application and explain the proposed use of the approved safety element.
(2) Show that the proposed use of the approved safety element is consistent with the designated scope specified in the safety approval.
(3) Certify that the safety element will be used according to any terms and conditions of the issued safety approval.
(e)
(a) Any person furnishing information or data to the FAA may request in writing that trade secrets or proprietary commercial or financial data be treated as confidential. The request must be made at the time the information or data is submitted, and state the period of time for which confidential treatment is desired.
(b) Information or data for which any person or agency requests confidentiality must be clearly marked with an identifying legend, such as “Proprietary Information,” “Proprietary Commercial Information,” “Trade Secret,” or “Confidential Treatment Requested.” Where this marking proves impracticable, a cover sheet containing the identifying legend must be securely attached to the compilation of information or data for which confidential treatment is requested.
(c) If a person requests that previously submitted information or data be treated confidentially, the FAA will do so to the extent practicable in light of any prior distribution of the information or data.
(d) Information or data for which confidential treatment has been requested or information or data that qualifies for exemption under section 552(b)(4) of Title 5, United States Code, will not be disclosed to the public unless the Associate Administrator determines that the withholding of the information or data is contrary to the public or national interest.
The FAA will initially screen an application to determine whether it is complete enough for the FAA to start its review. After completing the initial screening, the FAA will notify the applicant in writing of one of the following:
(a) The FAA accepts the application and will initiate the reviews required to make a decision about the license or permit; or
(b) The application is so incomplete or indefinite that the FAA cannot start to evaluate it. The FAA will reject it and notify the applicant, stating each reason for rejecting it and what action the applicant must take for the FAA to accept the application. The FAA may return a rejected application to the applicant or may hold it until the applicant takes the required actions.
The FAA's acceptance of an application does not mean it has determined that the application is complete. If, in addition to the information required by this chapter, the FAA requires other information necessary for a determination that public health and safety, safety of property, and national security and foreign policy interests of the United States are protected during the conduct of a licensed or permitted activity, an applicant must submit the additional information.
(a)
(b)
(c)
(a) An applicant must ensure the continuing accuracy and completeness of information furnished to the FAA as part of a pending license or permit application. If at any time the information an applicant provides is no longer accurate and complete in all material respects, the applicant must submit new or corrected information. As part of this submission, the applicant must recertify the accuracy and completeness of the application under § 413.7. If an applicant does not comply with any of the requirements set forth in this paragraph, the FAA can deny the license or permit application.
(b) An applicant may amend or supplement a license or permit application at any time before the FAA issues or transfers the license or permit.
(c) Willful false statements made in any application or document relating to an application, license, or permit
After the FAA completes its reviews and makes the decisions required by this chapter, the FAA issues a license or permit to the applicant.
(a) The FAA informs an applicant, in writing, if it denies an application and states the reasons for denial.
(b) If the FAA has denied an application, the applicant may either:
(1) Attempt to correct any deficiencies identified and ask the FAA to reconsider the revised application. The FAA has 60 days or the number of days remaining in the review period, whichever is greater, within which to reconsider the decision; or
(2) Request a hearing in accordance with part 406 of this chapter, for the purpose of showing why the application should not be denied.
(c) An applicant whose license application is denied after reconsideration under paragraph (b)(1) of this section may request a hearing in accordance with paragraph (b)(2) of this section.
(a)
(b)
(2) The application may incorporate by reference information provided as part of the application for the expiring license or permit, including any modifications to the license or permit.
(3) An applicant must describe any proposed changes in its conduct of licensed or permitted activities and provide any additional clarifying information required by the FAA.
(c)
(d)
(e)
49 U.S.C. 106(g), 40113, 44701.
This part establishes procedures for obtaining a safety approval and renewing and transferring an existing safety approval. Safety approvals issued under this part may be used to support the application review for one or more launch or reentry license requests under other parts of this chapter.
(1) Launch vehicle, reentry vehicle, safety system, process, service, or any identified component thereof; or
(2) Qualified and trained personnel, performing a process or function related to licensed launch activities or vehicles.
This part applies to an applicant that wants to obtain a safety approval for any of the safety elements defined under this part and to persons granted a safety approval under this part. Any person eligible under this part may apply to become the holder of a safety approval.
(a) There is no citizenship requirement to obtain a safety approval.
(b) You may be eligible for a safety approval if you are—
(1) A manufacturer or designer of a launch or reentry vehicle or component thereof;
(2) The designer or developer of a safety system or process; or
(3) Personnel who perform safety critical functions in conducting a licensed launch or reentry.
(c) A safety approval applicant must have sufficient knowledge and expertise to show that the design and operation of the safety element for which safety approval is sought qualify for a safety approval.
(d) Only the safety elements defined under this part are eligible for a safety approval.
The applicant must consult with the FAA before submitting an application. Unless the applicant or the FAA requests another form of consultation, consultation is oral discussion with the FAA about the application process and the potential issues relevant to the FAA's safety approval decision.
(a) The application must be in writing, in English, and filed in duplicate
(b) The application must identify the following basic information:
(1) Name and address of the applicant.
(2) Name, address, and telephone number of any person to whom inquiries and correspondence should be directed.
(3) Safety element (i.e., launch vehicle, reentry vehicle, safety system, process, service, or any identified component thereof; or personnel) for which the applicant seeks a safety approval.
(c) The application must contain the following technical information:
(1) A Statement of Conformance letter, describing the specific criteria the applicant used to show the adequacy of the safety element for which a safety approval is sought, and showing how the safety element complies with the specific criteria.
(2) The specific operating limits for which the safety approval is sought.
(3) The following as applicable:
(i) Information and analyses required under this chapter that may be applicable to demonstrating safe performance of the safety element for which the safety approval is sought.
(ii) Engineering design and analyses that show the adequacy of the proposed safety element for its intended use, such that the use in a licensed launch or reentry will not jeopardize public health or safety or the safety of property.
(iii) Relevant manufacturing processes.
(iv) Test and evaluation procedures.
(v) Test results.
(vi) Maintenance procedures.
(vii) Personnel qualifications and training procedures.
(d) The application must be in English, legibly signed, dated, and certified as true, complete, and accurate by one of the following:
(1) For a corporation, an officer or other individual authorized to act for the corporation in licensing or safety approval matters.
(2) For a partnership or a sole proprietorship, a general partner or proprietor, respectively.
(3) For a joint venture, association, or other entity, an officer or other individual duly authorized to act for the joint venture, association, or other entity in licensing matters.
(e) Failure to comply with any of the requirements set forth in this section is sufficient basis for denial of a safety approval application.
(a) To ensure confidentiality of data or information in the application, the applicant must—
(1) Send a written request with the application that trade secrets or proprietary commercial or financial data be treated as confidential, and include in the request the specific time frame confidential treatment is required.
(2) Mark data or information that require confidentiality with an identifying legend, such as “Proprietary Information,” “Proprietary Commercial Information,” “Trade Secret,” or “Confidential Treatment Requested.” Where this marking proves impracticable, attach a cover sheet that contains the identifying legend to the data or information for which confidential treatment is sought.
(b) If the applicant requests confidential treatment for previously submitted data or information, the FAA will honor that request to the extent practicable in case of any prior distribution of the data or information.
(c) Data or information for which confidential treatment is requested or data or information that qualifies for exemption under section 552(b)(4) of Title 5, U.S.C., will not be disclosed to the public unless the Associate Administrator determines that withholding the data or information is contrary to the public or national interest.
(d) If the proposed criteria for evaluating a safety approval is secret, as classified by the U.S. Government, or the applicant wants it to remain proprietary or confidential, it cannot be used as a basis for issuance of a safety approval.
(a) The FAA will initially screen an application to determine if the application is sufficiently complete to enable the FAA to initiate the reviews or evaluations required under this part.
(b) After completing the initial screening, the FAA will inform the applicant in writing of one of the following:
(1) The FAA accepts the application and will begin the reviews or evaluations required for a safety approval determination under this part.
(2) The FAA rejects the application because it is incomplete or indefinite making initiation of the reviews or evaluations required for a safety approval determination under this part inappropriate.
(c) The written notice will state the reason(s) for rejection and corrective actions necessary for the application to be accepted. The FAA may return a rejected application to the applicant or may hold it until the applicant provides more information.
(d) The applicant may withdraw, amend, or supplement an application anytime before the FAA makes a final determination on the safety approval application by making a written request to the Associate Administrator. If the applicant amends or supplements the initial application, the revised application must meet all the applicable requirements under this part.
The applicant is responsible for the continuing accuracy and completeness of information provided to the FAA as part of the safety approval application. If at any time after submitting the application, circumstances occur that cause the information to no longer be accurate and complete in any material respect, the applicant must submit a written statement to the Associate Administrator explaining the circumstances and providing the new or corrected information. The revised application must meet all requirements under § 414.11.
(a) The FAA will determine whether a safety element is eligible for and may be issued a safety approval. We will base our determination on performance-based criteria, against which we may assess the effect on public health and safety and on safety of property, in the following hierarchy:
(1) FAA or other appropriate Federal regulations.
(2) Government-developed or adopted standards.
(3) Industry consensus performance-based criteria or standard.
(4) Applicant-developed criteria. Applicant-developed criteria are performance standards customized by the manufacturer that intends to produce the system, system component, or part. The applicant-developed criteria must define—
(i) Design and minimum performance;
(ii) Quality assurance system requirements;
(iii) Production acceptance test specifications; and
(iv) Continued operational safety monitoring system characteristics.
(b) The applicant must allow the FAA to make its proposed safety approval criteria available to the public as part of the approval process.
(a) The FAA will issue a safety approval to an applicant that meets all the requirements under this part.
(b) The scope of the safety approval will be limited by the scope of the safety demonstration contained in the application on which the FAA based the decision to grant the safety approval.
(c) The FAA will determine specific terms and conditions of a safety approval individually, limiting the safety approval to the scope for which the safety-approved launch or reentry element was approved. The terms and conditions will include reporting requirements tailored to the individual safety approval.
(d) A safety approval is valid for five years and may be renewed.
(e) If the FAA denies the application, the applicant may correct any deficiency the FAA identified and request a reconsideration of the revised application. The applicant also has the right to appeal a denial as set forth in subpart D of this part.
(a) The holder of a safety approval must ensure the continued accuracy and completeness of representations contained in the safety approval application, on which the approval was issued, for the entire term of the safety approval.
(b) If any representation contained in the application that is material to public health and safety or safety of property ceases to be accurate and complete, the safety approval holder must prepare and submit a revised application according to § 414.11 under this part. The safety approval holder must point out any part of the safety approval or the associated application that would be changed or affected by a proposed modification. The FAA will review and make a determination on the revised application under the terms of this part.
(c) If the FAA approves the revised application, the FAA will provide written notice to the holder, stating the terms and conditions to which the approval is subject.
The holder of a safety approval must maintain all records necessary to verify that the holder's activities are consistent with the representations contained in the application for which the approval was issued for the duration of the safety approval plus one year.
(a)
(b)
(2) The application may incorporate by reference information provided as part of the application for the expiring safety approval or any modification to that approval.
(3) Any proposed changes in the conduct of a safety element for which the FAA has issued a safety approval must be described and must include any added information necessary to support the fitness of the proposed changes to meet the criteria upon which the FAA evaluated the safety approval application.
(c)
(d)
(e)
(f)
(a) Only the FAA may approve a transfer of a safety approval.
(b) Either the holder of a safety approval or the prospective transferee may request a safety approval transfer.
(c) Both the holder and prospective transferee must agree to the transfer.
(d) The person requesting the transfer must submit a safety approval application according to § 414.11, must meet the applicable requirements of
(e) The FAA will approve a transfer of a safety approval only after all the approvals and determinations required under this chapter for a safety approval have been met. In conducting reviews and issuing approvals and determinations, the FAA may incorporate by reference any findings made part of the record to support the initial safety approval determination. The FAA may modify the terms and conditions of a safety approval to reflect any changes necessary because of a safety approval transfer.
(f) The FAA will provide written notice to the person requesting the safety approval transfer of our determination.
(g) If the FAA denies a transfer request, the applicant may correct any deficiency the FAA identified and request a reconsideration of the revised application. The applicant also has the right to appeal a denial as set forth in subpart D of this part.
Each holder of a safety approval must allow access by, and cooperate with, Federal officers or employees or other individuals authorized by the Associate Administrator to inspect manufacturing, production, testing, or assembly performed by a holder of a safety approval or its contractor. The FAA may also inspect a safety approval process or service, including training programs and personnel qualifications.
(a)
(b)
(1) Modify the terms and conditions of the safety approval; or
(2) Suspend or revoke the safety approval.
(c)
(1) Takes effect immediately; and
(2) Continues in effect during any reconsideration or appeal of such action under this part.
(d)
For each grant of a safety approval, the FAA will publish in the
(a) The FAA will give the safety approval applicant or holder, as appropriate, written notice stating the reason for issuing a denial or for modifying, suspending, or revoking a safety approval under this part.
(b) A safety approval applicant or holder is entitled to a determination
(c) An administrative law judge will be designated to preside over any hearing held under this part.
(a) Determinations in safety approval actions under this part will be made on the basis of written submissions unless the administrative law judge, on petition or on his or her own initiative, determines that an oral presentation is required.
(b) Submissions must include a detailed exposition of the evidence or arguments supporting the petition.
(c) Petitions must be filed as soon as practicable, but in no event more than 30 days after issuance of decision or finding under § 414.37.
(a) The Associate Administrator, who will make the final decision on the matter at issue, will review the recommended decision of the administrative law judge. The Associate Administrator will make such final decision within 30 days of issuance of the recommended decision.
(b) The authority and responsibility to review and decide rests solely with the Associate Administrator and may not be delegated.
49 U.S.C. 70101-70121.
This part prescribes requirements for obtaining a license to launch a launch vehicle, other than a reusable launch vehicle (RLV), and post-licensing requirements with which a licensee must comply to remain licensed. Requirements for preparing a license application are in part 413 of this subchapter.
(a)
(b)
To obtain a launch license, an applicant must obtain policy and safety approvals from the FAA. Requirements for obtaining these approvals are contained in subparts B, C and F of this part. Only a launch license applicant may apply for the approvals, and may apply for either approval separately and in advance of submitting a complete license application, using the application procedures contained in part 413 of this subchapter.
A payload determination is required for a launch license unless the proposed payload is exempt from payload review under § 415.53 of this part. The FAA conducts a payload review, as described in subpart D of this part, to make the determination. Either a launch license applicant or a payload owner or operator may request a review of its proposed payload using the application procedures contained in part 413 of this subchapter. Upon receipt of an application, the FAA may conduct a payload review independently of a launch license application.
To obtain a launch license, an applicant proposing to conduct a launch with flight crew or a space flight participant on board must demonstrate compliance with §§ 460.5, 460.7, 460.11, 460.13, 460.15, 460.17, 460.51 and 460.53 of this subchapter.
(a) The FAA issues a launch license to an applicant who has obtained all approvals and determinations required under this chapter for a license.
(b) A launch license authorizes a licensee to conduct a launch or launches in accordance with the representations contained in the licensee's application, subject to the licensee's compliance with terms and conditions contained in license orders accompanying the license, including financial responsibility requirements, and part 417 of this chapter.
The FAA may modify a launch license at any time by modifying or adding license terms and conditions to ensure compliance with the Act and regulations.
(a) Only the FAA may transfer a launch license.
(b) An applicant for transfer of a launch license shall submit a license application in accordance with part 413 of this subchapter and shall meet the requirements of part 415 of this subchapter. The FAA will transfer a license to an applicant who has obtained all of the approvals and determinations required under this chapter for a license. In conducting its reviews and issuing approvals and determinations, the FAA may incorporate by reference any findings made part of the record to support the initial licensing determination. The FAA may modify a license to reflect any changes necessary as a result of a license transfer.
Issuance of a launch license does not relieve a licensee of its obligation to comply with all applicable requirements of law or regulation that may apply to its activities, nor does issuance confer any proprietary, property or exclusive right in the use of any federal launch range or related facilities, airspace, or outer space.
The FAA issues a policy approval to a license applicant unless the FAA determines that a proposed launch would jeopardize U.S. national security or foreign policy interests, or international obligations of the United States. A policy approval is part of the licensing record on which the FAA's licensing determination is based.
(a) The FAA reviews a license application to determine whether it presents any issues affecting U.S. national security or foreign policy interests, or international obligations of the United States.
(b)
(2) The FAA consults with the Department of State to determine whether a license application presents any issues affecting U.S. foreign policy interests or international obligations.
(3) The FAA consults with other federal agencies, including the National Aeronautics and Space Administration, authorized to address issues identified under paragraph (a) of this section, associated with an applicant's launch proposal.
(c) The FAA advises an applicant, in writing, of any issue raised during a policy review that would impede issuance of a policy approval. The applicant may respond, in writing, or revise its license application.
In its launch license application, an applicant shall—
(a) Identify the model and configuration of any launch vehicle proposed for launch by the applicant.
(b) Identify structural, pneumatic, propellant, propulsion, electrical and avionics systems used in the launch vehicle and all propellants.
(c) Identify foreign ownership of the applicant as follows:
(1) For a sole proprietorship or partnership, identify all foreign ownership;
(2) For a corporation, identify any foreign ownership interests of 10% or more; and
(3) For a joint venture, association, or other entity, identify any participating foreign entities.
(d) Identify proposed launch vehicle flight profile(s), including:
(1) Launch site;
(2) Flight azimuths, trajectories, and associated ground tracks and instantaneous impact points;
(3) Sequence of planned events or maneuvers during flight;
(4) Range of nominal impact areas for all spent motors and other discarded mission hardware, within three standard deviations of the mean impact point (a 3-sigma footprint); and
(5) For each orbital mission, the range of intermediate and final orbits
The FAA notifies an applicant, in writing, if it has denied policy approval for a license application. The notice states the reasons for the FAA's determination. The applicant may respond to the reasons for the determination and request reconsideration.
(a) The FAA conducts a safety review to determine whether an applicant is capable of launching a launch vehicle and its payload without jeopardizing public health and safety and safety of property. The FAA issues a safety approval to a license applicant proposing to launch from a Federal launch range if the applicant satisfies the requirements of this subpart and has contracted with the Federal launch range for the provision of safety-related launch services and property, as long as an FAA launch site safety assessment shows that the range's launch services and launch property satisfy part 417 of this chapter. The FAA evaluates on an individual basis all other safety-related launch services and property associated with an applicant's proposal, in accordance with part 417 of this chapter. A safety approval is part of the licensing record on which the FAA's licensing determination is based.
(b) The FAA advises an applicant, in writing, of any issue raised during a safety review that would impede issuance of a safety approval. The applicant may respond, in writing, or revise its license application.
(a) An applicant shall maintain a safety organization and document it by identifying lines of communication and approval authority for all launch safety decisions. Lines of communication, both within the applicant's organization and between the applicant and any federal launch range providing launch services, shall be employed to ensure that personnel perform launch safety operations in accordance with range safety requirements and with plans and procedures required by this subpart. Approval authority shall be employed to ensure compliance with range safety requirements and with plans and procedures required by this subpart.
(b)
(a)
(b)
(c)
(1) Launch vehicle structure, including physical dimensions and weight;
(2) Hazardous and safety critical systems, including propulsion systems; and
(3) Drawings and schematics for each system identified under paragraph (c)(2) of this section.
(d)
(a)
(1) Launch readiness review procedures involving the applicant's flight safety personnel and Federal launch range personnel involved in the launch, as required by § 417.117(g) of this chapter.
(2) Procedures that ensure mission constraints, rules and abort procedures are listed and consolidated in a safety directive or notebook approved by licensee flight safety and Federal launch range personnel.
(3) Procedures that ensure currency and consistency of licensee and Federal launch range countdown checklists.
(4) Dress rehearsal procedures that—
(i) Ensure crew readiness under nominal and non-nominal flight conditions;
(ii) Contain criteria for determining whether to dispense with one or more dress rehearsals; and
(iii) Verify currency and consistency of licensee and Federal launch range countdown checklists.
(5) Procedures for ensuring the licensee's flight safety personnel adhere to the crew rest rules of § 417.113(f) of this chapter.
(b)
(c) An applicant must file procedures that ensure that licensee and Federal launch range personnel receive a copy of the communications plan required by paragraph (b) of this section, and that the Federal launch range concurs in the communications plan.
To obtain safety approval, an applicant must demonstrate compliance with § 417.129 of this chapter, for any proposed launch of a launch vehicle with a stage or component that will reach Earth orbit.
An applicant must file an accident investigation plan (AIP), that satisfies § 417.111(g) of this chapter, and contains the applicant's procedures for reporting and responding to launch accidents, launch incidents, or other mishaps, as defined by § 401.5 of this chapter.
The FAA notifies an applicant, in writing, if it has denied safety approval for a license application. The notice states the reasons for the FAA's determination. The applicant may respond to the reasons for the determination and request reconsideration.
The FAA reviews a payload proposed for launch to determine whether a license applicant or payload owner or operator has obtained all required licenses, authorization, and permits, unless the payload is exempt from review under § 415.53 of this subpart. If not otherwise exempt, the FAA reviews a payload proposed for launch to determine
The FAA does not review payloads that are—
(a) Subject to regulation by the Federal Communications Commission (FCC) or the Department of Commerce, National Oceanic and Atmospheric Administration (NOAA); or
(b) Owned or operated by the U.S. Government.
The FAA may review and issue findings regarding a proposed class of payload, e.g., communications, remote sensing or navigation. However, each payload is subject to compliance monitoring by the FAA before launch to determine whether its launch would jeopardize public health and safety, safety of property, U.S. national security or foreign policy interests, or international obligations of the United States. The licensee is responsible for providing current information, in accordance with § 415.79(a), regarding a payload proposed for launch not later than 60 days before a scheduled launch.
(a)
(b)
(1) The FAA consults with the Department of Defense to determine whether launch of a proposed payload or payload class would present any issues affecting U.S. national security.
(2) The FAA consults with the Department of State to determine whether launch of a proposed payload or payload class would present any issues affecting U.S. foreign policy interests or international obligations.
(3) The FAA consults with other federal agencies, including the National Aeronautics and Space Administration, authorized to address issues identified under paragraph (b) of this section associated with an applicant's launch proposal.
(c) The FAA advises a person requesting a payload determination, in writing, of any issue raised during a payload review that would impede issuance of a license to launch that payload or payload class. The person requesting payload review may respond, in writing, or revise its application.
(a) A person requesting review of a particular payload or payload class shall identify the following:
(1) Payload name;
(2) Payload class;
(3) Physical dimensions and weight of the payload;
(4) Payload owner and operator, if different from the person requesting payload review;
(5) Orbital parameters for parking, transfer and final orbits;
(6) Hazardous materials, as defined in § 401.5 of this chapter, and radioactive materials, and the amounts of each;
(7) Intended payload operations during the life of the payload; and
(8) Delivery point in flight at which the payload will no longer be under the licensee's control.
(b) [Reserved]
(a) The FAA issues a favorable payload determination unless it determines that launch of the proposed payload would jeopardize public health and
(b) Any person issued an unfavorable payload determination may respond to the reasons for the determination and request reconsideration.
A favorable payload determination issued for a payload or class of payload may be included by a license applicant as part of its application. However, any change in information provided under section 415.59 of this subpart must be reported in accordance with section 413.17 of this chapter. The FAA determines whether a favorable payload determination remains valid in light of reported changes and may conduct an additional payload review.
(a) This subpart F contains requirements that an applicant must meet to obtain a safety approval when applying for a license to launch an expendable launch vehicle from a non-Federal launch site. This subpart also contains administrative requirements for a safety review, such as when and how an applicant files the required information, and the requirements for the form and content of each submission.
(b) The requirements of this subpart apply to both orbital and suborbital expendable launch vehicles.
(c) An applicant must demonstrate, through the material filed with the FAA, its ability to comply with the requirements of part 417 of this chapter. To facilitate production of the information required by this subpart, an applicant should become familiar with the requirements of part 417 of this chapter.
(d) For a launch from an exclusive use launch site, where there is no licensed launch site operator, a launch operator must satisfy the requirements of this part and the public safety application requirements of part 420 of this chapter.
For the purposes of this subpart, the definitions of § § 417.3 and 401.5 of this chapter apply.
(a) The FAA conducts a safety review to determine whether an applicant is capable of conducting launch processing and flight without jeopardizing public health and safety and safety of property. The FAA issues a safety approval to a license applicant if the applicant satisfies the requirements of this subpart and demonstrates that it will meet the safety responsibilities and requirements of part 417 of this chapter.
(b) The FAA advises an applicant, in writing, of any issue raised during a safety review that would impede issuance of a safety approval. The applicant may respond, in writing, or amend its license application as required by § 413.17 of this chapter.
(c) An applicant must make available to the FAA upon request a copy of any information incorporated into a license application by reference.
(d) A safety approval is part of the licensing record on which the FAA bases its licensing determination.
(a) An applicant must participate in a pre-application consultation meeting, as required by § 413.5 of this chapter, prior to an applicant's preparation of the initial flight safety analysis required by § 415.115.
(b) At a pre-application consultation meeting, an applicant must provide as
(1)
(i) Launch vehicle;
(ii) Any flight termination system; and
(iii) All hazards associated with the launch vehicle and any payload, including the type and amounts of all propellants, explosives, toxic materials and any radionuclides.
(2)
(ii) For an applicant applying for a launch operator license under § 415.3(b), the planned range of trajectories and flight azimuths, and the range of apogees, perigees, and inclinations of any orbital objects and each impact location of any stage or other component.
(3)
(ii) Identity of any launch site operator of that site; and
(iii) Identification of any facilities at the launch site that will be used for launch processing and flight.
(a) An applicant must file a safety review document that contains all the information required by §§ 415.109—415.133. An applicant must file the information for a safety review document as required by the outline in appendix B of this part. An applicant must file a sufficiently complete safety review document, except for the ground safety analysis report, no later than six months before the applicant brings any launch vehicle to the proposed launch site.
(b) A launch operator's safety review document must:
(1) Contain a glossary of unique terms and acronyms used in alphabetical order;
(2) Contain a listing of all referenced standards, codes, and publications;
(3) Be logically organized, with a clear and consistent page numbering system and must identify cross-referenced topics;
(4) Use equations and mathematical relationships derived from or referenced to a recognized standard or text, and must define all algebraic parameters;
(5) Include the units of all numerical values provided; and
(6) Include a legend or key that identifies all symbols used for any schematic diagrams.
(c) An applicant's safety review document may include sections not required by appendix B of this part. An applicant must identify each added section by using the word “added” in front of the title of the section. In the first paragraph of the section, an applicant must explain any addition to the outline in appendix B of this part.
(d) If a safety review document section required by appendix B of this part does not apply to an applicant's proposed launch, an applicant must identify the sections in the application by the words “not applicable” preceding the title of the section. In the first paragraph of the section, an applicant must describe and justify why the section does not apply.
(e) An applicant may reference documentation previously filed with the FAA.
An applicant's safety review document must contain the following information:
(a)
(1) Boundaries of the launch site;
(2) Launch point location, including latitude and longitude;
(3) Identity of any launch site operator of that proposed site; and
(4) Identification of any facilities at the launch site that will be used for launch processing and flight.
(b)
(1) A written description of the launch vehicle. The description must include a table specifying the type and quantities of all hazardous materials on the launch vehicle and must include
(2) A drawing of the launch vehicle that identifies:
(i) Each stage, including strap-on motors;
(ii) Physical dimensions and weight;
(iii) Location of all safety critical systems, including any flight termination hardware, tracking aids, or telemetry systems;
(iv) Location of all major launch vehicle control systems, propulsion systems, pressure vessels, and any other hardware that contains potential hazardous energy or hazardous material; and
(v) For an unguided suborbital launch vehicle, the location of the rocket's center of pressure in relation to its center of gravity for the entire flight profile.
(c)
(d)
(1) One drawing must depict the proposed nominal flight profile with downrange depicted on the abscissa and altitude depicted on the ordinate axis. The nominal flight profile must be labeled to show each planned staging event and its time after liftoff from launch through orbital insertion or final impact; and
(2) The second drawing must depict instantaneous impact point ground traces for each of the nominal trajectory, the three-sigma left lateral trajectory and the three-sigma right lateral trajectory determined under § 417.207 of this chapter. The trajectories must be depicted on a latitude/longitude grid, and the grid must include the outlines of any continents and islands.
(e)
(f)
An applicant's safety review document must contain organizational charts and a description that shows that the launch operator's organization satisfies the requirements of § 417.103 of this chapter. An applicant's safety review document must also identify all persons with whom the applicant has contracted to provide safety-related goods or services for the launch of the launch vehicle.
(a) A safety review document must describe how the applicant will satisfy the personnel certification program requirements of § 417.105 of this chapter and identify by position those individuals who implement the program.
(b) An applicant's safety review document must contain a copy of its documentation that demonstrates how the launch operator implements the personnel certification program.
(c) An applicant's safety review document must contain a table listing each hazardous operation or safety critical task that certified personnel must perform. For each task, the table must identify by position the individual who reviews personnel qualifications and certifies personnel for performing the task.
(a)
(1) An applicant must file the proposed flight safety analysis methodology and the preliminary flight safety analysis products no later than 18 months for any orbital or guided suborbital launch vehicle, and nine months for any unguided suborbital launch vehicle, prior to bringing any launch vehicle to the proposed launch site.
(2) For a launch operator license, an applicant must file flight safety analysis products that account for the range of launch vehicles and flight trajectories applied for, or the worst case vehicle and trajectory under which flight will be attempted, no later than 6 months before the applicant brings any launch vehicle to the proposed launch site. For a launch specific license, an applicant must file flight safety analysis products that account for the actual flight conditions, no later than 6 months before the applicant brings any launch vehicle to the proposed launch site.
(3) The flight safety analysis performed by an applicant must be completed as required by subpart C of part 417 of this chapter. An applicant may identify those portions of the analysis that it expects to refine as the first proposed flight date approaches. An applicant must identify any analysis product subject to change, describe what needs to be done to finalize the product, and identify when before flight it will be finalized. If a license allows more than one launch, an applicant must demonstrate the applicability of the analysis methods to each of the proposed launches and identify any expected differences in the flight safety analysis methods among the proposed launches. Once licensed, a launch operator must perform a flight safety analysis for each launch using final launch vehicle performance and other data as required by subpart C of part 417 of this chapter and using the analysis methods approved by the FAA through the licensing process.
(b)
(c)
(d)
(a)
(b)
(1) An applicant must file an initial ground safety analysis report no later than 12 months for any orbital or guided suborbital launch vehicle, and nine months for an unguided suborbital launch vehicle, before the applicant brings any launch vehicle to the proposed launch site. An initial ground safety analysis report must be in a proposed final or near final form and identify any incomplete items. An applicant must document any incomplete items and track them to completion. An applicant must resolve any FAA comments on the initial report and file a complete ground safety analysis report, no later than two months before the applicant brings any launch vehicle to the proposed launch site. Furthermore, an applicant must keep its ground safety analysis report current. Any late developing change to a ground safety analysis report must be coordinated with the FAA as an application amendment as required by § 413.17 of this chapter as soon as the applicant identifies the need for a change.
(2) An applicant must file a ground safety analysis report that satisfies the ground safety analysis requirements of § 417.109 of this chapter, and subpart E of part 417 of this chapter.
(3) The person designated under § 417.103(b)(1) of this chapter and the person designated under § 417.103(b)(2) of this chapter must approve and sign the ground safety analysis report.
(c)
An applicant's safety review document must contain the plans required by § 417.111 of this chapter, except for the countdown plan of § 417.111(l) of this chapter. An applicant's launch plans do not have to be separate documents, and may be part of other applicant documentation. An applicant must incorporate each launch safety rule established under § 417.113 of this chapter into a related launch safety plan.
An applicant's safety review document must contain a generic launch processing schedule that identifies each review, rehearsal, and safety critical preflight operation to be conducted as required by §§ 417.117, 417.119, and 417.121 of this chapter. The launch schedule must also identify day of flight activities. The launch processing schedule must show each of these activities referenced to liftoff, such as liftoff minus three days.
(a) An applicant's safety review document must describe all computing systems and software that perform a safety-critical computer system function for any operation performed during launch processing or flight that could have a hazardous effect on the public as required by § 417.123 of this chapter.
(b) An applicant's safety review document must list and describe all safety-critical computer system functions involved in a proposed launch, including associated hardware and software interfaces. For each system with a safety-critical computer system function, an applicant's safety review document must:
(1) Describe all safety-critical computer system functions, including each safety-critical interface with any other system;
(2) Describe all systems, including all hardware and software, and the layout of each operator console and display;
(3) Provide flow charts or diagrams that show all hardware data busses, hardware interfaces, software interfaces, data flow, and power systems, and all operations of each safety-critical computer system function;
(4) Provide all logic diagrams and software designs;
(5) List all operator user manuals and documentation by title and date;
(6) Describe the computing system and software system safety process as required by § 417.123(a).
(7) Provide all results of computing system and software hazard analyses as required by § 417.123(c).
(8) Provide all plans and results of computing systems and software validation and verification as required by § 417.123(d).
(9) Provide all plans for software development as required by § 417.123(e).
An applicant's safety review document must identify any public safety-related policy, requirement, or practice that is unique to the proposed launch, or series of launches, as required by § 417.127 of this chapter. An applicant's safety review document must describe how each unique safety policy, requirement, or practice ensures the safety of the public.
(a)
(b)
(c)
(d)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(e)
(f)
(g)
(1) “Yes” if the applicant's system meets the requirement of part 417 of this chapter. The matrix must reference documentation that demonstrates compliance;
(2) “Not applicable” if the applicant's system design and operational environment are such that the requirement does not apply. For each such case, the applicant must demonstrate, in accordance with section 406.3(b), the non-applicability of that requirement as an attachment to the matrix; or
(3) “Equivalent level of safety” in each case where the applicant proposes to show that its system provides an equivalent level of safety through some means other than that required by part 417 of this chapter. For each such case, an applicant must clearly and convincingly demonstrate, as required by § 406.3(b), through a technical rationale within the matrix, or as an attachment, that the proposed alternative provides a level of safety equivalent to satisfying the requirement that it would replace.
(h)
(i)
(a)
(b)
(1) “Yes” if the applicant performs the system or component testing required by part 417 of this chapter. The matrix must reference documentation that demonstrates compliance;
(2) “Not applicable” if the applicant's system design and operational environment are such that the test requirement does not apply. For each such case, an applicant must demonstrate, as required by § 406.3(b), of the non-applicability of that requirement as an attachment to the matrix;
(3) “Similarity” if the test requirement applies to a component whose design is similar to a previously qualified component. For each such case, an applicant must demonstrate similarity by performing the analysis required by appendix E of part 417 of this chapter. The matrix, or an attachment, must contain the results of each analysis; or
(4) “Equivalent level of safety” in each case where the applicant proposes to show that its test program provides an equivalent level of safety through some means other than that required by part 417 of this chapter. For each such case, an applicant must clearly and convincingly demonstrate through a technical rationale, within the matrix or as an attachment, that the alternative provides a level of safety equivalent to satisfying the requirement that it replaces, as required by § 406.3(c).
(c)
(d)
(e)
(f)
(a) An applicant's safety review document must identify each flight safety system crew position and the role of that crewmember during launch processing and flight of a launch vehicle.
(b) An applicant's safety review document must describe the certification program for flight safety system crewmembers established to ensure compliance with §§ 417.105 and 417.311 of this chapter.
An applicant must demonstrate compliance with § 417.129 of this chapter, for any proposed launch of a launch vehicle with a stage or component that will reach Earth orbit.
The FAA notifies an applicant, in writing, if it has denied safety approval for a license application. The notice states the reasons for the FAA's determination. The applicant may respond to the reasons for the determination and request reconsideration.
An applicant shall provide the FAA with information for the FAA to analyze the environmental impacts associated with a proposed launch. The information provided by an applicant must be sufficient to enable the FAA to comply with the requirements of the National Environment Policy Act, 42 U.S.C. 4321
An applicant shall submit environmental information concerning:
(a) A proposed launch site not covered by existing environmental documentation;
(b) A proposed launch vehicle with characteristics falling measurably outside the parameters of existing environmental documentation;
(c) A proposed launch from an established launch site involving a vehicle with characteristics falling measurably outside the parameters of any existing environmental impact statement that applies to that site;
(d) A proposed payload that may have significant environmental impacts in the event of a mishap; and
(e) Other factors as determined by the FAA.
This appendix contains the format and numbering scheme for a safety review document to be filed as part of an application for a launch license as required by subpart F of part 415. The applicable sections of parts 413, 415, and 417 of this chapter are referenced in the outline below.
49 U.S.C. 70101-70121.
(a)
(1) The responsibilities of a launch operator conducting a licensed launch of an expendable launch vehicle; and
(2) The requirements for maintaining a launch license obtained under part 415 of this chapter. Parts 413 and 415 of this chapter contain requirements for preparing a license application to conduct a launch, including information
(b)
(2) The safety requirements of subparts B through E of this part apply to all licensed launches of expendable launch vehicles. See paragraphs (d) and (e) of this section for exceptions to this provision.
(c)
(1) Range flight plan approval,
(2) Missile system pre-launch safety package,
(3) Preliminary and final flight data packages,
(4) A tailored version of EWR 127-1,
(5) Range email to the FAA stating that the MIC was approved, or
(6) Operation approval.
(d)
(1) Range flight plan approval,
(2) Missile system pre-launch safety package,
(3) Preliminary and final flight data packages,
(4) A tailored version of EWR 127-1,
(5) Range email to the FAA stating that the waiver was approved, or
(6) Operation approval.
(e)
(f)
(1) The launch operator modifies the launch vehicle's operation or safety characteristics;
(2) The launch operator uses the launch vehicle, component, system, or subsystem in a new application;
(3) The FAA or the launch operator determines that a previously unforeseen or newly discovered safety hazard exists that is a source of significant risk to public safety; or
(4) The Federal launch range previously accepted a component, system, or subsystem, but did not then identify a noncompliance to a Federal launch range requirement.
(g)
For the purpose of this part,
(1) During the flight of an unguided suborbital rocket; or
(2) For an orbital launch vehicle during—
(i) The ascent to initial orbital insertion and through at least one complete orbit; and
(ii) Each subsequent orbital maneuver or burn from initial park orbit, or direct ascent to a higher or interplanetary orbit.
(1) The period during which a launch vehicle instantaneous impact point is over a populated or other protected area; or
(2) The period during which an object is subjected to a test condition.
(1) Results of launch vehicle component and system tests that represent similar characteristics for a launch vehicle component or system; and
(2) Data that is continuously updated as additional samples of a given component or system are tested.
(1) All hardware and software used to protect the public in the event of a launch vehicle failure; and
(2) The functions of any flight safety crew.
(1) Is a populated area;
(2) Is environmentally sensitive; or
(3) Contains a vital national asset.
A launch operator is responsible for ensuring the safe conduct of a licensed launch and for ensuring public safety and safety of property at all times during the conduct of a licensed launch.
(a) A launch operator must ensure that launch processing at a launch site in the United States satisfies the requirements of this part. Launch processing at a launch site outside the United States may be subject to the requirements of the governing jurisdiction.
(b) For a launch from a launch site licensed under part 420 of this chapter, a launch operator must—
(1) Conduct its operations as required by any agreements that the launch site operator has with any Federal and local authorities under part 420 of this chapter; and
(2) Coordinate with the launch site operator and provide any information on its activities and potential hazards necessary for the launch site operator to determine how to protect any other launch operator, person, or property at the launch site as required by the launch site operator's obligations under § 420.55 of this chapter.
(c) For a launch from an exclusive-use site, where there is no licensed launch site operator, a launch operator must satisfy the requirements of this
(a) A launch operator must ensure the representations contained in its application are accurate for the entire term of the license. A launch operator must conduct a licensed launch and carry out launch safety procedures in accordance with its application.
(b) After the FAA issues a launch license, a launch operator must apply to the FAA for modification of a launch license if—
(1) A launch operator proposes to conduct a launch or carry out a launch safety procedure or operation in a manner that is not authorized by the license; or
(2) Any representation contained in the license application that is material to public health and safety or safety of property would no longer be accurate and complete or would not reflect the launch operator's procedures governing the actual conduct of a launch. A representation is material to public health and safety or safety of property if it alters or affects the launch operator's launch plans or procedures, class of payload, orbital destination, type of launch vehicle, flight path, launch site, launch point, or any safety system, policy, procedure, requirement, criteria or standard.
(c) A launch operator must prepare and file an application to modify a launch license under part 413 of this chapter. The launch operator must identify any part of its license or license application that a proposed modification would change or affect.
(d) The FAA reviews all approvals and determinations required by this chapter to determine whether they remain valid in light of a proposed modification. The FAA approves a modification that satisfies the requirements of this part.
(e) Upon approval of a modification, the FAA issues to a launch operator either a written approval or a license order modifying the license if a stated term or condition of the license is changed, added or deleted. A written approval has the full force and effect of a license order and is part of the licensing record.
Before conducting a licensed launch from a Federal launch range, a launch operator must—
(a) Enter into an agreement with a Federal launch range to provide access to and use of U.S. Government property and services required to support a licensed launch from the facility and for public safety related operations and support. The agreement must be in effect for the conduct of any licensed launch; and
(b) Comply with any requirements of the agreement with the Federal launch range that may affect public safety and safety of property during the conduct of a licensed launch, including flight safety procedures and requirements.
(a) A launch operator must maintain all records necessary to verify that it conducts licensed launches according to representations contained in the licensee's application. A launch operator must retain records for three years after completion of all launches conducted under the license.
(b) If a launch accident or launch incident occurs, as defined by § 405.1 of this chapter, a launch operator must preserve all records related to the event until completion of any Federal investigation and the FAA advises the licensee not to retain the records. The launch operator must make available to Federal officials for inspection and copying all records that these regulations require the launch operator to maintain.
(a)
(b)
(2)
(i) Payload information required by § 415.59 of this chapter; and
(ii) Flight information, including the launch vehicle, planned flight path, staging and impact locations, and any on-orbit activity of the launch vehicle, including each payload delivery point.
(3)
(c)
(1)
(2)
(3)
(i) The launch operator:
(A) Must account for vehicle and mission specific input data;
(B) May reference previously approved analysis products and data that are applicable to the launch or data that is applicable to a series of launches;
(C) Must account for potential variations in input data that may affect any analysis product within the final 30 days before flight;
(D) Must file the analysis products using the same format and organization used in its license application; and
(E) May not change an analysis product within the final 30 days before flight unless the launch operator identified a process for making a change in that period as part of the launch operator's flight safety analysis process and the FAA approved the process by grant of a license to the launch operator.
(ii) A launch operator need not file the 30-day analysis if the launch operator:
(A) Demonstrates that the analysis filed during the license application process satisfies all the requirements of this subpart; and
(B) Demonstrates the analysis does not need to be updated to account for launch specific factors.
(4)
(5)
(6)
(7)
(a) To assist the U.S. Government in implementing Article IV of the 1975 Convention on Registration of Objects Launched into Outer Space, each launch operator must provide to the FAA the information required by paragraph (b) of this section for all objects placed in space by a licensed launch, including a launch vehicle and any components, except:
(1) Any object owned and registered by the U.S. Government; and
(2) Any object owned by a foreign entity.
(b) For each object that must be registered in accordance with this section, not later than 30 days following the conduct of a licensed launch, an operator must file the following information:
(1) The international designator of the space object(s);
(2) Date and location of launch;
(3) General function of the space object; and
(4) Final orbital parameters, including:
(i) Nodal period;
(ii) Inclination;
(iii) Apogee; and
(iv) Perigee.
A launch operator must comply with financial responsibility requirements as required by part 440 of this chapter and as specified in a license or license order.
(a) A launch operator must allow access by, and cooperate with, Federal officers or employees or other individuals authorized by the FAA to observe any of its activities, or of its contractors or subcontractors, associated with the conduct of a licensed launch.
(b) For each licensed launch, a launch operator must provide the FAA with a console for monitoring the progress of the countdown and communication on all channels of the countdown communications network. A launch operator must also provide the FAA with the capability to communicate with the person designated by § 417.103(b)(1).
(a) For a launch operator launching from a Federal launch range, a launch operator must file a post launch report with the FAA no later than 90 days after the launch, unless an FAA launch
(b) For a launch operator launching from a non-Federal launch site, a launch operator must file a post launch report with the FAA no later than 90 days after the launch.
(c) The post launch report must:
(1) Identify any discrepancy or anomaly that occurred during the launch countdown and flight;
(2) Identify any deviation from any term of the license or any event otherwise material to public safety, and each corrective action to be implemented before any future flight;
(3) For the launch of launch vehicle flown with a flight safety system, identify any flight environment not consistent with the maximum predicted environment as required by D 417.7(b) and any measured wind profiles not consistent with the predictions used for the launch, as required by § 417.7(g)(3); and
(4) For the launch of an unguided suborbital launch vehicle, identify the actual impact location of all impacting stages and any impacting components, and provide a comparison of actual and predicted nominal performance.
This subpart contains public safety requirements that apply to the launch of an orbital or suborbital expendable launch vehicle from a Federal launch range or other launch site. If the FAA has assessed the Federal launch range, through its launch site safety assessment, and found that an applicable range safety-related launch service or property satisfies the requirements of this subpart, then the FAA will treat the Federal launch range's launch service or property as that of a launch operator without need for further demonstration of compliance to the FAA if:
(a) A launch operator has contracted with a Federal launch range for the provision of the safety-related launch service or property; and
(b) The FAA has assessed the Federal launch range, through its launch site safety assessment, and found that the Federal launch range's safety-related launch service or property satisfy the requirements of this subpart. In this case, the FAA will treat the Federal launch range's process as that of a launch operator.
(a) A launch operator must maintain and document a safety organization. A launch operator must identify lines of communication and approval authority for all public safety decisions, including those regarding design, operations, and analysis. A launch operator must describe its lines of communication, both within the launch operator's organization and between the launch operator and any federal launch range or other launch site operator providing launch services, in writing. Documented approval authority shall also be employed by the launch operator throughout the life of the launch system to ensure public safety and compliance with this part.
(b) A launch operator's safety organization must include, but need not be limited to, the following launch management positions:
(1) An employee of the launch operator who has the launch operator's final approval authority for launch. This employee, referred to as the launch director in this part, must ensure compliance with this part.
(2) An employee of the launch operator who is authorized to examine all aspects of the launch operator's launch safety operations and to monitor independently personnel compliance with the launch operator's safety policies and procedures. This employee, referred to as the safety official in this part, shall have direct access to the launch director, who shall ensure that all of the safety official's concerns are addressed prior to launch.
(a)
(b)
(1) Conduct an annual personnel qualifications review and issue individual certifications to perform safety related tasks.
(2) Revoke individual certifications for negligence or failure to satisfy certification requirements.
(a)
(1)
(i) Any hazard from a launch vehicle, vehicle component, or payload can reach any protected area at any time during flight; or
(ii) A failure of the launch vehicle would have a high consequence to the public.
(2)
(b)
(1) A launch operator may initiate the flight of a launch vehicle only if the risk associated with the total flight to all members of the public, excluding persons in waterborne vessels and aircraft, does not exceed an expected average number of 0.00003 casualties (E
(2) A launch operator may initiate flight only if the risk to any individual member of the public does not exceed a casualty expectation (E
(3) A launch operator must implement water borne vessel hazard areas that provide an equivalent level of safety to that provided by water borne vessel hazard areas implemented for launch from a Federal launch range.
(4) A launch operator must establish aircraft hazard areas that provide an equivalent level of safety to that provided by aircraft hazard areas implemented for launch from a Federal launch range.
(c)
(1) When using the 11 ft-lbs threshold to determine potential casualties due to blunt trauma from inert debris impacts, the analysis must:
(i) Incorporate a probabilistic model that accounts for the probability of casualty due to any debris expected to impact with kinetic energy of 11 ft-lbs or greater and satisfy paragraph (d) of this section; or
(ii) Count each expected impact with kinetic energy of 11 ft-lbs or greater to a person as a casualty.
(2) When applying the 1.0 psi threshold to determine potential casualties
(i) Incorporate a probabilistic model that accounts for the probability of casualty due to any blast overpressures of 1.0 psi or greater and satisfy paragraph (d) of this section; or
(ii) Count each person within the 1.0 psi overpressure radius of the source explosion as a casualty. When using this approach, the analysis must compute the peak incident overpressure using the Kingery-Bulmash relationship and may not take into account sheltering, reflections, or atmospheric effects. For persons located in buildings, the analysis must compute the peak incident overpressure for the shortest distance between the building and the blast source. The analysis must count each person located anywhere in a building subjected to peak incident overpressure equal to or greater than 1.0 psi as a casualty.
(d)
(e)
(i) Throughout a sub-orbital launch; or
(ii) For an orbital launch:
(A) During ascent to initial orbital insertion and through at least one complete orbit; and
(B) During each subsequent orbital maneuver or burn from initial park orbit, or direct ascent to a higher or interplanetary orbit or until clear of all manned or mannable objects, whichever occurs first.
(2) A launch operator must obtain a collision avoidance analysis for each launch from United States Strategic Command or from a Federal range having an approved launch site safety assessment. United States Strategic Command calls this analysis a conjunction on launch assessment. Sections 417.231 and A417.31 of appendix A of this part contain the requirements for obtaining a collision avoidance analysis. A launch operator must use the results of the collision avoidance analysis to develop flight commit criteria for collision avoidance as required by § 417.113(b).
(f)
(a) Ground safety requirements apply to launch processing and post-launch operations at a launch site in the United States.
(b) A launch operator must protect the public from adverse effects of hazardous operations and systems associated with preparing a launch vehicle for flight at a launch site.
(c) §§ 417.111(c), 417.113(b), and 417.115(c), and subpart E of this part provide launch operator ground safety requirements.
(a)
(b)
(1)
(i) Approve and implement each part of the flight safety plan and any modifications to the plan; and
(ii) Perform the flight safety analysis and ensure that the results, including the flight safety rules and establishment of flight hazard areas, are incorporated into the flight safety plan.
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(i) Launch angle limits, as required by § 417.125(c)(3); and
(ii) All procedures for measurement of launch day winds and for performing wind weighting as required by §§ 417.125 and 417.233.
(c)
(1) A description of the launch vehicle and any payload, or class of payload, identifying each hazard, including explosives, propellants, toxics and other hazardous materials, radiation sources, and pressurized systems. A ground safety plan must include figures that show the location of each hazard on the launch vehicle, and indicate where at the launch site a launch operator performs hazardous operations during launch processing.
(2) Propellant and explosive information including:
(i) Total net explosive weight of each of the launch operator's liquid and solid propellants and other explosives for each explosive hazard facility as defined by part 420 of this chapter.
(ii) For each toxic propellant, any hazard controls and process constraints determined under the launch operator's toxic release hazard analysis for launch processing performed as required by § 417.229 and appendix I of this part.
(iii) The explosive and occupancy limits for each explosive hazard facility.
(iv) Individual explosive item information, including configuration (such
(3) A graphic depiction of the layout of a launch operator's launch complex and other launch processing facilities at the launch site. The depiction must show separation distances and any intervening barriers between explosive items that affect the total net explosive weight that each facility is sited to accommodate. A launch operator must identify any proposed facility modifications or operational changes that may affect a launch site operator's explosive site plan.
(4) A description of the process for ensuring that the person designated under § 417.103(b)(2) reviews and approves any procedures and procedure changes for safety implications.
(5) Procedures that launch personnel will follow when reporting a hazard or mishap to a launch operator's safety organization.
(6) Procedures for ensuring that personnel have the qualifications and certifications needed to perform a task involving a hazard that could affect public safety.
(7) A flow chart of launch processing activities, including a list of all major tasks. The flow chart must include all hazardous tasks and identify where and when, with respect to liftoff, each hazardous task will take place.
(8) Identification of each safety clear zone and hazard area established as required by §§ 417.411 and 417.413, respectively.
(9) A summary of the means for announcing when any hazardous operation is taking place, the means for making emergency announcements and alarms, and identification of the recipients of each type of announcement.
(10) A summary of the means of prohibiting access to each safety clear zone, and implementing access control to each hazard area, including any procedures for prohibiting or allowing public access to such areas.
(11) A description of the process for ensuring that all safety precautions and verifications are in place before, during, and after hazardous operations. This includes the process for verification that an area can be returned to a non-hazardous work status.
(12) Description of each hazard control required by the ground safety analysis for each task that creates a public or launch location hazard. The hazard control must satisfy § 417.407(b).
(13) A procedure for the use of any safety equipment that protects the public, for each task that creates a public hazard or a launch location hazard.
(14) The requirement and procedure for coordinating with any launch site operator and local authorities, for each task creating a public or launch location hazard.
(15) Generic emergency procedures that apply to all emergencies and the emergency procedures that apply to each specific task that may create a public hazard, including any task that involves hazardous material, as required by § 417.407.
(16) A listing of the ground safety plan references, by title and date, such as the ground safety analysis report, explosive quantity-distance site plan and other ground safety related documentation.
(d)
(1) List and describe support equipment and instrumentation;
(2) Identify all certified personnel, by position, as required by § 417.105, who operate and maintain the support equipment and instrumentation;
(3) Contain, or incorporate by reference, written procedures for support equipment and instrumentation operation, test, and maintenance that will be implemented for each launch;
(4) Identify equipment and instrumentation reliability; and
(5) Identify any contingencies that protect the public in the event of a malfunction.
(e)
(1) Defines the launch operator's process for managing and controlling any change to a safety critical system to ensure its reliability;
(2) Identifies, for each system, each person by position who has authority to approve design changes and the personnel, by position, who maintain documentation of the most current approved design; and
(3) Contains, or incorporates by reference, all configuration management and control procedures that apply to the launch vehicle and each support system.
(f)
(1) Identifies each frequency, all allowable frequency tolerances, and each frequency's intended use, operating power, and source;
(2) Provides for the monitoring of frequency usage and enforcement of frequency allocations; and
(3) Identifies agreements and procedures for coordinating use of radio frequencies with any launch site operator and any local and Federal authorities, including the Federal Communications Commission.
(g)
(1) Demonstrate compliance with the requirements of § 417.309(b)(2);
(2) Describe the program for selecting piece parts for use in a flight termination system;
(3) Identify performance of any derating, qualification, screening, lot acceptance testing, and lot destructive physical analysis for electronic piece parts;
(4) Identify all personnel, by position, who conduct the piece part tests;
(5) Identify the pass/fail criteria for each test for each piece part;
(6) Identify the levels to which each piece part specification will be derated; and
(7) Contain, or incorporate by reference, test procedures for each piece part.
(h)
(1)
(i) Immediate notification to the Federal Aviation Administration (FAA) Washington Operations Center in case of a launch accident, a launch incident or a mishap that involves a fatality or serious injury (as defined by 49 CFR 830.2).
(ii) Notification within 24 hours to the Associate Administrator for Commercial Space Transportation or the Federal Aviation Administration (FAA) Washington Operations Center in the event of a mishap, other than those in § 415.41 (b) (1) of this chapter, that does not involve a fatality or serious injury (as defined in 49 CFR 830.2).
(iii) Submission of a written preliminary report to the FAA, Associate Administrator for Commercial Space Transportation, in the event of a launch accident or launch incident, as defined by § 401.5 of this chapter, within five days of the event. The report must identify the event as either a launch accident or launch incident, and must include the following information:
(A) Date and time of occurrence;
(B) Description of event;
(C) Location of launch;
(D) Launch vehicle;
(E) Any payload;
(F) Vehicle impact points outside designated impact lines, if applicable;
(G) Number and general description of any injuries;
(H) Property damage, if any, and an estimate of its value;
(I) Identification of hazardous materials, as defined by § 401.5 of this chapter, involved in the event, whether on the launch vehicle, payload, or on the ground;
(J) Action taken by any person to contain the consequences of the event; and
(K) Weather conditions at the time of the event.
(2)
(i) Contain procedures that ensure the containment and minimization of the consequences of a launch accident, launch incident or other mishap;
(ii) Contain procedures that ensure the preservation of the data and physical evidence;
(3)
(i) Procedures for investigating the cause of a launch accident, launch incident or other mishap;
(ii) Procedures for reporting investigation results to the FAA; and
(iii) Delineated responsibilities, including reporting responsibilities for personnel assigned to conduct investigations and for any one retained by the licensee to conduct or participate in investigations.
(4)
(5)
(i)
(2) For a launch from an exclusive-use site, where there is no licensed launch site operator, a launch operator must develop and implement any agreements and plans with local authorities at or near the launch site whose support is needed to ensure public safety during all launch processing and flight, as required by part 420 of this chapter.
(3) A launch operator must implement a schedule and procedures for the release of launch information before flight, after flight, and in the event of an mishap.
(4) A launch operator must develop and implement procedures for public access to any launch viewing areas that are under a launch operator's control.
(5) A launch operator must describe its procedures for and accomplish the following for each launch—
(i) Inform local authorities of each designated hazard areas near the launch site associated with a launch vehicle's planned trajectory and any planned impacts of launch vehicle components and debris as defined by the flight safety analysis required by subpart C of this part;
(ii) Provide any hazard area information prepared as required by § 417.225 or § 417.235 to the local United States Coast Guard or equivalent local authority for issuance of the notices to mariners;
(iii) Provide hazard area information prepared as required by § 417.223 or § 417.233 for each aircraft hazard area within a flight corridor to the FAA Air Traffic Control (ATC) office or equivalent local authority having jurisdiction over the airspace through which the launch will take place for the issuance of notices to airmen;
(iv) Communicate with the local Coast Guard and the FAA ATC office or equivalent local authorities, either directly or through any launch site operator, to ensure that notices to airmen and mariners are issued and in effect at the time of flight; and
(v) Coordinate with any other local agency that supports the launch, such as local law enforcement agencies, emergency response agencies, fire departments, National Park Service, and Mineral Management Service.
(j)
(1) List each hazard area that requires surveillance under §§ 417.107 and 417.223;
(2) Describe how the launch operator will provide for day-of-flight surveillance of the flight hazard area to ensure that the presence of any member of the public in or near a flight hazard area is consistent with flight commit criteria developed for each launch as required by § 417.113;
(3) Verify the accuracy of any radar or other equipment used for hazard area surveillance and account for any inaccuracies in the surveillance system when enforcing the flight commit criteria;
(4) Identify the number of security and surveillance personnel employed for each launch and the qualifications and training each must have;
(5) Identify the location of roadblocks and other security checkpoints, the times that each station must be manned, and any surveillance equipment used; and
(6) Contain, or incorporate by reference, all procedures for launch personnel control, handling of intruders, communications and coordination with launch personnel and other launch support entities, and implementation of any agreements with local authorities and any launch site operator.
(k)
(1) Describe the authority of licensee personnel and any Federal launch range personnel by individual or position title, to issue these commands;
(2) Ensure the assignment of communication networks, so that personnel identified under this paragraph have direct access to real-time safety-critical information required for issuing hold/resume, go/no go, and abort decisions and commands;
(3) Ensure personnel, identified under this paragraph, monitor each common intercom channel during countdown and flight; and
(4) Ensure the implementation of a protocol for using defined radio telephone communications terminology.
(l)
(1) Cover the period of time when any launch support personnel are to be at their designated stations through initiation of flight.
(2) Include procedures for handling anomalies that occur during a countdown and events and conditions that may result in a constraint to initiation of flight.
(3) Include procedures for delaying or holding a launch when necessary to allow for corrective actions, to await improved conditions, or to accommodate a launch wait.
(4) Describe a process for resolving issues that arise during a countdown and identify each person, by position, who approves corrective actions.
(5) Include a written countdown checklist that provides a formal decision process leading to flight initiation. A countdown checklist must include the flight day preflight tests of a flight safety system required by subpart D of this part and must contain:
(i) Identification of operations and specific actions completed, verification that there are no constraints to flight, and verification that a launch operator satisfied all launch safety rules and launch commit criteria;
(ii) Time of each event;
(iii) Identification of personnel, by position, who perform each operation or specific action, including reporting to the person designated under § 417.103(b)(3);
(iv) Identification of each communication channel that a launch operator uses for reporting each event;
(v) Identification of all communication and event reporting protocols;
(vi) Polling of personnel, by position, who oversee all safety critical systems and operations, to verify that the systems and the operations are ready to proceed with the launch; and
(vii) Record of all critical communications network channels that are used for voice, video, or data transmission that support the flight safety system, during each countdown.
(6) In case of a launch abort or delay:
(i) Identify each condition that must exist in order to make another launch attempt;
(ii) Include a schedule depicting the flow of tasks and events in relation to when the abort or delay occurred and the new planned launch time; and
(iii) Identify each interface and supporting entity needed to support recovery operations.
(a)
(1) The launch safety rules must identify the meteorological conditions and the status of the launch vehicle, launch support equipment, and personnel under which launch processing and flight may be conducted without adversely affecting public safety.
(2) The launch safety rules must satisfy the requirements of this section.
(3) A launch operator must follow all the launch safety rules.
(b)
(c)
(1) The flight-commit criteria must implement the flight safety analysis of subpart C of this part. These must include criteria for:
(i) Surveillance of any region of land, sea, or air necessary to ensure the number and location of members of the public are consistent with the inputs used for the flight safety analysis of subpart C of this part;
(ii) Monitoring of any meteorological condition and implementing any flight constraint developed using appendix G of this part. The launch operator must have clear and convincing evidence that the lightning flight commit criteria of appendix G, which apply to the conditions present at the time of lift-off, are not violated. If any other hazardous conditions exist, other than those identified by appendix G, the launch weather team will report the hazardous condition to the official designated under § 417.103(b)(1), who will determine whether initiating flight would expose the launch vehicle to a lightning hazard and not initiate flight in the presence of the hazard; and
(iii) Implementation of any launch wait in the launch window for the purpose of collision avoidance.
(2) For a launch that uses a flight safety system, the flight-commit criteria must ensure that the flight safety system is ready for flight. This must include criteria for ensuring that:
(i) The flight safety system is operating to ensure the launch vehicle will launch within all flight safety limits;
(ii) Any command transmitter system required by section D417.9 has sufficient coverage from lift-off to the point in flight where the flight safety system is no longer required by § 417.107(a);
(iii) The launch vehicle tracking system has no less than two tracking sources prior to lift-off. The launch vehicle tracking system has no less than one verified tracking source at all times from lift-off to orbit insertion for an orbital launch, to the end of powered flight for a suborbital launch; and
(iv) The launch operator will employ its flight safety system as designed in accordance with this part.
(3) For each launch, a launch operator must document the actual conditions used for the flight-commit criteria at the time of lift-off and verify whether the flight-commit criteria are satisfied.
(d)
(1) The flight safety system must terminate flight when valid, real-time data indicate the launch vehicle has violated any flight safety limit of § 417.213;
(2) The flight safety system must terminate flight at the straight-up-time required by § 417.215 if the launch vehicle continues to fly a straight up trajectory and, therefore, does not turn downrange when it should;
(3) The flight safety system must terminate flight when all of the following conditions exist:
(i) Real-time data indicate that the performance of the launch vehicle is erratic;
(ii) The potential exists for the loss of flight safety system control of the launch vehicle and further flight has the potential to endanger the public.
(4) The flight termination rules must incorporate the data-loss flight times and planned safe flight state of § 417.219, including each of the following:
(i) The flight safety system must terminate flight no later than the first data-loss flight time if, by that time, tracking of the launch vehicle is not established and vehicle position and status is unknown; and
(ii) Once launch vehicle tracking is established and there is a subsequent loss of verified tracking data before the planned safe flight state and verified tracking data is not received again, the flight safety system must terminate flight no later than the expiration of the data-loss flight time for the point in flight that the data was lost.
(5) For any gate established under § 417.217, both of the following apply:
(i) The flight safety system must terminate flight if the launch vehicle is performing erratically immediately prior to entering the gate.
(ii) The flight termination rules may permit the instantaneous impact point or other tracking icon to cross the gate only if there is no indication that the launch vehicle's performance has become erratic and the launch vehicle is either flying parallel to the nominal trajectory or converging to the nominal trajectory.
(6) For any hold-and-resume gate established under § 417.218;
(i) The flight safety system must terminate flight if the launch vehicle is performing erratically immediately prior to entering a hold gate.
(ii) The flight termination rules may permit the instantaneous impact point or other tracking icon to cross a hold gate only if there is no indication that the launch vehicle's performance has become erratic and the vehicle is either flying parallel to the nominal trajectory or converging to the nominal trajectory.
(iii) The flight termination rules of paragraphs (d)(1), (d)(3), and (d)(4) of this section apply after the instantaneous impact point or other tracking icon exits a resume gate.
(e)
(f)
(a)
(1) Coordinate test plans and all associated test procedures with any launch
(2) Make test results, test failure reports, information on any corrective actions implemented and the results of re-test available to the FAA upon request.
(b)
(c)
(a)
(1) Review the status of operations, systems, equipment, and personnel required by part 417;
(2) Maintain and implement documented criteria for successful completion of each review;
(3) Track to completion and document any corrective actions or issues identified during a review; and
(4) Ensure that launch operator personnel who oversee a review attest to successful completion of the review's criteria in writing.
(b) A launch operator must conduct the following reviews:
(1)
(2)
(i) A launch operator must verify that all safety requirements have been or will be satisfied before flight. The launch operator must resolve all safety related action items.
(ii) A launch operator must assign and certify flight safety personnel as required by § 417.105.
(iii) The flight safety rules and flight safety plan must incorporate a final flight safety analysis as required by subpart C of this part.
(iv) A launch operator must verify, at the time of the review, that the ground safety systems and personnel satisfy or will satisfy all requirements of the ground safety plan for support of flight.
(v) A launch operator must accomplish the safety related coordination with any launch site operator or local authorities as required by local agreements.
(vi) A launch operator must verify the filing of all safety related information for a specific launch with the FAA, as required by FAA regulations and any special terms of a license. A launch operator must verify that information filed with the FAA reflects the current status of safety-related systems and processes for each specific launch.
(3)
(i) Readiness of launch vehicle and payload.
(ii) Readiness of any flight safety system and personnel and the results of flight safety system testing.
(iii) Readiness of safety-related launch property and services to be provided by a Federal launch range.
(iv) Readiness of all other safety-related equipment and services.
(v) Readiness of launch safety rules and launch constraints.
(vi) Status of launch weather forecasts.
(vii) Readiness of abort, hold and recycle procedures.
(viii) Results of rehearsals conducted as required by § 417.119.
(ix) Unresolved safety issues as of the time of the launch readiness review and plans for their resolution.
(x) Additional safety information that may be required to assess readiness for flight.
(xi) To review launch failure initial response actions and investigation roles and responsibilities.
(a)
(1) A launch operator must assess any anomalies identified by a rehearsal, and must incorporate any changes to launch processing and flight needed to correct any anomaly that is material to public safety.
(2) A launch operator must inform the FAA of any public safety related anomalies and related changes in operations performed during launch processing or flight resulting from a rehearsal.
(3) For each launch, each person with a public safety critical role who will participate in the launch processing or flight of a launch vehicle must participate in at least one related rehearsal that exercises his or her role during nominal and non-nominal conditions so that the launch vehicle will not harm the public.
(4) A launch operator must conduct the rehearsals identified in this section for each launch.
(5) At least one rehearsal must simulate normal and abnormal preflight and flight conditions to exercise the launch operator's launch plans.
(6) A launch operator may conduct rehearsals at the same time if joint rehearsals do not create hazardous conditions, such as changing a hardware configuration that affects public safety, during the rehearsal.
(b)
(c)
(d)
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(a) A launch operator must document a system safety process that identifies the hazards and assesses the risks to public health and safety and the safety of property related to computing systems and software.
(b) A launch operator must identify all safety-critical functions associated with its computing systems and software. Safety-critical computing system and software functions must include the following:
(1) Software used to control or monitor safety-critical systems.
(2) Software that transmits safety-critical data, including time-critical data and data about hazardous conditions.
(3) Software used for fault detection in safety-critical computer hardware or software.
(4) Software that responds to the detection of a safety-critical fault.
(5) Software used in a flight safety system.
(6) Processor-interrupt software associated with previously designated safety-critical computer system functions.
(7) Software that computes safety-critical data.
(8) Software that accesses safety-critical data.
(9) Software used for wind weighting.
(c) A launch operator must conduct computing system and software hazard analyses for the integrated system.
(d) A launch operator must develop and implement computing system and software validation and verification plans.
(e) A launch operator must develop and implement software development plans, including descriptions of the following:
(1) Coding standards used;
(2) Configuration control;
(3) Programmable logic controllers;
(4) Policy on use of any commercial-off-the-shelf software; and
(5) Policy on software reuse.
(a)
(b)
(1) The unguided suborbital launch vehicle, including any component or payload, does not have sufficient energy to reach any populated area in any direction from the launch point; or
(2) A launch operator demonstrates through the licensing process that the launch will be conducted using a wind weighting safety system that meets the requirements of paragraph (c) of this section.
(c)
(1) The unguided suborbital launch vehicle must not contain a guidance or directional control system.
(2) The launcher azimuth and elevation settings must be wind weighted to correct for the effects of wind conditions at the time of flight to provide a safe impact location. A launch operator must conduct the launch in accordance with the wind weighting analysis requirements and methods of § 417.233 and appendix C of this part.
(3) A launch operator must use a launcher elevation angle setting that ensures the rocket will not fly uprange. A launch operator must set the launcher elevation angle in accordance with the following:
(i) The nominal launcher elevation angle must not exceed 85°. The wind corrected launcher elevation setting must not exceed 86°.
(ii) For an unproven unguided suborbital launch vehicle, the nominal launcher elevation angle must not exceed 80°. The wind corrected launcher elevation setting must not exceed 84°. A proven unguided suborbital launch vehicle is one that has demonstrated, by two or more launches, that flight performance errors are within all the three-sigma dispersion parameters modeled in the wind weighting safety system.
(d)
(e)
(f)
(g)
(1) Actual impact location of all impacting stages and each impacting component.
(2) A comparison of actual and predicted nominal performance.
(3) Investigation results of any launch anomaly. If flight performance deviates by more than a three-sigma dispersion from the nominal trajectory, a launch operator must conduct an investigation to determine the cause of the rocket's deviation from normal flight and take corrective action before the next launch. A launch operator must file any corrective actions with the FAA as a request for license modification before the next launch in accordance with § 417.11.
For each launch, a launch operator must review operations, system designs, analysis, and testing, and identify any unique hazards not otherwise addressed by this part. A launch operator must implement any unique safety policy, requirement, or practice needed to protect the public from the unique hazard. A launch operator must demonstrate through the licensing process that any unique safety policy, requirement, or practice ensures the safety of the public. For any change to a unique safety policy, requirement, or practice, with the exception of a launch specific update, the launch operator must file a request for license modification as required by § 417.11. The FAA may identify and impose a unique safety policy, requirement, or practice as needed to protect the public.
A launch operator must ensure for any proposed launch that for all launch vehicle stages or components that reach Earth orbit—
(a) There is no unplanned physical contact between the vehicle or any of its components and the payload after payload separation;
(b) Debris generation does not result from the conversion of energy sources into energy that fragments the vehicle or its components. Energy sources include chemical, pressure, and kinetic energy; and
(c) Stored energy is removed by depleting residual fuel and leaving all fuel line valves open, venting any pressurized system, leaving all batteries in a permanent discharge state, and removing any remaining source of stored energy.
(a) This subpart contains requirements for performing the flight safety analysis required by § 417.107(f).
(b) The flight safety analysis requirements of this subpart apply to the flight of any launch vehicle that must use a flight safety system as required by § 417.107(a), except as permitted by paragraph (d) of this section.
(c) The flight safety analysis requirements of §§ 417.203, 417.205, 417.207, 417.211, 417.223, 417.224, 417.225, 417.227, 417.229, 417.231, and 417.233 apply to the flight of any unguided suborbital launch vehicle that uses a wind-weighting safety system. Appendices B, C, and I of this part also apply.
(d) For any alternative flight safety system approved by the FAA under § 417.301(b), the FAA will determine during the licensing process which of the analyses required by this subpart apply.
(a)
(b)
(i) A method approved by the FAA during the licensing process;
(ii) A method approved as a license modification by the FAA; or,
(iii) If the launch takes place from a Federal launch range, a method approved as part of the FAA's launch site safety assessment of the Federal range's processes.
(2) Appendix A of this part contains requirements that apply to all methods of flight safety analysis. A licensee must notify the FAA for any change to the flight safety analysis method. A licensee must file any material change with the FAA as a request for license modification before the launch to which the proposed change would apply. Section 417.11 contains requirements governing a license modification.
(c)
(d)
(1) A launch operator has contracted with a Federal launch range for the provision of flight safety analysis; and
(2) The FAA has assessed the Federal launch range, through its launch site safety assessment, and found that the range's analysis methods satisfy the requirements of this subpart. In this case, the FAA will treat the Federal launch range's analysis as that of a launch operator.
(e)
(a)
(1)
(i) Each source of a hazard during flight;
(ii) Normal flight and each failure response mode of the launch vehicle;
(iii) Each external and launch vehicle flight environment;
(iv) Populations potentially exposed to the flight; and
(v) The performance of any flight safety system, including time delays associated with the system.
(2)
(3)
(b)
(a)
(1) For any time after lift-off, the limits of a launch vehicle's normal flight, as defined by the nominal trajectory and potential three-sigma trajectory dispersions about the nominal trajectory.
(2) A fuel exhaustion trajectory that produces instantaneous impact points with the greatest range for any given time after liftoff for any stage that has the potential to impact the Earth and does not burn to propellant depletion before a programmed thrust termination.
(3) For launch vehicles flown with a flight safety system, a straight-up trajectory for any time after lift-off until the straight-up time that would result if the launch vehicle malfunctioned and flew in a vertical or near vertical direction above the launch point.
(b)
(c)
(a)
(1) All trajectory times during the thrusting phases of flight.
(2) When a malfunction begins to cause each turn throughout the thrusting phases of flight. The analysis must account for trajectory time intervals between malfunction turn start times that are sufficient to establish flight safety limits and hazard areas that are smooth and continuous.
(3) The relative probability of occurrence of each malfunction turn of which the launch vehicle is capable.
(4) The time, as a single value or a probability time distribution, when each malfunction turn will terminate due to vehicle breakup.
(5) What terminates each malfunction turn, such as, aerodynamic breakup or inertial breakup.
(6) The launch vehicle's turning behavior from the time when a malfunction begins to cause a turn until aerodynamic breakup, inertial breakup, or ground impact. The analysis must account for trajectory time intervals during the malfunction turn that are sufficient to establish turn curves that are smooth and continuous.
(7) For each malfunction turn, the launch vehicle velocity vector turn angle from the nominal launch vehicle velocity vector.
(8) For each malfunction turn, the launch vehicle velocity turn magnitude from the nominal velocity magnitude that corresponds to the velocity vector turn angle.
(9) For each malfunction turn, the orientation of the launch vehicle longitudinal axis measured relative to the nominal launch vehicle longitudinal axis or Earth relative velocity vector at the start of the turn.
(b)
(a)
(b)
(1) Any flight termination system activation;
(2) Launch vehicle explosion;
(3) Aerodynamic loads;
(4) Inertial loads;
(5) Atmospheric reentry heating; and
(6) Impact of intact vehicle.
(c)
(1) Origin on the vehicle, by vehicle stage or component, from which each fragment originated;
(2) Whether it is inert or explosive;
(3) Weight, dimensions, and shape;
(4) Lift and drag characteristics;
(5) Properties of the incremental velocity distribution imparted by breakup; and
(6) Axial, transverse, and tumbling area.
(a)
(b)
(1) All time delays, as established by the time delay analysis of § 417.221;
(2) Residual thrust remaining after flight termination implementation or vehicle breakup due to aerodynamic and inertial loads;
(3) All wind effects;
(4) Velocity imparted to vehicle fragments by breakup;
(5) All lift and drag forces on the malfunctioning vehicle and falling debris;
(6) All launch vehicle guidance and performance errors;
(7) All launch vehicle malfunction turn capabilities; and
(8) Any uncertainty due to map errors and launch vehicle tracking errors.
(c)
(d)
A flight safety analysis must establish the straight-up time for a launch for use as a flight termination rule. Section 417.113(c) contains requirements for flight termination rules. The analysis must establish the straight-up time as the latest time after liftoff, assuming a launch vehicle malfunctioned and flew in a vertical or near vertical
For a launch that involves flight over a populated or other protected area, the flight safety analysis must include an overflight gate analysis. The analysis must establish the portion of a flight safety limit, a gate, through which a normally performing launch vehicle's tracking icon will be allowed to proceed. A tracking icon must enable the flight safety crew to determine whether the launch vehicle's flight is in compliance with the flight safety rules established under § 417.113. When establishing that portion of a flight safety limit, the analysis must demonstrate that the launch vehicle flight satisfies the flight safety requirements of § 417.107.
(a) For a launch that involves overflight or near overflight of a populated or otherwise protected area prior to the planned safe flight state calculated as required by § 417.219, the flight safety analysis must construct a hold-and-resume gate for each populated or otherwise protected area. After a vehicle's tracking icon crosses a hold-and-resume gate, flight termination must occur as required by sections 417.113(d)(6).
(b) The hold-and-resume gate analysis must account for:
(1)
(2)
(a)
(b)
(c)
(1) No launch vehicle component, debris, or hazard can impact or affect a populated or otherwise protected area for the remainder of the launch;
(2) The launch vehicle achieves orbital insertion; or
(3) The launch vehicle's state vector reaches a state where the absence of a
(a)
(b)
(1) The variance of all time delays for each potential failure scenario, including but not limited to, the range of malfunction turn characteristics and the time of flight when the malfunction occurs;
(2) A flight safety official's decision and reaction time, including variation in human response time; and
(3) Flight termination hardware and software delays including all delays inherent in:
(i) Tracking systems;
(ii) Data processing systems, including all filter delays;
(iii) Display systems;
(iv) Command control systems; and
(v) Flight termination systems.
(a)
(1) All trajectory times from liftoff to the planned safe flight state of § 417.219(c), including each planned impact, for an orbital launch, and through final impact for a suborbital launch;
(2) Regions of land potentially exposed to debris resulting from normal flight events and events resulting from any potential malfunction;
(3) Regions of sea and air potentially exposed to debris from normal flight events, including planned impacts;
(4) In the vicinity of the launch site, any waterborne vessels, populated offshore structures, or aircraft exposed to debris from events resulting from any potential abnormal flight events, including launch vehicle malfunction;
(5) Any operational controls implemented to control risk to the public from debris hazards;
(6) Debris identified by the debris analysis of § 417.211; and
(7) All launch vehicle trajectory dispersion effects in the surface impact domain.
(b) Public notices. A flight hazard areas analysis must establish the ship hazard areas for notices to mariners that encompass the three-sigma impact dispersion area for each planned debris impact. A flight hazard areas analysis must establish the aircraft hazard areas for notices to airmen that encompass the 3-sigma impact dispersion volume for each planned debris impact. Section 417.121(e) contains procedural requirements for issuing notices to mariners and airmen.
(a)
(b)
(c)
A flight safety analysis must demonstrate that the risk to the public potentially exposed to inert and explosive debris hazards from any one flight of a launch vehicle satisfies the public risk criterion of § 417.107(b) for debris. A debris risk analysis must account for risk to populations on land, including regions of launch vehicle flight following passage through any gate in a flight safety limit established as required by § 417.217. A debris risk analysis must account for any potential casualties to the public as required by the debris thresholds and requirements of § 417.107(c).
A flight safety analysis must establish flight commit criteria that protect the public from any hazard associated with toxic release and demonstrate compliance with the public risk criterion of § 417.107(b). The analysis must account for any toxic release that will occur during the proposed flight of a launch vehicle or that would occur in the event of a flight mishap. The analysis must account for any operational constraints and emergency procedures that provide protection from toxic release. The analysis must account for all members of the public that may be exposed to the toxic release, including all members of the public on land and on any waterborne vessels, populated offshore structures, and aircraft that are not operated in direct support of the launch.
(a)
(b)
(1) The potential for distant focus overpressure or overpressure enhancement given current meteorological conditions and terrain characteristics;
(2) The potential for broken windows due to peak incident overpressures below 1.0 psi and related casualties;
(3) The explosive capability of the launch vehicle at impact and at altitude and potential explosions resulting from debris impacts, including the potential for mixing of liquid propellants;
(4) Characteristics of the launch vehicle flight and the surroundings that would affect the population's susceptibility to injury, such as, shelter types and time of day of the proposed launch;
(5) Characteristics of the potentially affected windows, including their size, location, orientation, glazing material, and condition; and
(6) The hazard characteristics of the potential glass shards, such as falling from upper building stories or being propelled into or out of a shelter toward potentially occupied spaces.
(a)
(b)
(c)
(d)
For each launch of an unguided suborbital launch vehicle flown with a wind weighting safety system, in addition to the other requirements in this subpart outlined in § 417.201(c), the flight safety analysis must:
(a) Establish flight commit criteria and other launch safety rules that a launch operator must implement to control the risk to the public from potential adverse effects resulting from normal and malfunctioning flight;
(b) Establish any wind constraints under which launch may occur; and
(c) Include a wind weighting analysis that establishes the launcher azimuth and elevation settings that correct for the windcocking and wind-drift effects on the unguided suborbital launch vehicle.
(a)
(b)
(c)
(1) A flight termination system that satisfies appendices D, E, and F of this part;
(2) A command control system that satisfies §§ 417.303 and 417.305;
(3) Each support system required by § 417.307; and
(4) The functions of any personnel who operate flight safety system hardware or software including a flight safety crew that satisfies § 417.311.
(d)
(1)
(i) Comply with a launch operator's flight safety system compliance matrix of § 415.127(g) that accounts for all the design, installation, and monitoring requirements of this subpart, including the referenced appendices; and
(ii) Comply with a launch operator's testing compliance matrix of § 415.129(b) that accounts for all the test requirements of this subpart, including the referenced appendices.
(2)
(i) A launch operator has contracted with a Federal launch range for the provision of flight safety system property and services; and
(ii) The FAA has assessed the Federal launch range, through its launch site safety assessment, and found that the Federal launch range's flight safety system property and services satisfy the requirements of this subpart. In this case, the FAA will treat the Federal launch range's flight safety system property and services as that of a launch operator.
(a)
(1) All flight termination system activation switches;
(2) All intermediate equipment, linkages, and software;
(3) Any auxiliary stations;
(4) Each command transmitter and transmitting antenna; and
(5) All support equipment that is critical for reliable operation, such as power, communications, and air conditioning systems.
(b)
(c)
(d)
(e)
(f)
(g)
(1) Low transmitter power;
(2) Center frequency shift;
(3) Out of tolerance tone frequency;
(4) Out of tolerance message timing;
(5) Loss of communication between central control and transmitter site;
(6) Central control commanded status and site status disagree;
(7) Transmitter site fails to respond to a configuration or radiation order within a specified period of time; and
(8) For a tone-based system, tone deviation and tone imbalance.
(h)
(i)
(1) The radio frequency signal and radiated power density that each command destruct system needs to activate during flight;
(2) The 12-dB power density margin required by section D417.9(d) of appendix D of this part under nominal conditions; and
(3) A 6-dB power density margin under worst-case conditions.
(j)
(k)
(1) Transmit signals that are compatible with any command destruct system's radio frequency receiving system of section D417.25 and command receiver decoder of section D417.29 of appendix D of this part;
(2) Ensure that all arm and destruct commands transmitted to a flight termination system have priority over any other commands transmitted;
(3) Employ an authorized radio carrier frequency and bandwidth with a guard band that provides the radio frequency separation needed to ensure that the system does not interfere with any other flight safety system that is required to operate at the same time;
(4) Transmit an output bandwidth that is consistent with the signal spectrum power used in the link analysis of § 417.309(f); and
(5) Not transmit other frequencies that could degrade the airborne flight termination system's performance.
(l)
(1) The antenna system must provide two or more command signals to any command destruct system throughout normal flight and in the event of a launch vehicle failure regardless of launch vehicle orientation;
(2) Each antenna beam-width must:
(i) Allow for complete transmission of the command destruct sequence of signal tones before a malfunctioning launch vehicle can exit the 3-dB point of the antenna pattern;
(ii) When the vehicle is centered in the antenna pattern at the beginning of the malfunction, account for the launch vehicle's malfunction turn capability determined by the analysis of § 417.209, the data loss flight times of § 417.219, and the time delay of § 417.221.
(iii) Encompass the boundaries of normal flight for the portion of flight that the antenna is scheduled to support; and
(iv) Account for any error associated with launch vehicle tracking and pointing of the antenna;
(3) The location of each antenna must provide for an unobstructed line of site between the antenna and the launch vehicle;
(4) The antenna system must provide a continuous omni-directional radio carrier pattern that covers the launch vehicle's flight from the launch point to no less than an altitude of 50,000 feet above sea level, unless the system uses a steerable antenna that satisfies paragraphs (l)(1) and (2) of this section for the worst-case launch vehicle malfunction that could occur during that portion of flight;
(5) An antenna must radiate circularly polarized radio waves that are compatible with the flight termination system antennas on the launch vehicle; and
(6) Any steerable antenna must allow for control of the antenna manually at the antenna site or by remote slaving data from a launch vehicle tracking source. A steerable antenna's positioning lag, accuracy, and slew rates must allow for tracking a nominally performing launch vehicle within one half of the antenna's beam-width and for tracking a malfunctioning launch vehicle to satisfy paragraph (l)(2) of this section.
(a)
(2) Each acceptance and preflight test must follow a written test plan that specifies the procedures and test parameters for the test and the testing sequence. A test plan must include instructions on how to handle procedural deviations and how to react to test failures.
(3) If hardware or software is redesigned or replaced with a different hardware or software that is not identical to the original, the system must undergo all acceptance testing and analysis with the new hardware or software and all preflight testing for each launch with the new hardware or software.
(4) After a command control system passes all acceptance tests, if a component is replaced with an identical component, the system must undergo testing to ensure that the new component is installed properly and is operational.
(b)
(2) Acceptance testing must include functional testing, system interface validation testing, and integrated system-wide validation testing.
(3) Each acceptance test must measure the performance parameters that demonstrate whether the requirements of § 417.303 are satisfied.
(4) Any computing system, software, or firmware that performs a software safety critical function must undergo validation testing and satisfy § 417.123. If command control system hardware interfaces with software, the interface must undergo validation testing.
(c)
(1)
(2)
(3)
(i)
(ii)
(4)
(i) Verify the performance of each element of the system from the flight safety system displays and controls to each command transmitter site;
(ii) Measure all system performance parameters received and transmitted using measuring equipment that does not physically interface with any elements of the operational command control system;
(iii) Verify the performance of each flight safety system display and control and remote command transmitter site combination by repeating all measurements for each combination, for all strings and all operational configurations of cross-strapped equipment; and
(iv) Verify that all critical command control system performance parameters satisfy all their performance specifications. These parameters must include:
(A) Transmitter power output;
(B) Center frequency stability;
(C) Tone deviation;
(D) Tone frequency;
(E) Message timing;
(F) Status of each communication circuit between the flight safety system display and controls and any supporting command transmitter sites;
(G) Status agreement between the flight safety system display and controls and each and any supporting command transmitter sites;
(H) Fail-over conditions;
(I) Tone balance; and
(J) Time delay from initiation of a command at each flight safety system control to transmitter output of the command signal.
(d)
(1) Verify that the command control system satisfies all the test requirements;
(2) Describe all command control system test results and test conditions;
(3) Describe any analysis performed instead of testing;
(4) Identify by serial number or other identification each test result that applies to each system or component;
(5) Describe any test failure or anomaly, including any variation from an established performance baseline, each corrective action taken, and all results of any additional tests; and
(6) Identify any test failure trends.
(a)
(2) Each support system and each subsystem, component, and part that can affect the reliability of the support system must have written performance specifications that demonstrate, and contain the details of, how each satisfies the requirements of this section.
(3) For each launch, each support system must undergo testing to ensure it functions according to its performance specifications.
(b)
(2) The tracking system must consist of at least two sources of launch vehicle position data. The data sources must be independent of one another, and at least one source must be independent of any vehicle guidance system.
(3) All ground tracking systems and components must be compatible with any tracking system components onboard the launch vehicle.
(4) If a tracking system uses radar as one of the independent tracking sources, the system must:
(i) Include a tracking beacon onboard the launch vehicle; or
(ii) If the system relies on skin tracking, it must maintain a tracking margin of no less than 6 dB above noise throughout the period of flight that
(5) The tracking system must provide real-time data to the flight safety data processing, display, and recording system required by paragraph (e) of this section.
(6) For each launch, each tracking source must undergo validation of its accuracy. For each stage of flight that a launch vehicle guidance system is used as a tracking source, a tracking source that is independent of any system used to aid the guidance system must validate the guidance system data before the data is used in the flight termination decision process.
(7) The launch vehicle tracking error from all sources, including data latency and any possible gaps or dropouts in tracking coverage, must be consistent with the flight safety limits of § 417.213 and the flight safety system time delay of § 417.221.
(8) Any planned gap in tracking coverage must not occur at the same time as any planned switching of command transmitters.
(c)
(2) The onboard telemetry system must monitor and transmit the flight termination system monitoring data of section D417.17 and any launch vehicle tracking data used to satisfy paragraph (b) of this section.
(3) The telemetry receiving system must acquire, store, and provide real-time data to the flight safety data processing, display, and recording system required by paragraph (e) of this section.
(d)
(e)
(1) Satisfy § 417.123 for any computing system, software, or firmware that must operate properly to ensure the accuracy of the data;
(2) Receive vehicle status data from tracking and telemetry, evaluate the data for validity, and provide valid data for display and recording;
(3) Perform any reformatting of the data as appropriate and forward it to display and recording devices;
(4) Display real-time data against background displays of the nominal trajectory and flight safety limits established in accordance with the flight safety analysis required by subpart C of this part;
(5) Display and record raw input and processed data at a rate that maintains the validity of the data and at no less than 0.1-second intervals;
(6) Record the timing of when flight safety system commands are input by the flight safety crew; and
(7) Record all health and status parameters of the command control system, including the transmitter failover parameters, command outputs, check channel or pilot tone monitor, and status of communications.
(f)
(2) A flight safety system must present all data that the flight safety crew needs to ensure that all flight commit criteria are satisfied for each launch, such as hazard area surveillance, any aircraft and ship traffic information, meteorological conditions, and the flight termination system monitoring data of section D417.17.
(3) The real-time displays must include all data that the flight safety
(i) Launch vehicle tracking data, such as instantaneous vacuum impact point, drag corrected debris footprint, or present launch vehicle position and velocities as a function of time;
(ii) Vehicle status data from telemetry, including yaw, pitch, roll, and motor chamber pressure;
(iii) The flight termination system monitoring data of section D417.17;
(iv) Background displays of nominal trajectory, flight safety limits, data loss flight times, planned safe flight state, and any overflight gate through a flight safety limit all as determined by the flight safety analysis required by subpart C of this part; and
(v) Any video data when required by the flight safety crew to perform its functions, such as video from optical program and flight line cameras.
(4) The controls must allow the flight safety crew to turn a command transmitter on and off, manually switch from primary to backup transmitter antenna, and switch between each transmitter site. These functions may be accomplished through controls available to command transmitter support personnel and communications between those personnel and the flight safety crew.
(5) Each set of command transmitter system controls must include a means of identifying when it has primary control of the system.
(6) The displays must include a means of immediately notifying the flight safety system crew of any automatic fail-over of the system transmitters.
(7) All flight safety system controls must be dedicated to the flight safety system and must not rely on time or equipment shared with other systems.
(8) All data transmission links between any control, transmitter, or antenna must consist of two or more complete and independent duplex circuits. The routing of these circuits must ensure that they are physically separated from each other to eliminate any potential single failure point in the command control system in accordance with § 417.303(d).
(9) The system must include hardware or procedural security provisions for controlling access to all controls and other related hardware. These security provisions must ensure that only the flight safety crew can initiate a flight safety system transmission.
(10) The system must include two independent means for the flight safety crew to initiate arm and destruct messages. The location and functioning of the controls must provide the crew easy access to the controls and prevent inadvertent activation.
(11) The system must include a digital countdown for use in implementing the flight termination rules of § 417.113 that apply data loss flight times and the planned safe flight state. The system must also include a manual method of applying the data loss flight times in the event that the digital countdown malfunctions.
(g)
(h)
(1) Have electrical and operational characteristics matching those of the actual destruct initiator;
(2) Monitor the firing circuit output current, voltage, or energy, and indicate whether the firing output occurs. The indication that the output occurred must remain after the output is removed;
(3) Have the ability to remain connected throughout ground processing until the electrical connection of the actual initiators is accomplished;
(4) Include a capability that permits the issuance of destruct commands by test equipment only if the simulator is installed and connected to the firing lines; and
(5) For any low voltage initiator, provide a stray current monitoring device
(i)
(1) Initiate first motion signals;
(2) Synchronize flight safety system instrumentation, including countdown clocks; and
(3) Identify when, during countdown or flight, a data measurement or voice communication occurs.
(a)
(2) Each analysis must follow an FAA approved system safety and reliability analysis methodology.
(b)
(1) Account for the probability of a flight safety system anomaly occurring and all of its effects as determined by the single failure point analysis and the sneak circuit analysis required by paragraphs (c) and (g) of this section;
(2) Demonstrate that each system satisfies the predicted reliability requirement of 0.999 at the 95 percent confidence level;
(3) Use a reliability model that is statistically valid and accurately represents the system;
(4) Account for the actual or predicted reliability of all subsystems and components;
(5) Account for the effects of storage, transportation, handling, maintenance, and operating environments on component predicted reliability; and
(6) Account for the interface between the launch vehicle systems and the flight termination system.
(c)
(1) Follow a standard industry methodology such as a fault tree analysis or a failure modes effects and criticality analysis;
(2) Identify all possible failure modes and undesired events, their probability of occurrence, and their effects on system performance;
(3) Identify single point failure modes;
(4) Identify areas of design where redundancy is required and account for any failure mode where a component and its backup could fail at the same time due to a single cause;
(5) Identify functions, including redundancy, which are not or cannot be tested;
(6) Account for any potential system failures due to hardware, software, test equipment, or procedural or human errors;
(7) Account for any single failure point on another system that could disable a command control system or flight termination system, such as any launch vehicle system that could trigger safing of a flight termination system; and
(8) Provide input to the reliability analysis of paragraph (b) of this section.
(d)
(e)
(f)
(2) When demonstrating the 12-dB margin, each link analysis must account for the following nominal system performance and attenuation factors:
(i) Path losses due to plume or flame attenuation;
(ii) Vehicle trajectory;
(iii) Ground system and airborne system radio frequency characteristics; and
(iv) The antenna gain value that ensures that the margin is satisfied over 95% of the antenna radiation sphere surrounding the launch vehicle.
(3) When demonstrating the 6-dB margin, each link analysis must account for the following worst-case system performance and attenuation factors:
(i) The system performance and attenuation factors of paragraph (f)(2) of this section;
(ii) The command transmitter failover criteria of § 417.303(g) including the lowest output power provided by the transmitter system;
(iii) Worst-case power loss due to antenna pointing inaccuracies; and
(iv) Any other attenuation factors.
(g)
(h)
(i)
(j)
(1) Breakup of the launch vehicle due to aerodynamic loading effects at high angle of attack trajectories during early stages of flight, including the effects of any automatic or inadvertent destruct system;
(2) An engine hard-over nozzle induced tumble during each phase of flight for each stage; or
(3) Launch vehicle staging, ignition, or any other normal or abnormal event that, when it occurs, could damage flight termination system hardware or inhibit the functionality of any subsystem or component, including any inadvertent separation destruct system.
(a) A flight safety crew must operate the flight safety system hardware. A flight safety crew must document each flight safety crew position description and maintain documentation on individual crew qualifications, including education, experience, and training as part of the personnel certification program required by § 417.105.
(b) A flight safety crew must be able to demonstrate the knowledge, skills, and abilities needed to operate the
(1) A flight safety crew must have knowledge of:
(i) All flight safety system assets and responsibilities, including:
(A) Communications systems and launch operations procedures;
(B) Both voice and data systems;
(C) Graphical data systems;
(D) Tracking; and
(E) Telemetry real time data;
(ii) Flight termination systems; and
(iii) Contingency operations, including hold, recycle and abort procedures.
(2) An individual who monitors vehicle performance and performs flight termination must have knowledge of and be capable of resolving malfunctions in:
(i) The application of safety support systems such as position tracking sources;
(ii) Digital computers;
(iii) Displays;
(iv) Command destruct;
(v) Communications;
(vi) Telemetry;
(vii) All electrical functions of a flight termination system;
(viii) The principles of radio frequency transmission and attenuation;
(ix) The behavior of ballistic and aerodynamic vehicles in flight under the influence of aerodynamic forces; and
(x) The application of flight termination rules.
(3) An individual who operates flight safety support systems must have knowledge of and be capable of resolving malfunctions in:
(i) The design and assembly of the flight safety support system hardware;
(ii) The operation of electromechanical systems; and
(iii) The nature and inherent tendencies of the flight safety system hardware being operated.
(4) An individual who performs flight safety analysis must have knowledge of orbital mechanics and be proficient in the calculation and production of range safety displays, impact probabilities, and casualty expectations.
(c) Flight safety crew members must complete a training and certification program to ensure launch site familiarization, launch vehicle familiarization, flight safety system functions, equipment, and procedures related to a launch before being called upon to support that launch. Each flight safety crew member must complete a preflight readiness training and certification program. This preflight readiness training and certification program must include:
(1) Mission specific training programs to ensure team readiness.
(2) Launch simulation exercises of system failure modes, including nominal and failure modes, that test crew performance, flight termination criteria, and flight safety data display integrity.
This subpart contains public safety requirements that apply to launch processing and post-launch operations at a launch site in the United States. Ground safety requirements in this subpart apply to activities performed by, or on behalf of, a launch operator at a launch site in the United States. A licensed launch site operator must satisfy the requirements of part 420 of this chapter.
(a)
(b)
(1) A launch operator has contracted with a Federal launch range for the provision of the ground safety process; and
(2) The FAA has assessed the Federal launch range, through its launch site safety assessment, and found that the Federal launch range's ground safety process satisfies the requirements of this subpart. In this case, the FAA will treat the Federal launch range's process as that of a launch operator.
(c)
(d)
(e)
(a)
(b)
(c)
(d)
(a) A launch operator must perform a ground safety analysis for launch vehicle hardware, ground hardware including launch site and ground support equipment, launch processing, and post-launch operations at a launch site in the United States. The requirements of this section apply to the performance of the ground safety analysis and to the ground safety analysis products that a launch operator must file with the FAA as required by § 417.402(d). This analysis must identify each potential hazard, each associated cause, and each hazard control that a launch operator must establish and maintain to keep each identified hazard from affecting the public. A launch operator must incorporate the launch site operator's systems and operations involved in ensuring public safety into the ground safety analysis.
(b) Technical personnel who are knowledgeable of launch vehicle systems, launch processing, ground systems, operations, and their associated hazards must prepare the ground safety analysis. These individuals must be qualified to perform the ground safety analysis through training, education, and experience.
(c) A launch operator must ensure personnel performing a ground safety analysis or preparing a ground safety analysis report will have the cooperation of the entire launch operator's organization. A launch operator must maintain supporting documentation and it must be available upon request.
(d) A launch operator must:
(1) Begin a ground safety analysis by identifying the systems and operations to be analyzed;
(2) Define the extent of each system and operation being assessed to ensure there is no miscommunication as to what the hazards are, and who, in a launch operator's organization or other organization supporting the launch, controls those hazards; and
(3) Ensure that the ground safety analysis accounts for each launch vehicle system and operation involved in
(e) A ground safety analysis need not account for potential hazards of a component if a launch operator demonstrates that no hazard to the public exists at the system level. A ground safety analysis need not account for an operation's individual task or subtask level if a launch operator demonstrates that no hazard to the public exists at the operation level. A launch operator must provide verifiable controls for hazards that are confined within the boundaries of a launch operator's facility to ensure the public will not have access to the associated hazard area while the hazard exists.
(f) A launch operator must identify each potential hazard, including non-credible hazards. The probability of occurrence is not relevant with respect to identifying a hazard. Where an assertion is made that no hazard exists for a particular system or operation, the ground safety analysis must provide the rationale. A launch operator must identify the following hazards of each launch vehicle system, launch site and ground support equipment, launch processing, and post-launch operations:
(1) System hazards, including explosives and other ordnance, solid and liquid propellants, toxic and radioactive materials, asphyxiants, cryogens, and high pressure. System hazards generally exist even when no operation is occurring; and
(2) Operation hazards derived from an unsafe condition created by a system, operating environment, or an unsafe act.
(g) A launch operator must categorize identified system and operation hazards as follows:
(1)
(i) Blast overpressure and fragmentation resulting from an explosion;
(ii) Fire and deflagration, including hazardous materials such as radioactive material, beryllium, carbon fibers, and propellants. A launch operator must assume that in the event of a fire, hazardous smoke from systems containing hazardous materials will reach the public;
(iii) Sudden release of a hazardous material into the air, water, or ground; and
(iv) Inadvertent ignition of a propulsive launch vehicle payload, stage, or motor.
(2)
(i) Unguarded electrical circuits or machinery;
(ii) Oxygen deficient environments;
(iii) Falling objects;
(iv) Potential falls into unguarded pits or from unguarded elevated work platforms; and
(v) Sources of ionizing and non-ionizing radiation such as x-rays, radio transmitters, and lasers.
(3)
(4)
(h) A ground safety analysis must identify each hazard cause for each public hazard and launch location hazard. The ground safety analysis must
(i) A ground safety analysis must identify the hazard controls to be established by a launch operator for each hazard cause identified in paragraph (h) of this section. A launch operator's hazard controls include the use of engineering controls for the containment of hazards within defined areas and the control of public access to those areas.
(j) A launch operator must verify all information in a ground safety analysis, including design margins, fault tolerance and successful completion of tests. A launch operator must:
(1) Trace any identified hardware to an engineering drawing or other document that describes hardware configuration;
(2) Trace any test or analysis used in developing the ground safety analysis to a report or memorandum that describes how the test or analysis was performed;
(3) Ensure the accuracy of the test or analysis and the associated results;
(4) Trace any procedural hazard control identified to a written procedure, and approved by the person designated under § 417.103(b)(2) or the person's designee, with the paragraph or step number of the procedure specified;
(5) Identify a verifiable hazard control for each hazard; if a hazard control is not verifiable, a launch operator may include it as an informational note on the hazard analysis form;
(6) For each hazard control, reference a released drawing, report, procedure or other document that verifies the existence of the hazard control; and
(7) Maintain records, as required by § 417.15, of the documentation that verifies the information in the ground safety analysis.
(k) A launch operator must ensure the continuing accuracy of its ground safety analysis. The analysis of systems and operations must not end upon submission of a ground safety analysis report to the FAA during the license application process. A launch operator must analyze each new or modified system or operation for potential hazards that can affect the public. A launch operator must ensure that each existing system and operation is subject to continual scrutiny and that the information in a ground safety analysis report is kept current.
(a)
(1) System hazard controls that satisfy § 417.409;
(2) Safety clear zones for hazardous operations that satisfy § 417.411;
(3) Hazard areas and controls for allowing public access that satisfy § 417.413;
(4) Hazard controls after launch or an attempt to launch that satisfy § 417.415; and
(5) Controls for propellant and explosive hazards that satisfy § 417.417.
(b)
(c)
(d)
(e)
(f)
(1) Identification of each hazard and its effects;
(2) Actions to be taken in response to release of a hazardous material;
(3) Identification of protective gear and other safety equipment that must be available in order to respond to a release;
(4) Evacuation and rescue procedures;
(5) Chain of command; and
(6) Communication both on-site and off-site to surrounding communities and local authorities.
(g)
(a)
(1) Ensure a system be at least single fault tolerant to creating a public hazard unless other hazard control criteria are specified for the system by the requirements of this part. A system capable of creating a catastrophic public hazard must be at least dual fault tolerant. Dual fault tolerant system hazard controls include: Switches, valves, or similar components that prevent an unwanted transfer or release of energy or hazardous materials;
(2) Ensure each hazard control used to provide fault tolerance is independent from other hazard controls so that no single action or event can remove more than one inhibit. A launch operator must prevent inadvertent activation of hazard control devices such as switches and valves;
(3) Provide at least two fully redundant safety devices if a safety device must function in order to control a public hazard. A single action or event must not be capable of disabling both safety devices; and
(4) Ensure computing systems and software used to control a public hazard satisfy the requirements of § 417.123.
(b)
(1) Inspect structures and material handling equipment to verify workmanship, proper operations, and maintenance;
(2) Prepare plans to ensure proper operations and maintenance of structures and material handling equipment;
(3) Assess structures and material handling equipment for potential single point failure;
(4) Eliminate single point failures from structures and material handling equipment or subject the structures
(5) Establish other non-destructive inspection techniques if a volumetric inspection cannot be performed. A launch operator, in such a case, must demonstrate through the licensing process that the inspection processes used accurately verify the absence of rejectable discontinuities; and
(6) Ensure qualified and certified personnel, as defined in § 417.105, conduct the inspections.
(c)
(1) Qualified and certified personnel, as defined in § 417.105, must test each pressure vessel, component, or system upon installation and before being placed into service, and periodically inspect to ensure that no rejectable discontinuities exists;
(2) Safety factors applied in the design of a pressure vessel, component, or system must account for static and dynamic loads, environmental stresses, and expected wear;
(3) Pressurized system flow-paths, except for pressure relief and emergency venting, must be single fault tolerant to causing pressure ruptures and material releases during launch processing; and
(4) Provide pressure relief and emergency venting capability to protect against pressure ruptures. Pressure relief devices must provide the flow rate necessary to prevent a rupture in the event a pressure vessel is exposed to fire.
(d)
(1) A launch operator must ensure electrical and mechanical systems, including systems that generate ionizing or non-ionizing radiation, are single fault tolerant to providing or releasing electrical or mechanical energy;
(2) In areas where flammable material exists, a launch operator must ensure electrical systems and equipment are hermetically sealed, explosion proof, intrinsically safe, purged, or otherwise designed so as not to provide an ignition source. A launch operator must assess each electrical system as a possible source of thermal energy and ensure that the electrical system can not act as an ignition source; and
(3) A launch operator must prevent unintentionally conducted or radiated energy due to possible bent pins in a connector, a mismated connector, shorted wires, or unshielded wires within electrical power and signal circuits that interface with hazardous subsystems.
(e)
(f)
(1) A launch operator must ensure ordnance electrical connections are disconnected until final preparations for flight;
(2) An ordnance system must provide for safing and arming of the ordnance. An electrically initiated ordnance system must include ordnance initiation devices and arming devices, also referred to as safe and arm devices, that provide a removable and replaceable mechanical barrier or other positive
(3) Protect ordnance systems from stray energy through grounding, bonding, and shielding; and
(4) Current limit any monitoring or test circuitry that interfaces with an ordnance system to protect against inadvertent initiation of ordnance. Equipment used to measure bridgewire resistance on electro-explosive devices must be special purpose ordnance system instrumentation with features that limit current.
(a) A launch operator must define a safety clear zone that confines the adverse effects of each operation involving a public hazard or launch location hazard. A launch operator's safety clear zones must satisfy the following:
(1) A launch operator must establish a safety clear zone that accounts for the potential blast, fragment, fire or heat, toxic and other hazardous energy or material potential of the associated systems and operations. A launch operator must base a safety clear zone on the following criteria:
(i) For a possible explosive event, base a safety clear zone on the worst case event, regardless of the fault tolerance of the system;
(ii) For a possible toxic event, base a safety clear zone on the worst case event. A launch operator must have procedures in place to maintain public safety in the event toxic releases reach beyond the safety clear zone; and
(iii) For a material handling operation, base a safety clear zone on a worst case event for that operation.
(2) A launch operator must establish a safety clear zone when the launch vehicle is in a launch command configuration with the flight safety systems fully operational and on internal power.
(b) A launch operator must establish restrictions that prohibit public access to a safety clear zone during a hazardous operation. A safety clear zone may extend to areas beyond the launch location boundaries if local agreements provide for restricting public access to such areas and a launch operator verifies that the safety clear zone is clear of the public during the hazardous operation.
(c) A launch operator's procedures must verify that the public is outside of a safety clear zone prior to a launch operator beginning a hazardous operation.
(d) A launch operator must control a safety clear zone to ensure no public access during the hazardous operation. Safety clear zone controls include:
(1) Use of security guards and equipment;
(2) Physical barriers; and
(3) Warning signs, and other types of warning devices.
(a)
(b)
(c)
(1) Use of lockout devices or other restraints on system actuation switches or other controls to eliminate the possibility of inadvertent actuation of a hazardous system.
(2) Disconnect ordnance systems from power sources, incorporate the use of safing plugs, or have safety devices in place that prevent inadvertent initiation. Activity involving the control circuitry of electrically activated safety devices must not be ongoing while the public has access to the hazard area. Install safing pins on safe and arm devices and mechanically actuated devices. Disconnect explosive transfer lines, not protected by a safe and arm device or a mechanically actuated device or equivalent.
(3) When systems or tanks are loaded with hypergols or other toxic materials, close the system or tank and verify it is leak-tight with two verifiable closures, such as a valve and a cap, to every external flow path or fitting. Such a system must also be in a steady-state condition.
(4) Keep each pressurized system below its maximum allowable working pressure and do not allow it to be in a dynamic state. Activity involving the control circuitry of electrically activated pressure system valves must not be ongoing while the public has access to the associated hazard area. Launch vehicle systems must not be pressurized to more than 25% of the system's design burst pressure, when the public has access to the associated hazard area.
(5) Do not allow sources of ionizing or non-ionizing radiation, such as, x-rays, nuclear power sources, high-energy radio transmitters, radar, and lasers to be present or verify they are to be inactive when the public has access to the associated hazard area.
(6) Guard physical hazards to prevent potential physical injury to visiting members of the public. Physical hazards include the following:
(i) Potential falling objects;
(ii) Falls from an elevated height; and
(iii) Protection from potentially hazardous vents, such as pressure relief discharge vents.
(7) Maintain and verify that safety devices or safety critical systems are operating properly prior to permitting public access.
(a) A launch operator must establish, maintain and perform procedures for controlling hazards and returning the launch facility to a safe condition after a successful launch. Procedural hazard controls must include:
(1) Provisions for extinguishing fires;
(2) Re-establishing full operational capability of safety devices, barriers, and platforms; and
(3) Access control.
(b) A launch operator must establish procedures for controlling hazards associated with a failed flight attempt where a solid or liquid launch vehicle engine start command was sent, but the launch vehicle did not liftoff. These procedures must include the following:
(1) Maintaining and verifying that each flight termination system remains operational until verification that the launch vehicle does not represent a risk of inadvertent liftoff. If an ignition signal has been sent to a solid rocket motor, the flight termination system must remain armed and active for a period of no less than 30 minutes. During this time, flight termination system batteries must maintain sufficient voltage and current capacity for flight termination system operation. The flight termination system receivers must remain captured by the command control system transmitter's carrier signal;
(2) Assuring that the vehicle is in a safe configuration, including its propulsion and ordnance systems. The flight safety system crew must have access to the vehicle status. Re-establish safety devices and bring each pressurized system down to safe pressure levels; and
(3) Prohibiting launch complex entry until the launch pad area safing procedures are complete.
(c) A launch operator must establish procedural controls for hazards associated with an unsuccessful flight where
(1) Evacuation and rescue of members of the public, to include modeling the dispersion and movement of toxic plumes, identification of areas at risk, and communication with local government authorities;
(2) Extinguishing fires;
(3) Securing impact areas to ensure that personnel and the public are evacuated, and ensure that no unauthorized personnel or members of the public enter, and to preserve evidence; and
(4) Ensuring public safety from hazardous debris, such as plans for recovery and salvage of launch vehicle debris and safe disposal of hazardous materials.
(a) A launch operator must comply with the explosive safety criteria in part 420 of this chapter.
(b) A launch operator must ensure that:
(1) The explosive site plan satisfies part 420 of this chapter;
(2) Only those explosive facilities and launch points addressed in the explosive site plan are used and only for their intended purpose; and
(3) The total net explosive weight for each explosive hazard facility and launch point must not exceed the maximum net explosive weight limit indicated on the explosive site plan for each location.
(c) A launch operator must establish, maintain, and perform procedures that ensure public safety for the receipt, storage, handling, inspection, test, and disposal of explosives.
(d) A launch operator must establish and maintain each procedural system control to prevent inadvertent initiation of propellants and explosives. These controls must include the following:
(1) Protect ordnance systems from stray energy through methods of bonding, grounding, and shielding, and controlling radio frequency radiation sources in a radio frequency radiation exclusion area. A launch operator must determine the vulnerability of its electro-explosive devices and systems to radio frequency radiation and establish radio frequency radiation power limits or radio frequency radiation exclusion areas as required by the launch site operator or to ensure safety.
(2) Keep ordnance safety devices, as required by § 417.409, in place until the launch complex is cleared as part of the final launch countdown. No members of the public may re-enter the complex until each safety device is re-established.
(3) Do not allow heat and spark or flame producing devices in an explosive or propellant facility without written approval and oversight from a launch operator's safety organization.
(4) Do not allow static producing materials in close proximity to solid or liquid propellants, electro-explosive devices, or systems containing flammable liquids.
(5) Use fire safety measures including:
(i) Elimination or reduction of flammable and combustible materials;
(ii) Elimination or reduction of ignition sources;
(iii) Fire and smoke detection systems;
(iv) Safe means of egress; and
(v) Timely fire suppression response.
(6) Include lightning protection on each facility used to store or process explosives to prevent inadvertent initiation of propellants and explosives due to lightning unless the facility complies with the lightning protection criteria of § 420.71 of this part.
(e) A launch operator, in the event of an emergency, must perform the accident investigation plan as defined in § 417.111(h).
The requirements of this appendix apply to the methods for performing the flight safety analysis required by § 417.107(f) and subpart C of this part. The methodologies contained in this appendix provide an acceptable means of satisfying the requirements of subpart C and provide a standard and a measure of fidelity against which the FAA will measure any proposed alternative analysis approach. This
The requirements of this appendix apply to a launch operator and the launch operator's flight safety analysis unless the launch operator clearly and convincingly demonstrates that an alternative approach provides an equivalent level of safety. If a Federal launch range performs the launch operator's analysis, § 417.203(d) applies. Section A417.33 applies to the flight of any unguided suborbital launch vehicle that uses a wind-weighting safety system. All other sections of this appendix apply to the flight of any launch vehicle required to use a flight safety system as required by § 417.107(a). For any alternative flight safety system approved by the FAA as required by § 417.301(b), the FAA will determine the applicability of this appendix during the licensing process.
A launch operator's flight safety analysis must satisfy the requirements for public risk management and the requirements for the compatibility of the input and output of dependent analyses of § 417.205.
(a)
(b)
(1) For each launch, a trajectory analysis must produce ”with-wind” launch vehicle trajectories pursuant to paragraph (f)(6) of this section and do so using composite wind profiles for the month that the launch will take place or composite wind profiles that are as severe or more severe than the winds for the month that the launch will take place.
(2) A composite wind profile used for the trajectory analysis must have a cumulative percentile frequency that represents wind conditions that are at least as severe as the worst wind conditions under which flight would be attempted for purposes of achieving the launch operator's mission. These worst wind conditions must account for the launch vehicle's ability to operate normally in the presence of wind and accommodate any flight safety limit constraints.
(c)
(d)
(1)
(i) For each three-sigma maximum and minimum performance trajectory, the analysis must use composite head wind and composite tail wind profiles that represent the worst wind conditions under which a launch would be attempted as required by paragraph (b) of this section.
(ii) Each three-sigma maximum and minimum performance trajectory must account for all launch vehicle performance error parameters identified as required by paragraph (f)(1) of this section that have an effect upon instantaneous impact point range.
(2)
(i) In producing each left and right lateral trajectory, the analysis must use composite
(ii) The three-sigma left and right lateral trajectories must account for all launch vehicle performance error parameters identified as required by paragraph (f)(1) of this section that have an effect on the lateral deviation of the instantaneous impact point.
(3)
(e)
(f)
(1) A trajectory analysis must identify all launch vehicle performance error parameters and each parameter's distribution to account for all launch vehicle performance variations and any external forces that can cause offsets from the nominal trajectory during normal flight. A trajectory analysis must account for, but need not be limited to, the following performance error parameters:
(i) Thrust;
(ii) Thrust misalignment;
(iii) Specific impulse;
(iv) Weight;
(v) Variation in firing times of the stages;
(vi) Fuel flow rates;
(vii) Contributions from the guidance, navigation, and control systems;
(ix) Steering misalignment; and
(x) Winds.
(2) Each three-sigma trajectory must account for the effects of wind from liftoff through the point in flight where the launch vehicle attains an altitude where wind no longer affects the launch vehicle.
(g)
(1)
(2)
(3)
(4)
(5)
(6)
(i) Length of semi-major axis;
(ii) Length of semi-minor axis;
(iii) Flattening parameter;
(iv) Eccentricity;
(v) Gravitational parameter;
(vi) Angular velocity of the Earth at the equator; and
(vii) If the reference ellipsoid is not a WGS-84 ellipsoidal Earth model, the equations that convert the filed ellipsoid information to the WGS-84 ellipsoid.
(7)
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
(x)
(xi)
(xii)
(xiii)
(a)
(b)
(1) The analysis must produce malfunction turns that start at a given malfunction start time. The turn must last no less than 12 seconds. These duration limits apply regardless of whether or not the vehicle would breakup or tumble before the prescribed duration of the turn.
(2) A malfunction turn analysis must account for the thrusting periods of flight along a nominal trajectory beginning at first motion until thrust termination of the final thrusting stage or until the launch vehicle achieves orbit, whichever occurs first.
(3) A malfunction turn must consist of a 90-degree turn or a turn in both the pitch and yaw planes that would produce the largest deviation from the nominal instantaneous impact point of which the launch vehicle is capable at any time during the malfunction turn as required by paragraph (d) of this section.
(4) The first malfunction turn must start at liftoff. The analysis must account for subsequent malfunction turns initiated at regular nominal trajectory time intervals not to exceed four seconds.
(5) A malfunction turn analysis must produce malfunction turn data for time intervals of no less than one second over the duration of each malfunction turn.
(6) The analysis must assume that the launch vehicle performance is nominal up to the point of the malfunction that produces the turn.
(7) A malfunction turn analysis must not account for the effects of gravity.
(8) A malfunction turn analysis must ensure the tumble turn envelope curve maintains a positive slope throughout the malfunction turn duration as illustrated in figure A417.9-1. When calculating a tumble turn for an aerodynamically unstable launch vehicle, in the high aerodynamic region it often turns out that no matter how small the initial deflection of the rocket engine, the airframe tumbles through 180 degrees, or one-half cycle, in less time than the required turn duration period. In such a case, the analysis must use a 90-degree turn as the malfunction turn.
(c)
(d)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(i)
(ii)
(iii)
(e)
(1) A description of the assumptions, techniques, and equations used in deriving the malfunction turns.
(2) A set of sample calculations for at least one flight hazard area malfunction start time and one downrange malfunction start time. The sample computation for the downrange malfunction must start at a time at least 50 seconds after the flight hazard area malfunction start time or at the time of nominal thrust termination of the final stage minus the malfunction turn duration.
(3) A launch operator must file malfunction turn data in electronic tabular and graphic formats. The graphs must use scale factors such that the plotting and reading accuracy do not degrade the accuracy of the data. For each malfunction turn start time, a graph must use the same time scales for the malfunction velocity vector turn angle and malfunction velocity magnitude plot pairs. A launch operator must provide tabular listings of the data used to generate the graphs in digital ASCII file format. A launch operator must file the data items required in this paragraph for each malfunction start time and for time intervals that do not exceed one second for the duration of each malfunction turn.
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(a)
(b)
(1) Launch vehicle breakup caused by the activation of any flight termination system. The analysis must account for:
(i) The effects of debris produced when flight termination system activation destroys an intact malfunctioning vehicle.
(ii) Spontaneous breakup of the launch vehicle, if the breakup is assisted by the action of any inadvertent separation destruct system.
(iii) The effects of debris produced by the activation of any flight termination system after inadvertent breakup of the launch vehicle.
(2) Debris due to any malfunction where forces on the launch vehicle may exceed the launch vehicle's structural integrity limits.
(3) The immediate post-breakup or jettison environment of the launch vehicle debris, and any change in debris characteristics over time from launch vehicle breakup or jettison until debris impact.
(4) The impact overpressure, fragmentation, and secondary debris effects of any confined or unconfined solid propellant chunks and fueled components containing either liquid or solid propellants that could survive to impact, as a function of vehicle malfunction time.
(5) The effects of impact of the intact vehicle as a function of failure time. The intact impact debris analysis must identify the trinitrotoluene (TNT) yield of impact explosions, and the numbers of fragments projected from all such explosions, including non-launch vehicle ejecta and the blast overpressure radius. The analysis must use a model for TNT yield of impact explosion that accounts for the propellant weight at impact, the impact speed, the orientation of the propellant, and the impacted surface material.
(c)
(1)
(2)
(3)
(i) Solid propellant that is exposed directly to the atmosphere and that burns but does not explode upon impact as “un-contained non-explosive solid propellant.”
(ii) Solid or liquid propellant that is enclosed in a container, such as a motor case or pressure vessel, and that burns but does not explode upon impact as “contained non-explosive propellant.”
(iii) Solid or liquid propellant that is enclosed in a container, such as a motor case or pressure vessel, and that explodes upon impact as “contained explosive propellant fragment.”
(iv) Solid propellant that is exposed directly to the atmosphere and that explodes upon impact as “un-contained explosive solid propellant fragment.”
(4)
(5)
(6)
(i) Use a Maxwellian distribution with the specified maximum value equal to the 97th percentile; or
(ii) Identify the distribution, and must state whether or not the specified maximum value is a fixed value with no uncertainty.
(7)
(8)
(9)
(10)
(i) The type of fragment, defined by paragraphs (c)(2), (c)(3), and (c)(4) of this section. All fragments within a class must be the same type, such as inert or explosive.
(ii) Debris subsonic ballistic coefficient (β
(iii) Breakup-imparted velocity (ΔV). A debris model must categorize fragments as a function of the range of ΔV for the fragments within a class and the class's median subsonic ballistic coefficient. For each class, the debris model must keep the ratio of the maximum breakup-imparted velocity (ΔV
Where: β′
(d)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)
(13)
(14)
(15)
(16)
(17)
(a)
(b)
(1) Flight safety limits must account for potential malfunction of a launch vehicle during the time from launch vehicle first motion through flight until the planned safe flight state determined as required by section A417.19.
(2) For a flight termination at any time during launch vehicle flight, the impact limit lines must:
(i) Represent no less than the extent of the debris impact dispersion for all debris fragments with a ballistic coefficient greater than or equal to three; and
(ii) Ensure that the debris impact area on the Earth's surface that is bounded by the debris impact dispersion in the uprange, downrange and crossrange directions does not extend to any populated or other protected area.
(3) Each debris impact area determined by a flight safety limits analysis must be offset in a direction away from populated or other protected areas. The size of the offset must account for all parameters that may contribute to the impact dispersion. The parameters must include:
(i) Launch vehicle malfunction turn capabilities.
(ii) Effective casualty area produced as required by section A417.25(b)(8).
(iii) All delays in the identification of a launch vehicle malfunction.
(iv) Malfunction imparted velocities, including any velocity imparted to vehicle fragments by breakup.
(v) Wind effects on the malfunctioning vehicle and falling debris.
(vi) Residual thrust remaining after flight termination.
(vii) Launch vehicle guidance and performance errors.
(viii) Lift and drag forces on the malfunctioning vehicle and falling debris including variations in drag predictions of fragments and debris.
(ix) All hardware and software delays during implementation of flight termination.
(x) All debris impact location uncertainties caused by conditions prior to, and after, activation of the flight termination system.
(xi) Any other impact dispersion parameters peculiar to the launch vehicle.
(xii) All uncertainty due to map error and launch vehicle tracking error.
(c)
(1) The flight safety limits must account for the maximum deviation impact locations for the most wind sensitive debris fragment with a minimum of 11 ft-lbs of kinetic energy at impact.
(2) The maximum deviation impact location of the debris identified in paragraph (c)(1) of this section for each trajectory time must account for the three-sigma impact location for the maximum deviation flight, and the launch day wind conditions that produce the maximum ballistic wind for that debris.
(3) The maximum deviation flight must account for the instantaneous impact point, of the debris identified in paragraph (c)(1) of this section at breakup, that is closest to a protected area and the maximum ballistic wind directed from the breakup point toward that protected area.
(d)
(1) A description of each method used to develop and implement the flight safety limits. The description must include equations and example computations used in the flight safety limits analysis.
(2) A description of how each analysis method meets the analysis requirements and constraints of this section, including how the method produces a worst-case scenario for each impact dispersion area.
(3) A description of how the results of the analysis are used to protect populated and other protected areas.
(4) A graphic depiction or series of depictions of the flight safety limits, the launch point, all launch site boundaries, surrounding geographic area, all protected area boundaries, and the nominal and three-sigma launch vehicle instantaneous impact point ground traces from liftoff to orbital insertion or the end of flight. Each depiction must have labeled geodetic latitude and longitude lines. Each depiction must show the flight safety limits at trajectory time intervals sufficient to depict the mission success margin between the flight safety limits and the protected areas. The launch vehicle trajectory instantaneous impact points must be plotted with sufficient frequency to provide a conformal representation of the launch vehicle's instantaneous impact point ground trace curvature.
(5) A tabular description of the flight safety limits, including the geodetic latitude and longitude for any flight safety limit. The table must contain quantitative values that define flight safety limits. Each quantitative value must be rounded to the number of significant digits that can be determined from the uncertainty of the measurement device used to determine the flight safety limits and must be limited to a maximum of six decimal places.
(6) A map error table of direction and scale distortions as a function of distance from the point of tangency from a parallel of true scale and true direction or from a meridian of true scale and true direction. A launch operator must provide a table of tracking error as a function of downrange distance from the launch point for each tracking station used to make flight safety control decisions. A launch operator must file a description of the method, showing equations and sample calculations, used to determine the tracking error. The table must contain the map and tracking error data points within 100 nautical miles of the reference point at an interval of one data point every 10 nautical miles, including the reference point. The table must contain map and tracking error data points beyond 100 nautical miles from the reference point at an interval of one data point every 100 nautical miles out to a distance that includes all populated or other areas protected by the flight safety limits.
(7) A launch operator must provide the equations used for geodetic datum conversions and one sample calculation for converting the geodetic latitude and longitude coordinates between the datum ellipsoids used. A launch operator must provide any equations used for range and bearing computations between geodetic coordinates and one sample calculation.
(a)
(b)
(1) Launch vehicle trajectory. The analysis must use the straight-up trajectory determined as required by section A417.7(e).
(2) Sources of debris impact dispersion. The analysis must use the sources described in section A417.13(b)(3)(iii) through (xii).
(c)
(1) The straight-up-time.
(2) A description of the methodology used to determine straight-up time.
(a)
(b)
(1) For each gate in a flight safety limit, all the criteria used for determining whether to allow passage through the gate or to terminate flight at the gate must use all the same launch vehicle flight status parameters as the criteria used for determining whether to terminate flight at a flight safety limit. For example, if the flight safety limits are a function of instantaneous impact point location, the criteria for determining whether to allow passage through a gate in the flight safety limit must also be a function of instantaneous impact point location. Likewise, if the flight safety limits are a function of drag impact point, the gate criteria must also be a function of drag impact point.
(2) When establishing a gate in a flight safety limit, the analysis must ensure that the launch vehicle flight satisfies the flight safety requirements of § 417.107.
(3) For each established gate, the analysis must account for:
(i) All launch vehicle tracking and map errors.
(ii) All launch vehicle plus and minus three-sigma trajectory limits.
(iii) All debris impact dispersions.
(4) The width of a gate must restrict a launch vehicle's normal trajectory ground trace.
(c)
(1) A description of the methodology used to establish each gate.
(2) A description of the tracking representation.
(3) A tabular description of the input data.
(4) Example analysis computations performed to determine a gate. If a launch involves more than one gate and the same methodology is used to determine each gate, the launch operator need only file the computations for one of the gates.
(5) A graphic depiction of each gate. A launch operator must provide a depiction or depictions showing flight safety limits, protected area outlines, nominal and 3-sigma left and right trajectory ground traces, protected area overflight regions, and predicted impact dispersion about the three-sigma trajectories within the gate. Each depiction must show latitude and longitude grid lines, gate latitude and longitude labels, and the map scale.
(a)
(b)
(1) For a suborbital launch, the analysis must determine a planned safe flight state as the nominal state vector after liftoff that a launch vehicle's hazardous debris impact dispersion can no longer reach any protected area.
(2) For an orbital launch where the launch vehicle's instantaneous impact point does not traverse a protected area prior to reaching orbit, the analysis must establish the planned safe flight state as the time after liftoff that the launch vehicle's hazardous debris impact dispersion can no longer reach any protected area or orbital insertion, whichever occurs first.
(3) For an orbital launch where a gate permits overflight of a protected area and where orbital insertion occurs after reaching the gate, the analysis must determine the planned safe flight state as the time after
(4) The analysis must account for a malfunction that causes the launch vehicle to proceed from its position at the trajectory time being evaluated toward the closest flight safety limit and protected area.
(5) The analysis must account for the launch vehicle thrust vector that produces the highest instantaneous impact point range rate that the vehicle is capable of producing at the trajectory time being evaluated.
(c)
(1) The analysis must determine each data loss flight time as the minimum thrusting time for a launch vehicle to move from a normal trajectory position to a position where a flight termination would cause the malfunction debris impact dispersion to reach any protected area.
(2) A data loss flight time analysis must account for a malfunction that causes the launch vehicle to proceed from its position at the trajectory time being evaluated toward the closest flight safety limit and protected area.
(3) The analysis must account for the launch vehicle thrust vector that produces the highest instantaneous impact point range rate that the vehicle is capable of producing at the trajectory time being evaluated.
(4) Each data loss flight time must account for the system delays at the time of flight.
(5) The analysis must determine a data loss flight time for time increments that do not exceed one second along the launch vehicle nominal trajectory.
(d)
(1) A launch operator must describe the methodology used in its analysis, and identify all assumptions, techniques, input data, and equations used. A launch operator must file calculations performed for one data loss flight time in the vicinity of the launch site and one data loss flight time that is no less than 50 seconds later in the downrange area.
(2) A launch operator must file a graphical description or depictions of the flight safety limits, the launch point, the launch site boundaries, the surrounding geographic area, any protected areas, the planned safe flight state within any applicable scale requirements, latitude and longitude grid lines, and launch vehicle nominal and three-sigma instantaneous impact point ground traces from liftoff through orbital insertion for an orbital launch, and through final impact for a suborbital launch. Each graph must show any launch vehicle trajectory instantaneous impact points plotted with sufficient frequency to provide a conformal estimate of the launch vehicle's instantaneous impact point ground trace curvature. A launch operator must provide labeled latitude and longitude lines and the map scale on the depiction.
(3) A launch operator must provide a tabular description of each data loss flight time. The tabular description must include the malfunction start time and the geodetic latitude (positive north of the equator) and longitude (positive east of the Greenwich Meridian) coordinates of the intersection of the launch vehicle instantaneous impact point trajectory with the flight safety limit. The table must identify the first data lost flight time and planned safe flight state. The tabular description must include data loss flight times for trajectory time increments not to exceed one second.
(a)
(b)
(1) The analysis must account for decision and reaction times, including variation in human response time, for flight safety official and other personnel that are part of a launch operator's flight safety system as defined by subpart D of this part.
(2) The analyses must determine the time delay inherent in any data, from any source, used by a flight safety official for making flight termination decisions.
(3) A time delay analysis must account for all significant causes of time delay, including data flow rates and reaction times, for hardware and software, including, but not limited to the following:
(i)
(ii)
(iii)
(iv)
(4) A time delay analysis must determine the time delay plus and minus three-sigma values relative to the mean time delay.
(5) For use in any risk analysis, a time delay analysis must determine time delay distributions that account for the variance of time delays for potential launch vehicle failure, including but not limited to, the range of malfunction turn characteristics and the time of flight when the malfunction occurs.
(c)
(1) A description of the methodology used to produce the time delay analysis.
(2) A schematic drawing that maps the flight safety official's data flow time delays from the start of a launch vehicle malfunction through the final commanded flight termination on the launch vehicle, including the flight safety official's decision and reaction time. The drawings must indicate major systems, subsystems, major software functions, and data routing.
(3) A tabular listing of each time delay source and its individual mean and plus and minus three-sigma contribution to the overall time delay. The table must provide all time delay values in milliseconds.
(4) The mean delay time and the plus and minus three-sigma values of the delay time relative to the mean value.
(a)
(b)
(1) If the flight safety analysis employs hazard isolation to establish flight safety limits as required by section A417.13(c), the launch site flight hazard area must encompass the flight safety limits.
(2) If the flight safety analysis does not employ hazard isolation to establish the flight safety limits, the launch site flight hazard area must encompass all hazard areas established as required by paragraphs (c) through (e) of this section.
(c)
(1) An individual casualty contour that defines where the risk to an individual would exceed an expected casualty (Ec) criteria of 1 x 10 −6 if one person were assumed to be in the open and inside the contour during launch vehicle flight must bound a debris hazard area. The analysis must produce an individual casualty contour as follows:
(i) The analysis must account for the location of a hypothetical person, and must vary the location of the person to determine when the risk would exceed the Ec criteria of 1 x 10 −6. The analysis must count a person as a casualty when the person's location is subjected to any inert debris impact with a mean expected kinetic energy greater than or equal to 11 ft-lbs or a peak incident overpressure equal to or greater than 1.0 psi due to explosive debris impact. The analysis must determine the peak incident overpressure using the Kingery-Bulmash relationship, without regard to sheltering, reflections, or atmospheric effects.
(ii) The analysis must account for person locations that are no more than 1000 feet apart in the downrange direction and no more than 1000 feet apart in the crossrange
(iii) An individual casualty contour must consist of curves that are smooth and continuous. To accomplish this, the analysis must vary the time interval between the trajectory times assessed so that each location of a debris impact point is less than one-half sigma of the downrange dispersion distance.
(2) The input for determining a debris impact hazard area must account for the results of the trajectory analysis required by section A417.7, the malfunction turn analysis required by section A417.9, and the debris analysis required by section A417.11 to define the impact locations of each class of debris established by the debris analysis, and the time delay analysis required by section A417.21.
(3) The analysis must account for the extent of the impact debris dispersions for each debris class produced by normal and malfunctioning launch vehicle flight at each trajectory time. The analysis must also account for how the vehicle breaks up, either by the flight termination system or by aerodynamic forces, if the different breakup may result in a different probability of existence for each debris class. A debris impact hazard area must account for each impacting debris fragment classified as required by section A417.11(c).
(4) The analysis must account for launch vehicle flight that exceeds a flight safety limit. The analysis must also account for trajectory conditions that maximize the mean debris impact distance during the flight safety system delay time determined as required by section A417.21 and account for a debris model that is representative of a flight termination or aerodynamic breakup. For each launch vehicle breakup event, the analysis must account for trajectory and breakup dispersions, variations in debris class characteristics, and debris dispersion due to any wind condition under which a launch would be attempted.
(5) The analysis must account for the probability of failure of each launch vehicle stage and the probability of existence of each debris class. The analysis must account for the probability of occurrence of each type of launch vehicle failure. The analysis must account for vehicle failure probabilities that vary depending on the time of flight.
(6) In addition to failure debris, the analysis must account for nominal jettisoned body debris impacts and the corresponding debris impact dispersions. The analysis must use a probability of occurrence of 1.0 for the planned debris fragments produced by normal separation events during flight.
(d)
(e)
(1)
(2)
(f)
(1) A chart that depicts the launch site flight hazard area, including its size and location.
(2) A chart that depicts each hazard area required by this section.
(3) A description of each hazard for which analysis was performed; the methodology used to compute each hazard area; and the debris classes for aerodynamic breakup of the launch vehicle and for flight termination. For each debris class, the launch operator must identify the number of debris fragments, the variation in ballistic coefficient, and the standard deviation of the debris dispersion.
(4) A chart that depicts each of the individual casualty contour.
(5) A description of the aircraft hazard area for each planned debris impact, the information to be published in a Notice to Airmen, and all information required as part of any agreement with the FAA ATC office having jurisdiction over the airspace through which flight will take place.
(6) A description of any ship hazard area for each planned debris impact and all information required in a Notice to Mariners.
(7) A description of the methodology used for determining each hazard area.
(8) A description of the hazard area operational controls and procedures to be implemented for flight.
(a)
(b)
(1) A debris risk analysis must use valid risk analysis models that compute E
(2) A debris risk analysis must account for the following populations:
(i) The overflight of populations located inside any flight safety limits.
(ii) All populations located within five-sigma left and right crossrange of a nominal trajectory instantaneous impact point ground trace and within five-sigma of each planned nominal debris impact.
(iii) Any planned overflight of the public within any gate overflight areas.
(iv) Any populations outside the flight safety limits identified as required by paragraph (b)(10) of this section.
(3) A debris risk analysis must account for both inert and explosive debris hazards produced from any impacting debris caused by normal and malfunctioning launch vehicle flight. The analysis must account for the debris classes determined by the debris analysis required by section A417.11. A debris risk analysis must account for any inert debris impact with mean expected kinetic energy at impact greater than or equal to 11 ft-lbs and peak incident overpressure of greater than or equal to 1.0 psi due to any explosive debris impact. The analysis must account for all debris hazards as a function of flight time.
(4) A debris risk analysis must account for debris impact points and dispersion for each class of debris as follows:
(i) A debris risk analysis must account for drag corrected impact points and dispersions for each class of impacting debris resulting from normal and malfunctioning launch vehicle flight as a function of trajectory time from lift-off through orbital insertion, including each planned impact, for an orbital launch, and through final impact for a suborbital launch.
(ii) The dispersion for each debris class must account for the position and velocity state vector dispersions at breakup, the variance produced by breakup imparted velocities, the effect of winds on both the ascent trajectory state vector at breakup and the descending debris piece impact location the variance produced by aerodynamic properties for each debris class, and any other dispersion variances.
(iii) A debris risk analysis must account for the survivability of debris fragments that are subject to reentry aerodynamic forces or heating. A debris class may be eliminated from the debris risk analysis if the launch operator demonstrates that the debris will not survive to impact.
(5) A debris risk analysis must account for launch vehicle failure probability. The following constraints apply:
(i) For flight safety analysis purposes, a failure occurs when a vehicle does not complete any phase of normal flight or exhibits the potential for the stage or its debris to impact the Earth or reenter the atmosphere during the mission or any future mission of similar vehicle capability. Also, either a launch incident or launch accident constitutes a failure.
(ii) For a launch vehicle with fewer than 2 flights completed, the analysis must use a reference value for the launch vehicle failure probability estimate equal to the upper limit of the 60% two-sided confidence limits of the binomial distribution for outcomes of all previous launches of vehicles developed and launched in similar circumstances. The FAA may adjust the failure probability estimate to account for the level of experience demonstrated by the launch operator and other factors that affects the probability of failure. The FAA may adjust the failure probability estimate for the second launch based on evidence obtained from the first flight of the vehicle.
(iii) For a launch vehicle with at least 2 flights completed, the analysis must use the reference value for the launch vehicle failure probability of Table A417-3 based on the outcomes of all previous launches of the vehicle. The FAA may adjust the failure probability estimate to account for evidence obtained from the flight history of the vehicle. The FAA may adjust the failure probability estimate to account for the nature of launch outcomes in the flight history of the vehicle, corrective actions taken in response to a failure of the vehicle, or other vehicle modifications that may affect reliability. The FAA may adjust the failure probability estimate to account for the demonstrated quality of the engineering approach to launch vehicle processing, meeting safety requirements in this part, and associated hazard mitigation. The analysis must use a final failure estimate within the confidence limits of Table A417-3.
(A) Values listed on the far left of Table A417-3 apply when no launch failures are experienced. Values on the far right apply when only launch failures are experienced. Values in between apply for flight histories that include both failures and successes.
(B) Reference values in Table A417-3 are shown in bold. The reference values are the median values between 60% two-sided confidence limits of the binomial distribution. For the special cases of zero or N failures in N launch attempts, the reference values may also be recognized as the median value between the 80% one-sided confidence limit of the binomial distribution and zero or one, respectively.
(C) Upper and lower confidence bounds in Table A417-3 are shown directly above and below each reference value. These confidence bounds are based on 60% two-sided confidence limits of the binomial distribution. For the special cases of zero or N failures in N launch attempts, the upper and lower confidence bounds are based on the 80% one-sided confidence limit, respectively.
(6) A debris risk analysis must account for the dwell time of the instantaneous impact point ground trace over each populated or protected area being evaluated.
(7) A debris risk analysis must account for the three-sigma instantaneous impact point trajectory variations in left-crossrange, right-crossrange, uprange, and downrange as
(8) A debris risk analysis must account for the effective casualty area as a function of launch vehicle flight time for all impacting debris generated from a catastrophic launch vehicle malfunction event or a planned impact event. The effective casualty area must account for both payload and vehicle systems and subsystems debris. The effective casualty area must account for all debris fragments determined as part of a launch operator's debris analysis as required by section A417.11. The effective casualty area for each explosive debris fragment must account for a 1.0 psi blast overpressure radius and the projected debris effects for all potentially explosive debris. The effective casualty area for each inert debris fragment must:
(i) Account for bounce, skip, slide, and splatter effects; or
(ii) Equal seven times the maximum projected area of the fragment.
(9) A debris risk analysis must account for current population density data obtained from a current population database for the region being evaluated or by estimating the current population using exponential population growth rate equations applied to the most current historical data available. The population model must define population centers that are similar enough to be described and treated as a single average set of characteristics without degrading the accuracy of the debris risk estimate.
(10) For a launch vehicle that uses a flight safety system, a debris risk analysis must account for the collective risk to any populations outside the flight safety limits during flight, including people who will be at any public launch viewing area during flight. For such populations, in addition to the constraints of paragraphs (b)(1) through (b)(9) of this section, a launch operator's debris risk analysis must account for the following:
(i) The probability of a launch vehicle failure that would result in debris impact in protected areas outside the flight safety limits.
(ii) The failure probability of the launch operator's flight safety system. A flight safety system failure rate of 0.002 may be used if the flight safety system complies with the flight safety system requirements of subpart D of this part. For an alternate flight safety system approved as required by § 417.107(a)(3), the launch operator must demonstrate the validity of the probability of failure through the licensing process.
(iii) Current population density data and population projections for the day and time of flight for the areas outside the flight safety limits.
(c)
(1) A debris risk analysis report that provides the analysis input data, probabilistic risk determination methods, sample computations, and text or graphical charts that characterize the public risk to geographical areas for each launch.
(2) Geographic data showing:
(i) The launch vehicle nominal, five-sigma left-crossrange and five-sigma right-crossrange instantaneous impact point ground traces;
(ii) All exclusion zones relative to the instantaneous impact point ground traces; and
(iii) All populated areas included in the debris risk analysis.
(3) A discussion of each launch vehicle failure scenario accounted for in the analysis and the probability of occurrence, which may vary with flight time, for each failure scenario. This information must include failure scenarios where a launch vehicle:
(i) Flies within normal limits until some malfunction causes spontaneous breakup or results in a commanded flight termination;
(ii) Experiences malfunction turns; and
(iii) Flight safety system fails to function.
(4) A population model applicable to the launch overflight regions that contains the following: region identification, location of the center of each population center by geodetic latitude and longitude, total area, number of persons in each population center, and a description of the shelter characteristics within the population center.
(5) A description of the launch vehicle, including general information concerning the nature and purpose of the launch and an overview of the launch vehicle, including a scaled diagram of the general arrangement and dimensions of the vehicle. A launch operator's debris risk analysis products may reference other documentation filed with the FAA containing this information. The description must include:
(i) Weights and dimensions of each stage.
(ii) Weights and dimensions of any booster motors attached.
(iii) The types of fuel used in each stage and booster.
(iv) Weights and dimensions of all interstage adapters and skirts.
(v) Payload dimensions, materials, construction, and any payload fuel; payload fairing construction, materials, and dimensions; and any non-inert components or materials that add to the effective casualty area of the debris, such as radioactive or toxic materials or high-pressure vessels.
(6) A typical sequence of events showing times of ignition, cutoff, burnout, and jettison of each stage, firing of any ullage rockets, and starting and ending times of coast periods and control modes.
(7) The following information for each launch vehicle motor:
(i) Propellant type and composition;
(ii) Thrust profile;
(iii) Propellant weight and total motor weight as a function of time;
(iv) A description of each nozzle and steering mechanism;
(v) For solid rocket motors, internal pressure and average propellant thickness, or borehole radius, as a function of time;
(vi) Maximum impact point deviations as a function of failure time during destruct system delays. Burn rate as a function of ambient pressure;
(vii) A discussion of whether a commanded destruct could ignite a non-thrusting motor, and if so, under what conditions; and
(viii) Nozzle exit and entrance areas.
(8) The launch vehicle's launch and failure history, including a summary of past vehicle performance. For a new vehicle with little or no flight history, a launch operator must provide all known data on similar vehicles that include:
(i) Identification of the launches that have occurred;
(ii) Launch date, location, and direction of each launch;
(iii) The number of launches that performed normally;
(iv) Behavior and impact location of each abnormal experience;
(v) The time, altitude, and nature of each malfunction; and
(vi) Descriptions of corrective actions taken, including changes in vehicle design, flight termination, and guidance and control hardware and software.
(9) The values of probability of impact (P
A flight safety analysis must include a toxic release hazard analysis that satisfies the requirements of § 417.227. A launch operator's toxic release hazard analysis must satisfy the methodology requirements of appendix I of this part. A launch operator must file the analysis products identified in appendix I of this part as required by § 417.203(e).
(a)
(b)
(1) Explosive yield factors. The analysis must use explosive yield factor curves for each type or class of solid or liquid propellant used by the launch vehicle. Each explosive yield factor curve must be based on the most accurate explosive yield data for the corresponding type or class of solid or liquid propellant based on empirical data or computational modeling.
(2) Establish the maximum credible explosive yield. The analysis must establish the maximum credible explosive yield resulting from normal and malfunctioning launch vehicle flight. The explosive yield must account for impact mass and velocity of impact on the Earth's surface. The analysis must account for explosive yield expressed as a TNT equivalent for peak overpressure.
(3) Characterize the population exposed to the hazard. The analysis must demonstrate whether any population centers are vulnerable to a distant focus overpressure hazard using the methodology provided by section 6.3.2.4 of the American National Standard Institute's ANSI S2.20-1983, “Estimating Air Blast Characteristics for Single Point Explosions in Air with a Guide to Evaluation of Atmospheric Propagation and Effects” and as follows:
(i) For the purposes of this analysis, a population center must include any area outside the launch site and not under the launch operator's control that contains an exposed site. An exposed site includes any structure that may be occupied by human beings, and that has at least one window, but does not include automobiles, airplanes, and waterborne vessels. The analysis must account for the most recent census information on each population center. The analysis must treat any exposed site for which no census information is available, or the census information indicates a population equal to or less than four persons, as a ‘single residence.'
(ii) The analysis must identify the distance between the location of the maximum credible impact explosion and the location of each population center potentially exposed. Unless the location of the potential explosion site is limited to a defined region, the analysis must account for the distance between the potential explosion site and a population center as the minimum distance between any point within the region contained
(iii) The analysis must account for all weather conditions optimized for a distant focus overpressure hazard by applying an atmospheric blast “focus factor” (F) of 5.
(iv) The analysis must determine, using the methodology of section 6.3.2.4 of ANSI S2.20-1983, for each a population center, whether the maximum credible explosive yield of a launch meets, exceeds or is less than the “no damage yield limit,” of the population center. If the maximum credible explosive yield is less than the “no damage yield limit” for all exposed sites, the remaining requirements of this section do not apply. If the maximum credible explosive yield meets or exceeds the “no damage yield limit” for a population center then that population center is vulnerable to far field blast overpressure from the launch and the requirements of paragraphs (b)(4) and (b)(5) of this section apply.
(4) Estimate the quantity of broken windows. The analysis must use a focus factor of 5 and the methods provided by ANSI S2.20-1983 to estimate the number of potential broken windows within each population center determined to be vulnerable to the distant focus overpressure hazard as required by paragraph (b)(3) of this section.
(5) Determine and implement measures necessary to prevent distant focus overpressure from breaking windows. For each population center that is vulnerable to far field blast overpressure from a launch, the analysis must identify mitigation measures to protect the public from serious injury from broken windows and the flight commit criteria of § 417.113(b) needed to enforce the mitigation measures. A launch operator's mitigation measures must include one or more of the following:
(i) Apply a minimum 4-millimeter thick anti-shatter film to all exposed sites where the maximum credible yield exceeds the “no damage yield limit.”
(ii) Evacuate the exposed public to a location that is not vulnerable to the distant focus overpressure hazard at least two hours prior to the planned flight time.
(iii) If, as required by paragraph (b)(4) of this section, the analysis predicts that less than 20 windows will break, advise the public of the potential for glass breakage.
(c)
(d)
(1) A description of the methodology used to produce the far field blast overpressure analysis results, a tabular description of the analysis input data, and a description of any far field blast overpressure mitigation measures implemented.
(2) For any far field blast overpressure risk analysis, an example set of the analysis computations.
(3) The values for the maximum credible explosive yield as a function of time of flight.
(4) The distance between the potential explosion location and any population center vulnerable to the far field blast overpressure hazard. For each population center, the launch operator must identify the exposed populations by location and number of people.
(5) Any mitigation measures established to protect the public from far field blast overpressure hazards and any flight commit criteria established to ensure the mitigation measures are enforced.
(a)
(b)
(1) A launch operator must provide United States Strategic Command with the launch window and trajectory data needed to perform a collision avoidance analysis for a launch as required by paragraph (c) of this section, at least 15 days before the first attempt at flight. The FAA will identify a launch operator to United States Strategic Command as part of issuing a license and provide a launch operator with current United States Strategic Command contact information.
(2) A launch operator must obtain a collision avoidance analysis performed by United States Strategic Command 6 hours before the beginning of a launch window.
(3) A launch operator may use a collision avoidance analysis for 12 hours from the time that United States Strategic Command determines the state vectors of the manned or mannable orbiting objects. If a launch operator needs an updated collision avoidance analysis due to a launch delay, the launch operator must file the request with United States Strategic Command at least 12 hours
(4) For every 90 minutes, or portion of 90 minutes, that pass between the time United States Strategic Command last determined the state vectors of the orbiting objects, a launch operator must expand each wait in a launch window by subtracting 15 seconds from the start of the wait in the launch window and adding 15 seconds to the end of the wait in the launch window. A launch operator must incorporate all the resulting waits in the launch window into its flight commit criteria established as required by § 417.113.
(c)
(1)
(i)
(ii)
(iii)
(2)
(3)
(4)
(i)
(ii)
(5)
(i)
(ii)
(6)
(7)
(i)
(ii)
(iii)
(iv)
(v)
(8)
(i)
(ii)
(9)
(10)
(d)
This appendix contains requirements to establish aircraft hazard areas, ship hazard areas, and land impact hazard areas. The methodologies contained in this appendix represent an acceptable means of satisfying the requirements of § 417.107 and § 417.223 as they pertain to ship, aircraft, and land hazard areas. This appendix provides a standard and a measure of fidelity against which the FAA will measure any proposed alternative approaches. Requirements for a launch operator's implementation of a hazard area are contained in §§ 417.121(e) and (f).
(a) A launch operator must ensure the following notifications have been made and adhered to at launch:
(1) A Notice to Airmen (NOTAM) must be issued for every aircraft hazard area identified as required by sections B417.5 and B417.7. The NOTAM must be effective no less than thirty minutes prior to flight and effective until no sooner than thirty minutes after the air space volume requested by the NOTAM can no longer be affected by the launch vehicle or its potential hazardous effects.
(2) A Notice to Mariners (NOTMAR) must be issued for every ship hazard area identified as required by sections B417.5 and B417.7. The NOTMAR must be effective no less than thirty minutes prior to flight and effective until no sooner than thirty minutes after the area requested by the NOTMAR can no longer be affected by the launch vehicle or its potential hazardous effects.
(3) All local officials and landowners adjacent to any hazard area must be notified of the flight schedule no less than two days prior to the flight of the launch vehicle.
(b) A launch operator must survey each of the following hazard areas:
(1) Each launch site hazard area;
(2) Each aircraft hazard area in the vicinity of the launch site; and
(3) Each ship hazard area in the vicinity of the launch site.
(a)
(b)
(1) Each land hazard area in the vicinity of the launch site calculated as required by section B417.13;
(2) Each ship hazard area in the vicinity of the launch site calculated as required by section B417.11(c); and
(3) The aircraft hazard area in the vicinity of the launch site calculated as required by section B417.9(c).
(a)
(b)
(1) The aircraft hazard area in the vicinity of each planned impact location calculated as required by section B417.9(d);
(2) The ship hazard area in the vicinity of each planned water impact location calculated as required by section B417.11(d); and
(3) The land hazard area in the vicinity of each planned land impact location calculated as required by section B417.13.
(a)
(b)
(1) The trajectory analysis performed as required by section A417.7 or section C417.3; and
(2) The debris risk analysis performed as required by section A417.25 or section C417.9.
(c)
(1) Using the trajectory analysis performed as required by section A417.7 or section C417.3, select all data locations where the vehicle's nominal altitude, or positional component on the z-axis, is less than and equal to 100,000 ft MSL.
(2) From the data locations representing the dispersed trajectories calculated as required by section A417.7(d) or section C417.3(f) and modified to incorporate a 5 nm buffer as required by paragraph (c)(1) of this section for the data locations selected below a nominal altitude of 100,000 ft MSL as required by paragraph (c)(1) of this section, select the location that is the farthest left-hand crossrange, the location that is the farthest right-hand crossrange, the location that is the farthest downrange, and the location that is the farthest uprange.
(3) Construct a box in the xy plane that includes two lines parallel to the azimuth, two lines perpendicular to the azimuth, and contains the four locations selected as required by paragraph (c)(2) of this section.
(4) Extend the box constructed as required by paragraph (c)(3) of this section from the surface of the Earth to an infinite altitude.
(d)
(1) The analysis must calculate a three-sigma dispersion ellipse by determining the three-sigma impact limit around a planned impact location.
(2) Taking the three-sigma dispersion ellipse calculated as required by paragraph (d)(1) of this section, plot a co-centric ellipse in the xy plane where the major and minor axes are 10nm longer than the major and minor axes of the three-sigma dispersion ellipse.
(3) Extend the ellipse calculated as required by paragraph (d)(2) of this section from the surface to an infinite altitude.
(4) Using the trajectory that predicts the instantaneous impact locations required in section A417.7(g)(7)(xii) or section C417.3(d), find the location on the trajectory where the vehicle's nominal altitude is predicted to be 100,000 ft MSL.
(5) At the trajectory time where the altitude is represented as 100,000 ft MSL, select the corresponding points from the normal trajectory dispersion that are the farthest uprange, downrange, right crossrange, and left crossrange relative to the nominal trajectory.
(6) Construct a box in the xy plane that includes two lines parallel to the azimuth, two lines perpendicular to the azimuth, and contains the points selected as required by paragraph (d)(5) of this section and the nominal impact point.
(7) Extend the box constructed as required by paragraph (d)(6) of this section from the surface of the Earth to an infinite altitude.
(8) Construct a volume, the aircraft hazard area, that encompasses the volumes calculated as required by paragraphs (d)(3) and (d)(7) of this section.
(a)
(b)
(1) The trajectory analysis performed as required by section A417.7 or section C417.3;
(2) For a launch vehicle flown with a flight safety system, the malfunction turn analysis required by section A417.9;
(3) The debris analysis required by section A417.11 or section C417.7 to define the impact locations of each class of debris established by the debris analysis;
(4) For a launch vehicle flown with a flight safety system, the time delay analysis required by section A417.21; and
(5) The debris risk analysis performed as required by section A417.25 or section C417.9.
(c)
(1) A ship-hit contour must account for the size of the largest ship that could be located in the ship hazard area. The analysis must demonstrate that the ship size used represents the largest ship that could be present in the ship hazard area or, if the ship size is unknown, the analysis must use a ship size of 120,000 square feet.
(2) The analysis must first calculate the probability of impacting the reference ship selected as required by paragraph (c)(1) of this section at the location of interest. From the location of interest, move the ship away from the launch location along a single radial until the probability that debris is present at that location multiplied by the probability that a ship is at that location is less than or equal to 1 × 10
(i) The analysis predicts that inert debris will directly impact the vessel with a mean expected kinetic energy at impact greater than or equal to 11 ft-lbs; or
(ii) The analysis predicts the peak incident overpressure at the reference vessel will be greater than or equal to 1.0 psi due to any explosive debris impact.
(3) The analysis must account for:
(i) The variance in winds;
(ii) The aerodynamic properties of the debris;
(iii) The variance in velocity of the debris;
(iv) Guidance and performance errors;
(v) The type of vehicle breakup, either by any flight termination system or by aerodynamic forces that may result in different debris characteristics; and
(vi) Debris impact dispersion resulting from vehicle breakup and the malfunction turn capabilities of the launch vehicle.
(4) Repeat the process outlined in paragraph (c)(2) of this section while varying the radial direction until enough locations are found where the reference ship's probability of impact is less than or equal to 1 × 10
(d)
(1) The analysis must calculate a three-sigma dispersion ellipse by determining the three-sigma impact limit around a planned impact location.
(2) Taking the three-sigma dispersion ellipse calculated as required by paragraph (d)(1) of this section, plot a co-centric ellipse in the xy plane where the major and minor axes are 10 nm longer than the major and minor axes of the three-sigma dispersion ellipse.
(a)
(b)
(1) The trajectory analysis performed as required by section A417.7 or section C417.3;
(2) For a launch vehicle flown with a flight safety system, the malfunction turn analysis required by section A417.9;
(3) The debris analysis required by section A417.11 or section C417.7 to define the impact locations of each class of debris established by the debris analysis;
(4) For a launch vehicle flown with a flight safety system, the time delay analysis required by section A417.21; and
(5) The debris risk analysis performed as required by section A417.25 or section C417.9.
(c)
(1) Each land hazard area must completely encompass all individual casualty contours that define where the risk to an individual would exceed the expected casualty (E
(i) The analysis must account for the location of a hypothetical person, and must vary the location of the person to determine when the risk would exceed the E
(ii) The analysis must account for all person locations that are no more than 1000 feet apart in the downrange direction and no more than 1000 feet apart in the crossrange direction to produce an individual casualty contour. For each person location, the analysis must sum all the probabilities of casualty over all flight times for all debris groups.
(iii) An individual casualty contour must consist of curves that are smooth and continuous. To accomplish this, the analysis must vary the time interval between each trajectory time assessed so that each location of a debris impact point is less than one-half sigma of the downrange dispersion distance.
(2) The input for determining a land impact hazard area must account for the following in order to define the impact locations of each class of debris established by the debris analysis and the time delay analysis required by section A417.21 for a launch vehicle flown with a flight safety system:
(i) The results of the trajectory analysis required by section A417.7 or section C417.3;
(ii) The malfunction turn analysis required by section A417.9 for a launch vehicle flown with a flight safety system; and
(iii) The debris analysis required by section A417.11 or section C417.7.
(3) The analysis must account for the extent of the impact debris dispersions for each debris class produced by normal and malfunctioning launch vehicle flight at each trajectory time. The analysis must also account for how the vehicle breaks up, either by any flight termination system or by aerodynamic forces, if the different breakup may result in a different probability of existence for each debris class. A land impact hazard area must account for each impacting debris fragment classified as required by section A417.11(c) or section C417.7.
(4) For a launch vehicle flown with a flight safety system, the analysis must account for launch vehicle flight that exceeds a flight safety limit. The analysis must also account for trajectory conditions that maximize the mean debris impact distance during the flight safety system delay time determined as required by section A417.21 and account for a debris model that is representative of a flight termination or aerodynamic breakup.
(5) For each launch vehicle breakup event, the analysis must account for trajectory and breakup dispersions, variations in debris class characteristics, and debris dispersion due to any wind condition under which a launch would be attempted.
(6) The analysis must account for the probability of failure of each launch vehicle stage and the probability of existence of each debris class. The analysis must account for the probability of occurrence of each type of launch vehicle failure. The analysis must account for each vehicle failure probabilities that vary depending on the time of flight.
(7) In addition to failure debris, the analysis must account for nominal jettisoned body debris impacts and the corresponding debris impact dispersions. The analysis must use a probability of occurrence of 1.0 for the planned debris fragments produced by normal separation events during flight.
(d)
(e)
(f)
(1) The analysis must calculate a one-sigma dispersion ellipse by determining the one-sigma impact limit around a planned impact location.
(2) Taking the one-sigma dispersion ellipse calculated as required by paragraph (f)(1) of this section, plot a co-centric ellipse in the xy plane where the major and minor axes are 10nm longer than the major and minor axes of the one-sigma dispersion ellipse.
(a) This appendix contains methodologies for performing the flight safety analysis required for the launch of an unguided suborbital launch vehicle flown with a wind weighting safety system, except for the hazard area analysis required by § 417.107, which is covered in appendix B of this part. This appendix includes methodologies for a trajectory analysis, wind weighting analysis, debris analysis, debris risk analysis, and a collision avoidance analysis.
(b) The requirements of this appendix apply to a launch operator and the launch operator's flight safety analysis unless the launch operator clearly and convincingly demonstrates that an alternative approach provides an equivalent level of safety.
(c) A launch operator must:
(1) Perform a flight safety analysis to determine the launch parameters and conditions under which an unguided suborbital launch vehicle may be flown using a wind weighting safety system as required by § 417.233.
(2) When conducting the flight safety analysis, comply with the safety criteria and operational requirements contained in § 417.125; and
(3) Conduct the flight safety analysis for an unguided suborbital launch vehicle using the methodologies of this appendix and appendix B of this part unless the launch operator demonstrates, in accordance with § 406.3(b), through the licensing process, that an alternate method provides an equivalent level of fidelity.
(a)
(1) The launch vehicle's nominal trajectory;
(2) Each nominal drag impact point; and
(3) Each potential three-sigma dispersion about each nominal drag impact point.
(b)
(1)
(2)
(3)
(4)
(5)
(c)
(1) Launcher data, as follows—
(i) Geodetic latitude and longitude;
(ii) Height above sea level;
(iii) All location errors; and
(iv) Launch azimuth and elevation.
(2) Reference ellipsoidal Earth model, as follows—
(i) Name of the Earth model employed;
(ii) Semi-major axis;
(iii) Semi-minor axis;
(iv) Eccentricity;
(v) Flattening parameter;
(vi) Gravitational parameter;
(vii) Rotation angular velocity;
(viii) Gravitational harmonic constants; and
(ix) Mass of the Earth.
(3)
(i) Nozzle exit area of each stage.
(ii) Distance from the rocket nose-tip to the nozzle exit for each stage.
(iii) Reference drag area and reference diameter of the rocket including any payload for each stage of flight.
(iv) Thrust as a function of time.
(v) Propellant weight as a function of time.
(vi) Coefficient of drag as a function of mach number.
(vii) Distance from the rocket nose-tip to center of gravity as a function of time.
(viii) Yaw moment of inertia as a function of time.
(ix) Pitch moment of inertia as a function of time.
(x) Pitch damping coefficient as a function of mach number.
(xi) Aerodynamic damping coefficient as a function of mach number.
(xii) Normal force coefficient as a function of mach number.
(xiii) Distance from the rocket nose-tip to center of pressure as a function of mach number.
(xiv) Axial force coefficient as a function of mach number.
(xv) Roll rate as a function of time.
(xvi) Gross mass of each stage.
(xvii) Burnout mass of each stage.
(xviii) Vacuum thrust.
(xix) Vacuum specific impulse.
(xx) Stage dimensions.
(xxi) Weight of each spent stage.
(xxii) Payload mass properties.
(xxiii) Nominal launch elevation and azimuth.
(4)
(5)
(6)
(d)
(1) A launch operator must identify each performance error parameter associated with the unguided suborbital launch vehicle's design and operation and the value for each parameter that reflect nominal rocket performance. A launch operator must identify each performance error parameter's distribution to account for all launch vehicle performance variations and any external forces that can cause offsets from the nominal trajectory during normal flight. These performance error parameters include thrust misalignment, thrust variation, weight variation, fin misalignment, impulse variation, aerodynamic drag variation, staging timing variation, stage separation-force variation, drag error, uncompensated wind, launcher elevation angle error, launcher azimuth angle error, launcher tip-off, and launcher location error.
(2) A launch operator must perform a no-wind trajectory simulation using a six-degrees-of-freedom (6-DOF) trajectory simulation with all performance error parameters set to their nominal values to determine the impact point of each stage or component. The 6-DOF trajectory simulation must provide rocket position translation along three axes of an orthogonal Earth-centered coordinate system and rocket orientation in roll, pitch and yaw. The 6-DOF trajectory simulation must compute each translation and orientation in response to forces and moments internal and external to the rocket including all the effects of the input data required by paragraph (c) of this section. A launch operator may incorporate the following assumptions in a 6-DOF trajectory simulation:
(i) The airframe may be treated as a rigid body.
(ii) The airframe may have a plane of symmetry coinciding with the vertical plane of reference.
(iii) The vehicle may have aerodynamic symmetry in roll.
(iv) The airframe may have six degrees-of-freedom.
(v) The aerodynamic forces and moments may be functions of mach number and may be linear with small flow incidence angles of attack.
(3) A launch operator must tabulate the geodetic latitude and longitude of the launch vehicle's nominal drag impact point as a function of trajectory time and the final nominal drag impact point of each planned impacting stage or component.
(e)
(f)
(1) For each stage of flight, a launch operator must identify the plus and minus one-sigma values for each performance error parameter identified as required by paragraph (d)(1) of this section (i.e., nominal value plus one standard deviation and nominal value minus one standard deviation). A launch operator must determine the dispersion in downrange, uprange, and left and right crossrange for each impacting stage and component. A launch operator may either perform a Monte Carlo analysis that accounts for the distribution of each performance error parameter or determine the dispersion by a root-sum-square method under paragraph (f)(2) of this section.
(2) When using a root-sum-square method to determine dispersion, a launch operator must determine the deviations for a given stage by evaluating the deviations produced in that stage due to the performance errors in that stage and all preceding stages of the launch vehicle as illustrated in Table C417-1, and by computing the square root of the sum of the squares of each deviation caused by each performance error parameter's one sigma dispersion for each stage in each of the right crossrange, left crossrange, uprange and downrange directions. A launch operator must evaluate the performance errors for one stage at a time, with the performance of all subsequent stages assumed to be nominal. A launch operator's root-sum-square method must incorporate the following requirements:
(i) With the 6-DOF trajectory simulation used to determine nominal drag impact points as required by paragraph (d) of this
(ii) For uprange, downrange, right crossrange, and left crossrange, compute the square root of the sum of the squares of the distance deviations in each direction. The square root of the sum of the squares distance value for each direction represents the one-sigma drag impact point dispersion in that direction. For a multiple stage rocket, perform the first stage series of simulation runs with all subsequent stage performance error parameters set to their nominal value. Tabulate the uprange, downrange, right crossrange, and left crossrange distance deviations from the nominal impact for each subsequent drag impact point location caused by the first stage one-sigma performance error parameter. Use these deviations in determining the total drag impact point dispersions for the subsequent stage impacts as described in paragraph (f)(2)(iii) of this section.
(iii) For each subsequent stage impact of an unguided suborbital launch vehicle, determine the one-sigma impact dispersions by first determining the one-sigma distance deviations for that stage impact caused by each preceding stage as described in paragraph (f)(2)(ii) of this section. Then perform a series of simulation runs and tabulate the uprange, downrange, right crossrange, and left crossrange drag impact point distance deviations as described in paragraph (f)(2)(i) of this section for that stage's one-sigma performance error parameter values with the preceding stage performance parameters set to nominal values. For each uprange, downrange, right crossrange, and left crossrange direction, compute the square root of the sum of the squares of the stage impact distance deviations due to that stage's and each preceding stage's one-sigma performance error parameter values. This square root of the sum of the squares distance value for each direction represents the total one-sigma drag impact point dispersion in that direction for the nominal drag impact point location of that stage. Use these deviations when determining the total drag impact point dispersions for the subsequent stage impacts.
(3) A launch operator must determine a three-sigma dispersion area for each impacting stage or component as an ellipse that is centered at the nominal drag impact point location and has semi-major and semi-minor axes along the uprange, downrange, left crossrange, and right crossrange axes. The length of each axis must be three times as large as the total one-sigma drag impact point dispersions in each direction.
(g)
(1) A description of the process that the launch operator used for performing the trajectory analysis, including the number of simulation runs and the process for any Monte Carlo analysis performed.
(2) A description of all assumptions and procedures the launch operator used in deriving each of the performance error parameters and their standard deviations.
(3) Launch point origin data: name, geodetic latitude (+N), longitude (+E), geodetic height, and launch azimuth measured clockwise from true north.
(4) Name of reference ellipsoid Earth model used. If a launch operator employs a reference ellipsoid Earth model other than WGS-84, Department of Defense World Geodetic System, Military Standard 2401 (Jan. 11, 1994), the launch operator must identify the semi-major axis, semi-minor axis, eccentricity, flattening parameter, gravitational parameter, rotation angular velocity, gravitational harmonic constants (e.g., J2, J3, J4), and mass of Earth.
(5) If a launch operator converts latitude and longitude coordinates between different ellipsoidal Earth models to complete a trajectory analysis, the launch operator must file the equations for geodetic datum conversions and a sample calculation for converting the geodetic latitude and longitude coordinates between the models employed.
(6) A launch operator must file tabular data that lists each performance error parameter used in the trajectory computations and each performance error parameter's plus and minus one-sigma values. If the launch operator employs a Monte Carlo analysis method for determining the dispersions about the nominal drag impact point, the tabular data must list the total one-sigma drag impact point distance deviations in each direction for each impacting stage and component. If the launch operator employs the square root of the sum of the squares method of paragraph (f)(2) of this section, the tabular data must include the one-sigma
(7) A launch operator must file a graphical depiction showing geographical landmasses and the nominal and maximum range trajectories from liftoff until impact of the final stage. The graphical depiction must plot trajectory points in time intervals of no greater than one second during thrusting flight and for times corresponding to ignition, thrust termination or burnout, and separation of each stage or impacting body. If there are less than four seconds between stage separation or other jettison events, a launch operator must reduce the time intervals between plotted trajectory points to 0.2 seconds or less. The graphical depiction must show total launch vehicle velocity as a function of time, present-position ground-range as a function of time, altitude above the reference ellipsoid as a function of time, and the static stability margin as a function of time.
(8) A launch operator must file tabular data that describes the nominal and maximum range trajectories from liftoff until impact of the final stage. The tabular data must include the time after liftoff, altitude above the reference ellipsoid, present position ground range, and total launch vehicle velocity for ignition, burnout, separation, booster apogee, and booster impact of each stage or impacting body. The launch operator must file the tabular data for the same time intervals required by paragraph (g)(7) of this section.
(9) A launch operator must file a graphical depiction showing all geographical landmasses and the unguided suborbital launch vehicle's drag impact point for the nominal trajectory, the maximum impact range boundary, and the three-sigma drag impact point dispersion area for each impacting stage or component. The graphical depiction must show the following in relationship to each other: The nominal trajectory, a circle whose radius represents the range to the farthest downrange impact point that results from the maximum range trajectory, and the three-sigma drag impact point dispersions for each impacting stage and component.
(10) A launch operator must file tabular data that describes the nominal trajectory, the maximum impact range boundary, and each three-sigma drag impact point dispersion area. The tabular data must include the geodetic latitude (positive north of the equator) and longitude (positive east of the Greenwich Meridian) of each point describing the nominal drag impact point positions, the maximum range circle, and each three-sigma impact dispersion area boundary. Each three-sigma dispersion area must be described by no less than 20 coordinate pairs. All coordinates must be rounded to the fourth decimal point.
(a)
(b)
(i) Account for the winds in the airspace region through which the rocket will fly. A launch operator's wind weighting safety system must include an operational method of determining the wind direction and wind magnitude at all altitudes that the rocket will reach up to the maximum altitude defined by dispersion analysis as required by section C417.3.
(ii) Account for all errors due to the methods used to measure the winds in the airspace region of the launch, delay associated with wind measurement, and the method used to model the effects of winds. The resulting sum of these error components must be no greater than those used as the wind error dispersion parameter in the launch vehicle trajectory analysis performed as required by section C417.3.
(iii) Account for the dispersion of all impacting debris, including any uncorrected wind error accounted for in the trajectory analysis performed as required by section C417.3.
(iv) Establish flight commit criteria that are a function of the analysis and operational methods employed and reflect the maximum wind velocities and wind variability for which the results of the wind weighting analysis are valid.
(v) Account for the wind effects during each thrusting phase of an unguided suborbital launch vehicle's flight and each ballistic phase of each rocket stage and component until burnout of the last stage.
(vi) Determine the impact point location for any parachute recovery of a stage or component or the launch operator must perform a wind drift analysis to determine the parachute impact point location.
(2) A launch operator must perform a wind weighting analysis using a six-degrees-of-
(3) A launch operator must perform a wind weighting analysis using a computer program or other method of editing wind data, recording the time the data was obtained, and recording the balloon number or identification of any other measurement device used for each wind altitude layer.
(c)
(1) A launch operator must measure the winds on the day of flight to determine wind velocity and direction. A launch operator's process for measuring winds must provide wind data that is consistent with any assumptions made in the launch operator's trajectory and drag impact point dispersion analysis, as required by section C417.3, regarding the actual wind data available on the day of flight. Wind measurements must be made at altitude increments such that the maximum correction between any two measurements does not exceed 5%. Winds must be measured from the ground level at the launch point to a maximum altitude that is consistent with the launch operator's drag impact point dispersion analysis. The maximum wind measurement altitude must be that necessary to account for 99% of the wind effect on the impact dispersion point. A launch operator's wind measuring process must employ the use of balloons and radar tracking or balloons fitted with a Global Positioning System transceiver, and must account for the following:
(i) Measure winds from ground level to an altitude of at least that necessary to account for 99% of the wind effect on the impact dispersion point within six hours before flight and after any weather front passes the launch site before liftoff. Repeat a wind measurement up to the maximum altitude whenever a wind measurement, for any given altitude, from a later balloon release is not consistent with a wind measurement, for the same altitude, from an earlier balloon release.
(ii) Measure winds from ground level to an altitude of at least that necessary to account for 95% of the wind effect on the impact dispersion point within four hours before flight and after any weather front passes the launch site before liftoff. Repeat a wind measurement to the 95% wind effect altitude whenever a wind measurement, for any given altitude, from a later lower altitude balloon release is not consistent with the wind measurement, for the same altitude, from the 95% wind effect altitude balloon release.
(iii) Measure winds from ground level to an altitude of no less than that necessary to account for 80% of the wind effect on the impact dispersion point twice within 30 minutes of liftoff. Use the first measurement to set launcher azimuth and elevation, and the second measurement to verify the first measurement data.
(2) A launch operator must perform runs of the 6-DOF trajectory simulation using the flight day measured winds as input and targeting for the nominal final stage drag impact point. In an iterative process, vary the launcher elevation angle and azimuth angle settings for each simulation run until the nominal final stage impact point is achieved. The launch operator must use the resulting launcher elevation angle and azimuth angle settings to correct for the flight day winds. The launch operator must not initiate flight unless the launcher elevation angle and azimuth angle settings after wind weighting are in accordance with the following:
(i) The launcher elevation angle setting resulting from the wind weighting analysis must not exceed ± 5° from the nominal launcher elevation angle setting and must not exceed a total of 86° for a proven launch vehicle, and 84° for an unproven launch vehicle. A launch operator's nominal launcher elevation angle setting must be as required by § 417.125(c)(3).
(ii) The launcher azimuth angle setting resulting from the wind weighting analysis must not exceed +30° from the nominal launcher azimuth angle setting unless the launch operator demonstrates clearly and convincingly, through the licensing process, that its unguided suborbital launch vehicle has a low sensitivity to high wind speeds, and the launch operator's wind weighting analysis and wind measuring process provide an equivalent level of safety.
(3) Using the trajectory produced in paragraph (c)(2) of this section, for each intermediate stage and planned ejected component, a launch operator must compute the impact point that results from wind drift by performing a run of the 6-DOF trajectory simulation with the launcher angles determined in paragraph (c)(2) of this section and the flight day winds from liftoff until the burnout time or ejection time of the stage or ejected component. The resulting impact point(s) must be accounted for when performing flight day ship-hit operations defined in section B417.11(c).
(4) If a parachute is used for any stage or component, a launch operator must determine the wind drifted impact point of the stage or component using a trajectory simulation that incorporates modeling for the change in aerodynamics at parachute ejection. Perform this simulation run in addition to any simulation of spent stages without parachutes.
(5) A launch operator must verify that the launcher elevation angle and azimuth angle settings at the time of liftoff are the same as required by the wind weighting analysis.
(6) A launch operator must monitor and verify that any wind variations and maximum wind limits at the time of liftoff are within the flight commit criteria established according to § 417.113(c).
(7) A launch operator must generate output data from its wind weighting analysis for each impacting stage or component in printed, plotted, or computer medium format. This data must include:
(i) Launch day wind measurement data, including magnitude and direction.
(ii) The results of each computer run made using the launch day wind measurement data, including but not limited to, launcher settings, and impact locations for each stage or component.
(iii) Final launcher settings recorded.
(d)
(1) A launch operator must file a description of its wind weighting analysis methods, including its method and schedule of determining wind speed and wind direction for each altitude layer.
(2) A launch operator must file a description of its wind weighting safety system and identify all equipment used to perform the wind weighting analysis, such as any wind towers, balloons, or Global Positioning System wind measurement system employed and the type of trajectory simulation employed.
(3) A launch operator must file a sample wind weighting analysis using actual or statistical winds for the launch area and provide samples of the output required by paragraph (c)(7) of this section.
(a)
(b)
(1) Debris due to any malfunction where forces on the launch vehicle may exceed the launch vehicle's structural integrity limits.
(2) The immediate post-breakup or jettison environment of the launch vehicle debris, and any change in debris characteristics over time from launch vehicle breakup or jettison until debris impact.
(3) The impact overpressure, fragmentation, and secondary debris effects of any confined or unconfined solid propellant chunks and fueled components containing either liquid or solid propellants that could survive to impact, as a function of vehicle malfunction time.
(4) The effects of impact of the intact vehicle as a function of failure time. The intact impact debris analysis must identify the trinitrotoluene (TNT) yield of impact explosions, and the numbers of fragments projected from all such explosions, including non-launch vehicle ejecta and the blast overpressure radius. The analysis must use a model for TNT yield of impact explosion that accounts for the propellant weight at impact, the impact speed, the orientation of the propellant, and the impacted surface material.
(c)
(1)
(2)
(3)
(i) Solid propellant that is exposed directly to the atmosphere and that burns but does not explode upon impact as “un-contained non-explosive solid propellant.”
(ii) Solid or liquid propellant that is enclosed in a container, such as a motor case or pressure vessel, and that burns but does not explode upon impact as “contained non-explosive propellant.”
(iii) Solid or liquid propellant that is enclosed in a container, such as a motor case or pressure vessel, and that explodes upon impact as “contained explosive propellant fragment.”
(iv) Solid propellant that is exposed directly to the atmosphere and that explodes upon impact as “un-contained explosive solid propellant fragment.”
(4)
(5)
(6)
(i) Use a Maxwellian distribution with the specified maximum value equal to the 97th percentile; or
(ii) Identify the distribution, and state whether or not the specified maximum value is a fixed value with no uncertainty.
(7)
(8)
(9)
(10)
(i) The type of fragment, defined by paragraphs (c)(2), (c)(3), and (c)(4) of this section. All fragments within a class must be the same type, such as inert or explosive.
(ii) Debris subsonic ballistic coefficient (β
(iii) Breakup-imparted velocity (ΔV). A debris model must categorize fragments as a function of the range of ΔV for the fragments within a class and the class's median subsonic ballistic coefficient. For each class, the debris model must keep the ratio of the maximum breakup-imparted velocity (ΔV
(d)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)
(13)
(14)
(15)
(16)
(17)
(a)
(b)
(1) A debris risk analysis must use valid risk analysis models that compute E
(2) A debris risk analysis must account for the following populations:
(i) The overflight of populations located inside any flight hazard area.
(ii) All populations located within five-sigma left and right crossrange of a nominal trajectory instantaneous impact point ground trace and within five-sigma of each planned nominal debris impact.
(3) A debris risk analysis must account for both inert and explosive debris hazards produced from any impacting debris caused by normal and malfunctioning launch vehicle flight. The analysis must account for the debris classes determined by the debris analysis required by section A417.11. A debris risk analysis must account for any inert debris impact with mean expected kinetic energy at impact greater than or equal to 11 ft-lbs and peak incident overpressure of greater than or equal to 1.0 psi due to any explosive debris impact. The analysis must account for all debris hazards as a function of flight time.
(4) A debris risk analysis must account for debris impact points and dispersion for each class of debris in accordance with the following:
(i) A debris risk analysis must account for drag corrected impact points and dispersions for each class of impacting debris resulting from normal and malfunctioning launch vehicle flight as a function of trajectory time from lift-off through final impact.
(ii) The dispersion for each debris class must account for the position and velocity state vector dispersions at breakup, the variance produced by breakup imparted velocities, the effects of winds on both the ascent trajectory state vector at breakup and the descending debris piece impact location, the variance produced by aerodynamic properties for each debris class, and any other dispersion variances.
(iii) A debris risk analysis must account for the survivability of debris fragments that are subject to reentry aerodynamic forces or heating. A debris class may be eliminated from the debris risk analysis if the launch operator demonstrates that the debris will not survive to impact.
(5) A debris risk analysis must account for launch vehicle failure probability. The following constraints apply:
(i) For flight safety analysis purposes, a failure occurs when a vehicle does not complete any phase of normal flight or exhibits the potential for the stage or its debris to impact the Earth or reenter the atmosphere during the mission or any future mission of similar vehicle capability. Also, either a launch incident or launch accident constitutes a failure.
(ii) For a launch vehicle with fewer than 2 flights completed, the analysis must use a reference value for the launch vehicle failure probability estimate equal to the upper limit of the 60% two-sided confidence limits of the binomial distribution for outcomes of all previous launches of vehicles developed and launched in similar circumstances. The FAA may adjust the failure probability estimate to account for the level of experience demonstrated by the launch operator and other factors that affects the probability of failure. The FAA may adjust the failure probability estimate for the second launch based on evidence obtained from the first flight of the vehicle.
(iii) For a launch vehicle with at least 2 flights completed, the analysis must use the reference value for the launch vehicle failure probability of Table C417-2 based on the outcomes of all previous launches of the vehicle. The FAA may adjust the failure probability estimate to account for evidence obtained from the flight history of the vehicle. Failure probability estimate adjustments to the reference value may account for the nature of launch outcomes in the flight history of the vehicle, corrective actions taken in response to a failure of the vehicle, or other vehicle modifications that may affect reliability. The FAA may adjust the failure probability estimate to account for the demonstrated quality of the engineering approach to launch vehicle processing. The analysis must use a final failure estimate within the confidence limits of Table C417-2.
(A) Values listed on the far left of Table C417-2 apply when no launch failures are experienced. Values on the far right apply when only launch failures are experienced. Values in between apply for flight histories that include both failures and successes.
(B) Reference values in Table C417-2 are shown in bold. The reference values are the median values between 60% two-sided confidence limits of the binomial distribution. For the special cases of zero or N failures in N launch attempts, the reference values may also be recognized as the median value between the 80% one-sided confidence limit of the binomial distribution and zero or one, respectively.
(C) Upper and lower confidence bounds in Table C417-2 are shown directly above and below each reference value. These confidence bounds are based on 60% two-sided confidence limits of the binomial distribution. For the special cases of zero or N failures in N launch attempts, the upper and lower confidence bounds are based on the 80% one-sided confidence limit, respectively.
(6) A debris risk analysis must account for the dwell time of the instantaneous impact point ground trace over each populated or protected area being evaluated.
(7) A debris risk analysis must account for the three-sigma instantaneous impact point trajectory variations in left-crossrange, right-crossrange, uprange, and downrange as a function of trajectory time, due to launch vehicle performance variations as determined by the trajectory analysis performed as required by section C417.3.
(8) A debris risk analysis must account for the effective casualty area as a function of launch vehicle flight time for all impacting debris generated from a catastrophic launch vehicle malfunction event or a planned impact event. The effective casualty area must:
(i) Account for both payload and vehicle systems and subsystems debris;
(ii) Account for all debris fragments determined as part of a launch operator's debris analysis as required by section A417.11;
(iii) For each explosive debris fragment, account for a 1.0 psi blast overpressure radius and the projected debris effects for all potentially explosive debris; and
(iv) For each inert debris fragment, account for bounce, skip, slide, and splatter effects; or equal seven times the maximum projected area of the fragment.
(9) A debris risk analysis must account for current population density data obtained from a current population database for the region being evaluated or by estimating the current population using exponential population growth rate equations applied to the most current historical data available. The population model must define population centers that are similar enough to be described and treated as a single average set of characteristics without degrading the accuracy of the debris risk estimate.
(c)
(1) A debris risk analysis report that provides the analysis input data, probabilistic risk determination methods, sample computations, and text or graphical charts that characterize the public risk to geographical areas for each launch.
(2) Geographic data showing:
(i) The launch vehicle nominal, five-sigma left-crossrange and five-sigma right-crossrange instantaneous impact point ground traces;
(ii) All exclusion zones relative to the instantaneous impact point ground traces; and
(iii) All populated areas included in the debris risk analysis.
(3) A discussion of each launch vehicle failure scenario accounted for in the analysis and the probability of occurrence, which may vary with flight time, for each failure scenario. This information must include failure scenarios where a launch vehicle:
(i) Flies within normal limits until some malfunction causes spontaneous breakup; and
(ii) Experiences malfunction turns.
(4) A population model applicable to the launch overflight regions that contains the following: Region identification, location of the center of each population center by geodetic latitude and longitude, total area, number of persons in each population center, and a description of the shelter characteristics within the population center.
(5) A description of the launch vehicle, including general information concerning the nature and purpose of the launch and an overview of the launch vehicle, including a scaled diagram of the general arrangement and dimensions of the vehicle. A launch operator's debris risk analysis products may reference other documentation filed with the FAA containing this information. The description must include:
(i) Weights and dimensions of each stage.
(ii) Weights and dimensions of any booster motors attached.
(iii) The types of fuel used in each stage and booster.
(iv) Weights and dimensions of all interstage adapters and skirts.
(v) Payload dimensions, materials, construction, and any payload fuel; payload fairing construction, materials, and dimensions; and any non-inert components or materials that add to the effective casualty area of the debris, such as radioactive or toxic materials or high-pressure vessels.
(6) A typical sequence of events showing times of ignition, cutoff, burnout, and jettison of each stage, firing of any ullage rockets, and starting and ending times of coast periods and control modes.
(7) The following information for each launch vehicle motor:
(i) Propellant type and composition;
(ii) Vacuum thrust profile;
(iii) Propellant weight and total motor weight as a function of time;
(iv) A description of each nozzle and steering mechanism;
(v) For solid rocket motors, internal pressure and average propellant thickness, or borehole radius, as a function of time;
(vi) Burn rate; and
(vii) Nozzle exit and entrance areas.
(8) The launch vehicle's launch and failure history, including a summary of past vehicle performance. For a new vehicle with little or no flight history, a launch operator must provide all known data on similar vehicles that include:
(i) Identification of the launches that have occurred;
(ii) Launch date, location, and direction of each launch;
(iii) The number of launches that performed normally;
(iv) Behavior and impact location of each abnormal experience;
(v) The time, altitude, and nature of each malfunction; and
(vi) Descriptions of corrective actions taken, including changes in vehicle design, flight termination, and guidance and control hardware and software.
(9) The values of probability of impact (PI) and expected casualty (Ec) for each populated area.
(a)
(b)
(c)
(1) A launch operator must provide United States Strategic Command with the launch window and trajectory data needed to perform a collision avoidance analysis for a launch as required by paragraph (d) of this section, at least 15 days before the first attempt at flight. The FAA will identify a launch operator to United States Strategic Command as part of issuing a license and provide a launch operator with current United States Strategic Command contact information.
(2) A launch operator must obtain a collision avoidance analysis performed by United States Strategic Command 6 hours before the beginning of a launch window.
(3) A launch operator may use a collision avoidance analysis for 12 hours from the time that United States Strategic Command determines the state vectors of the manned or mannable orbiting objects. If a launch operator needs an updated collision avoidance analysis due to a launch delay, the launch operator must file the request with United States Strategic Command at least 12 hours prior to the beginning of the new launch window.
(4) For every 90 minutes, or portion of 90 minutes, that pass between the time United States Strategic Command last determined the state vectors of the orbiting objects, a launch operator must expand each wait in a
(d)
(1)
(i)
(ii)
(iii)
(2)
(3)
(4)
(i)
(ii)
(5)
(i)
(ii)
(6)
(7)
(i)
(ii)
(iii)
(iv)
(v)
(8)
(i)
(ii)
(9)
(e)
This appendix applies to each flight termination system and the components that make up the system for each launch. Section 417.301 requires that a launch operator's flight safety system include a flight termination system that complies with this appendix. Section 417.301 also contains requirements that apply to a launch operator's demonstration of compliance with the requirements of this appendix.
(a) When a flight safety system terminates the flight of a vehicle because it has either violated a flight safety rule as defined in § 417.113 or the vehicle inadvertently separates or destructs as described in section D417.11, a flight termination system must:
(1) Render each propulsion system that has the capability of reaching a populated or other protected area, incapable of propulsion, without significant lateral or longitudinal deviation in the impact point. This includes each stage and any strap on motor or propulsion system that is part of any payload;
(2) Terminate the flight of any inadvertently or prematurely separated propulsion system capable of reaching a populated or other protected area;
(3) Destroy the pressure integrity of any solid propellant system to terminate all thrust or ensure that any residual thrust causes the propulsion system to tumble without significant lateral or longitudinal deviation in the impact point; and
(4) Disperse any liquid propellant, whether by rupturing the propellant tank or other equivalent method, and initiate burning of any toxic liquid propellant.
(b) A flight termination system must not cause any solid or liquid propellant to detonate.
(c) The flight termination of a propulsion system must not interfere with the flight termination of any other propulsion system.
(a)
(b)
(1) Inhibit functioning of the system during flight; or
(2) Produce an inadvertent initiation of the system that would endanger the public.
(c)
(1) Any linear shaped charge need not be redundant if it initiates at both ends, and the initiation source for one end is not the same as the initiation source for the other end; or
(2) Any passive component such as an antenna or radio frequency coupler need not be redundant if it satisfies the requirements of this appendix.
(d)
(1) Accomplish flight termination system arming and safing;
(2) Provide data to the telemetry system; or
(3) Accomplish any engine shut-down.
(e)
(f)
(g)
(h)
(1) Each component must satisfy all its performance specifications when subjected to the full length of its specified storage life, operating life, and service life; and
(2) A component's storage, operating, or service life must not expire before flight. A launch operator may extend an ordnance component's service life by satisfying the service life extension tests of appendix E of this part.
(i)
(a)
(b)
(1) Each maximum predicted vibration, shock, and thermal environment for a flight termination system component must include a margin that accounts for the uncertainty due to flight-to-flight variability and any analytical uncertainty. For a launch vehicle configuration for which there have been fewer than three flights, the margin must be no less than plus 3 dB for vibration, plus 4.5 dB for shock, and plus and minus 11 °C for thermal range; and
(2) For a launch vehicle configuration for which there have been fewer than three flights, a launch operator must monitor flight environments at as many locations within the launch vehicle as needed to verify the maximum predicted flight environments for each flight termination system component. An exception is that the launch operator may obtain empirical shock environment data through ground testing. A launch operator must adjust each maximum predicted flight environment for any future launch to account for all data obtained through monitoring.
(c)
(1)
(2)
(i) The acceptance-number of thermal cycles from one extreme of the maximum predicted thermal range to the other extreme; and
(ii) Three times the acceptance-number of thermal cycles from the lower of −34 °C or the predicted lowest temperature minus 10 °C, to the higher of 71 °C or the predicted highest temperature plus 10 °C.
(3)
(i) The sum of ten thermal cycles and the acceptance-number of thermal cycles from one extreme of the maximum predicted thermal range to the other extreme; and
(ii) Three times the acceptance-number of thermal cycles from the lower of −34 °C or the predicted lowest temperature minus 10 °C, to the higher of 71 °C or the predicted highest temperature plus 10 °C.
(4)
(i) A silver zinc battery must satisfy all its performance specifications when subjected to the acceptance-number of thermal cycles from 10 °C lower than the lowest temperature of the battery's maximum predicted temperature range to 10 °C higher than the highest temperature of the range. An exception is that each thermal cycle may range from 5.5 °C lower than the lowest temperature of the battery's maximum predicted temperature range to 10 °C higher than the highest temperature of the range if the launch operator monitors the battery's operating temperature on the launch vehicle with an accuracy of no less than ±1.5 °C.
(ii) A nickel cadmium battery must satisfy all its performance specifications when subjected to three times the acceptance-number of thermal cycles from the lower of −20 °C or the predicted lowest temperature minus 10 °C, to the higher of 40 °C or the predicted highest temperature plus 10 °C.
(iii) Any other power source must satisfy all its performance specifications when subjected to three times the acceptance-number of thermal cycles from 10 °C lower than the lowest temperature of the maximum predicted temperature range to 10 °C higher the highest temperature of the range.
(5)
(i) The acceptance-number of thermal cycles from one extreme of the maximum predicted thermal range to the other extreme; and
(ii) Three times the acceptance-number of thermal cycles from the lower of −34 °C or the predicted lowest temperature minus 10 °C, to the higher of 71 °C or the predicted highest temperature plus 10 °C.
(6)
(d)
(e)
(f)
(g)
(1) A flight termination system component must satisfy all its performance specifications when exposed to the greater of:
(i) A force of 6 dB above the maximum predicted pyrotechnic shock level to be experienced during flight with a shock frequency response range from 100 Hz to 10,000 Hz; or
(ii) The minimum breakup qualification shock levels and frequencies required by Table E417.11-2 of appendix E of this part.
(2) A component must satisfy all its performance specifications after it experiences a total of 18 shocks consisting of three shocks in each direction, positive and negative, for each of three mutually perpendicular axes.
(h)
(i)
(j)
(k)
(l)
(a) A flight termination system must include a command destruct system that is initiated by radio command and satisfies the requirements of this section.
(b) A command destruct system must have its radio frequency components on or above the last launch vehicle stage capable of reaching a populated or other protected area before the planned safe flight state for the launch.
(c) The initiation of a command destruct system must result in accomplishing all the flight termination system functions of section D417.3.
(d) At any point along the nominal trajectory from liftoff until no longer required by § 417.107, a command destruct system must operate with a radio frequency input signal that has an electromagnetic field intensity of 12 dB below the intensity provided by the command transmitter system under nominal conditions over 95 percent of the radiation sphere surrounding the launch vehicle.
(e) A command destruct system must survive the breakup of the launch vehicle until the system accomplishes all its flight termination functions or until breakup of the vehicle, including the use of any automatic or inadvertent separation destruct system, accomplishes the required flight termination.
(f) A command destruct system must receive and process a valid flight termination system arm command before accepting a flight termination system destruct command.
(g) For any liquid propellant, a command destruct system must allow a flight safety official to non-destructively shut down any thrusting liquid engine by command before destroying the launch vehicle.
(a) A flight termination system must include an automatic or inadvertent separation destruct system for each stage or strap-on motor capable of reaching a protected area before the planned safe flight state for each launch if the stage or strap-on motor does not possess a complete command destruct system. Any automatic or inadvertent separation destruct system must satisfy the requirements of this section.
(b) The initiation of an automatic or inadvertent separation destruct system must accomplish all flight termination system functions of section D417.3 that apply to the stage or strap-on motor on which it is installed.
(c) An inadvertent separation destruct system must activate when it senses any launch vehicle breakup or premature separation of the stage or strap-on motor on which the inadvertent separation destruct system is located.
(d) A launch operator must locate an automatic or inadvertent separation destruct system so that it will survive launch vehicle breakup until the system activates and accomplishes all its flight termination functions.
(e) For any electrically initiated automatic or inadvertent separation destruct system, each power source that supplies energy to initiate the destruct ordnance must be on the same stage or strap-on motor as the system.
(a)
(b)
(c)
(d)
(1) Any onboard launch vehicle hardware or software used to automatically safe flight termination system ordnance must be single fault tolerant against inadvertent safing. Any automatic safing must satisfy all of the following:
(i) Any automatic safing must occur only when the flight of the launch vehicle satisfies the safing criteria for no less than two different safing parameters or conditions, such as time of flight, propellant depletion, acceleration, or altitude. The safing criteria for each different safing parameter or condition must ensure that the flight termination system on a stage or strap-on-motor can only be safed once the stage or strap-on motor attains orbit or can no longer reach a populated or other protected area;
(ii) Any automatic safing must ensure that all flight termination system ordnance initiation devices and arming devices remain armed and all electronic flight termination system components remain powered during flight until the requirements of paragraph (d)(1)(i) of this section are satisfied and the system is safed; and
(iii) If operation of the launch vehicle could result in satisfaction of the safing criteria for one of the two safing parameters or conditions before normal thrust termination of the stage or strap-on motor to which the parameter or condition applies, the launch operator must demonstrate that the greatest remaining thrust, assuming a three-sigma maximum engine performance, cannot result in the stage or strap-on motor reaching a populated or other protected area;
(2) If a radio command safes a flight termination system, the command control system used for in-flight safing must be single fault tolerant against inadvertent transmission of a safing command under § 417.303(d).
(a) A launch operator must establish and implement written procedures to ensure that all flight termination system components are installed on a launch vehicle according to the qualified flight termination system design. The procedures must ensure that:
(1) The installation of all flight termination system mechanical interfaces is complete;
(2) Installation personnel use calibrated tools to install ordnance when a specific standoff distance is necessary to ensure that the ordnance has the desired effect on the material it is designed to cut or otherwise destroy; and
(3) Each person involved is qualified for each task that person is to perform.
(b) Flight termination system installation procedures must include:
(1) A description of each task to be performed, each facility to be used, and each hazard involved;
(2) A checklist of tools and equipment required;
(3) A list of personnel required for performing each task;
(4) Step-by-step directions written with sufficient detail for a qualified person to perform each task;
(5) Identification of any tolerances that must be met during the installation; and
(6) Steps for inspection of installed flight termination system components, including quality assurance oversight procedures.
(c) The personnel performing a flight termination system installation procedure must signify that the procedure is accomplished, and record the outcome and any data verifying successful installation.
(a) A flight termination system must interface with the launch vehicle's telemetry system to provide the data that the flight safety system crew needs to evaluate the
(b) The telemetry data must include:
(1) Signal strength for each command destruct receiver;
(2) Whether the power to each electronic flight termination system component is on or off;
(3) Status of output commands for each command destruct receiver and each automatic or inadvertent separation destruct system;
(4) Safe or arm status of each safe-and-arm device of sections D417.35 and D417.39;
(5) Voltage for each flight termination system battery;
(6) Current for each flight termination system battery;
(7) Status of any electrical inhibit at the system level that is critical to the operation of a flight termination system and is not otherwise identified by this appendix;
(8) Status of any exploding bridgewire firing unit, including arm input, power level, firing capacitor charge level, and trigger capacitor charge level;
(9) Temperature of each flight termination system battery, whether monitored at each battery or in the immediate vicinity of each battery so that each battery's temperature can be derived; and
(10) Status of each switch used to provide power to a flight termination system, including any switch used to change from an external power source to an internal power source.
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(1) Electronic circuitry must not contain protection devices, such as fuses, except as allowed by paragraph (g)(2) of this section. A destruct circuit may employ current limiting resistors;
(2) Any electronic circuit designed to shut down or disable a launch vehicle engine and that interfaces with a launch vehicle function must use one or more devices, such as fuses, circuit breakers, or limiting resistors, to protect against over-current, including any direct short; and
(3) The design of a flight termination system output circuit that interfaces with another launch vehicle circuit must prevent any launch vehicle circuit failure from disabling or degrading the flight termination system's performance.
(h)
(i)
(j)
(k)
(l)
(1) An ordnance initiator circuit must deliver an operating current of no less than 150% of the initiator's all-fire qualification current level when operating at the lowest battery voltage and under the worse case system tolerances allowed by the system design limits;
(2) For a low voltage ordnance initiator with an electro-explosive device that initiates at less than 50 volts, the initiator's circuitry must limit the power at each associated electro-explosive device that could be produced by an electromagnetic environment to a level at least 20 dB below the pin-to-pin direct current no-fire power of the electro-explosive device; and
(3) For a high voltage ordnance initiator that initiates ordnance at greater than 1,000 volts, the initiator must include safe-and-arm plugs that interrupt power to the main initiator's charging circuits, such as the trigger and output capacitors. A high voltage initiator's circuitry must ensure that the power that could be produced at the initiator's command input by an electromagnetic environment is no greater than 20 dB below the initiator's firing level.
(a) Each parameter measurement made by a monitor circuit must show the status of the parameter.
(b) Each monitor circuit must be independent of any firing circuit. A monitor, control, or checkout circuit must not share a connector with a firing circuit.
(c) A monitor circuit must not route through a safe-and-arm plug.
(d) Any monitor current in an electro-explosive device system firing line must not exceed one-tenth of the no-fire current of the electro-explosive device.
(e) Resolution, accuracy, and data rates for each monitoring circuit must provide for detecting whether performance specifications are satisfied and detecting any out-of-family conditions.
(a) An ordnance train must consist of all components responsible for initiation, transfer, and output of an explosive charge. Ordnance train components must include, initiators, energy transfer lines, boosters, explosive manifolds, and destruct charges.
(b) The reliability of an ordnance train to initiate ordnance, including the ability to propagate a charge across any ordnance interface, must be 0.999 at a 95% confidence level.
(c) The decomposition, cook-off, sublimation, auto-ignition, and melting temperatures of all flight termination system ordnance must be no less than 30(C higher than the maximum predicted environmental temperature to which the material will be exposed during storage, handling, installation, transportation, and flight.
(d) An ordnance train must include initiation devices that can be connected or removed from the destruct charge. The design of an ordnance train must provide for easy access to the initiation devices.
(a)
(b)
(c)
(1) A flight termination system antenna must have a radio frequency bandwidth that is no less than two times the total combined maximum tolerances of all applicable radio frequency performance factors. The performance factors must include frequency modulation deviation, command control transmitter inaccuracies, and variations in hardware performance during thermal and dynamic environments;
(2) A launch operator must treat any thermal protection used on a flight termination system antenna as part of the antenna; and
(3) A flight termination system antenna must be compatible with the command control system transmitting equipment.
(d)
(1) A radio frequency coupler must prevent any single point failure in one redundant command receiver or antenna from affecting any other redundant command receiver or antenna by providing isolation between each port. An open or short circuit in one redundant command destruct receiver or antenna path must not prevent the functioning of the other command destruct receiver or antenna path;
(2) Each input port must be isolated from all other input ports;
(3) Each output port must be isolated from all other output ports; and
(4) A radio frequency coupler must provide for a radio frequency bandwidth that exceeds two times the total combined maximum tolerances of all applicable radio frequency performance factors. The performance factors must include frequency modulation deviation of multiple tones, command control transmitter inaccuracies, and variations in hardware performance during thermal and dynamic environments.
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(1) Circuit protection must provide for an electronic component to satisfy all its performance specifications when subjected to the open circuit voltage of the component's power source for no less than twice the expected duration and when subjected to the minimum input voltage of the loaded voltage of the power source for no less than twice the expected duration;
(2) In the event of an input power dropout, any control or switching circuit critical to the reliable operation of a component, including solid-state power transfer switches, must not change state for at least 50 milliseconds;
(3) An electronic component must not use a watchdog circuit that automatically shuts down or disables the component during flight;
(4) An electronic component must satisfy all its performance specifications when any of its monitoring circuits or nondestruct output ports are subjected to a short circuit or the highest positive or negative voltage capable of being supplied by the monitor batteries or other power supplies where the voltage lasts for no less than five minutes; and
(5) An electronic component must satisfy all its performance specifications when subjected to any undetectable reverse polarity voltage that can occur during launch processing for no less than five minutes.
(j)
(1) The susceptibility level of an electronic component must be below the emissions of all other launch vehicle components and external transmitters.
(2) Any electromagnetic emissions from an electronic component must not be at a level that would affect the performance of other flight termination system components.
(3) An electronic component must not produce any inadvertent command output and must satisfy all its performance specifications when subjected to external radio frequency sources and modulation schemes to which the component could be subjected prior to and during flight.
(k)
(1) Each series redundant branch in any firing circuit of an electronic component that prevents a single failure point from issuing a destruct output must include a monitoring circuit or test points that verify the integrity of each redundant branch after assembly;
(2) Any piece-part used in a firing circuit must have the capacity to output at least 1.5 times the maximum firing current for no less than 10 times the duration of the maximum firing pulse;
(3) An electronic component's destruct output circuit and all its parts must deliver the required output power to the intended output load while operating with any input voltage that is within the component's input power operational design limits;
(4) An electronic component must include monitoring circuits that provide for monitoring the health and performance of the component including the status of any command output; and
(5) The maximum leakage current through an electronic component's destruct output port must:
(i) Not degrade the performance of downstream circuitry;
(ii) Be 20 dB lower than the level that could degrade the performance of any downstream ordnance initiation system or component, such as any electro-explosive device; and
(iii) Be 20 dB lower than the level that could result in inadvertent initiation of any downstream ordnance.
(a)
(1) Receive radio frequency energy from the command control system through the radio frequency receiving system and interpret, process, and send commands to the flight termination system;
(2) Be compatible with the command control system transmitting equipment;
(3) Satisfy the requirements of section D417.27 for all electronic components;
(4) Satisfy all its performance specifications and reliably process a command signal when subjected to command control system transmitting equipment tolerances and flight generated signal degradation, including:
(i) Locally induced radio frequency noise sources;
(ii) Vehicle plume;
(iii) The maximum predicted noise-floor;
(iv) Command transmitter performance variations; and
(v) Launch vehicle trajectory.
(b)
(1)
(i) Plus and minus 3 KHz per tone; or
(ii) A nominal tone deviation plus twice the maximum and minus half the minimum of the total combined tolerances of all applicable radio frequency performance factors, whichever range is greater.
(2)
(i) The receiver decoder's operational bandwidth must be no less than plus and minus 45 KHz and must ensure that the receiver decoder satisfies all its performance specifications at:
(A) Twice the worst-case command control system transmitter radio frequency shift;
(B) Doppler shifts of the carrier center frequency; and
(C) Shifts in flight hardware center frequency during flight at the manufacturer guaranteed receiver sensitivity.
(ii) The operational bandwidth must account for tone deviation and the receiver sensitivity must not vary by more than 3dB across the bandwidth.
(3)
(i) The maximum radio frequency level that it will experience from the command control system transmitter during checkout and flight plus a 3-dB margin; or
(ii) 13 dBm, whichever is greater.
(4)
(5)
(ii) The output of the monitor circuit must be directly related and proportional to the strength of the radio frequency input signal from the threshold level to saturation.
(iii) The dynamic range of the radio frequency input from threshold to saturation must be no less than 50 dB. The monitor circuit output amplitude from threshold to saturation must have a corresponding range of 18 dB or greater.
(iv) The monitor output signal level must be compatible with vehicle telemetry system interfaces and provide a maximum response time of 100 ms.
(v) The slope of the monitor circuit output must not change polarity.
(6)
(7)
(8)
(9)
(10)
(11)
(12)
(c)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(a) All wiring, including any cable and all connectors, that interface with any flight termination system component must provide for the component, wiring, and connectors to satisfy the qualification tests required by appendix E of this part.
(b) Each connector that interfaces with a flight termination system component must protect against electrical dropout and ensure electrical continuity as needed to ensure the component satisfies all its performance specifications.
(c) All wiring and connectors must have shielding that ensures the flight termination system satisfies all its performance specifications and will not experience an inadvertent destruct output when subjected to electromagnetic interference levels 20 dB greater than the greatest electromagnetic interference induced by launch vehicle and launch site systems.
(d) The dielectric withstanding voltage between mutually insulated portions of any component part must provide for the component to function at the component's rated voltage and satisfy all its performance specifications when subjected to any momentary over-potentials that could normally occur, such as due to switching or surge.
(e) The insulation resistance between mutually insulated portions of any component must provide for the component to function at its rated voltage. Any insulation material must satisfy all its performance specifications when subjected to workmanship, heat, dirt, oxidation, or loss of volatile material.
(f) The insulation resistance between wire shields and conductors, and between each connector pin must withstand a minimum workmanship voltage of at least 1,500 volts, direct current, or 150 percent of the rated output voltage, whichever is greater.
(g) If any wiring or connector will experience loads with continuous duty cycles of 100 seconds or greater, that wiring or connector, including each connector pin, must have a capacity of 150% of the design load. If any wiring or connector will experience loads that last less than 100 seconds, all wiring and insulation must provide a design margin greater than the wire insulation temperature specification.
(h) All wiring, including any cable or connector, must satisfy all its performance specifications when subjected to the pull force required by section E417.9(j) and any additional handling environment that the component could experience undetected.
(i) Redundant circuits that can affect a flight termination system's reliability during flight must not share any wiring harness or connector with each other.
(j) For any connector or pin connection that is not functionally tested once connected as part of a flight termination system or component, the design of the connector or pin connection must eliminate the possibility of a bent pin, mismating, or misalignment.
(k) The design of a flight termination system component must prevent undetectable damage or overstress from occurring as the result of a bent connector pin. An inadvertent initiation must not occur if a bent connector pin:
(1) Makes unintended contact with another pin;
(2) Makes unintended contact with the case of the connector or component; or
(3) Produces an open circuit.
(l) Each connector that can affect a flight termination system component's reliability during flight must satisfy the requirements of § 417.309(b)(2) of this part.
(m) All connectors must positively lock to prevent inadvertent disconnection during launch vehicle processing and flight.
(n) The installation of all wiring, including any cable, must protect against abrasion and crimping of the wiring.
(a)
(1) Any self discharge;
(2) All load and activation checks;
(3) All launch countdown checks;
(4) Any potential hold time;
(5) Any potential number of preflight re-tests due to potential schedule delays including the number of potential launch attempts that the battery could experience before it would have to be replaced;
(6) Two arm and two destruct command loads at the end of the flight; and
(7) A flight capacity of no less than 150% of the capacity needed to support a normal flight from liftoff to the planned safe flight state. For a launch vehicle that uses solid propellant, the flight capacity must be no less than a 30-minute hang-fire hold time.
(b)
(1) The manufacturer specified minimum voltage must be no less than the minimum acceptance test voltage that satisfies the electrical component acceptance tests of appendix E of this part. For a battery used in a pulse application to fire an electro-explosive device, the manufacturer specified minimum voltage must be no less than the minimum qualification test voltage that satisfies the electro-explosive device qualification tests of appendix E of this part;
(2) A battery that provides power to an electro-explosive device initiator, including to any initiator fired simultaneously with another initiator, must:
(i) Deliver 150% of each electro-explosive device's all-fire current at the qualification test level. The battery must deliver the current to each ordnance initiator at the lowest system battery voltage;
(ii) Have a current pulse that lasts ten times longer than the duration required to initiate the electro-explosive device or a minimum workmanship screening level of 200 milliseconds, whichever is greater; and
(iii) Have a pulse capacity of no less than twice the expected number of arm and destruct command sets planned to occur during launch vehicle processing, preflight flight termination system end-to-end tests, plus flight commands including load checks, conditioning, and firing of initiators;
(3) The design of a battery and any activation procedures must ensure uniform cell voltage after activation. Activation must include any battery conditioning needed to ensure uniform cell voltage, such as peroxide removal or nickel cadmium preparation; and
(4) The design of a battery or the system using the battery must protect against undetectable damage to the battery from any reverse polarity, shorting, overcharging, thermal runaway, or overpressure.
(c)
(1) A flight termination system battery must have a total activated service life that provides for the battery to meet the capacity and electrical characteristics required by paragraphs (a) and (b) of this section; and
(2) A flight termination system battery must have a specified storage life. The battery must satisfy the activated service life requirement of paragraph (c)(1) of this section after experiencing its storage life, whether stored in an activated or inactivated state.
(d)
(e)
(f)
(g)
(1) A silver zinc battery must consist of cells assembled from electrode plates that are manufactured together and without interruption;
(2) The design of a silver zinc battery must allow activation of each individual cell within the battery;
(3) For any silver zinc battery that may vent electrolyte mist as part of normal operations, the battery must satisfy all its performance specifications for pin-to-case and pin-to-pin resistances after the battery experiences the maximum normal venting;
(4) The design of a silver zinc battery and its cells must allow for the qualification, acceptance, and storage life extension testing required by appendix E of this part. A launch operator must ensure sufficient batteries and cells are available from the same lot to accomplish the required testing;
(5) Each silver zinc battery must have attached, no less than one additional cell from the same production lot, with the same lot
(6) The design of a silver zinc battery must permit voltage monitoring of each cell during open circuit voltage and load tests of the battery; and
(7) All cell and battery parts and materials and manufacturing parts, materials, and processes must undergo configuration control that ensures that each cell and battery has repeatable in-family performance unless each cell and battery undergoes lot testing that demonstrates repeatable in-family performance. The launch operator must identify and implement any lot testing that replaces configuration control.
(h)
(1) Any rechargeable battery or cell that is part of a flight termination system must satisfy all the requirements of this section for each charge-discharge cycle.
(2) With the exception of any silver zinc battery, a rechargeable battery must satisfy all its performance specifications for five times the number of operating charge and discharge cycles expected of the battery throughout its life, including all acceptance testing, preflight testing, and flight. A silver zinc rechargeable battery must satisfy all its performance specifications for each operating charge-discharge cycle expected of the battery throughout its life, including all acceptance testing, preflight testing, and flight.
(3) A rechargeable battery must consist of cells from the same production lot. For a battery that consists of commercially produced nickel cadmium cells, each cell must be from the same production lot of no less than three thousand cells that are manufactured without interruption.
(4) The design of a silver zinc or commercial nickel cadmium battery and each of its cells must allow for the qualification and acceptance tests required by appendix E of this part. A launch operator must ensure sufficient batteries and cells are available to accomplish the required testing. A launch operator must identify and implement design and test requirements for any other type of rechargeable battery proposed for use as part of a flight safety system.
(i)
(1) The battery or cell must have repeatable capacity and voltage performance. Capacity must be repeatable within one percent for each charge and discharge cycle.
(2) Any battery or cell venting device must ensure that the battery or cell does not experience a loss of structural integrity or create a hazardous condition when subjected to electrical discharge, charging and short-circuit conditions.
(3) The battery or cell must retain its charge and provide its required capacity, including the required capacity margin, from the final charge used prior to launch to the planned safe flight state during flight at the maximum pre-launch and flight temperature. The cell or battery must not self-discharge more than 10% of its fully charged capacity after 72 hours at ambient temperature.
(4) The design of the battery must prevent current leakage from pin-to-pin or pin-to-case from creating undesired events or battery self-discharge. Pin-to-pin and pin-to-case resistances must be repeatable so that measurements of pin-to-pin and pin-to-case resistances can establish in-family performance and determine whether all battery wiring and connectors are installed according to the manufacturer's design specifications.
(5) The battery or battery case must be sealed to the required leak rate and not loose structural integrity or create a hazardous condition when subjected to the predicted operating conditions plus all required margins including any battery short-circuit. The battery or battery case must maintain its structural integrity when subjected to no less than 1.5 times the greatest operating pressure differential that could occur under qualification testing, preflight, or flight conditions.
(6) Any battery voltage, current, or temperature monitoring circuit that is part of the battery must have resolution, accuracy, and data rates that all for detecting whether the performance specifications are satisfied and detecting any out-of-family conditions.
(7) Any battery heater circuit, including any thermostat must ensure that all cells are heated uniformly and must allow for repeatable battery performance that satisfies all the battery's performance specifications. Any heating must ensure that cells are not overstressed due to excessive temperature. The thermostat tolerances must ensure that the battery remains within its thermal design limits.
(8) The battery or cell must satisfy all its electrical performance specifications and be in-family while subjected to all pre-flight and flight environments, including hot and cold temperature, and all required electrical loads at the beginning, middle, and end of its manufacturer specified capacity.
(a) This section applies to any electro-mechanical safe-and-arm device that has an internal electro-explosive device and is part of a flight termination system. A safe-and-arm device must provide for safing and arming of the flight termination system ordnance to satisfy section D417.13.
(b) A safe-and-arm device in the arm position must remain in the arm position and satisfy all its performance specifications when subjected to the design environmental levels determined under section D417.7.
(c) All wiring and connectors used in a safe-and-arm device must satisfy section D417.31.
(d) Each piece-part that is used in the firing circuit of a safe-and-arm device and that can affect the reliability of the device during flight must satisfy § 417.309(b)(2) of this part.
(e) A safe-and-arm device's internal electro-explosive device must satisfy the requirements for an ordnance initiator of section D417.41.
(f) A safe-and-arm device must not require any adjustment throughout its service life.
(g) A safe-and-arm device's internal electrical firing circuitry, such as wiring, connectors, and switch deck contacts, must satisfy all its performance specifications when subjected to an electrical current pulse with an energy level of no less than 150% of the internal electro-explosive device's all-fire energy level for 10 times as long as the all-fire pulse lasts. A safe-and-arm device must deliver this firing pulse to the internal electro-explosive device without any dropout that could affect the electro-explosive device's performance when subjected to the design environmental levels.
(h) A safe-and-arm device must satisfy all its performance specifications after being exposed to the handling drop required by section E417.9(k) and any additional transportation, handling, or installation environment that the device could experience undetected.
(i) A safe-and-arm device must not initiate and must allow for safe disposal after experiencing the abnormal drop required by section E417.9(l).
(j) When a safe-and-arm device's electro-explosive device is initiated, the safe- and arm-device's body must not fragment, regardless of whether the explosive transfer system is connected or not.
(k) When dual electro-explosive devices are used within a single safe-and-arm device, the design must ensure that one electro-explosive device does not affect the performance of the other electro-explosive device.
(l) A safe-and-arm device must satisfy all its performance specifications when subjected to no less than five times the total number of safe and arm cycles required for the combination of all acceptance tests, preflight tests, and flight operations, including an allowance for potential re-tests due to schedule changes.
(m) The design of a safe-and-arm device must allow for separate component testing and recording of parameters that verify its functional performance , and the status of any command output during the tests required by section E417.25.
(n) A safe-and-arm device must be environmentally sealed to the equivalent of 10
(o) The safing of a safe-and-arm device must satisfy all of the following:
(1) While in the safe position, a safe-and-arm device must protect each internal electro-explosive device from any condition that could degrade the electro-explosive device's performance and prevent inadvertent initiation during transportation, storage, preflight testing, and any preflight fault conditions.
(2) While in the safe position, a safe-and-arm device's electrical input firing circuit must prevent degradation in performance or inadvertent initiation of the electro-explosive device when the safe-and-arm device is subjected to any external energy source, such as static discharge, radio frequency energy, or firing voltage.
(3) While in the safe position, a safe-and-arm device must prevent the initiation of its internal electro-explosive device and any other ordnance train component, with a reliability of 0.999 at a 95% confidence level.
(4) A safe-and-arm device must satisfy all its performance specifications when in the safe position and subjected to the continuous operational arming voltage required by section E417.25(d).
(5) A safe-and-arm device must not initiate its electro-explosive device or any other ordnance train component when locked in the safe position and subjected to the continuous operational arming voltage required by section E417.25(e)(3).
(6) A safe-and-arm device must have a visual display of its status on the device and remote display of the status when the device is in the safe position. When transitioning from the arm to safe position, the safe indication must not appear unless the position of the safe-and-arm device has progressed more than 50% beyond the no-fire transition motion.
(7) A safe-and-arm device must have a remote means of moving its rotor or barrier to the safe position from any rotor or barrier position.
(8) A safe-and-arm device must have a manual means of moving its rotor or barrier to the safe position.
(9) A safe-and-arm device must have a safing interlock that prevents movement from the safe position to the arm position while operational arming current is being applied. The interlock must have a means of positively locking into place and must allow for verification of proper functioning. The interlock removal design or procedure must eliminate the possibility of accidental disconnection of the interlock.
(p) The arming of a safe-and-arm device must satisfy all of the following:
(1) When a safe-and-arm device is in the arm position, all ordnance interfaces, such as electro-explosive device, rotor charge, and explosive transfer system components must align with one another to ensure propagation of the explosive charge with a reliability of 0.999 at a 95% confidence level;
(2) When in the arm position, the greatest energy supplied to a safe-and-arm device's electro-explosive device from electronic circuit leakage and radio frequency energy must be no greater than 20 dB below the guaranteed no-fire level of the electro-explosive device;
(3) A safe-and-arm device must have a visual display of its status on the device and provide for remote display of the status when the device is in the arm position. The arm indication must not appear unless the safe-and-arm device is armed as required by paragraph (o)(1) of this section; and
(4) A safe-and-arm device must provide for remote arming of the device.
(a)
(b)
(c)
(1) An exploding bridgewire firing unit's input circuitry must function, when subjected to the greatest potential electromagnetic interference noise environments, without inadvertently triggering;
(2) In the firing circuit of an exploding bridgewire firing unit, all series redundant branches that prevent any single failure point from issuing a destruct output must include monitoring circuits or test points for verifying the integrity of each redundant branch after assembly;
(3) The unit input trigger circuitry of an exploding bridgewire firing unit must maintain a minimum 20 dB margin between the threshold trigger level and the worst-case noise environment;
(4) An exploding bridgewire firing unit must have a minimum trigger sensitivity that provides for the unit to fire at 6 dB lower in amplitude and one-half the duration of the worst-case trigger signal that the unit could receive during flight;
(5) In the event of a power dropout, any control or switching circuit critical to the reliable operation of an exploding bridgewire firing unit, including solid-state power transfer switches, must not change state for 50 milliseconds or more; and
(6) An exploding bridgewire firing unit's response time must satisfy all its performance specifications for the range of input trigger signals from the specified minimum trigger signal amplitude and duration to the specified maximum trigger signal amplitude and duration.
(d)
(1) An exploding bridgewire firing unit must include circuits for capacitor charging, bleeding, charge interruption, and triggering;
(2) An exploding bridgewire firing unit must have a single fault tolerant capacitor discharge capability;
(3) An exploding bridgewire firing unit must deliver a voltage to the exploding bridgewire that is no less than 50% greater than the exploding bridgewire's minimum all-fire voltage, not including transmission losses, at the unit's worst-case high and low arming voltages;
(4) The design of an exploding bridgewire firing unit must prevent corona and arcing on internal and external high voltage circuitry;
(5) An exploding bridgewire firing unit must satisfy all its performance specifications at the worst-case high and low arm voltages that could be delivered during flight; and
(6) Any high energy trigger circuit used to initiate exploding bridgewire firing unit's main firing capacitor must deliver an output signal of no less than a 50% voltage margin above the nominal voltage threshold level.
(e)
(a) This section applies to any ordnance interrupter safe-and-arm device that does not have an internal electro-explosive device and is part of a flight termination system. An ordnance interrupter must provide for safing and arming of the flight termination system ordnance to satisfy section D417.13.
(b) An ordnance interrupter must remain in the armed position and satisfy all its performance specifications when subjected to the design environmental levels determined according to section D417.7.
(c) An ordnance interrupter must not require adjustment throughout its service life.
(d) An ordnance interrupter must satisfy all its performance specifications after experiencing any transportation, handling, or installation environment that the device could experience undetected.
(e) An ordnance interrupter that uses ordnance rotor leads must not initiate and must allow for safe disposal after experiencing the worst-case drop and resulting impact that it could experience during storage, transportation, or installation.
(f) An ordnance interrupter must satisfy all of its performance specifications when subjected to repetitive functioning for five times the expected number of arming cycles required for acceptance testing, preflight checkout, and flight operations, including an allowance for re-tests due to potential schedule delays.
(g) An ordnance interrupter must not fragment during ordnance initiation.
(h) The design of a flight termination system must protect an ordnance interrupter from conditions that could degrade its performance or cause inadvertent initiation during transportation, storage, installation, preflight testing, and potential preflight fault conditions. Safing of an ordnance interrupter must satisfy all of the following:
(1) While in the safe position, an ordnance interrupter must prevent the functioning of an ordnance train with a reliability of 0.999 at a 95% confidence level;
(2) When locked in the safe position, an ordnance interrupter must prevent initiation of an ordnance train. The ordnance interrupter must satisfy all its performance specification when locked in the safe position and subjected to the continuous operational arming voltage required by section E417.29(j);
(3) An ordnance interrupter must not initiate its electro-explosive device or any other ordnance train component when locked in the safe position and subjected to the continuous operational arming voltage required by section E417.29(e)(3);
(4) An ordnance interrupter must have a manual and a remote means of safing from any rotor or barrier position;
(5) An ordnance interrupter must have a visual display of the status on the device and provide for remote display of the status when the ordnance interrupter is in the safe position; and
(6) An ordnance interrupter must include a safing interlock that prevents the interrupter from moving from the safe position to the arm position when subjected to an operational arming current. A safing interlock must have a means of positively locking into place and a means of verifying proper function of the interlock. A safing interlock and any related operation procedure must eliminate the possibility of inadvertent disconnection of the interlock.
(i) Arming of an ordnance interrupter must satisfy all of the following:
(1) An ordnance interrupter is armed when all ordnance interfaces, such as a donor explosive transfer system, rotor charge, and acceptor explosive transfer system are aligned with one another to propagate the explosive charge with a reliability of 0.999 at a 95% confidence level;
(2) An ordnance interrupter must have a visual display of the status on the device and provide for remote display of the status when the ordnance interrupter is in the arm position; and
(3) An ordnance interrupter must provide for remote arming of the interrupter.
(a) This section applies to any low-voltage electro-explosive device that is part of a flight termination system or high-voltage exploding bridgewire ordnance initiator that is part of a flight termination system. An ordnance initiator must use electrical energy to trigger an explosive charge that initiates the flight termination system ordnance.
(b) An ordnance initiator must have a manufacturer-specified all-fire energy level. When the all-fire energy level is applied, the ordnance initiator must fire with a reliability of no less than 0.999 at a 95 percent confidence level.
(c) An ordnance initiator must have a specified no-fire energy level. An ordnance initiator must not fire when exposed to continuous application of the no-fire energy level, with a reliability of no less than 0.999 at a 95 percent confidence level. An ordnance initiator must satisfy all its performance specifications when subjected to continuous application of the no-fire energy level.
(d) The lowest temperature at which an ordnance initiator would experience autoignition, sublimation, or melting or in any other way experience degradation in performance must be no less than 30 °C higher than the highest temperature that the
(e) An ordnance initiator must not fire, and must satisfy all its performance specifications when subjected to the maximum expected electrostatic discharge that it could experience from personnel or conductive surfaces. An ordnance initiator must not fire, and must satisfy all its performance specifications when subjected to workmanship discharges of no less than a 25-kV, 500-pF pin-to-pin discharge through a 5-kΩ resistor and a 25-kV, 500-pF pin-to-case discharge with no resistor.
(f) An ordnance initiator must not initiate and must satisfy all its performance specifications when exposed to stray electrical current that is at a 20-dB margin greater than the greatest stray electrical current that the ordnance initiator could experience prior to or during flight. When determining the 20-dB margin, a launch operator must account for all potential sources of stray electrical current, including leakage current from other electronic components and radio frequency induced electrical current.
(g) An ordnance initiator must satisfy all its performance specification after being exposed to the tensile load required by section E417.9(j), the handling drop required by section E417.9(k), and any additional transportation, handling, or installation environment that the device could experience undetected.
(h) An ordnance initiator must not initiate and must allow for safe disposal after experiencing the abnormal drop required by section E417.9(l).
(i) An ordnance initiator must be hermetically sealed to the equivalent of 5 × 10
(j) The insulation resistance between mutually insulated points must ensure that an ordnance initiator satisfies all its performance specifications when subjected to the greater of twice the maximum applied voltage during testing and flight or a workmanship voltage of no less than 500 volts. The insulation material must satisfy all its performance specifications when exposed to workmanship, heat, dirt, oxidation, and any additional expected environment.
(a) This section applies to any exploding bridgewire that is part of a flight termination system. An exploding bridgewire must use high-voltage electrical energy of 50 volts or greater to trigger an explosive charge that initiates the flight termination system ordnance.
(b) An exploding bridgewire must satisfy the ordnance initiator requirements of section D417.41.
(c) An exploding bridgewire's electrical circuitry, such as connectors, pins, wiring and header assembly, must transmit an all-fire pulse at a level 50% greater than the lowest exploding bridgewire firing unit's operational firing voltage. This must include allowances for effects such as corona and arcing of a flight configured exploding bridgewire exposed to altitude, thermal vacuum, salt-fog, and humidity environments.
(d) An exploding bridgewire must not fragment during ordnance initiation.
(e) All exploding bridgewire connector pins must withstand the tension and compression loads required by section E417.9(j).
(a) This section applies to any percussion-activated device that is part of a flight termination system. A percussion-activated device must use mechanical energy to trigger an explosive charge that initiates the flight termination system ordnance.
(b) A percussion-activated device's lanyard pull system must have a protective cover or other feature that prevents inadvertent pulling of the lanyard.
(c) A percussion-activated device must not fragment upon initiation.
(d) A percussion-activated device must have a guaranteed no-fire pull force of no less than twice the largest inadvertent pull force that the device could experience:
(1) Any time prior to flight that the safing interlock of paragraph (o) of this section is not in place; or
(2) During flight.
(e) A percussion-activated device must not initiate when pulled with its maximum no-fire pull force and then released with a reliability of no less than 0.999 at a 95% confidence level.
(f) A percussion-activated device must have a primer all-fire energy level, including spring constant and pull distance that ensures initiation, with a reliability of no less than 0.999 at a 95% confidence level when subjected to preflight and flight environments.
(g) A percussion-activated device must deliver an operational impact force to the primer of no less than twice the all-fire energy level.
(h) A percussion-activated device's primer must initiate and must satisfy all its performance specifications when subjected to two times the operational impact energy or four times the all-fire impact energy level.
(i) A percussion-activated device's reliability must satisfy its performance specifications when subjected to a no-fire pull force and then released.
(j) The lowest temperature at which a percussion-activated device would experience autoignition, sublimation, or melting, or in any other way not satisfy its performance specifications, must be no less than 30 °C higher than the highest temperature that
(k) A percussion-activated device must satisfy all its performance specifications after experiencing the handling drop required by section E417.9(k) and any additional transportation, handling, or installation environment that the device could experience undetected.
(l) A percussion-activated device's ordnance must be hermetically sealed to the equivalent of 5 × 10
(m) A percussion-activated device's structural and firing components must withstand 500 percent of the largest pull or jerk force that the device could experience during breakup of the launch vehicle.
(n) A percussion-activated device must not initiate and must allow for safe disposal after experiencing the abnormal drop required by section E417.9(l).
(o) A percussion-activated device must include a safing interlock, such as a safing pin, that provides a physical means of preventing the percussion-activated device assembly from pulling more than 50% of the guaranteed no-fire pull distance. The following apply to a safing interlock:
(1) A safing interlock must positively lock into place and must have a means of verifying proper function of the interlock.
(2) A safing interlock must eliminate the possibility of inadvertent disconnection or removal of the interlock should a pre-load condition exist on the lanyard unless the device provides a visual or other means of verifying that there is no load on the lanyard.
(3) A safing interlock, when in place, must prevent initiation of the percussion actuated device when subjected to twice the greatest possible inadvertent pull force that could be experienced during launch processing.
(a) This section applies to any explosive transfer system that is part of a flight termination system. An explosive transfer system must transmit an explosive charge from an initiation source, such as an ordnance initiator, to other flight termination system ordnance such as a destruct charge.
(b) Ordnance used in an explosive transfer system must consist of a secondary explosive. An exception to this is any transition component that contains a primary explosive that is fully contained within the transition component. Any transition component that contains a primary explosive must be no more sensitive to inadvertent detonation than a secondary explosive.
(c) An explosive transfer system, including all donor, acceptor, and transition charges and components must transfer an explosive charge with a reliability of no less than 0.999 at a 95% confidence level.
(d) An explosive transfer system must satisfy all its performance specifications with the smallest bend radius that it is subjected to when installed in its flight configuration.
(e) All explosive transfer connectors must positively lock in place and provide for verification of proper connection through visual inspection.
(f) Each explosive transfer system component must satisfy all its performance specifications when subjected to the tensile load required by section E417.9(j).
(g) An explosive transfer system must satisfy all its performance specifications after experiencing the handling drop required by section E417.9(k) and any additional transportation, handling, or installation environment that the system could experience undetected.
(h) An explosive transfer system must not initiate and must allow for safe disposal after experiencing the abnormal drop required by section E417.9(l).
(i) An explosive transfer system must be hermetically sealed to the equivalent of 5 × 10
(a) This section applies to any destruct charge that is part of a flight termination system. A destruct charge must sever or penetrate a launch vehicle component or payload, such as a propellant tank or motor casing, to accomplish a flight termination function.
(b) A destruct charge must use a secondary explosive.
(c) When initiated, a destruct charge acceptor, where applicable, or main charge must ensure the transfer of the explosive charge with a reliability of 0.999 at a 95% confidence level.
(d) Initiation of a destruct charge must result in a flight termination system action in accordance with the flight termination system functional requirements of § 417.303.
(e) A destruct charge must sever or penetrate 150% of the thickness of the material that must be severed or penetrated in order for the destruct charge to accomplish its intended flight termination function. A destruct charge, when initiated to terminate the flight of a launch vehicle, must not detonate any launch vehicle or payload propellant.
(f) Each destruct charge and associated fitting must satisfy all its performance specifications when subjected to the tensile load required by section E417.9(j).
(g) A destruct charge must satisfy all its performance specifications after experiencing the handling drop required by section E417.9(k) and any additional transportation, handling, or installation environment that the charge could experience undetected.
(h) A destruct charge must not initiate and must allow for safe disposal after experiencing the abnormal drop required by section E417.9(l).
(i) A destruct charge must be hermetically sealed to the equivalent of 5 × 10
(a) This section applies to any vibration or shock isolator that is part of a flight safety system. A vibration or shock isolator must ensure the environmental survivability of a flight termination system component by reducing the vibration or shock levels that the component experiences during flight.
(b) A vibration or shock isolator must have repeatable natural frequency and resonant amplification parameters when subjected to flight environments.
(c) An isolator must account for all effects that could cause variations in repeatability, including acceleration preloads, temperature, component mass, and vibration level variations.
(d) A vibration or shock isolator must satisfy all of its performance specifications when subjected to the qualification test environments for each component that is mounted on the isolator.
(e) All components mounted on a vibration or shock isolator must withstand the environments introduced by isolator amplification. In addition, all component interface hardware, such as connectors, cables, and grounding straps, must withstand any added deflection introduced by an isolator.
(a) This section applies to any miscellaneous flight termination system component that is not specifically identified by this appendix.
(b) A miscellaneous component must satisfy all its performance specifications when subjected to the non-operating and operating environments of section D417.3.
(c) The design of a miscellaneous component must provide for the component to be tested in accordance with appendix E of this part.
(d) A launch operator must identify any additional requirements that apply to any new or unique component and demonstrate that those requirements ensure the reliability of the component.
(a)
(b)
(c)
(d)
(1) Any component sample that does not satisfy a performance specification;
(2) Any failure to accomplish a test objective;
(3) Any component sample with a test result that indicates that the component is out-of-family when compared to other samples of the component, even if the component satisfies other test criteria;
(4) Any unexpected change in the performance of a component sample occurring at any time during testing;
(5) Any component sample that exhibits any sign that a part is stressed beyond its design limit, such as a cracked circuit board, bent clamps, worn part, or loose connector or screw, even if the component passes the final functional test;
(6) When component examination shows any defect that could adversely affect the component's performance;
(7) Any discontinuity or dropout in a measured performance parameter that could prevent the component from satisfying a performance specification;
(8) Any inadvertent output; or
(9) Any indication of internal component damage.
(e)
(f)
(1) The tolerance of any measurement taken during a functional test must provide the accuracy needed to detect any out-of-family or out-of-specification anomaly.
(2) An environmental level, such as for vibration or temperature, used to satisfy a component test requirement of this appendix must include the environment design margin required by appendix D of this part. The environmental level must account for any test equipment tolerance to ensure that the component experiences the required margin.
(g)
(h)
(i)
(1) Describe all flight termination system test results and test conditions;
(2) Describe any analysis performed instead of testing;
(3) Identify, by serial number or other identification, each test result that applies to each system or component;
(4) Describe any family performance data to be used for comparison to any subsequent test of a component or system;
(5) Describe all performance parameter measurements made during component testing for comparison to each previous and subsequent test to identify any performance variations that may indicate a potential workmanship or other defect that could lead to a failure of the component during flight; and
(6) Identify any test failure or anomaly, including any variation from an established performance baseline, with a description of the failure or anomaly, each corrective action taken, and all results of additional tests.
(a)
(1) The test environment does not apply to the component;
(2) The test environment does not degrade the component's performance; or
(3) Another test or combination of tests that the component undergoes places equal or greater stress on the component than the test in question.
(b)
(c)
(1) For a new component, each table identifies the quantity of component samples that must undergo each test identified by the table.
(2) A launch operator may test fewer samples than the quantity identified for a new component if the launch operator demonstrates one of the following:
(i) That the component has experienced comparable environmental tests; or
(ii) The component is similar to a design that has experienced comparable environmental tests.
(3) Any component that a launch operator uses for any comparison to a new component must have undergone all the environmental tests required for the new component to develop cumulative effects.
(d)
(1) Each test must measure one or more of a component or system's performance parameters to demonstrate that the component or system satisfies all its performance specifications;
(2) The component must undergo each test:
(i) Before the component is exposed to each test environment; and
(ii) After the component is exposed to the test environment to identify any performance degradation due to the environment; and
(3) Any electronic component must undergo each performance verification test at:
(i) The lowest operating voltage;
(ii) Nominal operating voltage; and
(iii) Highest operating voltage that the component could experience during pre-flight and flight operations.
(e)
(1) Each test must exercise all of a component's functions that are critical to a flight termination system's performance during flight
(i) while the component is subjected to each test environment; or,
(ii) for short duration environments such as shock, before and after each test;
(2) Each test must measure a sampling of the component's critical performance parameters while the component is subjected to each test environment to demonstrate that the component satisfies all its performance specifications; and
(3) Any electronic component must undergo each abbreviated performance verification test at the component's nominal operating voltage.
(f)
(1) Each test must measure one or more critical performance parameter to demonstrate that a component or system satisfies all its performance specifications;
(2) The critical performance parameters must include those parameters that act as an indicator of an internal anomaly that a functional performance test might not detect; and
(3) Each test must compare the results to any previous test results to identify any degradation in performance.
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(1) All internal components and subassemblies, such as circuit board traces, internal connectors, welds, screws, clamps, electronic piece parts, battery cell plates and separators, and mechanical subassemblies must undergo examination to satisfy this paragraph using an inspection method such as a magnifying lens or radiographic inspection;
(2) For a component that can be disassembled, the component must undergo complete disassembly to the point needed to satisfy this paragraph; and
(3) For a component that cannot be disassembled, such as an antenna, potted component, or welded structure, the component must undergo any special procedures needed to satisfy this paragraph, such as depotting the component, cutting the component into cross-sections, or radiographic inspection.
(h)
(1) The test must have the resolution and sample rate to demonstrate that the component's leak rate is no greater than its design limit.
(2) For an electronic component, the test must demonstrate a leak rate of no greater than the equivalent of 10
(3) For an ordnance component, the test must demonstrate a leak rate of no greater than the equivalent of 5 × 10
(a) This section applies to each qualification non-operating and operating test or analysis identified by any table of this appendix. A qualification test or analysis must demonstrate that a component will satisfy all its performance specifications when subjected to the design environmental levels required by section D417.7.
(b) Before a component sample undergoes a qualification environmental test, the component sample must pass all the required acceptance tests.
(c) A component must undergo each qualification test in a flight representative configuration, with all flight representative hardware such as connectors, cables, and any cable clamps, and with all attachment hardware, such as dynamic isolators, brackets and bolts, as part of that flight representative configuration.
(d) A component must undergo re-qualification tests if there is a change in the design of the component or if the environmental levels to which it will be exposed exceed the levels for which the component is qualified. A component must undergo re-qualification if the manufacturer's location, parts, materials, or processes have changed since the previous qualification. A change in the name of the manufacturer as a result of a sale does not require re-qualification if the personnel, factory location or the parts, material and processes remain unchanged since the last component qualification. The extent of any re-qualification tests must be the same as the initial qualification tests except where paragraph (f) of this section applies.
(e) A launch operator must not use for flight any component sample that has been subjected to a qualification test environment.
(f) A launch operator may reduce the testing required to qualify or re-qualify a component's design through qualification by similarity to tests performed on identical or similar hardware. To qualify component “A” based on similarity to component “B” that has already been qualified for use, a launch operator must demonstrate that all of the following conditions are satisfied:
(1) “B” must have been qualified through testing, not by similarity;
(2) The environments encountered by “B” during its qualification or flight history must have been equal to or more severe than the qualification environments required for “A;”
(3) “A” must be a minor variation of “B.” The demonstration that A is a minor variation of B must account for all of the following:
(i) Any difference in weight, mechanical configuration, thermal effects, or dynamic response;
(ii) Any change in piece-part quality level; and
(iii) Any addition or subtraction of an electronic piece-part, moving part, ceramic or glass part, crystal, magnetic device, or power conversion or distribution equipment;
(4) “A” and “B” must perform the same functions, with “A” having equivalent or better capability; and
(5) The same manufacturer must produce “A” and “B” in the same location using identical tools and manufacturing processes;
(g) For any flight termination system component used for more than one flight, the component qualification tests must demonstrate that the component satisfies all its performance specifications when subjected to:
(1) Each qualification test environment; and
(2) The total number of exposures to each maximum predicted environment for the total number of flights.
(a)
(b)
(1) Any storage temperature test must subject the component to the range of temperatures from 10 °C lower than the maximum predicted storage thermal range to 10 °C higher. The rate of change from one thermal extreme to the other must be no less than the maximum predicted thermal rate of
(2) Any analysis must demonstrate that the qualification operating thermal cycle environment is more severe than the storage thermal environment by satisfying one of the following:
(i) The analysis must include thermal fatigue equivalence calculations that demonstrate that the large change in temperature for a few thermal cycles experienced during flight is a more severe environment than the relatively small change in temperature for many thermal cycles that would be experienced during storage; or
(ii) The analysis must demonstrate that the component's operating qualification thermal cycle range encompasses -34 °C to 71 °C and that any temperature variation that the component experiences during storage does not exceed 22 °C.
(c)
(d)
(e)
(f)
(1) Any transportation vibration test must subject a component to vibration in three mutually perpendicular axes for 60 minutes per axis. The test must subject each axis to the following vibration profile:
(i) 0.01500 g
(ii) 0.01500 g
(iii) If the component is resonant below 10 Hz, the test vibration profile must extend to the lowest resonant frequency.
(2) Any analysis must demonstrate that the qualification operating vibration environment is more severe than the transportation vibration environment. The analysis must include vibration fatigue equivalence calculations that demonstrate that the high vibration levels with short duration experienced during flight creates a more severe environment than the relatively low-vibration levels with long duration that would be experienced during transportation.
(g)
(h)
(i)
(j)
(1) For an explosive transfer system and its associated fittings, a pull of no less than 100 pounds unless the launch operator establishes procedural controls or tests that prevent or detect mishandling;
(2) For a destruct charge and its associated fittings, a pull of no less than 50 pounds;
(3) For a flight radio frequency connector, a pull of no less than one-half the manufacturer specified limit;
(4) For an electro-explosive device wire, a pull of no less than 18 pounds; or
(5) For an electrical pin of an exploding bridgewire device, no less than an 18-pound force in axial and compression modes.
(k)
(1) The maximum predicted drop and resulting impact that could occur and go undetected during storage, transportation, or installation; or
(2) A six-foot drop onto a representative surface in any orientation that could occur during storage, transportation, or installation.
(l)
(a)
(b)
(2) The qualification sinusoidal vibration environment must be no less than 6dB greater than the maximum predicted sinusoidal vibration environment for no less than three times the maximum predicted duration.
(3) The sinusoidal frequency must range from 50% lower than the maximum predicted frequency range to 50% higher than the maximum predicted frequency range.
(4) Any test must satisfy all of the following:
(i) The test must subject each of three mutually perpendicular axes of the component to the qualification sinusoidal vibration environment, one axis at a time. For each axis, the duration of the vibration must be no less than three times the maximum predicted sinusoidal vibration duration.
(ii) The sinusoidal sweep rate must be no greater than one-third the maximum predicted sweep rate;
(iii) The sinusoidal vibration test amplitude must have an accuracy of ±10%; and
(iv) For any component that uses one or more shock or vibration isolators, the component must undergo the test mounted on its isolator or isolators as a unit. Each isolator must satisfy the requirements of section E417.35.
(5) Any analysis must demonstrate that the qualification random vibration environment of paragraph (c) of this section encompasses the qualification sinusoidal vibration environment.
(c)
(2) For each component required by this appendix to undergo 100% acceptance testing, the minimum qualification random vibration environment must be no less than a 3 dB margin greater than the maximum acceptance random vibration test environment for all frequencies from 20 Hz to 2,000 Hz. The minimum and maximum test environments must account for all the test tolerances to ensure that the test maintains the 3 dB margin.
(3) For each component that is not required by this appendix to undergo 100% acceptance testing, the minimum qualification random vibration environment must be no less than a 4.5-dB margin greater than the greater of the maximum predicted random vibration environment or the minimum workmanship test levels of table E417.11-1 for all frequencies from 20 Hz to 2000 Hz. The minimum qualification test environment must account for all the test tolerances to ensure that the test maintains the 4.5 dB margin.
(4) If a component is mounted on one or more shock or vibration isolators during flight, the component must undergo the qualification random vibration test while hard-mounted or isolator-mounted as follows:
(i) Any qualification random vibration test with the component hard-mounted must subject the component to a qualification random vibration environment that:
(A) Accounts for the isolator attenuation and amplification due to the maximum predicted operating random vibration environment, including any thermal effects and acceleration pre-load performance variability, and adds a 1.5 dB margin to account for any isolator attenuation variability;
(B) Adds the required qualification random vibration margin of paragraph (c)(1) or (c)(2) of this section after accounting for the isolator effects of paragraph (c)(4)(i)(A) of this section and accounts for all tolerances that apply to the isolator's performance specifications to ensure that the qualification test margin is maintained; and
(C) Is no less than the minimum workmanship screening qualification random vibration level of table E417.11-1.
(ii) Any qualification random vibration test with the component isolator-mounted must:
(A) Use an isolator or isolators that passed the tests required by section E417.35;
(B) Have an input to each isolator of no less than the required qualification random vibration environment of paragraph (c)(1) or (c)(2) of this section; and
(C) Subject the component to no less than the minimum workmanship screening qualification random vibration level of table E417.11-1. If the isolator or isolators prevent the component from experiencing the minimum workmanship level, the component must undergo a test while hard-mounted that subjects the component to the workmanship level.
(5) The test must subject each component sample to the qualification random vibration environment in each of three mutually perpendicular axes. For each axis, the test must last three times as long as the acceptance test duration or a minimum workmanship qualification duration of 180 seconds, whichever is greater.
(6) For a component sample that must experience the acceptance random vibration environment before it experiences the qualification random vibration environment, such as a command receiver decoder, the test must use the same configuration and methods for the acceptance and qualification environments.
(7) If the duration of the qualification random vibration environment leaves insufficient time to complete any required performance verification test while the component is subjected to the full qualification environment, the test must continue at no less than the acceptance random vibration environment. The test need only continue for the additional time needed to complete the performance verification test.
(8) The test must continuously monitor and record all performance and status-of-health parameters while the component is subjected to the qualification environment. This monitoring must have a sample rate that will detect any component performance degradation. Any electrical component must undergo the test while subjected to its nominal operating voltage.
(9) A launch operator may substitute a random vibration test for another required dynamic test, such as acceleration, acoustic, or sinusoidal vibration if the launch operator demonstrates that the forces, displacements, and test duration imparted on a component during the random vibration test are no less severe than the other test environment.
(d)
(2) For each component required by this appendix to undergo 100% acoustic acceptance testing, the minimum qualification acoustic vibration environment must be greater than the maximum acceptance acoustic vibration test environment for all frequencies from 20 Hz to 2000 Hz. The minimum and maximum test environments must account for all the test tolerances to ensure that the test maintains a positive margin between the minimum qualification environment and the maximum acceptance environment. For each acoustic vibration test required by this appendix to have a tolerance of ±3 dB, the qualification test level must be 6 dB greater than the acceptance test level.
(3) For each component that is not required by this appendix to undergo 100% acceptance testing, such as ordnance, the minimum qualification acoustic vibration environment must be no less than a 3 dB margin greater than the maximum predicted acoustic vibration environment or a minimum workmanship screening test level of 144 dBA for all frequencies from 20 Hz to 2000 Hz. The minimum qualification test environment must account for all the test tolerances to ensure that the test maintains the 3 dB margin. For each acoustic vibration test required by this appendix to have a tolerance of ±3.0 dB, the qualification test level must be 6 dB greater than the greater of the maximum predicted environment or the minimum workmanship test level.
(4) For any component that uses one or more shock or vibration isolators during flight, the component must undergo any qualification acoustic vibration test mounted on its isolator or isolators as a unit. Each isolator must satisfy the test requirements of section E417.35.
(5) Any test must continuously monitor and record all performance and status-of-health parameters while the component is subjected to the qualification environment. This monitoring must have a sample rate that will detect any component performance degradation.
(6) Any analysis must demonstrate that the qualification random vibration test environment of paragraph (c) of this section encompasses the qualification acoustic vibration environment. The analysis must demonstrate that the qualification random vibration environment is more severe than the
(e)
(2) The minimum qualification shock environment must be no less than a 3 dB margin plus the greater of the maximum predicted environment or the minimum breakup levels identified in table E417.11-2 for all frequencies from 100 Hz to 10000 Hz. The minimum qualification test environment must account for all the test tolerances to ensure that the test maintains the 3dB margin. For a shock test required by this appendix to have a ±3 dB tolerance, the qualification test environment must be 6 dB greater than the greater of the maximum predicted shock environment or the minimum breakup test level.
(3) The test must subject the component simultaneously to a shock transient and all the required frequencies.
(4) The test must subject each component to three shocks in each direction along each of the three orthogonal axes.
(5) The shock must last as long as the maximum predicted shock event.
(6) The test must continuously monitor each component's critical performance parameters for any discontinuity or inadvertent output while the component is subjected to the shock environment.
(7) The test must continuously monitor and record all performance and status-of-health parameters while the component is subjected to the qualification environment. This monitoring must have a sample rate of once every millisecond or better.
(8) For any component that uses one or more shock or vibration isolators during flight, the component must undergo the qualification shock test mounted on its isolator or isolators. Each isolator must satisfy the test requirements of section E417.35.
(f)
(2) The qualification acceleration test environment must be no less than 200% greater than the maximum predicted acceleration environment.
(3) The qualification acceleration must last three times as long as the maximum predicted environment lasts in each direction for each of the three orthogonal axes.
(4) For any test, if the test tolerance is more than ±10%, the qualification acceleration test environment of paragraph (f)(1) of this section must account for the test tolerance to ensure that the test maintains the
(5) Any analysis must demonstrate that the qualification operating random vibration test required by paragraph (c) of this section encompasses the qualification acceleration environment. The analysis must demonstrate that the qualification random vibration environment is equal to or more severe than the qualification acceleration environment. The analysis must account for the peak vibration and acceleration levels and durations.
(6) Any test must continuously monitor and record all performance and status-of-health parameters while the component is subjected to the qualification environment. This monitoring must have a sample rate that will detect any component performance degradation.
(7) For any component that uses one or more shock and vibration isolators during flight, the component must undergo any qualification acceleration test mounted on its isolator or isolators. Each isolator must satisfy the test requirements of section E417.35.
(g)
(1) The test or analysis must demonstrate the ability of all externally exposed surfaces to withstand the maximum predicted relative humidity environment.
(2) The test or analysis must demonstrate the ability of each internal part of a component to withstand the maximum predicted relative humidity environment unless the component is environmentally sealed and an acceptance test demonstrates that the seal works.
(3) Each test must satisfy all of the following:
(i) The test must subject the component to no less than four thermal cycles while the component is exposed to a relative humidity of no less than 95%;
(ii) The test must measure each electrical performance parameter at the cold and hot temperatures during the first, middle and last thermal cycles; and
(iii) The test must continuously measure and record all performance and status-of-health parameters with a resolution and sample rate that will detect any component performance degradation throughout each thermal cycle.
(h)
(1)
(i) The qualification thermal cycle environment must range from 10 °C above the acceptance test high temperature to 10 °C below the acceptance test low temperature;
(ii) The test must subject a component to no less than three times the acceptance-number of thermal cycles. For each component, the acceptance-number of thermal cycles must satisfy section E417.13(d)(1). For each cycle, the dwell-time at each of the high and low temperatures must last long enough for the component to achieve internal thermal equilibrium and must last no less than one hour. The test must begin each dwell-time at each high and low temperature with the component turned off. The component must remain off until the temperature stabilizes. Once the temperature stabilizes, the component must be turned on and the test must complete each dwell-time with the component turned on;
(iii) When heating or cooling the component, the temperature must change at an average rate of 1 °C per minute or the maximum predicted rate, whichever is greater;
(iv) The test must measure all performance parameters with the component powered at its low and high operating voltages when the component is at ambient temperature before beginning the first thermal cycle and after completing the last cycle. The test must measure all performance parameters with the component powered at its low and high operating voltages when the component is at the high and low temperatures during the first, middle, and last thermal dwell cycles; and
(v) The test must continuously monitor and record all critical performance and status-of-health parameters during all cycles and thermal transitions and with the component operating at its nominal operating voltage. The monitoring and recording must have a resolution and sample rate that will detect any component performance degradation.
(2)
(i) The qualification thermal cycle environment must range from 10 °C above the acceptance test high temperature to 10 °C below the acceptance test low temperature;
(ii) The test must subject a component to no less than three times the acceptance-
(iii) When heating or cooling the component, the temperature must change at an average rate of 1 °C per minute or the maximum predicted rate, whichever is greater;
(iv) The test must measure all performance parameters when the component is at ambient temperature before beginning the first thermal cycle and after completing the last cycle. The test must measure all performance parameters when the component is at the high and low temperatures during the first, middle, and last thermal cycles; and
(v) The test must continuously monitor and record all critical performance and status-of-health parameters with a resolution and sample rate that will detect any component performance degradation during all cycles and thermal transitions.
(3)
(i) The qualification thermal cycle must range from 10 °C above the acceptance test high temperature to 10 °C below the acceptance test low temperature;
(ii) The test must subject the component to no less than three times the acceptance-number of thermal cycles. For each component, the acceptance-number of thermal cycles must satisfy section E417.13(d)(1). For each cycle, the dwell-time at each high and low temperature must last long enough for the component to achieve internal thermal equilibrium and must last no less than one hour;
(iii) When heating or cooling the component, the temperature must change at an average rate of 1 °C per minute or the maximum predicted rate, whichever is greater;
(iv) The test must measure all performance parameters when the component is at ambient temperature before beginning the first thermal cycle. The test must measure all performance parameters when the component is at the high and low temperatures during the first, middle, and last thermal cycles. The test must measure all performance parameters when the component is at ambient temperature after completing the last cycle; and
(v) The test must continuously monitor and record all critical performance and status-of-health parameters during all temperature cycles and transitions using a resolution and sample rate that will detect any component performance degradation.
(4)
(i) The qualification thermal cycle must range from 10 °C above the predicted highest temperature, or 71 °C, whichever is higher, to 10 °C below the predicted lowest temperature, or −54 °C, whichever is lower;
(ii) The test must subject each ordnance component to no less than the acceptance-number of thermal cycles. For each component, the acceptance-number of thermal cycles must satisfy section E417.13(d)(1). For an ordnance component that is used inside a safe-and-arm device, the test must subject the component to three times the acceptance-number of thermal cycles. For each cycle, the dwell-time at each high and low temperature must last long enough for the component to achieve internal thermal equilibrium and must last no less than two hours; and
(iii) When heating or cooling the component, the temperature must change at an average rate of 3 °C per minute or the maximum predicted rate, whichever is greater.
(i)
(1) The qualification thermal vacuum environment must satisfy all of the following:
(i) The thermal vacuum pressure gradient must equal or exceed the maximum predicted rate of altitude change that the component will experience during flight;
(ii) The final vacuum dwell-time must last long enough for the component to achieve pressure equilibrium and equal or exceed the greater of the maximum predicted dwell-time or 12 hours;
(iii) During the final vacuum dwell-time, the environment must include no less than three times the maximum predicted number of thermal cycles; and
(iv) Each thermal cycle must range from 10 °C above the acceptance thermal vacuum range, to 10 °C below the acceptance thermal vacuum range. The acceptance thermal vacuum temperature range is described in section E417.13(e);
(2) Any test must satisfy all of the following:
(i) The test must measure all performance parameters with the component powered at its low and high operating voltages when the component is at ambient temperature before beginning the first thermal cycle and after completing the last cycle;
(ii) The test must measure all performance parameters while the component is powered at its low and high operating voltages when
(iii) The test must continuously monitor and record all critical performance and status-of-health parameters during chamber pressure reduction and the final vacuum dwell-time, with the component at its high operating voltage and using a resolution and sample rate that will detect any component performance degradation; and
(3) Any analysis must satisfy all of the following:
(i) For any low voltage component of less than 50 volts, the analysis must demonstrate that the component is not susceptible to corona, arcing, or structural failure; and
(ii) For any high voltage component of 50 volts or greater, the component must undergo a thermal vacuum test unless the component is environmentally sealed and the analysis demonstrates that any low voltage externally exposed part is not susceptible to corona, arcing, or structural failure. A component with any high voltage externally exposed part of 50 volts or greater must undergo a thermal vacuum test.
(j)
(k)
(a)
(1) An acceptance test of a component must subject the component to one or more of the component's maximum predicted environments as determined under section D417.7. An acceptance test must not subject a component to a force or environment that is not tested during qualification testing.
(2) Each component sample that is intended for flight must undergo each acceptance test identified by any table of this appendix. A single-use component, such as ordnance or a battery, must undergo the production lot sample acceptance tests identified by any tables of this appendix.
(3) If a launch vehicle uses a previously flown and recovered flight termination system component, the component must undergo one or more reuse acceptance tests before each next flight to demonstrate that the component still satisfies all its performance specifications when subjected to each maximum predicted environment. Each reuse acceptance test must be the same as the initial acceptance test for the component's first flight. Each reuse acceptance test must follow a written component reuse qualification, refurbishment, and acceptance plan and procedures. Each acceptance reuse test must compare performance parameter measurements taken during the test to all previous acceptance test measurements to ensure that the data show no trends that indicate any degradation in performance that could prevent the component from satisfying all its performance specifications during flight.
(4) Each acceptance test of a component must use test tolerances that are consistent with the test tolerances used by each qualification test of the component.
(b)
(1) The acceptance random vibration environment must equal or exceed the greater of the maximum predicted random vibration level or the minimum workmanship acceptance test level of table E417.13-1, for all frequencies from 20 Hz to 2000 Hz, in each of three mutually perpendicular axes.
(2) For each axis, the vibration must last the greater of three times the maximum predicted duration or a minimum workmanship screening level of 60 seconds.
(3) For a component sample that undergoes qualification testing and must experience the acceptance environment before it experiences the qualification environment, such as a command receiver decoder, the test must use the same configuration and methods for the acceptance and qualification random vibration environments. An acceptance random vibration test of a flight component sample must use a configuration and method that is representative of the component's qualification tests to ensure that the requirements of paragraph (a) of this section are satisfied.
(4) For any component that is mounted on one or more vibration or shock isolators during flight, the component must undergo the acceptance random vibration test in the
(i) Any hard-mounted acceptance random vibration test must subject the component to an acceptance random vibration environment that:
(A) Accounts for the isolator attenuation and amplification due to the maximum predicted operating random vibration environment, including any thermal effects and acceleration pre-load performance variability, and adds a 1.5 dB margin to account for any isolator attenuation variability; and
(B) Is no less than the minimum workmanship screening acceptance random vibration level of table E417.13-1.
(ii) Any isolator-mounted acceptance random vibration test must:
(A) Use an isolator or isolators that passed the tests required by section E417.35;
(B) Have an input to each isolator of no less than the required acceptance random vibration environment of paragraphs (b)(1) and (b)(2) of this section; and
(C) Subject the component to no less than the minimum workmanship screening acceptance random vibration level of table E417.13-1. If the isolator or isolators prevent the component from experiencing the minimum workmanship level, the component must undergo a hard-mount test that subjects the component to the workmanship level.
(5) If the duration of the acceptance random vibration environment leaves insufficient time to complete any required performance verification test while the component is subjected to the full acceptance environment, the test must continue at no lower than 6 dB below the acceptance environment. The test need only continue for the additional time needed to complete the performance verification test.
(6) The test must continuously monitor all performance and status-of-health parameters with any electrical component at its nominal operating voltage. This monitoring must have a sample rate that will detect any component performance degradation.
(c)
(1) The acceptance acoustic vibration environment must satisfy all of the following:
(i) The vibration level must equal or exceed the maximum predicted acoustic level for all frequencies from 20 Hz to 2,000 Hz in each of three mutually perpendicular axes; and
(ii) For each axis, the vibration must last the maximum predicted duration or 60 seconds, whichever is greater.
(2) Any test must satisfy all of the following:
(i) The test must continuously monitor all performance and status-of-health parameters with any electrical component at its nominal operating voltage. This monitoring must have a sample rate that will detect any component performance degradation; and
(ii) If the duration of the acceptance acoustic vibration environment leaves insufficient time to complete any required performance verification test while the component is subjected to the full acceptance environment, the test must continue at no lower than 6 dB below the acceptance environment. The test need only continue for the additional time needed to complete the performance verification test.
(3) Any analysis must demonstrate that the acceptance random vibration environment of paragraph (b) of this section encompasses the acceptance acoustic vibration environment. The analysis must demonstrate that the peak acceptance random vibration levels and duration are equal to or are more severe than the acceptance acoustic vibration environment.
(d)
(1)
(2)
(i) The acceptance thermal cycle environment must range from the higher of the maximum predicted environment high temperature or 61 °C workmanship screening level, to the lower of the predicted low temperature or a −24 °C workmanship screening level.
(ii) The test must subject a component to no fewer than 10 plus the acceptance-number of thermal cycles. For each component, the acceptance-number of thermal cycles must satisfy this paragraph. For each cycle, the dwell-time at each high and low temperature must last long enough for the component to achieve internal thermal equilibrium and must last no less than one hour. The test must begin each dwell-time at each high and low temperature with the component turned off. The component must remain off until the temperature stabilizes. Once the temperature stabilizes, the test must complete each dwell-time with the component turned on.
(iii) When heating or cooling the component, the temperature must change at an average rate of 1 °C per minute or the maximum predicted rate, whichever is greater.
(iv) The test must measure all performance parameters with the component powered at its low and high operating voltages when the component is at ambient temperature before beginning the first thermal cycle and after completing the last cycle.
(v) The test must measure all performance parameters with the component at its low and high operating voltages when the component is at the high and low temperatures during the first, middle, and last thermal cycles.
(vi) The test must continuously monitor and record all critical performance and status-of-health parameters during all cycles and thermal transitions and with the component at its nominal operating voltage. The monitoring and recording must have a resolution and sample rate that will detect any component performance degradation.
(3)
(i) Unless otherwise noted, the acceptance thermal cycle environment must range from the higher of the maximum predicted environment high temperature or a 61 °C workmanship screening temperature, to the lower of the predicted lowest temperature or a −24 °C workmanship screening temperature;
(ii) The test must subject a component to no fewer than the acceptance-number of thermal cycles. For each component, the acceptance-number of thermal cycles must satisfy this paragraph. For each cycle, the dwell-time at each high and low temperature must last long enough for the component to achieve internal thermal equilibrium and must last no less than one hour;
(iii) When heating or cooling the component, the temperature must change at an average rate of 1 °C per minute or the maximum predicted rate, whichever is greater;
(iv) The test must measure all performance parameters when the component is at ambient temperature before beginning the first thermal cycle and after completing the last cycle;
(v) The test must measure all performance parameters when the component is at the high and low temperatures during the first, middle, and last thermal cycles; and
(vi) The test must continuously monitor and record all critical performance and status-of-health parameters throughout each thermal cycle with a resolution and sample rate that will detect any component performance degradation.
(4)
(i) The acceptance thermal cycle environment must range from the higher of the maximum predicted environment high temperature or the minimum workmanship screening temperature of 61 °C to the lower of the predicted lowest temperature or the minimum workmanship screening temperature of −24 °C.
(ii) The test must subject a component to no fewer than the acceptance-number of thermal cycles. For each component, the acceptance-number of thermal cycles must satisfy this paragraph. For each cycle, the dwell-time at each high and low temperature must last long enough for the component to achieve internal thermal equilibrium and must last no less than one hour.
(iii) When heating or cooling the component, the temperature must change at an average rate of 1 °C per minute or the maximum predicted rate, whichever is greater.
(iv) The test must measure all performance parameters when the component is at ambient temperature before beginning the first thermal cycle and after completing the last cycle.
(v) The test must measure all performance parameters including each critical electrical parameter, when the component is at the high and low temperatures during the first, middle, and last thermal cycles.
(vi) The test must continuously monitor and record all critical performance and status-of-health parameters throughout each thermal cycle with a resolution and sample rate that will detect whether the component satisfies all its performance specifications.
(e)
(1) The acceptance thermal vacuum environment must satisfy all of the following:
(i) The thermal vacuum pressure gradient must equal or exceed the maximum predicted rate of altitude change that the component will experience during flight. The pressure gradient must allow for no less than ten minutes for reduction of chamber pressure at the pressure zone from ambient pressure to 20 Pascal;
(ii) The final vacuum dwell-time must last long enough for the component to achieve pressure equilibrium and must last no less than the maximum predicted dwell-time or 12 hours, whichever is greater;
(iii) During the final vacuum dwell-time, the environment must include no less than the maximum predicted number of thermal cycles; and
(iv) Each thermal cycle must range from the higher of the maximum predicted environment high temperature or the workmanship screening high temperature of 61 °C, to the lower of the predicted low temperature or the workmanship screening low temperature of −24 °C.
(2) Any test must satisfy all of the following:
(i) The test must measure all performance parameters with the component powered at its low and high operating voltages when the component is at ambient temperature before beginning the first thermal cycle and after completing the last cycle.
(ii) The test must measure all performance parameters with the component powered at its low and high operating voltages when the component is at the high and low temperatures during the first, middle, and last thermal cycles; and
(iii) The test must continuously monitor all critical performance and status-of-health parameters during chamber pressure reduction and during the final vacuum dwell-time with the component at its high operating voltage. This monitoring must have a resolution and sample rate that will detect any component performance degradation.
(3) Any analysis must satisfy all of the following:
(i) For any low voltage component of less than 50 volts, any analysis must demonstrate that the component is not susceptible to corona, arcing, or structural failure; and
(ii) Any high voltage component of 50 volts or greater must undergo a thermal vacuum test unless the component is environmentally sealed and the analysis demonstrates that any low voltage externally exposed part of less than 50 volts is not susceptible to corona, arcing, or structural failure. A component with any high voltage externally exposed part must undergo an acceptance thermal vacuum test.
(f)
(a)
(b)
(c)
(i) From the same production lot;
(ii) Consist of identical parts and materials;
(iii) Manufactured through identical processes; and
(iv) Stored with the flight ordnance component or in an environment that duplicates the storage conditions of the flight ordnance component.
(a)
(2) The components of a radio frequency receiving system must satisfy each test or analysis identified by any table of this section to demonstrate that:
(i) The system is capable of delivering command control system radio frequency energy to each flight termination system receiver; and
(ii) The system satisfies all its performance specifications when subjected to each non-operating and operating environment and any performance degradation source. Such sources include any command control system transmitter variation, non-nominal launch vehicle flight condition, and flight termination system performance variation.
(b)
(c)
(1) The radio frequency receiving system provides command signals to each command destruct receiver at an electromagnetic field intensity of 12 dB above the level required for reliable receiver operation over 95% of the antenna radiation sphere surrounding the launch vehicle;
(2) The radio frequency coupler insertion loss and voltage standing wave ratio at the assigned operating frequency and at the high and low frequencies of the operating bandwidth satisfy all their performance specifications; and
(3) The cable insertion loss at the assigned operating frequency and at the high and low frequencies of the operating bandwidth satisfies all its performance specifications.
(d)
(e)
(f)
(1) The test must determine the radiation gain pattern around the launch vehicle and demonstrate that the system is capable of providing command signals to each command receiver decoder with electromagnetic field intensity at a 12 dB link margin above the level required for reliable receiver operation. The test must demonstrate the 12-dB margin over 95 percent of the antenna radiation sphere surrounding the launch vehicle.
(2) All test conditions must emulate flight conditions, including ground transmitter polarization, using a simulated flight vehicle and a flight configured radio frequency command destruct system.
(3) The test must measure the radiation gain for 360 degrees around the launch vehicle in degree increments that are small enough to identify any deep pattern null and to verify that the required 12 dB link margin is maintained throughout flight. Each degree increment must not exceed two degrees.
(4) The test must generate each antenna pattern in a data format that is compatible with the format needed to perform the flight safety system radio frequency link analysis required by § 417.329(h).
(g)
(1) The antenna must undergo the test before and after exposure to the qualification or acceptance test environments.
(2) The test must use a standard ground plane test fixture. The test configuration need not generate antenna pattern data that is representative of the actual system-level patterns.
(3) The test must include gain measurements in the 0° and 90° plane vectors and a conical cut at 80°.
(a)
(b)
(c)
(1)
(2)
(3)
(4)
(5)
(d)
(1)
(2)
(3)
(4)
(5)
(6)
(e)
(1)
(2)
(i)
(ii)
(iii)
(A) The maximum radio frequency level that it will experience from the command control system transmitter during checkout and flight plus a 3 dB margin; or
(B) 13 dBm, whichever is greater.
(iv)
(v)
(A) The test must show that the output of the monitor circuit is directly related and proportional to the strength of the radio frequency input signal from the threshold level to saturation.
(B) The dynamic range of the radio frequency input from the threshold level to saturation must be no less than 50 dB. The monitor circuit output from threshold to saturation must have a corresponding range that is greater than 18 dB.
(C) The test must perform periodic samples sufficient to demonstrate that the monitor satisfies all its performance specifications.
(D) The test must include the following radio frequency input levels: Quiescent; threshold; manufacturer guaranteed; beginning of saturation; and 13 dBm.
(E) The test must demonstrate that the slope of the monitor circuit output does not change polarity.
(vi)
(vii)
(viii)
(ix)
(x)
(xi)
(xii)
(xiii)
(xiv)
(f)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(g)
(h)
(i)
(j)
(1) Response time, paragraph (c)(1) of this section;
(2) Input current, paragraph (c)(2) of this section;
(3) Output functions, paragraph (c)(4) of this section;
(4) Decoder channel deviation, paragraph (e)(2)(i) of this section;
(5) Operational bandwidth, paragraph (e)(2)(ii) of this section;
(6) Radio frequency dynamic range, paragraph (e)(2)(iii) of this section;
(7) Capture ratio, paragraph (e)(2)(iv) of this section;
(8) Radio frequency monitor, paragraph (e)(2)(v) of this section;
(9) Message timing, paragraph (e)(2)(xi) of this section;
(10) Check tone, paragraph (e)(2)(xii) of this section; and
(11) Self test, paragraph (e)(2)(xiii) of this section.
(a)
(b)
(1)
(i) The cell must undergo activation that satisfies paragraph (j) of this section;
(ii) At the end of the manufacturer-specified wet stand time, the cell must undergo a discharge of the nameplate capacity;
(iii) The test must then subject the cell to the electrical performance test of paragraph (k) of this section using the qualification electrical load profile described in paragraph (k)(7)(ii) of this section;
(iv) The cell must then undergo a final discharge to determine the positive and negative plate capacity; and
(v) The test must demonstrate that each capacity satisfies the manufacturer's specification and is in-family.
(2)
(i) The cell must undergo activation that satisfies paragraph (j) of this section;
(ii) The test must subject the cell to the maximum predicted number of charge-discharge cycles that the battery will experience during normal operations;
(iii) At the end of each cycle life after each charge, the test must satisfy all of the following:
(A) The cell must undergo a discharge of the manufacturer's nameplate capacity;
(B) The cell must then undergo the electrical performance test of paragraph (k) of this section using the qualification electrical load profile described in paragraph (k)(7)(ii) of this section; and
(C) The cell must then undergo a discharge to determine the positive plate capacity;
(iv) At the end of the cycle life of the last charge-discharge cycle, in addition to determining the positive plate capacity, the cell must undergo a discharge to determine the negative plate capacity; and
(v) The test must demonstrate that each capacity for each cycle satisfies the manufacturer's specification and is in-family.
(c)
(1)
(2)
(3)
(4)
(d)
(1)
(2)
(e)
(f)
(g)
(1) The test must demonstrate that any battery or cell pressure relief device satisfies all its performance specifications;
(2) The test must exercise 100% of all pressure relief devices that can function repeatedly without degradation; and
(3) The test must demonstrate that each pressure relief device opens within ± 10% of its performance specification.
(h)
(i)
(j)
(1) The activation of a battery or cell must follow a procedure that is approved by the manufacturer and includes the manufacturer's activation steps.
(2) The activation procedure and equipment for acceptance testing must be equivalent to those used for qualification and storage life testing.
(3) The activation procedure must include verification that the electrolyte satisfies the manufacturer's specification for percentage of potassium hydroxide.
(4) The quantity of electrolyte for activation of the batteries and cells for any qualification test must satisfy all of the following:
(i) One of the three required qualification battery samples and six of the 12 required individual qualification cell samples must undergo activation with no less than the manufacturer specified maximum amount of electrolyte; and
(ii) One of the three required qualification battery samples and six of the 12 required individual qualification cell samples must undergo activation with no greater than the manufacturer specified minimum amount of electrolyte.
(k)
(1) The test must demonstrate that the battery or cell supplies the required current while maintaining the required voltage regulation that satisfies the manufacturer's specifications and is in family with previous test results;
(2) The test must monitor each of the battery or cell's critical electrical performance parameters; including voltage, current, and temperature, with a resolution and sample rate that detects any failure to satisfy a performance specification. For a battery, the
(3) The test must measure a battery or cell's no-load voltage before and after the application of any load to the battery or cell;
(4) A silver-zinc battery or cell must undergo this test after the battery or cell is activated and after the manufacturer's specified soak period;
(5) The test must demonstrate that the battery or cell voltage does not fall below the voltage needed to provide the minimum acceptance voltage of each electronic component that the battery powers while the battery or cell is subjected to the steady state portion of the load profile;
(6) The test must demonstrate that the battery or cell voltage does not fall below the voltage needed to provide the minimum qualification voltage of each electronic component that the battery powers while the battery or cell is subjected to the pulse portion of the load profile; and
(7) The test load profile must satisfy one of the following:
(i) For acceptance testing, the load profile must begin with a steady-state flight load that lasts for no less than 180 seconds followed without interruption by a current pulse. The pulse width must be no less than 1.5 times the ordnance initiator qualification pulse width or a minimum workmanship screening pulse width of 100 milliseconds, whichever is greater. The pulse amplitude must be no less than 1.5 times the ordnance initiator qualification pulse amplitude. After the pulse, the acceptance load profile must end with the application of a steady-state flight load that lasts for no less than 15 seconds; or
(ii) For qualification testing or any storage life testing, the load profile must begin with a steady-state flight load that lasts for no less than 180 seconds followed by a current pulse. The pulse width must be no less than three times the ordnance initiator qualification pulse width or a minimum workmanship screening pulse width of 200 milliseconds, whichever is greater. The pulse amplitude must be no less than 1.5 times the ordnance initiator qualification pulse amplitude. After the pulse, the qualification load profile must end with a steady-state flight load that lasts for no less than 15 seconds.
(l)
(1) The test environment must simulate the pre-flight battery or cell conditioning environments, including the launch vehicle installation environment;
(2) The test environment must simulate the worst case temperature exposure and any thermal cycling, such as due to any freezer storage, and any diurnal cycling on the launch vehicle;
(3) The test must measure the battery or cell's open-circuit voltage at the beginning and again at the end of the activated stand time to demonstrate that it satisfies its performance specifications; and
(4) The test must apply an electrical load to the battery or cell at the end of the activated stand time to demonstrate whether the battery or cell is in a peroxide or monoxide chemical state that satisfies its performance specifications before undergoing any other operating environmental test.
(m)
(n)
(1) The test must subject the battery or cell sample to the maximum predicted number of charge-discharge cycles that the battery or cell will experience during normal operations;
(2) After activation, each battery or cell sample must undergo three thermal cycles at the end of the first cycle life and three thermal cycles at the end of each cycle life after each intermediate charge before the final charge;
(3) During each set of three thermal cycles for each charge-discharge cycle, the test must satisfy the thermal cycle test requirements of paragraphs (o)(2)-(o)(5) of this section;
(4) For a battery, after the three thermal cycles for each charge-discharge cycle, the battery must undergo a pin-to-case isolation test that satisfies paragraph (c)(4) of this section;
(5) Each battery or cell must undergo a discharge of its nameplate capacity before each charge; and
(6) The battery or cell must undergo any further operating environment tests only after the final charge.
(o)
(1) The test must subject the battery or cell to no less than the acceptance-number of thermal cycles that satisfies section E417.13(d)(1);
(2) The thermal cycle environment must satisfy all of the following:
(i) Each thermal cycle must range from 10 °C above the maximum predicted temperature range to 5.5 °C below. If the launch vehicle's telemetry system does not provide the battery's temperature before and during flight as described in section D417.17(b)(9), each thermal cycle must range from 10 °C above the maximum predicted temperature range to 10 °C below;
(ii) For each cycle, the dwell-time at each high and low temperature must last long enough for the battery or cell to achieve internal thermal equilibrium and must last no less than one hour; and
(iii) When heating and cooling the battery or cell, the temperature change at a rate that averages 1 °C per minute or the maximum predicted rate, whichever is greater;
(3) Each battery or cell must undergo the electrical performance test of paragraph (k) of this section when the battery or cell is at ambient temperature before beginning the first thermal cycle and after completing the last cycle;
(4) Each battery or cell must undergo the electrical performance test of paragraph (k) of this section, at the high and low temperatures during the first, middle and last thermal cycles; and
(5) The test must continuously monitor and record all critical performance and status-of-health parameters, including the battery or cell's open circuit voltage, during all thermal cycle dwell times and transitions with a resolution and sample rate that will detect any performance degradation.
(p)
(1) The battery or cell must undergo discharge at flight loads until the total capacity consumed during this discharge and during all previous qualification tests reaches the manufacturer's specified capacity.
(2) The test must demonstrate that the total amount of capacity consumed during the discharge test and all previous qualification tests satisfies the battery or cell's minimum performance specification.
(3) After satisfying paragraphs (p)(1) and (p)(2) of this section, the test must measure the battery or cell's no-load voltage and then apply a qualification load profile that satisfies all of the following:
(i) The load profile must begin with a steady state flight load for no less than 180 seconds followed by a current pulse;
(ii) The pulse width must be no less than three times the ordnance initiator qualification pulse width or a minimum workmanship screening pulse width of 200 milliseconds; whichever is greater;
(iii) The pulse amplitude must be no less than 1.5 times the ordnance initiator qualification pulse amplitude; and
(iv) After the pulse, the qualification load profile must end with a steady state flight load that lasts for no less than 15 seconds.
(4) The test must monitor each of the battery or cell's critical electrical performance parameters; including voltage, current, and temperature, with a resolution and sample rate that detects any failure to satisfy a performance specification. For a battery, the test must monitor the battery's performance parameters and the voltage of each cell within the battery. During the current pulse portion of the load profile, the voltage monitoring must have sample rate that will detect any component performance degradation.
(5) The test must demonstrate that the battery or cell voltage does not fall below the voltage needed to provide the minimum acceptance voltage of each electronic component that the battery powers while the battery or cell is subjected to the steady state portion of the load profile.
(6) The test must demonstrate that the battery or cell voltage does not fall below the voltage needed to provide the minimum qualification voltage of each electronic component that the battery powers while the battery or cell is subjected to the pulse portion of the load profile.
(7) After satisfying paragraphs (p)(1) through (p)(6) of this section, the battery or cell must undergo a complete discharge and the test must demonstrate that the total silver plate capacity is in-family.
(q)
(1) An internal examination of any battery to verify that there was no movement of any component within the battery that could stress that component beyond its design limit during flight:
(2) An examination to verify the integrity of all cell and wiring interconnects.
(3) An examination to verify the integrity of all potting and shimming materials.
(4) The removal of all cells from the battery and examination of each cell for any physical damage.
(5) A destructive physical analysis to verify the integrity of all plate tab to cell terminal connections and the integrity of each plate and separator. For each battery sample required to undergo all the qualification tests, one cell from each corner and two cells from the middle of the battery must undergo the destructive physical analysis. For storage life testing, one of the two cells required to undergo all the storage life tests must undergo destructive physical analysis. The inspection must verify the integrity of each plate tab, identify any anomaly in each plate, including its color or shape, and identify any anomaly in each separator, including its condition, silver migration, and any oxalate crystals.
(6) A test that demonstrates that the zinc plate capacity of the cells satisfies the manufacturer's specification. For each battery sample required to undergo all the qualification tests, the test must determine the zinc plate capacity for three cells from the battery, other than the cells of paragraph (q)(5) of this section. For storage life testing, the test must determine the zinc plate capacity for one cell that is required to undergo all the storage life tests, other than the cell of paragraph (q)(5) of this section.
(r)
(1) One test cell that is from the same production lot as the flight battery, with the same lot date code as the cells in the flight battery, must undergo the test.
(2) The test cell must have been attached to the battery from the time of the manufacturer's acceptance test and have experienced the same non-operating environments as the battery.
(3) The test must occur immediately before activation of the flight battery.
(4) The test cell must undergo activation that satisfies paragraph (j) of this section.
(5) The test cell must undergo discharge at a moderate rate, using the manufacturer's specification, undergo two qualification load profiles of paragraph (k)(7)(ii) of this section at the nameplate capacity, and then undergo further discharge until the minimum manufacturer specified voltage is achieved. The test must demonstrate that the cell's amp-hour capacity and voltage characteristics satisfy all their performance specifications and are in-family.
(6) For a silver-zinc battery that will undergo charging during normal operations, the test cell must undergo the requirements of paragraph (r)(5) of this section for each qualification charge-discharge cycle. The test must demonstrate that the cell capacity and electrical characteristics satisfy all their performance specifications and are in family for each charge-discharge cycle.
(a)
(1)
(2)
(i) The rate of each charge or discharge must prevent any damage to the battery or cell and provide for the battery or cell's electrical characteristics to remain consistent. Unless otherwise specified, the charge or discharge rate used for qualification testing must be identical to the rate that the flight battery experiences during acceptance and preflight testing;
(ii) A discharge of a cell must subject the cell to the discharge rate until the cell voltage reaches no greater than 0.9 volt. A discharge of a battery, must subject the battery to the discharge rate until the battery voltage reaches no greater than 0.9 volt times the number of cells in the battery. Any discharge that results in a cell voltage below 0.9 volt must use a discharge rate that is slow enough to prevent cell damage or cell reversal. Each discharge must include monitoring of voltage, current, and time with sufficient resolution and sample rate to determine capacity and demonstrate that the battery or cell is in-family;
(iii) A charge of a battery or cell must satisfy the manufacturer's charging specifications and procedures. The charging input to the battery or cell must be no less than 160% of the manufacturer's specified capacity. The charge rate must not exceed C/10 unless the launch operator demonstrates that a higher charge rate does not damage the battery or cell and results in repeatable battery or cell performance. The cell voltage must not exceed 1.55 volts during charging to avoid creating a hydrogen gas explosion hazard; and
(iv) The test must monitor each of the battery or cell's critical electrical performance parameters with a resolution and sample rate to detect any failure to satisfy a performance specification. For a battery, the test must monitor the battery's performance parameters and those of each cell within the battery. During the current pulse portion of the load profile, the monitoring must have a resolution and sample rate that will detect any component performance degradation.
(b)
(1)
(2)
(c)
(1) Record the manufacturer's lot-code;
(2) Demonstrate that the cell is clean and free of manufacturing defects;
(3) Use a chemical indicator to demonstrate that the cell has no leak; and
(4) Discharge each cell to no greater than 0.9 volt using a discharge rate that will not cause damage to the cell.
(d)
(1) Before any testing, each cell must age for no less than 11 months after the manufacturer's lot date code to ensure consistent electrical performance of the cell for its entire service-life; and
(2) After aging, each cell must undergo a first charge at a charging rate of no greater than its capacity divided by 20 (C/20), to initialize the chemistry within the cell. Any battery stored for over one month after the first charge must undergo recharging at the same rate.
(e)
(1) Each cell must repeatedly undergo charge and discharge cycles until the capacities for three consecutive cycles agree to within 1% of each other; and
(2) During characterization, each cell must remain at a temperature of 20 °C ± 2 °C to ensure that the cell is not overstressed and to allow repeatable performance.
(f)
(1) The test must begin with the battery or cell fully charged. The battery or cell must undergo an immediate capacity discharge to develop a baseline capacity for comparison to its charge retention performance;
(2) The battery or cell must undergo complete charging and then storage at 20 °C ± 2 °C for 72 hours;
(3) The battery or cell must undergo discharging to determine its capacity; and
(4) The test must demonstrate that each cell or battery's capacity is greater than 90% of the baseline capacity of paragraph (f)(1) of this section and the test must demonstrate that the capacity retention is in-family.
(g)
(1) Each cell must undergo repeated charge and discharge cycles at 0 °C ± 2 °C until all the capacities for three consecutive cycles agree to within 1% of each other; and
(2) After the charge and discharge cycles of paragraph (g)(1) of this section, each cell must undergo an inspection to demonstrate that it is not cracked.
(h)
(1) Any battery must undergo discharge to a voltage between 0.05 volts and 0.9 volts to prevent cell reversal, allow safe handling, and minimize any aging degradation;
(2) Any individual cell must undergo discharge to no greater than 0.05 volts to allow safe handling and minimize any aging degradation;
(3) After the discharge, each battery or cell must undergo storage in an open circuit configuration and under storage conditions that protect against any performance degradation and are consistent with the qualification tests. This must include a storage temperature of no greater than 5 °C.
(i)
(j)
(k)
(1) The test must monitor the battery's pressure while subjecting the battery case to no less than 1.5 times the greatest operating pressure differential that could occur under qualification testing, pre-flight, or flight conditions;
(2) The pressure monitoring must have a resolution and sample rate that allows accurate determination of the battery's leak rate;
(3) The test must demonstrate that the battery's leak rate is no greater than the equivalent of 10
(4) The battery must undergo examination to identify any condition that indicates that
(l)
(m)
(n)
(1) The test must measure a battery or cell's no-load voltage before applying any load to ensure it is within the manufacturer's specification limits.
(2) The test must demonstrate that the battery or cell voltage does not violate the manufacturer's specification limits while the battery or cell is subjected to the steady-state flight load. The test must also demonstrate that the battery provides the minimum acceptance voltage of each electronic component that the battery powers.
(3) The test must demonstrate that the battery or cell supplies the required current while maintaining the required voltage regulation that satisfies the manufacturer's specification. The test must demonstrate that the battery or cell voltage does not fall below the voltage needed to provide the minimum qualification voltage of each electronic component that the battery powers while the battery or cell is subjected to the pulse portion of the load profile. The test must subject the battery or cell to one of the following load profiles:
(i) For acceptance testing, the test load profile must satisfy all of the following:
(A) The load profile must begin with a steady-state flight load that lasts for no less than 180 seconds followed without interruption by a current pulse;
(B) The pulse width must be no less than 1.5 times the ordnance initiator qualification pulse width or a minimum workmanship screening pulse width of 100 milliseconds, whichever is greater;
(C) The pulse amplitude must be no less than 1.5 times the ordnance initiator qualification pulse amplitude; and
(D) After the pulse, the acceptance load profile must end with a steady state flight load that lasts for no less than 15 seconds.
(ii) For qualification testing, the test load profile must satisfy all of the following:
(A) The load profile must begin with a steady-state flight load that lasts for no less than 180 seconds followed by a current pulse;
(B) The pulse width must be no less than three times the ordnance initiator qualification pulse width or a minimum workmanship screening pulse width of 200 milliseconds, whichever is greater;
(C) The pulse amplitude must be no less than 1.5 times the ordnance initiator qualification pulse amplitude; and
(D) After the pulse, the qualification load profile must end with a steady-state flight load that lasts for no less than 15 seconds.
(4) The test must repeat, satisfy, and accomplish paragraphs (n)(1)-(n)(3) of this section with the battery or cell at each of the following levels of charge-discharge and in the following order:
(A) Fully charged;
(B) After the battery or cell undergoes a discharge that removes 50% of the capacity required for launch and all required margins; and
(C) After the battery or cell undergoes a discharge that removes an additional 50% of the capacity required for launch.
(5) The test must subject the battery or cell the a final discharge that determines the remaining capacity. The test must demonstrate that the total capacity removed from the battery during all testing, including this final discharge, satisfies all the battery's performance specifications and is in-family.
(o)
(1) The acceptance-number of thermal cycles for a component means the number of thermal cycles that the component must experience during the acceptance thermal cycle test. The test must subject each component to no less than eight thermal cycles or 1.5 times the maximum number of thermal cycles that the component could experience during launch processing and flight, including all launch delays and recycling, rounded up to the nearest whole number, whichever is greater.
(2) The acceptance thermal cycle high temperature must be a 30 °C workmanship screening level or the maximum predicted environment high temperature, whichever is higher. The acceptance thermal cycle low temperature must be a −24 °C workmanship screening temperature or the predicted environment low temperature, whichever is lower;
(3) When heating or cooling the battery during each cycle, the temperature must
(4) The test must measure all of a battery's critical status-of-health parameters at the thermal extremes on all cycles and during thermal transition to demonstrate that the battery satisfies all its performance specifications. The battery must undergo monitoring of its open circuit voltage throughout the test to demonstrate that it satisfies all its performance specifications throughout testing. The sample rate must be once every 10 seconds or more often.
(5) The battery must undergo an electrical performance test that satisfies paragraph (n) of this section while the battery is at the high, ambient, and low temperatures, during the first, middle, and last thermal cycles.
(6) If either the workmanship high or low temperature exceeds the battery's maximum predicted operating temperature range and the battery is not capable of passing the electrical performance test at the workmanship temperature, the battery may undergo the electrical performance test at an interim temperature during the cycle. This must include all of the following:
(i) Any interim high temperature must be no less than the maximum predicted high temperature;
(ii) Any interim low temperature must be no greater than the maximum predicted low temperature;
(iii) The dwell-time at any interim temperature must be long enough for the battery to reach thermal equilibrium; and
(iv) After any electrical performance test at an interim temperature, the thermal cycle must continue until the battery reaches its workmanship temperature.
(p)
(1) The test must subject the fully charged battery to no less than three times the acceptance-number of thermal cycles of paragraph (o)(1) of this section.
(2) The qualification thermal cycle high temperature must be a 40 °C workmanship screening level or the maximum predicted environment high temperature plus 10 °C, whichever is higher. The qualification thermal cycle low temperature must be a −34 °C workmanship screening temperature or the predicted environment low temperature minus 10 °C, whichever is lower.
(3) When heating or cooling the battery during each cycle, the temperature must change at an average rate of 1 °C per minute or the maximum predicted rate, whichever is greater. The dwell time at each high and low temperature must be long enough for the battery to achieve internal thermal equilibrium and must be no less than one hour.
(4) The test must measure the battery's critical status-of-health parameters at the thermal extremes on all cycles and during thermal transition to demonstrate that the battery satisfies all its performance specifications. The battery must undergo monitoring of its open circuit voltage throughout the test to demonstrate that it satisfies all it performance specifications. The sample rate must be once every 10 seconds or more often.
(5) The battery must undergo an electrical performance test that satisfies paragraph (n) of this section while the battery is at the high, ambient, and low temperatures, during the first, middle, and last thermal cycles.
(6) If either the workmanship high or low temperature exceeds the battery's maximum predicted operating temperature range and the battery is not capable of passing the electrical performance test at the workmanship temperature, the battery may undergo the discharge and pulse capacity test at an interim temperature during the cycle. This must include all of the following:
(i) Any interim high temperature must be no less than the maximum predicted high temperature plus 10 °C;
(ii) Any interim low temperature must be no greater than the maximum predicted low temperature minus 10 °C;
(iii) The dwell-time at any interim temperature must last long enough for the battery to reach thermal equilibrium; and
(iv) After any electrical performance test at an interim temperature, the thermal cycle must continue to the workmanship temperature.
(q)
(1) The battery must undergo a charge to full capacity and then an immediate capacity discharge to establish a baseline capacity for comparison to the capacity after the battery experiences the operational stand time.
(2) The battery must undergo a charge to full capacity. The test must then subject the battery to the maximum predicted pre-flight temperature for the maximum operating stand time between final battery charging to the planned safe flight state while in an open circuit configuration. The maximum operating stand time must account for all launch processing and launch delay contingencies that could occur after the battery receives its final charge.
(3) After the maximum operating stand time has elapsed, the battery must undergo a capacity discharge to determine any capacity loss due to any self-discharge by comparing the operational stand time capacity with the baseline capacity in paragraph (q)(1) of this section.
(4) The test must demonstrate that the battery's capacity, including all required margins, and any loss in capacity due to the operational stand time satisfy all associated performance specifications.
(r)
(1) An internal examination to verify that there was no movement of any component within the battery that stresses that component beyond its design limit;
(2) An examination to verify the integrity of all cell and wiring interconnects;
(3) An examination to verify the integrity of all potting and shimming materials;
(4) The removal of all cells from the battery and examination of each cell for any physical damage;
(5) A test with a chemical indicator to demonstrate that none of the cells leaked; and
(6) Destructive physical analysis of one cell from each corner and one cell from the middle of each battery that undergoes all the qualification tests. The destructive physical analysis must verify the integrity of all connections between all plate tabs and cell terminals, and the integrity of each plate and separator.
(s)
(1)
(i) The test must measure each cell's weight to 0.001 grams to create a baseline for comparison.
(ii) The test must subject each cell, fully charged, to a vacuum of less than 10
(iii) The test must measure each cell's weight after the 20-hour vacuum and demonstrate that the cell does not experience a weight loss greater than three-sigma from the average weight loss for each cell in the lot.
(iv) Any cell that fails the weight-loss test of paragraph (h)(3) of this section must undergo cleaning and discharge. The cell must then undergo a full charge and then inspection with a chemical indicator. If the chemical indicator shows that the cell has a leak, a launch operator may not use the cell in any further test or flight.
(2)
(i) The cell must develop greater than one atmosphere differential pressure during the 0 °C capacity and overcharge test of paragraph (g) of this section.
(ii) After the 0 °C capacity and overcharge test of paragraph (g) of this section, the cell must undergo a full charge and then inspection with a chemical indicator. If the chemical indicator shows that the cell has a leak, a launch operator may not use the cell in any further test or flight.
This section applies to any component that is critical to the reliability of a flight termination system and is not otherwise identified by this appendix. This includes any new technology or any component that may be unique to the design of a launch vehicle, such as any auto-destruct box, current limiter, or timer. A miscellaneous component must satisfy each test or analysis identified by any table of this section to demonstrate that the component satisfies all its performance specifications when subjected to each non-operating and operating environment. For any new or unique component, the launch operator must identify any additional test requirements necessary to ensure its reliability.
(a)
(b)
(c)
(1) The test must demonstrate that the safe-and-arm monitors accurately determine safe-and-arm transition and whether the safe-and-arm device is in the proper configuration;
(2) The test must demonstrate that a safe-and-arm device is not susceptible to inadvertent initiation or degradation in performance of the electro-explosive device during pre-flight processing; and
(3) The test must demonstrate the ability of a safe-and-arm device to satisfy all its performance specifications when subjected to five times the maximum predicted number of safe-to-arm and arm-to-safe cycles.
(d)
(i) Five minutes; or
(ii) The maximum time that could occur inadvertently and the device still be used for flight.
(e)
(1)
(2)
(i) The test must consist of firings at high and low temperature extremes, the explosive transfer system must be configured for flight;
(ii) Each high-temperature firing must be initiated at the manufacturer specified high temperature or a 71 °C workmanship screening level, whichever is higher; and
(iii) Each low-temperature firing must be initiated at the manufacturer specified low temperature or a −54 °C workmanship screening level, whichever is lower.
(3)
(4)
(5)
(6)
(f)
(1) The safe-and-arm device must undergo the test while subjected to each required thermal environment;
(2) The test must continuously monitor the bridgewire continuity with the safe-and-arm device in its arm position to detect each and any variation in amplitude. Any variation in amplitude constitutes a test failure;
(3) The test must measure the bridgewire resistance for the first and last thermal cycle during the high and low temperature dwell times to demonstrate that the bridgewire resistance satisfies the manufacturer specification;
(4) The test must subject the safe-and-arm device to five safe-and-arm cycles and measure the bridgewire continuity during each cycle to demonstrate that the continuity is consistent; and
(5) The test must measure the safe-and-arm cycle time to demonstrate that it satisfies the manufacturer specification.
(g)
(1) The safe-and-arm device must undergo the test while subjected to each required dynamic operational environment;
(2) The test must continuously monitor the bridgewire continuity with the safe-and-arm device in the arm position to detect each and any variation in amplitude. Any amplitude variation constitutes a test failure. The monitoring must have a sample rate that will detect any component performance degradation;
(3) The test must continuously monitor each safe-and-arm device monitor circuit to detect each and any variation in amplitude. Any variation in amplitude constitutes a test failure. This monitoring must have a sample rate that will detect any component performance degradation; and
(4) The test must continuously monitor the safe-and-arm device to demonstrate that it remains in the fully armed position throughout all dynamic environment testing.
(h)
(i)
(1) A 25k-volt, 500-picofarad pin-to-pin discharge through a 5k-ohm resistor and a 25k-volt, 500-picofarad pin-to-case discharge with no resistor; or
(2) The maximum predicted pin-to-pin and pin-to-case electrostatic discharges.
(j)
(1)
(i) The test must demonstrate the initiation and transfer of all ordnance charges and that the component does not fragment. For a safe-and-arm device that has more
(ii) The number of component samples that the test must fire and the test conditions, including firing current and temperature must satisfy each table of this section;
(iii) Before initiation, each component sample must experience the required temperature for enough time to achieve thermal equilibrium;
(iv) Each test must measure ordnance output using a measuring device, such as a swell cap or dent block, to demonstrate that the output satisfies all its performance specifications; and
(v) Each test of a safe-and-arm device or electro-explosive device must subject each sample device to a current source that duplicates the operating output waveform and impedance of the flight current source. Each test of a rotor lead or booster charge must subject the component to an energy source that simulates the flight energy source.
(2)
(3)
(4)
(5)
(6)
(7)
(k)
(l)
(m)
(n)
(o)
(p)
(1) The worst-case leakage current level and duration that could occur in an operating condition; or
(2) One amp/one watt for five minutes.
(q)
(1) The test environment must be no less than 30 °C higher than the highest non-operating or operating temperature that the device could experience;
(2) The test must last the maximum predicted high-temperature duration or one hour, whichever is greater; and
(3) After exposure to the test environment, each sample device must undergo external and internal examination, including any dissection needed to identify any auto-ignition, sublimation, or melting.
(a)
(b)
(c)
(1) The amplitude sensitivity of the firing unit trigger circuit provides margin over the worst-case trigger signal that could be delivered on the launch vehicle as follows:
(i) The firing unit triggers at 50% of the amplitude and 50% of the pulse duration of the lowest trigger signal that could be delivered during flight; and
(ii) The firing unit triggers at 120% amplitude and 120% of the pulse duration of the highest trigger signal that could be delivered during flight;
(2) The firing unit satisfies all its performance specifications when subjected to the maximum input voltage of the open circuit voltage of the power source, ground or airborne, and the minimum input voltage of the loaded voltage of the power source;
(3) Each control and switching circuit that is critical to the reliable operation of an exploding bridgewire firing unit does not change state when subjected to a minimum input power drop-out for a period of 50 milliseconds;
(4) The firing unit's response time satisfies all its performance specifications with input at the specified minimum and maximum vehicle supplied trigger signal; and
(5) If the firing unit has differential input, the unit satisfies all its performance specifications with all input combinations at the specified trigger amplitude input signals.
(d)
(1) The firing unit satisfies all its performance specifications when subjected to the worst-case high and low arm voltages that it could experience during flight;
(2) The firing unit's charging and output circuitry has an output waveform, rise-time, and amplitude that delivers no less than a 50% voltage margin to the exploding bridgewire. The test must use the identical parameters, such as capacitor values and circuit and load impedance, as those used to provide the exploding bridgewire all-fire energy level;
(3) The firing unit does not experience any arcing or corona during high voltage discharge; and
(4) Each high-energy trigger circuit used to initiate the main firing capacitor has an output signal that delivers no less than a 50% voltage margin with an input to the circuit at the nominal trigger threshold level.
(e)
(2) An output monitoring test conducted while the firing unit is subjected to an operating environment, must continuously monitor the voltage of each high voltage capacitor and the arm power to the firing unit to detect any variation in amplitude. Any amplitude variation constitutes a test failure. The monitoring must use a sample rate that will detect any component performance degradation.
(f)
(g)
(h)
(1) Any circuit protection allows an exploding bridgewire firing unit to satisfy all its performance specifications when subjected to the maximum input voltage of the open circuit voltage of the unit's power source and when subjected to the minimum input voltage of the loaded voltage of the power source;
(2) In the event of an input power dropout, any control or switching circuit that contributes to the reliable operation of an exploding bridgewire firing unit, including solid-state power transfer switches, does not change state for at least 50 milliseconds;
(3) Any watchdog circuit satisfies all its performance specifications;
(4) The firing unit satisfies all its performance specifications when any of its monitoring circuits' output ports are subjected to
(5) The firing unit satisfies all its performance specifications when subjected to any reverse polarity voltage that could occur during launch processing.
(i)
(j)
(1) A 25k-volt, 500-picofarad pin-to-pin discharge through a 5k-ohm resistor and a 25k-volt, 500-picofarad pin-to-case discharge with no resistor; or
(2) The maximum predicted pin-to-pin and pin-to-case electrostatic discharge.
(k)
(l)
(m)
(i) Each test must demonstrate that the exploding bridgewire satisfies all its performance specifications when subjected to qualification stress conditions;
(ii) The number of exploding bridgewire samples that each test must fire and the test conditions, including firing voltage and temperature, must satisfy each table of this section;
(iii) Before initiation, each component sample must experience the required temperature for enough time to achieve thermal equilibrium;
(iv) Each test must subject each exploding bridgewire sample to a high voltage initiation source that duplicates the exploding bridgewire firing unit output waveform and impedance, including high voltage cabling; and
(v) Each test must measure ordnance output using a measuring device, such as a swell cap or dent block, to demonstrate that the ordnance output satisfies all its performance specifications.
(2)
(3)
(4)
(5)
(6)
(7)
(n)
(o)
(p)
(q)
(r)
(1) The test environment must be no less than 30 °C higher than the highest non-operating or operating temperature that the device could experience;
(2) The test duration must be the maximum predicted high-temperature duration or one hour, whichever is greater; and
(3) After exposure to the test environment, each exploding bridgewire sample must undergo external and internal examination, including any dissection needed to identify any auto-ignition, sublimation, or melting.
(a)
(b)
(c)
(1) That an ordnance interrupter's safe-and-arm transition operation, such as rotation or sliding, satisfies all its performance specifications;
(2) That any ordnance interrupter-monitoring device can determine, before flight, if the ordnance interrupter is in the proper flight configuration;
(3) The presence of the arm indication when the ordnance interrupter is armed; and
(4) The presence of the safe indication when the ordnance interrupter is safed.
(d)
(2)
(3)
(i)
(ii)
(4)
(i) Locked in its safe position; and
(ii) Subjected to a continuous operating arming voltage for the maximum predicted time that could occur accidentally or one hour, whichever is greater.
(5)
(6)
(e)
(f)
(i) The test must demonstrate that the initiation and output energy transfer of each ordnance charge satisfies all its performance specifications and that the component does not fragment;
(ii) The number of samples that the test must fire and the test conditions, including firing current and temperature, must satisfy each table of this section;
(iii) Before initiation, each component sample must experience the required temperature for enough time to achieve thermal equilibrium;
(iv) The test of an ordnance interrupter must simulate the flight configuration, including the explosive transfer system lines on the input and output;
(v) Each test of a rotor lead or booster charge must subject the component to an energy source that simulates the flight energy source;
(vi) Each test must measure each ordnance output using a measuring device, such as a swell cap or dent block, to demonstrate that the output satisfies all its performance specifications; and
(vii) For a single interrupter that contains more than one firing path, the test must demonstrate that the initiation of one firing path does not adversely affect the performance of any other path.
(2)
(3)
(4)
(g)
(h)
(i)
(1) Five minutes; or
(2) The maximum predicted time that could occur inadvertently and the interrupter would still be used for flight.
(a)
(b)
(2)
(i) Will not fire;
(ii) The device's primer initiation assembly will not disengage; and
(iii) The device will continue to satisfy all its performance specifications.
(3)
(i) A 200-pound pull force;
(ii) The device's all-fire pull-force; or
(iii) Twice the worst-case pull force that the device can experience after it is installed on the vehicle.
(4)
(c)
(d)
(i) The test must demonstrate that the device satisfies all its performance specifications when subjected to all qualification stress conditions;
(ii) The number of samples that the test must fire and the test conditions, including temperature, must satisfy each table of this section;
(iii) Before initiation, each component sample must experience the required temperature for enough time to achieve thermal equilibrium;
(iv) The test must subject the device to the manufacturer specified pull-force;
(v) The test must simulate the flight configuration, including the explosive transfer system lines on the output; and
(vi) The test must measure each ordnance output using a measuring device, such as a swell cap or dent block, to demonstrate that the output satisfies all its performance specifications.
(2)
(3)
(4)
(e)
(f)
(i) The test must demonstrate that the primer charge, including any booster charge or ordnance delay as an integral unit, satisfies all its performance specifications when subjected to all qualification stress conditions;
(ii) The number of samples that the test must fire and the test conditions, including impact energy and temperature, must satisfy each table of this section;
(iii) Before initiation, each component sample must experience the required temperature for enough time to achieve thermal equilibrium;
(iv) The test must use a firing pin and configuration that is representative of the flight configuration; and
(v) The test must measure ordnance output using a measuring device, such as a swell cap or dent block, to demonstrate that the ordnance output satisfies all its performance specifications.
(2)
(3)
(4)
(g)
(1) The test environment must be no less than 30 °C higher than the highest non-operating or operating temperature that the device could experience;
(2) The test duration must be the maximum predicted high-temperature duration or one hour, whichever is greater; and
(3) After exposure to the test environment, each ordnance component must undergo external and internal examination, including any dissection needed to identify any auto-ignition, sublimation, or melting.
(a)
(b)
(i) The test must demonstrate that each ordnance sample satisfies all its performance specifications when subjected to all qualification stress conditions;
(ii) The number of samples that the test must fire and the test conditions, including temperature, must satisfy each table of this section;
(iii) Before initiation, each ordnance sample must experience the required temperature for enough time to achieve thermal equilibrium;
(iv) For any destruct charge, the test must initiate the charge against a witness plate to demonstrate that the charge satisfies all its performance specifications and is in-family;
(v) For any explosive transfer system component, the test must measure ordnance output using a measuring device, such as a swell cap or dent block, to demonstrate that the ordnance output satisfies all its performance specifications; and
(vi) For any explosive manifold that contains ordnance, the test must initiate the ordnance using an explosive transfer system in a flight representative configuration.
(2)
(3)
(4)
(c)
(d)
(a)
(b)
(c)
(1) The test must measure the isolator's natural frequency while the isolator is subjected to a random vibration or sinusoidal sweep vibration with amplitudes that are representative of the maximum predicted operating environment; and
(2) The test must measure the isolator's dynamic amplification value while the isolator is subjected to a random vibration or sinusoidal sweep vibration with amplitudes that are representative of the maximum predicted operating environment.
(a)
(b)
(1) The test must measure the dielectric withstanding voltage between mutually insulated portions of the harness or connector to demonstrate that the harness or connector satisfies all its performance specifications at its rated voltage and withstands any momentary over-potential due to switching, surge, or any other similar phenomena;
(2) The test must demonstrate that the insulation resistance between mutually insulated points is sufficient to ensure that the harness or connector satisfies all its performance specifications at its rated voltage and the insulation material is not damaged after the harness or connector is subjected to the qualification environments;
(3) The test must demonstrate the ability of the insulation resistance between each wire shield and harness or conductor and the insulation between each harness or connector pin to every other pin to withstand a minimum workmanship voltage of 500 VDC or 150% of the rated output voltage, whichever is greater; and
(4) The test must measure the resistance of any wire and harness insulation to demonstrate that it satisfies all its performance specifications.
(a)
(b)
(1) The test must use a simulated flight configured interface and test hardware that duplicate the geometry and volume of the firing system used on the launch vehicle; and
(2) The test must account for performance variability due to manufacturing and workmanship tolerances such as minimum gap, maximum gap, and axial and angular offset.
(c)
(1) A statistical firing series that varies critical performance parameters, including gap and axial and angular alignment, to ensure that ordnance initiation occurs across each flight configured interface with a reliability of 0.999 at a 95% confidence level;
(2) Firing 2994 flight units in a flight representative configuration to demonstrate that ordnance initiation occurs across each flight configured interface with a reliability of 0.999 at a 95% confidence level; or
(3) Firing all of the following units to demonstrate a gap margin that ensures ordnance initiation:
(i) Five units at four times the combined maximum system gap;
(ii) Five units at four times the combined maximum system axial misalignment;
(iii) Five units at four times the combined maximum system angular misalignment; and
(iv) Five units at 50% of the combined minimum system gap.
(d)
(1) A statistical firing series that varies critical performance parameters, including gap interface, to ensure that ordnance initiation occurs across each flight configured interface;
(2) Firing 2994 flight units in a flight representative configuration to demonstrate that ordnance initiation occurs across each flight configured interface; or
(3) Firing all of the following units to demonstrate a significant gap margin:
(i) Five units using a 75% downloaded donor charge across the maximum gap; and
(ii) Five units using a 120% overloaded donor charge across the minimum gap.
(a)
(b)
(c)
(d)
(1) Any pre-flight processing must be equivalent to that used during qualification testing to ensure the flight battery's performance is equivalent to that of the battery samples that passed the qualification tests;
(2) Each battery must undergo all of the following tests at ambient temperature no later than one year before the intended flight date and again no earlier than two weeks before the first flight attempt:
(i) A status-of-health test that satisfies section E417.22(j);
(ii) A charge retention test that satisfies section E417.22(f); and
(iii) An electrical performance test that satisfies section E417.22(n); and
(3) The test results from the battery acceptance tests of section E417.22 and the one-year and two-week pre-flight tests of paragraph (d)(2) of this section must undergo a comparison to demonstrate that the battery satisfies all its performance specifications.
(4) In the event of a launch schedule slip, after six weeks has elapsed from a preflight test, the battery must undergo the test again no earlier than two weeks before the next launch attempt.
(e)
(1) The test must take place no earlier than 10 calendar days before the first flight attempt. If the flight is delayed more than 14 calendar days or the flight termination system configuration is broken or modified for any reason, such as to replace batteries, the device must undergo the test again no earlier than 10 calendar days before the next flight attempt. A launch operator may extend the time between the test and flight if the launch operator demonstrates that the electro-explosive device and its firing circuit will each satisfy all their performance specifications when subjected to the expected environments for the extended period of time;
(2) The test must include visual checks for signs of any physical defect or corrosion; and
(3) The test must include a continuity and resistance check of the electro-explosive device circuit while the safe-and-arm device is in the arm position and again while the device is in the safe position.
(f)
(1) The test must take place no earlier than 10 calendar days before the first flight attempt. If the flight is delayed more than 14 calendar days or the flight termination system configuration is broken or modified for any reason, such as to replace batteries, the device must undergo the test again no earlier than 10 calendar days before the next flight attempt. A launch operator may extend the time between the test and flight if the launch operator demonstrates that the electro-explosive device and its firing circuit will satisfy all their performance specifications when subjected to the expected environments for the extended period of time; and
(2) The test must include visual checks for signs of any physical defect or corrosion and a resistance check of the electro-explosive device.
(g)
(1) The test must take place no earlier than 10 calendar days before the first flight attempt. If the flight is delayed more than 14 calendar days or the flight termination system configuration is broken or modified for any reason, such as to replace batteries, the exploding bridgewire must undergo the test again no earlier than 10 calendar days before the next flight attempt. A launch operator may extend the time between the test and flight if the launch operator demonstrates that the exploding bridgewire will satisfy all its performance specifications when subjected to the expected environments for the extended period of time.
(2) The test must verify the continuity of each bridgewire.
(3) Where applicable, the test must include a high voltage static test and a dynamic gap breakdown voltage test to demonstrate that any spark gap satisfies all its performance specifications.
(h)
(i) The test must take place no earlier than 180 calendar days before flight. If the 180-day period expires before flight, the launch operator must replace the component with one that meets the 180-day requirement or test the component in place on the launch vehicle. The test must satisfy the alternate procedures for testing the component on the launch vehicle contained in the test plan and procedures required by section E417.1(c); and
(ii) The component must undergo the test at ambient temperature. The test must measure all performance parameters measured during acceptance testing.
(2) A launch operator may substitute an acceptance test for a pre-flight test if the acceptance test is performed no earlier than 180 calendar days before flight.
(i)
(1)
(i) The test must demonstrate that the flight termination system antennas and associated radio frequency systems satisfy all their performance specifications once installed in their final flight configuration;
(ii) The test must measure the system's voltage standing wave ratio and demonstrate that any insertion losses are within the design limits;
(iii) The test must demonstrate that the radio frequency system, from each command control system transmitter antenna used for the first stage of flight to each command receiver satisfies all its performance specifications;
(iv) The test must occur no earlier than 90 days before flight; and
(v) The test must demonstrate the functions of each command receiver decoder and calibrate the automatic gain control signal strength curves, verify the threshold sensitivity for each command, and verify the operational bandwidth.
(2)
(i) The test must take place no earlier than 72 hours before the first flight attempt. After the test, if the flight is delayed more than 14 calendar days or the flight termination system configuration is broken or modified for any reason, such as to replace batteries, the system must undergo the end-to-end test again no earlier than 72 hours before the next flight attempt;
(ii) The flight termination system, except for all ordnance initiation devices, must undergo the test in its final onboard launch vehicle configuration;
(iii) The test must use a destruct initiator simulator that satisfies § 417.307(h) in place of each flight initiator to demonstrate that the command destruct and inadvertent separation destruct systems deliver the required energy to initiate the flight termination system ordnance;
(iv) The flight termination system must undergo the test while powered by the batteries that the launch vehicle will use for flight. A flight termination system battery must not undergo recharging at any time during or after the end-to-end test. If the battery is recharged at any time before flight the system must undergo the end-to-end test again;
(v) The end-to-end test must exercise all command receiver decoder functions critical to flight termination system operation during flight, including the pilot or check tone, using the command control system transmitters in their flight configuration or other representative equipment;
(vi) The test must demonstrate that all primary and redundant flight termination system components, flight termination system circuits, and command control system transmitting equipment are operational; and
(vii) The test must exercise the triggering mechanism of all electrically initiated inadvertent separation destruct systems to demonstrate that each is operational.
(3)
(i) The system must undergo the test with all flight termination system ordnance initiation devices in a safe condition;
(ii) Flight batteries must power all receiver decoders and other electronic components. The test must account for any warm-up time needed to ensure the reliable operation of electronic components;
(iii) The test must exercise the command receiver decoder arm function, including the pilot or check tone, using a command control transmitter in its flight configuration;
(iv) The test must demonstrate that each receiver decoder is operational and is compatible with the command control transmitter system; and
(v) Following successful completion of the open-loop test, if any receiver decoder is turned off or the transmitter system fails to continuously transmit the pilot or check tone, the flight termination system must undergo the open-loop test again before flight.
(4)
(i) The test must occur before loading the secure flight code on to the command transmitting system and the command receiver decoders;
(ii) The test must use a non-secure code, also known as a maintenance code, loaded on to the command control transmitting system and the command receiver decoders;
(iii) Each command receiver decoder must be powered by either the ground or launch vehicle power sources;
(iv) The command control transmitter system must transmit, open-loop, all receiver decoder commands required for the flight termination system functions, including pilot or check tone to the vehicle;
(v) The test must demonstrate that each command receiver decoder receives, decodes and outputs each command sent by the command control system; and
(vi) The testing must demonstrate that all primary and redundant flight termination system components, flight termination system circuits, and command control system transmitting equipment are operational.
(5)
(i) The system must undergo the test no earlier than 72 hours before the first flight attempt. After the test, if the flight is delayed more than 14 calendar days or the flight termination system configuration is broken or modified for any reason, such as to replace batteries, the system must undergo the end-to-end tests again no earlier than 72 hours before the next flight attempt;
(ii) The system must undergo the test in a closed-loop configuration using the secure flight code;
(iii) The flight termination system, except for the ordnance initiation devices, must undergo the test in its final onboard launch vehicle configuration;
(iv) The test must use a destruct initiator simulator that satisfies § 417.307(h) in place of each flight initiator to demonstrate that the command destruct and inadvertent separation destruct systems deliver the energy required to initiate the flight termination system ordnance;
(v) The flight termination system must undergo the test while powered by the batteries that the launch vehicle will use for flight. A flight termination system battery must not undergo recharging at any time during or after the end-to-end test. If the battery is recharged at any time before flight the system must undergo the end-to-end test again;
(vi) The test must exercise all command receiver decoder functions critical to flight termination system operation during flight, including the pilot or check tone, in a closed-loop test configuration using ground support testing equipment hardwired to the launch vehicle radio frequency receiving system;
(vii) The test must demonstrate that all primary and redundant launch vehicle flight termination system components and circuits are operational; and
(viii) The test must exercise the triggering mechanism of all electrically initiated inadvertent separation destruct systems to demonstrate that they are operational.
(6)
(i) The flight termination system must undergo the test in its final flight configuration with all flight destruct initiators connected and in a safe condition;
(ii) The test must occur just before launch support tower rollback or other similar final countdown event that suspends access to the launch vehicle;
(iii) Each command receiver decoder must undergo the test powered by the flight batteries;
(iv) The test must exercise all command receiver decoder functions critical to flight termination system operation during flight except the destruct function, including the pilot or check tone, in a closed-loop test configuration using ground support testing equipment hardwired to the launch vehicle radio frequency receiving system; and
(v) The test must demonstrate that the launch vehicle command destruct system, including each command receiver decoder and all batteries, is functioning properly.
(7)
(i) The flight termination system must undergo the test in its final flight configuration with all flight destruct initiators connected and in a safe condition;
(ii) Flight batteries must power all receiver decoders and other electronic components. The test must account for any warm-up time needed for reliable operation of the electronic components;
(iii) The test must exercise each command receiver decoder's self-test function including pilot or check tone using the command control system transmitters in their flight configuration;
(iv) The test must demonstrate that each receiver decoder is operational and compatible with the command control transmitter system; and
(v) Following successful completion of the open-loop test, if any command receiver decoder is turned off or the transmitter system fails to continuously transmit the pilot or check tone, the flight termination system must undergo the final open-loop test again before flight.
For purposes of this section, the requirement for any weather monitoring and measuring equipment needed to satisfy the lightning flight commit criteria limits the equipment to only that which is needed. Accordingly, the equipment could include a ground-based, or airborne field mill, or a weather radar, but may or may not be limited to those items. Certain equipment, such as a field mill, when utilized with the lightning flight commit criteria, may increase launch opportunities because of the ability to verify the electric field in any cloud within 5 nautical miles of the flight path. However, a field mill is not required in order to satisfy the lightning flight commit criteria.
(a) This appendix provides flight commit criteria to protect against natural lightning and lightning triggered by the flight of a launch vehicle. A launch operator must apply these criteria under § 417.113 (c) for any launch vehicle that utilizes a flight safety system.
(b) The launch operator must employ:
(1) Any weather monitoring and measuring equipment needed to satisfy the lightning flight commit criteria.
(2) Any procedures needed to satisfy the lightning flight commit criteria.
(c) If a launch operator proposes any alternative lightning flight commit criteria, the launch operator must clearly and convincingly demonstrate that the alternative provides an equivalent level of safety.
For the purpose of appendix G417:
(a) A launch operator must not initiate flight for 30 minutes after any type of lightning occurs in a thunderstorm if the flight path will carry the launch vehicle within 10 nautical miles of that thunderstorm.
(b) A launch operator must not initiate flight for 30 minutes after any type of lightning occurs within 10 nautical miles of the flight path unless:
(1) The cloud that produced the lightning is not within 10 nautical miles of the flight path;
(2) There is at least one working field mill within 5 nautical miles of each such lightning flash; and
(3) The absolute values of all electric field measurements made at the Earth's surface within 5 nautical miles of the flight path and at each field mill specified in paragraph (b)(2) of this section have been less than 1000 volts/meter for 15 minutes or longer.
(c) If a cumulus cloud remains 30 minutes after the last lightning occurs in a thunderstorm, section G417.7 applies. Sections G417.9 and G417.11 apply to any anvil or detached anvil clouds. Section G417.13 applies to debris clouds.
For the purposes of this section, “cumulus clouds” do not include altocumulus, cirrocumulus, or stratocumulus clouds.
(a) A launch operator must not initiate flight if the flight path will carry the launch vehicle within 10 nautical miles of any cumulus cloud that has a cloud top at an altitude where the temperature is colder than −20 degrees Celsius.
(b) A launch operator must not initiate flight if the flight path will carry the launch vehicle within 5 nautical miles of any cumulus cloud that has a cloud top at an altitude where the temperature is colder than −10 degrees Celsius.
(c) A launch operator must not initiate flight if the flight path will carry the launch vehicle through any cumulus cloud with its cloud top at an altitude where the temperature is colder than −5 degrees Celsius.
(d) A launch operator must not initiate flight if the flight path will carry the launch vehicle through any cumulus cloud that has a cloud top at an altitude where the temperature is between +5 degrees Celsius and −5 degrees Celsius unless:
(1) The cloud is not producing precipitation;
(2) The horizontal distance from the center of the cloud top to at least one working field mill is less than 2 nautical miles; and
(3) All electric field measurements made at the Earth's surface within 5 nautical miles of the flight path and at each field mill used as required by paragraph (d)(2) of this section have been between −100 volts/meter and +500 volts/meter for 15 minutes or longer.
(a) A launch operator must not initiate flight if the flight path will carry the launch vehicle through, or within 10 nautical miles of, a nontransparent part of any attached anvil cloud for the first 30 minutes after the last lightning discharge in or from the parent cloud or anvil cloud.
(b) A launch operator must not initiate flight if the flight path will carry the launch vehicle through, or within 5 nautical miles of, a nontransparent part of any attached anvil cloud between 30 minutes and three hours after the last lightning discharge in or from the parent cloud or anvil cloud unless:
(1) The portion of the attached anvil cloud within 5 nautical miles of the flight path is located entirely at altitudes where the temperature is colder than 0 degrees Celsius; and
(2) The volume-averaged, height-integrated radar reflectivity is less than +33 dBZ-kft everywhere along the portion of the flight path where any part of the attached anvil cloud is within the volume.
(c) A launch operator must not initiate flight if the flight path will carry the launch vehicle through a nontransparent part of any attached anvil cloud more than 3 hours after the last lightning discharge in or from the parent cloud or anvil cloud unless:
(1) The portion of the attached anvil cloud within 5 nautical miles of the flight path is located entirely at altitudes where the temperature is colder than 0 degrees Celsius; and
(2) The volume-averaged, height-integrated radar reflectivity is less than +33 dBZ-kft everywhere along the portion of the flight path where any part of the attached anvil cloud is within the specified volume.
For the purposes of this section, detached anvil clouds are never considered debris clouds.
(a) A launch operator must not initiate flight if the flight path will carry the launch vehicle through or within 10 nautical miles of a nontransparent part of a detached anvil cloud for the first 30 minutes after the last lightning discharge in or from the parent cloud or anvil cloud before detachment or after the last lightning discharge in or from the detached anvil cloud after detachment.
(b) A launch operator must not initiate flight if the flight path will carry the launch vehicle within 5 nautical miles of a nontransparent part of a detached anvil cloud between 30 minutes and 3 hours after the time of the last lightning discharge in or from the parent cloud or anvil cloud before detachment or after the last lightning discharge in or from the detached anvil cloud after detachment unless section (1) or (2) is satisfied:
(1) This section is satisfied if all three of the following conditions are met:
(i) There is at least one working field mill within 5 nautical miles of the detached anvil cloud; and
(ii) The absolute values of all electric field measurements at the surface within 5 nautical miles of the flight path and at each field mill specified in (1) above have been less than 1000 V/m for 15 minutes; and
(iii) The maximum radar return from any part of the detached anvil cloud within 5 nautical miles of the flight path has been less than 10 dBZ for 15 minutes.
(2) This section is satisfied if both of the following conditions are met:
(i) The portion of the detached anvil cloud within 5 nautical miles of the flight path is located entirely at altitudes where the temperature is colder than 0 degrees Celsius; and
(ii) The volume-averaged, height-integrated radar reflectivity is less than +33 dBZ-kft everywhere along the portion of the flight path where any part of the detached anvil cloud is within the specified volume.
(c) A launch operator must not initiate flight if the flight path will carry the launch vehicle through a nontransparent part of a detached anvil cloud unless Section (1) or (2) is satisfied.
(1) This section is satisfied if both of the following conditions are met:
(i) At least 4 hours have passed since the last lightning discharge in or from the detached anvil cloud; and
(ii) At least 3 hours have passed since the time that the anvil cloud is observed to be detached from the parent cloud.
(2) This section is satisfied if both of the following conditions are met.
(i) The portion of the detached anvil cloud within 5 nautical miles of the flight path is located entirely at altitudes where the temperature is colder than 0 degrees Celsius; and
(ii) The volume-averaged, height-integrated radar reflectivity is less than +33 dBZ-kft everywhere along the portion of the flight path where any part of the detached anvil cloud is within the specified volume.
(a) A launch operator must not initiate flight if the flight path will carry the launch vehicle through any nontransparent part of a debris cloud for 3 hours after the debris cloud is observed to be detached from the parent cloud or after the debris cloud is observed to have formed from the decay of the parent cloud top to an altitude where the temperature is warmer than −10 degrees Celsius. The 3-hour period must begin again at the time of any lightning discharge in or from the debris cloud.
(b) A launch operator must not initiate flight if the flight path will carry the launch vehicle within 5 nautical miles of a nontransparent part of a debris cloud during the 3-hour period defined in paragraph (a) of this section, unless:
(1) There is at least one working field mill within 5 nautical miles of the debris cloud;
(2) The absolute values of all electric field measurements at the Earth's surface within 5 nautical miles of the flight path and measurements at each field mill employed required by paragraph (b)(1) of this section
(3) The maximum radar return from any part of the debris cloud within 5 nautical miles of the flight path has been less than 10 dBZ for 15 minutes or longer.
(a) A launch operator must not initiate flight if the flight path will carry the launch vehicle through a nontransparent cloud associated with disturbed weather that has clouds with cloud tops at altitudes where the temperature is colder than 0 degrees Celsius and that contains, within 5 nautical miles of the flight path:
(1) Moderate or greater precipitation; or
(2) Evidence of melting precipitation such as a radar bright band.
(a) A launch operator must not initiate flight if the flight path will carry the launch vehicle through a nontransparent part of a cloud layer that is:
(1) Greater than 4,500 feet thick and any part of the cloud layer along the flight path is located at an altitude where the temperature is between 0 degrees Celsius and −20 degrees Celsius; or
(2) Connected to a thick cloud layer that, within 5 nautical miles of the flight path, is greater than 4,500 feet thick and has any part located at any altitude where the temperature is between 0 degrees Celsius and −20 degrees Celsius.
(b) A launch operator need not apply the lightning commit criteria in paragraphs (a)(1) and (a)(2) of this section if the thick cloud layer is a cirriform cloud layer that has never been associated with convective clouds, is located only at temperatures of −15 degrees Celsius or colder, and shows no evidence of containing liquid water.
(a) A launch operator must not initiate flight if the flight path will carry the launch vehicle through any cumulus cloud that has developed from a smoke plume while the cloud is attached to the smoke plume, or for the first 60 minutes after the cumulus cloud is observed to be detached from the smoke plume.
(b) Section G417.7 applies to cumulus clouds that have formed above a fire but have been detached from the smoke plume for more than 60 minutes.
(a) A launch operator must not initiate flight for 15 minutes after the absolute value of any electric field measurement at the Earth's surface within 5 nautical miles of the flight path has been greater than 1500 volts/meter.
(b) A launch operator must not initiate flight for 15 minutes after the absolute value of any electric field measurement at the Earth's surface within 5 nautical miles of the flight path has been greater than 1000 volts/meter unless:
(1) All clouds within 10 nautical miles of the flight path are transparent; or
(2) All nontransparent clouds within 10 nautical miles of the flight path have cloud tops at altitudes where the temperature is warmer than +5 degrees Celsius and have not been part of convective clouds that have cloud tops at altitudes where the temperature is colder than −10 degrees Celsius within the last 3 hours.
(a) A launch operator must not initiate flight if the flight path will go through any part of a cloud at an altitude where the temperature is colder than −10 degrees Celsius up to the altitude at which the launch vehicle's velocity exceeds 3000 feet/second; unless
(1) The launch vehicle is “treated” for surface electrification; or
(2) A launch operator demonstrates by test or analysis that electrostatic discharges on the surface of the launch vehicle caused by triboelectrification will not be hazardous to the launch vehicle or the spacecraft.
(b) A launch vehicle is treated for surface electrification if
(1) All surfaces of the launch vehicle susceptible to ice particle impact are such that the surface resistivity is less than 10
(2) All conductors on surfaces (including dielectric surfaces that have been treated with conductive coatings) are bonded to the launch vehicle by a resistance that is less than 10
This appendix provides methodologies for performing toxic release hazard analysis for the flight of a launch vehicle as required by § 417.229 and for launch processing at a launch site in the United States as required by § 417.407(f). The requirements of this appendix apply to a launch operator and the launch operator's toxic release hazard analysis unless the launch operator clearly and convincingly demonstrates that an alternative approach provides an equivalent level of safety.
(a)
(b)
(c)
(1) For a toxicant that has a level of concern (LOC) established by the U.S. Environmental Protection Agency (EPA), Federal Emergency Management Agency (FEMA), or Department of Transportation (DOT), a launch operator must use the LOC as the toxic concentration threshold for the toxic release hazard analysis except as required by paragraph (c)(2) of this section.
(2) If an EPA acute emergency guidance level (AEGL) exists for a toxicant and is more conservative than the LOC (that is, lower after reduction for duration of exposure), a launch operator must use the AEGL instead of the LOC as the toxic concentration threshold.
(3) A launch operator must use the EPA's Hazard Quotient/Hazard Index (HQ/HI) formulation to determine the toxic concentration threshold for mixtures of two or more toxicants.
(4) If a launch operator must determine a toxic concentration threshold for a toxicant for which an LOC has not been established, the launch operator must clearly and convincingly demonstrate through the licensing process that public exposure at the proposed toxic concentration threshold will not cause a casualty.
(a)
(b)
(c)
(1)
(2)
(i) Surface wind speed of 2.9 knots with a wind speed increase of 1.0 knot per 1000 feet of altitude.
(ii) Surface temperature of 32 degrees Fahrenheit with a dry bulb temperature lapse rate of 13.7 degrees Fahrenheit per 1000 feet over the first 500 feet of altitude and a lapse rate of 3.0 degrees F per 1000 feet above 500 feet.
(iii) Directional wind shear of 2 degrees per 1000 feet of altitude.
(iv) Relative humidity of 50 percent.
(v) Capping temperature inversion at the thermally stabilized exhaust cloud center of mass altitude.
(vi) Worst case initial source term assuming instantaneous release of fully loaded propellant storage tanks or pressurized motor segments.
(vii) Worst case combustion or mixing ratios such that production of toxic chemical species is maximized within the bounds of reasonable uncertainties.
(viii) Evaluation of toxic hazards for both normal launch and vehicle abort failure modes.
(3)
(i) The launch operator demonstrates that there are no populated areas contained or partially contained within the toxic hazard area; and
(ii) The launch operator ensures that no member of the public is present within the toxic hazard area during preflight fueling, launch countdown, flight and immediate postflight operations at the launch site. To ensure the absence of the public, a launch operator must develop flight commit criteria and related provisions for implementation as part of the launch operator's flight safety plan and hazard area surveillance and clearance plan developed under §§ 417.111(b) and 417.111(j), respectively.
(4)
(5)
(i) When employing wind constraints, a launch operator must re-define the toxic hazard area by reducing the circular toxic hazard area determined under paragraph (c)(3) of this section to one or more arc segments that do not contain any populated area. Each arc segment toxic hazard area must have the same radius as the circular toxic hazard area and must be defined by a range of downwind bearings.
(ii) The launch operator must demonstrate that there are no populated areas within any arc segment toxic hazard area and that no member of the public is present within an arc segment toxic hazard area during preflight fueling, launch countdown, and immediate postflight operations at the launch site.
(iii) A launch operator must establish wind constraints to ensure that any winds present at the time of flight will transport any toxicant into an arc segment toxic hazard area and away from any populated area. For each arc segment toxic hazard area, the wind constraints must consist of a range of downwind bearings that are within the arc segment toxic hazard area and that provide a safety buffer, in both the clockwise and counterclockwise directions, that accounts for any uncertainty in the spatial and temporal variations of the transport winds. When determining the wind uncertainty, a launch operator must account for the variance of the mean wind directions derived from measurements of the winds through the first 6000 feet in altitude at the launch point. Each clockwise and counterclockwise safety buffer must be no less than 20 degrees of arc width within the arc segment toxic hazard area. A launch operator must ensure that the wind conditions at the time of flight satisfy the wind constraints. To accomplish this, a launch operator must monitor the launch site vertical profile of winds from the altitude of the launch point to no less than 6,000 feet above ground level. The launch operator must proceed with a launch only if all wind vectors within this vertical range satisfy the wind constraints. A launch operator must develop wind constraint flight commit criteria and implementation provisions as part of the launch operator's flight safety plan and its hazard area surveillance and clearance plan developed according to §§ 417.111(b) and 417.111(j), respectively.
(iv) A launch operator may reduce the radius of the circular toxic hazard area determined in accordance with paragraph (c)(3) of this section by imposing operational meteorological restrictions on specific parameters that mitigate potential toxic downwind concentrations levels at any potentially affected populated area to levels below the toxic concentration threshold of each toxicant in question. The launch operator must establish meteorological constraints to ensure that flight will be allowed to occur only if the specific meteorological conditions that would reduce the toxic hazard area exist and will continue to exist throughout the flight.
(d)
(1) All credible vehicle failure and non-failure modes, along with the consequent release and combustion of propellants and other vehicle combustible materials.
(2) All vehicle failure rates.
(3) The effect of positive or negative buoyancy on the rise or descent of each released toxicant.
(4) The influence of atmospheric physics on the transport and diffusion of each toxicant.
(5) Meteorological conditions at the time of launch.
(6) Population density, location, susceptibility (health categories) and sheltering for all populations within each potential toxic hazard area.
(7) Exposure duration and toxic propellant concentration or dosage that would result in casualty for all populations.
(e)
(1) For each launch, a listing of all propellants used on all launch vehicle components and any payloads.
(2) The chemical composition of each toxic propellant and all toxic combustion products.
(3) The quantities of each toxic propellant and all toxic combustion products involved in the launch.
(4) For each toxic propellant and combustion product, identification of the toxic concentration threshold used in the toxic risk analysis and a description of how the toxic concentration threshold was determined if other than specified in table I417.2.
(5) When using the toxic containment approach of paragraph (c) of this section:
(i) The hazard distance for each toxic propellant and combustion product and a description of how it was determined.
(ii) A graphic depiction of the toxic hazard area or areas.
(iii) A listing of any wind or other constraints on flight, and any plans for evacuation.
(iv) A description of how the launch operator determines real-time wind direction in relation to the launch site and any populated area and any other meteorological condition in order to implement constraints on flight or to implement evacuation plans.
(6) When using the statistical toxic risk management approach of paragraph (d) of this section:
(i) A description of the launch operator's toxic risk management process, including an explanation of how the launch operator ensures that any toxic risk from launch meets the toxic risk criteria of § 417.107(b).
(ii) A listing of all models used.
(iii) A listing of all flight commit criteria that protect the public from unacceptable risk due to planned and potential toxic release.
(iv) A description of how the launch operator measures and displays real-time meteorological conditions in order to determine whether conditions at the time of flight are within the envelope of those used by the launch operator for toxic risk assessment and to develop flight commit criteria, or for use in any real-time physics models used to ensure compliance with the toxic flight commit criteria.
(a)
(b)
(1) Identify and evaluate each hazard of a process involving a toxic propellant using an analysis method, such as a failure mode and effects analysis or fault tree analysis.
(2) Describe:
(i) Each toxic hazard associated with the process and the potential for release of toxic propellants;
(ii) Each mishap or incident experienced which has a potential for catastrophic consequences;
(iii) Each engineering and administrative control applicable to each hazard and their interrelationships, such as application of detection methodologies to provide early warning of releases and evacuation of toxic hazard areas prior to conducting an operation that involves a toxicant;
(iv) Consequences of failure of engineering and administrative controls;
(v) Location of the source of the release;
(vi) All human factors;
(vii) Each opportunity for equipment malfunction or human error that can cause an accidental release;
(viii) Each safeguard used or needed to control each hazard or prevent equipment malfunctions or human error;
(ix) Each step or procedure needed to detect or monitor releases; and
(x) A qualitative evaluation of a range of the possible safety and health effects of failure of controls.
(3) The process hazards analysis must be updated for each launch. The launch operator must conduct a review of all the hazards associated with each process involving a toxic propellant for launch processing. The review must include inspection of equipment to determine whether the process is designed, fabricated, maintained, and operated according to the current process hazards analysis. A launch operator must revise a process hazards analysis to reflect changes in processes, types of toxic propellants stored or handled, or other aspects of a source of a potential toxic release that can affect the results of overall toxic release hazard analysis.
(4) The personnel who perform a process hazard analysis must possess expertise in engineering and process operations, and at least one person must have experience and knowledge specific to the process being evaluated. At least one person must be knowledgeable in the specific process hazard analysis methodology being used.
(5) A launch operator must resolve all recommendations resulting from a process hazards analysis in a timely manner prior to launch processing and the resolution must be documented. The documentation must identify each corrective action and include a written schedule of when any such actions are to be completed.
(c)
(d)
(e)
(1)
(i) For substances in a vessel, the greatest amount held in a single vessel, accounting for administrative controls that limit the maximum quantity; or
(ii) For toxic propellants in pipes, the greatest amount in a pipe, accounting for administrative controls that limit the maximum quantity.
(2)
(i) A launch operator must assume that for toxic propellants that are normally liquids at ambient temperature, the quantity in the vessel or pipe, as determined in paragraph (e)(1) of this section, is spilled instantaneously to form a liquid pool.
(ii) The launch operator must determine surface area of the pool by assuming that the liquid spreads to one centimeter deep unless passive mitigation systems are in place that serve to contain the spill and limit the surface area. Where passive mitigation is in place, the launch operator must use the surface area of the contained liquid to calculate the volatilization rate.
(iii) If the release occurs on a surface that is not paved or smooth, the launch operator may account for actual surface characteristics.
(iv) The volatilization rate must account for the highest daily maximum temperature occurring in the past three years, the temperature of the substance in the vessel, and the concentration of the toxic propellants if the liquid spilled is a mixture or solution.
(v) The launch operator must determine rate of release to the air from the volatilization rate of the liquid pool. A launch operator must use either the methodology provided in the Risk Management Plan (RMP) Offsite Consequence Analysis Guidance, dated April 1999, available at
(3)
(i) For toxic propellants that are normally gases at ambient temperature and handled as a gas or as a liquid under pressure, the launch operator must assume that the quantity in the vessel, or pipe, as determined in paragraph (e)(1) of this section, is released as a gas over 10 minutes. The launch operator must assume a release rate that is the total quantity divided by 10 unless passive mitigation systems are in place.
(ii) For gases handled as refrigerated liquids at ambient pressure, if the released toxic propellant is not contained by passive mitigation systems or if the contained pool would have a depth of 1 cm or less, the launch operator must assume that the toxic propellant is released as a gas in 10 minutes.
(iii) For gases handled as refrigerated liquids at ambient pressure, if the released toxic propellant is contained by passive mitigation systems in a pool with a depth greater than 1 cm, the launch operator must assume that the quantity in the vessel or pipe, as defined in paragraph (e)(1) of this section, is spilled instantaneously to form a liquid pool. The launch operator must calculate the volatilization rate at the boiling point of the toxic propellant and at the conditions defined in paragraph (e)(2) of this section.
(4)
(5)
(f)
(1) The worst-case release scenario for each toxic propellant and for each toxic propellant handling process;
(2) Each release event that is more likely to occur than the worst-case release scenario that is determined in paragraph (e) of this section;
(3) Each release scenario that exceeds a toxic concentration threshold at a distance that reaches the general public;
(4) Each potential transfer hose release due to splits or sudden hose uncoupling;
(5) Each potential process piping release from failures at flanges, joints, welds, valves, valve seals, and drain bleeds;
(6) Each potential process vessel or pump release due to cracks, seal failure, or drain, bleed, or plug failure;
(7) Each vessel overfilling and spill, or over pressurization and venting through relief valves or rupture disks;
(8) Shipping container mishandling and breakage or puncturing leading to a spill;
(9) Mishandling or dropping flight or ground hardware that contains toxic commodities;
(10) Each active and passive mitigation system provided they are capable of withstanding the event that triggered the release and would still be functional;
(11) History of each accident experienced by the launch operator involving the release of a toxic propellant; and
(12) Each failure scenario.
(g)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(h)
(1) There are no populated areas contained or partially contained within the toxic hazard area; and
(2) There is no member of the public present within the toxic hazard area during the process.
(i)
(j)
(1) A launch operator must limit a launch processing operation to times during which prevailing winds will transport a toxic release away from populated areas that would otherwise be at risk. If the mean wind speed during the operation is equal to or greater than four knots, the launch operator must re-define the toxic hazard area by reducing the circular toxic hazard area as determined in paragraph (h) of this section to one or more arc segments that do not contain a populated area. Each arc segment toxic hazard area must have the same radius as the circular toxic hazard area and must be defined by a range of downwind bearings. If the mean wind speed during the operation is less than four knots, the toxic hazard area for the operation must be the full 360-degree toxic hazard area as defined by paragraph (h) of this section. The total arc width of an arc segment hazard area for launch processing must be greater than or equal to 30 degrees. If the launch operator determines the standard deviation of the measured wind direction, the total arc width of an arc segment hazard area must include all azimuths within the mean measured wind direction plus three sigma and the mean measured wind direction minus three sigma; otherwise, the following apply for the conditions defined by the Pasquil-Gifford meteorological stability classes:
(i) For stable classes D-F, if the mean wind speed is less than 10 knots, the total arc width of the arc segment toxic hazard area must be no less than 90 degrees;
(ii) For stable classes D-F, if the mean wind speed is greater than or equal to 10 knots, the total arc width of the arc segment toxic hazard area must be no less than 45 degrees;
(iii) For neutral class C, the total arc width of the arc segment toxic hazard area must be no less than 60 degrees;
(iv) For slightly unstable class B, the total arc width of the arc segment toxic hazard area must be no less than 105 degrees; and
(v) For mostly unstable class A, the total arc width of the arc segment toxic hazard area must be no less than 150 degrees.
(2) The launch operator must ensure that there are no populated areas within an arc segment toxic hazard area and that no member of the public is present within an arc segment toxic hazard area during the process as defined by paragraph (i) of this section.
(3) A launch operator must establish wind constraints to ensure that winds present at the time of an operation will transport toxicants into an arc segment toxic hazard area and away from populated areas. For each arc segment toxic hazard area, the wind constraints must consist of a range of downwind bearings that are within the arc segment toxic hazard area and that provide a safety buffer, in both the clockwise and counterclockwise directions, that accounts for uncertainty in the spatial and temporal variations of the transport winds.
(4) A launch operator may reduce the radius of the circular toxic hazard area as determined under paragraph (h) of this section by imposing operational meteorological restrictions on specific parameters that mitigate potential toxic downwind concentrations levels at a potentially affected populated area to levels below the toxic concentration threshold of the toxicant in question. The launch operator must establish meteorological constraints to ensure that the operation will be allowed to occur only if the specific meteorological conditions that would reduce the toxic hazard area exist and will continue to exist throughout the operation, or the operation will be terminated.
(k)
(1) The launch operator must ensure that the wind conditions at the time of the process comply with the wind constraints used to define each arc segment toxic hazard area. The launch operator must monitor the vertical profile of winds at the potential toxic release site from ground level to an altitude of 10 meters or the maximum height above ground of the potential release, whichever is larger. The launch operator may proceed with a launch processing operation only if wind vectors meet the wind constraints used to define each arc segment toxic hazard area.
(2) A launch operator must monitor the specific meteorological parameters that affect toxic downwind concentrations at a potential toxic release site for a process and for the sphere of influence out to each populated area within the potential toxic hazard area as defined by paragraph (h) of this section. The launch operator must monitor spatial variations in the wind field that could affect the transport of toxic material between the potential release site and populated areas. The launch operator must acquire real-time meteorological data from sites between the potential release site and each populated area sufficient to demonstrate that the toxic hazard area, when adjusted to the spatial wind field variations, excludes populated areas. Meteorological parameters that affect toxic downwind concentrations from the potential release site and covering the sphere of influence out to the populated areas must fall within the conditions as determined in paragraph (j)(4) of this section. A launch operator must use one of the following methods to determine the meteorological conditions that will constrain a launch processing operation:
(i) A launch operator may employ real-time air dispersion models to determine the toxic hazard distance for the toxic concentration threshold and proximity of a toxicant to populated areas. A launch operator, when employing this method, must proceed with a launch processing operation only if real-time modeling of the potential release demonstrates that the toxic hazard distance would not reach populated areas. The launch operator's process for carrying out this method must include the use of an air dispersion modeling technique that complies with paragraph (g) of this section and providing real-time meteorological data for the sphere of influence around a potential toxic release site as input to the air dispersion model. The launch operator's process must also include a review of the meteorological conditions to identify changing conditions that could affect the toxic hazard distance for a toxic concentration threshold prior to proceeding with the operation.
(ii) A launch operator may use air dispersion modeling techniques to define the meteorological conditions that, when present, would prevent a toxic hazard distance for a toxic concentration threshold from reaching populated areas. The launch operator, when employing this method, must constrain the associated launch processing operation to be conducted only when the prescribed meteorological conditions exist. A launch operator's air dispersion modeling technique must comply with paragraph (g) of this section.
(l)
(1) All credible equipment failure and non-failure modes, along with the consequent release and combustion of toxic propellants;
(2) Equipment failure rates;
(3) The effect of positive or negative buoyancy on the rise or descent of the released toxic propellants;
(4) The influence of atmospheric physics on the transport and diffusion of toxic propellants released;
(5) Meteorological conditions at the time of the process;
(6) Population density, location, susceptibility (health categories) and sheltering for populations within each potential toxic hazard area; and
(7) Exposure duration and toxic propellant concentration or dosage that would result in casualty for populations.
(m)
(1) For each worst-case release scenario, a description of the vessel or pipeline and toxic propellant selected as the worst case for each process, assumptions and parameters used, and the rationale for selection of that scenario. Assumptions must include use of administrative controls and passive mitigation that were assumed to limit the quantity that could be released. The description must include the anticipated effect of the controls and mitigation on the release quantity and rate;
(2) For each worst-case alternative release scenario, a description of the scenario identified for each process, assumptions and parameters used, and the rationale for the selection of that scenario. Assumptions must include use of administrative controls and
(3) Estimated quantity released, release rate, and duration of release for each worst-case scenario and worst-case alternative scenario for each process;
(4) A description of the methodology used to determine the toxic hazard distance for each toxic concentration threshold;
(5) Data used to estimate off-site population receptors potentially affected; and
(6) The following data for each worst-case scenario and worst-case alternative release scenario:
(i) Chemical name;
(ii) Physical state;
(iii) Basis of results (provide model name if used, or other methodology);
(iv) Scenario (explosion, fire, toxic gas release, or liquid spill and vaporization);
(v) Quantity released in pounds;
(vi) Release rate;
(vii) Release duration;
(viii) Wind speed and atmospheric stability class;
(ix) Topography;
(x) Toxic hazard distance;
(xi) All members of the public within the toxic hazard distance;
(xii) Any passive mitigation considered; and
(xiii) Active mitigation considered (worst-case alternative release scenario only).
(a) This appendix provides the content and format requirements for a ground safety analysis report. A launch operator must perform a ground safety analysis as required by subpart E of part 417 and document the analysis in a ground safety analysis report that satisfies this appendix, as required by § 417.402(d).
(b) A ground safety analysis report must contain hazard analyses that describe each hazard control, and describe a launch operator's hardware, software, and operations so that the FAA can assess the adequacy of the hazard analysis. A launch operator must document each hazard analysis on hazard analysis forms as required by § J417.3(d) and file each system and operation descriptions as a separate volume of the report.
(c) A ground safety analysis report must include a table of contents and provide definitions of any acronyms and unique terms used in the report.
(d) A launch operator's ground safety analysis report may reference other documents filed with the FAA that contain the information required by this appendix.
(a)
(b)
(c)
(1)
(2)
(i) General description including nomenclature, function, and a pictorial overview;
(ii) Technical operating description including text and figures describing how a subsystem works and any safety features and fault tolerance levels;
(iii) Each safety critical parameter, including those that demonstrate established system safety approaches that are not evident in the technical operating description or figures, such as factors of safety for structures and pressure vessels;
(iv) Each major component, including any part of a subsystem that must be technically described in order to understand the subsystem hazards. For a complex subsystem
(v) Ground operations and interfaces including interfaces with other launch vehicle and launch site subsystems. A ground safety analysis report must identify a launch operator's and launch site operator's hazard controls for all operations that are potentially hazardous to the public. The report must contain facility figures that illustrate where hazardous operations take place and must identify all areas where controlled access is employed as a hazard control; and
(vi) Hazard analysis summary of subsystem hazards that identifies each specific hazard and the threat to public safety. This summary must provide cross-references to the hazard analysis form required by paragraph (d) of this section and indicate the nature of the control, such as design margin, fault tolerance, or procedure.
(3)
(i) Structural and mechanical systems;
(ii) Ordnance systems;
(iii) Propulsion and pressure systems;
(iv) Electrical and non-ionizing radiation systems; and
(v) Ionizing radiation sources and systems.
(4)
(i) Structural and mechanical ground support and checkout systems;
(ii) Ordnance ground support and checkout systems;
(iii) Propulsion and pressure ground support and checkout systems;
(iv) Electrical and non-ionizing radiation ground support and checkout systems;
(v) Ionizing radiation ground support and checkout systems;
(vi) Hazardous materials; and
(vii) Support and checkout systems and any other safety equipment used to monitor or control a potential hazard not otherwise addressed above.
(5)
(6)
(i) Identify each hazardous material used in all the launch operator's flight and ground systems, including the quantity and location of each material;
(ii) Contain a summary of the launch operator's approach for protecting the public from toxic plumes, including the toxic concentration thresholds used to control public exposure and a description of any related local agreements;
(iii) Describe any toxic plume model used to protect public safety and contain any algorithms used by the model; and
(iv) Include the products of the launch operator's toxic release hazard analysis for launch processing as defined by section I417.7(m) of appendix I of this part for each launch that involves the use of any toxic propellants.
(d)
(1)
(2)
(3)
(4)
(e)
49 U.S.C. 70101-70121.
This part prescribes the information and demonstrations that must be provided to the FAA as part of a license application, the bases for license approval, license terms and conditions, and post-licensing requirements with which a licensee shall comply to remain licensed. Requirements for preparing a license application are contained in part 413 of this subchapter.
This part applies to any person seeking a license to operate a launch site or to a person licensed under this part. A person operating a site that only supports amateur rocket activities as defined in 14 CFR 1.1, does not need a license under this part to operate the site.
For the purpose of this part.
(a)
(2)
(i) A list of downrange equipment;
(ii) A description of the layout of the launch site, including launch points;
(iii) The types of launch vehicles to be supported at each launch point;
(iv) The range of launch azimuths planned from each launch point; and
(v) The scheduled operational date.
(3)
(i) For a sole proprietorship or partnership, all foreign owners or partners;
(ii) For a corporation, any foreign ownership interest of 10 percent or more; and
(iii) For a joint venture, association, or other entity, any foreign entities participating in the entity.
(b)
(c)
(2) An applicant who is proposing to locate a launch site at an existing launch point at a federal launch range is not required to comply with paragraph (c)(1) of this section if a launch vehicle of the same type and class as proposed for the launch point has been safely launched from the launch point.
(d)
(2) If an applicant plans to operate a launch site located on a federal launch range, and if the applicant is required by the federal launch range to comply with the federal launch range's explosive safety requirements, the applicant shall submit the explosive site plan submitted to the federal launch range.
(e)
(a) The FAA will issue a license under this part when the FAA determines that:
(1) The application provides the information required by § 420.15;
(2) The FAA has completed an analysis of the environmental impacts associated with the proposed operation of the launch site, in accordance with NEPA, 40 CFR parts 1500-1508, and FAA Order 1050.1D;
(3) The launch site location meets the requirements of §§ 420.19, 420.21, 420.23, 420.25, 420.27, and 420.29;
(4) The applicant has completed the agreements required by § 420.31;
(5) The application demonstrates that the applicant shall satisfy the requirements of §§ 420.53, 420.55, 420.57, 420.59, 420.61 and 420.71;
(6) The explosive site plan meets the criteria of §§ 420.63, 420.65, 420.67 and 420.69; and
(7) Issuing a license would not jeopardize foreign policy or national security interests of the United States.
(b) The FAA advises an applicant, in writing, of any issue arising during an application review that would lead to denial. The applicant may respond in writing, submit additional information, or amend its license application.
(a) To gain approval for a launch site location, an applicant shall demonstrate that for each launch point proposed for the launch site, at least one type of expendable or reusable launch vehicle can be flown from the launch point safely. For purposes of the launch site location review:
(1) A safe launch must possess a risk level estimated, in accordance with the requirements of this part, not to exceed an expected average number of 0.00003 casualties (E
(2) Types of launch vehicles include orbital expendable launch vehicles, guided sub-orbital expendable launch vehicles, unguided sub-orbital expendable launch vehicles, and reusable launch vehicles. Orbital expendable launch vehicles are further classified by weight class, based on the weight of payload the launch vehicle can place in a 100-nm orbit, as defined in table 1.
(b) If an applicant proposes to have more than one type of launch vehicle flown from a launch point, the applicant shall demonstrate that each type of expendable or reusable launch vehicle planned to be flown from the launch point can be flown from the launch point safely.
(c) If an applicant proposes to have more than one weight class of orbital expendable launch vehicles flown from a launch point, the applicant shall demonstrate that the heaviest weight class planned to be flown from the launch point can be flown from the launch point safely.
(a) The distance from any proposed launch point to the closest launch site boundary must be at least as great as the debris dispersion radius of the largest launch vehicle type and weight class proposed for the launch point.
(b) For a launch site supporting any expendable launch vehicle, an applicant shall use the largest distance provided by table 2 for the type and weight class of any launch vehicle proposed for the launch point.
(c) For a launch site supporting any reusable launch vehicle, an applicant shall determine the debris dispersion radius that represents the maximum distance from a launch point that debris travels given a worst-case launch vehicle failure in the launch area. An applicant must clearly and convincingly demonstrate the validity of its proposed debris dispersion radius.
(a)
(1) Encompasses an area that the applicant estimates, in accordance with the requirements of this part, to contain debris with a ballistic coefficient of ≥ 3 pounds per square foot, from any non-nominal flight of a guided orbital expendable launch vehicle from the launch point to a point 5000 nm downrange, or where the IIP leaves the surface of the Earth, whichever is shorter;
(2) Includes an overflight exclusion zone where the public risk criteria of 30×10
(3) Uses one of the methodologies provided in appendix A or B of this part. The FAA will approve an alternate method if an applicant provides a clear and convincing demonstration that its proposed method provides an equivalent level of safety to that required by appendix A or B of this part.
(b)
(1) Encompasses an area that the applicant estimates, in accordance with the requirements of this part, to contain debris with a ballistic coefficient of ≥ 3 pounds per square foot, from any non-nominal flight of a guided sub-orbital expendable launch vehicle from the launch point to impact with the earth's surface;
(2) Includes an impact dispersion area for the launch vehicle's last stage;
(3) Includes an overflight exclusion zone where the public risk criteria of 30×10
(4) Uses one of the methodologies provided in appendices A or B to this part. The FAA will approve an alternate method if an applicant provides a clear and convincing demonstration that its proposed method provides an equivalent level of safety to that required by appendix A or B of this part.
(c)
(i) Impact dispersion areas that the applicant estimates, in accordance with the requirements of this part, to contain the impact of launch vehicle stages from nominal flight of an unguided sub-orbital expendable launch vehicle from the launch point to impact with the earth's surface; and
(ii) An overflight exclusion zone where the public risk criteria of 30×10
(2) The FAA will approve an alternate method if an applicant provides a
(3) An applicant shall base its analysis on an unguided suborbital launch vehicle whose final launch vehicle stage apogee represents the intended use of the launch point.
(d)
(a) If a flight corridor or impact dispersion area defined by section 420.23 contains a populated area, the applicant shall estimate the casualty expectation associated with the flight corridor or impact dispersion area. An applicant shall use the methodology provided in appendix C to this part for guided orbital or suborbital expendable launch vehicles and appendix D for unguided suborbital launch vehicles. The FAA will approve an alternate method if an applicant provides a clear and convincing demonstration that its proposed method provides an equivalent level of safety to that required by appendix C or D of this part. For a reusable launch vehicle, an applicant must provide a clear and convincing demonstration of the validity of its risk analysis.
(b) For licensed launches, the FAA will not approve the location of the proposed launch point if the estimated expected casualty exceeds 30× 10
An applicant shall provide the following launch site location review information in its application:
(a) A map or maps showing the location of each launch point proposed, and the flight azimuth, IIP, flight corridor, and each impact range and impact dispersion area for each launch point;
(b) Each launch vehicle type and any launch vehicle class proposed for each launch point;
(c) Trajectory data;
(d) Wind data, including each month and any percent wind data used in the analysis;
(e) Any launch vehicle apogee used in the analysis;
(f) Each populated area located within a flight corridor or impact dispersion area;
(g) The estimated casualty expectancy calculated for each populated area within a flight corridor or impact dispersion area;
(h) The effective casualty areas used in the analysis;
(i) The estimated casualty expectancy for each flight corridor or set of impact dispersion areas; and
(j) If populated areas are located within an overflight exclusion zone, a demonstration that there are times when the public is not present or that the applicant has an agreement in place to evacuate the public from the overflight exclusion zone during a launch.
An applicant for a license to operate a launch site for an unproven launch vehicle shall provide a clear and convincing demonstration that its proposed launch site location provides an equivalent level of safety to that required by this part.
If an applicant plans to use its proposed launch site solely for launches conducted under an experimental permit, the FAA will approve a launch site location if the FAA has approved an operating area under part 437 for launches from that site.
(a) Except as provided by paragraph (c) of this section, an applicant shall complete an agreement with the local U.S. Coast Guard district to establish
(b) Except as provided by paragraph (c) of this section, an applicant shall complete an agreement with the FAA Air Traffic Control (ATC) office having jurisdiction over the airspace through which launches will take place, to establish procedures for the issuance of a Notice to Airmen prior to a launch and for closing of air routes during the launch window and other such measures as the FAA ATC office deems necessary to protect public health and safety.
(c) An applicant that plans to operate a launch site located on a federal launch range does not have to comply with section 420.31 if the applicant is using existing federal launch range agreements with the U.S. Coast Guard and the FAA ATC office having jurisdiction over the airspace through which launches will take place.
(a) A license to operate a launch site authorizes a licensee to operate a launch site in accordance with the representations contained in the licensee's application, with terms and conditions contained in any license order accompanying the license, and subject to the licensee's compliance with 49 U.S.C. subtitle IX, ch. 701 and this chapter.
(b) A license to operate a launch site authorizes a licensee to offer its launch site to a launch operator for each launch point for the type and any weight class of launch vehicle identified in the license application and upon which the licensing determination is based.
(c) Issuance of a license to operate a launch site does not relieve a licensee of its obligation to comply with any other laws or regulations; nor does it confer any proprietary, property, or exclusive right in the use of airspace or outer space.
A license to operate a launch site remains in effect for five years from the date of issuance unless surrendered, suspended, or revoked before the expiration of the term and is renewable upon application by the licensee.
(a) Only the FAA may transfer a license to operate a launch site.
(b) The FAA will transfer a license to an applicant who has submitted an application in accordance with 14 CFR part 413, satisfied the requirements of § 420.15, and obtained each approval required by § 420.17 for a license.
(c) The FAA may incorporate by reference any findings made part of the record that supported a prior related licensing determination.
(a) Upon application or upon its own initiative, the FAA may modify a license to operate a launch site at any time by issuing a license order that adds, removes, or modifies a license term or condition to ensure compliance with the Act and the requirements of this chapter.
(b) After a license to operate a launch site has been issued, a licensee shall apply to the FAA for modification of its license if:
(1) The licensee proposes to operate the launch site in a manner that is not authorized by the license; or
(2) The licensee proposes to operate the launch site in a manner that would make any representation contained in the license application that is material to public health and safety or safety of property no longer accurate and complete.
(c) An application to modify a license shall be prepared and submitted in accordance with part 413 of this chapter. The licensee shall indicate any part of its license or license application that would be changed or affected by a proposed modification.
(d) The FAA approves a modification request that satisfies the requirements of this part.
(e) Upon approval of a license modification, the FAA issues either a written approval to the licensee or a license order modifying the license if a stated term or condition of the license is changed, added, or deleted. A written approval has the full force and effect of a license order and is part of the licensing record.
A licensee shall allow access by and cooperate with federal officers or employees or other individuals authorized by the FAA to observe any activities of the licensee, its customers, its contractors, or subcontractors, associated with licensed operation of the licensee's launch site.
(a) A licensee shall operate its launch site in accordance with the representations in the application upon which the licensing determination is based.
(b) A licensee is responsible for compliance with 49 U.S.C. Subtitle IX, ch. 701 and for meeting the requirements of this chapter.
(a) A licensee shall prevent unauthorized access to the launch site, and unauthorized, unescorted access to explosive hazard facilities or other hazard areas not otherwise controlled by a launch operator, through the use of security personnel, surveillance systems, physical barriers, or other means approved as part of the licensing process.
(b) A licensee shall notify anyone entering the launch site of safety rules and emergency and evacuation procedures prior to that person's entry unless that person has received a briefing on those rules and procedures within the previous year.
(c) A licensee shall employ warning signals or alarms to notify any persons at the launch site of any emergency.
(a) A licensee shall develop and implement procedures to schedule operations to ensure that each operation carried out by a customer at the launch site does not create the potential for a mishap that could result in harm to the public because of the proximity of the operations, in time or place, to operations of any other customer. A customer includes any launch operator, and any contractor, subcontractor or customer of the launch site operator's customer at the launch site.
(b) A licensee shall provide its launch site scheduling requirements to each customer before the customer begins operations at the launch site.
(a) A licensee shall notify each launch operator and any other customer of any limitations on the use of the launch site. A licensee shall also communicate limitations on the use of facilities provided to customers by the launch site operator.
(b) A licensee shall maintain its agreement, made in accordance with § 420.31(a), with the local U.S. Coast Guard district.
(c) A licensee shall maintain its agreement, made in accordance with § 420.31(b), with the FAA ATC office having jurisdiction over the airspace through which launches will take place.
(d) At least two days prior to flight of a launch vehicle, the licensee shall notify local officials and all owners of land adjacent to the launch site of the flight schedule.
(a)
(b)
(1) Immediate notification to the Federal Aviation Administration
(2) Submission of a written preliminary report to the FAA, Associate Administrator for Commercial Space Transportation, within five days of any launch site accident. The report must include the following information:
(i) Date and time of occurrence;
(ii) Location of the event;
(iii) Description of the event;
(iv) Number of injuries, if any, and general description of types of injuries suffered;
(v) Property damage, if any, and an estimate of its value;
(vi) Identification of hazardous materials, as defined by § 401.5 of this chapter, involved in the event;
(vii) Any action taken to contain the consequences of the event; and
(viii) Weather conditions at the time of the event.
(c)
(1) Ensure the consequences of a launch site accident are contained and minimized;
(2) Ensure data and physical evidence are preserved;
(3) Require the licensee to report to and cooperate with FAA or National Transportation Safety Board (NTSB) investigations and designate one or more points of contact for the FAA or NTSB; and
(4) Require the licensee to identify and adopt preventive measures for avoiding recurrence of the event.
(d)
(1) Procedures for investigating the cause of a launch site accident;
(2) Procedures for reporting launch site accident investigation results to the FAA; and
(3) Delineated responsibilities, including reporting responsibilities for personnel assigned to conduct investigations and for any one retained by the licensee to conduct or participate in investigations.
(e)
(1) Procedures for participating in an investigation of a launch accident for launches launched from the launch site;
(2) Require the licensee to cooperate with FAA or National Transportation Safety Board (NTSB) investigations of a launch accident for launches launched from the launch site.
(f)
(a) A licensee shall maintain all records, data, and other material needed to verify that its operations are conducted in accordance with representations contained in the licensee's application. A licensee shall retain records for three years.
(b) In the event of a launch or launch site accident, a licensee shall preserve all records related to the event. Records shall be retained until completion of any federal investigation and the FAA advises the licensee that the records need not be retained.
(c) A licensee shall make available to federal officials for inspection and copying all records required to be maintained under the regulations.
(a) Except as otherwise provided by paragraph (b) of this section, a licensee shall ensure that the configuration of the launch site is in accordance with an explosive site plan, and that the licensee's explosive site plan is in compliance with the requirements of §§ 420.65-420.69. The explosive site plan shall include:
(1) A scaled map that shows the location of all proposed explosive hazard facilities at the proposed launch site and that shows actual and minimal allowable distances between each explosive hazard facility and all other explosive hazard facilities and each public area, including the launch site boundary;
(2) A listing of the maximum quantities of liquid and solid propellants and other explosives to be located at
(3) A description of each activity to be conducted in each explosive hazard facility.
(b) A licensee operating a launch site located on a federal launch range does not have to comply with the requirements in §§ 420.65-420.69 if the licensee is in compliance with the federal launch range's explosive safety requirements.
(c) For explosive siting issues not otherwise addressed by the requirements of §§ 420.65-420.69, a launch site operator must clearly and convincingly demonstrate a level of safety equivalent to that otherwise required by part 420.
(a) A launch site operator shall determine the maximum total quantity of solid propellants and other solid explosives by class and division, in accordance with 49 CFR part 173, Subpart C, to be located in each explosive hazard facility where solid propellants or other solid explosives will be handled.
(b) When explosive divisions 1.1 and 1.3 explosives are located in the same explosive hazard facility, the total quantity of explosive shall be treated as division 1.1 for quantity-distance determinations; or, a launch site operator may add the net explosive equivalent weight of the division 1.3 items to the net weight of division 1.1 items to determine the total quantity of explosives.
(c) A launch site operator shall separate each explosive hazard facility where solid propellants and other solid explosives are handled from all other explosive hazard facilities, each public area and the launch site boundary by a distance no less than those provided for each quantity and explosive division in appendix E, table E-1.
(d) A launch site operator shall follow the following separation rules:
(1) A launch site operator shall employ no less than the applicable public area distance to separate an explosive hazard facility from each public area and from the launch site boundary.
(2) A launch site operator shall employ no less than an intraline distance to separate an explosive hazard facility from all other explosive hazard facilities used by a single customer.
(3) For explosive division 1.1 only, a launch site operator may employ no less than 60% of the applicable public area distance, or the public traffic route distance, to separate an explosive hazard facility from a public area that consists only of a public highway or railroad line.
(4) A launch site operator may use linear interpolation for NEW quantities between table entries.
(5) A launch site operator shall measure separation distance from the closest debris or explosive hazard source in an explosive hazard facility.
(a) For an explosive hazard facility where liquid propellants are handled or stored, a launch site operator shall determine the total quantity of liquid propellant and, if applicable pursuant to paragraph (a)(3) of this section, the explosive equivalent of liquid propellant in each explosive hazard facility in accordance with the following:
(1) The quantity of liquid propellant in a tank, drum, cylinder, or other container is the net weight in pounds of the propellant in the container. The determination of quantity shall include any liquid propellant in associated piping to any point where positive means are provided for interrupting the flow through the pipe, or interrupting a reaction in the pipe in the event of a mishap.
(2) Where two or more containers of compatible liquid propellants are handled or stored together in an explosive hazard facility, the total quantity of propellant to determine the minimum separation distance between the explosive hazard facility and all other explosive hazard facilities and each public area shall be the total quantity of liquid propellant in all containers, unless:
(i) The containers are separated one from the other by the appropriate distance as provided by paragraph (b)(2) of this section; or
(ii) The containers are subdivided by intervening barriers, such as diking, that prevent mixing.
(iii) If paragraph (a)(2)(i) or (ii) of this section apply, a launch site operator shall use the quantity of propellant requiring the greatest separation distance pursuant to paragraph (b) of this section to determine the minimum separation distance between the explosive hazard facility and all other explosive hazard facilities and each public area.
(3) Where two or more containers of incompatible liquid propellants will be handled or stored together in an explosive hazard facility, a launch site operator shall determine the explosive equivalent in pounds of the combined liquids, using the formulas provided in appendix E, table E-2, to determine the minimum separation distance between the explosive hazard facility and other explosive hazard facilities and public areas unless the containers are separated one from the other by the appropriate distance as determined in paragraph (b)(3) of this section. A launch site operator shall then use the quantity of liquid propellant requiring the greatest separation distance to determine the minimum separation distance between the explosive hazard facility and all other explosive hazard facilities and each public area.
(4) A launch site operator shall convert quantities of liquid propellants from gallons to pounds using the conversion factors provided in appendix E, table E-3 and the following equation:
(b) A launch site operator shall use appendix E, table E-3 to determine hazard and compatibility groups and shall separate liquid propellants from each other and from each public area using distances no less than those provided in appendix E, tables E-4 through E-7 in accordance with the following:
(1) A launch site operator shall measure minimum separation distances from the hazard source in an explosive hazard facility, such as a container, building, segment, or positive cutoff point in piping, closest to each explosive hazard facility.
(2) A launch site operator shall measure the minimum separation distance between compatible liquid propellants using the “intragroup and compatible” distance for the propellant quantity and hazard group that requires the greater distance prescribed by appendix E, tables E-4, E-5, and E-6.
(3) A launch site operator shall measure the minimum separation distance between liquid propellants of different compatibility groups using the “public area and incompatible” distance for the propellant quantity and hazard group that requires the greater distance provided in appendix E, tables E-4, E-5, and E-6, unless the propellants of different compatibility groups are subdivided by intervening barriers that prevent mixing. If such barriers are present, the minimum separation distance shall be the “intragroup and compatible” distance for the propellant quantity and group that requires the greater distance provided in appendix E, tables E-4, E-5, and E-6.
(4) A launch site operator shall separate liquid propellants from each public area using a distance no less than the “public area and incompatible” distance provided in appendix E, tables E-4, E-5, and E-6.
(5) A launch site operator shall separate each explosive hazard facility that contains liquid propellants where explosive equivalents apply pursuant to paragraph (a)(3) of this section from all other explosive hazard facilities of a single customer using the intraline distance provided in appendix E, table E-7, and from each public area using the public area distance provided in appendix E, table E-7.
(a) A launch site operator proposing an explosive hazard facility where solid and liquid propellants are to be located together shall determine the minimum separation distances between the explosive hazard facility and other explosive hazard facilities and public areas in accordance with one method provided in paragraphs (b), (c), or (d) of this section.
(b) A launch site operator shall determine the minimum separation distances between the explosive hazard facility and all other explosive hazard facilities and public areas required for the liquid propellants in accordance with section 420.67(b)(5), and add the minimum separation distances between the explosive hazard facility and all other explosive hazard facilities and public areas required for the solid propellants in accordance with section 420.65, treating the solid propellants as explosive division 1.1.
(c) A launch site operator shall determine the minimum separation distances between the explosive hazard facility and all other explosive hazard facilities and public areas required for the liquid propellants in accordance with section 420.67(b)(5), and add the minimum separation distances between the explosive hazard facility and all other explosive hazard facilities and public areas required for the solid propellants in accordance with section 420.65, using the explosive equivalent of the explosive division 1.3.
(d) A launch site operator shall conduct an analysis of the maximum credible event (MCE), or the worst case explosion that is expected to occur. If the MCE shows that there will be no simultaneous explosion reaction of the liquid propellant tanks and the solid propellant motors, then the minimum distance between the explosive hazard facility and all other explosive hazard facilities and public areas must be based on the MCE.
(a)
(1)
(i)
(ii)
(iii)
(2)
(i)
(ii)
(3)
(4)
(b)
(1) Electric power lines shall be no closer to an explosive hazard facility than the length of the lines between the poles or towers that support the lines unless an effective means is provided to ensure that energized lines cannot, on breaking, come in contact with the explosive hazard facility.
(2) Towers or poles supporting electrical distribution lines that carry between 15 and 69 KV, and unmanned electrical substations shall be no closer to an explosive hazard facility than the public area distance for that explosive hazard facility.
(3) Towers or poles supporting electrical transmission lines that carry 69 KV or more, shall be no closer to an explosive hazard facility than the public area distance for that explosive hazard facility.
(1) This appendix provides a method for constructing a flight corridor from a launch point for a guided suborbital launch vehicle or any one of the four classes of guided orbital launch vehicles from table 1, § 420.19, without the use of local meteorological data or a launch vehicle trajectory.
(2) A flight corridor includes an overflight exclusion zone in a launch area and, for a guided suborbital launch vehicle, an impact dispersion area in a downrange area. A flight corridor for a guided suborbital launch vehicle ends with the impact dispersion area, and, for the four classes of guided orbital launch vehicles, 5000 nautical miles (nm) from the launch point.
(1) Maps. An applicant shall use any map for the launch site region with a scale not less than 1:250,000 inches per inch in the launch area and 1:20,000,000 inches per inch in the downrange area. As described in paragraph (b)(2), an applicant shall use a mechanical method, a semi-automated method, or a fully-automated method to plot a flight corridor on maps. A source for paper maps acceptable to the FAA is the U.S. Dept. of Commerce, National Oceanic and Atmospheric Administration, National Ocean Service.
(i) Projections for mechanical plotting method. An applicant shall use a conic projection. The FAA will accept a “Lambert-Conformal” conic projection. A polar aspect of a plane-azimuthal projection may also be used for far northern launch sites.
(ii) Projections for semi-automated plotting method. An applicant shall use cylindrical, conic, or plane projections for semi-automated plotting. The FAA will accept “Mercator” and “Oblique Mercator” cylindrical projections. The FAA will accept “Lambert-Conformal” and “Albers Equal-Area” conic projections. The FAA will accept “Lambert Azimuthal Equal-Area” and “Azimuthal Equidistant” plane projections.
(iii) Projections for fully-automated plotting method. The FAA will accept map projections used by geographical information system software scaleable pursuant to the requirements of paragraph (b)(1).
(2) Plotting Methods.
(i) Mechanical method. An applicant may use mechanical drafting equipment such as pencil, straight edge, ruler, protractor, and compass to plot the location of a flight corridor on a map. The FAA will accept straight lines for distances less than or equal to 7.5 times the map scale on map scales greater than or equal to 1:1,000,000 inches per inch (in/in); or straight lines representing 100 nm or less on map scales less than 1:1,000,000 in/in.
(ii) Semi-automated method. An applicant may employ the range and bearing techniques in paragraph (b)(3) to create latitude and longitude points on a map. The FAA will accept straight lines for distances less than or equal to 7.5 times the map scale on map scales greater than or equal to 1:1,000,000 inches per inch (in/in); or straight lines representing 100 nm or less on map scales less than 1:1,000,000 in/in.
(iii) Fully-automated method. An applicant may use geographical information system software with global mapping data scaleable in accordance with paragraph (b)(1).
(3) Range and bearing computations on an ellipsoidal Earth model.
(i) To create latitude and longitude pairs on an ellipsoidal Earth model, an applicant shall use the following equations to calculate geodetic latitude (+N) and longitude (+E) given the launch point geodetic latitude (+N), longitude (+E), range (nm), and bearing (degrees, positive clockwise from North).
(A) Input. An applicant shall use the following input in making range and bearing computations. Angle units must be in radians.
(B) Computations. An applicant shall use the following equations to determine the latitude (φ
(ii) To create latitude and longitude pairs on an ellipsoidal Earth model, an applicant shall use the following equations to calculate the distance (S) of the geodesic between two points (P
(A) Input. An applicant shall use the following input. Units must be in radians.
(B) Computations. An applicant shall use the following equations to determine the distance (S), the forward azimuth (α
(1) To define a flight corridor, an applicant shall:
(i) Select a guided suborbital or orbital launch vehicle, and, for an orbital launch vehicle, select from table 1 of § 420.19 a launch vehicle weight class that best represents the launch vehicle the applicant plans to support at its launch point;
(ii) Select a debris dispersion radius (D
(iii) Select a launch point geodetic latitude and longitude; and
(iv) Select a flight azimuth.
(2) An applicant shall define and map an overflight exclusion zone using the following method:
(i) Select a debris dispersion radius (D
(ii) An overflight exclusion zone is described by the intersection of the following boundaries, which are depicted in figure A-1:
(A) An applicant shall define an uprange boundary with a half-circle arc of radius D
(B) An applicant shall define the downrange boundary with a half-circle arc of radius D
(C) Crossrange boundaries of an overflight exclusion zone are defined by two lines segments. Each is parallel to the flight azimuth with one to the left side and one to the right side of the flight azimuth line. Each line connects an uprange half-circle arc endpoint to a downrange half-circle arc endpoint as shown in figure A-1.
(iii) An applicant shall identify the overflight exclusion zone on a map that meets the requirements of paragraph (b).
(3) An applicant shall define and map a flight corridor using the following method:
(i) In accordance with paragraph (b), an applicant shall draw a flight corridor on one or more maps with the D
(ii) An applicant shall define the flight corridor using the following boundary definitions:
(A) An applicant shall draw an uprange boundary, which is defined by an arc-line GB (figure A-2), directly uprange from and centered on the intended launch point with radius D
(B) An applicant shall draw line CF perpendicular to and centered on the flight azimuth line, and positioned 10 nm downrange from the launch point. The applicant shall use the length of line CF provided in table A-3 corresponding to the guided suborbital launch vehicle or orbital launch vehicle class selected in paragraph (c)(1)(i).
(C) An applicant shall draw line DE perpendicular to and centered on the flight azimuth line, and positioned 100 nm downrange from the launch point. The applicant shall use the length of line DE provided in table A-3 corresponding to the guided suborbital launch vehicle or orbital launch vehicle class selected in paragraph (c)(1)(i).
(D) Except for a guided suborbital launch vehicle, an applicant shall draw a downrange boundary, which is defined by line HI and is drawn perpendicular to and centered on the flight azimuth line, and positioned 5,000 nm downrange from the launch point. The applicant shall use the length of line HI provided in table A-3 corresponding to the orbital launch vehicle class selected in paragraph (c)(1)(i).
(E) An applicant shall draw crossrange boundaries, which are defined by three lines on the left side and three lines on the right side of the flight azimuth. An applicant shall construct the left flight corridor boundary according to the following, and as depicted in figure A-3 :
(1) The first line (line BC in figure A-3) is tangent to the uprange boundary arc, and ends at endpoint C of line CF, as depicted in figure A-3;
(2) The second line (line CD in figure A-3) begins at endpoint C of line BC and ends at endpoint D of line DH, as depicted in figure A-3;
(3) For all orbital launch vehicles, the third line (line DH in figure A-3) begins at endpoint D of line CD and ends at endpoint H of line HI, as depicted in figure A-3; and
(4) For a guided suborbital launch vehicle, the line DH begins at endpoint D of line CD and ends at a point tangent to the impact dispersion area drawn in accordance with paragraph (c)(4) and as depicted in figure A-4.
(F) An applicant shall repeat the procedure in paragraph (c)(3)(ii)(E) for the right side boundary.
(iii) An applicant shall identify the flight corridor on a map that meets the requirements of paragraph (b).
(4) For a guided suborbital launch vehicle, an applicant shall define a final stage impact dispersion area as part of the flight corridor and show the impact dispersion area on a map, as depicted in figure A-4, in accordance with the following:
(i) An applicant shall select an apogee altitude (H
(ii) An applicant shall define the impact dispersion area by using an impact range factor [IP(H
(A) An applicant shall calculate the impact range (D) for the final launch vehicle stage. An applicant shall set D equal to the maximum apogee altitude (H
(B) An applicant shall calculate the impact dispersion radius (R) for the final launch vehicle stage. An applicant shall set R equal to the maximum apogee altitude (H
(iii) An applicant shall draw the impact dispersion area on a map with its center on the predicted impact point. An applicant shall then draw line DH in accordance with paragraph (c)(3)(ii)(E)(4).
(1) An applicant shall evaluate the flight corridor for the presence of any populated areas. If an applicant determines that no populated area is located within the flight corridor, then no additional steps are necessary.
(2) If a populated area is located in an overflight exclusion zone, an applicant may modify its proposal or demonstrate that there are times when no people are present or that the applicant has an agreement in place to evacuate the public from the overflight exclusion zone during a launch.
(3) If a populated area is located within the flight corridor, an applicant may modify its proposal and create another flight corridor pursuant to appendix A, use appendix B to narrow the flight corridor, or complete a risk analysis in accordance with appendix C.
(1) This appendix provides a method to construct a flight corridor from a launch point for a guided suborbital launch vehicle or any one of the four weight classes of guided orbital launch vehicles from table 1, § 420.19, using local meteorological data and a launch vehicle trajectory.
(2) A flight corridor is constructed in two sections—one section comprising a launch area and one section comprising a downrange area. The launch area of a flight corridor reflects the extent of launch vehicle debris impacts in the event of a launch vehicle failure and applying local meteorological conditions. The downrange area reflects the extent of launch vehicle debris impacts in the event of a launch vehicle failure and applying vehicle imparted velocity, malfunctions turns, and vehicle guidance and performance dispersions.
(3) A flight corridor includes an overflight exclusion zone in the launch area and, for a guided suborbital launch vehicle, an impact dispersion area in the downrange area. A flight corridor for a guided suborbital launch vehicle ends with an impact dispersion area and, for the four classes of guided orbital launch vehicles, 5,000 nautical miles (nm) from the launch point, or where the IIP leaves the surface of the Earth, whichever is shorter.
(1) Launch area data requirements. An applicant shall satisfy the following data requirements to perform the launch area analysis of this appendix. The data requirements are identified in table B-1 along with sources where data acceptable to the FAA may be obtained.
(i) An applicant must select meteorological data that meet the specifications in table B-1 for the proposed launch site.
(ii) For a guided orbital launch vehicle, an applicant shall obtain or create a launch vehicle nominal trajectory. An applicant may use trajectory data from a launch vehicle manufacturer or generate a trajectory using trajectory simulation software. Trajectory time intervals shall be no greater than one second. If an applicant uses a trajectory computed with commercially available software, the software must calculate the trajectory using the following parameters, or clearly and convincingly demonstrated equivalents:
(A) Launch location:
(
(
(B) Ellipsoidal Earth:
(
(
(
(
(C) Vehicle characteristics:
(
(
(
(
(D) Launch events:
(
(
(E) Atmosphere:
(
(
(
(
(F) Winds:
(1) Wind direction as a function of altitude; and
(2) Wind magnitude as a function of altitude.
(I) Aerodynamics: drag coefficient as a function of mach number for each stage of flight showing subsonic, transonic and supersonic mach regions for each stage.
(iii) An applicant shall use a ballistic coefficient (β) of 3 lbs/ft
(iv) An applicant shall satisfy the map and plotting requirements for a launch area of appendix A, paragraph (b).
(2) Downrange area data requirements. An applicant shall satisfy the following data requirements to perform the downrange area analysis of this appendix.
(i) The launch vehicle weight class and method of generating a trajectory used in the launch area shall be used by an applicant in the downrange area as well. Trajectory time intervals must not be greater than one second.
(ii) An applicant shall satisfy the map and plotting data requirements for a downrange area of appendix A, paragraph (b).
(1) An applicant shall construct a launch area of a flight corridor using the processes and equations of this paragraph for each trajectory position. An applicant shall repeat these processes at time points on the launch vehicle trajectory for time intervals of no greater than one second. When choosing wind data, an applicant shall use a time period of between one and 12 months.
(2) A launch area analysis must include all trajectory positions whose Z-values are less than or equal to 50,000 ft.
(3) Each trajectory time is denoted by the subscript “i”. Height intervals for a given atmospheric pressure level are denoted by the subscript “j'.
(4) Using data from the GGUAS CD-ROM, an applicant shall estimate the mean atmospheric density, maximum wind speed, height interval fall times and height interval debris dispersions for 15 mean geometric height intervals.
(i) The height intervals in the GGUAS source data vary as a function of the following 15 atmospheric pressure levels expressed in millibars: surface, 1000, 850, 700, 500, 400, 300, 250, 200, 150, 100, 70, 50, 30, 10. The actual geometric height associated with each pressure level varies depending on the time of year. An applicant shall estimate the mean geometric height over the period of months selected in subparagraph (1) of this paragraph for each of the 15 pressure levels as shown in equation B1.
(ii) The atmospheric densities in the source data also vary as a function of the 15 atmospheric pressure levels. The actual atmospheric density associated with each pressure level varies depending on the time of year. An applicant shall estimate the mean atmospheric density over the period of months selected in accordance with subparagraph (1) of this paragraph for each of the 15 pressure levels as shown in equation B2.
(iii) An applicant shall estimate the algebraic maximum wind speed at a given pressure level as follows and shall repeat the process for each pressure level.
(A) For each month, an applicant shall calculate the monthly mean wind speed (
(B) An applicant shall select the maximum monthly mean wind speed from the 360 azimuths;
(C) An applicant shall repeat subparagraphs (c)(4)(iii)(A) and (B) for each month of interest; and
(D) An applicant shall select the maximum mean wind speed from the range of months. The absolute value of this wind is designated W
(iv) An applicant shall calculate wind speed using the means for winds from the West (u) and winds from the North (v). An applicant shall use equation B3 to resolve the winds to a specific azimuth bearing.
(v) An applicant shall estimate the interval fall time over a height interval assuming the initial descent velocity is equal to the terminal velocity (V
(vi) An applicant shall estimate the interval debris dispersion (D
(5) Once the Dj are estimated for each height interval, an applicant shall determine the total debris dispersion (D
(6) Once all the D
(i) On a map meeting the requirements of appendix A, paragraph (b), an applicant shall plot the X
(ii) An applicant shall draw a circle of radius D
(iii) An applicant shall repeat the instructions in subparagraphs (c)(6)(i)-(ii) for each D
(iv) The launch area of a flight corridor is the enveloping line that encloses the outer boundary of the D
(7) An applicant shall define an overflight exclusion zone in the launch area in accordance with the requirements of appendix A, subparagraph (c)(2).
(8) An applicant shall draw the launch area flight corridor and overflight exclusion zone on a map or maps that meet the requirements of table B-1.
(d) Construction of a Downrange Area of a Flight Corridor
(1) The downrange area analysis estimates the debris dispersion for the downrange time points on a launch vehicle trajectory. An applicant shall perform the downrange area analysis using the processes and equations of this paragraph.
(2) The downrange area analysis shall include trajectory positions at a height (the Z
(3) An applicant shall compute the downrange area of a flight corridor boundary in four steps, from each trajectory time increment: determine a reduction ratio factor; calculate the launch vehicle position after simulating a malfunction turn; rotate the state vector after the malfunction turn in the range of three degrees to one degree as a function of X
(i) Compute the downrange Distance to the final IIP position for a nominal trajectory as follows:
(A) Using equations B30 through B69, determine the IIP coordinates (φ
(B) Using the range and bearing equations of appendix A, paragraph (b)(3), determine
(C) The distance for S
(ii) Compute the reduction ratio factor (F
(A) Using equations B30 through B69, determine the IIP coordinates (φ
(B) Using the range and bearing equations of appendix A, paragraph (b)(3), determine the distance (S
(C) The reduction ratio factor is:
(iii) An applicant shall compute the launch vehicle position and velocity components after a simulated malfunction turn for each X
(A) Turn duration (Δt) = 4 sec.
(B) Turn angle (θ)
The turn angle equations perform a turn in the launch vehicle's yaw plane, as depicted in figure B-2.
(C) Launch vehicle velocity magnitude at the beginning of the turn (V
(D) Average velocity magnitude over the turn duration (V
(E) Velocity vector path angle (γ
(F) Launch vehicle position components at the end of turn duration
(G) Launch vehicle velocity components at the end of turn duration
(iv) An applicant shall rotate the trajectory state vector at the end of the turn duration to the right and left to define the right-lateral flight corridor boundary and the left-lateral flight corridor boundary, respectively. An applicant shall perform the trajectory rotation in conjunction with a trajectory transformation from the X
(A) An applicant must calculate the flight angle (α)
(B) An applicant shall transform X
(C) An applicant shall transform to X
(D) An applicant shall transform the launch point coordinates (φ
(E) An applicant shall transform E,N,U to E
(F) An applicant shall transform to E
(v) The IIP computation implements an iterative solution to the impact point problem. An applicant shall solve equations B46 through B69, with the appropriate substitutions, up to a maximum of five times. Each repetition of the equations provides a
(A) An applicant shall approximate the radial distance (r
(B) An applicant shall compute the radial distance (r) from the geocenter to the launch vehicle position.
If r < r
(C) An applicant shall compute the inertial velocity components.
(D) An applicant shall compute the magnitude of the inertial velocity vector.
(E) An applicant shall compute the eccentricity of the trajectory ellipse multiplied by the cosine of the eccentric anomaly at epoch ε
(F) An applicant shall compute the semi-major axis of the trajectory ellipse (a
If a
(G) An applicant shall compute the eccentricity of the trajectory ellipse multiplied by the sine of the eccentric anomaly at epoch ε
(H) An applicant shall compute the eccentricity of the trajectory ellipse squared ε
If a
(I) An applicant shall compute the eccentricity of the trajectory ellipse multiplied by the cosine of the eccentric anomaly at impact (ε
(J) An applicant shall compute the eccentricity of the trajectory ellipse multiplied by the sine of the eccentric anomaly at impact (ε
If ε
(K) An applicant shall compute the cosine of the difference between the eccentric anomaly at impact and the eccentric anomaly at epoch (Δε
(L) An applicant shall compute the sine of the difference between the eccentric anomaly at impact and the eccentric anomaly at epoch (Δε
(M) An applicant shall compute the f-series expansion of Kepler's equations.
(N) An applicant shall compute the g-series expansion of Kepler's equations.
(O) An applicant shall compute the E,F,G coordinates at impact (E
(P) An applicant shall approximate the distance from the geocenter to the launch vehicle position at impact (r
(Q) An applicant shall let r
(R) An applicant shall compute the difference between the eccentric anomaly at impact and the eccentric anomaly at epoch (Δε).
(S) An applicant shall compute the time of flight from epoch to impact (t).
(T) An applicant shall compute the geocentric latitude at impact (φ').
(U) An applicant shall compute the geodetic latitude at impact (φ).
(V) An applicant shall compute the East longitude at impact (λ).
(W) If the range from the launch point to the impact point is equal to or greater than 5000 nm, an applicant shall terminate IIP computations.
(4) For a guided suborbital launch vehicle, an applicant shall define a final stage impact dispersion area as part of the flight corridor and show the area on a map using the following procedure:
(i) For equation B70 below, an applicant shall use an apogee altitude (H
(ii) An applicant shall define the final stage impact dispersion area by using a dispersion factor [DISP(H
(5) An applicant shall combine the launch area and downrange area flight corridor and any final stage impact dispersion area for a guided suborbital launch vehicle.
(i) On the same map with the launch area flight corridor, an applicant shall plot the latitude and longitude positions of the left and right sides of the downrange area of the flight corridor calculated in accordance with subparagraph (d)(3).
(ii) An applicant shall connect the latitude and longitude positions of the left side of the downrange area of the flight corridor sequentially starting with the last IIP calculated on the left side and ending with the first IIP calculated on the left side. An applicant shall repeat this procedure for the right side.
(iii) An applicant shall connect the left sides of the launch area and downrange portions of the flight corridor. An applicant shall repeat this procedure for the right side.
(iv) An applicant shall plot the overflight exclusion zone defined in subparagraph (c)(7).
(v) An applicant shall draw any impact dispersion area on the downrange map with the center of the impact dispersion area on the launch vehicle final stage impact point obtained from the applicant's launch vehicle trajectory analysis done in accordance with subparagraph (b)(1)(ii).
(1) An applicant shall evaluate the flight corridor for the presence of populated areas. If no populated area is located within the flight corridor, then no additional steps are necessary.
(2) If a populated area is located in an overflight exclusion zone, an applicant may modify its proposal or demonstrate that there are times when no people are present or that the applicant has an agreement in place to evacuate the public from the overflight exclusion zone during a launch.
(3) If a populated area is located within the flight corridor, an applicant may modify its proposal or complete an overflight risk analysis in accordance with appendix C.
(1) This appendix provides a method for an applicant to estimate the expected casualty (E
(2) An applicant shall perform a risk analysis when a populated area is located within a flight corridor defined by either appendix A or appendix B. If the estimated expected casualty exceeds 30×10
(1) An applicant shall obtain the data specified by subparagraphs (b)(2) and (3) and summarized in table C-1. Table C-1 provides sources where an applicant may obtain data acceptable to the FAA. An applicant must also employ the flight corridor information from appendix A or B, including flight azimuth and, for an appendix B flight corridor, trajectory information.
(2) Population data. Total population (N) and the total landmass area within a populated area (A) are required. Population data up to and including 100 nm from the launch point are required at the U.S. census block group level. Population data downrange from 100 nm are required at no greater than 1° × 1° latitude/longitude grid coordinates.
(3) Launch vehicle data. Launch vehicle data consist of the launch vehicle failure probability (P
(1) A corridor casualty expectation [E
(2) An applicant shall identify and locate each populated area in the proposed flight corridor.
(3) An applicant shall determine the probability of impact in each populated area using the procedures in subparagraphs (5) or (6) of this paragraph. Figures C-1 and C-2 illustrate an area considered for probability of impact (P
(4) The P
(5) Probability of impact (P
(i) For the launch and downrange areas, but not for a final stage impact dispersion area for a guided suborbital launch vehicle, an applicant shall compute P
(ii) For each populated area within a final stage impact dispersion area, an applicant shall compute P
(A) An applicant shall estimate the probability of final stage impact in the x and y sectors of each populated area within the final stage impact dispersion area using equations C2 and C3:
(B) If a populated area intersects the impact dispersion area boundary so that the x
(C) An applicant shall calculate the probability of impact for each populated area using equation C4 below:
(6) Probability of impact computations for a populated area in an appendix B flight corridor. An applicant shall compute P
(i) For the launch and downrange areas, but not for a final stage impact dispersion area for a guided suborbital launch vehicle, an applicant shall compute P
(ii) For each populated area within a final stage impact dispersion area, an applicant shall compute P
(A) An applicant shall estimate the probability of final stage impact in the x and y sectors of each populated area within the final stage impact dispersion area using equations C6 and C7:
(B) If a populated area intersects the impact dispersion area boundary so that the x
(C) An applicant shall calculate the probability of impact for each populated area using equation C8 below:
(7) Using the P
(8) An applicant shall estimate the total corridor risk using the following summation of risk:
(9) Alternative casualty expectancy (E
(i) Assume that P
(ii) Combine populated areas into one or more larger populated areas, and use a population density for the combined area or areas equal to the most densely populated area.
(iii) For any given populated area, assume P
(iv) For any given P
(v) For a given populated area, divide the populated area into smaller rectangles, determine P
(vi) For a given populated area, use the ratio of the populated area to the area of the P
(1) If the estimated expected casualty does not exceed 30×10
(2) If the estimated expected casualty exceeds 30×10
(1) This appendix provides a method for determining the acceptability of the location of a launch point from which an unguided suborbital launch vehicle would be launched. The appendix describes how to define an overflight exclusion zone and impact dispersion areas, and how to evaluate whether the public risk presented by the launch of an
(2) An applicant shall base its analysis on an unguided suborbital launch vehicle whose final launch vehicle stage apogee represents the intended use of the launch point.
(3) An applicant shall use the apogee of each stage of an existing unguided suborbital launch vehicle with a final launch vehicle stage apogee equal to the one proposed, and calculate each impact range and dispersion area using the equations provided.
(4) This appendix also provides a method for performing an impact risk analysis that estimates the expected casualty (E
(5) If the estimated E
(1) An applicant shall employ the apogee of each stage of an existing unguided suborbital launch vehicle whose final stage apogee represents the maximum altitude to be reached by unguided suborbital launch vehicles launched from the launch point. The apogee shall be obtained from one or more actual flights of an unguided suborbital launch vehicle launched at an 84 degree elevation.
(2) An applicant shall satisfy the map and plotting data requirements of appendix A, paragraph (b).
(3) Population data. An applicant shall use total population (N) and the total landmass area within a populated area (A) for all populated areas within an impact dispersion area. Population data up to and including 100 nm from the launch point are required at the U.S. census block group level. Population data downrange from 100 nm are required at no greater than 1° × 1° latitude/longitude grid coordinates.
(1) An applicant shall choose a flight azimuth from a launch point.
(2) An applicant shall define an overflight exclusion zone as a circle with a radius of 1600 feet centered on the launch point.
(3) An applicant shall define an impact dispersion area for each stage of the suborbital launch vehicle chosen in accordance with subparagraph (b)(1) in accordance with the following:
(i) An applicant shall calculate the impact range for the final launch vehicle stage (D
(ii) An applicant shall calculate the impact range for each intermediate stage (D
(iii) An applicant shall calculate the impact dispersion radius for the final launch vehicle stage (R
(iv) An applicant shall calculate the impact dispersion radius for each intermediate stage (R
(4) An applicant shall display an overflight exclusion zone, each intermediate and final stage impact point (D
(1) An applicant shall evaluate the overflight exclusion zone and each impact dispersion area for the presence of any populated areas. If an applicant determines that no populated area is located within the overflight exclusion zone or any impact dispersion area, then no additional steps are necessary.
(2) If a populated area is located in an overflight exclusion zone, an applicant may modify its proposal or demonstrate that there are times when no people are present or that the applicant has an agreement in place to evacuate the public from the overflight exclusion zone during a launch.
(3) If a populated area is located within any impact dispersion area, an applicant may modify its proposal and define a new overflight exclusion zone and new impact dispersion areas, or perform an impact risk analysis in accordance with paragraph (e).
(1) An applicant shall estimate the expected average number of casualties, E
(i) An applicant shall calculate the E
(ii) An applicant shall estimate the probability of impacting inside the X and Y sectors of each populated area within each impact dispersion area using equations D3 and D4:
(iii) If a populated area intersects the impact dispersion area boundary so that the x
(iv) If a populated area intersects the flight azimuth, an applicant shall solve equation D4 by obtaining the solution in two parts. An applicant shall determine, first, the probability between y
(v) An applicant shall calculate the probability of impact (P
(vi) An applicant shall calculate the casualty expectancy for each populated area. E
(vii) An applicant shall estimate the total risk using the following summation of risk:
(viii) Alternative casualty expectancy (E
(A) Assume that P
(B) Combine populated areas into one or more larger populated areas, and use a population density for the combined area or areas equal to the most densely populated area.
(C) For any given populated area, assume P
(D) For any given populated area, assume P
(E) For a given populated area, divide the populated area into smaller rectangles, determine P
(F) For a given populated area, use the ratio of the populated area to the area of the P
(2) If the estimated expected casualty does not exceed 30 × 10
(3) If the estimated expected casualty exceeds 30 × 10
49 U.S.C. 70101-70121.
This part prescribes requirements for obtaining a reusable launch vehicle (RLV) mission license and post-licensing requirements with which a licensee must comply to remain licensed. Requirements for preparing a license application are contained in part 413 of this subchapter.
(a)
(b)
To obtain either type of RLV mission license, an applicant must obtain policy and safety approvals from the FAA. Requirements for obtaining these approvals are contained in subparts B and C of this part. Only the license applicant may apply for the approvals, and may apply for either approval separately and in advance of submitting a complete license application, using the application procedures contained in part 413 of this subchapter.
(a) A payload determination is required to launch a payload unless the proposed payload is exempt from payload review under § 415.53 of this chapter. Requirements for obtaining a payload determination are set forth in part 415, subpart D of this chapter.
(b) A payload reentry determination is required to reenter a payload to Earth on an RLV unless the proposed payload is exempt from payload reentry review.
(c) A payload reentry determination made under a previous license application under this subchapter may satisfy the requirements of paragraph (b) of this section.
(d) The FAA conducts a review, as described in subpart D of this part, to make a payload reentry determination. Either an RLV mission license applicant or a payload owner or operator may request a review of the proposed payload using the application procedures contained in part 413 of this subchapter. Upon receipt of an application, the FAA may conduct a payload reentry review independently of an RLV mission license application.
To obtain a license, an applicant proposing to conduct a reusable launch vehicle mission with flight crew or a space flight participant on board must demonstrate compliance with §§ 460.5, 460.7, 460.11, 460.13, 460.15, 460.17, 460.51 and 460.53 of this subchapter.
(a) The FAA issues either a mission-specific or operator license authorizing RLV missions to an applicant who has obtained all approvals and determinations required under this chapter for the license.
(b) An RLV mission license authorizes a licensee to launch and reenter, or
The FAA may amend an RLV mission license at any time by modifying or adding license terms and conditions to ensure compliance with 49 U.S.C. Subtitle IX, chapter 701, and applicable regulations.
(a) Only the FAA may transfer an RLV mission license.
(b) An applicant for transfer of an RLV mission license shall submit a license application in accordance with part 413 of this subchapter and satisfy the applicable requirements of this part. The FAA will transfer an RLV mission license to an applicant who has obtained all of the approvals and determinations required under this chapter for an RLV mission license. In conducting its reviews and issuing approvals and determinations, the FAA may incorporate any findings made part of the record to support the initial licensing determination. The FAA may modify an RLV mission license to reflect any changes necessary as a result of a license transfer.
Issuance of an RLV mission license does not relieve a licensee of its obligation to comply with requirements of law that may apply to its activities.
The FAA issues a policy approval to an RLV mission license applicant upon completion of a favorable policy review. A policy approval is part of the licensing record on which the licensing determination is based.
(a) The FAA reviews an RLV mission license application to determine whether the proposed mission presents any issues, other than those issues addressed in the safety review, that would adversely affect U.S. national security or foreign policy interests, would jeopardize public health and safety or the safety of property, or would not be consistent with international obligations of the United States.
(b) Interagency consultation is conducted as follows:
(1) The FAA consults with the Department of Defense to determine whether an RLV mission license application presents any issues adversely affecting U.S. national security.
(2) The FAA consults with the Department of State to determine whether an RLV mission license application presents any issues adversely affecting U.S. foreign policy interests or international obligations.
(3) The FAA consults with other Federal agencies, including the National Aeronautics and Space Administration, authorized to address issues identified under paragraph (a) of this section, associated with an applicant's RLV mission proposal.
(c) The FAA advises an applicant, in writing, of any issue raised during a policy review that would impede issuance of a policy approval. The applicant may respond, in writing, or revise its license application.
In its RLV mission license application, an applicant must—
(a) Identify the model, type, and configuration of any RLV proposed for launch and reentry, or otherwise landing on Earth, by the applicant.
(b) Identify all vehicle systems, including structural, thermal, pneumatic, propulsion, electrical, and avionics and guidance systems used in the vehicle(s), and all propellants.
(c) Identify foreign ownership of the applicant as follows:
(1) For a sole proprietorship or partnership, identify all foreign ownership;
(2) For a corporation, identify any foreign ownership interests of 10% or more; and
(3) For a joint venture, association, or other entity, identify any participating foreign entities.
(d) Identify proposed launch and reentry flight profile(s), including—
(1) Launch and reentry site(s), including planned contingency abort locations, if any;
(2) Flight trajectories, reentry trajectories, associated ground tracks, and instantaneous impact points for nominal operations, and contingency abort profiles, if any;
(3) Sequence of planned events or maneuvers during the mission; and for an orbital mission, the range of intermediate and final orbits of the vehicle and upper stages, if any, and their estimated orbital life times.
The FAA notifies an applicant, in writing, if the FAA has denied policy approval for an RLV mission license application. The notice states the reasons for the FAA's determination. The applicant may respond to the reasons for the determination and request reconsideration.
(a) The FAA conducts a safety review to determine whether an applicant is capable of launching an RLV and payload, if any, from a designated launch site, and reentering the RLV and payload, if any, to a designated reentry site or location, or otherwise landing it on Earth, without jeopardizing public health and safety and the safety of property.
(b) The FAA issues a safety approval to an RLV mission license applicant that satisfies the requirements of this Subpart. The FAA evaluates on an individual basis all public safety aspects of a proposed RLV mission to ensure they are sufficient to support safe conduct of the mission. A safety approval is part of the licensing record on which the FAA's licensing determination is based.
(c) The FAA advises an applicant, in writing, of any issue raised during a safety review that would impede issuance of a safety approval. The applicant may respond, in writing, or revise its license application.
(a) An applicant shall maintain a safety organization and document it by identifying lines of communication and approval authority for all mission decisions that may affect public safety. Lines of communication within the applicant's organization, between the applicant and the launch site, and between the applicant and the reentry site, shall be employed to ensure that personnel perform RLV mission operations in accordance with plans and procedures required by this subpart. Approval authority shall be employed to ensure compliance with terms and conditions stated in an RLV mission license and with the plans and procedures required by this subpart.
(b) An applicant must designate a person responsible for the conduct of all licensed RLV mission activities.
(c) An applicant shall designate by name, title, and qualifications, a qualified safety official authorized by the applicant to examine all aspects of the applicant's operations with respect to safety of RLV mission activities and to monitor independently compliance by vehicle safety operations personnel with the applicant's safety policies and procedures. The safety official shall report directly to the person responsible for an applicant's licensed RLV mission activities, who shall ensure that all of the safety official's concerns are addressed both before a mission is initiated and before reentry or descent flight of an RLV is initiated. The safety official is responsible for—
(1) Monitoring and evaluating operational dress rehearsals to ensure they are conducted in accordance with procedures required by § 431.37(a)(4) and under § 431.37(a)(1)(iv) to ensure the
(2) Completing a mission readiness determination as required by § 431.37 before an RLV mission is initiated. The safety official must monitor and report to the person responsible for the conduct of licensed RLV mission activities any non-compliance with procedures listed in §§ 431.37 and 431.43, or any representation contained in the application, and the readiness of the licensee to conduct mission operations in accordance with the license and this part. The safety official is responsible for compliance with §§ 431.37 and 431.43, and with representations contained in the application.
(a) To obtain safety approval for an RLV mission, an applicant must demonstrate that the proposed mission does not exceed acceptable risk as defined in this subpart. For purposes of this section, the mission commences upon initiation of the launch phase of flight and consists of launch flight through orbital insertion of an RLV or vehicle stage or flight to outer space, whichever is applicable, and reentry or descent flight, and concludes upon landing on Earth of the RLV.
(b) Acceptable risk for a proposed mission is measured in terms of the expected average number of casualties (E
(1) To obtain safety approval, an applicant shall demonstrate:
(i) For public risk, the risk level to the collective members of the public exposed to vehicle or vehicle debris impact hazards associated with a proposed mission does not exceed an expected average number of 0.00003 casualties per mission (or E
(ii) For public risk, the risk level to an individual does not exceed .000001 per mission (or individual risk criterion of 1 × 10
(2) [Reserved]
(c) To demonstrate compliance with acceptable risk criteria in this section, an applicant shall employ a system safety process to identify the hazards and assess the risks to public health and safety and the safety of property associated with the mission, including nominal and non-nominal operation and flight of the vehicle and payload, if any. An acceptable system safety analysis identifies and assesses the probability and consequences of any reasonably foreseeable hazardous event, and safety-critical system failures during launch flight or reentry that could result in a casualty to the public.
(d) As part of the demonstration required under paragraph (c) of this section, an applicant must—
(1) Identify and describe the structure of the RLV, including physical dimensions and weight;
(2) Identify and describe any hazardous materials, including radioactive materials, and their container on the RLV;
(3) Identify and describe safety-critical systems;
(4) Identify and describe all safety-critical failure modes and their consequences;
(5) Provide drawings and schematics for eachsafety-critical system identified under paragraph (d)(3) of this section;
(6) Provide a timeline identifying all safety-critical events;
(7) Provide data that verifies the risk elimination and mitigation measures resulting from the applicant's system safety analyses required by paragraph (c) of this section; and
(8) Provide flight trajectory analyses covering launch or ascent of the vehicle through orbital insertion and reentry or descent of the vehicle through landing, including its three-sigma dispersion.
(a)
(1) Mission readiness review procedures that involve the applicant's vehicle safety operations personnel, and launch site and reentry site personnel
(i) Readiness of the RLV including safety-critical systems and payload for launch and reentry flight;
(ii) Readiness of the launch site, personnel, and safety-related launch property and launch services to be provided by the launch site;
(iii) Readiness of the reentry site, personnel, and safety-related property and services for reentry flight and vehicle recovery;
(iv) Readiness of vehicle safety operations personnel to support mission flight, including results of dress rehearsals and simulations conducted in accordance with paragraph (a)(4) of this section;
(v) Mission rules and constraints, including contingency abort plans and procedures, if any, as required under § 431.39;
(vi) Unresolved safety issues identified during the mission readiness review and plans for addressing them; and
(vii) Any additional safety information required by the individual designated under § 431.33(b) to determine launch and reentry readiness.
(2) Procedures that ensure mission constraints, rules, contingency abort and emergency abort procedures are listed and consolidated in a safety directive or notebook approved by the person designated by the applicant under § 431.33(b), the launch site operator, and the reentry site operator, if any;
(3) Procedures that ensure currency and consistency of licensee, launch site operator, and reentry site operator checklists;
(4) Dress rehearsal procedures that—
(i) Ensure crew readiness under nominal and non-nominal flight conditions;
(ii) Contain criteria for determining whether to dispense with or add one or more dress rehearsals; and
(iii) Verify currency and consistency of licensee, launch site operator, and reentry site operator checklists; and
(5) Procedures for ensuring the licensee's vehicle safety operations personnel adhere to crew rest rules of this part.
(b) [Reserved]
(a) An applicant shall submit mission rules, procedures, checklists, emergency plans, and contingency abort plans, if any, that ensure safe conduct of mission operations during nominal and non-nominal vehicle flight.
(b) Mission rules, procedures, checklists, emergency plans, and contingency abort plans must be contained in a safety directive, notebook, or other compilation that is approved by the safety official designated under § 431.33(c) and concurred in by the launch site operator and reentry site operator, if any.
(c) Vehicle safety operations personnel must have current and consistent mission checklists.
(a) An applicant shall submit a plan providing vehicle safety operations personnel communications procedures during the mission. Procedures for effective issuance and communication of safety-critical information during the mission shall include hold/resume, go/no go, contingency abort, if any, and emergency abort commands by vehicle safety operations personnel. The communications plan shall describe the authority of vehicle safety operations personnel, by individual or position title, to issue these commands. The communications plan shall ensure that—
(1) Communication networks are assigned so that personnel identified under this section have direct access to real-time, safety-critical information required for making decisions and issuing commands;
(2) Personnel identified under this section monitor a common intercom channel for safety-critical communications during launch and reentry;
(3) A protocol is established for utilizing defined radio communications terminology; and
(4) Communications affecting the safety of the mission are recorded in a
(b) An applicant shall submit procedures to ensure that licensee and reentry site personnel, if any, receive a copy of the communications plan required by this section and that the reentry site operator, if any, concurs with the communications plan.
(a) An applicant for RLV mission safety approval shall submit procedures—
(1) That ensure RLV mission risks do not exceed the criteria set forth in § 431.35 for nominal and non-nominal operations;
(2) That ensure conformance with the system safety process and associated hazard identification and risk assessment required under § 431.35(c);
(3) That ensure conformance with operational restrictions listed in paragraphs (c) through (e) of this section;
(4) To monitor and verify the status of RLV safety-critical systems sufficiently before enabling both launch and reentry flight to ensure public safety and during mission flight unless technically infeasible; and
(5) For human activation or initiation of a flight safety system that safely aborts the launch of an RLV if the vehicle is not operating within approved mission parameters and the vehicle poses risk to public health and safety and the safety of property in excess of acceptable flight risk as defined in § 431.35.
(b) To satisfy risk criteria set forth in § 431.35(b)(1), an applicant for RLV mission safety approval shall identify suitable and attainable locations for nominal landing and vehicle staging impact or landing, if any. An application shall identify such locations for a contingency abort if necessary to satisfy risk criteria contained in § 431.35(b)(1) during launch of an RLV. A nominal landing, vehicle staging impact and contingency abort location are suitable for launch or reentry if—
(1) For any vehicle or vehicle stage, the area of the predicted three-sigma dispersion of the vehicle or vehicle stage can be wholly contained within the designated location; and
(2) The location is of sufficient size to contain landing impacts, including debris dispersion upon impact and any toxic release.
(c) For an RLV mission—
(1) A collision avoidance analysis shall be performed in order to maintain at least a 200-kilometer separation from any inhabitable orbiting object during launch and reentry. The analysis shall address:
(i) For launch, closures in a planned launch window for ascent to outer space or, for an orbital RLV, to initial orbit through at least one complete orbit;
(ii) For reentry, the reentry trajectory;
(iii) Expansions of the closure period by subtracting 15 seconds from the closure start-time and adding 15 seconds to the closure end-time for each sequential 90 minutes elapsed time period, or portion there of, beginning at the time the state vectors of the orbiting objects were determined;
(2) The projected instantaneous impact point (IIP) of the vehicle shall not have substantial dwell time over densely populated areas during any segment of mission flight;
(3) There will be no unplanned physical contact between the vehicle or its components and payload after payload separation and debris generation will not result from conversion of energy sources into energy that fragments the vehicle or its payload. Energy sources include, but are not limited to, chemical, pneumatic, and kinetic energy; and
(4) Vehicle safety operations personnel shall adhere to the following work and rest standards:
(i) A maximum 12-hour work shift with at least 8 hours of rest after 12 hours of work, preceding initiation of an RLV reentry mission or during the conduct of a mission;
(ii) A maximum of 60 hours worked in the 7 days, preceding initiation of an RLV mission;
(iii) A maximum of 14 consecutive work days; and
(iv) A minimum 48-hour rest period after 5 consecutive days of 12-hour shifts.
(d) In addition to requirements of paragraph (c) of this section, any unproven RLV may only be operated so that during any portion of flight—
(1) The projected instantaneous impact point (IIP) of the vehicle does not have substantial dwell time over populated areas; or
(2) The expected average number of casualties to members of the public does not exceed 30 × 10
(e) Any RLV that enters Earth orbit may only be operated such that the vehicle operator is able to—
(1) Monitor and verify the status of safety-critical systems before enabling reentry flight to assure the vehicle can reenter safely to Earth; and
(2) Issue a command enabling reentry flight of the vehicle. Reentry flight cannot be initiated autonomously under nominal circumstances without prior enable.
(a)
(b)
(1) Immediate notification to the FAA Washington Operations Center in case of a launch or reentry accident, launch or reentry incident, or a mishap that involves a fatality or serious injury (as defined in 49 CFR 830.2);
(2) Notification within 24 hours to the Associate Administrator for Commercial Space Transportation in the event of a mishap that does not involve a fatality or serious injury, as defined in 49 CFR 830.2; and
(3) Submission of a written preliminary report to the FAA Associate Administrator for Commercial Space Transportation in the event of a launch accident or launch incident occurring in the conduct of an RLV mission, or reentry accident or reentry incident, occurring in the conduct of an RLV mission, within 5 days of the event. The report shall identify the event as either a launch or reentry accident or incident and must include the following information:
(i) Date and time of occurrence;
(ii) Description of the event and sequence of events leading to the accident or incident, to the extent known;
(iii) Intended and actual location of launch and reentry or other landing on Earth;
(iv) Identification of the vehicle;
(v) Identification of the payload, if applicable;
(vi) Number and general description of any fatalities and injuries;
(vii) Property damage, if any, and an estimate of its value;
(viii) Identification of hazardous materials, as defined in § 401.5 of this chapter, involved in the event, whether on the vehicle, payload, or on the ground;
(ix) Action taken by any person to contain the consequences of the event;
(x) Weather conditions at the time of the event; and
(xi) Potential consequences for other vehicles or systems of similar type and proposed operations.
(c)
(1) Ensure the consequences of a launch accident, launch incident, reentry accident, reentry incident, or other mishap occurring in the conduct
(2) Ensure data and physical evidence are preserved;
(3) Require the licensee to report and to cooperate with FAA and the National Transportation Safety Board investigations and designate one or more points of contact for the FAA or NTSB; and;
(4) Require the licensee to identify and adopt preventive measures for avoiding recurrence of the event.
(d)
(1) Procedures for investigating the cause of an event described in paragraph (c)(1) of this section;
(2) Procedures for reporting investigation results to the FAA;
(3) Delineated responsibilities, including reporting responsibilities, for personnel assigned to conduct investigations and for any unrelated entities retained by the licensee to conduct or participate in investigations.
(e)
(1) Notification to local officials in the event of an off-site or unplanned landing so that vehicle recovery can be conducted safely and effectively and with minimal risk to public safety. The plan must provide for the quick dissemination of up to date information to the public, and for doing so in advance of reentry or other landing on Earth to the extent practicable; and
(2) A public information dissemination plan for informing the potentially affected public, in laymen's terms and in advance of a planned reentry, of the estimated date, time and landing location for the reentry activity.
The FAA notifies an applicant, in writing, if the FAA has denied safety approval for an RLV mission license application. The notice states the reasons for the FAA's determination. The applicant may respond to the reasons for the determination and request reconsideration.
(a) A payload reentry review is conducted to examine the policy and safety issues related to the proposed reentry of a payload, other than a U.S. Government payload or a payload whose reentry is subject to regulation by another Federal agency, to determine whether the FAA will approve reentry of the payload.
(b) A payload reentry review may be conducted as part of an RLV mission license application review or may be requested by a payload owner or operator in advance of or separate from an RLV mission license application.
(c) A payload reentry determination will be made part of the licensing record on which the FAA's licensing determination is based.
(a) The FAA may approve the return of a type or class of payload (for example, communications or microgravity/scientific satellites).
(b) The RLV mission licensee that will return a payload approved for reentry under this section, is responsible for providing current information in accordance with § 431.57 regarding the payload proposed for reentry no later than 60 days before a scheduled RLV mission involving that payload.
(a) In conducting a payload reentry review to decide if the FAA should approve reentry of a payload, the FAA determines whether its reentry presents any issues that would adversely affect U.S. national security or foreign policy interests, would jeopardize public health and safety or the safety of property, or would not be consistent with international obligations of the United States.
(b) The FAA consults with the Department of Defense to determine whether reentry of a proposed payload presents any issues adversely affecting U.S. national security.
(c) The FAA consults with the Department of State to determine whether reentry of a proposed payload presents any issues adversely affecting U.S. foreign policy interests or international obligations.
(d) The FAA consults with other Federal agencies, including the National Aeronautics and Space Administration, authorized to address issues identified under paragraph (a) of this section.
(e) The FAA advises a person requesting a payload reentry determination, in writing, of any issue raised during a payload reentry review that would impede the issuance of a favorable determination to reenter that payload. The person requesting a payload reentry review may respond, in writing, or revise its application.
A person requesting reentry review of a particular payload or payload class must identify the following:
(a) Payload name or class and function;
(b) Physical characteristics, dimensions, and weight of the payload;
(c) Payload owner and operator, if different from the person requesting the payload reentry review;
(d) Type, amount, and container of hazardous materials, as defined in § 401.5 of this chapter, and radioactive materials in the payload;
(e) Explosive potential of payload materials, alone and in combination with other materials found on the payload or RLV during reentry;
(f) Designated reentry site(s); and
(g) Method for securing the payload on the RLV.
(a) The FAA issues a favorable payload reentry determination unless it determines that reentry of the proposed payload would adversely affect U.S. national security or foreign policy interests, would jeopardize public health and safety or the safety of property, or would not be consistent with international obligations of the United States. The FAA responds to any person who has requested a payload reentry review of its determination in writing. The notice states the reasons for the determination in the event of an unfavorable determination.
(b) Any person issued an unfavorable payload reentry determination may respond to the reasons for the determination and request reconsideration.
A favorable payload reentry determination issued for a payload or class of payload may be included by an RLV mission license applicant as part of its application. Before the conduct of an RLV mission involving a payload approved for reentry, any change in information provided under § 431.57 must be reported by the licensee in accordance with § 413.17 of this chapter. The FAA determines whether a favorable payload reentry determination remains valid and may conduct an additional payload reentry review.
(a) A licensee is responsible for ensuring the safe conduct of an RLV mission and for protecting public health and safety and the safety of property during the conduct of the mission.
(b) A licensee must conduct a licensed RLV mission and perform RLV safety procedures in accordance with representations made in its license application. A licensee's failure to perform safety procedures in accordance with the representations made in the license application or comply with any license condition is sufficient basis for the revocation of a license or other appropriate nforcement action.
(a) A licensee is responsible for the continuing accuracy of representations contained in its application for the entire term of the license.
(b) After a license has been issued, a licensee must apply to the FAA for modification of the license if—
(1) The licensee proposes to conduct an RLV mission or perform a safety-critical operation in a manner not authorized by the license; or
(2) Any representation contained in the license application that is material to public health and safety or the safety of property is no longer accurate and complete or does not reflect the licensee's procedures governing the actual conduct of an RLV mission. A change is material to public health and safety or the safety of property if it alters or affects the—
(i) Mission rules, procedures, checklists, emergency plans, and contingency abort plans, if any, submitted in accordance with § 431.39
(ii) Class of payload;
(iii) Type of RLV;
(iv) Any safety-critical system;
(v) Type and container of the hazardous material carried by the vehicle;
(vi) Flight trajectory;
(vii) Launch site or reentry site or other landing location; or
(viii) Any safety system, policy, procedure, requirement, criteria, or standard.
(c) An application to modify an RLV mission license must be prepared and submitted in accordance with part 413 of this chapter. The licensee must indicate any part of its license or license application that would be changed or affected by a proposed modification.
(d) The FAA reviews determinations and approvals required by this chapter to determine whether they remain valid after submission of a proposed modification.
(e) Upon approval of a modification, the FAA issues either a written approval to the licensee or a license order amending the license if a stated term or condition of the license is changed, added, or deleted. An approval has the full force and effect of a license order and is part of the licensing record.
(a)
(b)
(1) An agreement between the licensee and the local U.S. Coast Guard district to establish procedures for the issuance of a Notice to Mariners prior to a launch or reentry and other measures as the Coast Guard deems necessary to protect public health and safety; and
(2) An agreement between the licensee and the FAA regional office having jurisdiction over the airspace through which a launch and reentry will take place, to establish procedures for the issuance of a Notice to Airmen prior to the conduct of a licensed launch or reentry and for closing of air routes during the respective launch and reentry windows and other measures deemed necessary by the FAA regional office in order to protect public health and safety.
(a) Except as specified in paragraph (b) of this section, a licensee shall maintain for 3 years all records, data, and other material necessary to verify that a licensed RLV mission is conducted in accordance with representations contained in the licensee's application.
(b) In the event of a launch accident, reentry accident, launch incident or reentry incident, as defined in § 401.5 of this chapter, a licensee shall preserve all records related to the event.
(a) Not less than 60 days before each RLV mission conducted under a license, a licensee shall provide the FAA with the following information:
(1) Payload information in accordance with 14 CFR § 415.59 of this chapter and § 431.57; and
(2) Flight information, including the vehicle, launch site, planned launch and reentry flight path, and intended landing sites including contingency abort sites.
(3) Launch or reentry waivers, approved or pending, from a federal Federal range for at which the launch or reentry will take place, that are unique and may affect public safety.
(b) Not later than 15 days before each licensed RLV mission, a licensee must notify the FAA, in writing, of the time and date of the intended launch and reentry or other landing on Earth of the RLV and may utilize the FAA/U.S. Space Command Launch Notification Form, contained in part 415, Appendix A, of this subchapter for doing so.
(c) A licensee must report a launch accident, launch incident, reentry accident, reentry incident, or other mishap immediately to the FAA Washington Operations Center and provide a written preliminary report in the event of a launch accident, launch incident, reentry accident, or reentry incident, in accordance with the mishap investigation and emergency response plan submitted as part of its license application under § 431.45.
A licensee under this part must comply with financial responsibility requirements specified in its license.
A licensee shall allow access by, and cooperate with, Federal officers or employees or other individuals authorized by the FAA to observe any activities of the licensee, or of the licensee's contractors or subcontractors, associated with the conduct of a licensed RLV mission.
(a) To assist the U.S. Government in implementing Article IV of the 1975 Convention on Registration of Objects Launched into Outer Space, each licensee shall provide to the FAA the information required by paragraph (b) of this section for all objects placed in space by a licensed RLV mission, including an RLV and any components, except:
(1) Any object owned and registered by the U.S. Government; and
(2) Any object owned by a foreign entity.
(b) For each object that must be registered in accordance with this section, a licensee shall submit the following information not later than thirty (30) days following the conduct of a licensed RLV mission :
(1) The international designator of the space object(s);
(2) Date and location of the RLV mission initiation;
(3) General function of the space object; and
(4) Final orbital parameters, including:
(i) Nodal period;
(ii) Inclination;
(iii) Apogee; and
(iv) Perigee.
(c) A licensee shall notify the FAA when it removes an object that it has previously placed in space.
An applicant shall provide the FAA with sufficient information to analyze the environmental impacts associated with proposed operation of an RLV, including the impacts of anticipated activities to be performed at its reentry site. The information provided by an applicant must be sufficient to enable the FAA to comply with the requirements of the National Environmental
An applicant shall submit environmental information concerning—
(a) A designated launch and reentry site, including contingency abort locations, if any, not covered by existing FAA or other Federal environmental documentation;
(b) A proposed new RLV with characteristics falling measurably outside the parameters of existing environmental documentation;
(c) A proposed reentry to an established reentry site involving an RLV with characteristics falling measurably outside the parameters of existing environmental impact statements covering that site;
(d) A proposed payload that may have significant environmental impacts in the event of a reentry accident; and
(e) Other factors as necessary to comply with the National Environmental Policy Act.
49 U.S.C. 70101-70121.
The FAA evaluates on an individual basis an applicant's proposal to operate a reentry site.
(a) The FAA issues a license to operate a reentry site when it determines that an applicant's operation of the reentry site does not jeopardize public health and safety, the safety of property, U.S. national security or foreign policy interests, or international obligations of the United States.
(b) A license to operate a reentry site authorizes a licensee to operate a reentry site in accordance with the representations contained in the licensee's application, subject to the licensee's compliance with terms and conditions contained in any license order accompanying the license.
A license to operate a reentry site authorizes the licensee to offer use of the site to support reentry of a reentry vehicle for which the three-sigma footprint of the vehicle upon reentry is wholly contained within the site.
An applicant shall provide the FAA with information for the FAA to analyze the environmental impacts associated with proposed operation of a reentry site. The information provided by an applicant must be sufficient to enable the FAA to comply with the requirements of the National Environmental Policy Act, 42 U.S.C. 4321
An applicant shall submit environmental information concerning a proposed reentry site not covered by existing environmental documentation for purposes of assessing reentry impacts.
49 U.S.C. 70101-70121.
This part prescribes requirements for obtaining a license to reenter a reentry vehicle other than a reusable launch vehicle (RLV), and post-licensing requirements with which a licensee must comply to remain licensed. Requirements for preparing a license application are contained in part 413 of this subchapter.
(a)
(b)
To obtain a reentry license, an applicant must obtain policy and safety approvals from the FAA. Requirements for obtaining these approvals are contained in subparts B and C of this part. Only a reentry license applicant may apply for the approvals, and may apply for either approval separately and in advance of submitting a complete license application, using the application procedures contained in part 413 of this subchapter.
(a) A payload reentry determination is required to transport a payload to Earth on a reentry vehicle unless the proposed payload is exempt from payload review.
(b) A payload reentry determination made under a previous license application under this subchapter may satisfy the requirements of paragraph (a) of this section.
(c) The FAA conducts a review, as described in subpart D of this part, to make a payload reentry determination. Either a reentry license applicant or a payload owner or operator may request a review of the proposed payload using the application procedures contained in part 413 of this subchapter. Upon receipt of an application, the FAA may conduct a payload reentry review independently of a reentry license application.
An applicant for a license to conduct a reentry with flight crew or a space flight participant on board the vehicle must demonstrate compliance with §§ 460.5, 460.7, 460.11, 460.13, 460.15, 460.17, 460.51 and 460.53 of this subchapter.
(a) The FAA issues a reentry license to an applicant who has obtained all approvals and determinations required under this chapter for a reentry license.
(b) A reentry license authorizes a licensee to reenter a reentry vehicle and payload, if any, in accordance with the representations contained in the reentry licensee's application, subject to the licensee's compliance with terms and conditions contained in license orders accompanying the reentry license, including financial responsibility requirements.
The FAA may amend a reentry license at any time by modifying or adding license terms and conditions to ensure compliance with 49 U.S.C. Subtitle IX, chapter 701, and applicable regulations.
(a) Only the FAA may transfer a reentry license.
(b) An applicant for transfer of a reentry license shall submit a reentry license application in accordance with part 413 of this subchapter and satisfy the applicable requirements of this part. The FAA will transfer a reentry license to an applicant who has obtained all of the approvals and determinations required under this chapter for a reentry license. In conducting its reviews and issuing approvals and determinations, the FAA may incorporate any findings made part of the record to support the initial licensing determination. The FAA may modify a reentry license to reflect any changes necessary as a result of a reentry license transfer.
Issuance of a reentry license does not relieve a licensee of its obligation to comply with requirements of law that may apply to its activities.
The FAA issues a policy approval to a reentry license applicant upon completion of a favorable policy review. A policy approval is part of the licensing record on which the licensing determination is based.
Unless otherwise indicated in this subpart, regulations applicable to policy review and approval of the reentry of an RLV contained in part 431, subpart B of this subchapter shall apply to the policy review conducted for a license to reenter a reentry vehicle under this part.
The FAA conducts a safety review to determine whether an applicant is capable of reentering a reentry vehicle and payload, if any, to a designated reentry site without jeopardizing public health and safety and the safety of property. A safety approval is part of the licensing record on which the licensing determination is based.
Unless otherwise stated in this subpart, regulations applicable to safety review and approval of the reentry of an RLV contained in part 431, subpart C of this subchapter shall apply to the safety review conducted for a license to reenter a reentry vehicle under this part.
To obtain safety approval for reentry, an applicant must demonstrate that risk for the proposed reentry, when assessed in combination with launch of the reentry vehicle, does not exceed acceptable risk for the conduct of an RLV mission as defined in paragraphs (a) and (b) of § 431.35 of this subchapter.
The FAA conducts a payload reentry review to examine the policy and safety issues related to the proposed reentry of a payload, except a U.S. Government payload, to determine whether the FAA will approve the reentry of the payload.
Unless otherwise indicated in this subpart, regulations contained in part 431, subpart D of this subchapter applicable to a payload reentry review and determination for reentering a payload using an RLV shall apply to the payload reentry review conducted for a license to reenter a reentry vehicle under this part.
Unless otherwise indicated in this subpart, post-licensing requirements contained in part 431 subpart E, of this subchapter applicable to a license to reenter an RLV shall apply to a license issued under this part.
Unless otherwise indicated in this subpart, environmental review requirements contained in part 431 subpart F, applicable to a license to reenter an RLV shall apply to an application for a reentry license under this part.
49 U.S.C. 70101-70102.
(a) This part prescribes requirements for obtaining an experimental permit. It also prescribes post-permitting requirements with which a permittee must comply to maintain its permit. Part 413 of this subchapter contains procedures for applying for an experimental permit.
(b) Subpart A contains general information about an experimental permit. Subpart B contains requirements to obtain an experimental permit. Subpart C contains the safety requirements with which a permittee must comply while conducting permitted activities. Subpart D contains terms and conditions of an experimental permit.
The FAA will issue an experimental permit to a person to launch or reenter a reusable suborbital rocket only for—
(a) Research and development to test new design concepts, new equipment, or new operating techniques;
(b) A showing of compliance with requirements for obtaining a license under this subchapter; or
(c) Crew training before obtaining a license for a launch or reentry using the design of the rocket for which the permit would be issued.
An experimental permit authorizes launch or reentry of a reusable suborbital rocket. The authorization includes pre- and post-flight ground operations as defined in this section.
(a) A pre-flight ground operation includes each operation that—
(1) Takes place at a U.S. launch site; and
(2) Meets the following criteria:
(i) Is closely proximate in time to flight,
(ii) Entails critical steps preparatory to initiating flight,
(iii) Is unique to space launch, and
(iv) Is inherently so hazardous as to warrant the FAA's regulatory oversight.
(b) A post-flight ground operation includes each operation necessary to return the reusable suborbital rocket to a safe condition after it lands or impacts.
The FAA issues an experimental permit authorizing an unlimited number of launches or reentries for a suborbital rocket design for the uses described in § 437.5.
An experimental permit lasts for one year from the date it is issued. A permittee may apply to renew a permit yearly under part 413 of this subchapter.
The FAA may modify an experimental permit at any time by modifying or adding permit terms and conditions to ensure compliance with 49 U.S.C. Subtitle IX, ch. 701.
An experimental permit is not transferable.
Issuance of an experimental permit does not relieve a permittee of its obligation to comply with any requirement of law that applies to its activities.
To obtain an experimental permit an applicant must make the demonstrations and provide the information required by this section.
(a)
(b)
(2)
(3)
(c)
(d)
(e)
(a) An applicant must provide—
(1) Dimensioned three-view drawings or photographs of the reusable suborbital rocket; and
(2) Gross liftoff weight and thrust profile of the reusable suborbital rocket.
(b) An applicant must describe—
(1) All reusable suborbital rocket systems, including any structural, flight control, thermal, pneumatic, hydraulic, propulsion, electrical, environmental control, software and computing systems, avionics, and guidance systems used in the reusable suborbital rocket;
(2) The types and quantities of all propellants used in the reusable suborbital rocket;
(3) The types and quantities of any hazardous materials used in the reusable suborbital rocket;
(4) The purpose for which a reusable suborbital rocket is to be flown; and
(5) Each payload or payload class planned to be flown.
(c) An applicant must identify any foreign ownership of the applicant as follows:
(1) For a sole proprietorship or partnership, identify all foreign ownership,
(2) For a corporation, identify any foreign ownership interests of 10% or more, and
(3) For a joint venture, association, or other entity, identify any participating foreign entities.
An applicant must—
(a) Describe any flight test program, including estimated number of flights and key flight-safety events.
(b) Identify and describe the geographic coordinates of the boundaries of one or more proposed operating areas where it plans to perform its flights and that satisfy § 437.57(b) of subpart C. The FAA may designate one or more exclusion areas in accordance with § 437.57(c) of subpart C.
(c) For each operating area, provide the planned maximum altitude of the reusable suborbital rocket.
An applicant must demonstrate how it will meet the requirements of § 437.53(a) and (b) to establish a safety clear zone and verify that the public is outside that zone before and during any hazardous operation.
(a) An applicant must perform a hazard analysis that complies with § 437.55(a).
(b) An applicant must provide to the FAA all the results of each step of the hazard analysis required by paragraph (a) of this section.
(a) An applicant must identify, describe, and provide verification evidence of the methods and systems used to meet the requirement of § 437.57(a) to contain its reusable suborbital rocket's instantaneous impact point within an operating area and outside any exclusion area. The description must include, at a minimum—
(1) Proof of physical limits on the ability of the reusable suborbital rocket to leave the operating area; or
(2) Abort procedures and other safety measures derived from a system safety engineering process.
(b) An applicant must identify, describe, and provide verification evidence of the methods and systems used to meet the requirements of § 437.59 to conduct any key flight-safety event so that the reusable suborbital rocket's instantaneous impact point, including its expected dispersions, is over unpopulated or sparsely populated areas, and to conduct each reusable suborbital rocket flight so that the reentry impact point does not loiter over a populated area.
An applicant must demonstrate that each location for nominal landing or any contingency abort landing of the reusable suborbital rocket, and each location for any nominal or contingency impact or landing of a component of that rocket, satisfies § 437.61.
An applicant must enter into the agreements required by § 437.63, and provide a copy to the FAA.
An applicant must identify and describe each method or system used to meet the tracking requirements of § 437.67.
An applicant must provide flight rules as required by § 437.71.
An applicant must provide a mishap response plan that meets the requirements of § 437.75(b).
A permittee must ensure that all vehicle safety operations personnel adhere to the work and rest standards in this section during permitted activities.
(a) No vehicle safety operations personnel may work more than:
(1) 12 consecutive hours,
(2) 60 hours in the 7 days preceding a permitted activity, or
(3) 14 consecutive work days.
(b) All vehicle safety operations personnel must have at least 8 hours of rest after 12 hours of work.
(c) All vehicle safety operations personnel must receive a minimum 48-hour rest period after 5 consecutive days of 12-hour shifts.
A permittee must protect the public from adverse effects of hazardous operations and systems in preparing a reusable suborbital rocket for flight at a launch site in the United States and returning the reusable suborbital rocket and any support equipment to a safe condition after flight. At a minimum, a permittee must—
(a) Establish a safety clear zone that will contain the adverse effects of each operation involving a hazard; and
(b) Verify that the public is outside of the safety clear zone before and during any hazardous operation.
(a) A permittee must identify and characterize each of the hazards and assess the risk to public health and safety and the safety of property resulting from each permitted flight. This hazard analysis must—
(1) Identify and describe hazards, including but not limited to each of those that result from—
(i) Component, subsystem, or system failures or faults;
(ii) Software errors;
(iii) Environmental conditions;
(iv) Human errors;
(v) Design inadequacies; or
(vi) Procedural deficiencies.
(2) Determine the likelihood of occurrence and consequence for each hazard before risk elimination or mitigation.
(3) Ensure that the likelihood and consequence of each hazard meet the following criteria through risk elimination and mitigation measures:
(i) The likelihood of any hazardous condition that may cause death or serious injury to the public must be extremely remote.
(ii) The likelihood of any hazardous condition that may cause major property damage to the public, major safety-critical system damage or reduced capability, a significant reduction in safety margins, or a significant increase in crew workload must be remote.
(4) Identify and describe the risk elimination and mitigation measures required to satisfy paragraph (a)(3) of this section. The measures must include one or more of the following:
(i) Designing for minimum risk,
(ii) Incorporating safety devices,
(iii) Providing warning devices, or
(iv) Implementing procedures and training.
(5) Demonstrate that the risk elimination and mitigation measures achieve the risk levels of paragraph (a)(3)(i) of this section through validation and verification. Verification includes:
(i) Test data,
(ii) Inspection results, or
(iii) Analysis.
(b) A permittee must carry out the risk elimination and mitigation measures derived from its hazard analysis.
(c) A permittee must ensure the continued accuracy and validity of its hazard analysis throughout the term of its permit.
(a) During each permitted flight, a permittee must contain its reusable suborbital rocket's instantaneous impact point within an operating area determined in accordance with paragraph (b) and outside any exclusion area defined by the FAA in accordance with paragraph (c) of this section.
(b) An operating area—
(1) Must be large enough to contain each planned trajectory and all expected vehicle dispersions;
(2) Must contain enough unpopulated or sparsely populated area to perform key flight-safety events as required by § 437.59;
(3) May not contain or be adjacent to a densely populated area or large concentrations of members of the public; and
(4) May not contain or be adjacent to significant automobile traffic, railway traffic, or waterborne vessel traffic.
(c) The FAA may prohibit a reusable suborbital rocket's instantaneous impact point from traversing certain areas within an operating area by designating one or more areas as exclusion areas, if necessary to protect public health and safety, safety of property, or foreign policy or national security interests of the United States. An exclusion area may be confined to a specific phase of flight.
(a) A permittee must conduct any key flight-safety event so that the reusable suborbital rocket's instantaneous impact point, including its expected dispersion, is over an unpopulated or sparsely populated area. At a minimum, a key flight-safety event includes:
(1) Ignition of any primary rocket engine,
(2) Any staging event, or
(3) Any envelope expansion.
(b) A permittee must conduct each reusable suborbital rocket flight so that the reentry impact point does not loiter over a populated area.
For a nominal or any contingency abort landing of a reusable suborbital rocket, or for any nominal or contingency impact or landing of a component of that rocket, a permittee must use a location that—
(a) Is big enough to contain an impact, including debris dispersion upon impact; and
(b) At the time of landing or impact, does not contain any members of the public.
A permittee must comply with the agreements required by this section.
(a) A permittee must have an agreement in writing with a Federal launch range operator, a licensed launch site operator, or any other party that provides access to or use of property and
(b) Unless otherwise addressed in agreements with a licensed launch site operator or a Federal launch range, a permittee must have an agreement in writing with the following:
(1) For overflight of navigable water, a written agreement between the applicant and the local United States Coast Guard district to establish procedures for issuing a Notice to Mariners before a permitted flight, and
(2) A written agreement between the applicant and responsible Air Traffic Control authority having jurisdiction over the airspace through which a permitted launch or reentry is to take place, for measures necessary to ensure the safety of aircraft. The agreement must, at a minimum, demonstrate satisfaction of §§ 437.69(a) and 437.71(d).
(a) For a permitted flight with a planned maximum altitude greater than 150 kilometers, a permittee must obtain a collision avoidance analysis from United States Strategic Command.
(b) The collision avoidance analysis must establish each period during which a permittee may not initiate flight to ensure that a permitted vehicle and any jettisoned components do not pass closer than 200 kilometers to a manned or mannable orbital object. A distance of less than 200 kilometers may be used if the distance provides an equivalent level of safety, and if the distance accounts for all uncertainties in the analysis.
A permittee must—
(a) During permitted flight, measure in real time the position and velocity of its reusable suborbital rocket; and
(b) Provide position and velocity data to the FAA for post-flight use.
(a) A permittee must be in communication with Air Traffic Control during all phases of flight.
(b) A permittee must record communications affecting the safety of the flight.
(a) Before initiating rocket-powered flight, a permittee must confirm that all systems and operations necessary to ensure that safety measures derived from §§ 437.55, 437.57, 437.59, 437.61, 437.63, 437.65, 437.67, and 437.69 are within acceptable limits.
(b) During all phases of flight, a permittee must—
(1) Follow flight rules that ensure compliance with §§ 437.55, 437.57, 437.59, and 437.61; and
(2) Abort the flight if it would endanger the public.
(c) A permittee may not operate a reusable suborbital rocket in a careless or reckless manner that would endanger any member of the public during any phase of flight.
(d) A permittee may not operate a reusable suborbital rocket in areas designated in a Notice to Airmen under § 91.137, § 91.138, § 91.141, or § 91.145 of this title, unless authorized by:
(1) Air Traffic Control; or
(2) A Flight Standards Certificate of Waiver or Authorization.
(e) For any phase of flight where a permittee operates a reusable suborbital rocket like an aircraft in the National Airspace System, a permittee must comply with the provisions of part 91 of this title specified in an experimental permit issued under this part.
(a) A permittee must record each anomaly that affects a safety-critical system, subsystem, process, facility, or support equipment.
(b) A permittee must identify all root causes of each anomaly, and implement all corrective actions for each anomaly.
(c) A permittee must report to the FAA any anomaly of any system that is necessary for complying with §§ 437.55(a)(3), 437.57, and 437.59, and must report the corrective action for each reported anomaly.
(d) A permittee must implement each corrective action before the next flight.
A permittee must report, respond to, and investigate mishaps that occur during permitted activities, in accordance with this section.
(a)
(1) Immediately notify the FAA Washington Operations Center if there is a launch or reentry accident or incident or a mishap that involves a fatality or serious injury, as defined in 49 CFR 830.2;
(2) Notify within 24 hours the FAA's Office of Commercial Space Transportation if there is a mishap that does not involve a fatality or serious injury, as defined in 49 CFR 830.2; and
(3) Submit within 5 days of the event a written preliminary report to the FAA's Office of Commercial Space Transportation if there is a launch or reentry accident or incident during a permitted flight. The report must identify the event as a launch or reentry accident or incident, and must include:
(i) The date and time of occurrence,
(ii) A description of the event and sequence of events leading to the launch or reentry accident, or launch or reentry incident, to the extent known,
(iii) The intended and actual location of launch or reentry, including landing or impact on Earth,
(iv) A description of any payload,
(v) The number and general description of any fatalities and injuries,
(vi) Property damage, if any, and an estimate of its value,
(vii) A description of any hazardous materials involved in the event, whether on the reusable suborbital rocket or on the ground,
(viii) Action taken by any person to contain the consequences of the event, and
(ix) Weather conditions at the time of the event.
(b)
(1) Immediately—
(i) Ensure the consequences of a mishap are contained and minimized; and
(ii) Ensure data and physical evidence are preserved.
(2) Report to and cooperate with FAA and National Transportation Safety Board (NTSB) investigations and designate one or more points of contact for the FAA or NTSB; and
(3) Identify and adopt preventive measures for avoiding a recurrence of the event.
(c)
(1) Investigate the root cause of an event described in paragraph (a) of this section;
(2) Report investigation results to the FAA upon completion; and
(3) Identify responsibilities, including reporting responsibilities, for personnel assigned to conduct investigations and for any unrelated persons that the permittee retains to conduct or participate in investigations.
The FAA may impose additional safety requirements on an applicant or permittee proposing an activity with a hazard not otherwise addressed in this part. This may include a toxic hazard or the use of solid propellants. The FAA may also require the permittee to conduct additional analyses of the cause of any anomaly and corrective actions.
A permittee must ensure that a launch or reentry conducted under an experimental permit is safe, and must protect public health and safety and the safety of property.
A permittee must conduct any launch or reentry under an experimental permit in accordance with representations made in its permit application, with subparts C and D of this part, and with terms and conditions contained in the permit.
(a) The FAA will identify in the experimental permit the type of changes that the permittee may make to the
(b) Except for design changes made under paragraph (a) of this section, a permittee must ask the FAA to modify the experimental permit if—
(1) It proposes to conduct permitted activities in a manner not authorized by the permit; or
(2) Any representation in its permit application that is material to public health and safety or the safety of property is no longer accurate or complete.
(c) A permittee must prepare an application to modify an experimental permit and submit it in accordance with part 413 of this subchapter. If requested during the application process, the FAA may approve an alternate method for requesting permit modifications. The permittee must indicate any part of its permit that would be changed or affected by a proposed modification.
(d) When a permittee proposes a modification, the FAA reviews the determinations made on the experimental permit to decide whether they remain valid.
(e) When the FAA approves a modification, it issues the permittee either a written approval or a permit order modifying the permit if a stated term or condition of the permit is changed, added, or deleted. An approval has the full force and effect of a permit order and is part of the permit record.
(a) Except as required by paragraph (b) of this section, a permittee must maintain for 3 years all records, data, and other material necessary to verify that a permittee conducted its launch or reentry in accordance with its permit.
(b) If there is a launch or reentry accident or incident, a permittee must preserve all records related to the event. A permittee must keep the records until after any Federal investigation and the FAA advises the permittee that it may dispose of them.
(c) A permittee must make all records that it must maintain under this section available to Federal officials for inspection and copying.
(a) Not later than 30 days before each flight or series of flights conducted under an experimental permit, a permittee must provide the FAA with the following information:
(1) Any payload to be flown, including any payload operations during the flight,
(2) When the flight or series of flights are planned,
(3) The operating area for each flight, and
(4) The planned maximum altitude for each flight.
(b) Not later than 15 days before each permitted flight planned to reach greater than 150 km altitude, a permittee must provide the FAA its planned trajectory for a collision avoidance analysis.
No permittee may carry any property or human being for compensation or hire on a reusable suborbital rocket.
A permittee must allow access by, and cooperate with, federal officers or employees or other individuals authorized by the FAA to observe any activities of the permittee, or of its contractors or subcontractors, associated with the conduct of permitted activities.
A permittee may launch or reenter additional reusable suborbital rockets of the same design under the permit after the FAA inspects each additional reusable suborbital rocket.
49 U.S.C. 70101-70119; 49 CFR 1.47.
This part establishes financial responsibility and allocation of risk requirements for any launch or reentry authorized by a license or permit issued under this subchapter.
Except as otherwise provided in this section, any term used in this part and defined in 49 U.S.C. 70101-70121, or in § 401.5 of this chapter shall have the meaning contained therein. For purposes of this part—
(1) Any person:
(i) Who procures launch or reentry services from a licensee or permittee;
(ii) With rights in the payload (or any part of the payload) to be launched or reentered by the licensee or permittee, including a conditional sale, lease, assignment, or transfer of rights;
(iii) Who has placed property on board the payload for launch, reentry, or payload services; or
(iv) To whom the customer has transferred its rights to the launch or reentry services.
(2) A space flight participant, for the purposes of this part, is not a customer.
(1) Losses to third parties, excluding Government personnel and other launch or reentry participants' employees involved in licensed or permitted activities, that are reasonably expected to result from a licensed or permitted activity are those that have a probability of occurrence of no less than one in ten million.
(2) Losses to Government property and Government personnel involved in licensed or permitted activities that are reasonably expected to result from licensed or permitted activities are those that have a probability of occurrence of no less than one in one hundred thousand.
(1) Any person other than:
(i) The United States, any of its agencies, and its contractors and subcontractors involved in launch or reentry services for a licensed or permitted activity;
(ii) A licensee, permittee, and its contractors and subcontractors involved in launch or reentry services for a licensed or permitted activity;
(iii) A customer and its contractors and subcontractors involved in launch or reentry services for a licensed or permitted activity;
(iv) A member of a crew; and
(v) A space flight participant.
(2) Government personnel, as defined in this section, are third parties.
(a) No person may commence or conduct any launch or reentry activity that requires a license or permit unless that person has demonstrated compliance with the requirements of this part.
(b) The FAA will prescribe the amount of financial responsibility a licensee or permittee must obtain and any adjustments of the amount in a license or permit order issued concurrent with or subsequent to the issuance of a license or a permit.
(c) Demonstration of financial responsibility under this part shall not relieve a licensee of ultimate responsibility for liability, loss, or damage sustained by the United States resulting from a licensed activity, except to the extent that:
(1) Liability, loss, or damage sustained by the United States results from willful misconduct of the United States or its agents;
(2) Any covered claim of a third party for bodily injury or property damage arising out of any particular licensed activity exceeds the amount of financial responsibility required under § 440.9(c) of this part and does not exceed $1,500,000,000 (as adjusted for inflation) above such amount, and are payable pursuant to 49 U.S.C. 70113 and § 440.19 of this part. A claim of an employee of any entity listed in paragraphs (1)(ii) through (1)(iii) in the
(3) A covered claim for property loss or damage exceeds the amount of financial responsibility required under § 440.9(e) of this part and does not result from willful misconduct of the licensee; or
(4) The licensee has no liability for covered claims by third parties for bodily injury or property damage arising out of any particular launch or reentry that exceeds $1,500,000,000 (as adjusted for inflation) above the amount of financial responsibility required under § 440.9(c).
(d) Demonstration of financial responsibility under this part does not relieve a permittee of ultimate responsibility for liability, loss, or damage
(1) Liability, loss, or damage sustained by the United States results from willful misconduct of the United States or its agents; or
(2) A covered claim for property loss or damage to the United States exceeds the amount of financial responsibility required under § 440.9(e) and does not result from willful misconduct of the permittee.
(e) A licensee's or permittee's failure to comply with any requirement of this part may result in suspension or revocation of a license or permit, and subject the licensee or permittee to civil penalties as provided in part 405 of this chapter.
(a) The FAA will determine the maximum probable loss (MPL) from covered claims by a third party for bodily injury or property damage, and the United States, its agencies, and its contractors and subcontractors for covered property damage or loss, resulting from a permitted or licensed activity. The maximum probable loss determination forms the basis for financial responsibility requirements issued in a license or permit order.
(b) The FAA issues its determination of maximum probable loss no later than ninety days after a licensee or permittee has requested a determination and submitted all information required by the FAA to make the determination. The FAA will consult with Federal agencies that are involved in, or whose personnel or property are exposed to risk of damage or loss as a result of, a licensed or permitted activity before issuing a license or permit order prescribing financial responsibility requirements, and shall notify the licensee, or permittee, if interagency consultation may delay issuance of the MPL determination.
(c) Appendix A of this part contains information requirements for obtaining a maximum probable loss determination. Any person requesting a determination of maximum probable loss must submit the information required by Appendix A, unless the FAA has waived a requirement. In lieu of submitting required information, a person requesting a maximum probable loss determination may designate and certify certain information previously submitted for a prior determination as complete, valid, and equally applicable to its current request. The requester is responsible for the continuing accuracy and completeness of information submitted under this part and must promptly report any changes in writing.
(d) The FAA will amend a determination of maximum probable loss required under this section at any time prior to completion of licensed or permitted activities as warranted by supplementary information provided to or obtained by the FAA after the MPL determination is issued. Any change in financial responsibility requirements as a result of an amended MPL determination shall be set forth in a license or permit order.
(e) The FAA may make a determination of maximum probable loss at any time other than as set forth in paragraph (b) of this section upon request by any person.
(a) As a condition of each license or permit, a licensee or permittee must comply with all insurance requirements of this section and of a license or permit issued by the FAA, or otherwise demonstrate the required amount of financial responsibility.
(b) A licensee or permittee must obtain and maintain in effect a policy or policies of liability insurance, in an amount determined by the FAA under paragraph (c) of this section, that protects the following persons as additional insureds to the extent of their respective potential liabilities against covered claims by a third party for bodily injury or property damage resulting from a licensed or permitted activity:
(1) The licensee or permittee, its customer, and their respective contractors and subcontractors, and the employees of each, involved in a licensed or permitted activity;
(2) The United States, its agencies, and its contractors and subcontractors
(3) Government personnel.
(c) The FAA will prescribe for each licensee or permittee the amount of insurance required to compensate the total of covered third-party claims for bodily injury or property damage resulting from a licensed or permitted activity in connection with any particular launch or reentry. A covered third-party claim includes a claim by the United States, its agencies, and its contractors and subcontractors for damage or loss to property other than property for which insurance is required under paragraph (d) of this section. The amount of insurance required is based upon the FAA's determination of maximum probable loss; however, it will not exceed the lesser of:
(1) $500 million; or
(2) The maximum liability insurance available on the world market at a reasonable cost, as determined by the FAA.
(d) The licensee or permittee must obtain and maintain in effect a policy or policies of insurance, in an amount determined by the FAA under paragraph (e) of this section, that covers claims by the United States, its agencies, and its contractors and subcontractors involved in a licensed or permitted activity for property damage or loss resulting from a licensed or permitted activity. Property covered by this insurance must include all property owned, leased, or occupied by, or within the care, custody, or control of, the United States and its agencies, and its contractors and subcontractors involved in a licensed or permitted activity, at a Federal range facility. Insurance must protect the United States and its agencies, and its contractors and subcontractors involved in a licensed or permitted activity.
(e) The FAA will prescribe for each licensee or permittee the amount of insurance required to compensate claims for property damage under paragraph (d) of this section resulting from a licensed or permitted activity in connection with any particular launch or reentry. The amount of insurance is based upon a determination of maximum probable loss; however, it will not exceed the lesser of:
(1) $100 million; or
(2) The maximum available on the world market at a reasonable cost, as determined by the FAA.
(f) In lieu of a policy of insurance, a licensee or permittee may demonstrate financial responsibility in another manner meeting the terms and conditions for insurance of this part. The licensee or permittee must describe in detail the method proposed for demonstrating financial responsibility and how it ensures that the licensee or permittee is able to cover claims as required under this part.
(a) Insurance coverage required under § 440.9, or other form of financial responsibility, shall attach when a licensed launch or permitted activity starts, and remain in full force and effect as follows:
(1) Until completion of licensed launch or permitted activities at a launch or reentry site; and
(2) For orbital launch, until the later of—
(i) Thirty days following payload separation, or attempted payload separation in the event of a payload separation anomaly; or
(ii) Thirty days from ignition of the launch vehicle.
(3) For a suborbital launch, until the later of—
(i) Motor impact and payload recovery; or
(ii) The FAA's determination that risk to third parties and Government property as a result of licensed launch or permitted activities is sufficiently small that financial responsibility is no longer necessary. That determination is made through the risk analysis conducted before the launch to determine MPL and specified in a license or permit order.
(b) Financial responsibility required under this part may not be replaced, canceled, changed, withdrawn, or in any way modified to reduce the limits of liability or the extent of coverage, nor expire by its own terms, prior to the time specified in a license or permit order, unless the FAA is notified at
(a) For reentry, insurance coverage required under § 440.9, or other form of financial responsibility, shall attach upon commencement of licensed reentry, and remain in full force and effect as follows:
(1) For ground operations, until completion of licensed reentry at the reentry site; and
(2) For other licensed reentry activities, 30 days from initiation of reentry flight; however, in the event of an abort that results in the reentry vehicle remaining on orbit, insurance shall remain in place until the FAA's determination that risk to third parties and Government property as a result of licensed reentry is sufficiently small that financial responsibility is no longer necessary, as determined by the FAA through the risk analysis conducted to determine MPL and specified in a license order.
(b) Financial responsibility required under this part may not be replaced, canceled, changed, withdrawn, or in any way modified to reduce the limits of liability or the extent of coverage, nor expire by its own terms, prior to the time specified in a license order, unless the FAA is notified at least 30 days in advance and expressly approves the modification.
(a) Insurance obtained under § 440.9 must comply with each of the following terms and conditions of coverage:
(1) Bankruptcy or insolvency of an insured, including any additional insured, shall not relieve an insurer of any of its obligations under any policy.
(2) Policy limits shall apply separately to each occurrence and, for each occurrence to the total of claims arising out of a licensed or permitted activity in connection with any particular launch or reentry.
(3) Except as provided in this section, each policy must pay claims from the first dollar of loss, without regard to any deductible, to the limits of the policy. A licensee or permittee may obtain a policy containing a deductible amount if the amount of the deductible is placed in an escrow account or otherwise demonstrated to be unobligated, unencumbered funds of the licensee or permittee, available to compensate claims at any time claims may arise.
(4) No policy may be invalidated by any action or inaction of the licensee or permittee or any additional insured, even by nonpayment by the licensee or permittee of the policy premium, and each policy must insure the licensee or permittee and each additional insured regardless of any breach or violation of any warranties, declarations, or conditions contained in the policies by the licensee or permittee or any additional insured (other than a breach or violation by the licensee, permittee or an additional insured, and then only as against that licensee, permittee or additional insured).
(5) Each exclusion from coverage must be specified.
(6) Insurance shall be primary without right of contribution from any other insurance that is carried by the licensee or permittee or any additional insured.
(7) Each policy must expressly provide that all of its provisions, except the policy limits, operate in the same manner as if there were a separate policy with and covering the licensee or permittee and each additional insured.
(8) Each policy must be placed with an insurer of recognized reputation and responsibility that either:
(i) Is licensed to do business in any State, territory, possession of the United States, or the District of Columbia; or
(ii) Includes in each of its policies or insurance obtained under this part a contract clause in which the insurer agrees to submit to the jurisdiction of a court of competent jurisdiction within the United States and designates an authorized agent within the United States for service of legal process on the insurer.
(9) Except as to claims resulting from the willful misconduct of the United States or any of its agents, the insurer shall waive any and all rights of subrogation against each of the parties protected by required insurance.
(b) [Reserved]
(a) A licensee or permittee must submit to the FAA evidence of financial responsibility and compliance with allocation of risk requirements under this part, as follows, unless a license or permit order specifies otherwise due to the proximity of the intended date for commencement of licensed or permitted activities:
(1) All reciprocal waiver of claims agreements required under § 440.17(c) must be submitted at least 30 days before the start of any licensed or permitted activity involving a customer, crew member, or space flight participant;
(2) Evidence of insurance must be submitted at least 30 days before commencement of any licensed launch or permitted activity, and for licensed reentry no less than 30 days before commencement of launch activities involving the reentry licensee;
(3) Evidence of financial responsibility in a form other than insurance, as provided under § 440.9(f), must be submitted at least 60 days before commencement of a licensed or permitted activity; and
(4) Evidence of renewal of insurance or other form of financial responsibility must be submitted at least 30 days in advance of its expiration date.
(b) Upon a complete demonstration of compliance with financial responsibility and allocation of risk requirements under this part, the requirements of this part shall preempt each and any provision in any agreement between the licensee or permittee and an agency of the United States governing access to or use of United States launch or reentry property or launch or reentry services for a licensed or permitted activity which addresses financial responsibility, allocation of risk and related matters covered by 49 U.S.C. 70112, 70113.
(c) A licensee or permittee must demonstrate compliance as follows:
(1) The licensee or permittee must provide proof of the existence of the insurance required by § 440.9 by:
(i) Certifying to the FAA that it has obtained insurance in compliance with the requirements of this part and any applicable license or permit order;
(ii) Filing with the FAA one or more certificates of insurance evidencing insurance coverage by one or more insurers under a currently effective and properly endorsed policy or policies of insurance, applicable to a licensed or permitted activity, on terms and conditions and in amounts prescribed under this part, and specifying policy exclusions;
(iii) In the event of any policy exclusions or limitations of coverage that may be considered usual under § 440.19(c), or for purposes of implementing the Government's waiver of claims for property damage under 49 U.S.C. 70112(b)(2), certifying that insurance covering the excluded risks is not commercially available at reasonable cost; and
(iv) Submitting to the FAA, for signature by the Department on behalf of the United States Government, the waiver of claims and assumption of responsibility agreement required by § 440.17(c), executed by the licensee or permittee and its customer.
(v) Submitting to the FAA, for signature by the Department on behalf of the United States Government, an agreement to waive claims and assume responsibility required by § 440.17(e), executed by each space flight participant.
(vi) Submitting to the FAA, for signature by the Department on behalf of the United States Government, an agreement to waive claims and assume responsibility required by § 440.17(f), executed by each member of the crew.
(2) Any certification required by this section must be signed by a duly authorized officer of the licensee or permittee.
(d) Each certificate of insurance required by paragraph (c)(1)(ii) of this section must be signed by the insurer issuing the policy and accompanied by an opinion of the insurance broker that the insurance obtained by the licensee or permittee complies with all the requirements for insurance of this part and any applicable license or permit order.
(e) The licensee or permittee must maintain, and make available for inspection by the FAA upon request, all required policies of insurance and other
(f) In the event the licensee or permittee demonstrates financial responsibility using means other than insurance, as provided under § 440.9(f), the licensee or permittee must provide proof that it has met the requirements of this part and of a FAA issued license or permit order.
(a) As a condition of each license or permit, the licensee or permittee must comply with the reciprocal waiver of claims requirements of this section.
(b) The licensee or permittee shall implement a reciprocal waiver of claims with each of its contractors and subcontractors, each customer and each of the customer's contractors and subcontractors, under which each party waives and releases claims against all the other parties to the waiver and agrees to assume financial responsibility for property damage it sustains and for bodily injury or property damage sustained by its own employees, and to hold harmless and indemnify each other from bodily injury or property damage sustained by its employees, resulting from a licensed or permitted activity, regardless of fault.
(c) For each licensed or permitted activity in which the U.S. Government, any agency, or its contractors and subcontractors is involved or where property insurance is required under § 440.9(d), the Federal Aviation Administration of the Department of Transportation, the licensee or permittee, and its customer shall enter into a three-party reciprocal waiver of claims agreement. The three-party reciprocal waiver of claims shall be in the form set forth in Appendix B of this part, for licensed activity, or Appendix C of this part, for permitted activity, of this part or in a form that satisfies the requirements.
(d) The licensee or permittee, its customer, and the Federal Aviation Administration of the Department of Transportation on behalf of the United States and its agencies but only to the extent provided in legislation, must agree in any waiver of claims agreement required under this part to indemnify another party to the agreement from claims by the indemnifying party's contractors and subcontractors arising out of the indemnifying party's failure to implement properly the waiver requirement.
(e) For each licensed or permitted activity in which the U.S. Government, any of its agencies, or its contractors and subcontractors are involved, the Federal Aviation Administration of the Department of Transportation and each space flight participant shall enter into or have in place a reciprocal waiver of claims agreement in the form of the agreement in Appendix E of this part or that satisfies its requirements.
(f) For each licensed or permitted activity in which the U.S. Government, any of its agencies, or its contractors and subcontractors is involved, the Federal Aviation Administration of the Department of Transportation and each crew member shall enter into or have in place a reciprocal waiver of claims agreement in the form of the agreement in Appendix D of this part or that satisfies its requirements.
(a) The United States pays successful covered claims (including reasonable expenses of litigation or settlement) of a third party against a licensee, a customer, and the contractors and subcontractors of the licensee and the customer, and the employees of each involved in licensed activities, and the contractors and subcontractors of the United States and its agencies, and their employees, involved in licensed activities to the extent provided in an appropriation law or other legislative authority providing for payment of claims in accordance with 49 U.S.C. 70113, and to the extent the total amount of such covered claims arising out of any particular launch or reentry:
(1) Exceeds the amount of insurance required under § 440.9(b); and
(2) Is not more than $1,500,000,000 (as adjusted for inflation occurring after January 1, 1989) above that amount.
(b) Payment by the United States under paragraph (a) of this section shall not be made for any part of such
(c) The United States shall provide for payment of claims by third parties for bodily injury or property damage that are payable under 49 U.S.C. 70113 and not covered by required insurance under § 440.9(b), without regard to the limitation under paragraph (a)(1) of this section, because of an insurance policy exclusion that is usual. A policy exclusion is considered usual only if insurance covering the excluded risk is not commercially available at reasonable rates. The licensee must submit a certification in accordance with § 440.15(c)(1)(iii) of this part for the United States to cover the claims.
(d) Upon the expiration of the policy period prescribed in accordance with § 440.11(a), the United States shall provide for payment of claims that are payable under 49 U.S.C. 70113 from the first dollar of loss up to $1,500,000,000 (as adjusted for inflation occurring after January 1, 1989).
(e) Payment by the United States of excess third-party claims under 49 U.S.C. 70113 shall be subject to:
(1) Prompt notice by the licensee to the FAA that the total amount of claims arising out of licensed activities exceeds, or is likely to exceed, the required amount of financial responsibility. For each claim, the notice must specify the nature, cause, and amount of the claim or lawsuit associated with the claim, and the party or parties who may otherwise be liable for payment of the claim;
(2) Participation or assistance in the defense of the claim or lawsuit by the United States, at its election;
(3) Approval by the FAA of any settlement, or part of a settlement, to be paid by the United States; and
(4) Approval by Congress of a compensation plan prepared by the FAA and submitted by the President.
(f) The FAA will:
(1) Prepare a compensation plan outlining the total amount of claims and meeting the requirements set forth in 49 U.S.C. 70113;
(2) Recommend sources of funds to pay the claims; and
(3) Propose legislation as required to implement the plan.
(g) The FAA may withhold payment of a claim if it finds that the amount is unreasonable, unless it is the final order of a court that has jurisdiction over the matter.
Any person requesting a maximum probable loss determination shall submit the following information to the FAA, unless the FAA has waived a particular information requirement under 14 CFR 440.7(c):
A. Mission description.
1. A description of mission parameters, including:
a. Launch trajectory;
b. Orbital inclination; and
c. Orbit altitudes (apogee and perigee).
2. Flight sequence.
3. Staging events and the time for each event.
4. Impact locations.
5. Identification of the launch site facility, including the launch complex on the site, planned date of launch, and launch windows.
6. If the applicant has previously been issued a license or permit to conduct activities using the same vehicle from the same launch site, a description of any differences planned in the conduct of proposed activities.
B. Launch vehicle description.
1. General description of the launch vehicle and its stages, including dimensions.
2. Description of major systems, including safety systems.
3. Description of rocket motors and type of fuel used.
4. Identification of all propellants to be used and their hazard classification under the Hazardous Materials Table, 49 CFR 172.101.
5. Description of hazardous components.
C. Payload.
1. General description of the payload, including type (e.g., telecommunications, remote sensing), propellants, and hazardous components or materials, such as toxic or radioactive substances.
D. Flight safety system.
1. Identification of any flight safety system on the vehicle, including a description of operations and component location on the vehicle.
A. General description of pre-flight operations including vehicle processing consisting of an operational flow diagram showing the overall sequence and location of operations, commencing with arrival of vehicle components at the launch site facility through final safety checks and countdown sequence, and designation of hazardous operations, as defined in 14 CFR 440.3. For purposes of these information requirements, payload processing, as opposed to integration, is not a hazardous operation.
B. For each hazardous operation, including but not limited to fueling, solid rocket motor build-up, ordnance installation, ordnance checkout, movement of hazardous materials, and payload integration:
1. Identification of location where each operation will be performed, including each building or facility identified by name or number.
2. Identification of facilities adjacent to the location where each operation will be performed and therefore exposed to risk, identified by name or number.
3. Maximum number of Government personnel and individuals not involved in licensed activities who may be exposed to risk during each operation. For Government personnel, identification of his or her employer.
4. Identification of launch site policies or requirements applicable to the conduct of operations.
A. Identification of launch site facilities exposed to risk during licensed flight.
B. Identification of accident failure scenarios, probability assessments for each, and estimation of risks to Government personnel, individuals not involved in licensed activities, and Government property, due to property damage or bodily injury. The estimation of risks for each scenario shall take into account the number of such individuals at risk as a result of lift-off and flight of a launch vehicle (on-range, off-range, and down-range) and specific, unique facilities exposed to risk. Scenarios shall cover the range of launch trajectories, inclinations and orbits for which authorization is sought in the license application.
C. On-orbit risk analysis assessing risks posed by a launch vehicle to operational satellites.
D. Reentry risk analysis assessing risks to Government personnel and individuals not involved in licensed activities as a result of reentering debris or reentry of the launch vehicle or its components.
E. Trajectory data as follows: Nominal and 3-sigma lateral trajectory data in x, y, z and x (dot), y (dot), z (dot) coordinates in one-second intervals, data to be pad-centered with x being along the initial launch azimuth and continuing through impact for suborbital flights, and continuing through orbital insertion or the end of powered flight for orbital flights.
F. Tumble-turn data for guided vehicles only, as follows: For vehicles with gimbaled nozzles, tumble turn data with zeta angles and velocity magnitudes stated. A separate table is required for each combination of fail times (every two to four seconds), and significant nozzle angles (two or more small angles, generally between one and five degrees).
G. Identification of debris lethal areas and the projected number and ballistic coefficient of fragments expected to result from flight termination, initiated either by command or self-destruct mechanism, for lift-off, land overflight, and reentry.
A. General description of post-flight ground operations including overall sequence and location of operations for removal of vehicle components and processing equipment from the launch site facility and for handling of hazardous materials, and designation of hazardous operations.
B. Identification of all facilities used in conducting post-flight processing operations.
C. For each hazardous operation:
1. Identification of location where each operation is performed, including each building or facility identified by name or number.
2. Identification of facilities adjacent to location where each operation is performed and exposed to risk, identified by name or number.
3. Maximum number of Government personnel and individuals not involved in licensed launch activities that may be exposed to risk during each operation. For Government personnel, identification of his or her employer.
4. Identification of launch site facility policies or requirements applicable to the conduct of operations.
A. Reentry mission description.
1. A description of mission parameters, including:
a. Orbital inclination; and
b. Orbit altitudes (apogee and perigee).
c. Reentry trajectories.
2. Reentry flight sequences.
3. Reentry initiation events and the time for each event.
4. Nominal landing location, alternative landing sites and contingency abort sites.
5. Identification of landing facilities, (planned date of reentry), and reentry windows.
6. If the applicant has previously been issued a license or permit to conduct reentry activities using the same reentry vehicle to the same reentry site facility, a description of any differences planned in the conduct of proposed activities.
B. Reentry vehicle description.
1. General description of the reentry vehicle, including dimensions.
2. Description of major systems, including safety systems.
3. Description of propulsion system (reentry initiation system) and type of fuel used.
4. Identification of all propellants to be used and their hazard classification under the Hazardous Materials Table, 49 CFR 172.101.
5. Description of hazardous components.
C. Payload.
1. General description of any payload, including type (e.g., telecommunications, remote sensing), propellants, and hazardous components or materials, such as toxic or radioactive substances.
D. Flight Safety System.
1. Identification of any flight safety system on the reentry vehicle, including a description of operations and component location on the vehicle.
A. Identification of reentry site facilities exposed to risk during vehicle reentry and landing.
B. Identification of accident failure scenarios, probability assessments for each, and estimation of risks to Government personnel, individuals not involved in licensed reentry, and Government property, due to property damage or bodily injury. The estimation of risks for each scenario shall take into account the number of such individuals at risk as a result of reentry (flight) and landing of a reentry vehicle (on-range, off-range, and down-range) and specific, unique facilities exposed to risk. Scenarios shall cover the range of reentry trajectories for which authorization is sought.
C. On-orbit risk analysis assessing risks posed by a reentry vehicle to operational satellites during reentry.
D. Reentry risk analysis assessing risks to Government personnel and individuals not involved in licensed activities as a result of inadvertent or random reentry of the launch vehicle or its components.
E. Nominal and 3-sigma dispersed trajectories in one-second intervals, from reentry initiation through landing or impact. (Coordinate system will be specified on a case-by-case basis)
F. Three-sigma landing or impact dispersion area in downrange (±) and crossrange
(±) measured from the nominal and contingency landing or impact target. The applicant is responsible for including all significant landing or impact dispersion constituents in the computations of landing or impact dispersion areas. The dispersion constituents should include, but not be limited to: Variation in orbital position and velocity at the reentry initiation time; variation in re-entry initiation time offsets, either early or late; variation in the bodies' ballistic coefficient; position and velocity variation due to winds; and variations in re-entry retro-maneuvers.
G. Malfunction turn data (tumble, trim) for guided (controllable) vehicles. The malfunction turn data shall include the total angle turned by the velocity vector versus turn duration time at one second intervals; the magnitude of the velocity vector versus turn duration time at one second intervals; and an indication on the data where the re-entry body will impact the Earth, or breakup due to aerodynamic loads. A malfunction turn data set is required for each malfunction time. Malfunction turn start times shall not exceed four-second intervals along the trajectory.
H. Identification of debris casualty areas and the projected number and ballistic coefficient of fragments expected to result from each failure mode during reentry, including random reentry.
A. General description of post-flight ground operations including overall sequence and location of operations for removal of vehicle and components and processing equipment from the reentry site facility and for handling of hazardous materials, and designation of hazardous operations.
B. Identification of all facilities used in conducting post-flight processing operations.
C. For each hazardous operation:
1. Identification of location where each operation is performed, including each building or facility identified by name or number.
2. Identification of facilities adjacent to location where each operation is performed and exposed to risk, identified by name or number.
3. Maximum number of Government personnel and individuals not involved in licensed reentry activities who may be exposed to risk during each operation. For Government personnel, identification of his or her employer.
4. Identify and provide reentry site facility policies or requirements applicable to the conduct of operations.
In addition to the information required in part 437 subpart B, an applicant for an experimental permit must provide, for each permitted pre-flight and post-flight operation, the following information to the FAA:
A. Identification of location where each operation will be performed, including any U.S. Government or third party facilities identified by name or number.
B. Identification of any U.S. Government or third party facilities adjacent to the location where each operation will be performed and therefore exposed to risk, identified by name or number.
C. Maximum number of Government personnel and individuals not involved in permitted activities that may be exposed to risk during each operation. For Government personnel, identification of his or her employer.
THIS AGREEMENT is entered into this __ day of ____, by and among [Licensee] (the “Licensee”), [Customer] (the “Customer”) and the Federal Aviation Administration of the Department of Transportation, on behalf of the United States Government (collectively, the “Parties”), to implement the provisions of section 440.17(c) of the Commercial Space Transportation Licensing Regulations, 14 CFR Ch. III (the “Regulations”). This agreement applies to the launch of [Payload] payload on a [Launch Vehicle] vehicle at [Location of Launch Site]. In consideration of the mutual releases and promises contained herein, the Parties hereby agree as follows:
Except as otherwise defined herein, terms used in this Agreement and defined in 49 U.S.C. Subtitle IX, ch. 701—Commercial Space Launch Activities, or in the Regulations, shall have the same meaning as contained in 49 U.S.C. Subtitle IX, ch. 701, or the Regulations, respectively.
(a) Licensee hereby waives and releases claims it may have against Customer and the United States, and against their respective Contractors and Subcontractors, for Property Damage it sustains and for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault.
(b) Customer hereby waives and releases claims it may have against Licensee and the United States, and against their respective Contractors and Subcontractors, for Property Damage it sustains and for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault.
(c) The United States hereby waives and releases claims it may have against Licensee and Customer, and against their respective Contractors and Subcontractors, for Property Damage it sustains, and for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault, to the extent that claims it would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under sections 440.9(c) and (e), respectively, of the Regulations.
(a) Licensee and Customer shall each be responsible for Property Damage it sustains and for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault. Licensee and Customer shall each hold harmless and indemnify each other, the United States, and the Contractors and Subcontractors of each Party, for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault.
(b) The United States shall be responsible for Property Damage it sustains, and for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault, to the extent that claims it would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under sections 440.9(c) and (e), respectively, of the Regulations.
(a) Licensee shall extend the requirements of the waiver and release of claims, and the assumption of responsibility, hold harmless, and indemnification, as set forth in paragraphs 2(a) and 3(a), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they
(b) Customer shall extend the requirements of the waiver and release of claims, and the assumption of responsibility, hold harmless, and indemnification, as set forth in paragraphs 2(b) and 3(a), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Licensee and the United States, and against the respective Contractors and Subcontractors of each, and to agree to be responsible, for Property Damage they sustain and to be responsible, hold harmless and indemnify Licensee and the United States, and the respective Contractors and Subcontractors of each, for Bodily Injury or Property Damage sustained by their own employees, resulting from Licensed Activities, regardless of fault.
(c) The United States shall extend the requirements of the waiver and release of claims, and the assumption of responsibility as set forth in paragraphs 2(c) and 3(b), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Licensee and Customer, and against the respective Contractors and Subcontractors of each, and to agree to be responsible, for any Property Damage they sustain and for any Bodily Injury or Property Damage sustained by their own employees, resulting from Licensed Activities, regardless of fault, to the extent that claims they would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under sections 440.9(c) and (e), respectively, of the Regulations.
(a) Licensee shall hold harmless and indemnify Customer and its directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them, and the United States and its agencies, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims that Licensee's Contractors and Subcontractors may have for Property Damage sustained by them and for Bodily Injury or Property Damage sustained by their employees, resulting from Licensed Activities.
(b) Customer shall hold harmless and indemnify Licensee and its directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them, and the United States and its agencies, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims that Customer's Contractors and Subcontractors, or any person on whose behalf Customer enters into this Agreement, may have for Property Damage sustained by them and for Bodily Injury or Property Damage sustained by their employees, resulting from Licensed Activities.
(c) To the extent provided in advance in an appropriations law or to the extent there is enacted additional legislative authority providing for the payment of claims, the United States shall hold harmless and indemnify Licensee and Customer and their respective directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims that Contractors and Subcontractors of the United States may have for Property Damage sustained by them, and for Bodily Injury or Property Damage sustained by their employees, resulting from Licensed Activities, to the extent that claims they would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under sections 440.9(c) and (e), respectively, of the Regulations.
Notwithstanding any provision of this Agreement to the contrary, Licensee shall hold harmless and indemnify the United States and its agencies, servants, agents, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims for Bodily Injury or Property Damage, resulting from Licensed Activities, regardless of fault, except to the extent that: (i) As provided in section 7(b) of this Agreement, claims result from willful misconduct of the United States or its agents; (ii) claims for Property Damage sustained by the United States or its Contractors and Subcontractors exceed the amount of insurance or demonstration of financial responsibility required under section 440.9(e) of the Regulations; (iii) claims by a Third Party for Bodily Injury or Property Damage exceed the amount of insurance or demonstration of financial responsibility required under section 440.9(c) of the Regulations, and do not exceed $1,500,000,000 (as adjusted for inflation after January 1, 1989) above such amount, and are payable pursuant to the provisions of 49 U.S.C. 70113 and section 440.19 of the Regulations; or (iv) Licensee has no liability for claims exceeding $1,500,000,000 (as adjusted for inflation after
(a) Nothing contained herein shall be construed as a waiver or release by Licensee, Customer or the United States of any claim by an employee of the Licensee, Customer or the United States, respectively, including a member of the Armed Forces of the United States, for Bodily Injury or Property Damage, resulting from Licensed Activities.
(b) Notwithstanding any provision of this Agreement to the contrary, any waiver, release, assumption of responsibility or agreement to hold harmless and indemnify herein shall not apply to claims for Bodily Injury or Property Damage resulting from willful misconduct of any of the Parties, the Contractors and Subcontractors of any of the Parties, and in the case of Licensee and Customer and the Contractors and Subcontractors of each of them, the directors, officers, agents and employees of any of the foregoing, and in the case of the United States, its agents.
(c) In the event that more than one customer is involved in Licensed Activities, references herein to Customer shall apply to, and be deemed to include, each such customer severally and not jointly.
(d) This Agreement shall be governed by and construed in accordance with United States Federal law.
This Agreement is entered into this __ day of ____, by and among [Licensee] (the “Licensee”), [Customer] (the “Customer”), and the Federal Aviation Administration of the Department of Transportation, on behalf of the United States Government (collectively, the “Parties”), to implement the provisions of § 440.17(c) of the Commercial Space Transportation Licensing Regulations, 14 CFR Ch. III (the “Regulations”). This agreement applies to the reentry of the [Payload] payload on a [Reentry Vehicle] vehicle.
In consideration of the mutual releases and promises contained herein, the Parties hereby agree as follows:
Except as otherwise defined herein, terms used in this Agreement and defined in 49 U.S.C. Subtitle IX, ch. 701—Commercial Space Launch Activities, or in the Regulations, shall have the same meaning as contained in 49 U.S.C. Subtitle IX, ch. 701, or the Regulations, respectively.
(a) Licensee hereby waives and releases claims it may have against Customer and the United States, and against their respective Contractors and Subcontractors, for Property Damage it sustains and for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault.
(b) Customer hereby waives and releases claims it may have against Licensee and the United States, and against their respective Contractors and Subcontractors, for Property Damage it sustains and for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault.
(c) The United States hereby waives and releases claims it may have against Licensee and Customer, and against their respective Contractors and Subcontractors, for Property Damage it sustains, and for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault, to the extent that claims it would otherwise have for such
(a) Licensee and Customer shall each be responsible for Property Damage it sustains and for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault. Licensee and Customer shall each hold harmless and indemnify each other, the United States, and the Contractors and Subcontractors of each Party, for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault.
(b) The United States shall be responsible for Property Damage it sustains, and for Bodily Injury or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault, to the extent that claims it would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under §§ 440.9(c) and (e) of the Regulations.
(a) Licensee shall extend the requirements of the waiver and release of claims, and the assumption of responsibility, hold harmless, and indemnification, as set forth in paragraphs 2(a) and 3(a), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Customer and the United States, and against the respective Contractors and Subcontractors of each, and to agree to be responsible, for Property Damage they sustain and to be responsible, hold harmless and indemnify Customer and the United States, and the respective Contractors and Subcontractors of each, for Bodily Injury or Property Damage sustained by their own employees, resulting from Licensed Activities, regardless of fault.
(b) Customer shall extend the requirements of the waiver and release of claims, and the assumption of responsibility, hold harmless, and indemnification, as set forth in paragraphs 2(b) and 3(a), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Licensee and the United States, and against the respective Contractors and Subcontractors of each, and to agree to be responsible, for Property Damage they sustain and to be responsible, hold harmless and indemnify Licensee and the United States, and the respective Contractors and Subcontractors of each, for Bodily Injury or Property Damage sustained by their own employees, resulting from Licensed Activities, regardless of fault.
(c) The United States shall extend the requirements of the waiver and release of claims, and the assumption of responsibility as set forth in paragraphs 2(c) and 3(b), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Licensee and Customer, and against the respective Contractors and Subcontractors of each, and to agree to be responsible, for any Property Damage they sustain and for any Bodily Injury or Property Damage sustained by their own employees, resulting from Licensed Activities, regardless of fault, to the extent that claims they would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under §§ 440.9(c) and (e) of the Regulations.
(a) Licensee shall hold harmless and indemnify Customer and its directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them, and the United States and its agencies, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims that Licensee's Contractors and Subcontractors may have for Property Damage sustained by them and for Bodily Injury or Property Damage sustained by their employees, resulting from Licensed Activities.
(b) Customer shall hold harmless and indemnify Licensee and its directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them, and the United States and its agencies, servants, agents, subsidiaries, employees assignees, or any of them, from and against liability, loss or damage arising out of claims that Customer's Contractors and Subcontractors, or any person on whose behalf Customer enters into this Agreement, may have for Property Damage sustained by them and for Bodily Injury or Property Damage sustained by their employees, resulting from Licensed Activities.
(c) To the extent provided in advance in an appropriations law or to the extent there is enacted additional legislative authority providing for the payment of claims, the United States shall hold harmless and indemnify Licensee and Customer and their respective directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims that Contractors and Subcontractors of the United States may have for Property Damage sustained by them, and for Bodily Injury or Property Damage sustained by their employees, resulting from Licensed Activities, to the extent that claims they would otherwise have
Notwithstanding any provision of this Agreement to the contrary, Licensee shall hold harmless and indemnify the United States and its agencies, servants, agents, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims for Bodily Injury or Property Damage, resulting from Licensed Activities, regardless of fault, except to the extent that: (i) As provided in section 7(b) of this Agreement, claims result from willful misconduct of the United States or its agents; (ii) claims for Property Damage sustained by the United States or its Contractors and Subcontractors exceed the amount of insurance or demonstration of financial responsibility required under § 440.9(e) of the Regulations; (iii) claims by a Third Party for Bodily Injury or Property Damage exceed the amount of insurance or demonstration of financial responsibility required under § 440.9(c) of the Regulations, and do not exceed $1,500,000,000 (as adjusted for inflation after January 1, 1989) above such amount, and are payable pursuant to the provisions of 49 U.S.C. 70113 and § 440.19 of the Regulations; or (iv) Licensee has no liability for claims exceeding $1,500,000,000 (as adjusted for inflation after January 1, 1989) above the amount of insurance or demonstration of financial responsibility required under § 440.9(c) of the Regulations.
(a) Nothing contained herein shall be construed as a waiver or release by Licensee, Customer or the United States of any claim by an employee of the Licensee, Customer or the United States, respectively, including a member of the Armed Forces of the United States, for Bodily Injury or Property Damage, resulting from Licensed Activities.
(b) Notwithstanding any provision of this Agreement to the contrary, any waiver, release, assumption of responsibility or agreement to hold harmless and indemnify herein shall not apply to claims for Bodily Injury or Property Damage resulting from willful misconduct of any of the Parties, the Contractors and Subcontractors of any of the Parties, and in the case of Licensee and Customer and the Contractors and Subcontractors of each of them, the directors, officers, agents and employees of any of the foregoing, and in the case of the United States, its agents.
(c) In the event that more than one customer is involved in Licensed Activities, references herein to Customer shall apply to, and be deemed to include, each such customer severally and not jointly.
(d) This Agreement shall be governed by and construed in accordance with United States Federal law.
In Witness Whereof, the Parties to this Agreement have caused the Agreement to be duly executed by their respective duly authorized representatives as of the date written above.
THIS AGREEMENT is entered into this __ day of ____, by and among [Permittee] (the “Permittee”), [Customer] (the “Customer”) and the Federal Aviation Administration of the Department of Transportation, on behalf of the United States Government (collectively, the “Parties”), to implement the provisions of section 440.17(c) of the Commercial Space Transportation Licensing Regulations, 14 CFR Ch. III (the “Regulations”). This agreement applies to [describe permitted activity].
In consideration of the mutual releases and promises contained herein, the Parties hereby agree as follows:
Except as otherwise defined herein, terms used in this Agreement and defined in 49 U.S.C. Subtitle IX, ch. 701—Commercial Space Launch Activities, or in the Regulations, shall have the same meaning as contained in 49 U.S.C. Subtitle IX, ch. 701, or the Regulations, respectively.
(a) Permittee hereby waives and releases claims it may have against Customer and the United States, and against their respective Contractors and Subcontractors, for Property Damage it sustains and for Bodily Injury or Property Damage sustained by its own employees, resulting from Permitted Activities, regardless of fault.
(b) Customer hereby waives and releases claims it may have against Permittee and the United States, and against their respective Contractors and Subcontractors, for Property Damage it sustains and for Bodily Injury or Property Damage sustained by its own employees, resulting from Permitted Activities, regardless of fault.
(c) The United States hereby waives and releases claims it may have against Permittee and Customer, and against their respective Contractors and Subcontractors, for Property Damage it sustains resulting from Permitted Activities, regardless of fault, to the extent that claims it would otherwise have for such damage exceed the amount of insurance or demonstration of financial responsibility required under section 440.9(e) of the Regulations.
(a) Permittee and Customer shall each be responsible for Property Damage it sustains and for Bodily Injury or Property Damage sustained by its own employees, resulting from Permitted Activities, regardless of fault. Permittee and Customer shall each hold harmless and indemnify each other, the United States, and the Contractors and Subcontractors of each Party, for Bodily Injury or Property Damage sustained by its own employees, resulting from Permitted Activities, regardless of fault.
(b) The United States shall be responsible for Property Damage it sustains, resulting from Permitted Activities, regardless of fault, to the extent that claims it would otherwise have for such damage exceed the amount of insurance or demonstration of financial responsibility required under section 440.9(e) of the Regulations.
(a) Permittee shall extend the requirements of the waiver and release of claims, and the assumption of responsibility, hold harmless, and indemnification, as set forth in paragraphs 2(a) and 3(a), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Customer and the United States, and against the respective Contractors and Subcontractors of each, and to agree to be responsible, for Property Damage they sustain and to be responsible, hold harmless and indemnify Customer and the United States, and the respective Contractors and Subcontractors of each, for Bodily Injury or Property Damage sustained by their own employees, resulting from Permitted Activities, regardless of fault.
(b) Customer shall extend the requirements of the waiver and release of claims, and the assumption of responsibility, hold harmless, and indemnification, as set forth in paragraphs 2(b) and 3(a), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Permittee and the United States, and against the respective Contractors and Subcontractors of each, and to agree to be responsible, for Property Damage they sustain and to be responsible, hold harmless and indemnify Permittee and the United States, and the respective Contractors and Subcontractors of each, for Bodily Injury or Property Damage sustained by their own employees, resulting from Permitted Activities, regardless of fault.
(c) The United States shall extend the requirements of the waiver and release of claims, and the assumption of responsibility as set forth in paragraphs 2(c) and 3(b), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Permittee and Customer, and against the respective Contractors and Subcontractors of each, and to agree to be responsible, for any Property Damage they sustain, resulting from Permitted Activities, regardless of fault, to the extent that claims they would otherwise have for such damage exceed the amount of insurance or demonstration of financial responsibility required under section 440.9(e) of the Regulations.
(a) Permittee shall hold harmless and indemnify Customer and its directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them, and the United States and its agencies, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims that Permittee's Contractors and Subcontractors may have for Property Damage sustained by them and for Bodily Injury or Property Damage sustained by their employees, resulting from Permitted Activities.
(b) Customer shall hold harmless and indemnify Permittee and its directors, officers, servants, agents, subsidiaries, employees and
Notwithstanding any provision of this Agreement to the contrary, Permittee shall hold harmless and indemnify the United States and its agencies, servants, agents, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims for Bodily Injury or Property Damage, resulting from Permitted Activities, regardless of fault, except to the extent that it is provided in section 7(b) of this Agreement, except to the extent that claims (i) result from willful misconduct of the United States or its agents and (ii) for Property Damage sustained by the United States or its Contractors and Subcontractors exceed the amount of insurance or demonstration of financial responsibility required under section 440.9(e) of the Regulations.
(a) Nothing contained herein shall be construed as a waiver or release by Permittee, Customer or the United States of any claim by an employee of the Permittee, Customer or the United States, respectively, including a member of the Armed Forces of the United States, for Bodily Injury or Property Damage, resulting from Permitted Activities.
(b) Notwithstanding any provision of this Agreement to the contrary, any waiver, release, assumption of responsibility or agreement to hold harmless and indemnify herein shall not apply to claims for Bodily Injury or Property Damage resulting from willful misconduct of any of the Parties, the Contractors and Subcontractors of any of the Parties, and in the case of Permittee and Customer and the Contractors and Subcontractors of each of them, the directors, officers, agents and employees of any of the foregoing, and in the case of the United States, its agents.
(c) In the event that more than one customer is involved in Permitted Activities, references herein to Customer shall apply to, and be deemed to include, each such customer severally and not jointly.
(d) This Agreement shall be governed by and construed in accordance with United States Federal law.
IN WITNESS WHEREOF, the Parties to this Agreement have caused the Agreement to be duly executed by their respective duly authorized representatives as of the date written above.
THIS AGREEMENT is entered into this __ day of ____, by and among [name of Crew Member] (the “Crew Member”) and the Federal Aviation Administration of the Department of Transportation, on behalf of the United States Government (collectively, the “Parties”), to implement the provisions of section 440.17(f) of the Commercial Space Transportation Licensing Regulations, 14 CFR Ch. III (the “Regulations”). This agreement applies to the Crew Member's participation in activities that the FAA has authorized by license or permit during the Crew Member's employment with [Name of licensee or permittee].
In consideration of the mutual releases and promises contained herein, the Parties hereby agree as follows:
(a) The above-named Crew Member,
(b) All the heirs, administrators, executors, assignees, next of kin, and estate of the above-named Crew Member, and
(c) Anyone who attempts to bring a claim on behalf of the Crew Member or for damage or harm arising out of the Bodily Injury, including Death, of the Crew Member.
Except as otherwise defined herein, terms used in this Agreement and defined in 49 U.S.C. Subtitle IX, ch. 701—Commercial Space Launch Activities, or in the Regulations, shall have the same meaning as contained in 49 U.S.C. Subtitle IX, ch. 701, or the Regulations, respectively.
(a) Crew Member hereby waives and releases claims it may have against the United States, and against its respective Contractors and Subcontractors, for Bodily Injury, including Death, or Property Damage sustained by Crew Member, resulting from Licensed/Permitted Activities, regardless of fault.
(b) The United States hereby waives and releases claims it may have against the Crew Member for Property Damage it sustains, and for Bodily Injury, including Death, or Property Damage sustained by its own employees, resulting from Licensed/Permitted Activities, regardless of fault.
(a) The Crew Member shall be responsible for Bodily Injury, including Death, or Property Damage sustained by Crew Member, resulting from Licensed/Permitted Activities, regardless of fault. The Crew Member shall hold harmless the United States, and the Contractors and Subcontractors of each Party, for Bodily Injury, including Death, or Property Damage sustained by Crew Member, resulting from Licensed/Permitted Activities, regardless of fault.
(b) The United States shall be responsible for Property Damage it sustains, and for Bodily Injury, including Death, or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault, to the extent that claims it would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under sections 440.9(c) and (e), respectively, of the Regulations.
(c) The United States shall be responsible for Property Damage it sustains, resulting from Permitted Activities, regardless of fault, to the extent that claims it would otherwise have for such damage exceed the amount of insurance or demonstration of financial responsibility required under section 440.9(e) of the Regulations.
(a) The United States shall extend the requirements of the waiver and release of claims, and the assumption of responsibility as set forth in paragraphs 2(b) and 3(b), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Crew Member and to agree to be responsible, for any Property Damage the Contractors and Subcontractors sustain and for any Bodily Injury, including Death, or Property Damage sustained by their own employees, resulting from Licensed Activities, regardless of fault.
(b) The United States shall extend the requirements of the waiver and release of claims, and the assumption of responsibility as set forth in paragraphs 2(b) and 3(c), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims the Contractors and Subcontractors may have against Crew Member and to agree to be responsible, for any Property Damage they sustain, resulting from Permitted Activities, regardless of fault.
Crew Member shall hold harmless and indemnify the United States and its agencies, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss, or damage arising out of claims brought by anyone for Property Damage or Bodily Injury, including Death, sustained by Crew Member, resulting from Licensed/Permitted Activities.
Notwithstanding any provision of this Agreement to the contrary, Crew Member shall hold harmless the United States and its agencies, servants, agents, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims for Bodily Injury, including Death, or Property Damage, sustained by Crew Member, resulting from Licensed/Permitted Activities, regardless of fault, except to the extent that, as provided in section 6(b) of this Agreement, claims result from willful misconduct of the United States or its agents.
(a) Nothing contained herein shall be construed as a waiver or release by the United States of any claim by an employee of the United States, respectively, including a member of the Armed Forces of the United States, for Bodily Injury or Property Damage, resulting from Licensed/Permitted Activities.
(b) Notwithstanding any provision of this Agreement to the contrary, any waiver, release, assumption of responsibility or agreement to hold harmless herein shall not apply to claims for Bodily Injury, including Death, or Property Damage resulting from willful misconduct of any of the Parties, the Contractors and Subcontractors of any of the Parties, and in the case of the United States, its agents.
(c) This Agreement shall be governed by and construed in accordance with United States Federal law.
IN WITNESS WHEREOF, the Parties to this Agreement have caused the Agreement to be duly executed by their respective duly authorized representatives as of the date written above.
I [name of Crew Member] have read and understand this agreement and agree that I am bound by it.
THIS AGREEMENT is entered into this __ day of ____, by and among [name of Space Flight Participant] (the “Space Flight Participant”) and the Federal Aviation Administration of the Department of Transportation, on behalf of the United States Government (collectively, the “Parties”), to implement the provisions of section 440.17(e) of the Commercial Space Transportation Licensing Regulations, 14 CFR Ch. III (the “Regulations”). This agreement applies to Space Flight Participant's travel on [name of launch or reentry vehicle] of [name of Licensee or Permittee]. In consideration of the mutual releases and promises contained herein, the Parties hereby agree as follows:
(a) The above-named Space Flight Participant,
(b) All the heirs, administrators, executors, assignees, next of kin, and estate of the above-named Space Flight Participant , and
(c) Anyone who attempts to bring a claim on behalf of the Space Flight Participant or for damage or harm arising out of the Bodily Injury, including Death, of the Space Flight Participant.
Except as otherwise defined herein, terms used in this Agreement and defined in 49 U.S.C. Subtitle IX, ch. 701—Commercial Space Launch Activities, or in the Regulations, shall have the same meaning as contained in 49 U.S.C. Subtitle IX, ch. 701, or the Regulations, respectively.
(a) Space Flight Participant hereby waives and releases claims it may have against the United States, and against its respective Contractors and Subcontractors, for Bodily Injury, including Death, or Property Damage sustained by Space Flight Participant, resulting from Licensed/Permitted Activities, regardless of fault.
(b) The United States hereby waives and releases claims it may have against Space Flight Participant for Property Damage it sustains, and for Bodily Injury, including Death, or Property Damage sustained by its own employees, resulting from Licensed/Permitted Activities, regardless of fault.
(a) Space Flight Participant shall be responsible for Bodily Injury, including Death, or Property Damage sustained by the Space Flight Participant resulting from Licensed/Permitted Activities, regardless of fault. Space Flight Participant shall hold harmless the United States, and its Contractors and Subcontractors, for Bodily Injury, including Death, or Property Damage sustained by Space Flight Participant from Licensed/Permitted Activities, regardless of fault.
(b) The United States shall be responsible for Property Damage it sustains, and for Bodily Injury, including Death, or Property Damage sustained by its own employees, resulting from Licensed Activities, regardless of fault, to the extent that claims it would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under sections 440.9(c) and (e), respectively, of the Regulations.
(c) The United States shall be responsible for Property Damage it sustains, resulting from Permitted Activities, regardless of fault, to the extent that claims it would otherwise have for such damage exceed the amount of insurance or demonstration of financial responsibility required under section 440.9(e) of the Regulations.
(a) The United States shall extend the requirements of the waiver and release of claims, and the assumption of responsibility as set forth in paragraphs 2(b) and 3(b), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Space Flight Participant, and to agree to be responsible, for any Property Damage they sustain and for any Bodily Injury, including Death, or Property Damage sustained by their own employees, resulting from Licensed Activities, regardless of fault.
(b) The United States shall extend the requirements of the waiver and release of claims, and the assumption of responsibility as set forth in paragraphs 2(b) and 3(c), respectively, to its Contractors and Subcontractors by requiring them to waive and release all claims they may have against Space Flight Participant, and to agree to be responsible, for any Property Damage the Contractors and Subcontractors sustain, resulting from Permitted Activities, regardless of fault.
Space Flight Participant shall hold harmless and indemnify the United States and its agencies, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims brought by anyone for Property Damage or Bodily Injury, including Death, sustained by Space Flight Participant, resulting from Licensed/Permitted Activities.
Notwithstanding any provision of this Agreement to the contrary, Space Flight Participant shall hold harmless the United States and its agencies, servants, agents, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims for Bodily Injury, including Death, or Property Damage, sustained by Space Flight Participant, resulting from Licensed/Permitted Activities, regardless of fault, except to the extent that, as provided in section 6(b) of this Agreement, claims result from willful misconduct of the United States or its agents.
(a) Nothing contained herein shall be construed as a waiver or release by the United States of any claim by an employee the United States, respectively, including a member of the Armed Forces of the United States, for Bodily Injury or Property Damage, resulting from Licensed/Permitted Activities.
(b) Notwithstanding any provision of this Agreement to the contrary, any waiver, release, assumption of responsibility or agreement to hold harmless herein shall not apply to claims for Bodily Injury, including Death, or Property Damage resulting from willful misconduct of any of the Parties, the Contractors, Subcontractors, and agents of the United States, and Space Flight Participant.
(c) This Agreement shall be governed by and construed in accordance with United States Federal law.
IN WITNESS WHEREOF, the Parties to this Agreement have caused the Agreement to be duly executed by their respective duly authorized representatives as of the date written above.
I [name of Space Flight Participant] have read and understand this agreement and agree that I am bound by it.
49 U.S.C. 70105.
This subpart establishes requirements for crew of a vehicle whose operator is licensed or permitted under this chapter.
(a) This subpart applies to:
(1) An applicant for a license or permit under this chapter who proposes to have flight crew on board a vehicle or proposes to employ a remote operator of a vehicle with a human on board.
(2) An operator licensed or permitted under this chapter who has flight crew on board a vehicle or who employs a remote operator of a vehicle with a human on board.
(3) A crew member participating in an activity authorized under this chapter.
(b) Each member of the crew must comply with all requirements of the laws of the United States that apply to crew.
(a) Each crew member must—
(1) Complete training on how to carry out his or her role on board or on the ground so that the vehicle will not harm the public; and
(2) Train for his or her role in nominal and non-nominal conditions. The conditions must include—
(i) Abort scenarios; and
(ii) Emergency operations.
(b) Each member of a flight crew must demonstrate an ability to withstand the stresses of space flight, which may include high acceleration or deceleration, microgravity, and vibration, in sufficient condition to safely carry out his or her duties so that the vehicle will not harm the public.
(c) A pilot and a remote operator must—
(1) Possess and carry an FAA pilot certificate with an instrument rating.
(2) Possess aeronautical knowledge, experience, and skills necessary to pilot and control the launch or reentry vehicle that will operate in the National Airspace System (NAS). Aeronautical experience may include hours in flight, ratings, and training.
(3) Receive vehicle and mission-specific training for each phase of flight by using one or more of the following—
(i) A method or device that simulates the flight;
(ii) An aircraft whose characteristics are similar to the vehicle or that has similar phases of flight to the vehicle ;
(iii) Flight testing; or
(iv) An equivalent method of training approved by the FAA through the license or permit process.
(4) Train in procedures that direct the vehicle away from the public in the event the flight crew abandons the vehicle during flight; and
(5) Train for each mode of control or propulsion, including any transition between modes, such that the pilot or remote operator is able to control the vehicle.
(d) A remote operator may demonstrate an equivalent level of safety to paragraph (c)(1) of this section through the license or permit process.
(e) Each crew member with a safety-critical role must possess and carry an FAA second-class airman medical certificate issued in accordance with 14 CFR part 67, no more than 12 months prior to the month of launch and reentry.
(a)
(b)
(1) Ensure that any crew-training device used to meet the training requirements realistically represents the vehicle's configuration and mission, or
(2) Inform the crew member being trained of the differences between the two.
(c)
(1) Track each revision and update in writing; and
(2) Document the completed training for each crew member and maintain the documentation for each active crew member.
(d)
An operator must inform in writing any individual serving as crew that the United States Government has not certified the launch vehicle and any reentry vehicle as safe for carrying flight crew or space flight participants. An operator must provide this information—
(a) Before entering into any contract or other arrangement to employ that individual; or
(b) For any crew member employed as of December 23, 2004, as early as possible and prior to any launch in which that individual will participate as crew.
(a) An operator must provide atmospheric conditions adequate to sustain life and consciousness for all inhabited areas within a vehicle. The operator or flight crew must monitor and control the following atmospheric conditions in the inhabited areas or demonstrate through the license or permit process that an alternate means provides an equivalent level of safety—
(1) Composition of the atmosphere, which includes oxygen and carbon dioxide, and any revitalization;
(2) Pressure, temperature and humidity;
(3) Contaminants that include particulates and any harmful or hazardous concentrations of gases, or vapors; and
(4) Ventilation and circulation.
(b) An operator must provide an adequate redundant or secondary oxygen supply for the flight crew.
(c) An operator must
(1) Provide a redundant means of preventing cabin depressurization; or
(2) Prevent incapacitation of any of the flight crew in the event of loss of cabin pressure.
An operator or crew must have the ability to detect smoke and suppress a cabin fire to prevent incapacitation of the flight crew.
An operator must take the precautions necessary to account for human factors that can affect a crew's ability to perform safety-critical roles, including in the following safety critical areas—
(a) Design and layout of displays and controls;
(b) Mission planning, which includes analyzing tasks and allocating functions between humans and equipment;
(c) Restraint or stowage of all individuals and objects in a vehicle; and
(d) Vehicle operation, so that the vehicle will be operated in a manner that flight crew can withstand any physical stress factors, such as acceleration, vibration, and noise.
An operator must successfully verify the integrated performance of a vehicle's hardware and any software in an operational flight environment before allowing any space flight participant on board during a flight. Verification must include flight testing.
Each member of a flight crew and any remote operator must execute a reciprocal waiver of claims with the Federal Aviation Administration of the
This subpart establishes requirements for space flight participants on board a vehicle whose operator is licensed or permitted under this chapter.
This subpart applies to:
(a) An applicant for a license or permit under this chapter who proposes to have a space flight participant on board a vehicle;
(b) An operator licensed or permitted under this chapter who has a space flight participant on board a vehicle; and
(c) A space flight participant in an activity authorized under this chapter.
(a) Before receiving compensation or making an agreement to fly a space flight participant, an operator must satisfy the requirements of this section. An operator must inform each space flight participant in writing about the risks of the launch and reentry, including the safety record of the launch or reentry vehicle type. An operator must present this information in a manner that can be readily understood by a space flight participant with no specialized education or training, and must disclose in writing—
(1) For each mission, each known hazard and risk that could result in a serious injury, death, disability, or total or partial loss of physical and mental function;
(2) That there are hazards that are not known; and
(3) That participation in space flight may result in death, serious injury, or total or partial loss of physical or mental function.
(b) An operator must inform each space flight participant that the United States Government has not certified the launch vehicle and any reentry vehicle as safe for carrying crew or space flight participants.
(c) An operator must inform each space flight participant of the safety record of all launch or reentry vehicles that have carried one or more persons on board, including both U.S. government and private sector vehicles. This information must include—
(1) The total number of people who have been on a suborbital or orbital space flight and the total number of people who have died or been seriously injured on these flights; and
(2) The total number of launches and reentries conducted with people on board and the number of catastrophic failures of those launches and reentries.
(d) An operator must describe the safety record of its vehicle to each space flight participant. The operator's safety record must cover launch and reentry accidents and human space flight incidents that occurred during and after vehicle verification performed in accordance with § 460.17, and include—
(1) The number of vehicle flights;
(2) The number of accidents and human space flight incidents as defined by section 401.5; and
(3) Whether any corrective actions were taken to resolve these accidents and human space flight incidents.
(e) An operator must inform a space flight participant that he or she may request additional information regarding any accidents and human space flight incidents reported.
(f) Before flight, an operator must provide each space flight participant an opportunity to ask questions orally to acquire a better understanding of the hazards and risks of the mission, and each space flight participant must then provide consent in writing to participate in a launch or reentry. The consent must—
(1) Identify the specific launch vehicle the consent covers;
(2) State that the space flight participant understands the risk, and his or her presence on board the launch vehicle is voluntary; and
(3) Be signed and dated by the space flight participant.
Each space flight participant must execute a reciprocal waiver of claims with the Federal Aviation Administration of the Department of Transportation in accordance with the requirements of part 440 of this chapter.
An operator must train each space flight participant before flight on how to respond to emergency situations, including smoke, fire, loss of cabin pressure, and emergency exit.
An operator must implement security requirements to prevent any space flight participant from jeopardizing the safety of the flight crew or the public. A space flight participant may not carry on board any explosives, firearms, knives, or other weapons.
A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabetical list of agencies publishing in the CFR are included in the CFR Index and Finding Aids volume to the Code of Federal Regulations which is published separately and revised annually.
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
All changes in this volume of the Code of Federal Regulations that were made by documents published in the
For the period before January 1, 2001, see the “List of CFR Sections Affected, 1949-1963, 1964-1972, 1973-1985, and 1986-2000,” published in 11 separate volumes.