Title 14

Aeronautics and Space

Parts 200 to 1199

Revised as of January 1, 2019

Containing a codification of documents

of general applicability and future effect

As of January 1, 2019

Published by the Office of the Federal Register

National Archives and Records Administration
as a Special Edition of the Federal Register
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 Table of Contents
Page
Explanation ................................................................................................ v

Title 14:

Chapter II—Office of the Secretary, Department of Transportation

(Aviation Proceedings) ................................................................ 3

Chapter III—Commercial Space Transportation, Federal Aviation

Administration, Department of Transportation .......................... 507

Finding Aids:

Table of CFR Titles and Chapters ....................................................... 941

Alphabetical List of Agencies Appearing in the CFR ......................... 961

List of CFR Sections Affected ............................................................. 971

3
Cite this Code: CFR

To cite the regulations in

this volume use title,
part and section num-
ber. Thus, 14 CFR 200.1
refers to title 14, part
200, section 1.

4
 Explanation
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Each volume of the Code is revised at least once each calendar year and issued
on a quarterly basis approximately as follows:
Title 1 through Title 16..............................................................as of January 1
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Title 42 through Title 50 .............................................................as of October 1
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5
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6
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O LIVER A. POTTS,
Director,
Office of the Federal Register
January 1, 2019.

vii
 THIS TITLE
Title 14—A ERONAUTICS AND S PACE is composed of five volumes. The parts in
these volumes are arranged in the following order: Parts 1–59, 60–109, 110–199, 200–
1199, and part 1200–End. The first three volumes containing parts 1–199 are com-
prised of chapter I—Federal Aviation Administration, Department of Transpor-
tation (DOT). The fourth volume containing parts 200–1199 is comprised of chapter
II—Office of the Secretary, DOT (Aviation Proceedings) and chapter III—Com-
mercial Space Transportation, Federal Aviation Administration, DOT. The fifth
volume containing part 1200–End is comprised of chapter V—National Aero-
nautics and Space Administration and chapter VI—Air Transportation System
Stabilization. The contents of these volumes represent all current regulations
codified under this title of the CFR as of January 1, 2019.

For this volume, Susannah C. Hurley was Chief Editor. The Code of Federal
Regulations publication program is under the direction of John Hyrum Martinez,
assisted by Stephen J. Frattini.

ix
 Title 14—Aeronautics
and Space
(This book contains parts 200 to 1199)

Part

CHAPTER II—Office of the Secretary, Department of Trans-

portation (Aviation Proceedings) ............................................................ 200
CHAPTER III—Commercial Space Transportation, Federal
Aviation Administration, Department of Transportation 400

1
 CHAPTER II—OFFICE OF THE SECRETARY,
DEPARTMENT OF TRANSPORTATION (AVIATION
PROCEEDINGS)

EDITORIAL NOTE: Chapter II was transferred from the Civil Aeronautics Board to the De-
partment 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.

EDITORIAL NOTE: Nomenclature changes to chapter II appear by Doc. No. DOT–OST–2008–

0173, 73 FR 33327, June 12, 2008.

SUBCHAPTER A—ECONOMIC REGULATIONS

Part Page
200 Definitions and instructions ................................... 7
201 Air carrier authority under Subtitle VII of Title 49
of the United States Code—[Amended] ................ 7
203 Waiver of Warsaw Convention liability limits and
defenses ................................................................ 9
204 Data to support fitness determinations .................. 10
205 Aircraft accident liability insurance ...................... 17
206 Certificates of public convenience and necessity:
Special authorizations and exemptions ............... 21
207 Charter trips by U.S. scheduled air carriers ........... 23
208 Charter trips by U.S. charter air carriers ............... 23
211 Applications for permits to foreign air carriers ...... 23
212 Charter rules for U.S. and foreign direct air car-
riers ...................................................................... 29
213 Terms, conditions and limitations of foreign air
carrier permits ..................................................... 38
214 Terms, conditions, and limitations of foreign air
carrier permits authorizing charter transpor-
tation only ........................................................... 41
215 Use and change of names of air carriers, foreign air
carriers and commuter air carriers ...................... 41
216 Commingling of blind sector traffic by foreign air
carriers ................................................................. 42
217 Reporting traffic statistics by foreign air carriers
in civilian scheduled, charter, and nonscheduled
services ................................................................. 45
3
 14 CFR Ch. II (1–1–19 Edition)

Part Page
218 Lease by foreign air carrier or other foreign person
of aircraft with crew ............................................ 53
221 Tariffs ..................................................................... 54
222 Intermodal cargo services by foreign air carriers ... 83
223 Free and reduced-rate transportation ..................... 88
232 Transportation of mail, review of orders of Post-
master General ..................................................... 91
234 Airline service quality performance reports ........... 93
235 Reports by air carriers on incidents involving ani-
mals during air transport ..................................... 100
240 Inspection of accounts and property ....................... 102
241 Uniform system of accounts and reports for large
certificated air carriers ........................................ 103
243 Passenger manifest information ............................. 187
244 Reporting tarmac delay data .................................. 190
247 Direct airport-to-airport mileage records ............... 192
248 Submission of audit reports .................................... 192
249 Preservation of air carrier records .......................... 193
250 Oversales ................................................................. 198
251 Carriage of musical instruments ............................. 205
252 Smoking aboard aircraft ......................................... 206
253 Notice of terms of contract of carriage ................... 207
254 Domestic baggage liability ..................................... 210
255 [Reserved]
256 Electronic airline information systems .................. 210
257 Disclosure of code-sharing arrangements and long-
term wet leases .................................................... 212
258 Disclosure of change-of-gauge services ................... 214
259 Enhanced protections for airline passengers ........... 215
271 Guidelines for subsidizing air carriers providing es-
sential air transportation .................................... 220
272 Essential air service to the Freely Associated
States ................................................................... 222
291 Cargo operations in interstate air transportation .. 227
292 International cargo transportation ......................... 236
293 International passenger transportation .................. 237
294 Canadian charter air taxi operators ........................ 239
295 Air charter brokers (Eff. 2-14-19) ............................. 246
296 Indirect air transportation of property ................... 250
297 Foreign air freight forwarders and foreign coopera-
tive shippers associations .................................... 252
298 Exemptions for air taxi and commuter air carrier
operations ............................................................ 256
SUBCHAPTER B—PROCEDURAL REGULATIONS

300 Rules of conduct in DOT proceedings under this

chapter ................................................................................................ 274
4
Office of the Secretary, DOT

Part Page
302 Rules of practice in proceedings ............................. 281
303 Review of air carrier agreements ............................ 337
305 Rules of practice in informal nonpublic investiga-
tions ..................................................................... 342
313 Implementation of the Energy Policy and Con-
servation Act ........................................................ 344
314 [Reserved]
323 Terminations, suspensions, and reductions of serv-
ice ......................................................................... 347
325 Essential air service procedures .............................. 352
330 Procedures for compensation of air carriers ........... 354
331 [Reserved]
SUBCHAPTER C [RESERVED]

SUBCHAPTER D—SPECIAL REGULATIONS

372 Overseas military personnel charters ..................... 375

374 Implementation of the Consumer Credit Protec-
tion Act with respect to air carriers and foreign
air carriers ........................................................... 382
374a Extension of credit by airlines to Federal political
candidates ............................................... ............. 383
375 Navigation of foreign civil aircraft within the
United States ....................................................... 387
377 Continuance of expired authorizations by oper-
ation of law pending final determination of ap-
plications for renewal thereof .............................. 399
380 Public charters ........................................................ 401
381 Special event tours ................................................. 418
382 Nondiscrimination on the basis of disability in air
travel .................................................................... 420
383 Civil penalties ......................................................... 462
SUBCHAPTER E—ORGANIZATION

385 Staff assignments and review of action under as-

signments ............................................................. 464
389 Fees and charges for special services ...................... 477
SUBCHAPTER F—POLICY STATEMENTS

398 Guidelines for individual determinations of basic

essential air service ............................................. 483
399 Statements of general policy .................................. 486

5
 SUBCHAPTER A—ECONOMIC REGULATIONS

PART 200—DEFINITIONS AND 14 CFR 302.10 may be cited as ‘‘rule 10

INSTRUCTIONS of the Rules of Practice.’’
[Doc. No. 47939, 57 FR 40100, Sept. 2, 1992, as
Sec. amended at 65 FR 6456, Feb. 9, 2000]
200.1 Terms and definitions.
200.2 Instructions.
PART 201—AIR CARRIER AUTHOR-
AUTHORITY: 49 U.S.C. Chapters 401, 411, 413, ITY UNDER SUBTITLE VII OF TITLE
415, 417, 461.
49 OF THE UNITED STATES
§ 200.1 Terms and definitions. CODE—[AMENDED]
Unless otherwise specifically stated,
Subpart A—Application Procedures
words and phrases other than those
listed in this section have the meaning Sec.
defined in the Statute. 201.1 Formal requirements.
(a) Board or CAB means the Civil 201.2 Amendments.
Aeronautics Board. 201.3 Incorporation by reference.
201.4 General provisions concerning con-
(b) Department or DOT means the De- tents.
partment of Transportation. 201.5 Advertising and sales by applicants.
(c) Act means the Federal Aviation
Act of 1958, as amended. Subpart B—Certificate Terms, Conditions,
(d) Section refers to a section of the and Limitations
Statute or a section of the regulations
201.6 Applicability.
in this chapter, as indicated by the 201.7 General certificate conditions.
context. The terms this section, pursu-
ant to this section, in accordance with the AUTHORITY: 5 U.S.C. 1008; 49 U.S.C. Chap-
provisions of this section, and words of ters 401, 411, 413, 415, 417.
similar import when used in this chap- SOURCE: Docket No. 47582, 57 FR 38765, Aug.
ter refer to the section of this sub- 27, 1992, unless otherwise noted.
chapter in which such terms appear.
(e) Rule, regulation, and order refer to Subpart A—Application
the rules, regulations, and orders pre- Procedures
scribed by the Board or the Depart-
ment pursuant to the Statute. § 201.1 Formal requirements.
(f) Statute when used in this chapter (a) Applications for certificates of
means Subtitle VII of Title 49 of the public convenience and necessity under
United States Code (Transportation). section 41102 of the Statute and for
(g) FAA means the Federal Aviation interstate all-cargo air transportation
Administration, U.S. Department of certificates under section 41103 of the
Transportation. Statute shall meet the requirements
(h) BTS means the Bureau of Trans- set forth in part 302 of this chapter as
portation Statistics, U.S. Department to general requirements, execution,
of Transportation. number of copies, service, and formal
[Doc. No. 47939, 57 FR 40100, Sept. 2, 1992, as specifications of papers.
amended by Doc. No. OST–95–397, 60 FR 43523, (b) Any person desiring to provide air
Aug. 22, 1995; 60 FR 66722, Dec. 26, 1995] transportation as a commuter air car-
rier must comply with the provisions
§ 200.2 Instructions. of part 298 of this chapter and submit
The regulations of the Department data to support a fitness determination
may be cited by section numbers. For in accordance with part 204 of this
example, this regulation may be cited chapter. An executed original plus two
as ‘‘§ 200.2 of the Aviation Economic (2) true copies of the fitness data shall
Regulations.’’ The sections contained be filed with DOT Dockets, 1200 New
in the Rules of Practice may also be Jersey Avenue, SE., Washington, DC
cited by appropriate rule numbers. (See 20590–0002. Requests for confidential
§ 302.1(c) of this chapter.) For example, treatment of documents should be filed

7
§ 201.2 14 CFR Ch. II (1–1–19 Edition)
in accordance with the requirements of dered on scheduled or charter oper-
part 302 of this chapter. ations.
(Approved by the Office of Management and (e) Each application for foreign
Budget under control number 2106–0023) scheduled air transportation shall in-
clude an adequate identification of
[Doc. No. 47582, 57 FR 38765, Aug. 27, 1992, as
each route for which a certificate is de-
amended at 60 FR 43523, Aug. 22, 1995; 64 FR
3212, Jan. 21, 1999; 70 FR 25767, May 16, 2005] sired, including the terminal and inter-
mediate points to be included in the
§ 201.2 Amendments. certificate for which application is
If, after receipt of any application, made.
the Department asks the applicant to (f) Each application shall give full
supply additional information, such in- and adequate information with respect
formation shall be furnished in the to each of the relevant filing require-
form of a supplement to the original ments set forth in part 204 of this chap-
application. ter. In addition, the application may
contain such other information and
§ 201.3 Incorporation by reference. data as the applicant shall deem nec-
Incorporation by reference shall be essary or appropriate in order to ac-
quaint the Department fully with the
avoided. However, where two or more
applications are filed by a single car- particular circumstances of its case;
rier, lengthy exhibits or other docu- however, the statements contained in
ments attached to one may be incor- an application shall be restricted to
porated in the others by reference if significant and relevant facts.
that procedure will substantially re- (Approved by the Office of Management and
duce the cost to the applicant. Budget under control number 2106–0023)

§ 201.4 General provisions concerning [Doc. No. 47582, 57 FR 38765, Aug. 27, 1992, as
contents. amended at 60 FR 43523, Aug. 22, 1995]

(a) All pages of an application shall § 201.5 Advertising and sales by appli-
be consecutively numbered, and the ap- cants.
plication shall clearly describe and
(a) An applicant for new or amended
identify each exhibit by a separate
certificate or commuter air carrier au-
number or symbol. All exhibits shall be
thority shall not:
deemed to constitute a part of the ap-
plication to which they are attached. (1) Advertise, list schedules, or ac-
(b) All amendments to applications cept reservations for the air transpor-
shall be consecutively numbered and tation covered by its application until
shall comply with the requirements of the application has been approved by
this part. the Department; or
(c) Requests for authority to engage (2) Accept payment or issue tickets
in interstate air transportation shall for the air transportation covered by
not be included in the same application its application until the authority or
with requests for authority to engage amended authority has become effec-
in foreign air transportation. Simi- tive or the Department issues a notice
larly, requests for authority to engage authorizing sales.
in scheduled air transportation under (b) An applicant for new or amended
section 41102 of the Statute shall not be certificate or commuter air carrier au-
included in the same application with thority may not advertise or publish
requests for authority to engage in schedule listings for the air transpor-
charter air transportation under sec- tation covered by its application after
tion 41102 of the Statute or with re- the application has been approved by
quests for authority to engage in inter- the Department (but before all author-
state all-cargo air transportation ity issued by DOT, including the FAA,
under section 41103 of the Statute. becomes effective) unless such adver-
(d) Each application shall specify the tising or schedule listings prominently
type or types of service (passengers, state: ‘‘This service is subject to re-
property or mail) to be rendered and ceipt of government operating author-
whether such services are to be ren- ity.’’

8
Office of the Secretary, DOT § 203.2

Subpart B—Certificate Terms, portation of cargo, by air, within that

Conditions, and Limitations geographical scope.
(e) It shall be a condition upon the
§ 201.6 Applicability. holding of a certificate that the holder
Unless the certificate or the order have and maintain in effect and on file
authorizing its issuance shall other- with the Department a signed counter-
wise provide, such terms, conditions part of Agreement 18900 (OST Form
and limitations as are set forth in this 4523), and a tariff (for those carriers
part, and as may from time to time be otherwise generally required to file
prescribed by the Department, shall tariffs) that includes its terms, and
apply to the exercise of the privileges that the holder comply with all other
granted by each certificate issued requirements of part 203. OST Form
under section 41102 or section 41103 of 4523 may be obtained from the Office of
the Statute. Aviation Analysis, Special Authorities
Division.
[Doc. No. 47582, 57 FR 38765, Aug. 27, 1992, as
amended at 60 FR 43523, Aug. 22, 1995] [Doc. No. 47582, 57 FR 38765, Aug. 27, 1992, as
amended at 60 FR 43523, Aug. 22, 1995]
§ 201.7 General certificate conditions.
(a) It shall be a condition upon the PART 203—WAIVER OF WARSAW
holding of a certificate that any inten- CONVENTION LIABILITY LIMITS
tional failure by the holder to comply AND DEFENSES
with any provision of Statute or any
order, rule, or regulation issued there- Sec.
under or any term, condition, or limi- 203.1 Scope.
tation of such certificate shall be a 203.2 Applicability.
failure to comply with the terms, con- 203.3 Filing requirements for adherence to
ditions, and limitations of the certifi- Montreal Agreement.
cate within the meaning of section 203.4 Montreal Agreement as part of airline-
41110 of the Statute even though the passenger contract and conditions of car-
failure to comply occurred outside the riage.
territorial limits of the United States, 203.5 Compliance as condition on operations
except to the extent that such failure in air transportation.
shall be necessitated by an obligation, AUTHORITY: 49 U.S.C. Chapters 401, 411, 413,
duty, or liability imposed by a foreign 415, 417.
country. SOURCE: ER–1324, 48 FR 8044, Feb. 25, 1983,
(b) Failure to file the reports re- unless otherwise noted.
quired by part 241, 291, or 298 of this
chapter shall be sufficient grounds to § 203.1 Scope.
revoke a certificate. This part requires that certain U.S.
(c) The authority to transport U.S. and foreign direct air carriers waive
mail under a certificate is permissive, the passenger liability limits and cer-
unless the Department, by order or tain carrier defenses in the Warsaw
rule, directs a carrier or class of car-
Convention in accordance with the pro-
riers to transport mail on demand of visions of Agreement 18900, dated May
the U.S. Postal Service; such certifi- 13, 1966, and provides that acceptance
cate confers no right to receive sub- of authority for, or operations by the
sidy, for the carriage of mail or other- carrier in, air transportation shall be
wise. considered to act as such a waiver by
(d) An all-cargo air transportation that carrier.
certificate shall confer no right to
carry passengers, other than cargo at- [ER–1324, 48 FR 8044, Feb. 25, 1983, as amend-
tendants accompanying a shipment, or ed by Doc. No. 47939, 57 FR 40100, Sept. 2,
to engage in any air transportation 1992]
outside the geographical scope of inter-
state cargo transportation. Such cer- § 203.2 Applicability.
tificate shall not, however, restrict the This part applies to all direct U.S.
right of the holder to provide sched- and foreign direct air carriers, except
uled, charter, contract, or other trans- for air taxi operators as defined in part

9
§ 203.3 14 CFR Ch. II (1–1–19 Edition)
298 of this chapter that (a) are not com- its passengers as a condition of car-
muter air carriers, (b) do not partici- riage that a liability limit of not less
pate in interline agreements, and (c) do than $75,000 (U.S.) shall apply under Ar-
not engage in foreign air transpor- ticle 22(1) of the Warsaw Convention
tation. for passenger injury and death. Such
participation also constitutes a waiver
§ 203.3 Filing requirements for adher- of the defense under Article 20(1) of the
ence to Montreal Agreement. Convention that the carrier was not
All direct U.S. and foreign air car- negligent.
riers shall have and maintain in effect
(The reporting provisions contained in para-
and on file in the Department’s Docu- graph (a) were approved by the Office of
mentary Services Division (Docket Management and Budget under control num-
17325) on OST Form 4523 a signed coun- ber 3024–0064.)
terpart to Agreement 18900, an agree-
[ER–1324, 48 FR 8044, Feb. 25, 1983, as amend-
ment relating to liability limitations
ed by ER–1338, 48 FR 31013, July 6, 1983; Doc.
of the Warsaw Convention and Hague No. 47939, 57 FR 40100, Sept. 2, 1992]
Protocol approved by CAB Order E–
23680, dated May 13, 1966 (the Montreal § 203.5 Compliance as condition on op-
Agreement), and a signed counterpart erations in air transportation.
of any amendment or amendments to
such Agreement that may be approved It shall be a condition on the author-
ity of all direct U.S. and foreign car-
by the Department and to which the
riers to operate in air transportation
air carrier or foreign air carrier be-
that they have and maintain in effect
comes a party. U.S. air taxi operators
and on file with the Department a
registering under part 298 of this chap-
signed counterpart of Agreement 18900,
ter and Canadian charter air taxi oper-
and a tariff (for those carriers other-
ators registering under part 294 of this
wise generally required to file tariffs)
chapter may comply with this require-
that includes its provisions, as required
ment by filing completed OST Forms
by this subpart. Notwithstanding any
4507 and 4523, respectively, in accord-
failure to file that counterpart and
ance with the provisions of those parts.
such tariff, any such air carrier or for-
[Doc. No. 47939, 57 FR 40100, Sept. 2, 1992, as eign air carrier issued license author-
amended at 60 FR 43523, Aug. 22, 1995; 70 FR ity (including exemptions) by the De-
25767, May 16, 2005] partment or operating in air transpor-
§ 203.4 Montreal Agreement as part of tation shall be deemed to have agreed
airline-passenger contract and con- to the provisions of Agreement 18900 as
ditions of carriage. fully as if that air carrier or foreign air
carrier had in fact filed a properly exe-
(a) As required by the Montreal
cuted counterpart to that Agreement
Agreement, carriers that are otherwise
and tariff.
generally required to file tariffs shall
file with the Department’s Tariffs Divi- [ER–1324, 48 FR 8044, Feb. 25, 1983, as amend-
sion a tariff that includes the provi- ed by Doc. No. 47939, 57 FR 40100, Sept. 2,
sions of the counterpart to Agreement 1992]
18900.
(b) As further required by that Agree- PART 204—DATA TO SUPPORT
ment, each participating carrier shall FITNESS DETERMINATIONS
include the Agreement’s terms as part
of its conditions of carriage. The par- Subpart A—General Provisions
ticipating carrier shall give each of its
passengers the notice required by the Sec.
Montreal Agreement as provided in 204.1 Purpose.
§ 221.175 of this chapter. 204.2 Definitions.
(c) Participation in the Montreal
Agreement, whether by signing the Subpart B—Filing Requirements
Agreement, filing a signed counterpart 204.3 Applicants for new certificate or com-
to it under § 203.3, or by operation of muter air carrier authority.
law under § 203.5, shall constitute a spe- 204.4 Carriers proposing to provide essential
cial agreement between the carrier and air service.

10
Office of the Secretary, DOT § 204.2
204.5 Certificated and commuter air carriers (2) A partnership each of whose part-
undergoing or proposing to undergo sub- ners is an individual who is a citizen of
stantial change in operations, ownership, the United States; or
or management.
(3) A corporation or association orga-
204.6 Certificated and commuter air carriers
nized under the laws of the United
proposing a change in operations, owner-
ship, or management which is not sub- States or a State, the District of Co-
stantial. lumbia, or a territory or possession of
204.7 Revocation for dormancy. the United States, of which the presi-
dent and at least two-thirds of the
AUTHORITY: 49 U.S.C. Chapters 401, 411, 417. board of directors and other managing
SOURCE: Docket No. 47582, 57 FR 38766, Aug. officers are citizens of the United
27, 1992, unless otherwise noted. States, which is under the actual con-
trol of citizens of the United States,
Subpart A—General Provisions and in which at least 75 percent of the
voting interest is owned or controlled
§ 204.1 Purpose. by persons that are citizens of the
United States.
This part sets forth the fitness data (d) Commuter air carrier means an air
that must be submitted by applicants carrier holding or seeking authority
for certificate authority, by applicants under part 298 of this Chapter that car-
for authority to provide service as a ries passengers on at least five round
commuter air carrier to an eligible trips per week on at least one route be-
place, by carriers proposing to provide tween two or more points according to
essential air transportation, and by its published flight schedules that
certificated air carriers and commuter specify the times, days of the week,
air carriers proposing a substantial and places between which those flights
change in operations, ownership, or are performed.
management. This part also contains (e) Eligible place means a place in the
the procedures and filing requirements United States that—
applicable to carriers that hold dor- (1) Was an eligible point under sec-
mant authority. tion 419 of the Federal Aviation Act of
[72 FR 20036, Apr. 23, 2007] 1958 as in effect before October 1, 1988;
(2) Received scheduled air transpor-
§ 204.2 Definitions. tation at any time between January 1,
1990, and November 4, 1990; and
As used in this part:
(3) Is not listed in Department of
(a) All-cargo air carrier or section 41103 Transportation Orders 89–9–37 and 89–
carrier means an air carrier holding an 12–52 as a place ineligible for com-
all-cargo air transportation certificate pensation under Subchapter II of Chap-
issued under section 41103 of the Stat- ter 417 of the Statute.
ute authorizing the transportation by (f) Essential air service is that air
aircraft in interstate air transpor- transportation which the Department
tation of only property or only mail, or has found to be essential under Sub-
both. chapter II of Chapter 417 of the Stat-
(b) Certificate authority means author- ute.
ity to provide air transportation grant- (g) Fit means fit, willing, and able to
ed by the Department of Transpor- perform the air transportation in ques-
tation or Civil Aeronautics Board in tion properly and to conform to the
the form of a certificate of public con- provisions of the Statute and the rules,
venience and necessity under section regulations and requirements issued
41102 of the Statute or an all-cargo air under the Statute.
transportation certificate to perform (h) Interstate air transportation means
all-cargo air transportation under sec- the transportation of passengers or
tion 41103 of the Statute. Certificated property by aircraft as a common car-
carriers are those that hold certificate rier for compensation, or the transpor-
authority. tation of mail by aircraft—
(c) Citizen of the United States means: (1) Between a place in—
(1) An individual who is a citizen of (i) A State, territory, or possession of
the United States; the United States and a place in the

11
§ 204.3 14 CFR Ch. II (1–1–19 Edition)
District of Columbia or another State, (l) Substantial change in operations,
territory, or possession of the United ownership, or management includes, but
States; is not limited to, the following events:
(ii) Hawaii and another place in Ha- (1) Changes in operations from char-
waii through the airspace over a place ter to scheduled service, cargo to pas-
outside Hawaii; senger service, short-haul to long-haul
(iii) The District of Columbia and an- service, or (for a certificated air car-
other place in the District of Columbia; rier) small-aircraft to large-aircraft op-
or erations;
(iv) A territory or possession of the (2) The filing of a petition for reorga-
United States and another place in the nization or a plan of reorganization
same territory or possession; and under Chapter 11 of the federal bank-
(2) When any part of the transpor- ruptcy laws;
tation is by aircraft. (3) The acquisition by a new share-
(i) Key personnel include the direc- holder or the accumulation by an exist-
tors, president, chief executive officer, ing shareholder of beneficial control of
chief operating officer, all vice presi- 10 percent or more of the outstanding
dents, the directors or supervisors of voting stock in the corporation; and
operations, maintenance, and finance, (4) A change in the president, chief
and the chief pilot of the applicant or executive officer or chief operating of-
air carrier, as well as any part-time or ficer, and/or a change in at least half of
full-time advisors or consultants to the the other key personnel within any 12-
management of the applicant or air month period or since its latest fitness
carrier. review, whichever is the more recent
(j) Normalized operations are those period.
which are relatively free of start-up (m) Substantial interest means bene-
costs and temporary barriers to full- ficial control of 10 percent or more of
scale operations posed by the carrier’s the outstanding voting stock.
limited experience.
(k) Relevant corporations are the ap- [Doc. No. 47582, 57 FR 38766, Aug. 27, 1992, as
plicant or air carrier, any subsidiary amended at 60 FR 43523, Aug. 22, 1995; 64 FR
12085, Mar. 11, 1999; 72 FR 20036, Apr. 23, 2007]
thereof, any predecessor thereof (i.e.,
any air carrier in which any directors,
principal officers or persons having a Subpart B—Filing Requirements
substantial interest have or once had a
substantial interest), and any company § 204.3 Applicants for new certificate
(including a sole proprietorship or or commuter air carrier authority.
partnership) which has a significant fi- An applicant for a type of certificate
nancial or managerial influence on the authority it does not currently hold or
applicant or air carrier. The latter in- for commuter air carrier authority
cludes: shall file the data set forth in para-
(1) Any company (including a sole graphs (a) through (v) of this section.
proprietorship or partnership) holding In addition, the Department may re-
more than 50 percent of the out- quire an applicant to provide addi-
standing voting stock of the applicant tional data if necessary to reach an in-
or air carrier; and formed judgment about its fitness. If
(2) Any company (including a sole the applicant has previously formally
proprietorship or partnership) holding filed any of the required data with the
between 20 percent and 50 percent of Department or with another Federal
the outstanding voting stock of the ap- agency and they are available to the
plicant or air carrier and which has Department, and those data continue
significant influence over the applicant to reflect the current state of the car-
or air carrier as indicated, for example, rier’s fitness, the applicant may in-
by 25 percent representation on the stead identify the data and provide a
board of directors, participation in pol- citation for the date(s) and place(s) of
icy-making processes, substantial inter- filing. Prior to filing any data, the ap-
company transactions, or mana- gerial plicant may contact the Air Carrier
personnel with common respon- Fitness Division to ascertain what data
sibilities in both companies. required by this section are already

12
Office of the Secretary, DOT § 204.3
available to the Department and need age of the total number of such shares
not be included in the filing. issued and outstanding, and the citi-
NOTE: If the applicant intends to use as
zenship and principal business of any
evidence data it has previously filed pursu- person for whose account, if other than
ant to part 241 reporting requirements and the holder, such interest is held;
those data contain errors, the applicant (3) If any two or more persons hold-
must first file corrected reports in accord- ing a substantial interest in the appli-
ance with § 241.22(g). cant are related by blood or marriage,
(a) The name, address, and telephone such relationship(s) shall be included
number of the applicant. in the list; and
(b) The form of the applicant’s orga- (4) If any person or subsidiary of a
nization. person having a substantial interest in
(c) The State law(s) under which the the applicant is or has ever been
applicant is organized. (i) An air carrier, a foreign air car-
(d) If the applicant is a corporation, a rier, a common carrier, or
statement provided by the Office of the (ii) Substantially engaged in the
Secretary of State, or other agent of business of aeronautics, or
the State in which the applicant is in- (iii) An officer or director of any such
corporated, certifying that the appli- entity, or
cant corporation is in good standing. (iv) A holder of 10 percent or more of
(e) A sworn affidavit stating that the total outstanding voting stock of any
applicant is a citizen of the United such entity, the list shall describe such
States. relationship(s).
(f) The identity of the key personnel (h) A list of the applicant’s subsidi-
who would be employed by the appli- aries, if any, including a description of
cant, including: each subsidiary’s principal business
(1) Their names and addresses; and relationship to the applicant.
(2) The experience, expertise, and re- (i) A list of the applicant’s shares of
sponsibilities of each; stock in, or control of, any air carrier,
(3) The number of shares of the appli- foreign air carrier, common carrier, or
cant’s voting stock held by each and person substantially engaged in the
the percentage of the total number of business of aeronautics.
such shares issued and outstanding, (j) To the extent any relevant cor-
and the citizenship and principal busi- poration has been engaged in any busi-
ness of any person for whose account, if ness prior to the filing of the applica-
other than the holder, such interest is tion, each applicant shall provide:
held; (1) Copies of the 10K Annual Reports
(4) The citizenship of each; and filed in the past 3 years by any rel-
(5) A description of the officerships, evant corporation required to file such
directorships, shares of stock (if 10 per- reports with the Securities and Ex-
cent or more of total voting stock out- change Commission, and
standing), and other interests each (2) Copies of recently filed 10Q Quar-
holds or has held in any air carrier, for- terly Reports, as necessary, in order to
eign air carrier, common carrier, per- show the financial condition and re-
son substantially engaged in the busi- sults of operations of the enterprise
ness of aeronautics or persons whose current to within 3 months of the date
principal business (in purpose or fact) of the filing of the application.
is the holding of stock in or control of (k) If 10K Reports are not filed with
any air carrier, common carrier or per- the Securities and Exchange Commis-
son substantially engaged in the busi- sion, the following, for the 3 most re-
ness of aeronautics. cent calendar or fiscal years, reflecting
(g) A list of all persons having a sub- the financial condition and results of
stantial interest in the applicant. Such operations of the enterprise current to
list shall include: within 3 months of the date of the fil-
(1) Each person’s name, address and ing of the application:
citizenship; (1) The Balance Sheet of each rel-
(2) The number of shares of the appli- evant corporation;
cant’s voting stock held by each such (2) The Income Statement of each
person and the corresponding percent- relevant corporation;

13
§ 204.3 14 CFR Ch. II (1–1–19 Edition)
(3) All footnotes applicable to the fi- personnel employed (or to be em-
nancial statements, including: ployed) by any relevant corporation or
(i) A statement as to whether the person having a substantial interest in
documents were prepared in accord- any relevant corporation, regarding
ance with Generally Accepted Account- compliance with the Statute or orders,
ing Principles, and rules, regulations, or requirements
(ii) A description of the significant issued pursuant to the Statute, and
accounting policies of each relevant any corrective actions taken. (If an ap-
corporation, such as for depreciation, plicant has a compliance history that
amortization of intangibles, overhauls, warrants it, additional information
unearned revenues, and cost capitaliza- may be required.)
tion; (p) A description of all charges of un-
(4) A statement of significant events fair or deceptive or anticompetitive
occurring subsequent to the most re- business practices, or of fraud, felony
cent Balance Sheet date for each rel- or antitrust violation, brought against
evant corporation; and any relevant corporation or person
(5) A statement identifying the per- having a substantial interest in any
son who has prepared the financial relevant corporation, or member of the
statements, his or her accounting key personnel employed (or to be em-
qualifications, and any affiliation he or ployed) by any relevant corporation in
she has with the applicant. the past 10 years. Such descriptions
(l) A list of all actions and out- shall include the disposition or current
standing judgments for more than status of each such proceeding.
$5,000 against any relevant corporation, (q) A description of any aircraft acci-
key personnel employed (or to be em- dents or incidents (as defined in the
ployed) by any relevant corporation, or National Transportation Safety Board
person having a substantial interest in Regulations, 49 CFR 830.2) experienced
any relevant corporation, including the by the applicant, its personnel, or any
amount of each judgment, the party to relevant corporation, which occurred
whom it is payable, and how long it has either during the year preceding the
been outstanding. date of application or at any time in
(m) The number of actions and out- the past and which remain under inves-
standing judgments of less than $5,000 tigation by the FAA, the NTSB, or by
against each relevant corporation, key the company itself, including:
personnel employed (or to be em- (1) The date of the occurrence;
ployed) by any relevant corporation, or (2) The type of flight;
person having a substantial interest in
(3) The number of passengers and
any relevant corporation, and the total
crew on board and an enumeration of
amount owed by each on such judg-
any injuries or fatalities;
ments.
(n) A description of the applicant’s (4) A description of any damage to
fleet of aircraft, including: the aircraft;
(1) The number of each type of air- (5) The FAA and NTSB file numbers
craft owned, leased and to be purchased and the status of the investigations, in-
or leased; cluding any enforcement actions initi-
(2) Applicant’s plans, including fi- ated against the carrier or any of its
nancing plans, for the purchase or lease personnel; and
of additional aircraft; and (6) Positive actions taken to prevent
(3) A sworn affidavit stating that recurrence. (If an applicant’s history of
each aircraft owned or leased has been accidents or incidents warrants it, ad-
certified by the FAA and currently ditional information may be required.)
complies with all FAA safety stand- (r) A brief narrative history of the
ards. applicant.
(o) A description of the current sta- (s) A description of all Federal, State
tus of all pending investigations, en- and foreign authority under which the
forcement actions, and formal com- applicant has conducted or is con-
plaints filed by the Department, in- ducting transportation operations, and
cluding the FAA, involving the appli- the identify of the local FAA office and
cant or any relevant corporation, any personnel responsible for processing an

14
Office of the Secretary, DOT § 204.4
application for any additional FAA au- the authorized representative of the appli-
thority needed to conduct the proposed cant, have not in any manner knowingly and
operations. willfully falsified, concealed or covered up
any material fact or made any false, ficti-
(t) A description of the service to be tious, or fraudulent statement or knowingly
operated if the application is granted, used any documents which contain such
including: statements in connection with the prepara-
(1) A forecast Balance Sheet for the tion, filing or prosecution of the application.
first normal year ending after the ini- I understand that an individual who is found
tially proposed operations have been to have violated the provisions of 18 U.S.C.
incorporated, along with the assump- section 1001 shall be fined nor more than
tions underlying the accounts and $10,000 or imprisoned not more than five
years, or both.
amounts shown; and
(2) A forecast Income Statement, bro- (The reporting requirements contained in
ken down by quarters, for the first year this section were approved by the Office of
ending after the initially proposed op- Management and Budget under control num-
ber 2106–0023)
erations are normalized, and an
itemization of all pre-operating and [Doc. No. 47582, 57 FR 38766, Aug. 27, 1992, as
start-up costs associated with the initi- amended at 60 FR 43524, Aug. 22, 1995]
ation of the proposed service. Such In-
come Statement shall include esti- § 204.4 Carriers proposing to provide
essential air service.
mated revenue block hours (or airborne
hours, for charter operators) and rev- Applicants proposing to provide es-
enue miles by type of aircraft, number sential air service have been divided
of passengers and number of tons of into two categories, and are subject to
mail and cargo to be carried, transport differing data submission requirements
revenues and an estimate of the traffic as set forth in paragraphs (a) and (b) of
which would be generated in each mar- this section. However, if a carrier has
ket receiving the proposed service. previously filed any of the required
Such statements shall also include a data with the Department or other
statement as to whether the state- Federal agency and they are available
ments were prepared on the accrual or to the Department, and these data con-
cash basis, an explanation of how the tinue to reflect the current state of the
estimated costs and revenues were de- carrier’s fitness, the carrier may in-
veloped, a description of the manner in stead identify the data and provide a
which costs and revenues are allocated, citation for the date and place of filing.
how the underlying traffic forecasts All carriers may contact the Air Car-
were made, and what load factor has rier Fitness Division to ascertain what
been assumed for the average and peak information is already available to the
month. Pre-operating and start-up Department and thus may not need to
costs should include, but are not lim- be resubmitted.
ited to, the following: Obtaining nec- (a) Carriers who propose to begin or
essary government approval; estab- expand non-subsidized essential air
lishing stations; introductory adver- service when the incumbent leaves the
tising; aircraft, equipment and space market must file the following infor-
facility deposits and rent; training; and mation:
salaries earned prior to start-up. (1) All of the information required
(u) A signed counterpart of Agree- under § 204.3 of this part.
ment 18900 (OST Form 4523) as required (2) A description of the back-up air-
by part 203 of this chapter. craft available to the applicant, includ-
(v) The following certification, which ing:
shall accompany the application and (i) The number of each type of such
all subsequent written submissions aircraft;
filed by the applicant in connection (ii) The conditions under which such
with its application: aircraft will be available to the carrier;
(iii) The carrier’s plans for financing
Pursuant to title 18 United States Code
section 1001, I [the individual signing the ap- the acquisition or lease of such addi-
plication, who shall be a principal owner, tional aircraft; and
senior officer, or internal counsel of the ap- (iv) A sworn affidavit stating that all
plicant], in my individual capacity and as such aircraft have been certified by the

15
§ 204.5 14 CFR Ch. II (1–1–19 Edition)
FAA and currently comply with all seats available to and from the eligible
FAA safety standards. point each day.
(3) A description of the fuel available (Approved by the Office of Management and
to perform the proposed essential air Budget under control number 2106–0023)
services and the carrier’s contracts
[Doc. No. 47582, 57 FR 38766, Aug. 27, 1992, as
with fuel suppliers.
amended at 60 FR 43524, Aug. 22, 1995]
(4) The carrier’s systemwide on-time
and completion record for the pre- § 204.5 Certificated and commuter air
ceding year and, if applicable, in the carriers undergoing or proposing to
subject market(s). undergo substantial change in oper-
(5) A list of the markets the carrier ations, ownership, or management.
serves and the number of weekly round (a) A certificated or commuter air
trips it provides in each. carrier proposing a substantial change
(6) A description of the average num- in operations, ownership or manage-
ber of block hours each type of aircraft ment shall file the data set forth in
is currently flown per day. § 204.3. These data must be submitted in
(7) An estimate of the impact the cases where:
proposed essential air service would (1) The proposed change requires new
have on the carrier’s utilization of its or amended authority, or
aircraft fleet. (2) The change substantially alters
(8) A detailed schedule of the service the factors upon which its latest fit-
to be provided, including times of ar- ness finding is based, even if no new au-
rivals and departures, the aircraft to be thority is required.
used for each flight, and the fares to be (b) Information which a carrier has
charged. previously formally filed with the De-
partment, or with another Federal
(9) A pro-forma income statement for
agency where they are available to the
the proposed operation for the first an-
Department, which continues to reflect
nual period. the current state of the carrier’s fit-
(b) Carriers filing proposals to pro- ness may be omitted. The carrier in-
vide subsidized service in response to stead should identify the data and pro-
an order inviting proposals shall file: vide a citation for the date(s) and
(1) All of the information required place(s) of filing. Prior to filing any
under § 204.3 of this part. data, the carrier may contact the De-
(2) All of the information required partment (Air Carrier Fitness Division)
under paragraph (a) of this section. to ascertain what data required by this
(3) A forecast Income Statement cov- section, if any, are already available to
ering the operations conducted in es- the Department or are not applicable
sential air service for the first year fol- to the substantial change in question
lowing the initiation of the proposed and need not be included in the filing.
essential services. Such statement (c) Information filings pursuant to
shall include: this section made to support an appli-
(i) Subsidy needed; cation for new or amended certificate
(ii) Estimated block hours and rev- authority shall be filed with the appli-
enue miles by type of aircraft; cation and addressed to Docket Oper-
ations, M–30, U.S. Department of
(iii) Total projected revenue includ-
Transportation, Washington, DC 20590,
ing volumes of passengers and freight or by electronic submission at http://
by essential air service market and the dms.dot.gov.
associated fares and rates; (d) Information filed in support of a
(iv) An explanation of the derivation certificated or commuter air carrier’s
of estimates of operating expenses; and continuing fitness to operate under its
(v) A description of the manner in existing authority in light of substan-
which costs and revenues are allocated. tial changes in its operations, manage-
(4) A traffic forecast including a load ment, or ownership, including changes
factor analysis on all segments be- that may affect the air carrier’s citi-
tween the small community and the zenship, shall be addressed to the Chief,
hub; and an estimate of the number of Air Carrier Fitness Division, Office of

16
Office of the Secretary, DOT Pt. 205
the Secretary, U.S. Department of been no change in fitness data pre-
Transportation, Washington, DC 20590. viously formally filed with the Depart-
(Approved by the Office of Management and ment, the carrier shall file a sworn
Budget under control number 2106–0023) statement to that effect signed by one
of its officers. The carrier may contact
[Doc. No. 47582, 57 FR 38766, Aug. 27, 1992, as
the Department (Air Carrier Fitness
amended at 72 FR 20036, Apr. 23, 2007]
Division) to ascertain which data are
§ 204.6 Certificated and commuter air already available to the Department
carriers proposing a change in op- and need not be refiled. A carrier to
erations, ownership, or manage- which this paragraph applies shall not
ment which is not substantial. provide any air transportation for
Carriers proposing to make a change which it is required to be found fit,
which would not substantially affect willing, and able until the Department
their operations, management, or own- decides that the carrier continues to be
ership, such as certificated carriers ap- fit, willing, and able to perform such
plying for additional authority which air transportation. During the pend-
would not substantially change their ency of the Department’s consideration
operations, will be presumed to be fit of a data submission under this para-
and need not file any information re- graph, the expiration period set out in
lating to their fitness at time of the paragraph (a) of this section shall be
change. However, if the Department stayed. If the decision or finding by the
concludes, from its own analysis or Department on the issue of the car-
based on information submitted by rier’s fitness is favorable, the date or
third parties, that such change may that decision or finding shall be the
bring the carrier’s fitness into ques- date considered in applying paragraph
tion, the Department may require the (a) of this section.
applicant carrier to file additional in- (c) For purposes of this section, the
formation. date of a Department decision or find-
ing shall be the service date of the De-
§ 204.7 Revocation for dormancy. partment’s order containing such deci-
(a) An air carrier that has not com- sion or finding, or, in cases where the
menced any type of air transportation Department’s decision or finding is
operations for which it was found fit, made by letter, the date of such letter.
willing, and able within one year of the (d) For purposes of this section, ref-
date of that finding, or an air carrier erences to operations and to the pro-
that, for any period of one year after viding of air transportation shall refer
the date of such a finding, has not pro- only to the actual performance of
vided any type of air transportation for flight operations under an operating
which that kind of finding is required, certificate issued to the carrier by the
is deemed no longer to continue to be FAA.
fit to provide the air transportation for
(Approved by the Office of Management and
which it was found fit and, accordingly, Budget under control number 2106–0023)
its authority to provide such air trans-
portation shall be revoked.
(b) An air carrier found fit which PART 205—AIRCRAFT ACCIDENT
commences operations within one year LIABILITY INSURANCE
after being found fit but then ceases
operations, shall not resume operations Sec.
without first filing all of the data re- 205.1 Purpose.
quired by § 204.3 at least 45 days before 205.2 Applicability.
205.3 Basic requirements.
it intends to provide any such air 205.4 Filing of evidence of insurance.
transportation. Such filings shall be 205.5 Minimum coverage.
addressed to the Documentary Services 205.6 Prohibited exclusions of coverage.
Division, Department of Transpor- 205.7 Cancellation, withdrawal, modifica-
tation, 1200 New Jersey Avenue, SE., tion, expiration, or replacement of insur-
Washington, DC 20590. The Department ance coverage.
will entertain requests for exemption 205.8 Cargo liability disclosure statement.
from this 45-day advance filing require- AUTHORITY: 49 U.S.C. Chapters 401, 411, 413,
ment for good cause shown. If there has 417.

17
§ 205.1 14 CFR Ch. II (1–1–19 Edition)
SOURCE: ER–1253, 46 FR 52577, Oct. 27, 1981, dorsed policies of aircraft accident li-
unless otherwise noted. ability insurance in compliance with
this part. When more than one such in-
§ 205.1 Purpose.
surer is providing coverage, the limits
This part contains the rules for air- and types of liability assumed by each
craft accident liability insurance cov- insurer (excluding reinsurers) shall be
erage needed by U.S. direct air carriers clearly stated in the certificate of in-
to obtain or to exercise authority from surance. Insurance policies and self-in-
the Department to operate in inter- surance plans named in a certificate of
state or foreign air transportation, and insurance that accompanies an applica-
by foreign direct air carriers to operate tion for initial registration or for oper-
under permit or other authority in for- ating authority shall become effective
eign air transportation. It further re- not later than the proposed starting
quires a disclosure statement to ship- date for air carrier operations as shown
pers about cargo liability limits and in- in the application.
surance coverage for U.S. and foreign (c) The certificate of insurance shall
direct air carriers. list the types or classes of aircraft, or
[ER–1253, 46 FR 52577, Oct. 27, 1981, as amend- the specific aircraft by FAA or foreign
ed by Doc. No. 47939, 57 FR 40100, Sept. 2, government registration number, with
1992; Doc. No. OST–96–1269, 61 FR 19165, May respect to which the policy of insur-
1, 1996] ance applies, or shall state that the
policy applies to all aircraft owned or
§ 205.2 Applicability.
operated by the carrier in its air trans-
These rules apply to all U.S. direct portation operations. With respect to
air carriers, including commuter air certificates of insurance that list air-
carriers and air taxi operators as de- craft by government registration num-
fined in § 298.2 of this chapter, and for- ber, the policy or self-insurance plan
eign direct air carriers, including Ca- shall state that, while an aircraft
nadian charter air taxi operators as de- owned or leased by the carrier and de-
fined in § 294.2(c) of this chapter. clared in the policy is withdrawn from
[Doc. No. 47939, 57 FR 40100, Sept. 2, 1992] normal use because of its breakdown,
repair, or servicing, such insurance as
§ 205.3 Basic requirements. is provided by the policy or plan for
(a) A U.S. or foreign direct air carrier that aircraft shall apply also to an-
shall not engage in air transportation other aircraft of similar type, horse-
unless it has in effect aircraft accident power, and seating capacity, whether
liability insurance coverage that meets or not owned by the insured, while
the requirements of this part for its air temporarily used as a substitute air-
carrier or foreign air carrier oper- craft.
ations. The minimum amounts of cov- (d) Each certificate of insurance shall
erage required by this part may be pro- be signed by an authorized officer,
vided either by insurance policies or by agent, or other representative of the
self-insurance plans. The currently ef- insurer or the insurance broker.
fective policy of insurance or complete (e) Insurance coverage to meet the
plan for self-insurance shall be avail- requirements of this part shall be ob-
able for inspection by the Department tained from one or more of the fol-
at the carrier’s principal place of busi- lowing:
ness. The current certificate of insur- (1) An insurer licensed to issue air-
ance or a summary of the complete craft accident liability policies in any
self-insurance plan on file with the De- State, Commonwealth, or Territory of
partment, as required by § 205.4, shall the United States, or in the District of
be available for public inspection at Columbia;
the carrier’s principal place of busi- (2) Surplus line insurers named on a
ness. current list of such insurers issued and
(b) For purposes of this part, a cer- approved by the insurance regulatory
tificate of insurance is one or more cer- authority of any State, Common-
tificates showing insurance by one or wealth, or Territory of the United
more insurers (excluding reinsurers) of States or of the District of Columbia;
currently effective and properly en- or

18
Office of the Secretary, DOT § 205.5
(3) Insurers licensed or approved by a SW., Washington, DC 20591. For those
foreign government. air carriers that have a mailing address
This requirement may be waived by the in the State of Alaska, the forms shall
Department in the public interest. be submitted to the Department of
Transportation, Federal Aviation Ad-
[ER–1253, 46 FR 52577, Oct. 27, 1981, as amend-
ministration, Alaskan Region Head-
ed by Doc. No. 47939, 57 FR 40100, Sept. 2,
1992] quarters, AAL–230, 222 West 7th Ave-
nue, Box 14, Anchorage, Alaska 99513.
§ 205.4 Filing of evidence of insurance. For Canadian air taxis, the forms shall
(a) A U.S. or foreign air carrier shall be submitted to the Department of
file a certificate of insurance or a com- Transportation, Special Authorities
plete plan for self-insurance with the Division, X–46, 1200 New Jersey Avenue,
Department. Each carrier shall ensure SE., Washington, DC 20590.
that the evidence of aircraft accident (Approved by the Office of Management and
liability coverage filed with the De- Budget under control number 2106–0030)
partment is correct at all times. The
Department will normally notify the [Doc. No. 47939, 57 FR 40100, Sept. 2, 1992, as
carrier within 20 days of receipt if the amended by Doc. No. OST–96–1269, 61 FR
19165, May 1, 1996; 70 FR 25767, May 16, 2005]
certificate or plan does not meet the
requirements of this part. Certificates § 205.5 Minimum coverage.
of Insurance shall be filed on OST
Form 6410 for U.S. air carriers, includ- (a) Insurance contracts and self-in-
ing commuter air carriers and air taxi surance plans shall provide for pay-
operators, and OST Form 6411 for for- ment on behalf of the carrier, within
eign air carriers, including Canadian the specific limits of liability in this
air taxi operators. The Department section, of all sums that the carrier
may return the certificate or self-in- shall become legally obligated to pay
surance plan to the carrier if it finds as damages, excluding any deductible
for good cause that such certificate or in the policy, for bodily injury to or
plan does not show adequate evidence death of a person, or for damage to the
of insurance coverage under this part. property of others, resulting from the
Forms may be obtained from and carrier’s operation or maintenance of
should be filed with the Department at aircraft in air transportation provided
the addresses specified in paragraph (c) under its authority from the Depart-
of this section. Forms may also be ob- ment.
tained on the Internet at http:// (b) U.S. and foreign direct air car-
ostpxweb.dot.gov. riers, including commuter air carriers
(b) If the coverage is by type or class but excluding U.S. air taxi operators
of aircraft or by specific aircraft, en- and Canadian charter air taxi opera-
dorsements that add previously un- tors, shall maintain the following cov-
listed aircraft or aircraft types or erage:
classes to coverage, or that delete list-
(1) Third-party aircraft accident li-
ed aircraft, types, or classes from cov-
ability coverage for bodily injury to or
erage, shall be filed with the Depart-
ment at the addresses specified in para- death of persons, including non-
graph (c) of this section not more than employee cargo attendants, other than
30 days after the effective date of the passengers, and for damage to prop-
endorsements. Aircraft shall not be erty, with minimum limits of $300,000
listed in the carrier’s operations speci- for any one person in any one occur-
fications with the FAA and shall not be rence, and a total of $20,000,000 per in-
operated unless liability insurance cov- volved aircraft for each occurrence, ex-
erage is in force. cept that for aircraft of not more than
(c) Certificates of insurance and en- 60 seats or 18,000 pounds maximum pay-
dorsements required in paragraphs (a) load capacity, carriers need only main-
and (b) of this section shall be sub- tain coverage of $2,000,000 per involved
mitted to the Department of Transpor- aircraft for each occurrence.
tation, Federal Aviation Administra- (2) Any such carrier providing air
tion, Program Management Branch, transportation for passengers shall, in
AFS–260, 800 Independence Avenue, addition to the coverage required in

19
§ 205.5 14 CFR Ch. II (1–1–19 Edition)
paragraph (b)(1) of this section, main- (2) Canadian charter air taxi opera-
tain aircraft accident liability insur- tors engaging in passenger charter air
ance coverage for bodily injury to or service under part 294 of this chapter
death of aircraft passengers, with min- shall, in addition to the coverage re-
imum limits of $300,000 for any one pas- quired in paragraph (d)(1) of this sec-
senger, and a total per involved air- tion, maintain aircraft accident liabil-
craft for each occurrence of $300,000 ity coverage for bodily injury to or
times 75 percent of the number of pas- death of aircraft passengers, with a
senger seats installed in the aircraft. minimum coverage of $75,000 for any
(c) U.S. air taxi operators registered one passenger and a total per involved
under part 298 shall maintain the fol- aircraft for each occurrence of $75,000
lowing coverage: times 75 percent of the total number of
passenger seats installed in the air-
(1) Third-party aircraft accident li-
craft.
ability coverage for bodily injury to or
(e) Notwithstanding paragraphs (b),
death of persons, including non-
(c) and (d) of this section, the carrier
employee cargo attendants, other than
may be insured for a combined single
passengers, with minimum limits of:
limit of liability for each occurrence.
(i) $75,000 for any one person in any The combined single-limit coverage
one occurrence, and a total of $300,000 must be not less than the combined re-
per involved aircraft for each occur- quired minimums for bodily injury and
rence, and property damage coverage plus, if the
(ii) A limit of a least $100,000 for each aircraft is used in passenger service,
occurrence for loss of or damage to the required total passenger coverages
property. stipulated in paragraph (b) of this sec-
(2) U.S. air taxi operators carrying tion for U.S. and foreign direct air car-
passengers in air transportation shall, riers and commuter carriers, paragraph
in addition to the coverage required in (c) of this section for U.S. air taxi oper-
paragraph (c)(1) of this section, main- ators, or paragraph (d) of this section
tain aircraft accident liability insur- for Canadian charter air taxi opera-
ance coverage for bodily injury to or tors. 1 The single-limit liability policy
death of aircraft passengers, with min- for the required aircraft accident li-
imum limits of $75,000 for any one pas- ability coverage may be provided by a
senger, and a total per involved air- single policy or by a combination of
craft for each occurrence of $75,000 primary and excess policies.
times 75 percent of the number of pas- (f) The liability coverage shall not be
senger seats installed in the aircraft. contingent upon the financial condi-
(d) Canadian charter air taxi opera- tion, solvency, or freedom from bank-
tors registered under part 294 of this ruptcy of the carrier. The limits of the
chapter shall maintain the following liability for the amounts required by
coverage: this part shall apply separately to each
(1) Third-party aircraft accident li- occurrence. Any payment made under
ability coverage for bodily injury to or the policy or plan because of any one
death of persons, including non- occurrence shall not reduce the cov-
employee cargo attendants, other than erage for payment of other damages re-
passengers, and for damage to prop- sulting from any other occurrence.
erty, with a minimum coverage of [Doc. No. 47939, 57 FR 40101, Sept. 2, 1992; 57
$75,000 for any one person in any one FR 52590, Nov. 4, 1992]
occurrence, and a total of $2,000,000 per
involved aircraft for each occurrence, 1 For example: the minimum single limit of

except that Canadian charter air taxi liability acceptable for any aircraft in air
operators operating aircraft of more taxi passenger service with 16 passenger
than 30 seats or 7,500 pounds maximum seats would be computed on the basis of lim-
cargo payload capacity, and a max- its set forth in paragraph (c) as follows: 16 
.75 equals 12; 12 $75,000 equals $900,000;
imum authorized takeoff weight on $900,000 plus $300,000 (nonpassenger liability
wheels not greater than 35,000 pounds per occurrence) plus $100,000 (property dam-
shall maintain coverage for those air- age per occurrence) equals $1,300,000. The lat-
craft of $20,000,000 per involved aircraft ter amount is the minimum in which a sin- gle-
for each occurrence. limit liability policy may be written.

20
Office of the Secretary, DOT Pt. 206

§ 205.6 Prohibited exclusions of cov- notice is actually received at the De-

erage. partment. For purposes of this part, a
(a) No warranty or exclusion in the policy will not be considered to have
policy or plan or in any endorsement or expired if the same insurer renews its
amendment to the policy or plan, nor coverage without reduction in the ex-
any violation of the policy or plan by tent of coverage or amounts of cov-
the carrier, shall remove the liability erage, and without a break in coverage,
coverage required by this part, except whether or not a new policy is issued,
as specifically approved by the Depart- and notice to the Department is not re-
ment. This requirement shall not limit quired in that event. If the coverage
the right of insurers to recover from being changed is by type or class of air-
the carrier for amounts paid. craft or by specific aircraft, endorse-
(b) A policy of insurance or a self-in- ments adding or deleting specific air-
surance plan required by this part shall craft or types or classes of aircraft, for
not contain the following exclusions: which prior notice would be required
(1) Violation of any safety-related re- by this paragraph, shall be filed in ac-
quirement imposed by statute or by cordance with § 205.4(b), and prior no-
rule of a government agency. tice of the change need not be given
(2) Liability assumed by the carrier under this paragraph.
under an agreement to raise the liabil- (b) The requirements of this section
ity limitations of the Warsaw Conven- shall not apply if the policy contains a
tion by signing a counterpart to the lesser time period for cancellation in a
agreement of carriers (such as the war risk exclusion. If the war risk ex-
Montreal Agreement, 18900, as ap- clusion is activated by the insurer, the
proved by Board Order E-23680, May 13, insurer or its representative shall im-
1966, agreeing to a limit on the car- mediately notify the Department.
rier’s liability for injury or death of
[Doc. No. 47939, 57 FR 40100, 40101, Sept. 2,
passengers of $75,000 per passenger), or 1992, as amended at 70 FR 25768, May 16, 2005]
any amendment to such agreement
that may be approved by the Depart- § 205.8 Cargo liability disclosure state-
ment and to which the carrier becomes ment.
a party.
Every direct U.S. or foreign air car-
[ER–1253, 46 FR 52577, Oct. 27, 1981, as amend- rier providing air cargo service in air
ed by Doc. No. 47939, 57 FR 40100, 40101, Sept. transportation shall give notice in
2, 1992] writing to the shipper, when a ship-
§ 205.7 Cancellation, withdrawal, ment is accepted, of the existence or
modification, expiration, or replace- absence of cargo liability insurance,
ment of insurance coverage. and the limits on the extent of its li-
ability, if any. The notice shall be
(a) Each policy of aircraft accident
clearly and conspicuously included on
liability insurance and plan for self in-
or attached to all of its rate sheets and
surance shall specify that it shall re-
airwaybills.
main in force, and may not be replaced,
canceled, withdrawn, or in any way [ER–1282, 47 FR 16173, Apr. 15, 1982]
modified to reduce the minimum
standards set forth in this part, or to PART 206—CERTIFICATES OF PUB-
change the extent of coverage, by the LIC CONVENIENCE AND NECES-
insurer or the carrier, nor expire by its
own terms, in regard to coverage for
SITY: SPECIAL AUTHORIZATIONS
the carrier in its common carrier oper- AND EXEMPTIONS
ations in air transportation, until 10
days after written notice by the in- Sec.
206.1 Emergency transportation.
surer (in the event of replacement, by
206.2 Exemption from schedule filing.
the retiring insurer), or by the insur- 206.3 Transportation of newspersons by all-
er’s representative, or by the carrier, cargo carriers.
describing the change, to the Depart- 206.4 Exemption of air carriers for military
ment at the addresses specified in transportation.
§ 205.4(c), which 10-day notice period 206.5 Small aircraft operations by certifi-
shall start to run from the date such cated carriers.

21
§ 206.1 14 CFR Ch. II (1–1–19 Edition)
AUTHORITY: 49 U.S.C. Chapters 401, 415, 417, pictorial or like articles provided that
419. the transportation is limited to the
writer, journalist, or photographer en-
§ 206.1 Emergency transportation. gaged in the preparation of data for use
Notwithstanding the provisions of in feature news, pictorial, or like arti-
section 41101 of the Statute, and any cles which are to appear in newspapers
term, condition or limitation attached or magazines, or on radio or television
to the exercise of the privileges of an programs and which will publicize the
air carrier certificate of public conven- regularly scheduled cargo operations of
ience and necessity which prohibits an the carrier.
air carrier from engaging in air trans- [Doc. No. 47939, 57 FR 40102, Sept. 2, 1992, as
portation between any points on its amended at 60 FR 43524, Aug. 22, 1995]
route, the air carrier may carry be-
tween such points (a) any person or § 206.4 Exemption of air carriers for
persons certified by a physician to be military transportation.
in need of immediate air transpor- Air carriers providing air transpor-
tation in order to secure emergency tation pursuant to a contract with the
medical or surgical treatment together Department of Defense are hereby ex-
with any necessary attendant or at- empted from Chapter 415 of the Stat-
tendants and (b) any medical supplies ute, and from part 221, §§ 207.4 and
certified by a physician as requiring 208.32, of this chapter, with respect to
immediate air transportation for the those services.
protection of life. Air carriers offering
[Doc. No. 47939, 57 FR 40102, Sept. 2, 1992, as
to provide this emergency transpor- amended at 60 FR 43524, Aug. 22, 1995]
tation shall file appropriate tariffs pur-
suant to Chapter 415 of the Statute. § 206.5 Small aircraft operations by
(Secs. 204, 416, 72 Stat. 743, 771; 49 U.S.C. 1324,
certificated carriers.
1386) (a) A carrier holding an effective cer-
[ER–261, 24 FR 1860, Mar. 14, 1959, as amended tificate issued under section 41102 of
at 60 FR 43524, Aug. 22, 1995] the Statute, when conducting oper-
ations with small aircraft, is exempt
§ 206.2 Exemption from schedule fil- from the requirements of the Statute
ing. as set forth in subpart B of part 298 of
All air carriers are hereby exempted this chapter, except section 41708 of the
from the requirements of section Statute, and is subject to the require-
41902(b) of the Statute, which provides ments set forth in the following provi-
that each air carrier must periodically sions of this chapter:
provide the Department and the U.S. (1) Part 205, with the minimum cov-
Postal Service a listing of all of its reg- erage requirements of § 205.5(b),
(2) Part 215,
ularly operated aircraft schedules and
(3) Part 298, subpart D, §§ 298.30, and
schedule changes, showing for each
298.38, and subpart H, and
schedule the points served and the de-
(4) Part 298, subpart F, if the certifi-
parture and arrival times.
cated carrier conducts operations with
[Doc. No. 47939, 57 FR 40101, Sept. 2, 1992, as small aircraft only (a certificated car-
amended at 60 FR 43524, Aug. 22, 1995] rier conducting operations with both
small and large aircraft is subject only
§ 206.3 Transportation of newspersons to the reporting requirements con-
by all-cargo carriers. tained in part 241 of this chapter).
Notwithstanding the provisions of (b) If a certificated carrier, when con-
section 41101 and Chapter 415 of the ducting operations with small aircraft,
Statute and part 221 of this chapter, an provides foreign air transportation
air carrier holding a certificate of pub- that includes a segment for which tar-
lic convenience and necessity for the iff filing is required and another seg-
transportation of only property and ment for which tariff filing is not re-
mail may provide transportation to quired, then for through service over
persons on regularly scheduled cargo that routing the carrier has the option
flights for the purpose of collecting of filing a tariff or charging the sum of
data for preparation of feature news, the applicable local rates, fares, or

22
Office of the Secretary, DOT § 211.1
charges. If the carrier files a tariff for with the provisions of Part 212 of this
through service, it is not exempt from chapter.
Chapter 415 or section 41310 of the Stat-
ute for that air transportation. PART 211—APPLICATIONS FOR
[Doc. No. 47939, 57 FR 40102, Sept. 2, 1992, as PERMITS TO FOREIGN AIR CAR-
amended at 60 FR 43524, Aug. 22, 1995] RIERS
PART 207—CHARTER TRIPS BY U.S. Subpart A—General
SCHEDULED AIR CARRIERS
Sec.
Sec. 211.1 Purpose.
207.1 Applicability. 211.2 Applicability.
207.2 Terms of service.
Subpart B—General Requirements
AUTHORITY: 49 U.S.C. 40101, 40102, 40109,
40113, 41101, 41102, 41103, 41301, 41504, 41702, 211.10 Filing specifications.
41708, 41712, 46101. 211.11 Verification.
SOURCE: Docket No. OST–97–2356, 63 FR 211.12 Filing and service.
28236, May 22, 1998, unless otherwise noted. 211.13 Amendments to applications.
211.14 Incorporation by reference.
§ 207.1 Applicability. 211.15 Statements of fact.
This part establishes the terms, con- 211.16 Oral hearing.
ditions, and limitations applicable to
charter air transportation conducted Subpart C—Information Requirements
by air carriers holding certificates 211.20 Initial foreign air carrier permit or
under 49 U.S.C. 41102 authorizing the transfer of a permit.
operation of scheduled air transpor- 211.21 Amendments or renewal of foreign air
tation services. carrier permits.

§ 207.2 Terms of service. Subpart D—Freely Associated State Air

Charter air transportation under this Carriers
part shall be performed in accordance
211.30 Eligibility.
with the provisions of part 212 of this
211.31 Application.
chapter.
211.32 Issuance of permit.
211.33 Interstate and interstate authority.
PART 208—CHARTER TRIPS BY U.S. 211.34 Other permits.
CHARTER AIR CARRIERS 211.35 Termination of eligibility.
AUTHORITY: 49 U.S.C. Chapters 401, 411, 413,
Sec. 415, 417.
208.1 Applicability.
208.2 Terms of service. SOURCE: ER–1386, 49 FR 33439, Aug. 23, 1984,
AUTHORITY: 49 U.S.C. 40101, 40102, 40109, unless otherwise noted.
40113, 41101, 41102, 41103, 41301, 41504, 41702, EDITORIAL N OTE: Nomenclature changes to
41708, 41712, 46101. part 211 appear at 61 FR 34725, July 3, 1996.
SOURCE: Docket No. OST–97–2356, 63 FR
28236, May 22, 1998, unless otherwise noted. Subpart A—General
§ 208.1 Applicability. § 211.1 Purpose.
This part establishes the terms, con- This part sets forth the filing and
ditions, and limitations applicable to evidence requirements for foreign air
charter air transportation conducted carriers applying for authority to en-
by air carriers holding certificates gage in foreign air transportation
under 49 U.S.C. 41102 authorizing the under section 41301 of Title 49 of the
operation of charter air transportation United States Code (Transportation).
services.
(Approved by the Office of Management and
§ 208.2 Terms of service. Budget under control number 3024–0068)
Charter air transportation under this [ER–1386, 49 FR 33439, Aug. 23, 1984, as amend-
part shall be performed in accordance ed by ER–1397, 49 FR 50027, Dec. 26, 1984]

23
§ 211.2 14 CFR Ch. II (1–1–19 Edition)

§ 211.2 Applicability. (d) Applications shall state all

weights, measures and monetary units
(a) Except as provided in paragraph in U.S. terms, and all text in English.
(b) of this section, this part applies to
all foreign air carriers seeking initial (Approved by the Office of Management and
foreign air carrier permits or the trans- Budget under control number 3024–0068)
fer, renewal, or amendment of an exist- [ER–1386, 49 FR 33439, Aug. 23, 1984, as amend-
ing foreign air carrier permit. ed by ER–1397, 49 FR 50027, Dec. 26, 1984; 61
FR 34725, July 3, 1996]
(b) Canadian charter air taxi opera-
tors, foreign indirect air carriers of § 211.11 Verification.
property, and foreign charter operators
Applications shall be verified and
are not required to submit applications subscribed and sworn to before a No-
under this part. Instead, Canadian tary Public or other officer authorized
charter air taxi operators shall register to administer oaths in the jurisdiction
under part 294 of this chapter, foreign in which the application is executed.
indirect air carriers of property shall An application verified before a United
register under part 297 of this chapter, States consular officer meets the re-
and foreign charter operators shall reg- quirements of this section.
ister under subpart F of part 380 of this
(Approved by the Office of Management and
chapter. Budget under control number 3024–0068)
(Approved by the Office of Management and [ER–1386, 49 FR 33439, Aug. 23, 1984, as amend-
Budget under control number 3024–0068) ed by ER–1397, 49 FR 50027, Dec. 26, 1984]
[ER–1386, 49 FR 33439, Aug. 23, 1984, as amend-
§ 211.12 Filing and service.
ed by ER–1397, 49 FR 50027, Dec. 26, 1984]
All types of applications for foreign
air carrier permits (initial, renewal,
Subpart B—General Requirements amendment, or transfer) are filed as of
§ 211.10 Filing specifications. the date the applications are received
at the Department’s Docket Facility.
(a) Except as provided in paragraph Each applicant shall serve those per-
(b) of this section, applicants shall fol- sons as required in part 302, subpart B,
low the requirements in § 302.3 of this of this chapter.
chapter as to execution, number of cop-
(Approved by the Office of Management and
ies, and formal specifications of papers. Budget under control number 3024–0068)
(b) Mexican air taxi operators filing
[ER–1386, 49 FR 33439, Aug. 23, 1984, as amend-
applications for foreign air carrier per- ed by ER–1397, 49 FR 50027, Dec. 26, 1984; 65
mits authorizing charter flights across FR 6456, Feb. 9, 2000]
the Mexico-United States border with
small aircraft (a maximum passenger § 211.13 Amendments to applications.
capacity of 60 seats or less, or a max- An applicant shall submit any infor-
imum payload capacity of 18,000 pounds mation required by this part that is
or less) shall file an original and two omitted from the original application,
copies of the application. The applica- or any additional information, as an
tion shall conform to the instruction amendment to the original application.
document available from the Foreign Applicants shall consecutively number
Air Carrier Licensing Division, Office amendments to applications and shall
of International Aviation, Department comply with the requirements of this
of Transportation, 1200 New Jersey Av- subpart.
enue, SE., Washington, DC 20590. (Approved by the Office of Management and
(c) An application shall have con- Budget under control number 3024–0068)
secutively numbered pages, and shall [ER–1386, 49 FR 33439, Aug. 23, 1984, as amend-
clearly describe and identify each ex- ed by ER–1397, 49 FR 50027, Dec. 26, 1984]
hibit by a separate number or symbol.
All exhibits are part of the application § 211.14 Incorporation by reference.
to which they are attached. Where two or more applications are
filed by a single carrier, the applicant
may incorporate lengthy exhibits, or

24
Office of the Secretary, DOT § 211.20
other documents, attached to one ap- mating the information requested. The
plication into others by reference. The Department may require an applicant
applicant may not incorporate by ref- to provide additional information as
erence and update any information necessary.
from a previous docket unless sub- (a) State the name and address of the
mitted within the past 2 years. The ap- applicant, the nature of its organiza-
plicant must identify the docket, and tion (individual, partnership, corpora-
the page number or exhibit number tion, etc.), and, if other than an indi-
being incorporated, and state that vidual, the name of the country under
there has been no change in that infor- the laws of which it is organized and
mation since submitting the original the statutory citation of such laws, if
information. any.
(Approved by the Office of Management and
(b) State the name and official ad-
Budget under control number 3024–0068) dress of the government air transport
authority of applicant’s country of
[ER–1386, 49 FR 33439, Aug. 23, 1984, as amend-
citizenship having regulatory jurisdic-
ed by ER–1397, 49 FR 50027, Dec. 26, 1984]
tion over applicant.
§ 211.15 Statements of fact. (c) Supply the following information
regarding the services proposed:
The applicant shall include only sig- (1) A complete statement of the au-
nificant and relevant facts in an appli- thority sought; and
cation. Each application shall contain (2) A description of the services pro-
adequate information with respect to posed, specifying:
the evidence required in subpart C of (i) The point or points in the United
this part. The application may contain States proposed to be served:
other information and data the appli- (ii) The frequency of service planned
cant considers necessary to explain at the start of operations, indicating
particular circumstances. any seasonal variations; whether the
(Approved by the Office of Management and service proposed is to be scheduled,
Budget under control number 3024–0068) nonscheduled or charter; whether the
[ER–1386, 49 FR 33439, Aug. 23, 1984, as amend- service would be passenger, or property
ed by ER–1397, 49 FR 50027, Dec. 26, 1984] and mail, or a combination; and the
type of equipment (and configuration)
§ 211.16 Oral hearing. to be used; and
If an oral evidentiary hearing is con- (iii) A service schedule stating the
vened, the applicant must make avail- manner in which the service will be op-
able witnesses who are competent and erated (e.g., nonstop or multi-stop, and
able to testify to the accuracy of the the identity of proposed intermediate
statements and documents submitted. traffic and nontraffic points).
(d) Provide the names, addresses
(Approved by the Office of Management and
(both residence and business), and citi-
Budget under control number 3024–0068)
zenship of all Directors, Officers and
[ER–1386, 49 FR 33439, Aug. 23, 1984, as amend- key management personnel, including
ed by ER–1397, 49 FR 50027, Dec. 26, 1984] the President, Vice Presidents, the Di-
rectors or Supervisors of Operations,
Subpart C—Information Maintenance, and Finance, and the
Requirements chief pilot and chief inspector. Indicate
whether any of these persons are re-
§ 211.20 Initial foreign air carrier per- lated by blood or marriage.
mit or transfer of a permit. (e) Provide the names and citizenship
A person applying for an initial for- of all persons holding five percent (5%)
eign air carrier permit or the transfer or more of the capital stock or capital
of a permit shall submit the informa- of the applicant. Also indicate the
tion listed below. The applicant must number and percentage of shares of
fully comply with this requirement. If stock or percentage of capital held by
the applicant is unable to respond to each. If five percent or more of the ap-
an item, the application shall contain plicant’s stock is held by a corporation
an explanation, and include substitute or partnership, set forth the name and
information most closely approxi- citizenship of each person holding five

25
§ 211.20 14 CFR Ch. II (1–1–19 Edition)
percent or more of the entire capital tion number and the country of reg-
stock or capital of that corporation or istration. If leased, state the address
partnership and the respective interest and citizenship of each lessor. Describe
of each. If any shares are held for the any plans for the acquisition or lease of
benefit of another person, give the additional aircraft if the present per-
name and citizenship of that person. mit application is granted as proposed.
(f) If the applicant is not wholly If any of the listed aircraft will not be
owned by its homeland government, used exclusively by the applicant, ex-
state whether the applicant (each offi- plain its proposed use. State whether
cer, director, manager, or holder of five any aircraft are or will be wet-leased.
percent or more of the capital stock) (l) State where and by whom the
holds any interest directly or indi- maintenance of the aircraft is or will
rectly (through brokers or holding be performed. State whether the appli-
companies) in any of the entities listed cant’s maintenance program complies
below. If no interest is held, so state. with the provisions of ICAO Pilots and
(1) Any U.S. carrier; Airmen Annexes 1, 6 (Part 1) and 7.
(2) Any other foreign air carrier; Also state whether the applicant’s
(3) Any persons engaged in the busi- home country is a contracting State to
ness of aeronautics; and the Convention on International Civil
(4) Any common carrier, or any per- Aviation.
son whose principal business is the (m) Briefly describe any agreements
holding of stock in, or control of, any or cooperative working arrangements
air carrier. (e.g., block-space, wet-lease), both oral
(g) Indicate the relationship between and written, entered with and between
the applicant and its homeland govern- the applicant, or on behalf of the appli-
ment. If the applicant is wholly owned cant, and any U.S. or foreign air car-
or substantially owned by the govern- rier, affecting the proposed services to
ment, indicate which governmental de- the United States that are not on file
partment has responsibility for mana- with the Department. If there are no
gerial decisions. such agreements, so state.
(h) State whether the applicant’s in- (n) Supply financial data summaries,
surance coverage meets or exceeds the setting forth in U.S. dollars the appli-
liability limits of 14 CFR part 205. cant’s profit and loss statements and
State the name(s) of its insurance car- balance sheets for the 2 most recent
rier(s). available years (calendar or fiscal).
(i) Supply certified evidence, in These summaries must be accompanied
English, of the applicant’s operating by a statement from the applicant’s of-
authority issued by its government ficial responsible for preparation of the
that relates to the operations proposed. summaries that the submissions are
This evidence must include a descrip- complete and accurate. These sum-
tion of the applicant’s present author- maries must include the following
ity, the expiration date of this author- data, but need not be more detailed
ity, and the manner in which it is ex- than the financial data summaries pub-
pected to be renewed. lished by ICAO:
(j) Summarize the operating history (1) The profit and loss summary shall
of the applicant. Include the types of identify:
transportation services rendered, (i) Total air transport operating reve-
points served, etc., from the beginning nues (separated into three categories:
of operations to the present. Also, if passenger, cargo, and other transport
the applicant is a new airline (i.e., an revenues);
airline that began direct air services (ii) Total air transport operating ex-
within the past 12 months), briefly penses;
summarize the business experience of (iii) Operating result (difference be-
each officer, director and key manage- tween (i) and (ii));
ment personnel, emphasizing any air (iv) Non-operating items; and
transportation experience. (v) Profit or loss after income taxes.
(k) Provide a list of the aircraft (2) The balance sheet summary shall
owned, leased and operated by the ap- state and identify:
plicant. State each aircraft registra- (i) Current assets;

26
Office of the Secretary, DOT § 211.21
(ii) Flight equipment (after deprecia- § 211.21 Amendments or renewal of
tion); foreign air carrier permits.
(iii) Other assets; A person applying for an amendment
(iv) Total assets (sum of (i) through or renewal of a foreign air carrier per-
(iii)); mit shall submit the information listed
(v) Current liabilities; below. The applicant must comply
(vi) Other liabilities; fully with this requirement. If the ap-
(vii) Long-term debt; plicant is unable to respond to an item,
(viii) Capital stock; the application shall contain an expla-
(ix) Retained earnings (balance in- nation and include substitute informa-
tion most closely approximating the
cluding capital surplus); and
information requested. The Depart-
(x) Total liabilities and equity (sum
ment may require an applicant to pro-
of (v) through (ix)). vide any additional information nec-
(o) Describe the amount, type and essary.
reason for financial assistance received (a) The information required in para-
or expected from the applicant’s home graphs (a), (b), (i), (o), (q), (r), and (s),
government, if any. of § 211.20.
(p) Submit an estimate showing the (b) Except if seeking renewal of exist-
total traffic and the financial results of ing authority, the information speci-
the proposed services for the first full fied in paragraphs (c) and (p) of § 211.20
year of normal operations and the sup- regarding the new or altered services
porting data employed to calculate the proposed to be operated.
financial forecast. (c) If the financial material for the
(q) If the air transportation proposed applicant on file with the Department
is not covered by an air transport is more than 2 years old, financial sum-
agreement, state in narrative form maries setting forth, in U.S. dollars,
each of the elements of reciprocity or the applicant’s profit and loss state-
comity relied upon for the requested ments and balance sheets for the 2
authority. If the authority requested is most recent available years (calendar
or fiscal) as required in paragraph (n)
governed by an agreement, state
of § 211.20, together with the statement
whether the applicant has been for-
of completeness and accuracy required
mally designated by its homeland gov- by that paragraph. If the financial ma-
ernment, and, if so, cite the diplomatic terial on file with the Department is 2
note. years old or less, the applicant may in-
(r) To the extent not described in corporate that information by ref-
paragraph (q), state the policy of the erence as described in § 211.14 of this
applicant’s homeland government with part.
respect to U.S. carriers’ applications (d) If the ownership and control of
for scheduled and charter authority. the applicant are substantially un-
Specifically state whether the home- changed, so state. If a change has oc-
land government grants Fifth Freedom curred, the applicant shall respond to
traffic rights to U.S. carriers. the paragraph in § 211.20 that most
(s) For the preceding 5 years, state closely relates to the change that has
whether the applicant has been in- taken place.
volved in any safety or tariff violations (e) A statement that applicant’s
or any fatal accidents. If so, furnish de- maintenance program continues to
tails. comply with the provisions of ICAO Pi-
(t) Submit 3 completed copies of OST lots and Airmen Annexes 1, 6 (Part 1)
Form 4523 (Waiver of liability limits and 7.
under the Warsaw Convention). [ER–1386, 49 FR 33439, Aug. 23, 1984]

(Approved by the Office of Management and

Budget under control number 3024–0068) Subpart D—Freely Associated
State Air Carriers
[ER–1386, 49 FR 33439, Aug. 23, 1984, as amend-
ed by ER–1397, 49 FR 50027, Dec. 26, 1984; 61
FR 34725, July 3, 1996] SOURCE: Amdt. 211–18, 52 FR 5442, Feb. 22,
1987, unless otherwise noted.

27
§ 211.30 14 CFR Ch. II (1–1–19 Edition)
EDITORIAL NOTE: Nomenclature changes to grant of all or part of the requested au-
subpart D of part 211 appear at 61 FR 34725, thority would otherwise be in the pub-
July 3, 1996.
lic interest, the Department may, sub-
§ 211.30 Eligibility. ject to Presidential review under sec-
tion 801(a) of the Federal Aviation Act,
Foreign carriers owned and con- issue a ‘‘Freely Associated State For-
trolled by citizens of the Federated eign Air Carrier Permit’’ to the appli-
States of Micronesia, the Marshall Is- cant, including such terms, conditions
lands, Palau and/or the United States or limitations as the Department may
may, in accordance with the provisions find to be in the public interest.
of paragraph 5(b) of Article IX of the
Federal Programs and Services Agree-
ment, implementing section 221(a)(5) of § 211.33 Interstate and interstate au-
thority.
the Compact of Free Association be-
tween the United States and those gov- (a) An application under this subpart
ernments, apply for authority as may include a request, in addition to
‘‘Freely Associated State Air Car- other foreign air transportation, for
riers.’’ The permit application for such authority to engage in interstate air
authority shall be labeled on the front transportation between Guam, the
page, ‘‘Application for Freely Associ- Commonwealth of the Northern Mar-
ated State Foreign Air Carrier Per- iana Islands and Honolulu, Hawaii, and
mit.’’ interstate air transportation within
the Commonwealth of the Northern
§ 211.31 Application.
Mariana Islands. A request for all or
The application shall include, in ad- part of such limited interstate air
dition to other requirements of this transportation authority shall be sup-
part, documentation clearly estab- ported by documentation establishing:
lishing: (1) The impact of such interstate air
(a) That the carrier is organized transportation services on the eco-
under the laws of the Federated States nomic projections of the carrier’s pro-
of Micronesia, the Marshall Islands, posed operations;
Palau or the United States; (2) The need for such proposed inter-
(b) That substantial ownership and state air transportation by the affected
effective control of the carrier are held U.S. points;
by citizens of the Federated States of (3) The economic impact of such
Micronesia, the Marshall Islands,
interstate air transportation on serv-
Palau and/or the United States;
ices provided by other carriers pro-
(c) That citizens of other countries
viding essential air transportation
do not have interests in the carrier suf-
services to eligible Freely Associated
ficient to permit them substantially to
State points within the scope of part
influence its actions, or that substan-
tial justification exists for a temporary 272 of this chapter.
waiver of this requirement; (b) The Department may grant a
(d) That the Administrator of the Freely Associated State Air Carrier au-
Federal Aviation Administration has thority to engage in all or part of the
determined that the carrier complies interstate air transportation requested
with such safety standards as the Ad- in paragraph (a) of this section pro-
ministrator considers to be required. vided that the Department finds:
(e) That the government or govern- (1) That grant of such interstate air
ments of the Freely Associated States transportation authority would be in
concerned have consented to the car- furtherance of the objectives of the
rier’s operation as a ‘‘Freely Associ- Compact of Free Association and re-
ated State Air Carrier.’’ lated agreements between the United
States and the Freely Associated
§ 211.32 Issuance of permit. States, and would otherwise be in the
If the Department is satisfied that public interest; and
the applicant meets the requirements (2) That grant of such interstate air
of § 211.31 (a) through (e), and that transportation authority would not

28
Office of the Secretary, DOT § 212.2
significantly impair the economic via- PART 212—CHARTER RULES FOR
bility of existing services providing es- U.S. AND FOREIGN DIRECT AIR
sential air transportation to any eligi- CARRIERS
ble Freely Associated State point with-
in the scope of part 272 of this chapter, Sec.
or significantly increase compensation 212.1 Scope.
that may be required to maintain any 212.2 Definitions.
such essential air transportation. 212.3 General provisions.
212.4 Authorized charter types.
(c) The Department may, at any 212.5 Operation of affinity (pro rata) char-
time, subject to Presidential review ters.
under section 41307, suspend, modify, or 212.6 Operation of gambling junket char-
revoke such interstate authority if it ters.
concludes that the requirements speci- 212.7 Direct sales.
212.8 Protection of customers’ payments.
fied in paragraph (b) of this section are 212.9 Prior authorization requirements.
not then being met. 212.10 Application for statement of author-
ization.
[Amdt. 211–18, 52 FR 5442, Feb. 22, 1987]
212.11 Issuance of statement of authoriza-
tion.
§ 211.34 Other permits. 212.12 Waiver.
Nothing in this section shall be con- APPENDIX A TO PART 212—CERTIFICATED OR
strued as limiting the authority of the FOREIGN AIR CARRIER’S SURETY BOND
Department to issue a foreign air car- UNDER PART 212 OF THE REGULATIONS OF
THE DEPARTMENT OF TRANSPORTATION (14
rier permit, other than a Freely Asso- CFR PART 212)
ciated State Foreign Air Carrier Per- APPENDIX B TO PART 212—CERTIFICATION OF
mit, to a carrier owned or controlled, COMPLIANCE
in whole or in part, by citizens of the AUTHORITY: 49 U.S.C. 40101, 40102, 40109,
Federated States of Micronesia, the 40113, 41101, 41103, 41504, 41702, 41708, 41712,
Marshall Islands or Palau, that does 46101.
not meet the requirements of this sec- SOURCE: Docket No. OST–97–2356, 63 FR
tion. 28236, May 22, 1998, unless otherwise noted.

§ 211.35 Termination of eligibility. § 212.1 Scope.

The eligibility of a carrier owned or This part applies to all charter
controlled, in whole or in part, by citi- flights, and all other flights carrying
zens of the Federated States of Micro- charter passengers or cargo, in inter-
nesia, the Marshall Islands or Palau, state and/or foreign air transportation
respectively, for issuance of a Freely by U.S. certificated air carriers or in
Associated State Foreign Air Carrier foreign air transportation by foreign
air carriers. It does not apply to any
Permit under this subpart shall exist
flights performed by a commuter air
only for such period as subparagraphs
carrier, air taxi operator, or certifi-
(a), (d), and (e) (eligibility for Freely
cated air carrier operating ‘‘small air-
Associated State essential air trans- craft’’ under part 298 of this chapter.
portation subsidy compensation), or Nothing in this part gives authority to
subparagraph (c) (limited interstate air operate a type or level of service not
transportation authority), of para- authorized by certificate, foreign air
graph (5) of the Agreement on Civil carrier permit, or exemption, except
Aviation Economic Services and Re- that a certificated air carrier author-
lated Programs (Article IX of the Fed- ized to conduct scheduled operations
eral Programs and Services Agree- may conduct charter flights, in inter-
ment) remain in effect between the state and/or foreign air transportation,
Government of those States and the without limitation as to the points
Government of the United States, inso- served.
far as authority is conferred by such
permits for purposes specified in those § 212.2 Definitions.
subparagraphs. For the purposes of this part:
Affinity (pro rata) charter means a
[Amdt. 211–18, 52 FR 5442, Feb. 22, 1987]
charter arranged by an organization on

29
§ 212.3 14 CFR Ch. II (1–1–19 Edition)
behalf of its membership, and which charter participants and partly by the
meets the requirements of § 212.5. charterer, where all the passengers
Certificated air carrier means a U.S. meet the eligibility requirements for
direct air carrier holding a certificate ‘‘affinity (pro rata)’’ charters of § 212.5.
issued under 49 U.S.C. 41102. Part charter means flight carrying
Charter flight means a flight operated both charter and scheduled passenger
under the terms of a charter contract traffic.
between a direct air carrier and its Seventh-freedom charter means a char-
charterer or lessee. It does not include ter flight carrying traffic that origi-
scheduled interstate air transpor- nates and terminates in a country
tation, scheduled foreign air transpor- other than the foreign air carrier’s
tation, or nonscheduled cargo foreign home country, where the flight does
air transportation, sold on an individ- not have a prior, intermediate, or sub-
ually ticketed or individually sequent stop in the foreign air carrier’s
waybilled basis. home country.
Charter operator means: Single entity charter means a charter
(1) A ‘‘Public Charter operator’’ as the cost of which is borne by the
defined in § 380.2 of this chapter, or charterer and not by individual pas-
(2) An ‘‘Overseas Military Personnel sengers, directly or indirectly.
Charter operator’’ as defined in § 372.2 Sixth-freedom charter means a charter
of this chapter. flight carrying traffic that originates
Direct air carrier means a certificated and terminates in a country other than
or foreign air carrier that directly en- the country of the foreign air carrier’s
gages in the operation of aircraft under home country, provided the flight oper-
a certificate, permit, or exemption ates via the home country of the for-
issued by the Department. eign air carrier.
Fifth freedom charter means a charter Third freedom charter means a charter
flight carrying traffic that originates flight carrying traffic that originates
and terminates in countries other than in the carrier’s home country and ter-
the carrier’s home country, regardless minates in another country.
of whether the flight operates via the Wet lease means a lease between di-
home country. rect air carriers by which the lessor
Foreign air carrier means a direct air provides all or part of the capacity of
carrier which is not a citizen of the an aircraft, and its crew, including op-
United States as defined in 49 U.S.C. erations where the lessor is conducting
40102(a) that holds a foreign air carrier services under a blocked space or code-
permit issued under 49 U.S.C. 41302 or sharing arrangement.
an exemption issued under 49 U.S.C. [Doc. No. OST–97–2356, 63 FR 28236, May 22,
40109 authorizing direct foreign air 1998, as amended at 71 FR 5784, Feb. 3, 2006]
transportation.
Fourth freedom charter means a char- § 212.3 General provisions.
ter flight carrying traffic that termi- (a) Certificated and foreign air car-
nates in the carrier’s home country riers may conduct charter flights as de-
having originated in another country. scribed in this part, and may carry
Gambling junket charter means a char- charter passengers on scheduled
ter arranged by a casino, hotel, cruise flights, or charter cargo on scheduled
line, or its agents, the purpose of which or nonscheduled flights (or on the main
is to transport passengers to the ca- deck or in the belly of passenger char-
sino, hotel, or cruise ship where gam- ter flights), subject to the require-
bling facilities are available, and which ments of this chapter and any orders
meets the requirements of § 212.6. of, or specific conditions imposed by,
Long-term wet lease means a wet lease the Department.
which either— (b) Charter flights may be operated
(1) Lasts more than 60 days, or on a round-trip or one-way basis, with
(2) Is part of a series of such leases no minimum group, shipment, or con-
that amounts to a continuing arrange- tract size.
ment lasting more than 60 days. (c) Contracts to perform charter
Mixed charter means a charter, the flights must be in writing and signed
cost of which is borne partly by the by an authorized representative of the

30
Office of the Secretary, DOT § 212.3
certificated or foreign air carrier and passenger who purchased round trip
the charterer prior to the operation of transportation on that charter and who
the flights involved. The written agree- was transported by that carrier on his
ment shall include: or her outbound flight; except that this
(i) The name and address of either provision shall not apply in cases
the surety whose bond secures advance where the return transportation is to
charter payments received by the car- be provided by another certificated or
rier, or of the carrier’s depository bank foreign air carrier.
to which checks or money orders for (g) A certificated or foreign air car-
the advance charter payments are to be rier may not perform any charter
made payable as escrow holder pending flight for which a statement of author-
completion of the charter trip; and ization is required under § 212.9 until
(2) A statement that unless the one has been granted by the Depart-
charterer files a claim with the carrier, ment. In addition, if a foreign air car-
or, if the carrier is unavailable, with rier is required to obtain a statement
the surety, within 60 days after the of authorization under paragraph (e) of
cancellation of a charter trip with re- that section, neither it, not any char-
spect to which the charterer’s advance ter operator, or any other person shall
payments are secured by the bond, the advertise or sell any passenger charter
surety shall be released from all liabil- services except those that have been
ity under the bond to such charterer specifically authorized by the Depart-
for such trips. ment.
(d) A certificated or foreign air car- (h) A certificated air carrier may not
rier must make a reasonable effort to operate charters where such operations
verify that any charterer with which it would result in a substantial change in
contracts, and any charter it conducts, the scope of its operations within the
meets the applicable requirements of meaning of part 204 of this chapter.
this chapter.
(i) A certificated air carrier may not
(e) The certificated or foreign air car-
limit its baggage liability for inter-
riers shall require full payment of the
state charter flights except as set forth
total charter price, including payment
in part 254 of this chapter.
for the return portion of a round trip,
or the posting of a satisfactory bond (j) A certificated air carrier may not,
for full payment, prior to the com- except as set forth in part 121 of the
mencement of any portion of the air Federal Aviation Regulations (14 CFR
transportation, provided, however, that part 121), limit the availability, upon
in the case of a passenger charter for reasonable request, of air transpor-
less than the entire of an aircraft, the tation and related services to a person
carrier shall require full payment of who may require help from another
the total charter price, including pay- person in expeditiously moving to an
ment for the return portion of a round emergency exit for evacuation of an
trip, from the charterers not less than aircraft.
10 days prior to the commencement of (k) A certificated air carrier holding
any portion of the transportation, and a certificate to conduct only cargo op-
such payment shall not be refundable erations may not conduct passenger
unless the charter is canceled by the charters.
carrier or unless the carrier accepts a (l) A certificated air carrier may not
substitute charterer for one which has perform any charter in interstate com-
canceled a charter, in which case the merce within the State of Alaska.
amount paid by the latter shall be re- (m) A foreign air carrier may operate
funded. For the purpose of this section, charters in foreign air transportation
payment to the carrier’s depository only to the extent authorized by its
bank, as designated in the charter con- foreign air carrier permit under 49
tract, shall be deemed payment to the U.S.C. 41302 or exemption authority
carrier. under 49 U.S.C. 40109, and only to the
(f) A certificated or foreign air car- extent to which such operations are
rier operating a U.S.-originating pas- consistent with the provisions of any
senger charter shall be responsible to applicable bilateral aviation under-
return to his or her point of origin any taking.

31
§ 212.4 14 CFR Ch. II (1–1–19 Edition)

§ 212.4 Authorized charter types. Some of the Federal rules that pro-
tect against tour changes and loss of
Certificated and foreign air carriers
passengers’ money in publicly sold
may conduct the following charter
charters do not apply to this charter
types, subject to the provisions of this
flight.
part:
(d) ‘‘Bona fide members’’ are mem-
(a) Affinity (pro rata) charters.
bers of an organization who: Have not
(b) Single entity charters, including: joined the organization merely to trav-
(1) Wet leases involving the carriage el on a charter flight; and who have
of passengers and/or cargo, provided, been members of the chartering organi-
that the wet lessee holds appropriate zation for a minimum of six months
economic authority from the Depart- prior to the date of commencement of
ment to conduct the proposed oper- the affected flight; provided, that the
ations; and ‘‘six month’’ rule does not apply to:
(2) Charters pursuant to contracts (1) Employees of a single commercial
with the Department of Defense, pro- establishment, industrial plant, or gov-
vided, that foreign air carriers may ernment agency, or
conduct charters for the Department of (2) Students and employees of a sin-
Defense only to the extent that such gle school.
operations are consistent with the pro- (e) The charter price due the direct
visions of 49 U.S.C. 40118. air carrier shall be prorated equally
(c) Mixed charters. among all the charter passengers, ex-
(d) Gambling junket charters. cept that children under 12 may be of-
(e) Public Charters in accordance fered discounted or free transportation.
with part 380 of this chapter (including (f) The certificated or foreign air car-
operations by educational institutions rier shall make reasonable efforts to
as defined in that part). assure that passengers transported
(f) Overseas military personnel char- meet the eligibility requirements of
ters in accordance with part 372 of this this section. The certificated or foreign
chapter. air carrier shall also obtain (no later
(g) Cargo charters. than the date of departure), and main-
tain for two years, a certification by an
§ 212.5 Operation of affinity (pro rata) authorized representative of the char-
charters.
tering organization that all passengers
An affinity (pro rata) charter oper- are eligible for transportation under
ated by a certificated or foreign air this section.
carrier must meet the following cri-
teria: § 212.6 Operation of gambling junket
(a) The aircraft must be chartered by charters.
an organization, no part of whose busi- A gambling junket charter operated
ness is the formation of groups for by a certificated or foreign air carrier
transportation or solicitation or sale of must meet the following criteria:
transportation services, for the purpose (a) The aircraft must be chartered by
of providing air transportation to its (1) A casino, hotel, or cruise line duly
members and their immediate families. licensed by the government of any
(b) The charter must be organized by state, territory or possession of the
the organization itself, or by a person United States, or by a foreign govern-
or company who acts not as a prin- ment, or
cipal, but as an agent for the char- (2) An agent of such a casino, or
tering organization or the certificated cruise line on behalf of that casino,
or foreign air carrier. hotel, or cruise line.
(c) No solicitation, sales, or partici- (b) The casino, hotel, or cruise line or
pation may take place beyond the bona its agents, may not require a passenger
fide members of an eligible chartering to incur any expense in taking the trip,
organization, and their immediate fam- provided, that this provision shall not
ilies (spouse, children, and parents). All preclude the casino, hotel, or cruise
printed solicitation materials shall line or its agents, from requiring pro-
contain the following notice in bold- spective passengers to pay nominal res-
face, 10-point or larger type— ervation fees that are duly refundable

32
Office of the Secretary, DOT § 212.8
by the casino, hotel, or cruise line be- (c) The Department reserves the
fore the flight, establish a minimum right to limit or prohibit the operation
line-of-credit at the casino, hotel, or of direct sales Public Charters by a for-
cruise line, bring (but not necessarily eign air carrier upon a finding that
spend) a specified minimum amount of such action is necessary in the public
money, or meet other requirements interest.
that do not place them in financial
jeopardy; nor does it preclude the ca- § 212.8 Protection of customers’ pay-
sino, hotel, or cruise line, or its agents, ments.
from offering operational land pack- (a) Except as provided in paragraph
ages for a fee. (c) of this section, no certificated air
carrier or foreign air carrier shall per-
§ 212.7 Direct sales.
form any charter trip (other than a
(a) Certificated and foreign air car- cargo charter trip) originating in the
riers may sell or offer for sale, and op- United States or any Overseas Military
erate, as principal, Public Charter Personnel Charter trip, as defined in
flights under part 380 of this chapter part 372 of this chapter, nor shall such
directly to the public. carrier accept any advance payment in
(b) Each certificated or foreign air connection with any such charter trip,
carrier operating a charter trip under unless there is on file with the Depart-
this section shall comply with all the ment a copy of a currently effective
requirements of part 380 of this chap- agreement made between said carrier
ter, except that: and a designated bank, by the terms of
(1) Those provisions of part 380 relat- which all sums payable in advance to
ing to the existence of a contract be- the carrier by charterers, in connection
tween a charter operator and a direct with any such trip to be performed by
air carrier do not apply;
said carrier, shall be deposited with
(2) A depository agreement shall and maintained by the bank, as escrow
comply with § 380.34a (d) and (f);
holder, the agreement to be subject to
(3) A security agreement shall com- the following conditions:
ply with § 380.34 (c) and (d); and
(1) The charterer (or its agent) shall
(i) If no depository agreement is
pay the carrier either by check or
used, protect charter participant pay-
money order made payable to the de-
ments (including those for ground ac-
pository bank. Such check or money
commodations and services) and assure
the certificated or foreign air carrier’s order and any cash received by the car-
contractual and regulatory responsibil- rier from a charterer (or its agent)
ities to charter participants in an un- shall be deposited in, or mailed to, the
limited amount (except that the liabil- bank no later than the close of the
ity of the securer with respect to any business day following the receipt of
charter participant may be limited to the check or money order or the cash,
the charter price paid by or on behalf along with a statement showing the
of such participant); name and address of the charterer (or
(ii) If used in combination with a de- its agent); provided, however, that
pository agreement, protect charter where the charter transportation to be
participant payments (including those performed by a carrier is sold through
for ground accommodations and serv- a travel agent, the agent may be au-
ices) and assure the certificated or for- thorized by the carrier to deduct its
eign air carrier’s contractual and regu- commission and remit the balance of
latory responsibilities to charter par- the advance payment to the carrier ei-
ticipants in the amount of at least ther by check or money order made
$10,000 times the number of flights, ex- payable to the designated bank.
cept that the amount need not be more (2) The bank shall pay over to the
than $200,000. The liability of the se- carrier escrowed funds with respect to
curer with respect to any charter par- a specific charter only after the carrier
ticipant may be limited to the charter has certified in writing to the bank
price paid by or on behalf of such par- that such charter has been completed;
ticipant. provided, however, that the bank may

33
§ 212.8 14 CFR Ch. II (1–1–19 Edition)
be required by the terms of the agree- of such bond shall be unlimited. 1
ment to pay over to the carrier a speci- Claims under the bond may be made
fied portion of such escrowed funds, as only with respect to the non-perform-
payment for the performance of the ance of air transportation.
outbound segment of a round-trip char- (d) The bond permitted by this sec-
ter upon the carrier’s written certifi- tion shall be in the form set forth as
cation that such segment has been so the appendix to this part. Such bond
completed. shall be issued by a bonding or surety
company—
(3) Refunds to a charterer from sums
(1) Which is listed in Best’s Insurance
in the escrow account shall be paid di-
Reports (Fire and Casualty) with a gen-
rectly to such charterer its assigns. eral policyholders’ rating of ‘‘A’’ or
Upon written certification from the better or
carrier that a charter has been can- (2) Which is listed in the U.S. Depart-
celed, the bank shall turn over directly ment of Treasury’s notice listing com-
to the charterer or its assigns all panies holding Certificates of Author-
escrowed sums (less any cancellation ity as acceptable sureties on Federal
penalties as provided in the charter bonds and as acceptable reinsuring
contract) which the bank holds with companies, published in the FEDERAL
respect to such canceled charter, pro- REGISTER on or about July 1. The bond-
vided however, that in the case of a ing or surety company shall be one le-
split charter escrowed funds shall be gally authorized to issue bonds of that
turned over to a charterer or its as- type in the State in which there is lo-
signs only if the carrier’s written cer- cated the office or usual residence of
tification of cancellation of such char- the agency designated by the carrier
ter includes a specific representation under 49 U.S.C. 46103 to receive service
that either the charter has been can- of notices, process and other docu-
ments issued by or filed with the De-
celed by the carrier or, if the charter
partment of Transportation. For the
has been canceled by the charterer, purposes of this section the term
that the carrier has accepted a sub- ‘‘State’’ includes any territory or pos-
stitute charterer. session of the United States, or the
(4) The bank shall maintain a sepa- District of Columbia. If the bond does
rate accounting for each charter flight. not comply with the requirements of
(5) As used in this section the term this section, or for any reason fails to
‘‘bank’’ means a bank insured by the provide satisfactory or adequate pro-
Federal Deposit Insurance Corporation. tection for the public, the Department
(b) The escrow agreement required will notify the certificated or foreign
under paragraph (a) of this section air carrier by registered or certified
shall not be effective until approved by mail, stating the deficiencies of the
the Department. Claims against the es- bond. Unless such deficiencies are cor-
crow may be made only with respect to rected within the time limit set forth
in the notification, no amounts pay-
the non-performance of air transpor-
able in advance by customers for the
tation.
subject charter trips shall be accepted
(c) The carrier may elect, in lieu of by the carrier.
furnishing an escrow agreement pursu- (e) The bond required by this section
ant to paragraph (a) of this section, to shall provide that unless the charterer
furnish and file with the Department a files a claim with the carrier, or, if the
surety bond with guarantees to the carrier is unavailable, with the surety,
United States Government the per- within 60 days after cancellation of a
formance of all charter trips (other charter trip with respect to which the
than cargo charter trips) originating in charterer’s advance payments are se-
the United States and of all overseas cured by the bond, the surety shall be
military personnel charter trips, as de-
fined in part 372 of this chapter, to be 1 While the face amount of the bond is un-

performed, in whole or in part, by such limited, claims are limited to amounts that
carrier pursuant to any contracts en- are paid to carrier for U.S.-originating pas-
senger charter flights that carrier fails to
tered into by such carrier. The amount perform or to refund.

34
Office of the Secretary, DOT § 212.10
released from all liability under the cation or to obtain a statement of au-
bond to such charterer for such charter thorization before operating any char-
trip. The contract between the carrier ter flight over U.S. territory.
and the charterer shall contain notice
[Doc. No. OST–97–2356, 63 FR 28236, May 22,
of this provision. 1998, as amended at 71 FR 5785, Feb. 3, 2006]
§ 212.9 Prior authorization require-
ments. § 212.10 Application for statement of
authorization.
(a) Certificated air carriers shall ob-
tain a statement of authorization for (a) Application for a statement of au-
each long-term wet lease to a foreign thorization shall be submitted on OST
air carrier. Form 4540 except that for part charters
(b) Foreign air carriers shall obtain a or long-term wet leases the application
statement of authorization for each: may be in letter form. An application
(1) Fifth-, sixth- and/or seventh-free- for a long-term wet lease shall describe
dom charter flights to or from the the purpose and terms of the wet lease
United States; agreement. Except for an application
(2) Long-term wet lease; for a long-term wet lease involving a
(3) Charter flight for which the De- codeshare agreement, an original and
partment specifically requires prior au- two copies of an application shall be
thorization under paragraph (e) or (f) of submitted to the Department of Trans-
this section; or portation, Office of International Avia-
(4) Part charter. tion, U.S. Air Carrier Licensing Divi-
(c) The Department may issue blan- sion, X–44 (for an application by a cer-
ket statements of authorization to for- tificated air carrier), or Foreign Air
eign air carriers to conduct fifth free- Carrier Licensing Division, X–45 (for an
dom charters. The standards for application by a foreign air carrier),
issuing such blanket authorizations 1200 New Jersey Avenue, SE., Wash-
shall be those stated in § 212.11. The De- ington, DC 20590; an original and two
partment may revoke any authority copies of an application for a long-term
granted under this paragraph at any wet lease involving a codeshare agree-
time without hearing. ment shall be submitted to DOT Dock-
(d) The Department may at any time, ets, PL–401, 1200 New Jersey Avenue,
with or without hearing, but with at SE., Washington, DC 20590, or by elec-
least 30 days’ notice, require a foreign tronic submission to DOT Dockets ac-
air carrier to obtain a statement of au- cording to procedures at the DOT
thorization before operating any char- Dockets website. Upon a showing of
ter flight. In deciding whether to im- good cause, the application may be
pose such a requirement, the Depart- transmitted by facsimile (fax) or tele-
ment will consider (but not be limited gram, or may be made by telephone,
to considering) whether the country of provided, that in the case of a fax or
the carrier’s nationality: telephone application, the applicant
(1) Requires prior approval for third must confirm its request (by filing an
or fourth freedom charter flights by original and two copies of its applica-
U.S. air carriers; tion as described above) within three
(2) Has, over the objection of the U.S. business days.
Government, denied rights of a U.S. air (b) A copy of each application for a
carrier guaranteed by a bilateral agree- long-term wet lease shall also be served
ment; or on the Director of Flight Standards
(3) Has otherwise impaired, limited, Service (AFS–1), Federal Aviation Ad-
or denied the operating rights of U.S. ministration, 800 Independence Avenue,
air carriers, or engaged in unfair, dis- SW., Washington, DC 20591, and on each
criminatory, or restrictive practices certificated air carrier that is author-
with respect to air transportation serv- ized to serve the general area in which
ices to, from, through, or over its terri- the proposed transportation is to be
tory. performed.
(e) The Department, in the interest (c)(1) Applicants for statements of
of national security, may require a for- authorization filed by foreign air car-
eign air carrier to provide prior notifi- riers shall include documentation to

35
§ 212.11 14 CFR Ch. II (1–1–19 Edition)
establish the extent to which the coun- cation or before the date of the pro-
try of the applicant’s nationality deals posed flight or flights, whichever is
with U.S. air carriers on the basis of earlier. Memorandums will be consid-
reciprocity for similar flights, if such ered to the extent practicable; the De-
flights are not subject to a bilateral partment may act on an application
agreement, and without waiting for supporting or op-
(i) The Department has not estab- posing memorandums to be filed.
lished that the country accords reci- (2) Each memorandum shall set forth
procity; the reasons why the application should
(ii) The Department has found reci- be granted or denied, accompanied by
procity defective in the most recent whatever data, including affidavits, the
prior approval application involving Department is requested to consider.
the country; or (3) A copy of each memorandum shall
(iii) Changes in reciprocity have oc- be served on the certified or foreign air
curred since the most recent Depart- carrier applying for approval.
ment finding for the country in ques- (f)(1) Unless otherwise ordered by the
tion. Department, each application and
(2) Applications filed by certificated memorandum filed in response will be
or foreign air carriers to conduct long- available for public inspection at the
term wet leases shall include, for the Office of International Aviation imme-
country of the lessee’s nationality, the diately upon filing. Such information
documentation specified in paragraph with respect to codeshare applications
(c)(1) of this section. and responsive pleadings will be avail-
(d)(1) Applications shall be filed at able for public inspection at DOT
least 5 business days before commence- Dockets or at the DOT Dockets
ment of the proposed flight or flights, website. Notice of the filing of all ap-
except as specified in paragraphs (d)(2), plications shall be published in the De-
(d)(3), and (d)(4) of this section. Late partment’s Weekly List of Applications
applications may be considered upon a Filed.
showing of good cause for the lateness. (2) Any person objecting to public
(2) Applications for a part charter or disclosure of any information in an ap-
for a long-term wet lease shall be filed plication or memorandum must state
at least 45 calendar days before the the grounds for the objection in writ-
date of the first proposed flight. ing. If the Department finds that dis-
(3) Applications specifically required closure of all or part of the information
under § 212.9(d) shall be filed at least 30 would adversely affect the objecting
calendar days before the proposed person, and that the public interest
flight or flights (10 calendar days for does not require disclosure, it will
cargo charters), unless otherwise speci- order that the injurious information be
fied by the Department. withheld.
(4) Applications required by a Depart- [Doc. No. OST–97–2356, 63 FR 28236, May 22,
ment order under § 212.9(e) shall be filed 1998, as amended at 64 FR 3213, Jan. 21, 1999]
at least 14 calendar days before the
proposed flight or flights, unless other- § 212.11 Issuance of statement of au-
wise specified by the Department. thorization.
(5) Where an application is required (a) The Department will issue a
by more than one provision of this part statement of authorization if it finds
and/or order of the Department, only that the proposed charter flight, part
one application need be filed, but it charter, or wet lease meets the require-
must conform to the earliest applicable ments of this part and that it is in the
filing deadline. public interest. Statements of author-
(6) The Department may require serv- ization may be conditioned or limited.
ice of applications as it deems nec- (b) In determining the public interest
essary. the Department will consider (but not
(e)(1) Any part in interest may file a be limited to) the following factors:
memorandum supporting or opposing (1) The extent to which the authority
an application. Three copies of each sought to covered by and consistent
memorandum shall be filed within 7 with bilateral agreements to which the
business days after service of the appli- United States is a party.

36
Office of the Secretary, DOT Pt. 212, App. A
(2) The extent to which an applicant the public interest. A certificated or
foreign air carrier’s home country foreign air carrier may request a waiv-
(and, in the case of a long-term wet er by filing a written application with
lease, the lessee’s home country) deals the Department, citing the specific
with U.S. air carriers on the basis of provision to be waived and providing
substantial reciprocity. justification for such waiver.
(3) Whether the applicant or its agent
has previously violated the provisions APPENDIX A TO PART 212—CERTIFICATED
of this part. OR FOREIGN AIR CARRIER’S SURETY
(4) Where the application concerns a BOND UNDER PART 212 OF THE REGU-
long-term wet lease: LATIONS OF THE DEPARTMENT OF
(i) Whether the lessor (applicant) or TRANSPORTATION (14 CFR PART 212)
its agent or the lessee (charterer) or its Know all persons by these presents, that
agent has previously violated the pro- we llllllllll (Name of certificated
visions of the Department’s charter or foreign air carrier) of llllllllll,
regulations. (City) llllllllll (State or Country)
(ii) Whether, because of the nature of as Principal (hereinafter called Principal),
and llllllllll (name of Surety) a
the arrangement and the benefits in- corporation created and existing under the
volved, the authority sought should be laws of the State of llllllll (State)
the subject of a bilateral agreement. as Surety (hereinafter called Surety) are
(iii) To what extent the lessor owns held and firmly bound unto the United
and/or controls the lessee, or is owned States of America in an unlimited amount,
and/or controlled by the lessee. as required by 14 CFR 212.8, for which pay-
(c) The Department will submit any ment, well and truly to be made, we bind
ourselves and our heirs, executors, adminis-
denial of an authorization specifically
trators, successors, and assigns, jointly and
required of a foreign air carrier under severally, firmly by these presents.
§ 212.9(d) to the President of the United Whereas the principal, a certificated air
States at least 10 days before the pro- carrier holding a certificate of public con-
posed departure. The denial will be sub- venience and necessity issued under 49 U.S.C.
ject to stay or disapproval by the 41102, or a foreign air carrier holding a for-
President within 10 days after it is sub- eign air carrier permit issued under 49 U.S.C.
mitted. A shorter period for Presi- 41302 or an exemption issued under 49 U.S.C.
40109 authorizing that foreign air carrier to
dential review may be specified by the engage in charter trips in foreign air trans-
Department where the application for portation, is subject to rules and regulations
authorization is not timely or properly of the Department of Transportation relat-
filed. Denial of a late-filed application ing to security for the protection of
need not be submitted to the President. charterers of civil aircraft and has elected to
For the purposes of this paragraph, an file with the Department of Transportation
application filed by a foreign air car- such a bond as will guarantee to the United
States Government the performance of all
rier under § 212.9(d) to conduct a cargo charter trips (other than cargo charter trips)
charter will be considered as timely originating in the United States and of all
filed only if it is filed at least 30 cal- Overseas Military Personnel Charters, as de-
endar days before the proposed flight, fined in 14 CFR part 372, to be performed, in
notwithstanding the 10-day filing re- whole or in part, by such certificated or for-
quirement for cargo charters in eign air carrier pursuant to contracts en-
§ 212.10(d)(3). tered into by such carrier after the execution
date of this bond, and
(d) The Department will publish no- Whereas this bond is written to assure
tice of its actions on applications for compliance by the Principal with rules and
statements of authorization in its regulations of the Department of Transpor-
Weekly List of Applications Filed. In- tation relating to security for the protection
terested persons may upon request ob- of charterer of civil aircraft for charter trips
tain copies of letters of endorsed forms (other than cargo charters) originating in
advising applicants of action taken on the United States or of Overseas Military
Personnel Charter trips and shall inure to
their applications.
the benefit of any and all such charterers to
whom the Principal may be held legally lia-
§ 212.12 Waiver.
ble for any of the damages herein described.
The Department may grant a waiver Now, therefore, the condition of this obli-
of any of the provisions of this part gation is such that if the Principal shall pay
upon a finding that such waiver is in

37
Pt. 212, App. B 14 CFR Ch. II (1–1–19 Edition)
or cause to be paid to such charterer any Surety
sum or sums for which the Principal may be
held legally liable by reason of the Prin- Name llllllllllllllllllll
cipal’s failure faithfully to perform, fulfill, By: Signature and title lllllllllll
and carry out all contracts made by the Witness lllllllllllllllllll
Principal while this bond is in effect for the
performance of charter trips (other than Bonding or surety company must be listed in
cargo charter trips) originating in the Best’s Insurance Reports (Fire and Casualty)
United States and of Overseas Military Per- with a general policyholders’ rating of ‘‘A’’
sonnel Charter trips, then this obligation or better or in the Department of the Treas-
shall be void, otherwise to remain in full ury listing of companies holding certificates
force and effect. of authority as acceptable sureties on Fed-
The liability of the Surety shall not be dis- eral bonds. In addition, the bonding or sur-
charged by any payment or succession of ety company shall be one legally authorized
payments hereunder in any specified to issue bonds of that type in the State(s) in
amount. The surety agrees to furnish written which the charter flight(s) originate. Agents
notice to the Department of Transportation must provide satisfactory proof that they
forthwith of all suits filed, judgments ren- have the requisite authority to issue this
dered, and payments made by said Surety bond.
under this bond.
This bond is effective the lll day of APPENDIX B TO PART 212—
llllllll, llll, 12:01 a.m., standard CERTIFICATION OF COMPLIANCE
time at the address of the Principal as stated
herein and shall continue in force until ter- Organization Charterworthiness for Affinity
minated as hereinafter provided. The Prin- Charter Air Transportation and Eligibility of
cipal or the Surety may at any time termi- All Prospective Passengers for Such Flights
nate this bond by written notice to the De- Under Part 212 of the Regulations of the De-
partment of Transportation at its office in partment of Transportation (14 CFR Part
Washington, D.C., such termination to be- 212)
come effective thirty (30) days after actual
receipt of said notice by the Department. I declare under penalty of perjury under
The Surety shall not be liable hereunder for the laws of the United States of America
the payment of the damages hereinbefore de- that the foregoing is true and correct.
scribed which arise as the result of any con-
tracts for the performance of air transpor- PART 213—TERMS, CONDITIONS
tation services made by the Principal after
the termination of this bond becomes effec- AND LIMITATIONS OF FOREIGN
tive, as herein provided, but such termi- AIR CARRIER PERMITS
nation shall not affect the liability of the
Surety hereunder for the payment of any Sec.
such damages arising as the result of con- 213.1 Applicability.
tracts for the performance of air transpor- 213.2 Reports of traffic data.
tation services made by the Principal after
213.3 Filing and approval of schedules.
the termination of this bond becomes effec-
tive. Liability of the Surety under this bond 213.4 [Reserved]
shall in all events be limited only to a 213.5 Filing and service of schedules and ap-
charterer who shall within sixty (60) days plications for approval of schedules; pro-
after the cancellation of a charter trip with cedure thereon.
respect to which the charterer’s advance 213.6 Compliance.
payments are secured by this bond give writ- 213.7 Filing requirements for adherence to
ten notice of claim to the certificated or for- Montreal Agreement.
eign air carrier, or, if it is unavailable, to
the Surety, and all liability on this bond for AUTHORITY: 49 U.S.C. Chapters 401, 411, 413,
such charter trip shall automatically termi- 415, 417.
nate sixty (60) days after the termination SOURCE: ER–624, 35 FR 8881, June 9, 1970,
date thereof except for claims filed within unless otherwise noted.
the time provided herein.
In witness whereof, the said Principal and EDITORIAL N OTE: Nomenclature changes to
Surety have executed this instrument on the part 213 appear at 61 FR 34725, July 3, 1996.
lll day of llllllll, llll.
§ 213.1 Applicability.
Principal
This regulation sets forth terms, con-
Name llllllllllllllllllll ditions, and limitations applicable to
By: Signature and title lllllllllll foreign air carrier permits issued under
Witness lllllllllllllllllll section 41302 of Title 49 of the United

38
Office of the Secretary, DOT § 213.3
States Code (Transportation) author- such carrier thereafter to file an origi-
izing scheduled foreign air transpor- nal and three copies of any proposed
tation. Unless such permits or the or- schedules of service between such
ders issuing such permits otherwise points at least 30 days prior to the date
provide, the exercises of the privileges of inauguration of such service. Such
to engage in scheduled foreign air schedules shall contain all schedules of
transportation granted by any such aircraft which are or will be operated
permit shall be subject to the terms, by such carrier between each pair of
conditions, and limitations as are set points set forth in the order, the type
forth in this part, and as may from of equipment used or to be used, the
time to time be prescribed by the De- time of arrival and departure at each
partment. point, the frequency of each schedule,
[ER–680, 36 FR 7306, Apr. 17, 1971, as amended and the effective date of any proposed
at 61 FR 34725, July 3, 1996] schedule.
(c) In the case of any foreign air car-
§ 213.2 Reports of traffic data. rier permit for scheduled air transpor-
The Department may at any time re- tation which is the subject of an air
quire any foreign air carrier to file transport agreement between the
with the Department traffic data dis- United States and the government of
closing the nature and extent of such the holder, the Department may with
carrier’s engagement in transportation or without hearing issue an order,
between points in the United States similar to that provided for in para-
and points outside thereof. The Depart- graph (b) of this section, if it makes
ment will specify the traffic data re- the findings provided for in that sub-
quired in each such instance. Inter- section and, in addition, finds that the
ested persons seeking reconsideration government or aeronautical authori-
of a Department determination under ties of the government of the holder,
this section may file a petition pursu- over the objections of the U.S. Govern-
ant to Rule 14 of part 302 within 10 days ment, have: (1) Taken action which im-
after Department action. pairs, limits, terminates, or denies op-
erating rights, or (2) otherwise denied
[ER–624, 35 FR 8881, June 9, 1970, as amended
at 65 FR 6456, Feb. 9, 2000] or failed to prevent the denial of, in
whole or in part, the fair and equal op-
§ 213.3 Filing and approval of sched- portunity to exercise the operating
ules. rights, provided for in such air trans-
(a) In the absence of provisions to the port agreement, of any U.S. air carrier
contrary in the permit and of Depart- designated thereunder with respect to
ment action pursuant to this section, a flight operations to, from, through, or
foreign air carrier may determine the over the territory of such foreign gov-
schedules (including type of equipment ernment.
used) pursuant to which it engages in (d) The carrier may continue to oper-
transportation between points in the ate existing schedules, and may inau-
United States and points outside there- gurate operations under proposed
of. schedules 30 days after the filing of
(b) In the case of a foreign air carrier such schedules with the Department,
permit for scheduled air transportation unless the Department with or without
which is not the subject of an air trans- hearing issues an order, subject to stay
port agreement between the United or disapproval by the President of the
States and the government of the hold- United States within 10 days after
er, the Department, if it finds that the adoption, notifying the carrier that
public interest so requires, may with or such operations, or any part of them,
without hearing order the foreign air may be contrary to applicable law or
carrier to file with it within 7 days may adversely affect the public inter-
after service of such order, an original est. If the notification pertains to a
and three copies of any or all of its ex- proposed schedule, service under such
isting schedules of service between any schedule shall not be inaugurated; if
point in the United States and any the notification pertains to existing
point outside thereof, and may require schedules, service under such schedules

39
§ 213.4 14 CFR Ch. II (1–1–19 Edition)
shall be discontinued on the date speci- States, its territories and possessions)
fied in the Department’s order. Such and the date of such service. In the
date shall be not less than ten days case of service by mail, the date of
after adoption of the Department’s mailing shall be considered the date of
order unless affirmative Presidential service.
approval is obtained at an earlier date. (b) Pleadings by interested persons.
(e) No petitions for reconsideration Any interested person may file and
may be filed with respect to Depart- serve upon the foreign air carrier a
ment orders issued pursuant to para- memorandum in opposition to, or in
graph (b), (c), or (d) of this section. support of, schedules or an application
Nevertheless, if the Department serves for approval of schedules within 10 days
a notification under paragraph (d) of of the filing opposed or supported. All
this section, the carrier may make ap- memoranda shall set forth in detail the
plication to the Department for ap- reasons for the position taken together
proval of any or all existing or pro- with a statement of economic data and
posed schedules, pursuant to the provi- other matters which it is desired that
sions of § 213.5. The Department may
the Department officially notice, and
with or without hearing withdraw, in
affidavits stating other facts relied
whole or in part, its notification at any
upon. Memoranda shall contain a cer-
time and may permit existing or pro-
tificate of service as prescribed in para-
posed schedules to be operated for such
period or periods as the Department graph (a) of this section. An executed
may determine. original and seven (7) true copies shall
(f) The date of service on a foreign air be filed with the Department’s Docket
carrier of orders and notifications pur- Facility. Unless otherwise provided by
suant to this section shall be the date the Department, further pleadings will
of mailing thereof, by certified or reg- not be entertained.
istered mail, to the agent designated (c) Determination and petitions for re-
by the foreign air carrier pursuant to consideration. The Department may
49 U.S.C. 46103 or, if the foreign air car- make its determination upon the appli-
rier has failed to designate an agent, cation and other pleadings or, in its
the date of mailing by registered air discretion, after hearing. Interested
mail to the foreign air carrier’s home persons seeking reconsideration of the
office. Department’s determination on an ap-
plication approval of schedules may
[ER–624, 35 FR 8881, June 9, 1970, as amended
file a petition pursuant to Rule 14 of
by ER–870, 39 FR 30843, Aug. 26, 1974; ER–1107,
47 FR 46495, Oct. 19, 1982; 61 FR 34725, July 3, part 302 of this chapter within 10 days
1996] of Department action. Any interested
person may file an answer in opposi-
§ 213.4 [Reserved] tion to, or in support of, the petition
within 10 days after it is filed. An exe-
§ 213.5 Filing and service of schedules cuted original and 19 copies of such pe-
and applications for approval of tition for reconsideration or memo-
schedules; procedure thereon.
randum shall be filed with the Docket
(a) Number of copies and certificate of Facility. All petitions for reconsider-
service. An original and three copies of ation shall contain a certificate of
each schedule, and an original and service in the form prescribed by para-
seven (7) copies of application for ap- graph (a) of this section. Unless or-
proval of schedules (§ 213.3(e)) shall be dered by the Department upon applica-
filed with the Department, each setting tion or upon its own motion, further
forth the names and addresses of the pleadings will not be entertained.
persons, if any, required to be served,
and stating that service has been made [ER–624, 35 FR 8881, June 9, 1970, as amended
on all such persons by personal service by ER–644, 35 FR 14382, Sept. 12, 1970; 61 FR
or by registered or certified mail (if the 34725, July 3, 1996; 65 FR 6456, Feb. 9, 2000]
addressee is located within the United
States, its territories and possessions) § 213.6 Compliance.
or by registered air mail (if the ad- Any violation by the foreign air car-
dressee is located outside the United rier of applicable provisions of Subtitle

40
Office of the Secretary, DOT § 215.2
VII of Title 49 of the U.S. Code or of or- suant to foreign air carrier permits au-
ders, rules or regulations issued there- thorizing the holder to engage in char-
under, or of the terms, conditions or ter transportation only.
limitations applicable to the exercise
(Secs. 204, 402, Pub. L. 85–726, as amended, 72
of the privileges granted by the permit Stat. 743, 757; 49 U.S.C. 1324, 1371)
shall constitute a failure to comply
with the terms, conditions and limita- [ER–1223, 46 FR 28379, May 26, 1981]
tions of such permit: Provided, That
upon a showing that a violation of a § 214.2 Terms of service.
provision not mandatorily prescribed Charter air transportation under this
by law resulted from the observance by part shall be performed in accordance
the holder of an obligation, duty or li- with the provisions of part 212 of this
ability imposed by a foreign country, chapter.
the Department may excuse the viola-
tion. (Secs. 204, 402, Pub. L. 85–726, as amended, 72
Stat. 743, 757; 49 U.S.C. 1324, 1371)
[ER–624, 35 FR 8881, June 9, 1970, as amended
[ER–1223, 46 FR 28379, May 26, 1981]
at 61 FR 34725, July 3, 1996]

§ 213.7 Filing requirements for adher- PART 215—USE AND CHANGE OF

ence to Montreal Agreement. NAMES OF AIR CARRIERS, FOR-
It shall be a condition upon the hold- EIGN AIR CARRIERS AND COM-
ing of a foreign air carrier permit or MUTER AIR CARRIERS
other authority authorizing direct for-
eign scheduled air transportation that Sec.
the holder have and maintain in effect 215.1 Applicability.
and on file with the Department a 215.2 Purpose.
signed counterpart of Agreement 18900 215.3 Use of name.
(OST Form 4523), and a tariff (for those 215.4 Change of name or use of trade name.
carriers otherwise generally required 215.5 Procedure in case of similarity of
to file tariffs) that includes its provi- names.
sions, and comply with all other re- 215.6 Acknowledgment of registration.
quirements of part 203 of this chapter. AUTHORITY: 49 U.S.C. Chapters 401, 411, 413,
That form can be obtained from the 417.
Foreign Air Carrier Licensing Division (X-
SOURCE: 53 FR 17923, May 19, 1988, unless
45), Office of International Aviation, otherwise noted.
Department of Transportation, 1200
New Jersey Avenue, SE., Washington, § 215.1 Applicability.
DC 20590.
This part applies to all certified air
(Approved by the Office of Management and carriers, commuter air carriers, and
Budget under control number 3024–0064) foreign direct air carriers and to initial
[ER–1330, 48 FR 8050, Feb. 25, 1983, as amend- or amended applications for authority,
ed by ER–1346, 48 FR 31014, July 6, 1983; 61 FR applications for certificate or permit
34725, July 3, 1996] transfers or reissuances, and registra-
tion of business names.
PART 214—TERMS, CONDITIONS,
AND LIMITATIONS OF FOREIGN § 215.2 Purpose.
AIR CARRIER PERMITS AUTHOR- This part sets rules under which di-
IZING CHARTER TRANSPOR- rect air carriers may use the names in
TATION ONLY their operating authorizations and
change those names. It further pro-
Sec. vides for notification to air carriers
214.1 Applicability. that may be affected by the use by
214.2 Terms of service. other air carriers of the same or simi-
lar names. Its purpose is to place the
§ 214.1 Applicability. responsibility for resolving private dis-
This part establishes the terms, con- putes about the use of similar names
ditions, and limitations applicable to with the air carriers involved, through
charter foreign air transportation pur- recourse to the trade names statutes

41
§ 215.3 14 CFR Ch. II (1–1–19 Edition)
and the courts. These rules do not pre- Upon arrival of the application, the De-
clude Department intervention or en- partment will place a copy of the
forcement action should there be evi- signed OST form 4523 in Docket 17325.
dence of a significant potential for, or (Reporting and recordkeeping requirements
of actual, public confusion. in paragraph (b) were approved by the Office
of Management and Budget under control
§ 215.3 Use of name. number 3024–0064.)
In holding out to the public and in [53 FR 17923, May 19, 1988, as amended at 70
performing air transportation services, FR 25768, May 16, 2005]
a direct air carrier or foreign direct air
carrier subject to this part shall use § 215.5 Procedure in case of similarity
only the name in which its operating of names.
authorization is issued or trade name The Department will compare the
is registered, and shall not operate or proposed name in any registration filed
hold out to the public in a name not under this part or in an application for
acknowledged by the Department to be new, reissued, or transferred authority
so registered. Minor variations in the with a list of names used by existing
use of this name, including abbrevia- certificated, commuter and foreign di-
tions, contractions, initial letters, or rect air carriers. The Department will
other variations of the name that are notify the applicant of any other cer-
identifiable with the authorized name, tificated, foreign or commuter carriers
are permitted. Slogans and service that may have an identical or similar
marks shall not be considered names name. The registrant must then notify
for the purpose of this part, and their those carriers of its registration. The
use is not restricted. notification will identify the applicant
[53 FR 17923, May 19, 1988, as amended at 70 and state its proposed name or the
FR 25768, May 16, 2005] name requested, area of operation or
proposed area of operation, type of
§ 215.4 Change of name or use of trade business, and other pertinent matters.
name. The registrant must then file a certifi-
(a) Registrations. Any air carrier sub- cate of service of the notification with
ject to this part that desires to change the Department.
the name in which its operating au-
thorization has been issued, or to use a § 215.6 Acknowledgment of registra-
trade name, or to obtain initial oper- tion.
ating authority must register the name After completion of the filing and no-
with the Department. The Department tification requirements of this part,
will construe any application for ini- the Department may acknowledge the
tial, reissued, or transferred authority registration by notice in the action
as containing a ‘‘registration’’ of the granting the application for initial op-
intended name. A separate name reg- erating authority, transfer, or
istration document need not be filed. A reissuance or by separate notice in the
carrier registering use of a trade name, case of use of a trade name. Non-action
without seeking reissuance of its un- under this provision shall not be con-
derlying certificate commuter or for- strued as an adjudication of any rights
eign air carrier permit or exemption or liabilities.
authority, must file a statement that [53 FR 17923, May 19, 1988, as amended at 70
complies with §§ 302.3 and 302.4 of this FR 25768, May 16, 2005]
chapter registering its intended name
with the Air Carrier Fitness Division if
it is a U.S. certificated or commuter
PART 216—COMMINGLING OF
carrier, or within the Licensing Divi- BLIND SECTOR TRAFFIC BY FOR-
sion if it is a foreign air carrier. EIGN AIR CARRIERS
(b) Montreal Agreement. Each registra-
tion under this section shall be accom- Sec.
216.1 Definitions.
panied by three copies of a counterpart
216.2 Applicability.
to the Montreal Agreement (Agree- 216.3 Prohibition.
ment 18900) (OST Form 4523) signed by 216.4 Special authorizations.
the carrier using the proposed name. 216.5 Existing permits.

42
Office of the Secretary, DOT § 216.4
216.6 Existing unauthorized operations. ity of a foreign air carrier permit
AUTHORITY: 49 U.S.C. Chapters 401, 413, 417. issued under section 402 of the Act, un-
less the combined carriage of such traf-
SOURCE: ER–525, 33 FR 692, Jan. 19, 1968, un-
less otherwise noted. fic has been specifically authorized by
such permit, or by a Special Authoriza-
§ 216.1 Definitions. tion issued under § 216.4.
(a) As used in this part, unless the § 216.4 Special authorizations.
context otherwise requires: (a) Applications. Any foreign air car-
Act means the Federal Aviation Act rier may apply to the Board for a Spe-
of 1958, as amended.
cial Authorization, as required by this
Blind sector traffic means revenue
part, for the carriage of blind sector
traffic, carried by a foreign air carrier
traffic on a particular flight, series of
on a flight operating in air transpor-
flights, or for a specified or indefinite
tation, which is enplaned at one for-
period of time between specified points.
eign point and deplaned at another for-
Applications shall be submitted di-
eign point, where at least one of such
rectly to the Board, addressed to the
points is not named as a terminal or
attention of the Director, Bureau of
intermediate point in the carrier’s ap-
plicable foreign air carrier permit. International Aviation. One original
and two copies in conformity with the
NOTE: This definition shall not be deemed requirements of §§ 302.3(b) and 302.4 (a)
to include the carriage of authorized beyond and (b) of this chapter shall be filed.
homeland traffic (i.e., traffic carried between
The applications shall contain a proper
a point named in a carrier’s foreign air car-
rier permit and a point beyond a homeland identification of the applicant; the
terminal point authorized under such per- flight or flights upon which it is pro-
mit). posed to carry such blind sector traffic,
including routing, nontraffic stops, and
Revenue traffic means persons, prop- dates or duration of the authority
erty or mail carried for compensation
sought; a full description of such traf-
or hire.
fic, and points between which such
(b) Terms defined in section 101 of the
traffic will be carried; information or
Act have the meaning expressed in
documentation as to whether the coun-
such definitions.
try of which the applicant is a national
grants reciprocal privileges to U.S. car-
§ 216.2 Applicability.
riers; and the reasons for requesting
This part sets forth the requirements such authorization together with such
applicable to foreign air carriers for additional information as will estab-
obtaining a Special Authorization from lish that the grant of such authority
the Board with respect to any devi- will otherwise be in the public interest.
ation from an authorized foreign air Such additional information as may be
transportation route for the purpose of specifically requested by the Board
commingling blind sector traffic with shall also be furnished.
air transportation traffic carried pur- (b) Service. Applications shall be
suant to a foreign air carrier permit served upon each direct U.S. air carrier
issued by the Board. The deviation by a certificated to engage in individually
foreign air carrier from its authorized ticketed or waybilled foreign air trans-
route for the purpose of combined car- portation over any portion of the route
riage to or from the United States of to which the application pertains, and
nonrevenue or other traffic, the car- on such other persons as the Board
riage of which does not constitute en- may require, and proof of such service
gaging in foreign air transportation, is shall accompany the application as
governed by the provisions of part 375 provided in § 302.7 of this chapter. No-
of this chapter. tice of such applications shall also be
published in the Board’s Weekly List of
§ 216.3 Prohibition. Applications Filed.
No foreign air carrier shall carry any (c) Memoranda in support or opposi-
blind sector traffic, as defined in this tion. Any interested person may file a
part, on any flight operating in air memorandum in support of or in oppo-
transportation pursuant to the author- sition to the grant of an application.

43
§ 216.5 14 CFR Ch. II (1–1–19 Edition)
Such memorandum shall set forth in may be enjoyed only to the extent that
detail the reasons why it is believed its continued exercise remains in the
that the application should be granted interest of the public. Accordingly, any
or denied and shall be accompanied by Special Authorization issued pursuant
such data, including affidavits, which to this section may be revoked, sus-
it is desired that the Board consider. pended, amended or restricted without
Copies of the memorandum shall be hearing.
served upon the applicant. Nothing in
this subparagraph shall be deemed to (Sec. 204(a) of the Federal Aviation Act of
preclude the Board from granting or 1958, as amended, 72 Stat. 743 (49 U.S.C. 1324);
denying an application when the cir- Reorganization Plan No. 3 of 1961, 75 Stat.
837, 26 FR 5989 (49 U.S.C. 1324 (note)))
cumstances so warrant without await-
ing the filing of memoranda in support [ER–525, 33 FR 692, Jan. 19, 1968, as amended
of or in opposition to the application. by ER–910, 40 FR 23844, June 3, 1975; ER–1060,
(d) Time for filing. (1) Applications 43 FR 34117, Aug. 3, 1978; 65 FR 6456, Feb. 9,
seeking authority to engage in blind 2000]
sector operations for a period of 3
months or longer, shall be submitted at § 216.5 Existing permits.
least 60 days in advance of the proposed ‘‘Foreign aircraft permits’’ issued by
commencement of such operations. the Board under the provisions of part
Memoranda in response to such an ap- 375 of the Board’s Special Regulations,
plication shall be submitted within 15 authorizing the combined carriage of
days after the date of filing thereof. blind sector traffic as defined in this
(2) Applications seeking authority to part, shall continue in effect in accord-
engage in blind sector operations for a ance with their terms until their expi-
period less than three months shall be ration date unless sooner terminated,
filed at least 20 days in advance of the revoked or modified by the Board. Such
proposed commencement of such oper- permits shall, upon the effective date
ations, and memoranda in response
of this part, be deemed to constitute a
thereto within 7 days after the date of
Special Authorization issued pursuant
filing thereof: Provided, That the Board
may consider late filed applications to § 216.4.
upon a showing of good cause for fail- § 216.6 Existing unauthorized oper-
ure to adhere to this requirement. ations.
(e) General procedural requirements.
Except as otherwise provided herein, Notwithstanding the provisions of
the provisions of part 302, subpart A, of § 216.3, if within 30 days after the effec-
this chapter shall apply to the extent tive date of this part a carrier files an
applicable. application for a Special Authorization
(f) Issuance of Special Authorization. A to continue to perform existing blind
Special Authorization authorizing the sector operations which have been reg-
carriage of blind sector traffic will be ularly performed by such carrier com-
issued only if the Board finds that the mencing on a date prior to August 9,
proposed carriage is fully consistent 1967, such carrier may continue to en-
with applicable law and this part, and gage in such blind sector operations
that grant of such authority would be until final decision by the Board on
in the public interest. The application such application: Provided, That any
may be granted or denied in whole or such application shall, in addition to
in part without hearing, and a Special the requirements of § 216.4(a), contain a
Authorization made subject to any statement that the carrier is relying
conditions or limitations, to the extent upon this section for continuance of
that such action is deemed by the
preexisting blind sector operations, and
Board to be in the public interest. Spe-
shall fully describe such operations in-
cial Authorizations are not transfer-
cluding the date inaugurated, and the
able.
(g) Nature of the privilege conferred. A frequency and continuity of perform-
Special Authorization issued pursuant ance.
to this section shall constitute a privi-
lege conferred upon a carrier, which

44
Office of the Secretary, DOT § 217.1

PART 217—REPORTING TRAFFIC (3) Travel agents being transported

STATISTICS BY FOREIGN AIR for the purpose of familiarizing them-
selves with the carrier’s services;
CARRIERS IN CIVILIAN SCHED-
(4) Witnesses and attorneys attending
ULED, CHARTER, AND NON- any legal investigation in which such
SCHEDULED SERVICES carrier is involved;
(5) Persons injured in aircraft acci-
Sec. dents, and physicians, nurses, and oth-
217.1 Definitions. ers attending such persons;
217.2 Applicability.
(6) Any persons transported with the
217.3 Reporting requirements.
object of providing relief in cases of
217.4 Data collected (service classes).
general epidemic, natural disaster, or
217.5 Data collected (data elements).
217.6 Extension of filing time.
other catastrophe;
217.7 Certification. (7) Any law enforcement official, in-
217.8 Reporting procedures. cluding any person who has the duty of
217.9 Waivers from reporting requirements. guarding government officials who are
217.10 Instructions. traveling on official business or trav-
217.11 Reporting compliance. eling to or from such duty;
(8) Guests of an air carrier on an in-
AUTHORITY: 49 U.S.C. 329 and chapters
augural flight or delivery flights of
41102, 41301, 41708, and 41709.
newly-acquired or renovated aircraft;
SOURCE: 53 FR 46294, Nov. 16, 1988, unless (9) Security guards who have been as-
otherwise noted. signed the duty to guard such aircraft
against unlawful seizure, sabotage, or
§ 217.1 Definitions. other unlawful interference;
As used in this part: (10) Safety inspectors of the National
Foreign Air Carrier means a non-U.S. Transportation Safety Board or the
air carrier holding a foreign air carrier FAA in their official duties or trav-
permit or exemption authority from eling to or from such duty;
the Department of Transportation. (11) Postal employees on duty in
Nonrevenue passenger means: a person charge of the mails or traveling to or
traveling free or under token charges, from such duty;
except those expressly named in the (12) Technical representatives of
definition of revenue passenger; a person companies that have been engaged in
traveling at a fare or discount avail- the manufacture, development or test-
able only to employees or authorized ing of a particular type of aircraft or
persons of air carriers or their agents aircraft equipment, when the transpor-
or only for travel on the business of the tation is provided for the purpose of in-
carriers; and an infant who does not oc- flight observation and subject to appli-
cupy a seat. (This definition is for 14 cable FAA regulations;
CFR part 217 traffic reporting purposes (13) Persons engaged in promoting air
and may differ from the definitions transportation;
used in other parts by the Federal (14) Air marshals and other Transpor-
Aviation Administration and the tation Security officials acting in their
Transportation Security Administra- official capacities and while traveling
tion for the collection of Passenger Fa- to and from their official duties; and
cility Charges and Security Fees.) (15) Other authorized persons, when
The definition includes, but is not such transportation is undertaken for
limited to the following examples of promotional purpose.
passengers when traveling free or pur- Reporting carrier for T–100(f) purposes
suant to token charges: means the air carrier in operational
(1) Directors, officers, employees, and control of the flight, i.e., the carrier
others authorized by the air carrier op- that uses its flight crews under its own
erating the aircraft; operating authority.
(2) Directors, officers, employees, and Revenue passenger means: a passenger
others authorized by the air carrier or for whose transportation an air carrier
another carrier traveling pursuant to a receives commercial remuneration.
pass interchange agreement; (This definition is for 14 CFR part 217

45
§ 217.2 14 CFR Ch. II (1–1–19 Edition)
traffic reporting purposes and may dif- stop Segment and On-flight Market.’’
fer from the definitions used in other All traffic statistics shall be compiled
parts by the Federal Aviation Adminis- in terms of each flight stage as actu-
tration and the Transportation Secu- ally performed.
rity Administration for the collection (b) The traffic statistics reported on
of Passenger Facility Charges and Se- Schedule T–100(f) shall be accumulated
curity Fees.) This includes, but is not in accordance with the data elements
limited to, the following examples: prescribed in § 217.5 of this part, and
(1) Passengers traveling under pub- these data elements are patterned after
licly available tickets including pro- those in section 19–5 of part 241 of this
motional offers (for example two-for- chapter.
one) or loyalty programs (for example, (c) One set of Form 41 Schedule T–
redemption of frequent flyer points); 100(f) data shall be filed.
(2) Passengers traveling on vouchers (d) Schedule T–100(f) shall be sub-
or tickets issued as compensation for mitted to the Department within thir-
denied boarding or in response to con- ty (30) days following the end of each
sumer complaints or claims; reporting month.
(3) Passengers traveling at corporate (e) Reports required by this section
discounts; shall be submitted to the Bureau of
(4) Passengers traveling on pref- Transportation Statistics in a format
erential fares (Government, seamen, specified in accounting and reporting
military, youth, student, etc.); directives issued by the Bureau of
(5) Passengers traveling on barter Transportation Statistics’ Director of
tickets; and Airline Information.
(6) Infants traveling on confirmed-
[53 FR 46294, Nov. 16, 1988, as amended at 60
space tickets.
FR 66722, Dec. 26, 1995; 75 FR 41583, July 16,
Statement of Authorization under this 2010]
part means a statement of authoriza-
tion from the Department, pursuant to § 217.4 Data collected (service classes).
14 CFR part 207, 208, or 212, as appro-
(a) The statistical classifications are
priate, that permits joint service trans-
designed to reflect the operating ele-
portation, such as blocked space agree-
ments attributable to each distinctive
ments, part-charters, code-sharing or wet-
leases, between two direct air car- riers class of service offered for scheduled,
holding underlying economic au- thority nonscheduled and charter service.
from the Department. (b) The service classes that foreign
Wet-Lease Agreement means an agree- air carriers shall report on Schedule T–
ment under which one carrier leases an 100(f) are:
aircraft with flight crew to another air (1) F Scheduled Passenger/Cargo
carrier. (2) G Scheduled All-Cargo
(3) L Nonscheduled Civilian Pas-
[53 FR 46294, Nov. 16, 1988, as amended at 67 senger/Cargo Charter
FR 49223, July 30, 2002; 67 FR 58689, Sept. 18, (4) P Nonscheduled Civilian All-
2002] Cargo Charter
§ 217.2 Applicability. (5) Q Nonscheduled Services (Other
than Charter). This service class is re-
This part applies to foreign air car- served for special nonscheduled cargo
riers that are authorized by the De- flights provided by a few foreign air
partment to provide civilian passenger carriers under special authority grant-
and/or cargo service to or from the ed by the Department.
United States, whether performed pur-
suant to a permit or exemption author- § 217.5 Data collected (data elements).
ity. (a) Within each of the service classi-
[Doc. No. OST–98–4043, 67 FR 49223, July 30, fications prescribed in § 217.4, data shall
2002] be reported in applicable traffic ele-
ments.
§ 217.3 Reporting requirements. (b) The statistical data to be reported
(a) Each foreign air carrier shall file on Schedule T–100(f) are:
BTS Form 41 Schedule T–100(f) ‘‘For- (1) Air carrier. The name and code of
eign Air Carrier Traffic Data by Non- the air carrier reporting the data. The

46
Office of the Secretary, DOT § 217.7
carrier code is assigned by DOT. The is enplaned in a market, loaded on the
Office of Airline Information (OAI’S) aircraft for the first time.
will confirm the assigned code upon re- (12) Available capacity-payload (Code
quest; OAI’s address is in the appendix 270). The available capacity is collected
to § 217.10 of this part. in kilograms. This figure shall reflect
(2) Reporting period date. The year and the available load (see load, available
month to which the reported data are in 14 CFR part 241 Section 03) or total
applicable. available capacity for passengers, mail
(3) Origin airport code. This code rep- and freight applicable to the aircraft
resents the industry designator as de- with which each flight stage is per-
scribed in the appendix to § 217.10 of formed.
this part. A common private industry
(13) Available seats (Code 310). The
source of these industry designator
codes is the Official Airline Guides number of seats available for sale. This
(OAG). Where none exists, OAI will fur- figure reflects the actual number of
nish a code upon request. OAI’s address seats available, excluding those
is in the appendix to § 217.10 of this blocked for safety or operational rea-
part. sons. Report the total available seats
(4) Destination airport code. This rep- in item 310.
resents the industry designator, from [53 FR 46294, Nov. 16, 1988 and 53 FR 52404,
the source described in § 217.5(b)(3). Dec. 28, 1988, as amended at 54 FR 7183, Feb.
(5) Service class code. For scheduled 17, 1989; 60 FR 66722, Dec. 26, 1995; 62 FR 6718,
and other services, the applicable serv- Feb. 13, 1997]
ice class prescribed in § 217.4 of this
part shall be reported. § 217.6 Extension of filing time.
(6) Aircraft type code. This code rep- (a) If circumstances prevent the fil-
resents the aircraft type, as specified ing of a Schedule T–100(f) report on or
in the appendix to § 217.10 of this part.
before the due date prescribed in sec-
Where none exists, OAI will furnish a
tion 22 of part 241 of this chapter and
code upon request.
the appendix to § 217.10 of this part, a
(7) Revenue aircraft departures per-
formed (Code 510). The number of rev- request for an extension must be filed
enue aircraft departures performed. with the Director, Office of Airline In-
(8) Revenue passengers transported formation.
(Code 130). The total number of revenue (b) The extension request must be re-
passengers on board over a flight stage, ceived at the address provided in
including those already on the aircraft § 217.10 at least 3 days in advance of the
from previous flight stages. Includes due date, and must set forth reasons to
both local and through passengers on justify granting an extension, and the
board the aircraft. date when the report can be filed. If a
(9) Revenue freight transported (kilo- request is denied, the air carrier must
grams) (Code 237). The volume, ex- submit the required report within 5
pressed in kilograms, of revenue days of its receipt of the denial of ex-
freight that is transported. As used in tension.
this part, ‘‘Freight’’ means revenue
cargo other than passengers or mail. [53 FR 46294, Nov. 16, 1988, as amended at 60
(10) Total revenue passengers in market FR 66722, Dec. 26, 1995]
(Code 110). The total number of revenue
§ 217.7 Certification.
passengers enplaned in a market,
boarding the aircraft for the first time. The certification for BTS Form 41
While passengers may be transported Schedule T–100(f) shall be signed by an
over several flight stages in a multi- officer of the air carrier with the req-
segment market, this data element uisite authority over the collection of
(code 110) is an unduplicated count of data and preparation of reports to en-
passengers originating within the mar- sure the validity and accuracy of the
ket. reported data.
(11) Total revenue freight in market
(kilograms) (Code 217). The amount of [53 FR 46294, Nov. 16, 1988, as amended at 60
revenue freight cargo (kilograms) that FR 66722, Dec. 26, 1995]

47
§ 217.8 14 CFR Ch. II (1–1–19 Edition)

§ 217.8 Reporting procedures. tation Statistics in a format specified in ac-

counting and reporting directives issued by
Reporting guidelines and procedures the Bureau of Transportation Statistics’ Di-
for Schedule T–100(f) are prescribed in rector of Airline Information.
the Appendix to § 217.10 of this part. (4) Filing period. Form 41 Schedule T–100(f)
shall be filed monthly and is due at the De-
§ 217.9 Waivers from reporting re- partment thirty (30) days following the end
quirements. of the reporting month to which the data are
(a) A waiver from any reporting re- applicable.
quirement contained in Schedule T– (5) Number of copies. A single set of legible
100(f) may be granted by the Depart- Form 41 Schedule T–100(f) data and certifi-
ment upon its own initiative, or upon cation shall be submitted.
the submission of a written request of (6) Foreign air carrier certification. Each
foreign air carrier shall submit a certifi-
the air carrier to the Director, Office of cation statement (illustrated at the end of
Airline Information, when such a waiv- this Appendix) as an integral part of each
er is in the public interest. monthly Schedule T–100(f), as prescribed in
(b) Each request for waiver must § 217.5 of this part.
demonstrate that: Existing peculiar- (7) [Reserved]
ities or unusual circumstances warrant (b) Preparation of Form 41 Schedule T–
a departure from the prescribed proce- 100(f):
dure or technique; a specifically de- (1) Explanation of nonstop segments and
fined alternative procedure or tech- on-flight markets. There are two basic cat-
nique will result in substantially egories of data, one pertaining to nonstop
equivalent or more accurate portrayal segments and the other pertaining to on-
of the operations reported; and the ap- flight markets. For example, the routing (A-
plication of such alternative procedure B-C-D) consists of three nonstop segment
records A-B, B-C, and C-D, and six on-flight
will not adversely affect the uni- market records A-B, A-C, A-D, B-C, B-D, and
formity in reporting applicable to all C-D.
air carriers. (2) Guidelines for reporting a nonstop seg-
[53 FR 46294, Nov. 16, 1988, as amended at 60 ment. A nonstop segment is reported when
FR 66722, Dec. 26, 1995] one or both points are in the United States
or its territories. These data shall be merged
§ 217.10 Instructions. with that for all of the other reportable non-
stop operations over the same segment. Non-
(a) Reports required by this section stop segment data must be summarized by
shall be submitted to the Bureau of aircraft type, under paragraph (h)(1), and
Transportation Statistics in a format class of service, paragraph (g)(1)(v).
specified in accounting and reporting (3) Rules for determining a reportable on-
directives issued by the Bureau of flight market. On-flight markets are report-
Transportation Statistics’ Director of able when one or both points are within the
Airline Information. U.S., with the following exceptions: (i) Do
(b) The detailed instructions for pre- not report third country to U.S. markets re-
paring Schedule T–100(f) are contained sulting from flight itineraries which serve a
in the appendix to this section. third country prior to a homeland point in
flights passing through the homeland bound
APPENDIX TO SECTION 217.10 OF 14 CFR PART for the U.S.; and (ii) do not report U.S. to
217—INSTRUCTIONS TO FOREIGN AIR CAR- third country markets resulting from
RIERS FOR REPORTING TRAFFIC DATA ON itineraries serving third country points sub-
FORM 41 SCHEDULE T–100(f) sequent to a homeland point in flights out-
(a) General instructions. bound from the U.S. and passing through the
(1) Description. Form 41 Schedule T–100(f) homeland. In reporting data pertaining to
provides flight stage data covering both pas- these two exceptions, the traffic moving to
senger/cargo and all cargo operations in or from the U.S. relating to the applicable
scheduled and nonscheduled services. The prior or subsequent third countries (referred
schedule is used to report all flights which to as ‘‘behind’’ or ‘‘beyond’’ traffic) is to be
serve points in the United States or its terri- combined with the applicable foreign home-
tories as defined in this part. land gateway point, just as though the traf-
(2) Applicability. Each foreign air carrier fic were actually enplaned or deplaned at the
holding a § 41302 permit or exemption author- homeland gateway, without disclosure of the
ity shall file Schedule T–100(f). actual prior or subsequent points. Applicable
(3) Reports required by this section shall flights are illustrated in examples (6) and (7)
be submitted to the Bureau of Transpor- under paragraph (c).

48
Office of the Secretary, DOT § 217.10
(c) Examples of flights. Following are some foreign country. It is not necessary to report
typical flight itineraries that show the re- anything on the NRT—SIN leg.
portable nonstop segment and on-flight mar- SQ—Singapore Airlines
ket entries. The carrier’s homeland is the
LAX—Los Angeles, USA
key factor in determining which on-flight
markets are reportable. NRT—Tokyo-Narita, Japan
(1) SQ flight # 11 LAX—NRT—SIN. This is SIN—Singapore, Singapore
an example of a flight with an intermediate
A–3—Airport code A–4—Air- A–5—Service class By aircraft type— Sum of all aircraft
port code (mark an X) types—
B–3— B–4—
B– B–2— C–1–
Rev- Rev- C–2—
1— Rev- Total
enue enue Total
Origin Air- enue revenue
Destina- F G L P Q pas- freight revenue
tion craft aircraft sengers trans- pas- freight in
type depar- sengers
code tures trans- ported in mar- market
ported (kg) (kg)
ket

LAX ..................................... NRT X .... .... .... .... 8161 12 2400 4800 400 500
LAX ..................................... SIN X .... .... .... .... ........ .............. .............. .............. 2000 4300

(2) SQ flight #15 LAX—HNL—TPE—SIN. SQ—Singapore Airlines LAX—

This is an example of two U.S. points, an in- Los Angeles, USA HNL—
termediate third country, and a homeland Honolulu, USA TPE—Taipei,
point. Information is reportable on only the Taiwan SIN—Singapore,
on-flight markets and nonstop segments that Singapore
consist of one or both U.S. points.
A–3—Airport code A–4—Air- A–5—Service class By aircraft type— Sum of all aircraft
port code (Mark an x) types—
B–3— B–4—
B– B–2— C–1—
Rev- Rev- C–2—
1— Rev- Total
enue enue Total
Origin Acft. enue revenue
Destin- F G L P Q pas- freight revenue
aircraft pas-
ation type sengers trans- freight in
depar- sengers
code trans- ported market
tures in mar-
ported (kg) (kg)
ket

LAX ..................................... HNL X .... .... .... .... 8161 12 2700 5300 0 0
LAX ..................................... TPE X .... .... .... .... ........ .............. .............. .............. 700 1300
LAX ..................................... SIN X .... .... .... .... ........ .............. .............. .............. 2000 4000
HNL ..................................... TPE X .... .... .... .... 8161 12 2200 6800 1200 800
HNL ..................................... SIN X .... .... .... .... ........ .............. .............. .............. 1000 6000

(3) LB flight # 902 LPB-VVI-MAO-CCS- also because in all cases where a nonstop
MIA. This flight serves two homeland points segment entry is required, a corresponding
and two different foreign countries before on-flight market entry must also be re-
terminating in the U.S. Nonstop segment in- ported.
formation is required only for the nonstop
LB—Lloyd Aero Boliviano
segment involving a U.S. point. On-flight
market information is required in 4 of the 10 LPB—La Paz, Bolivia
markets, LPB-MIA and VVI-MIA, since these VVI—Santa Cruz-Viru Viru, Bolivia
involve homeland and U.S. points; MAO-MIA MAO—Manaus, Brazil CCS—
is necessary to show traffic carried into the Caracas, Venezuela MIA—Miami,
U.S., and CCS-MIA for the same reason, and USA

A–3—Airport code A–4—Air- A–5—Service class By aircraft type— Sum of all aircraft
port code (mark an x) types—
B–3— B–4—
B– B–2— C–1—
Rev- Rev- C–2—
1— Rev- Total
enue enue Total
Origin Destina- Acft. enue revenue
F G L P Q pas- freight revenue
aircraft pas-
tion type sengers trans- freight in
depar- sengers
code trans- ported market
tures in mar-
ported (kg) (kg)
ket

CCS .................................... MIA X .... .... .... .... 8161 31 6900 71000 0 0
LPB ..................................... MIA X .... .... .... .... ........ .............. .............. .............. 1100 20000

49
§ 217.10 14 CFR Ch. II (1–1–19 Edition)
A–3—Airport code A–4—Air- A–5—Service class By aircraft type— Sum of all aircraft
port code (mark an x) types—
B–3— B–4—
B–2— C–1—
B– Rev- Rev- C–2—
1— Rev- Total
enue enue Total
Origin Acft. enue revenue
Destina- F G L P Q pas- freight revenue
aircraft pas-
tion type sengers trans- freight in
depar- sengers
code trans- ported market
tures in mar-
ported (kg) (kg)
ket

VVI ...................................... MIA X .... .... .... .... ........ .............. .............. .............. 4000 30000
MAO .................................... MIA X .... .... .... .... ........ .............. .............. .............. 1000 12000

(4) LY flight #005 TLV-AMS-ORD-LAX. LY—El Al Israel Airlines TLV—

This flight serves a single foreign inter- Tel Aviv, Israel AMS—
mediate point and two U.S. points after its Amsterdam, Netherlands ORD—
homeland origination. The information on Chicago, USA
the TLV-AMS leg is not reportable. LAX—Los Angeles, USA
A–3—Airport code A–4—Air- A–5—Service class By aircraft type— Sum of all aircraft
port code (mark an x) types—
B–3— B–4—
B– B–2— C–1— C–2—
Rev- Rev-
1— Rev- Total
enue enue Total
Origin Destina- Acft. enue revenue
F G L P Q pas- freight revenue
aircraft pas-
tion type sengers trans- freight in
depar- sengers
code trans- ported market
tures in mar-
ported (kg) (kg)
ket

AMS .................................... ORD X .... .... .... .... 8161 1 350 10000 50 1500
TLV ..................................... ORD X .... .... .... .... ........ .............. .............. .............. 150 4000
TLV ..................................... LAX X .... .... .... .... ........ .............. .............. .............. 125 3000
ORD .................................... LAX X .... .... .... .... 8161 1 150 4500 0 0
AMS .................................... LAX X .... .... .... .... ........ .............. .............. .............. 25 1500

(5) QF flight #25 SYD—BNE—CNS—HNL— land to homeland markets, or the home-

YVR. This flight serves three homeland land—third country markets.
points, a U.S. point, and a subsequent third QF—Qantas Airways (Australia)
country. Nonstop segment information is re- SYD—Sydney, Australia BNE—
quired on the respective legs into and out of Brisbane, Australia CNS—Cairns,
the United States. All on-flight market en- Australia HNL—Honolulu, USA
tries involving the U.S. point HNL are also YVR—Vancouver, Canada
required. Data are not required on the home-
A–3—Airport code A–4—Air- A–5—Service class By aircraft type Sum of all aircraft
port code (mark an x) types
B–4—
B– B–2— B–3— C–1—
Rev- C–2—
1— Rev- Rev- Total
enue Total
Origin Acft. enue enue revenue
Destina- F G L P Q freight revenue
aircraft freight pas-
tion type trans- freight in
depar- trans- sengers
code ported market
tures ported in mar-
(kg) (kg)
ket

CNS .................................... HNL X 8161 5 2200 41000 400 8000

SYD ..................................... HNL X ........ .............. .............. .............. 600 10000
BNE ..................................... HNL X ........ .............. .............. .............. 600 9000
HNL ..................................... YVR X 8161 5 750 15700 150 1700

(6) JL flight #002 HKG—NRT—SFO. This passenger and cargo transported volumes of
flight originates in a third country prior to the NRT-SFO nonstop segment entry.
the homeland. No data is required on the JL—Japan Air Lines HKG—
HKG-NRT leg, but the HKG-SFO passengers
Hong Kong, Hong Kong
and cargo shall be shown as enplanements in
NRT—Tokyo-Narita, Japan
the NRT-SFO on-flight market entry. These
volumes are included by definition in the SFO—San Francisco, USA

50
Office of the Secretary, DOT § 217.10
A–3—Airport code A–4—Air- A–5—Service class By aircraft type Sum of all aircraft
port code (mark an x) types
B–3— B–4—
B–2— C–1—
B– Rev- Rev- C–2—
1— Rev- Total
enue enue Total
Origin Acft. enue revenue
Destina- F G L P Q pas- freight revenue
aircraft pas-
tion type sengers trans- freight in
depar- sengers
code trans- ported market
tures in mar-
ported (kg) (kg)
ket

NRT ..................................... SFO X 8161 3 1200 18000 1200 18000

(7) JL flight # 001 SFO-NRT-HKG. This shall be included in the SFO-NRT entry; a
flight is the reverse sequence of flight # 002 separate SFO-HKG entry is not required.
above; it requires a nonstop segment entry JL—Japan Air Lines SFO—
covering SFO-NRT, and a single on-flight
San Francisco, USA NRT—
market entry also for SFO-NRT. In this case,
the on flight traffic enplaned at SFO and Tokyo-Narita, Japan HKG—
destined for HKG, a beyond homeland point, Hong Kong, Hong Kong

A–3—Airport code A–4—Air- A–5—Service class By aircraft type Sum of all aircraft
port code (mark an x) types
B–3— B–4—
B– B–2— C–1—
Rev- Rev- C–2—
1— Rev- Total
enue enue Total
Origin Destina- Acft. enue revenue
F G L P Q pas- freight revenue
aircraft pas-
tion type sengers trans- freight in
depar- sengers
code trans- ported market
tures in mar-
ported (kg) (kg)
ket

SFO ..................................... NRT X 8161 1 400 20000 400 20000

(8) BA flight # 5 LHR-ANC-NRT-OSA. This have the U.S. point ANC as either an origin
example contains a single homeland point or destination.
and a single U.S. point followed by two third BA—British Airways
country points. It is necessary to report the LHR—London, England
nonstop segments into and out of the U.S., ANC—Anchorage, USA
and all three of the on-flight markets which NRT—Tokyo-Narita, Japan
OSA—Osaka, Japan
A–3—Airport code A–4—Air- A–5—Service class By aircraft type Sum of all aircraft types
port code (mark an x)
B–3— B–4— C–1—
B–2— C–2—
B– Rev- Rev- Total
Rev- Total
1— enue enue revenue
Origin enue revenue
Destina- F G L P Q Acft. pas- freight pas-
aircraft freight in
tion type sengers trans- sengers
depar- market
code trans- ported in mar-
tures (kg)
ported (kg) ket

LHR ..................................... ANC X 8161 10 3000 50000 100 1000

ANC .................................... NRT X 8161 10 3150 55000 100 2500
ANC .................................... OSA X ........ .............. .............. .............. 150 1500

(d) Provisions to reduce paperwork: shown at the end of this Appendix. Section A
(1) Nonstop Segment Entries. The flight defines the origin and destination points and
stage data applicable to nonstop segment en- the service class code to which the nonstop
tries must be summarized to create totals by segment data in Section B and the on-flight
aircraft equipment type, within service market data in Section C are applicable.
class, within pairs-of-points. Section A information, along with the car-
(2) On-flight Market Entries. The applica- rier code and report date, must be included
ble on-flight market entries shall be summa- on each schedule.
rized to create totals by service class within (2) Section B—Nonstop segment informa-
pair-of-points. tion. Section B of the schedule is used for re-
(e) Preparation of Schedule T–100 (f): porting nonstop segment information by air-
(1) Section A—Indicative and flight pattern craft type. To reduce the number of sched-
information. A copy of Schedule T–100(f) is ules reported, space is provided for including

51
§ 217.11 14 CFR Ch. II (1–1–19 Edition)
data on multiple different aircraft types. (ii) Line B–2 Aircraft departures per-
Similarly, the on-flight market section has formed. This is the total number of physical
been included on a single Schedule T–100(f), departures performed with a given aircraft
along with the nonstop segment data, rather type, within service class and pair-of-points.
than on a separate schedule. (iii) Line B–3 Revenue passengers trans-
(3) Section C—On-flight market informa- ported. This is the total number of revenue
tion. Section C of the schedule is used for re- passengers transported on a given nonstop
porting on-flight market data. There will al- segment. It represents the total number of
ways be an on-flight market that cor- revenue passengers on board over the seg-
responds to the nonstop segment. Because ment without regard to their actual point of
the on-flight market data are reported at the enplanement.
service class level rather than by aircraft (iv) Line B–4 Revenue freight transported.
type, a specific flight may produce more on- This item is the total weight in kilograms (kg)
flight markets than nonstop segments, (see of the revenue freight transported on a
examples in paragraph (c) of this Appendix), given nonstop segment without regard to its
resulting in data reported in sections A and actual point of enplanement.
C only. (3) On-flight market information:
(f) [Reserved] (i) Line C–1 Total revenue passengers in
(g) Data element definitions: market. This item represents the total num-
(1) Service pattern information. ber of revenue passengers, within service
(i) Line A–1 Carrier code. Use the carrier class, that were enplaned at the origin air-
code established by the Department. This port and deplaned at the destination airport.
code is provided to each carrier in the initial (ii) Line C–2 Total revenue freight in mar-
reporting letter from the Office of Airline In- ket. This item represents the total weight in
formation (OAI). If there are any questions kilograms (kg) of revenue freight enplaned
about these codes, contact the OAI Data Ad- at the origin and deplaned at the destination
ministration Division at the address in para- airport.
graph (a)(3) of this Appendix. (h) [Reserved]
(ii) Line A–2 Report date. This is the year (i) Joint Service.
and month to which the data are applicable. (1) The Department may authorize joint
For example, 200009 indicates the year 2000, service operations between two direct air
and the month of September. carriers. Examples of these joint service op-
erations are:
(iii) Line A–3 Origin airport code. This is
Blocked-space agreements;
the departure airport, where an aircraft be-
Part-charter agreements;
gins a flight segment, and where the pas-
Code-sharing agreements;
sengers originate in an on-flight market. Use
Wet-lease agreements, and similar ar-
the 3-letter code from the City/Airport Codes
rangements.
section of the Official Airline Guide Worldwide
(2) Joint-service operations shall be re-
Edition. If no 3-letter code is available, OAI ported on BTS Form 41 Schedules T–100 and
will assign one; the address is in paragraph T–100(f) by the air carrier in operational con-
(a)(3) of this Appendix. trol of the flight, i.e., the air carrier that
(iv) Line A–4 Destination airport code. uses its flight crew to perform the operation.
This is the arrival airport, where an aircraft If there are questions about reporting a joint-
stops on a flight segment, and where pas- service operation, contact the BTS As- sistant
sengers deplane (get off the flight) after Director—Airline Information at the address
reaching their destination in a market. Use in paragraph (a)(3) of this appendix.
the 3-letter code from the source described in (j) [Reserved]
paragraph (g)(1)(iii) of this Appendix.
(v) Line A–5 Service class code. Select one [53 FR 46294, Nov. 16, 1988, as amended at 54
of the following single letter codes which de- FR 7183, Feb. 17, 1989; 60 FR 66722, Dec. 26,
scribes the type of service being reported on 1995; 67 FR 49223, July 30, 2002; 75 FR 41583,
a given flight operation. July 16, 2010]
F = Scheduled Passenger/cargo Service
G = Scheduled All-cargo Service
§ 217.11 Reporting compliance.
L = Nonscheduled Civilian Passenger/Cargo (a) Failure to file reports required by
Charter this part will subject an air carrier to
P = Nonscheduled Civilian All-Cargo Charter civil penalties prescribed in Title 49
Q = Nonscheduled Services (Other than Char- United States Code section 46301.
ter)
(b) Title 18 U.S.C. 1001, Crimes and
(2) Nonstop segment information: Criminal Procedure, makes it a crimi-
(i) Line B–1 Aircraft type code. Use the
nal offense subject to a maximum fine
four digit numeric code prescribed in para-
graph (h)(1) of this Appendix. If no aircraft of $10,000 or imprisonment for not more
type code is available, OAI will assign one. than 5 years, or both, to knowingly and
The address is in paragraph (a)(3) of this Ap- willfully make, or cause to be made,
pendix. any false or fraudulent statements or

52
Office of the Secretary, DOT § 218.4
representations in any matter within § 218.3 Prohibition against unauthor-
the jurisdiction of any agency of the ized operations employing aircraft
United States. leased with crew.
[53 FR 46294, Nov. 16, 1988, as amended at 67
(a) No foreign air carrier, or other
FR 49223, July 30, 2002] person not a citizen of the United
States, shall lease an aircraft with
crew to a foreign air carrier for use by
PART 218—LEASE BY FOREIGN AIR the latter in performing foreign air
CARRIER OR OTHER FOREIGN transportation unless either:
PERSON OF AIRCRAFT WITH (1) The lessor holds a foreign air car-
CREW rier permit issued under section 402 of
the Act or an approved registration
Sec. issued under part 294 of this chapter,
218.1 Definitions. and any statement of authorization re-
218.2 Applicability. quired by part 212 of this chapter; or
218.3 Prohibition against unauthorized op- (2) The Board has issued an exemp-
erations employing aircraft leased with tion under section 416 of the Act spe-
crew. cifically authorizing the lessor to en-
218.4 Condition upon authority of lessee. gage in the foreign air transportation
218.5 Application for disclaimer of jurisdic- to be performed under the lease; or
tion. (3) The Board has issued an order
218.6 Issuance of order disclaiming jurisdic- under § 218.6 disclaiming jurisdiction
tion. over the matter.
218.7 Presumption. (b) For purposes of this part, an air-
AUTHORITY: Secs. 204(a), 402, Pub. L. 85–726,
craft shall be considered to be leased
as amended, 72 Stat. 743, 757 (49 U.S.C. 1324, with crew if:
1372). (1) The pilot in command or a major-
ity of the crew of the aircraft, other
SOURCE: ER–716, 36 FR 23148, Dec. 4, 1971, than cabin attendants:
unless otherwise noted. (i) Is to be furnished by the lessor;
(ii) Is employed by the lessor;
§ 218.1 Definitions.
(iii) Continues in the employ of the
For the purpose of this part the term lessor in the operation of services other
lease shall mean an agreement under than those provided for in the agree-
which an aircraft is furnished by one ment between the parties; or
party to the agreement to the other (iv) Has been employed by the lessor
party, irrespective of whether the prior to the lease, and the employment
agreement constitutes a true lease, of whom by the lessee is coextensive
charter arrangement, or some other ar- with the period or periods for which
rangement. the aircraft is available to the lessee
under the lease; or
§ 218.2 Applicability. (2) The aircraft is operated under op-
erations specifications issued to the
This part applies to foreign air car- lessor by the Federal Aviation Admin-
riers and other persons not citizens of istration.
the United States which, as lessors or
lessees, enter into agreements pro- [ER–716, 36 FR 23148, Dec. 4, 1971, as amended
viding for the lease of aircraft with by ER–1250, 46 FR 47770, Sept. 30, 1981; ER–
1260, 46 FR 52598, Oct. 27, 1981]
crew to a foreign air carrier for use in
foreign air transportation. For pur- § 218.4 Condition upon authority of
poses of section 402 of the Act, the per- lessee.
son who has operational control and In any case where a foreign air car-
safety responsibility is deemed to be rier leases from another foreign air
the carrier, and is required to have ap- carrier or other person not a citizen of
propriate operating authority. the United States an aircraft with crew
[ER–716, 36 FR 23148, Dec. 4, 1971, as amended for use in performing foreign air trans-
by ER–1250, 46 FR 47770, Sept. 30, 1981] portation, it shall be a condition upon
the authority of the lessee to perform
such foreign air transportation that

53
§ 218.5 14 CFR Ch. II (1–1–19 Edition)
compliance be achieved with the re- cumstances. However, in circumstances
quirements of this part. where the lessor furnishes both the air-
craft and the crew, there is a presump-
§ 218.5 Application for disclaimer of ju- tion that true operational control and
risdiction. safety responsibility are exercised by
The parties to a lease with crew as the lessor, and that the agreement con-
described in § 218.3(b) may apply to the stitutes a charter arrangement under
Board for an order disclaiming jurisdic- which the lessor is engaged in foreign
tion over the matter. The application air transportation. The burden shall
shall be filed jointly by both parties to rest upon the applicants for disclaimer
the lease, and shall generally conform of jurisdiction in each instance to dem-
to the procedural requirements of part onstrate by an appropriate factual
302, subpart A, of this chapter. It shall showing that the operation con-
be served upon any air carrier pro- templated will not constitute foreign
viding services over all or any part of air transportation by the lessor.
the route upon which air transpor-
tation services will be provided pursu- PART 221—TARIFFS
ant to the agreement. The application
should set forth in detail all evidence Subpart A—General
and other factors relied upon to dem-
onstrate that true operational control Sec.
and safety responsibility for the air 221.1 Applicability of this part.
transportation services to be provided 221.2 Carrier’s duty.
are in the hands of the lessee rather 221.3 Definitions.
221.4 English language.
than the lessor. A copy of the agree-
221.5 Unauthorized air transportation.
ment and all amendments thereof, as
well as a summary interpretation of its Subpart B—Who Is Authorized To Issue and
pertinent provisions, shall be included File Tariffs
with the applications. Any interested
person may file an answer to the appli- 221.10 Carrier.
cation within 7 days after service here- 221.11 Agent.
of. Until the Board has acted upon the
application, no operations in foreign Subpart C—Specifications of Tariff
transportation shall be performed pur- Publications
suant to the agreement. 221.20 Specifications applicable to tariff
publications.
§ 218.6 Issuance of order disclaiming
jurisdiction. Subpart D—Manner of Filing Tariffs
If the Board finds that true oper-
221.30 Passenger fares and charges.
ational control and safety responsi-
221.31 Rules and regulations governing pas-
bility will be vested in the lessee and senger fares and services.
not in the lessor (i.e., that the lease
transaction is in substance a true lease Subpart E—Contents of Tariff
of aircraft rather than a charter or se-
ries of charters), and that the perform- 221.40 Specific requirements.
ance of the operations provided for in 221.41 Routing.
such lease will not result in the lessor’s
Subpart F—Requirements Applicable to all
being engaged in foreign air transpor-
Statements of Fares and Charges
tation, it will issue an order dis-
claiming jurisdiction over the matter. 221.50 Currency.
Otherwise the application for dis- 221.51 Territorial application.
claimer of jurisdiction will be denied. 221.52 Airport to airport application, acces-
sorial services.
§ 218.7 Presumption. 221.53 Proportional fares.
221.54 Fares stated in percentages of other
Whether under a particular lease fares; other relationships prohibited.
agreement the lessor of the aircraft is 221.55 Conflicting or duplicating fares pro-
engaged in foreign air transportation is hibited.
a question of fact to be determined in 221.56 Applicable fare when no through local
the light of all the facts and cir- or joint fares.

54
Office of the Secretary, DOT Pt. 221

Subpart G—Governing Tariffs 221.112 Rejected tariff is void and must not
be used.
221.60 When reference to governing tariffs
permitted. Subpart M—Special Tariff Permission to File
221.61 Rules and regulations governing for- on Less Than Statutory Notice
eign air transportation.
221.62 Explosives and other dangerous or re- 221.120 Grounds for approving or denying
stricted articles. Special Tariff Permission applications.
221.63 Other types of governing tariffs. 221.121 How to prepare and file applications
for Special Tariff Permission.
Subpart H—Amendment of Tariffs 221.122 Special Tariff Permission to be used
in its entirety as granted.
221.70 Who may amend tariffs. 221.123 Re-use of Special Tariff Permission
221.71 Requirement of clarity and speci- when tariff is rejected.
ficity.
221.72 Reinstating canceled or expired tariff Subpart N—Waiver of Tariff Regulations
provisions.
221.130 Applications for waiver of tariff reg-
Subpart I—Suspension of Tariff Provisions ulations.
by Department 221.131 Form of application for waivers.

221.80 Effect of suspension by Department. Subpart O—Giving and Revoking

221.81 Suspension supplement. Concurrences to Carriers
221.82 Reissue of matter continued in effect
by suspension to be canceled upon termi- 221.140 Method of giving concurrence.
nation of suspension. 221.141 Method of revoking concurrence.
221.83 Tariff must be amended to make sus- 221.142 Method of withdrawing portion of
pended matter effective. authority conferred by concurrence.
221.84 Cancellation of suspended matter
subsequent to date to which suspended. Subpart P—Giving and Revoking Powers of
Attorney to Agents
Subpart J—Filing Tariff Publications With 221.150 Method of giving power of attorney.
Department 221.151 Method of revoking power of attor-
ney.
221.90 Required notice.
221.152 Method of withdrawing portion of
221.91 Delivering tariff publications to De-
authority conferred by power of attor-
partment.
ney.
221.92 Number of copies required.
221.93 Concurrences or powers of attorney
Subpart Q—Adoption Publications Re-
not previously filed to accompany tariff
transmittal. quired To Show Change in Carrier’s
221.94 Explanation and data supporting tar- Name or Transfer of Operating Control
iff changes and new matter in tariffs. 221.160 Adoption notice.
221.161 Notice of adoption to be filed in
Subpart K—Availability of Tariff Publications former carrier’s tariffs.
for Public Inspection 221.162 Receiver shall file adoption notices.
221.163 Agents’ and other carriers’ tariffs
221.100 Public notice of tariff information.
shall reflect adoption.
221.101 Inspection at stations, offices, or lo-
221.164 Concurrences or powers of attorney
cations other than principal or general to be reissued.
office. 221.165 Cessation of operations without suc-
221.102 Accessibility of tariffs to the public. cessor.
221.103 Notice of tariff terms.
221.105 Special notice of limited liability for Subpart R—Electronically Filed Tariffs
death or injury under the Warsaw Con-
vention. 221.170 Applicability of the subpart.
221.106 Notice of limited liability for bag- 221.180 Requirements for electronic filing of
gage; alternative consolidated notice of tariffs.
liability limitations. 221.190 Time for filing and computation of
221.107 Notice of contract terms. time periods.
221.108 Transmission of tariff filings to sub- 221.195 Requirement for filing printed mate-
scribers. rial.
221.200 Content and explanation of abbrevia-
Subpart L—Rejection of Tariff Publications tions, reference marks and symbols.
221.201 Statement of filing with foreign gov-
221.110 Department’s authority to reject. ernments to be shown in air carrier’s tar-
221.111 Notification of rejection. iff filings.

55
§ 221.1 14 CFR Ch. II (1–1–19 Edition)
221.202 The filing of tariffs and amendments partment shall by regulation or order
to tariffs. prescribe. Any tariff so filed which is
221.203 Unique rule numbers required. not consistent with chapter 415 of the
221.204 Adoption of provisions of one carrier
by another carrier.
statute and such regulations and or-
221.205 Justification and explanation for ders may be rejected. Any tariff so re-
certain fares. jected shall be void, and may not be
221.206 Statement of fares. used.
221.210 Suspension of tariffs. (b) Must observe tariffs. No air carrier
221.211 Cancellation of suspended matter. or foreign air carrier shall charge or
221.212 Special tariff permission. demand or collect or receive a greater
221.300 Discontinuation of electronic tariff
system.
or less or different compensation for
221.400 Filing of paper tariffs required. foreign air transportation or for any
221.500 Transmission of electronic tariffs to service in connection therewith, than
subscribers. the fares and charges specified in its
221.550 Copies of tariffs made from filer’s currently effective tariffs; and no air
printer(s) located in Department’s public carrier or foreign air carrier shall, in
reference room. any manner or by any device, directly
221.600 Actions under assigned authority
or indirectly, or through any agent or
and petitions for review of staff action.
broker, or otherwise, refund or remit
AUTHORITY: 49 U.S.C. 40101, 40109, 40113, any portion of the fares, or charges so
46101, 46102, chapter 411, chapter 413, chapter specified, or extend to any person any
415 and chapter 417, subchapter I.
privileges or facilities, with respect to
SOURCE: 64 FR 40657, July 27, 1999, unless matters required by the Department to
otherwise noted. be specified in such tariffs, except
those specified in such tariffs.
Subpart A—General (c) No relief from violations. Nothing
contained in this part shall be con-
§ 221.1 Applicability of this part. strued as relieving any air carrier or
All tariffs and amendments to tariffs foreign air carrier from liability for
of air carriers and foreign air carriers violations of the statute, nor shall the
filed with the Department pursuant to filing of a tariff, or amendment there-
chapter 415 of the statute shall be con- to, relieve any air carrier or foreign air
structed, published, filed, posted and carrier from such violations or from
kept open for public inspection in ac- violations of regulations issued under
cordance with the regulations in this the statute.
part and orders of the Department. (d) Exemption authority. Air carriers
and foreign air carriers, both direct
§ 221.2 Carrier’s duty. and indirect, are exempted from the re-
(a) Must file tariffs. (1) Except as pro- quirement of section 41504 of the stat-
vided in paragraph (d) of this section, ute and any requirement of this chap-
every air carrier and every foreign air ter to file, and shall not file with the
carrier shall file with the Department, Department, tariffs for operations
and provide and keep open to public in- under the following provisions:
spection, tariffs showing all fares, and (1) Part 291, Domestic Cargo Trans-
charges for foreign air transportation portation;
between points served by it, and be- (2) Part 296, Indirect Air Transpor-
tween points served by it and points tation of Property;
served by any other air carrier or for- (3) Part 297, Foreign Air Freight For-
eign air carrier, when through service warders and Foreign Cooperative Ship-
and through rates shall have been es- pers Association;
tablished, and showing to the extent (4) Part 298, Exemption for Air Taxi
required by regulations and orders of Operations, except to the extent noted
the Department, all classifications, in § 298.11(b);
rules, regulations, practices, and serv- (5) Part 380, Public Charters;
ices in connection with such foreign air (6) Part 207, Charter Trips and Spe-
transportation. cial Services;
(2) Tariffs shall be filed, and provided (7) Part 208, Terms, Conditions, and
in such form and manner, and shall Limitations of Certificates to Engage
contain such information as the De- in Charter Air Transportation;

56
Office of the Secretary, DOT § 221.3
(8) Part 212, Charter Trips by Foreign Conditions of carriage means those
Air Carriers; rules of general applicability that de-
(9) Part 292, International Cargo fine the rights and obligations of the
Transportation, except as provided in carrier(s) and any other party to the
part 292. contract of carriage with respect to the
(10) Part 293 International Passenger transportation services provided.
Transportation, except as provided in Contract of carriage means those
part 293. fares, rules, and other provisions appli-
cable to the foreign air transportation
§ 221.3 Definitions. of passengers or their baggage, as de-
As used in this part, terms shall be fined in the statute.
defined as follows: Department means the Department of
Add-on means an amount published Transportation.
for use only in combination with other Direct-service market means an inter-
fares for the construction of through national market where the carrier pro-
fares. It is also referred to as ‘‘propor- vides service either on a nonstop or
tional fare’’ and ‘‘arbitrary fare’’. single-flight-number basis, including
Add-on tariff means a tariff which change-of-gauge.
contains add-on fares. Electronic tariff means an inter-
Area No. 1 means all of the North and national passenger fares or rules tariff
South American Continents and the is- or a special tariff permission applica-
lands adjacent thereto; Greenland; Ber- tion transmitted to the Department by
muda; the West Indies and the islands means of an electronic medium, and
of the Caribbean Sea; and the Hawaiian containing fares for the transportation
Islands (including Midway and Pal- of persons and their baggage, and in-
myra). cluding such associated data as
Area No. 2 means all of Europe (in- arbitraries, footnotes, routings, and
cluding that part of the former Union fare class explanations.
of the Soviet Socialist Republics in Eu- Fare means the amount per passenger
rope) and the islands adjacent thereto; or group of persons stated in the appli-
Iceland; the Azores; all of Africa and cable tariff for the air transportation
the islands adjacent thereto; Ascension thereof and includes baggage unless the
Island; and that part of Asia lying west context otherwise requires.
of and including Iran. Field means a specific area of a
Area No. 3 means all of Asia and the record used for a particular category of
islands adjacent thereto except that data.
portion included in Area No. 2; all of Filer means an air carrier, foreign air
the East Indies, Australia, New Zea- carrier, or tariff publishing agent of
land, and the islands adjacent thereto; such a carrier filing tariffs on its be-
and the islands of the Pacific Ocean ex- half in conformity with this subpart.
cept those included in Area No. 1. Item means a small subdivision of a
Bundled normal economy fare means tariff and identified by a number, a let-
the lowest one-way fare available for ter, or other definite method for the
unrestricted, on-demand service in any purpose of facilitating reference and
city-pair market. amendment.
CRT means a video display terminal Joint fare means a fare that applies to
that uses a cathode ray tube as the transportation over the joint lines or
image medium. routes of two or more carriers and
Capacity controlled fare means a fare which is made and published by ar-
for which a carrier limits the number rangement or agreement between such
of seats available for sale. carriers evidenced by concurrence or
Carrier means an air carrier or for- power of attorney.
eign air carrier subject to section 41504 Joint tariff means a tariff that con-
of 49 U.S.C. subtitle VII. tains joint fares.
Charge means the amount charged for Local fare means a fare that applies
baggage, in excess of the free allow- to transportation over the lines or
ance, accompanying or checked by a routes of one carrier only.
passenger or for any other service an- Local tariff means a tariff that con-
cillary to the passenger’s carriage. tains local fares.

57
§ 221.4 14 CFR Ch. II (1–1–19 Edition)
Machine-readable data means encoded may be a local fare, a joint fare, or
computer data, normally in a binary combination of separately established
format, which can be read electroni- fares.
cally by another computer with the Ticket office means a station, office or
requisite software without any human other location where tickets are sold or
interpretation. similar documents are issued, that is
On-line tariff database means the re- under the charge of a person employed
motely accessible, on-line version, exclusively by the carrier, or by it
maintained by the filer, of: jointly with another person.
(1) The electronically filed tariff data Unbundled normal economy fare means
submitted to the Department pursuant
the lowest one-way fare available for
to this part and Department orders,
on-demand service in any city-pair
and
(2) The Departmental approvals, dis- market which is restricted in some
approvals, and other actions, as well as way, e.g., by limits set and/or charges
any Departmental notation concerning imposed for enroute stopovers or trans-
such approvals, disapprovals, or other fers, exclusive of capacity control.
actions, that subpart R of this part re- United States means the several
quires the filer to maintain in its data- States, the District of Columbia, and
base. the several Territories and possessions
Original tariff refers to the tariff as it of the United States, including the Ter-
was originally filed exclusive of any ritorial waters and the overlying air
supplements, revised records or addi- space thereof.
tional records. Warsaw Convention means the Con-
Passenger means any person who pur- vention for the Unification of Certain
chases, or who contacts a ticket office Rules Relating to International Trans-
or travel agent for the purpose of pur- portation by Air, 49 Stat. 3000.
chasing, or considering the purchase of,
foreign air transportation. § 221.4 English language.
Passenger tariff means a tariff con-
All tariffs and other documents and
taining fares, charges, or governing
material filed with the Department
provisions applicable to the foreign air
transportation of persons and their pursuant to this part shall be in the
baggage. English language.
Publish means to display tariff mate-
§ 221.5 Unauthorized air transpor-
rial in either electronic or paper tation.
media.
Record means an electronic tariff Tariff publications shall not contain
data set that contains information de- fares or charges, or their governing
scribing one (1) tariff price or charge, provisions, applicable to foreign air
or information describing one (1) re- transportation which the issuing or
lated element associated with that tar- participating carriers are not author-
iff price or charge. ized by the Department to perform, ex-
SFFL means the Standard Foreign cept where the Department expressly
Fare Level as established by the De- requests or authorizes tariff publica-
partment of Transportation under 49 tions to be filed prior to the Depart-
U.S.C. 41509. ment’s granting authority to perform
Statute means subtitle VII of Title 49, the foreign air transportation covered
United States Code. by such tariff publications. Any tariff
Statutory notice means the number of publication filed pursuant to such ex-
days required for tariff filings in press request or authorization which is
§ 221.160(a). not consistent with chapter 415 and
Tariff publication means a tariff, a
this part may be rejected; any tariff
supplement to a tariff, or an original or
publication so rejected shall be void.
revised record of a tariff, including an
index of tariffs and an adoption notice
(§ 221.161).
Through fare means the total fare
from point of origin to destination. It

58
Office of the Secretary, DOT § 221.20

Subpart B—Who is Authorized To issuing agent may act in issuing and

Issue and File Tariffs filing each such tariff publication.

§ 221.10 Carrier. Subpart C—Specifications of Tariff

(a) Local or joint tariffs. A carrier may Publications
issue and file, in its own name, tariff
publications which contain: § 221.20 Specifications applicable to
(1) Local fares of such carrier only, tariff publications.
and provisions governing such local (a) Numerical order. All items in a tar-
fares, and/or iff shall be arranged in numerical or al-
(2) Joint fares which apply jointly via phabetical order. Each item shall bear
such issuing carrier in connection with a separate item designation and the
other carriers (participating in the tar- same designation shall not be assigned
iff publications under authority of to more than one item.
their concurrences given to the issuing (b) Carrier’s name. Wherever the name
carrier as provided in § 221.140) and pro- of a carrier appears in a tariff publica-
visions governing such joint fares. Pro- tion, such name shall be shown in full
visions for account of an individual exactly as it appears in the carrier’s
participating carrier may be published certificate of public convenience and
to govern such joint fares provided necessity, foreign air carrier permit,
§ 221.40(a)(9) is complied with. A carrier letter of registration, or whatever
shall not issue and file tariff publica- other form of operating authority of
tions containing local fares of other the Department to engage in air trans-
carriers, joint rates or fares in which portation is held by the carrier, or such
the issuing carrier does not partici- other name which has specifically been
pate, or provisions governing such authorized by order of the Department.
local or joint fares. A carrier’s name may be abbreviated,
(3) Rules and regulations governing provided the abbreviation is explained
foreign air transportation to the extent in the tariff.
provided by this part and/or Depart- (c) Agent’s name and title. Wherever
ment order. Rules and regulations may the name of an agent appears in tariff
be published in separate governing tar- publications, such name shall be shown
iffs, as provided in subpart G. in full exactly as it appears in the pow-
(b) Issuing officer. An officer or des- ers of attorney given to such agent by
ignated employee of the issuing carrier the participating carriers and the title
shall be shown as the issuing officer of ‘‘Agent’’ or ‘‘Alternate Agent’’ (as the
a tariff publication issued by a carrier, case may be) shall be shown imme-
and such issuing officer shall file the diately in connection with the name.
tariff publication with the Department (d) Statement of prices. All fares and
on behalf of the issuing carrier and all charges shall be clearly and explicitly
carriers participating in the tariff pub- stated and shall be arranged in a sim-
lication. ple and systematic manner. Com-
plicated plans and ambiguous or indefi-
§ 221.11 Agent. nite terms shall not be used. So far as
An agent may issue and file, in his or practicable, the fares and charges shall
its own name, tariff publications nam- be subdivided into items or similar
ing local fares and/or joint fares, and units, and an identifying number shall
provisions governing such fares, and be assigned to each item or unit to fa-
rules and regulations governing foreign cilitate reference thereto.
air transportation to the extent pro- (e) Statement of rules. The rules and
vided by this part and/or Department regulations of each tariff shall be clear,
order, for account of carriers partici- explicit and definite, and except as oth-
pating in such tariff publications, erwise provided in this part, shall con-
under authority of their powers of at- tain:
torney given to such issuing agent as (1) Such explanatory statements re-
provided in § 221.150. The issuing agent garding the fares, charges, rules or
shall file such tariff publications with other provisions contained in the tariff
the Department on behalf of all car- as may be necessary to remove all
riers participating therein. Only one doubt as to their application.

59
§ 221.30 14 CFR Ch. II (1–1–19 Edition)
(2) All of the terms, conditions, or conformity with subpart R. Associated
other provisions which affect the fares data includes arbitraries, footnotes,
or charges for air transportation routing numbers and fare class expla-
named in the tariff. nations. See § 221.202(b)(8).
(3) All provisions and charges which (b) Upon application by a carrier, the
in any way increase or decrease the Department’s Office of International
amount to be paid by any passenger, or Aviation shall have the authority to
which in any way increase or decrease waive the electronic filing requirement
the value of the services rendered to in this paragraph and in Subpart R in
the passenger. whole or in part, for a period up to one
(f) Separate rules tariff. If desired, year, and to permit, under such terms
rules and regulations may be published and conditions as may be necessary to
in separate governing tariffs to the ex- carry out the purposes of this part, the
tent authorized and in the manner re- applicant carrier to file fare tariffs in a
quired by subpart G. paper format. Such waivers shall only
(g) Rules of limited application. A rule be considered where electronic filing,
affecting only a particular fare or compared to paper filing, is imprac-
other provision in the tariff shall be tical and will produce a significant eco-
specifically referred to in connection nomic hardship for the carrier due to
with such fare or other provision, and the limited nature of the carrier’s oper-
such rule shall indicate that it is appli- ations subject to the requirements of
cable only in connection with such fare this part, or other unusual cir-
or other provision. Such rule shall not cumstances. Paper filings pursuant to
be published in a separate governing this paragraph shall normally conform
rules tariff. to the requirements of § 221.195 and
(h) Conflicting or duplicating rules pro- other applicable requirements of this
hibited. The publication of rules or reg- part.
ulations which duplicate or conflict
with other rules or regulations pub- § 221.31 Rules and regulations gov-
lished in the same or any other tariff erning passenger fares and serv-
ices.
for account of the same carrier or car-
riers and applicable to or in connection (a) Tariff rules and regulations gov-
with the same transportation is prohib- erning passenger fares and services
ited. other than those subject to § 221.30 may
(i) Each tariff shall include: be filed electronically in conformity
(1) A prominent D.O.T. or other num- with subpart R. Such filings shall con-
ber identifying the tariff in the se- form to criteria approved by the De-
quence of tariffs published by the car- partment’s Office of International
rier or issuing agent; Aviation as provided in § 221.180 and
(2) The name of the issuing carrier or shall contain at a minimum the infor-
agent; mation required by § 221.202(b)(9).
(3) The cancellation of any tariffs su- (b) Applications for special tariff per-
perseded by the tariff; mission may be filed electronically, as
(4) A description of the tariff con- provided in § 221.212.
tents, including geographic coverage; (c) Tariff publications and applica-
(5) Identification by number of any tions for special tariff permission cov-
governing tariffs; ered by paragraphs (a) and (b) of this
(6) The date on which the tariff is section may be filed in a paper format,
issued; subject to the requirements of this part
(7) The date on which the tariff provi- and Department orders.
sions will become effective; and
(8) the expiration date, if applicable Subpart E—Contents of Tariff
to the entire tariff.
§ 221.40 Specific requirements.
Subpart D—Manner of Filing Tariffs (a) In addition to the general require-
ments in § 221.20, the rules and regula-
§ 221.30 Passenger fares and charges. tions of each tariff shall contain:
(a) Fares tariffs, including associated (1) Aircraft and seating. For individ-
data, shall be filed electronically in ually ticketed passenger service, the

60
Office of the Secretary, DOT § 221.40
name of each type of aircraft used in vention. Notwithstanding the provi-
rendering such service by manufac- sions of paragraph (a)(5) of this section,
turer model designation and a descrip- each air carrier and foreign air carrier
tion of the seating configuration (or shall publish in its tariffs a provision
configurations if there are variations) stating whether it avails itself of the
of each type of aircraft. Where fares limitation on liability to passengers as
are provided for different classes or provided in Article 22(1) of the Warsaw
types of passenger service (that is, first Convention or whether it has elected to
class, coach, day coach, night coach, agree to a higher limit of liability by a
tourist, economy or whatever other tariff provision. Unless the carrier
class or type of service is provided elects to assume unlimited liability,
under the tariff), the tariff shall speci- its tariffs shall contain a statement as
fy the type of aircraft and the seating to the applicability and effect of the
configuration used on such aircraft for Warsaw Convention, including the
each class or type of passenger service. amount of the liability limit in dollars.
When two or more classes or types of Where applicable, a statement advising
passenger service are performed in a passengers of the amount of any higher
single aircraft, the seating configura- limit of liability assumed by the car-
tion for each type or class shall be rier shall be added.
stated and described. (7) Extension of credit. Air carriers and
(2) Rule numbers. Each rule or regula- foreign air carriers shall not file tariffs
tion shall have a separate designation. that set forth charges, rules, regula-
The same designation shall not be as- tions, or practices relating to the ex-
signed to more than one rule in the tension of credit for payment of
tariff. charges applicable to air transpor-
(3) Penalties. Where a rule provides a tation.
charge in the nature of a penalty, the (8) Individual carrier provisions gov-
rule shall state the exact conditions erning joint fares. Provisions governing
under which such charge will be im- joint fares may be published for ac-
posed. count of an individual carrier partici-
(4) Vague or indefinite provisions. pating in such joint fares provided that
Rules and regulations shall not contain the tariff clearly indicates how such in-
indefinite statements to the effect that dividual carrier’s provisions apply to
traffic of any nature will be ‘‘taken the through transportation over the
only by special arrangements’’, or that applicable joint routes comprised of
services will be performed or penalties such carrier and other carriers who ei-
imposed ‘‘at carrier’s option’’, or that ther do not maintain such provisions
the carrier ‘‘reserves the right’’ to act or who maintain different provisions
or to refrain from acting in a specified on the same subject matter.
manner, or other provisions of like im- (9) Passenger property which cannot
port; instead, the rules shall state defi- lawfully be carried in the aircraft cabin.
nitely what the carrier will or will not Each air carrier shall set forth in its
do under the exact conditions stated in tariffs governing the transportation of
the rules. persons, including passengers’ baggage,
(5) Personal liability rules. Except as charges, rules, and regulations pro-
provided in this part, no provision of viding that such air carrier receiving
the Department’s regulations issued as baggage any property of a person
under this part or elsewhere shall be traveling in air transportation, which
construed to require the filing of any property cannot lawfully be carried by
tariff rules stating any limitation on, such person in the aircraft cabin by
or condition relating to, the carrier’s reason of any Federal law or regula-
liability for personal injury or death. tion, shall assume liability to such per-
No subsequent regulation issued by the son, at a reasonable charge and subject
Department shall be construed to su- to reasonable terms and conditions,
persede or modify this rule of construc- within the amount declared to the air
tion except to the extent that such reg- carrier by such person, for the full ac-
ulation shall do so in express terms. tual loss or damage to such property
(6) Notice of limitation of liability for caused by such air carrier.
death or injury under the Warsaw Con- (b) [Reserved]

61
§ 221.41 14 CFR Ch. II (1–1–19 Edition)

§ 221.41 Routing. (1) The fares and charges stated in

currencies of countries other than the
(a) Required routing. The route or
United States are substantially equiva-
routes over which each fare applies
lent in value to the respective fares
shall be stated in the tariff in such
and charges stated in cents or dollars
manner that the following information
of the United States.
can be definitely ascertained from the
(2) Each record containing fares and
tariff:
charges shall clearly indicate the re-
(1) The carrier or carriers performing
spective currencies in which the fares
the transportation,
and charges thereon are stated, and
(2) The point or points of interchange
(3) The fares and charges stated in
between carriers if the route is a joint
cents or dollars of the United States
route (via two or more carriers),
are published separately from those
(3) The intermediate points served on
stated in currencies of other countries.
the carrier’s or carriers’ routes applica-
This shall be done in a systematic
ble between the origin and destination
manner and the fares and charges in
of the fare and the order in which such
the respective currencies shall be pub-
intermediate points are served.
lished in separate records.
(b) Individually stated routings—Meth-
od of publication. The routing required § 221.51 Territorial application.
by paragraph (a) of this section shall be
shown directly in connection with each (a) Specific points of origin and destina-
fare or charge for transportation, or in tion. Except as otherwise provided in
a routing portion of the tariff (fol- this part, the specific points of origin
lowing the fare portion of the tariff), or and destination from and to which the
in a governing routing tariff. When fares apply shall be specifically named
shown in the routing portion of the tar- directly in connection with the respec-
iff or in a governing routing tariff, the tive fares.
fare from each point of origin to each (b) Directional application. A tariff
point of destination shall bear a rout- shall specifically indicate directly in
ing number and the corresponding connection with the fares therein
routing numbers with their respective whether they apply ‘‘from’’ and ‘‘to’’ or
explanations of the applicable routings ‘‘between’’ the points named. Where
shall be arranged in numerical order in the fares apply in one direction, the
the routing portion of the tariff or in terms ‘‘From’’ and ‘‘To’’ shall be shown
the governing routing tariff. in connection with the point of origin
and point of destination, respectively,
and, where the fares apply in both di-
Subpart F—Requirements Applica- rections between the points, the terms
ble to All Statements of Fares ‘‘Between’’ and ‘‘And’’ shall be shown
and Charges in connection with the respective
points.
§ 221.50 Currency.
(a) Statement in United States currency § 221.52 Airport to airport application,
required. All fares and charges shall be accessorial services.
stated in cents or dollars of the United Tariffs shall specify whether or not
States except as provided in paragraph the fares therein include services in ad-
(b) of this section. dition to airport-to-airport transpor-
(b) Statements in both United States tation.
and foreign currencies permitted. Fares
and charges applying between points in § 221.53 Proportional fares.
the United States, on the one hand, and (a) Definite application. Add-on fares
points in foreign countries, on the shall be specifically designated as ‘‘add-
other hand, or applying between points on’’ fares on each page where they
in foreign countries, may also be stated appear.
in the currencies of foreign countries (b) A tariff may provide that fares
in addition to being stated in United from (or to) particular points shall be
States currency as required by para- determined by the addition of add-ons
graph (a) of this section: Provided, to, or the deduction of add-ons from,
that: fares therein which apply from (or to) a

62
Office of the Secretary, DOT § 221.60
base point. Provisions for the addition § 221.55 Conflicting or duplicating
or deduction of such add-ons shall be fares prohibited.
shown either directly in connection The publication of fares or charges of
with the fare applying to or from the a carrier which duplicate or conflict
base point or in a separate provision with the fares of the same carrier pub-
which shall specifically name the base lished in the same or any other tariff
point. The tariff shall clearly and defi- for application over the same route or
nitely state the manner in which such routes is hereby prohibited.
add-ons shall be applied.
(c) Restrictions upon beyond points or § 221.56 Applicable fare when no
connecting carriers. If an add-on fare is through local or joint fares.
intended for use only on traffic origi- Where no applicable local or joint
nating at and/or destined to particular fare is provided from point of origin to
beyond points or is to apply only in point of destination over the route of
connection with particular connecting movement, whichever combination of
carriers, such application shall be applicable fares provided over the
clearly and explicitly stated directly in route of movement produces the lowest
connection with such add-on fare. charge shall be applicable, except that
a carrier may provide explicitly that a
§ 221.54 Fares stated in percentages of fare cannot be used in any combination
other fares; other relationships pro- or in a combination on particular traf-
hibited.
fic or under specified conditions, pro-
(a) Fares for foreign air transpor- vided another combination is available.
tation of persons or property shall not
be stated in the form of percentages, Subpart G—Governing Tariffs
multiples, fractions, or other relation-
ships to other fares except to the ex- § 221.60 When reference to governing
tent authorized in paragraphs (b), (c), tariffs permitted.
and (d) of this section with respect to (a) Reference to other tariffs prohibited
passenger fares and baggage charges. except as authorized. A tariff shall not
(b) A basis of fares for refund pur- refer to nor provide that it is governed
poses may be stated, by rule, in the by any other tariff, document, or publi-
form of percentages of other fares. cation, or any part thereof, except as
(c) Transportation rates for the por- specifically authorized by this part.
tion of passengers’ baggage in excess of (b) Reference by fare tariff to governing
the baggage allowance under the appli- tariffs. A fare tariff may be made sub-
cable fares may be stated, by rule, as ject to a governing tariff or governing
percentages of fares. tariffs authorized by this subpart: Pro-
(d) Children’s, infants’ and senior vided, that reference to such governing
citizen’s fares, may be stated, by rule, tariffs is published in the fare tariff in
as percentages of other fares published the manner required by § 221.20(h).
specifically in dollars and cents (here- (c) Participation in governing tariffs. A
inafter referred to as base fares): Pro- fare tariff may refer to a separate gov-
vided, that: erning tariff authorized by this subpart
(1) Fares stated as percentages of only when all carriers participating in
base fares shall apply from and to the such fare tariff are also shown as par-
same points, via the same routes, and ticipating carriers in the governing
for the same class of service and same tariff: Provided, that:
type of aircraft to which the applicable (1) If such reference to a separate
base fares apply, and shall apply to all governing tariff does not apply for ac-
such base fares in a fares tariff. count of all participating carriers and
(2) Fares shall not be stated as per- is restricted to apply only in connec-
centages of base fares for the purpose tion with local or joint fares applying
of establishing fares applying from and over routes consisting of only par-
to points, or via routes, or on types of ticular carriers, only the carriers for
aircraft, or for classes of service dif- whom such reference is published are
ferent from the points, routes, types of required to be shown as participating
aircraft, or classes of service to which carriers in the governing tariff to
the base fares are applicable. which such qualified reference is made.

63
§ 221.61 14 CFR Ch. II (1–1–19 Edition)
(2) [Reserved] fective date of the previous page, and
(d) Maximum number of governing tar- show the intended effective date of the
iffs. A single fare tariff shall not make revised page. Amendments in elec-
reference to conflicting governing tar- tronic format shall conform to the re-
iffs. quirements of § 221.202 and other appli-
cable provisions of subpart R.
§ 221.61 Rules and regulations gov-
erning foreign air transportation. § 221.72 Reinstating canceled or ex-
Instead of being included in the fares pired tariff provisions.
tariffs, the rules and regulations gov- Any fares, rules, or other tariff provi-
erning foreign air transportation re- sions which have been canceled or
quired to be filed by §§ 221.20 and 221.30 which have expired may be reinstated
and/or Department order which do not only by republishing such provisions
govern the applicability of particular and posting and filing the tariff publi-
fares may be filed in separate gov- cations (containing such republished
erning tariffs, conforming to this sub- provisions) on lawful notice in the form
part. Governing rules tariffs shall con- and manner required by this part.
tain an index of rules.
Subpart I—Suspension of Tariff
§ 221.62 Explosives and other dan-
gerous or restricted articles. Provisions by Department
Carriers may publish rules and regu- § 221.80 Effect of suspension by De-
lations governing the transportation of partment.
explosives and other dangerous or re- (a) Suspended matter not to be used. A
stricted articles in separate governing fare, charge, or other tariff provision
tariffs, conforming to this subpart, in- which is suspended by the Department,
stead of being included in the fares tar- under authority of chapter 415 of the
iffs or in the governing rules tariff au- statute, shall not be used during the
thorized by § 221.61. This separate gov- period of suspension specified by the
erning tariff shall contain no other Department’s order.
rules or governing provisions. (b) Suspended matter not to be changed.
A fare, charge, or other tariff provision
§ 221.63 Other types of governing tar-
iffs. which is suspended by the Department
shall not be changed in any respect or
Subject to approval of the Depart- withdrawn or the effective date thereof
ment, carriers may publish other types further deferred except by authority of
of governing tariffs not specified in an order or special tariff permission of
this subpart, such as routing guides. the Department.
(c) Suspension continues former matter
Subpart H—Amendment of Tariffs in effect. If a tariff publication con-
taining matter suspended by the De-
§ 221.70 Who may amend tariffs. partment directs the cancellation of a
A tariff shall be amended only by the tariff or any portion thereof, which
carrier or agent who issued the tariff contains fares, charges, or other tariff
(except as otherwise authorized in sub- provisions sought to be amended by the
parts P and Q). suspended matter, such cancellation is
automatically suspended for the same
§ 221.71 Requirement of clarity and period insofar as it purports to cancel
specificity. any tariff provisions sought to be
Amendments to tariffs shall identify amended by the suspended matter.
with specificity and clarity the mate- (d) Matter continued in effect not to be
rial being amended and the changes changed. A fare, charge, or other tariff
being made. Amendments to paper tar- provision which is continued in effect
iffs shall be accomplished by reissuing as a result of a suspension by the De-
each page upon which a change occurs partment shall not be changed during
with the change made and identified by the period of suspension unless the
uniform amendment symbols. Each re- change is authorized by order or spe-
vised page shall identify and cancel the cial tariff permission of the Depart-
previously effective page, show the ef- ment, except that such matter may be

64
Office of the Secretary, DOT § 221.90
reissued without change during the pe- will not become effective until the ter-
riod of suspension. mination of the suspension period un-
less the issuing agent or carrier
§ 221.81 Suspension supplement. amends the pertinent tariffs in the
(a) Suspension supplement. Upon re- manner prescribed in this subpart (ex-
ceipt of an order of the Department cept as provided in paragraph (b) of
suspending any tariff publication in this section).
part or in its entirety, the carrier or (b) If the Department vacates its sus-
agent who issued such tariff publica- pension order prior to the original pub-
tion shall immediately issue and file lished effective date of the tariff provi-
with the Department a consecutively sions whose suspension is vacated, such
numbered supplement for the purpose provisions will become effective on
of announcing such suspension. their published effective date.
(b) The suspension supplement shall
not contain an effective date and it § 221.84 Cancellation of suspended
shall contain the suspension notice re- matter subsequent to date to which
quired by paragraph (c) of this section. suspended.
(c) Suspension notice. The suspension (a) Endeavor to cancel prior to expira-
supplement shall contain a prominent tion of suspension period. When an order
notice of suspension which shall: of the Department requires the can-
(1) Indicate what particular fares, cellation of tariff provisions which
charges, or other tariff provisions are were suspended by the Department and
under suspension, such cancellation is required to be
(2) State the date to which such tariff made effective on or before a date
matter is suspended, which is after the date to which such
(3) State the Department’s docket tariff provisions were suspended, the
number and order number which sus- issuing carrier or agent shall, if pos-
pended such tariff matter, and sible, make the cancellation effective
(4) Give specific reference to the tar- prior to the date to which such tariff
iffs (specifying their D.O.T. or other provisions were suspended.
identifying numbers), original or re- (b) When necessary to republish matter
vised records and paragraphs or provi- continued in effect by suspension. If sus-
sions which contain the fares, charges, pended tariff provisions become effec-
or other tariff provisions continued in tive upon expiration of their suspen-
effect. sion period and thereby accomplish the
cancellation of the tariff provisions
§ 221.82 Reissue of matter continued in continued in effect by the suspension,
effect by suspension to be canceled
upon termination of suspension. the issuing agent or carrier shall re-
publish and reestablish such canceled
When tariff provisions continued in tariff provisions effective simulta-
effect by a suspension are reissued dur- neously with the cancellation of the
ing the period of such suspension, the suspended provisions in compliance
termination of the suspension and the with the Department’s order. The tariff
coming into effect of the suspended amendments which reestablish such
matter will not accomplish the can- canceled tariff provisions shall bear
cellation of such reissued matter. In reference to this subpart and the De-
such circumstances, prompt action partment’s order.
shall be taken by the issuing agent or
carrier to cancel such reissued provi-
sions upon the termination of the sus- Subpart J—Filing Tariff Publications
pension in order that they will not con- With Department
flict with the provisions formerly
§ 221.90 Required notice.
under suspension.
(a) Statutory notice required. Unless
§ 221.83 Tariff must be amended to otherwise authorized by the Depart-
make suspended matter effective. ment or specified in a bilateral agree-
(a) When the Department vacates an ment between the United States and a
order which suspended certain tariff foreign country, all tariff filings shall
matter in full or in part, such matter be made on the following schedule,

65
§ 221.91 14 CFR Ch. II (1–1–19 Edition)
whether or not they effect any attorney shall, if not previously filed
changes: with the Department, be transmitted
(1) At least 30 days before they are to at the same time such tariff is sub-
become effective, for tariffs stating a mitted for filing.
passenger fare within the zone created
by section 41509(e) of the statute or § 221.94 Explanation and data sup-
stating a rule that affects only such a porting tariff changes and new mat-
fare; ter in tariffs.
(2) At least 25 days before they are to When a tariff is filed with the De-
become effective, for matching tariffs partment which contains new or
that are to become effective on the changed local or joint fares or charges
same date as the tariff to be matched for foreign air transportation, or new
and that meet competition as described or changed classifications, rules, regu-
in § 221.94(c)(1)(v); and lations, or practices affecting such
(3) At least 60 days before they are to fares or charges, or the value of the
become effective, for all other tariffs. service thereunder, the issuing air car-
(b) Computing number of days’ notice. rier, foreign air carrier, or agent shall
A tariff publication shall be deemed to submit with the filing of such tariff:
be filed only upon its actual receipt by (a) An explanation of the new or
the Department, and the first day of changed matter and the reasons for the
any required period of notice shall be filing, including (if applicable) the
the day of actual receipt by the De- basis of rate making employed. Where
partment. a tariff is filed pursuant to an intercar-
(c) Issued date. All tariff publications rier agreement approved by the Depart-
must be received by the Department on ment, the explanation shall identify
or before the designated issued date. such agreement by DOT Docket num-
ber, DOT order of approval number,
§ 221.91 Delivering tariff publications IATA resolution number, or if none is
to Department. designated, then by other definite iden-
Tariff publications will be received tification. Where a tariff is filed on be-
for filing only by delivery thereof to half of a foreign air carrier pursuant to
the Department electronically, a Government order, a copy of such
through normal mail channels, or by order shall be submitted with the tar-
delivery thereof during established iff.
business hours directly to that office of (b) Appropriate Economic data and/or
the Department charged with the re- information in support of the new or
sponsibility of processing tariffs. No changed matter.
tariff publication will be accepted by (c) Exceptions. (1) The requirement
the Department unless it is delivered for data and/or information in para-
free from all charges, including claims graph (b) of this section will not apply
for postage. to tariff publications containing new or
changed matter which are filed:
§ 221.92 Number of copies required. (i) In response to Department orders
Two copies of each paper tariff, tariff or specific policy pronouncements of
revision and adoption notice to be filed the Department directly related to
shall be sent to the Office of Inter- such new or changed matter;
national Aviation, Department of (ii) Pursuant to an intercarrier
Transportation, Washington, DC 20428. agreement approved by the Depart-
All such copies shall be included in one ment setting forth the fares, charges
package and shall be accompanied by a (or specific formulas therefor) or other
letter of tariff transmittal. matter: Provided that the changes are
submitted with the number of the DOT
§ 221.93 Concurrences or powers of at- order of approval and fully comply
torney not previously filed to ac- with any conditions set forth in that
company tariff transmittal. order;
When a tariff is filed on behalf of a (iii) To the extent fares for scheduled
carrier participating therein under au- passenger service are within a statu-
thority of its concurrence or power of tory or Department-established zone of
attorney, such concurrence or power of fare flexibility; and

66
Office of the Secretary, DOT § 221.102
(iv) To meet competition: Provided, Subpart K—Availability of Tariff
that Publications for Public Inspection
(A) Changed matter will be deemed
to have been filed to meet competition § 221.100 Public notice of tariff infor-
only when it effects decreases in fares mation.
or charges and/or increases the value of Carriers must make tariff informa-
service so that the level of the fares or tion available to the general public,
charges and the services provided will and in so doing must comply with ei-
be substantially similar to the level of ther:
fares or charges and the services of a (a) Sections 221.101, 221.102, 221.103,
competing carrier or carriers. 221.104, 221.105, and 221.106, or
(B) New matter will be deemed to (b) Sections 221.105, 221.106 and 221.107
have been filed to meet competition of this subpart.
only when it establishes or affects a § 221.101 Inspection at stations, of-
fare or charge and a service which will fices, or locations other than prin-
be substantially similar to the fares or cipal or general office.
charges and the services of a competing (a) Each carrier shall make available
carrier or carriers. for public inspection at each of its sta-
(C) When new or changed matter is tions, offices, or other locations at
filed to meet competition over a por- which tickets for passenger transpor-
tion of the filing air carrier’s system tation are sold and which is in charge
and is simultaneously made applicable of a person employed exclusively by
to the balance of the system, such mat- the carrier, or by it jointly with an-
ter, insofar as it applies over the bal- other person, all tariffs applicable to
ance of the system, will be deemed to passenger traffic from or to the point
be within the exception in this para- where such station, office, or location
graph (c)(1)(iv) of this section only if is situated, including tariffs covering
such carrier submits an explanation as any terminal services, charges, or prac-
to the necessity of maintaining uni- tices whatsoever, which apply to pas-
formity over its entire system with re- senger traffic from or to such point.
spect to such new or changed matter. (b) A carrier will be deemed to have
(D) In any case where new or changed complied with the requirement that it
‘‘post’’ tariffs, if it maintains at each
matter is filed to meet competition,
station, office, or location a file in
the filing carrier or agent must supply,
complete form of all tariffs required to
as part of the filing justification, the
be posted; and in the case of tariffs in-
complete tariff references which will volving passenger fares, rules, charges
serve to identify the competing tariff or practices, notice to the passenger as
matter which the tariff purports to required in § 221.105.
meet. In such case the justification or (c) Tariffs shall be posted by each
attachment shall state whether the carrier party thereto no later than the
new or changed matter is identical to filed date designated thereon except
the competing tariff matter which it that in the case of carrier stations, of-
purports to meet or whether it approxi- fices or locations situated outside the
mates the competing tariff matter. If United States, its territories and pos-
the new or changed matter is not iden- sessions, the time shall be not later
tical, the transmittal letter or attach- than five days after the filed date, and
ment shall contain a statement ex- except that a tariff which the Depart-
plaining, in reasonable detail, the basis ment has authorized to be filed on
for concluding that the tariff publica- shorter notice shall be posted by the
tion being filed is substantially similar carrier on like notice as authorized for
to the competing tariff matter. filing.
(2) [Reserved]
§ 221.102 Accessibility of tariffs to the
public.
Each file of tariffs shall be kept in
complete and accessible form. Employ-
ees of the carrier shall be required to

67
§ 221.103 14 CFR Ch. II (1–1–19 Edition)
give any desired information contained cluding the portion entirely within the coun-
in such tariffs, to lend assistance to tries of departure and destination. The Con-
seekers of information therefrom, and vention governs and in most cases limits the
liability of carriers to passengers for death
to afford inquirers opportunity to ex- or personal injury to approximately $10,000.
amine any of such tariffs without re- Additional protection can usually be ob-
quiring the inquirer to assign any rea- tained by purchasing insurance from a pri-
son for such desire. vate company. Such insurance is not affected
by any limitation of the carrier’s liability
§ 221.103 Notice of tariff terms. under the Warsaw Convention. For further
Each carrier shall cause to be dis- information please consult your airline or
insurance company representative.
played continuously in a conspicuous
public place at each station, office, or (2) Provided, however, That when the
location at which tariffs are required carrier elects to agree to a higher limit
to be posted, a notice printed in large of liability to passengers than that pro-
type reading as follows: vided in Article 22(1) of the Warsaw
Convention, such statement shall be
Public Inspection of Tariffs modified to reflect the higher limit.
All the currently effective passenger tar- The statement prescribed herein shall
iffs to which this company is a party and all be printed in type at least as large as 10-
passenger tariff publications which have point modern type and in ink con-
been issued but are not yet effective are on trasting with the stock on:
file in this office, so far as they apply to traf- (i) Each ticket;
fic from or to. (Here name the point.) These (ii) A piece of paper either placed in
tariffs may be inspected by any person upon the ticket envelope with the ticket or
request and without the assignment of any attached to the ticket; or
reason for such inspection. The employees of
this company on duty in this office will lend
(iii) The ticket envelope.
assistance in securing information from the (b) Each air carrier and foreign air
tariffs. carrier which, to any extent, avails
In addition, a complete file of all tariffs of itself of the limitation on liability to
this company, with indexes thereof, is main- passengers provided by the Warsaw
tained and kept available for public inspec- Convention, shall also cause to be dis-
tion at. (Here indicate the place or places played continuously in a conspicuous
where complete tariff files are maintained, public place at each desk, station, and
including the street address, and where ap-
propriate, the room number.)
position in the United States which is
in the charge of a person employed ex-
§ 221.105 Special notice of limited li- clusively by it or by it jointly with an-
ability for death or injury under other person, or by any agent employed
the Warsaw Convention. by such air carrier or foreign air car-
(a)(1) In addition to the other re- rier to sell tickets to passengers whose
quirements of this subpart, each air transportation may be governed by the
carrier and foreign air carrier which, to Warsaw Convention and whose place of
any extent, avails itself of the limita- departure or destination may be in the
tion on liability to passengers provided United States, a sign which shall have
by the Warsaw Convention, shall, at printed thereon the statement pre-
the time of delivery of the ticket, fur- scribed in paragraph (a) of this section:
nish to each passenger whose transpor- Provided, however, That an air carrier,
tation is governed by the Convention except an air taxi operator subject to
and whose place of departure or place part 298 of this subchapter, or foreign
of destination is in the United States, air carrier which provides a higher lim-
the following statement in writing: itation of liability than that set forth
in the Warsaw Convention and has
Advice to International Passengers on signed a counterpart of the agreement
Limitations of Liability among carriers providing for such high-
er limit, which agreement was ap-
Passengers embarking upon a journey in-
volving an ultimate destination or a stop in
proved by the Civil Aeronautics Board
a country other than the country of depar- by Order E–23680, dated May 13, 1966 (31
ture are advised that the provisions of a FR 7302, May 19, 1966), may use the al-
treaty known as the Warsaw Convention ternate form of notice set forth in the
may be applicable to their entire journey in- proviso to § 221.106(a) of this chapter in

68
Office of the Secretary, DOT § 221.106
full compliance with the posting re- paid. Special rules may apply for valuables.
quirements of this paragraph. And pro- Consult your carrier for details.
vided further, That an air taxi operator (2) Provided, however, That an air
subject to part 298 of this subchapter, carrier or foreign air carrier which pro-
which provides a higher limitation of vides a higher limitation of liability
liability than that set forth in the War- for death or personal injury than that
saw Convention and has signed a coun- set forth in the Warsaw Convention
terpart of the agreement among car- and has signed a counterpart of the
riers providing for such higher limit, agreement approved by the Civil Aero-
which agreement was approved by the nautics Board by Order E–23680, dated
Civil Aeronautics Board by Order E– May 13, 1966 (31 FR 7302, May 19, 1966),
23680, dated May 13, 1966 (31 FR 7302, may use the following notice in full
May 19, 1966), may use the following compliance with the posting require-
notice in the manner prescribed by this ments of this paragraph and of
paragraph in full compliance with the § 221.105(b):
posting requirements of this para-
graph. Such statements shall be print- Advice to Passengers on Limitations of
ed in bold faced type at least one- Liability
fourth of an inch high.
Airline liability for death or personal in-
jury may be limited by the Warsaw Conven-
Advice to International Passengers on tion and tariff provisions in the case of trav-
Limitation of Liability el to or from a foreign country.
Passengers traveling to or from a foreign For most international travel (including
country are advised that airline liability for domestic portions of international journeys)
death or personal injury and loss or damage liability for loss, delay or damage to baggage
to baggage may be limited by the Warsaw is limited to approximately $9.07 per pound
Convention and tariff provisions. See the no- for checked baggage and $400 per passenger
tice with your ticket or contact your airline for unchecked baggage unless a higher value
ticket office or travel agent for further in- is declared and an extra charge is paid. Spe-
formation. cial rules may apply to valuable articles.
See the notice with your tickets or consult
your airline or travel agent for further infor-
§ 221.106 Notice of limited liability for mation.
baggage; alternative consolidated
notice of liability limitations. (3) Provided, however, That carriers
(a)(1) Each air carrier and foreign air may include in the notice the par-
carrier which, to any extent, avails enthetical phrase ‘‘($20.00 per kilo)’’
itself of limitations on liability for loss after the phrase ‘‘$9.07 per pound’’ in
of, damage to, or delay in delivery of referring to the baggage liability limi-
baggage shall cause to be displayed tation for most international travel.
continuously in a conspicuous public Such statements shall be printed in
place at each desk, station, and posi- bold-face type at least one-fourth of an
tion in the United States which is in inch high and shall be so located as to
the charge of a person employed exclu- be clearly visible and clearly readable
sively by it or by it jointly with an- to the traveling public.
other person, or by any agent employed (b)(1) Each air carrier and foreign air
by such air carrier or foreign air car- carrier which, to any extent, avails
rier to sell tickets to persons or accept itself of limitations of liability for loss
baggage for checking, a sign which of, damage to, or delay in delivery of,
shall have printed thereon the fol- baggage shall include on or with each
lowing statement: ticket issued in the United States or in
a foreign country by it or its author-
Notice of Limited Liability for Baggage ized agent, the following notice printed
in at least 10 point type:
For most international travel (including
domestic portions of international journeys)
Notice of Baggage Liability Limitations
liability for loss, delay, or damage to bag-
gage is limited to approximately $9.07 per For most international travel (including
pound for checked baggage and $400 per pas- domestic portions of international journeys)
senger for unchecked baggage unless a high- liability for loss, delay, or damage to bag-
er value is declared and an extra charge is gage is limited to approximately $9.07 per

69
§ 221.107 14 CFR Ch. II (1–1–19 Edition)
pound for checked baggage and $400 per pas- § 221.107 Notice of contract terms.
senger for unchecked baggage unless a high-
er value is declared in advance and addi- (a) Terms incorporated in the contract
tional charges are paid. Excess valuation of carriage. (1) A ticket, or other writ-
may not be declared on certain types of valu- ten instrument that embodies the con-
able articles. Carriers assume no liability for tract of carriage for foreign air trans-
fragile or perishable articles. Further infor- portation shall contain or be accom-
mation may be obtained from the carrier. panied by notice to the passenger as re-
quired in paragraphs (b) and (d) of this
(2) Provided, however, That carriers section.
may include in their ticket notice the (2) Each carrier shall make the full
parenthetical phrase ‘‘($20.00 per kilo)’’ text of all terms that are incorporated
after the phrase ‘‘$9.07 per pound’’ in in a contract of carriage readily avail-
referring to the baggage liability limi- able for public inspection at each air-
tation for most international travel. port or other ticket sales office of the
(c) It shall be the responsibility of carrier: Provided, That the medium,
each carrier to insure that travel i.e., printed or electronic, in which the
agents authorized to sell air transpor- incorporated terms and conditions are
tation for such carrier comply with the made available to the consumer shall
notice provisions of paragraphs (a) and be at the discretion of the carrier.
(b) of this section. (3) Each carrier shall display con-
(d) Any air carrier or foreign air car- tinuously in a conspicuous public place
rier subject to the provisions of this at each airport or other ticket sales of-
fice of the carrier a notice printed in
section which wishes to use a notice of
large type reading as follows:
limited liability for baggage of its own
wording, but containing the substance Explanation of Contract Terms
of the language prescribed in para-
graphs (a) and (b) of this section may All passenger (and/or cargo as applicable)
contract terms incorporated into the con-
substitute a notice of its own wording tract of carriage to which this company is a
upon approval by the Department. party are available in this office. These pro-
(e) The requirements as to time and visions may be inspected by any person upon
method of delivery of the notice (in- request and for any reason. The employees of
cluding the size of type) specified in this office will lend assistance in securing in-
formation, and explaining any terms.
paragraphs (a) and (b) of this section In addition, a file of all tariffs of this com-
and the requirement with respect to pany, with indexes thereof, from which in-
travel agents specified in paragraph (c) corporated contract terms may be obtained
of this section may be waived by the is maintained and kept available for public
Department upon application and inspection at. (Here indicate the place or
places where tariff files are maintained, in-
showing by the carrier that special and
cluding the street address and, where appro-
unusual circumstances render the en- priate, the room number.)
forcement of the regulations imprac-
tical and unduly burdensome and that (4) Each carrier shall provide to the
adequate alternative means of giving passenger a complete copy of the text
of any/all terms and conditions applica-
notice are employed.
ble to the contract of carriage, free of
(f) Applications for relief under para-
charge, immediately, if feasible, or
graphs (d) and (e) of this section shall otherwise promptly by mail or other
be filed with the Department’s Office of delivery service, upon request at any
International Aviation not later than airport or other ticket sales office of
15 days before the date on which such the carrier. In addition, all other loca-
relief is requested to become effective. tions where the carrier’s tickets may
(g) Notwithstanding any other provi- be issued shall have available at all
sions of this section, no air taxi oper- times, free of charge, information suffi-
ator subject to part 298 of this sub- cient to enable the passenger to re-
chapter shall be required to give the quest a copy of such term(s).
notices prescribed in this section, ei- (b) Notice of incorporated terms. Each
ther in its capacity as an air carrier or carrier and ticket agent shall include
in its capacity as an agent for an air on or with a ticket or other written in-
carrier or foreign air carrier. strument given to the passenger, that

70
Office of the Secretary, DOT § 221.111
embodies the contract of carriage, a on customers, or permit a carrier to
conspicuous notice that: raise the price or impose more restric-
(1) The contract of carriage may in- tive conditions of contract after
corporate terms and conditions by ref- issuance of the ticket.
erence; passengers may inspect the full
text of each applicable incorporated § 221.108 Transmission of tariff filings
term at any of the carrier’s airport lo- to subscribers.
cations or other ticket sales offices of (a) Each carrier required to file tar-
the carrier; and passengers, shippers iffs in accordance with this part shall
and consignees have the right to re- make available to any person so re-
ceive, upon request at any airport or questing a subscription service as de-
other ticket sales office of the carrier,
scribed in paragraph (b) of this section
a free copy of the full text of any/all
for its passenger tariffs issued by it or
such terms by mail or other delivery
service; by a publishing agent on its behalf.
(2) The incorporated terms may in- (b) Under the required subscription
clude, among others, the terms shown service one copy of each new tariff pub-
in paragraphs (b)(2) (i) through (iv) of lication, including the justification re-
this section. Passengers may obtain a quired by § 221.94, must be transmitted
concise and immediate explanation of to each subscriber thereto by first-
the terms shown in paragraphs (b)(2) (i) class mail (or other equivalent means
through (iv) of this section from any agreed upon by the subscriber) not
location where the carrier’s tickets are later than one day following the time
sold. the copies for official filing are trans-
(i) Limits on the carrier’s liability mitted to the Department. The sub-
for personal injury or death of pas- scription service described in this sec-
sengers (subject to § 221.105), and for tion shall not preclude the offering of
loss, damage, or delay of goods and additional types of subscription serv-
baggage, including fragile or perishable ices by carriers or their agents.
goods. (c) The carriers or their publishing
(ii) Claim restrictions, including agents at their option may establish a
time periods within which passengers charge for providing the required sub-
must file a claim or bring an action scription service to subscribers: Pro-
against the carrier for its acts or omis-
vided, That the charge may not exceed
sions or those of its agents.
a reasonable estimate of the added cost
(iii) Rules about re-confirmations or
of providing the service.
reservations, check-in times, and re-
fusal to carry.
(iv) Rights of the carrier and limita- Subpart L—Rejection of Tariff
tions concerning delay or failure to Publications
perform service, including schedule
changes, substitution of alternate car- § 221.110 Department’s authority to re-
rier or aircraft, and rerouting. ject.
(c) Explanation of incorporated terms. The Department may reject any tar-
Each carrier shall ensure that any pas- iff which is not consistent with section
senger can obtain from any location 41504 of the statute, with the regula-
where its tickets are sold or any simi- tions in this part, or with Department
lar documents are issued, a concise and orders.
immediate explanation of any term in-
corporated concerning the subjects § 221.111 Notification of rejection.
listed in paragraph (b)(2) or identified
in paragraph (d) of this section. When a tariff is rejected, the issuing
(d) Direct notice of certain terms. A carrier or agent thereof will be notified
passenger must receive conspicuous electronically or in writing that the
written notice, on or with the ticket, tariff is rejected and of the reason for
or other similar document, of the sa- such rejection.
lient features of any terms that re-
strict refunds of the price of the trans-
portation, impose monetary penalties

71
§ 221.112 14 CFR Ch. II (1–1–19 Edition)

§ 221.112 Rejected tariff is void and (3) Newly authorized transportation.

must not be used. The fact that the Department has
A tariff rejected by the Department newly authorized a carrier to perform
is void and is without any force or ef- foreign air transportation constitutes
fect whatsoever. Such rejected tariff grounds for approving applications for
must not be used. Special Tariff Permission to file on less
than statutory notice the fares, rates,
Subpart M—Special Tariff Permis- and other tariff provisions covering
such newly authorized transportation.
sion To File on Less Than Stat-
(4) The fact that a passenger fare is
utory Notice within a statutory or Department-es-
§ 221.120 Grounds for approving or de- tablished zone of fare flexibility con-
nying Special Tariff Permission ap- stitutes grounds for approving an ap-
plications. plication for Special Tariff Permission
(a) General authority. The Department to file a tariff stating that fare and any
may permit changes in fares, charges rules affecting them exclusively, on
or other tariff provisions on less than less than statutory notice. The Depart-
the statutory notice required by sec- ment’s policy on approving such appli-
tion 41505 of the statute. cations is set forth in § 399.35 of this
(b) Grounds for approval. The fol- chapter.
lowing facts and circumstances con- (5) Lowered fares and charges. The pro-
stitute some of the grounds for approv- spective lowering of fares or charges to
ing applications for Special Tariff Per- the traveling public constitutes
mission in the absence of other facts grounds for approving an application
and circumstances warranting denial: for Special Tariff Permission to file on
(1) Clerical or typographical errors. less than statutory notice a tariff stat-
Clerical or typographical errors in tar- ing the lowered fares or charges and
iffs constitute grounds for approving any rules affecting them exclusively.
applications for Special Tariff Permis- However, the Department will not ap-
sion to file on less than statutory no- prove the application if the proposed
tice the tariff changes necessary to tariff raises significant questions of
correct such errors. Each application lawfulness, as set forth in § 399.35 of
for Special Tariff Permission based on this chapter.
such grounds shall plainly specify the (c) Filing notice required by formal
errors and contain a complete state- order. When a formal order of the De-
ment of all the attending facts and cir- partment requires the filing of tariff
cumstances, and such application shall matter on a stated number of days’ no-
be presented to the Department with tice, an application for Special Tariff
reasonable promptness after issuance Permission to file on less notice will
of the defective tariff.
not be approved. In any such instance a
(2) Rejection caused by clerical or typo-
petition for modification of the order
graphical errors or unintelligibility. Re-
should be filed in the formal docket.
jection of a tariff caused by clerical or
typographical errors constitute § 221.121 How to prepare and file ap-
grounds for approving applications for plications for Special Tariff Permis-
Special Tariff Permission to file on less sion.
than statutory notice, effective not
earlier than the original effective dates (a) Form. Each application for Special
in the rejected tariff, all changes con- Tariff Permission to file a tariff on less
tained in the rejected tariff but with than statutory notice shall conform to
the errors corrected. Each application the requirements of § 221.212 if filed
for the grant of Special Tariff Permis- electronically.
sion based on such grounds shall plain- (b) Number of paper copies and place of
ly specify the errors and contain a filing. For paper format applications,
complete statement of all the attend- the original and one copy of each such
ing facts and circumstances, and such application for Special Tariff Permis-
application shall be filed with the De- sion, including all exhibits thereto and
partment within five days after receipt amendments thereof, shall be sent to
of the Department’s notice of rejection. the Office of International Aviation,

72
Office of the Secretary, DOT § 221.131
Department of Transportation, Wash- § 221.123 Re-use of Special Tariff Per-
ington, DC 20590. mission when tariff is rejected.
(c) Who may make application. Appli- If a tariff containing matter issued
cations for Special Tariff Permission under Special Tariff Permission is re-
to file fares, or other tariff provisions jected, the same Special Tariff Permis-
on less than statutory notice shall be sion may be used in a tariff issued in
made only by the issuing carrier or lieu of such rejected tariff provided
agent authorized to issue and file the that such re-use is not precluded by the
proposed tariff. Such application by terms of the Special Tariff Permission,
the issuing carrier or agent will con- and is made within the time limit
stitute application on behalf of all car- thereof or within seven days after the
riers participating in the proposed date of the Department’s notice of re-
fares, or other tariff provisions. jection, whichever is later, but in no
(d) When notice is required. Notice in event later than fifteen days after the
the manner set forth in paragraph (e) expiration of the time limit specified
of this section is required when a car- in the Special Tariff Permission.
rier files an application for Special
Tariff Permission:
Subpart N—Waiver of Tariff
(1) To offer passenger fares that
would be outside a Department-estab- Regulations
lished zone of price flexibility or, in § 221.130 Applications for waiver of
markets for which the Department has tariff regulations.
not established such a zone, outside the
statutory zone of price flexibility; or Applications for waiver or modifica-
tion of any of the requirements of this
(2) To file any price increase or rule
part 221 or for modification of chapter
change that the carrier believes is like-
415 of the statute with respect to the
ly to be controversial.
filing and posting of tariffs shall be
(e) Form of notice. When notice of fil-
made by the issuing carrier or issuing
ing of a Special Tariff Permission ap-
agent.
plication affecting passenger fares is
required by paragraph (d) of this sec- § 221.131 Form of application for waiv-
tion, the carrier shall, when it files the ers.
application, give immediate tele-
graphic notice or other notice approved Applications for waivers shall be in
by the Office of International Aviation, the form of a letter addressed to the
to all certificated and foreign route Office of International Aviation, De-
partment of Transportation Wash-
carriers authorized to provide nonstop
ington, DC 20590, and shall:
or one-stop service in the markets in-
volved, and to civic parties that would (a) Specify (by section and para-
be substantially affected. The applica- graph) the particular regulation which
tion shall include a list of the parties the applicant desires the Department
notified. to waive.
(b) Show in detail how the proposed
§ 221.122 Special Tariff Permission to provisions will be shown in the tariff
be used in its entirety as granted. under authority of such waiver if
Each Special Tariff Permission to granted (submitting exhibits of the
file fares, or other tariff provisions on proposed provision where necessary to
less than statutory notice shall be used clearly show this information).
in its entirety as granted. If it is not (c) Set forth all facts and cir-
desired to use the permission as grant- cumstances on which the applicant re-
ed, and lesser or more extensive or dif- lies as warranting the Department’s
ferent permission is desired, a new ap- granting the authority requested. No
plication for Special Tariff Permission tariff or other documents shall be filed
conforming with § 221.121 in all respects pursuant to such application prior to
and referring to the previous permis- the Department’s granting the author-
sion shall be filed. ity requested.

73
§ 221.140 14 CFR Ch. II (1–1–19 Edition)

Subpart O—Giving and Revoking sent to the carrier to whom the concur-
Concurrences to Carriers rence was given. The third copy shall
be retained by the carrier issuing such
§ 221.140 Method of giving concur- notice.
rence. (d) Amendment of tariffs when con-
(a) A concurrence prepared in a man- currence revoked. When a concurrence
ner acceptable to the Office of Inter- is revoked, a corresponding amend-
national Aviation shall be used by a ment of the tariff or tariffs affected
carrier to give authority to another shall be made by the issuing carrier of
carrier to issue and file with the De- such tariffs, on not less than statutory
partment tariffs which contain joint notice, to become effective not later
fares or charges, including provisions than the effective date stated in the
governing such fares or charges, apply- Notice of Revocation of Concurrence.
ing to, from, or via points served by In the event of failure to so amend the
the carrier giving the concurrence. A tariff or tariffs, the provisions therein
concurrence shall not be used as au- shall remain applicable until lawfully
thority to file joint fares or charges in canceled.
which the carrier to whom the concur-
rence is given does not participate, and § 221.142 Method of withdrawing por-
it shall not be used as authority to file tion of authority conferred by con-
local fares or charges. currence.
(b) Number of copies. Each concur- If a carrier desires to issue a concur-
rence shall be prepared in triplicate. rence conferring less authority than a
The original of each concurrence shall previous concurrence given to the same
be filed with the Department, the du- carrier, the new concurrence shall not
plicate thereof shall be given to the direct the cancellation of such previous
carrier in whose favor the concurrence concurrence. In such circumstances,
is issued, and the third copy shall be such previous concurrence shall be re-
retained by the carrier who issued the voked by issuing and filing a Notice of
concurrence. Revocation of Concurrence in a form
(c) Conflicting authority to be avoided. acceptable to the Office of Inter-
Care should be taken to avoid giving national Aviation. Such revocation no-
authority to two or more carriers tice shall include reference to the new
which, if used, would result in con- concurrence.
flicting or duplicate tariff provisions.
§ 221.141 Method of revoking concur- Subpart P—Giving and Revoking
rence. Powers of Attorney to Agents
(a) A concurrence may be revoked by
filing with the Department a Notice of § 221.150 Method of giving power of at-
torney.
Revocation of Concurrence prepared in
a form acceptable to the Office of (a) Prescribed form of power of attor-
International Aviation. ney. A power of attorney prepared in
(b) Sixty days’ notice required. Such accordance with a form acceptable to
Notice of Revocation of Concurrence the Office of International Aviation
shall be filed on not less than sixty shall be used by a carrier to give au-
days’ notice to the Department. A No- thority to an agent and (in the case of
tice of Revocation of Concurrence will the agent being an individual) such
be deemed to be filed only upon its ac- agent’s alternate to issue and file with
tual receipt by the Department, and the Department tariffs which contain
the period of notice shall commence to local or joint fares or charges, includ-
run only from such actual receipt. ing provisions governing such fares or
(c) Number of copies. Each Notice of charges, applicable via and for account
Revocation of Concurrence shall be of such carrier. Agents may be only
prepared in triplicate. The original natural persons or corporations (other
thereof shall be filed with the Depart- than incorporated associations of air
ment and, at the same time that the carriers). The authority conferred in a
original is transmitted to the Depart- power of attorney may not be dele-
ment, the duplicate thereof shall be gated to any other person.

74
Office of the Secretary, DOT § 221.160
(b) Designation of tariff issuing person ment and, at the same time that the
by corporate agent. When a corporation original is transmitted to the Depart-
has been appointed as agent it shall ment, the duplicate thereof shall be
forward to the Department a certified sent to the agent in whose favor the
excerpt of the minutes of the meeting power of attorney was issued (except, if
of its Board of Directors designating by the alternate agent has taken over the
name and title the person responsible tariffs, the duplicate of the Notice of
for issuing tariffs and filing them with Revocation of Power of Attorney shall
the Department. Only one such person be sent to the alternate agent). The
may be designated by a corporate third copy of the notice shall be re-
agent, and the title of such designee tained by the carrier.
shall not contain the word ‘‘Agent’’. (d) Amendment of tariffs when power of
When such a designee is replaced the attorney is revoked. When a power of at-
Department shall be immediately noti- torney is revoked, a corresponding
fied in like manner of his successor. An amendment of the tariff or tariffs af-
officer or employee of an incorporated fected shall be made by the issuing
tariff-publishing agent may not be au- agent of such tariffs, on not less than
thorized to act as tariff agent in his/her statutory notice, to become effective
individual capacity. Every tariff issued not later than the effective date stated
by a corporate agent shall be issued in in the Notice of Revocation of Power of
its name as agent. Attorney. In the event of failure to so
(c) Number of copies. Each power of at- amend the tariff or tariffs, the provi-
torney shall be prepared in triplicate. sions therein shall remain applicable
The original of each power of attorney until lawfully canceled.
shall be filed with the Department, the § 221.152 Method of withdrawing por-
duplicate thereof shall be given to the tion of authority conferred by
agent in whose favor the power of at- power of attorney.
torney is issued, and the third copy
If a carrier desires to issue a power of
shall be retained by the carrier who
attorney conferring less authority than
issued the power of attorney.
a previous power of attorney issued in
(d) Conflicting authority prohibited. In
favor of the same agent, the new power
giving powers of attorney, carriers
of attorney shall not direct the can-
shall not give authority to two or more
cellation of such previous power of at-
agents which, if used, would result in torney. In such circumstances, such
conflicting or duplicate tariff provi- previous power of attorney shall be re-
sions. voked by issuing and filing a Notice of
§ 221.151 Method of revoking power of Revocation of Power of Attorney in a
attorney. form acceptable to the Office of Inter-
national Aviation. Such revocation no-
(a) A power of attorney may be re- tice shall include reference to the new
voked only by filing with the Depart- power of attorney.
ment in the manner specified in this
section a Notice of Revocation of
Power of Attorney in a form acceptable Subpart Q—Adoption Publications
to the Office of International Aviation. Required To Show Change in
(b) Sixty days’ notice required. Such Carrier’s Name or Transfer of
Notice of Revocation of Power of At- Operating Control
torney shall be filed on not less than
sixty days’ notice to the Department. § 221.160 Adoption notice.
A Notice of Revocation of Power of At- (a) When the name of a carrier is
torney will be deemed to be filed only changed or when its operating control
upon its actual receipt by the Depart- is transferred to another carrier (in-
ment, and the period of notice shall cluding another company which has
commence to run only from such ac- not previously been a carrier), the car-
tual receipt. rier which will thereafter operate the
(c) Number of copies. Each Notice of properties shall immediately issue, file
Revocation of Power of Attorney shall with the Department, and post for pub-
be prepared in triplicate. The original lic inspection, an adoption notice in a
thereof shall be filed with the Depart- form and containing such information

75
§ 221.161 14 CFR Ch. II (1–1–19 Edition)
as is approved by the Office of Inter- ly file on statutory notice the fol-
national Aviation. (The carrier under lowing amendments to their respective
its former name or the carrier from tariffs:
whom the operating control is trans- (a) Cancel the name of the former
ferred shall be referred to in this sub- carrier from the list of participating
part as the ‘‘former carrier’’, and the carriers.
carrier under its new name or the car- (b) Add the adopting carrier (in al-
rier, company, or fiduciary to whom phabetical order) to the list of partici-
the operating control is transferred pating carriers. If the adopting carrier
shall be referred to in this subpart as already participates in such tariff, ref-
the ‘‘adopting carrier’’.) erence to the substitution notice shall
(b) The adoption notice shall be pre- be added in connection with such car-
pared, filed, and posted as a tariff. The rier’s name in the list of participating
adoption notice shall be issued and carriers.
filed by the adopting carrier and not by
an agent. § 221.164 Concurrences or powers of
(c) Copies to be sent to agents and other attorney to be reissued.
carriers. At the same time that the
(a) Adopting carrier shall reissue
adoption notice is transmitted to the
adopted concurrences and powers of at-
Department for filing, the adopting
torney. Within a period of 120 days
carrier shall send copies of such adop-
after the date on which the change in
tion notice to each agent and carrier to
name or transfer of operating control
whom the former carrier has given a
occurs, the adopting carrier shall re-
power of attorney or concurrence. (See
issue all effective powers of attorney
§ 221.163.)
and concurrences of the former carrier
§ 221.161 Notice of adoption to be filed by issuing and filing new powers of at-
in former carrier’s tariffs. torney and concurrences, in the adopt-
At the same time that the adoption ing carrier’s name, which shall direct
notice is issued, posted, and filed pur- the cancellation of the respective pow-
suant to § 221.160, the adopting carrier ers of attorney and concurrences of the
shall issue, post and file with the De- former carrier. The adopting carrier
partment a notice in each effective tar- shall consecutively number its powers
iff issued by the former carrier pro- of attorney and concurrences in its
viding specific notice of the adoption own series of power of attorney num-
in a manner authorized by the Office of bers and concurrence numbers (com-
International Aviation and which shall mencing with No. 1 in each series if it
contain no matter other than that au- had not previously filed any such in-
thorized. struments with the Department), ex-
cept that a receiver or other fiduciary
§ 221.162 Receiver shall file adoption shall consecutively number its powers
notices. of attorney or concurrences in the se-
A receiver shall, immediately upon ries of the former carrier. The can-
assuming control of a carrier, issue and cellation reference shall show that the
file with the Department an adoption canceled power of attorney or concur-
notices as prescribed by §§ 221.160 and rence was issued by the former carrier.
221.161 and shall comply with the re- (b) If such new powers of attorney or
quirements of this subpart. concurrences confer less authority
than the powers of attorney or concur-
§ 221.163 Agents’ and other carriers’ rences which they are to supersede, the
tariffs shall reflect adoption. new issues shall not direct the can-
If the former carrier is shown as a cellation of the former issues; in such
participating carrier under concur- instances, the provisions of §§ 221.142
rence in tariffs issued by other carriers and 221.152 shall be observed. Concur-
or is shown as a participating carrier rences and powers of attorney which
under power of attorney in tariffs will not be replaced by new issues shall
issued by agents, the issuing carriers be revoked in the form and manner and
and agents of such tariffs shall, upon upon the notice required by §§ 221.141
receipt of the adoption notice, prompt- and 221.151.

76
Office of the Secretary, DOT § 221.180
(c) Reissue of other carriers’ concur- § 221.180 Requirements for electronic
rences issued in favor of former carrier. filing of tariffs.
Each carrier which has given a concur- (a) No carrier or filing agent shall
rence to a carrier whose tariffs are sub- file an electronic tariff unless, prior to
sequently adopted shall reissue the filing, it has signed a maintenance
concurrence in favor of the adopting agreement or agreements, furnished by
carrier. If the carrier which issued the the Department of Transportation, for
concurrence to the former carrier de- the maintenance and security of the
sires to revoke it or desires to replace on-line tariff database.
it with a concurrence conferring less (b) No carrier or agent shall file an
authority, the provisions of §§ 221.141 electronic tariff unless, prior to filing,
and 221.142 shall be observed. it has submitted to the Department’s
Office of International Aviation, Pric-
§ 221.165 Cessation of operations with- ing and Multilateral Affairs Division,
out successor. and received approval of, an applica-
tion containing the following commit-
If a carrier ceases operations without
ments:
having a successor, it shall: (1) The filer shall file tariffs elec-
(a) File a notice in each tariff of its tronically only in such format as shall
own issue and cancel such tariff in its be agreed to by the filer and the De-
entirety. partment. (The filer shall include with
(b) Revoke all powers of attorney and its application a proposed format of
concurrences which it has issued. tariff. The filer shall also submit to the
Department all information necessary
Subpart R—Electronically Filed for the Department to determine that
Tariffs the proposed format will accommodate
the data elements set forth in § 221.202.)
§ 221.170 Applicability of the subpart. (2) The filer shall provide, maintain
and install in the Public Reference
(a) Every air carrier and foreign air Room at the Department (as may be
carrier shall file its international pas- required from time to time) one or
senger fares tariffs consistent with the more CRT devices and printers con-
provisions of this subpart, and part 221 nected to its on-line tariff database.
generally. Additionally, any air carrier The filer shall be responsible for the
and any foreign air carrier may file its transportation, installation, and main-
international passenger rules tariffs tenance of this equipment and shall
electronically in machine-readable agree to indemnify and hold harmless
form as an alternative to the filing of the Department and the U.S. Govern-
printed paper tariffs as provided for ment from any claims or liabilities re-
elsewhere in part 221. This subpart ap- sulting from defects in the equipment,
plies to all carriers and tariff pub- its installation or maintenance.
lishing agents and may be used by ei- (3) The filer shall provide public ac-
ther if the carrier or agent complies cess to its on-line tariff database, at
with the provisions of subpart R. Any Departmental headquarters, during
carrier or agent that files electroni- normal business hours.
cally under this subpart must transmit (4) The access required at Depart-
mental headquarters by this subpart
to the Department the remainder of
shall be provided at no cost to the pub-
the tariff in a form consistent with
lic or the Department.
part 221, Subparts A through Q, on the
(5) The filer shall provide the Depart-
same day that the electronic tariff ment access to its on-line tariff data-
would be deemed received under base 24 hours a day, 7 days a week, ex-
§ 221.190(b). cept, that the filer may bring its com-
(b) To the extent that subpart R is puter down between 6:00 a.m. and 6:00
inconsistent with the remainder of part p.m. Eastern Standard Time or Eastern
221, subpart R shall govern the filing of Daylight Saving Time, as the case may
electronic tariffs. In all other respects, be, on Sundays, when necessary, for
part 221 remains in full force and ef- maintenance or for operational rea-
fect. sons.

77
§ 221.190 14 CFR Ch. II (1–1–19 Edition)
(6) The filer shall ensure that the De- tronic tariffs, as defined in this sub-
partment shall have the sole ability to part.
approve or disapprove electronically (12) The filer must provide a field in
any tariff filed with the Department the Government Filing File for the sig-
and the ability to note, record and re- nature of the approving U.S. Govern-
tain electronically the reasons for ap- ment Official through the use of a Per-
proval or disapproval. The carrier or sonal Identification Number (PIN).
agent shall not make any changes in (13) The filer shall provide a leased
data or delete data after it has been dedicated data conditioned circuit with
transmitted electronically, regardless sufficient capacity (not less than 28.8K
of whether it is approved, disapproved,
baud rate) to handle electronic data
or withdrawn. The filer shall be re-
transmissions to the Department. Fur-
quired to make data fields available to
the Department in any record which is ther, the filer must provide for a sec-
part of the on-line tariff database. ondary or a redundancy circuit in the
(7) The filer shall maintain all fares event of the failure of the dedicated
and rules filed with the Department circuit. The secondary or redundancy
and all Departmental approvals, dis- circuit must be equal to or greater
approvals and other actions, as well as than 14.4K baud rate. In the event of a
all Departmental notations concerning failure of the primary circuit the filer
such approvals, disapprovals or other must notify the Chief of the Pricing
actions, in the on-line tariff database and Multilateral Affairs Division of the
for a period of two (2) years after the Department’s Office of International
fare or rule becomes inactive. After Aviation, as soon as possible, after the
this period of time, the carrier or agent failure of the primary circuit, but not
shall provide the Department, free of later than two hours after failure, and
charge, with a copy of the inactive must provide the name of the contact
data on a machine-readable tape or person at the telephone company who
other mutually acceptable electronic has the responsibility for dealing with
medium. the problem.
(8) The filer shall ensure that its on- (c) Each time a filer’s on-line tariff
line tariff database is secure against database is accessed by any user during
destruction or alteration (except as au- the sign-on function the following
thorized by the Department), and
statement shall appear:
against tampering.
(9) Should the filer terminate its The information contained in this system
business or cease filing tariffs, it shall is for informational purposes only, and is a
provide to the Department on a ma- representation of tariff data that has been
chine-readable tape or any other mutu- formally submitted to the Department of
ally acceptable electronic medium, Transportation in accordance with applica-
ble law or a bilateral treaty to which the
contemporaneously with the cessation
U.S. Government is a party.
of such business, a complete copy of its
on-line tariff database. § 221.190 Time for filing and computa-
(10) The filer shall furnish to the De- tion of time periods.
partment, on a daily basis, on a ma-
chine-readable tape or any other mutu- (a) A tariff, or revision thereto, or a
ally acceptable electronic medium, all special tariff permission application
transactions made to its on-line tariff may be electronically filed with the
database. Department immediately upon compli-
(11) The filer shall afford any author- ance with § 221.180, and anytime there-
ized Departmental official full, free, after, subject to § 221.400. The actual
and uninhibited access to its facilities, date and time of filing shall be noted
databases, documentation, records, and with each filing.
application programs, including sup- (b) For the purpose of determining
port functions, environmental security, the date that a tariff, or revision there-
and accounting data, for the purpose of to, filed pursuant to this subpart, shall
ensuring continued effectiveness of be deemed received by the Department:
safeguards against threats and hazards (1) For all electronic tariffs, or revi-
to the security or integrity of its elec- sions thereto, filed before 5:30 p.m.

78
Office of the Secretary, DOT § 221.202
local time in Washington, DC, on Fed- tions, reference marks and symbols
eral business days, such date shall be which are used in the tariff shall be ex-
the actual date of filing. plained in each tariff.
(2) For all electronic tariffs, or revi- (1) The following symbols shall be
sions thereto, filed after 5:30 p.m. local used:
time in Washington, DC, on Federal R—Reduction I—
business days, and for all electronic Increase N—New
tariffs, or revisions thereto, filed on Matter
days that are not Federal business X—Canceled Matter
days, such date shall be the next Fed- C—Change in Footnotes, Routings, Rules or
eral business day. Zones
E—Denotes change in Effective Date only.
§ 221.195 Requirement for filing print- (2) Other symbols may be used only
ed material. when an explanation is provided in
(a) Any tariff, or revision thereto, each tariff and such symbols are con-
filed in paper format which accom- sistent throughout all the electroni-
panies, governs, or otherwise affects, a cally filed tariffs from that time for-
tariff filed electronically, must be re- ward.
ceived by the Department on the same
date that a tariff or revision thereto, is § 221.201 Statement of filing with for-
filed electronically with the Depart- eign governments to be shown in
ment under § 221.190(b). Further, such air carrier’s tariff filings.
paper tariff, or revision thereto, shall (a) Every electronic tariff filed by or
be filed in accordance with the require- on behalf of an air carrier that con-
ments of subparts A through Q of part tains fares which, by international con-
221. No tariff or revision thereto, filed vention or agreement entered into be-
electronically under this subpart, shall tween any other country and the
contain an effective date which is at United States, are required to be filed
variance with the effective date of the with that country, shall include the
supporting paper tariff, except as au- following statement:
thorized by the Department. The rates, fares, charges, classifications,
(b) Any printed justifications, or rules, regulations, practices, and services
other information accompanying a tar- provided herein have been filed in each coun-
iff, or revision thereto, filed electroni- try in which filing is required by treaty, con-
cally under this subpart, must be re- vention, or agreement entered into between
ceived by the Department on the same that country and the United States, in ac-
date as any tariff, or revision thereto, cordance with the provisions of the applica-
ble treaty, convention, or agreement.
filed electronically.
(c) If a filer submits a filing which (b) The statement referenced in
fails to comply with paragraph (a) of § 221.201(a) may be included with each
this section, or if the filer fails to sub- filing advice by the inclusion of a sym-
mit the information in conformity bol which is properly explained.
with paragraph (b) of this section, the (c) The required symbol may be omit-
filing will be subject to rejection, de- ted from an electronic tariff or portion
nial, or disapproval, as applicable. thereof if the tariff publication that
has been filed with any other country
§ 221.200 Content and explanation of pursuant to its tariff regulations bears
abbreviations, reference marks and a tariff filing designation of that coun-
symbols. try in addition to the D.O.T. number
(a) Content. The format to be used for appearing on the tariff.
any electronic tariff must be that
agreed to in advance as provided for in § 221.202 The filing of tariffs and
§ 221.180, and must include those data amendments to tariffs.
elements set forth in § 221.202. Those All electronic tariffs and amend-
portions that are filed in paper form ments filed under this subpart, includ-
shall comply in all respects with part ing those for which authority is sought
221, subparts A through Q. to effect changes on less than bilateral/
(b) Explanation of abbreviations, ref- statutory notice under § 221.212, shall
erence marks and symbols. Abbrevia- contain the following data elements:

79
§ 221.202 14 CFR Ch. II (1–1–19 Edition)
(a) A Filing Advice Status File— (xi) Expiration date.
which shall include: (9) Rules tariff, or proposed changes
(1) Filing date and time; to the rules tariffs.
(2) Filing advice number; (i) Rules tariffs shall include:
(3) Reference to carrier; (A) Title: General description of fare
(4) Reference to geographic area; rule type and geographic area under
(5) Effective date of amendment or the rule;
tariff; (B) Application: Specific description
(6) A place for government action to
of fare class, geographic area, type of
be recorded; and
transportation (one way, round-trip,
(7) Reference to the Special Tariff
Permission when applicable. etc.);
(b) A Government Filing File—which (C) Period of Validity: Specific de-
shall include: scription of permissible travel dates
(1) Filing advice number; and any restrictions on when travel is
(2) Carrier reference; not permitted;
(3) Filing date and time; (D) Reservations/ticketing: Specific
(4) Proposed effective date; description of reservation and
(5) Justification text; reference to ge- ticketing provisions, including any ad-
ographic area and affected tariff num- vance reservation/ticketing require-
ber; ments, provisions for payment (includ-
(6) Reference to the Special Tariff ing prepaid tickets), and charges for
Permission when applicable; any changes;
(7) Government control data, includ- (E) Capacity Control: Specific de-
ing places for: scription of any limitation on the num-
(i) Name of the government analyst, ber of passengers, available seats, or
except that this data shall not be made tickets;
public, notwithstanding any other pro- (F) Combinations: Specific descrip-
vision in this or any other subpart;
tion of permitted/restricted fare com-
(ii) Action taken and reasons there-
binations;
for.
(iii) Remarks, except that internal (G) Length of Stay: Specific descrip-
Departmental data shall not be made tion of minimum/maximum number of
public, notwithstanding any other pro- days before the passenger may/must
vision in this or any other subpart; begin return travel;
(iv) Date action is taken; and (H) Stopovers: Specific description of
(v) Personal Identification Number; permissible conditions, restrictions, or
and charges on stopovers;
(8) Fares tariff, or proposed changes (I) Routing: Specific description of
to the fares tariffs, including: routing provisions, including transfer
(i) Market; provisions, whether on-line or inter- line;
(ii) Fare code; (J) Discounts: Specific description of
(iii) One-way/roundtrip (O/R); any limitations, special conditions, and
(iv) Fare Amount; discounts on status fares, e.g. children
(v) Currency; or infants, senior citizens, tour conduc-
(vi) Footnote (FN); tors, or travel agents, and any other
(vii) Rule Number, provided that, if discounts;
the rule number is in a tariff, reference (K) Cancellation and Refunds: Spe-
shall be made to that tariff containing
cific description of any special condi-
the rule;
tions, charges, or credits due for can-
(viii) Routing (RG) Number(s), pro-
vided that the abbreviation MPM cellation or changes to reservations, or
(Maximum Permissible Routing) shall for request for refund of purchased
be considered a number for the purpose tickets;
of this file; (L) Group Requirements: Specific de-
(ix) Effective date and discontinue scription of group size, travel condi-
date if the record has been superseded; tions, group eligibility, and docu-
(x) Percent of change from previous mentation;
fares; and

80
Office of the Secretary, DOT § 221.210
(M) Tour Requirements: Specific de- set by mutual agreement between the
scription of tour requirements, includ- filer and the Department prior to the
ing minimum price, and any stay or ac- implementation of any electronic filing
commodation provisions; system.
(N) Sales Restrictions: Specific de-
scription of any restrictions on the sale § 221.204 Adoption of provisions of one
of tickets; carrier by another carrier.
(O) Rerouting: Specific description of When one carrier adopts the tariffs of
rerouting provisions, whether on-line another carrier, the effective and pro-
or inter-line, including any applicable spective fares of the adopted carrier
charges; and shall be changed to reflect the name of
(P) Miscellaneous provisions: Any
the adopting carrier and the effective
other applicable conditions.
date of the adoption. Further, each
(ii) Rules tariffs shall not contain the
phrase ‘‘intentionally left blank’’. adopted fare shall bear a notation
(10) Any material accepted by the De- which shall reflect the name of the
partment for informational purposes adopted carrier and the effective date
only shall be clearly identified as ‘‘for of the adoption, provided that any sub-
informational purposes only, not part sequent revision of an adopted fare
of official tariff’’, in a manner accept- may omit the notation.
able to the Department.
(c) A Historical File—which shall in- § 221.205 Justification and explanation
clude: for certain fares.
(1) Market; Any carrier or its agent must pro-
(2) Fare code; vide, as to any new or increased bun-
(3) One-way/roundtrip (O/R); dled or unbundled (whichever is lower)
(4) Fare amount; on-demand economy fare in a direct-
(5) Currency; service market, a comparison between,
(6) Footnote (FN); on the one hand, that proposed fare
(7) Rule Number, provided that, if the and, on the other hand, the ceiling fare
rule number is in a tariff other than allowed in that market based on the
the fare tariff, reference shall be made SFFL.
to that tariff containing the rule;
(8) Rule text applicable to each fare § 221.206 Statement of fares.
at the time that the fare was in effect.
(9) Routing (RG) Number(s), provided All fares filed electronically in di-
that the abbreviation MPM (Maximum rect-service markets shall be filed as
Permissible Routing) shall be consid- single factor fares.
ered a number for the purpose of this
file; § 221.210 Suspension of tariffs.
(10) Effective Date; (a) A fare, charge, rule or other tariff
(11) Discontinue Date; provision that is suspended by the De-
(12) Government Action; partment pursuant to section 41509 of
(13) Carrier; the statute shall be noted by the De-
(14) All inactive fares (two years); partment in the Government Filing
(15) Any other fare data which is es- File and the Historical File.
sential; and (b) When the Department vacates a
(16) Any necessary cross reference to tariff suspension, in full or in part, and
the Government Filing File for re- after notification of the carrier by the
search or other purposes. Department, such event shall be noted
§ 221.203 Unique rule numbers re- by the carrier in the Government Fil-
quired. ing File and the Historical File.
(a) Each ‘‘bundled’’ and ‘‘unbundled’’ (c) When a tariff suspension is va-
normal economy fare applicable to for- cated or when the tariff becomes effec-
eign air transportation shall bear a tive upon termination of the suspen-
unique rule number. sion period, the carrier or its agent
(b) The unique rule numbers for the shall refile the tariff showing the effec-
fares specified in this section shall be tive date.

81
§ 221.211 14 CFR Ch. II (1–1–19 Edition)

§ 221.211 Cancellation of suspended (1) Example of disapproval state-

matter. ment:
When, pursuant to an order of the De- The portion(s) of ll Revised Page ll filed
partment, the cancellation of rules, under EFA No. ll was/were disapproved by
fares, charges, or other tariff provision DOT.
is required, such action shall be made
(2) Example of other action:
by the carrier by appropriate revisions
to the tariff. The portion(s) ll Revised Page ll filed
under EFA No. ll was/were required to be
§ 221.212 Special tariff permission. amended by DOT.
(a) When a filer submits an electronic (e) When the Department disapproves
tariff or an amendment to an elec- in whole or in part or otherwise takes
tronic tariff for which authority is an action against any submission filed
sought to effect changes on less than under this part, the filer must take
bilateral/statutory notice, and no re- corrective action within two business
lated tariff material is involved, the days following the disapproval or no-
submission shall bear a sequential fil- tice of other action.
ing advice number. The submission
(f) All submissions under this section
shall appear in the Government Filing
shall comply with the requirements of
File and the Filing Advice Status File,
§ 221.202.
and shall be referenced in such a man-
ner to clearly indicate that such § 221.300 Discontinuation of electronic
changes are sought to be made on less tariff system.
than bilateral/statutory notice.
(b) When a filer submits an electronic In the event that the electronic tariff
tariff or an amendment to the elec- system is discontinued, or the source of
tronic tariff for which authority is the data is changed, or a filer discon-
sought to effect changes on less than tinues its business, all electronic data
bilateral/statutory notice, and it con- records prior to such date shall be pro-
tains related paper under § 221.195, the vided immediately to the Department,
paper submission must bear the same free of charge, on a machine-readable
filing advice number as that used for tape or other mutually acceptable elec-
the electronic submission. Such paper tronic medium.
submission shall be in the form of a re-
§ 221.400 Filing of paper tariffs re-
vised tariff page rather than as a sepa- quired.
rate request for Special Tariff Permis-
sion. All material being submitted on a (a) After approval of any application
paper tariff page as part of an elec- filed under § 221.180 of this subpart to
tronic submission will clearly indicate allow a filer to file tariffs electroni-
the portion(s) of such tariff page that cally, the filer in addition to filing
is being filed pursuant to, and in con- electronically must continue to file
junction with, the electronic submis- printed tariffs as required by subparts
sion on less than bilateral/statutory A through Q of part 221 for a period of
notice. 90 days, or until such time as the De-
(c) Departmental action on the Spe- partment shall deem such filing no
cial Tariff Permission request shall be longer to be necessary: Provided that
noted by the Department in the Gov- during the period specified by this sec-
ernment Filing File and the Filing Ad- tion the filed printed tariff shall con-
vice Status File. tinue to be the official tariff.
(d) When the paper portion of a Spe- (b) Upon notification to the filer that
cial Tariff Permission that has been it may commence to file its tariffs
filed with the Department pursuant to solely in an electronic mode, concur-
paragraph (b) of this section is dis- rently with the implementation of fil-
approved or other action is taken by ing electronically the filer shall:
the Department, such disapproval or (1) Furnish the Department with a
other action will be reflected on the copy of all the existing effective and
next consecutive revision of the af- prospective records on a machine-read-
fected tariff page(s) in the following able tape or other mutually acceptable
manner: electronic medium accompanied by an

82
Office of the Secretary, DOT § 222.1
affidavit attesting to the accuracy of § 221.600 Actions under assigned au-
such records; and thority and petitions for review of
(2) Simultaneously cancel such staff action.
records from the paper tariff in the (a) When an electronically filed
manner prescribed by subparts A record which has been submitted to the
through Q of part 221. Department under this subpart, is dis-
approved (rejected), or a special tariff
§ 221.500 Transmission of electronic permission is approved or denied, under
tariffs to subscribers. authority assigned by the Department
(a) Each filer that files an electronic of Transportation’s Regulations, 14
tariff under this subpart shall make CFR 385.13, such actions shall be under-
available to any person so requesting, a stood to include the following provi-
subscription service meeting the terms sions:
(1) Applicable to a record or records
of paragraph (b) of this section.
which is/are disapproved (rejected). The
(b) Under the required subscription
record(s) disapproved (rejected) is/are
service, remote access shall be allowed void, without force or effect, and must
to any subscriber to the on-line tariff not be used.
database, including access to the jus- (2) Applicable to a record or records
tification required by § 221.205. The sub- which is/are disapproved (rejected), and to
scription service shall not preclude the special tariff permissions which are ap-
offering of additional services by the proved or denied. This action is taken
filer or its agent. under authority assigned by the De-
(c) The filer at its option may estab- partment of Transportation in its Or-
lish a charge for providing the required ganization Regulations, 14 CFR 385.13.
subscription service to subscribers: Persons entitled to petition for review
Provided that the charge may not ex- of this action pursuant to the Depart-
ceed a reasonable estimate of the added ment’s Regulations, 14 CFR 385.50, may
cost of providing the service. file such petitions within seven days
(d) Each filer shall provide to any after the date of this action. This ac-
person upon request, a copy of the ma- tion shall become effective imme-
chine-readable data (raw tariff data) of diately, and the filing of a petition for
all daily transactions made to its on- review shall not preclude its effective-
ness.
line tariff database. The terms and
(b) [Reserved]
prices for such value-added service may
be set by the filer: Provided that such
terms and prices shall be non-discrimi- PART 222—INTERMODAL CARGO
natory, i.e., that they shall be substan- SERVICES BY FOREIGN AIR CAR-
tially equivalent for all similarly-situ- RIERS
ated persons.
Sec.
§ 221.550 Copies of tariffs made from 222.1 Applicability.
222.2 Scope of permissible intermodal cargo
filer’s printer(s) located in Depart-
services.
ment’s public reference room.
222.3 Application for Statement of Author-
Copies of information contained in a ization.
filer’s on-line tariff database may be 222.4 Procedure on receipt of application for
obtained by any user at Departmental Statement of Authorization.
222.5 Cancellation or conditioning of a
Headquarters from the printer or print- Statement of Authorization.
ers placed in Tariff Public Reference APPENDIX A TO PART 222—CAB FORM 222
Room by the filer. The filer may assess
a fee for copying, provided it is reason- AUTHORITY: Secs. 204, 402, Pub. L. 85–726, as
amended, 72 Stat. 743, 757; 49 U.S.C. 1324, 1372.
able and that no administrative burden
is placed on the Department to require SOURCE: ER–1228, 46 FR 32556, June 24, 1981,
unless otherwise noted.
the collection of the fee or to provide
any service in connection therewith. § 222.1 Applicability.
This part applies to all air transpor-
tation of property that includes both

83
§ 222.2 14 CFR Ch. II (1–1–19 Edition)
air movement by a direct foreign air ington, D.C. 20428), attached as Appen-
carrier and surface transportation to dix A. In most cases the Board will act
or from any point within the United upon applications for Statements of
States (hereafter referred to as ‘‘inter- Authorization within 60 days.
modal cargo services’’). (b) Persons objecting to an applica-
tion for a Statement of Authorization
§ 222.2 Scope of permissible inter- shall file their objections with the Reg-
modal cargo services.
ulatory Affairs Division, Bureau of
(a) Under its foreign air carrier per- International Aviation, within 28 days
mit, a direct foreign air carrier may of the filing date of the application.
provide or control the surface portion The Board will list the names and na-
of intermodal cargo services within a tionalities of all persons applying for
zone extending 35 miles from the Statements of Authorization in its
boundary of the airport or city it is au- Weekly Summary of Filings.
thorized to serve. A direct foreign air (c) An application shall include a
carrier shall not provide or control the copy of any bilateral agreement,
surface portion of intermodal cargo memorandum of consultations, or dip-
services outside of this 35-mile zone un- lomatic note or letter, in support of
less authorized to do so by the Board in
the authority requested. Documents
accordance with §§ 222.3, 222.4 and 222.5.
that appear in official U.S. publica-
(b) A direct foreign air carrier shall
tions may be incorporated by ref-
be considered to control the surface
erence.
portion of intermodal cargo services if
it has or publicly represents that it has (Approved by the Office of Management and
any responsibility for or control over Budget under control number 3024–0045)
the movement of, or has any owner- [ER–1228, 46 FR 32556, June 24, 1981, as
ship, controlling or exclusive dealing amended by ER–1348, 48 FR 31635, July 11,
relationship with, the carrier actually 1983]
providing the surface transportation.
(c) Except as provided in paragraphs § 222.4 Procedure on receipt of appli-
(a) and (b) of this section with respect cation for Statement of Authoriza-
to control by a direct foreign air car- tion.
rier, any U.S. or foreign indirect air (a) After review of an application
carrier, surface carrier or surface form filed under § 222.3, the Board will
freight forwarder may provide the sur- take one or more of the following ac-
face portion of intermodal cargo serv- tions:
ices without limitation as to geo- (1) Indicate by stamp on CAB Form
graphic area within the United States. 222 the effective date of the Statement
(d) The Board may withdraw the au- of Authorization, and return to the car-
thority of an indirect foreign air car- rier the duplicate copy of Form 222 as
rier to provide the surface portion of evidence of approval under this part;
intermodal cargo services, or the au-
(2) Request additional information
thority of a direct foreign air carrier to
from the applicant;
offer intermodal cargo services pursu-
ant to joint fares with other carriers (3) Set the application for notice and
providing the surface transportation, hearing procedures;
at any time, with or without hearing, (4) Disapprove the application or ap-
if the Board finds it in the public inter- prove it subject to such terms, condi-
est. tions, or limitations as may be re-
quired by the public interest; or
§ 222.3 Application for Statement of (5) Reject the application on the
Authorization. grounds that there is no agreement by
(a) Application for a Statement of the United States authorizing the pro-
Authorization shall be filed with the posed services.
Board’s Regulatory Affairs Division, (b) An order disapproving an applica-
Bureau of International Aviation, in tion or subjecting it to conditions or
duplicate, on CAB Form 222 (obtainable limitations shall be transmitted to the
from the Civil Aeronautics Board, Pub- President for stay or disapproval. If the
lications Services Division, Wash- President does not stay or disapprove

84
Office of the Secretary, DOT § 222.5
the Board’s order, it shall become ef- tions, at any time, with or without
fective on the 31st day after trans- hearing, if the Board finds that it is in
mittal to the President, or within any the public interest to do so. An order
longer time period established in the canceling or conditioning a Statement
order. of Authorization shall be submitted to
the President for stay or disapproval
§ 222.5 Cancellation or conditioning of
a Statement of Authorization. and shall become effective on the 31st
day after transmittal or within any
A Statement of Authorization may longer time period established by the
be canceled or made subject to addi-
Board.
tional terms, conditions, or limita-

85
Pt. 222, App. A 14 CFR Ch. II (1–1–19 Edition)
APPENDIX A TO PART 222—CAB FORM 222

86
Office of the Secretary, DOT Pt. 222, App. A

87
Pt. 223 14 CFR Ch. II (1–1–19 Edition)

PART 223—FREE AND REDUCED- or by another carrier that controls or

RATE TRANSPORTATION is controlled by that carrier or which is
under common control with that car-
Subpart A—General Provisions rier by another person.
Air carrier means the holder of a cer-
Sec. tificate of public convenience and ne-
223.1 Definitions. cessity issued by the Board under sec-
223.2 Exemption from section 401 of the Act.
tion 401 of the Act authorizing the car-
223.3 Mandatory free transportation.
223.4 Transferability of passes. riage of persons.
223.5 Responsibility of agencies. Attendant means any person required
223.6 Carrier’s rules. by a handicapped person in order to
travel, whether or not that person’s
Subpart B—Domestic Travel services are required while the handi-
223.11 Free and reduced-rate transportation
capped passenger is in an aircraft.
permitted. Carrier means:
(a) An air carrier;
Subpart C—International Travel (b) An all-cargo air carrier operating
under section 401 or section 418 of the
223.21 Free and reduced-rate transportation
Act;
authorized by statute or regulation.
223.22 Other persons to whom free and re- (c) A foreign air carrier;
duced-rate transportation may be fur- (d) An intrastate carrier;
nished. (e) An air taxi (including a commuter
223.23 Applications for authority to carry air carrier) operating under parts 294 or
other persons. 298 of this chapter; and
223.24 Transportation of empty mail bags. (f) Any person operating as a com-
223.25 List of affiliates. mon carrier by air, or in the carriage of
AUTHORITY: Secs. 204, 403, 404, 405(j), 407, mail by air, or conducting transpor-
416, Pub. L. 85–726, as amended, 72 Stat. 743, tation by air, in a foreign country.
758, 760, 766, 771, 49 U.S.C. 1325, 1373, 1374, 1375, Control, as used in this section,
1377, 1386, sec. 2 of the Postal Reorganization means the beneficial ownership of more
Act, 84 Stat. 767, 39 U.S.C. 5007.
than 40 percent of outstanding capital
SOURCE: ER–1371, 48 FR 57118, Dec. 28, 1983, stock unless, ownership of more than
unless otherwise noted. 40 percent of outstanding capital stock
unless, in a specific case, the Board de-
Subpart A—General Provisions termines under section 408 of the Act
that control does not exist. Control
§ 223.1 Definitions. may be direct or by or through one or
As used in this part, unless the con- more intermediate subsidiaries like-
text otherwise requires: wise controlled or controlling through
An affiliate of a carrier means a per- beneficial ownership of more than 40
son: percent of outstanding voting capital
(a) Who controls that carrier, or is stock.
controlled by that carrier or by an- Delivery flight means a flight from a
other person who controls or is con- point in the United States where a car-
trolled by that carrier; and rier has taken delivery of a newly man-
(b) Whose principal business in pur- ufactured aircraft to any point or
pose or in fact is: points on its route system.
(1) The holding of stock in one or Foreign air carrier means the holder of
more carriers; a permit issued by the Board under sec-
(2) Transportation by air or the sale tion 402 of the Act authorizing the car-
of tickets therefor; riage of persons.
(3) The operation of one or more air- Free transportation means the car-
ports, one or more of which are used by riage by an air carrier or foreign air
that carrier or by another carrier who carrier of any person or property (other
controls or is controlled by that carrier than property owned by that carrier) in
or that is under common control with air transportation without compensa-
that carrier by another person; or tion therefor.
(4) Activities related to the transpor- Handicapped passenger means any
tation by air conducted by that carrier person who has a physical or mental

88
Office of the Secretary, DOT § 223.6
impairment (other than drug addiction as may be prescribed by the Adminis-
or alcoholism), that substantially lim- trator of the Federal Aviation Admin-
its one or more major life activities. istration;
Inaugural flight means a flight on an (b) Safety inspectors of the National
aircraft type being introduced by a car- Transportation Safety Board or of the
rier for the first time on a route, even Federal Aviation Administration who
if that aircraft type has been used by have been assigned to the duty of in-
that carrier on other routes or on that specting during flight such aircraft or
route by other carriers. its equipment, route facilities, oper-
Pass means a written authorization, ational procedures, or airman com-
other than actual ticket stock, issued petency upon the exhibition of creden-
by a carrier for free or reduced-rate tials or a certificate from the agency
transportation of persons or property. involved in authorizing such transpor-
Reduced-rate transportation means the tation; and
carriage by an air carrier or foreign air (c) Postal employees on duty in
carrier of any person or property (other charge of the mails or traveling to or
than property owned by such carrier) from such duty, upon the exhibition of
in air transportation for a compensa- the credentials issued by the Post-
tion less than that specified in the tar- master General.
iffs of that carrier on file with the
Board and otherwise applicable to such § 223.4 Transferability of passes.
carriage. Any pass authorizing free or reduced-
Retired means: rate transportation issued by a carrier
(a) With respect to carrier directors, may be made transferable to the extent
officers, and employees, persons receiv- specified by the granting carrier.
ing retirement benefits from any car-
rier; § 223.5 Responsibility of agencies.
(b) With respect to the general pub- The Federal Aviation Administra-
lic, persons not regularly working at a tion, National Transportation Safety
full-time paying job, and not intending Board, National Weather Service, and
to do so in the future. the Postal Service shall be responsible
for the following:
§ 223.2 Exemption from section 401 of (a) The issuance of any credentials or
the Act. certificates to their personnel eligible
(a) Any all-cargo carrier is exempted for free or reduced-rate transportation
from section 401 of the Act to the ex- under this part; and
tent necessary to carry, for purposes of (b) The promulgation of any internal
in-flight observation, technical rep- rules that are necessary to obtain com-
resentatives of companies that have pliance by such personnel with this
been engaged in the manufacture, de- part.
velopment, or testing of aircraft or air-
craft equipment. § 223.6 Carrier’s rules.
(b) Every carrier providing transpor- (a) Each air carrier and foreign air
tation under this section shall also carrier shall maintain at its principal
comply with the applicable regulations office either a copy or all instructions
of the Federal Aviation Administration to its employees and of all company
such as regulations pertaining to ad- rules governing its practice in connec-
mission of persons to the aircraft flight tion with the issuance and interchange
deck. of free and reduced-rate transportation
passes or a statement describing those
§ 223.3 Mandatory free transportation. practices.
Every air carrier shall carry, without (b) The rules or statement required
charge, on any aircraft that it oper- by this section shall, at a minimum,
ates, the following persons: include the following:
(a) Security guards who have been as- (1) The titles of its officials upon
signed to the duty of guarding such air- whose authorizations passes may be
craft against unlawful seizure, sabo- issued;
tage or other unlawful interference, (2) The titles of other officials who
upon the exhibition of such credentials are authorized by these officials to

89
§ 223.11 14 CFR Ch. II (1–1–19 Edition)
countersign passes on their behalf, and any affiliate of such carrier, subject to
the extent of the authority granted to the requirements of § 223.25.
them; and (b) Persons to whom the carrier is re-
(3) The titles of persons who are au- quired to furnish such transportation
thorized to request passes from other by law or government directive or by a
carriers. contract or agreement between the car-
(c) The rules, instructions, or state- rier and the government of any coun-
ment required by this section shall be try served by the carrier. The Board
furnished to the Board upon request or may, without prior notice, direct the
to a member of the public upon pay- carrier to file a tariff covering such
ment of a reasonable charge for this transportation if it finds that the law
service. or government directive in question re-
(Approved by the Office of Management and quires the provision of such transpor-
Budget under control number 3024–0002) tation. This transportation may be
provided only if:
Subpart B—Domestic Travel (1) The contract or agreement is filed
with the Board, and it is not dis-
§ 223.11 Free and reduced-rate trans- approved by the Board; and
portation permitted. (2) The law or government directive
Air carriers may charge any rate or does not require the furnishing of such
fare for interstate and overseas air transportation to the general public or
transportation. any segment thereof.
(c) Technical representatives of com-
panies that have been engaged in the
Subpart C—International Travel manufacture, development or testing of
§ 223.21 Free and reduced-rate trans- a particular type of aircraft or aircraft
portation authorized by statute or equipment, when the transportation is
regulation. provided for the purposes of in-flight
(a) Any air carrier or foreign air car- observation, and subject to applicable
rier may provide free or reduced-rate regulations of the Federal Aviation Ad-
foreign air transportation to any class- ministration such as regulations per-
es of persons specifically named in sec- taining to admission of persons to the
tion 403(b) of the Act or free transpor- aircraft flight deck.
tation to those named in § 375.35 of this (d) Any person in return for goods or
chapter. services provided by such person
(b) Air carriers and foreign air car- whether the transportation is used by
riers may offer reduced fares for for- that person or any designee of such
eign air transportation to ministers of person;
religion, the elderly, retired, and (e) Persons engaged in promoting
handicapped passengers, and to attend- transportation and their immediate
ants required by handicapped pas- families, when such transportation is
sengers, but shall file tariffs for such undertaken for a promotional purpose;
fares. Carriers may establish reason- (f) Persons being transported on an
able tariff rules to assist in identifying inaugural flight or delivery flight of
those who qualify for reduced fares. the carrier except that, in the case of
delivery flights, this exemption ex-
§ 223.22 Other persons to whom free tends only to free, and not reduced-
and reduced-rate transportation rate, transportation;
may be furnished. (g) Any law-enforcement official, in-
Air carriers and foreign air carriers cluding any person who has the duty of
are exempted from sections 403 and guarding government officials trav-
404(b) of the Act and part 221 of this eling on official business against un-
chapter to the extent necessary to pro- lawful interference;
vide free or reduced-rate foreign air (h) As compensation to persons that
transportation, including passes, to the file a complaint or claim against the
following: carrier;
(a) Directors, officers, employees, (i) Charitable organizations; and
and retirees and members of their im- (j) Any person in an aviation-related
mediate families, of any carrier or of occupation when the transportation is

90
Office of the Secretary, DOT § 232.1
provided for the purpose of technical (c) The list required by paragraph (a)
in-flight observation. of this section shall be furnished to the
Board upon request.
§ 223.23 Applications for authority to
(Approved by the Office of Management and
carry other persons.
Budget under control number 3024–0002)
(a) Any air carrier or foreign air car-
rier desiring special authorization to PART 232—TRANSPORTATION OF
provide free or reduced-rate foreign air MAIL, REVIEW OF ORDERS OF
transportation to persons to whom the POSTMASTER GENERAL
carrier would not otherwise be author-
ized to furnish such transportation Sec.
under the previous provisions of this 232.1 Applications for review.
part may apply to the Board, by letter 232.2 Answers to applications for review.
or other writing, for such authoriza- 232.3 Replies to answers to applications for
review.
tion. 232.4 Applications to postpone the effective
(b) The application shall include the date of an order of the Postmaster Gen-
following information: eral; answers thereto.
(1) The identity of the persons to 232.5 Filing and service of applications, an-
whom the transportation is to be fur- swers, and replies.
nished; AUTHORITY: 49 U.S.C. Chapters 401, 419.
(2) The points between which the SOURCE: 41 FR 49479, Nov. 9, 1976, unless
transportation is to be furnished; otherwise noted.
(3) The approximate time of depar-
ture; and § 232.1 Applications for review.
(4) The carrier’s reasons for desiring (a) Any person who would be ag-
to furnish such transportation. grieved by an order of the Postmaster
(c) No transportation for which ap- General issued under and within the
proval is required shall be furnished by meaning of section 41902 of the Statute
the carrier until that approval is re- may, within not more than 10 days
ceived by the carrier. after the issuance of such order, apply
to the Department for a review thereof.
(Approved by the Office of Management and (b) An application for review filed
Budget under control number 3024–0002) under this part shall be made in writ-
ing and shall be conspicuously entitled
§ 223.24 Transportation of empty mail Application for Review of Order of the
bags. Postmaster General under section 41902
Any carrier authorized to engage in of the Statute. Except as otherwise
foreign air transportation may trans- provided in paragraph (c) of this sec-
port in foreign air transportation tion, such application for review shall
empty air mail bags from any country specify:
to the country of origin of such bags, (1) The schedule affected and identity
free of charge, on a voluntary space- of the order complained of;
available basis. (2) The manner in which the appli-
cant is or would be aggrieved by the
§ 223.25 List of affiliates. order;
(3) The relief sought;
(a) Each carrier shall maintain at its (4) The facts relied upon to establish
principal office a list containing all of that the public convenience and neces-
that carrier’s affiliates, showing the sity require that such order be amend-
exact relationship of each affiliate to ed, revised, suspended, or canceled by
the carrier. the Department;
(b) No pass may be issued under (5) An estimate of the total economic
§ 223.22(a) to a director, officer, em- impact (including nonmail revenues)
ployee, or members of their immediate on the carrier of complying with the
family, of any affiliate, unless that af- Postmaster General’s order;
filiate is on the list required by para- (6) A history of the flight or flights in
graph (a) of this section. question and any predecessor flights
cooperated in the market at or about

91
§ 232.2 14 CFR Ch. II (1–1–19 Edition)
the same hours, including when they (1) The Postal Service’s critical time
were first operated and whether they frame for the movement of the mail in
have been operated continuously since question together with a detailed ex-
that time: Provided, That this history planation of the operational factors
need not extend beyond the last three which support that estimate;
years; (2) The alternate air and surface serv-
(7) A detailed statement of the rea- ices (including air taxi service) avail-
sons for the schedule change, including able in the market in question together
copies of any economic data considered with a statement of the costs of using
by carrier management in reaching such alternate services and, where ap-
that determination; propriate, an explanation of why such
(8) Any other schedule changes in the services are unacceptable;
affected market which accompany the (3) An estimate of the average
schedule change in question, or a state- amount and expected actual density of
ment to the effect that there are no mail which will be tendered to the car-
such changes; rier if the order in question is upheld;
(9) Monthly load-factor data on the (4) An estimate of the amount and
flight or flights in question for the type of containers which will be ten-
dered to the carrier if the order in
most recent twelve-month period;
question is upheld;
(10) Profit and loss data for the flight (5) The volume (including density of
or flights in question for the most re- mail, amount and types of containers)
cent twelve-month period, provided of mail historically carried on the
that the data be submitted on a fully flight or flights in question;
allocated cost by functional account (6) An estimate of the volume (in-
number or by some other method in cluding density of mail, amount and
which costs are determined on a fully types of containers) of mail histori-
allocated basis and which is explained cally carried on the flight or flights in
in complete detail; and question which could be accommodated
(11) A statement indicating whether on other flights serving the market
the carrier is willing to seatload sack without significant impairment of
mail on the flight or flights in ques- service under the mail delivery time
tion. standards of the Postal Service, to-
(c) Where the application is for re- gether with an explanation of how that
view of an order which does not involve estimate was computed; and
disapproval, alteration, or amendment (7) An estimate of the impact of the
of a change or changes which a carrier flight or flights in question on mail de-
sought to make in its own schedule(s), livery time standards of the Postal
the application need not include items Service, together with an explanation
6 through 11, inclusive, specified in of how that estimate was computed.
paragraph (b) of this section.
[41 FR 49479, Nov. 9, 1976, as amended by Doc.
[41 FR 49479, Nov. 9, 1976, as amended by Doc. No. 47939, 57 FR 40102, Sept. 2, 1992]
No. 47939, 57 FR 40102, Sept. 2, 1992; 60 FR
43524, Aug. 22, 1995] § 232.3 Replies to answers to applica-
tions for review.
§ 232.2 Answers to applications for re- Any interested person may, within
view. not more than seven days after the fil-
(a) Any interested person may, with- ing of an answer to an application for
in not more than ten days after the fil- review, serve and file with the Depart-
ing of an application for review, serve ment a reply in opposition to, or in
and file with the Department an an- support of, such answer.
swer in opposition to, or in support of, [41 FR 49479, Nov. 9, 1976, as amended by Doc.
such applications. Such answer shall No. 47939, 57 FR 40102, Sept. 2, 1992]
set forth the economic data and other
facts upon which it is based. § 232.4 Applications to postpone the ef-
(b) An answer of the Postmaster Gen- fective date of an order of the Post-
eral or U.S. Postal Service shall con- master General; answers thereto.
tain the following particular informa- (a) Any person who would be ag-
tion, where applicable: grieved by an order of the Postmaster

92
Office of the Secretary, DOT Pt. 234
General within the meaning of section § 232.5 Filing and service of applica-
41902 of the Statute may, within not tions, answers, and replies.
more than four calendar days after the (a) An application, answer or reply
issuance of such order, apply to the De- filed hereunder shall be deemed to have
partment for a postponement of the ef- been filed on the date on which it is ac-
fective date of that order pending re- tually received by the Department at
view: Provided, That if the final day of its offices in Washington, D.C.
the four day period is a Saturday, Sun- (b) At the time a written or tele-
day, or holiday for the Department, the graphic application, answer, or reply is
application may be filed with the De- filed under this part, a copy thereof
partment no later than the end of the shall be served by personal service, reg-
next day which is neither a Saturday, istered mail, or telegraph upon the
Sunday, or holiday. Postmaster General and upon the air
(b) An application for postponement carrier operating or ordered to operate
of the effective date filed under this the mail service in question. Except in
part may be made in writing or by tele- the case of telegraphic delivery each
gram, and shall be conspicuously enti- copy so served shall be accompanied by
tled Application for Postponement of a letter of transmittal stating that
the Effective Date of Order of the Post- such service is being made pursuant to
this section. In the case of telegraphic
master General Pending Review Under
delivery the copy shall be accompanied
section 41902 of the Statute. Such ap-
by a telegraphic statement that service
plication for postponement shall speci-
is being made pursuant to this section.
fy: (c) The execution, number of copies,
(1) The schedule affected and identity and verification of a written applica-
of the order complained of; tion, answer, or reply filed under this
(2) The manner in which the appli- part, and the formal specifications of
cant is or would be aggrieved by the papers included in such application, an-
order; swer, or reply shall be in accordance
(3) The relief which will be sought; with the requirements of the Rules of
(4) That the applicant intends to file Practice relating to applications gen-
a timely application for review of the erally (see part 302 of this chapter).
order under § 232.1; and [41 FR 49479, Nov. 9, 1976, as amended by Doc.
(5) A summary of the justification No. 47939, 57 FR 40102, Sept. 2, 1992]
and facts relied upon to establish that
the stay should be granted. PART 234—AIRLINE SERVICE
(c) Any interested person may, with- QUALITY PERFORMANCE REPORTS
in not more than four calendar days
after the service of an application for Sec.
postponement of the effective date, 234.1 Purpose.
serve and file with the Department an 234.2 Definitions.
answer in opposition to, or in support 234.3 Applicability.
of, the application: Provided, That if 234.4 Reporting of on-time performance.
234.5 Form of reports.
the final day of the four day period is
234.6 Baggage-handling statistics.
a Saturday, Sunday, or holiday for the 234.7 Voluntary reporting.
Department, the application may be 234.8 Calculation of on-time performance
filed with the Department no later codes.
than the end of the next day which is 234.9 Reporting of on-time performance
neither a Saturday, Sunday, or holi- codes.
day: Provided further, however, That the 234.10 Voluntary disclosure of on-time per-
formance codes.
Department need not consider any an- 234.11 Disclosure to consumers.
swer filed later than eight calendar 234.12 Waivers.
days after issuance of the Postmaster
AUTHORITY: 49 U.S.C. 329, 41101, and 41701.
General’s order.
SOURCE: Amdt. 234–1, 52 FR 34071, Sept. 9,
[41 FR 49479, Nov. 9, 1976, as amended by Doc. 1987, unless otherwise noted.
No. 47939, 57 FR 40102, Sept. 2, 1992; 60 FR NOTE: The reporting requirements con-
43524, Aug. 22, 1995] tained in this part have been approved by the

93
§ 234.1 14 CFR Ch. II (1–1–19 Edition)
Office of Management and Budget under con- Late or late flight means a flight that
trol number 2138–0041. arrives at the gate 15 minutes or more
after its published arrival time.
§ 234.1 Purpose.
Mishandled-baggage report means a re-
The purpose of this part is to set port filed with a carrier by or on behalf
forth required data that certain air of a passenger that claims loss, delay,
carriers must submit to the Depart- damage or pilferage of baggage.
ment and to computer reservations Mishandled checked bag means a
system vendors in computerized form, checked bag that is lost, delayed, dam-
except as otherwise provided, so that aged or pilfered, as reported to a car-
information on air carriers’ quality of rier by or on behalf of a passenger.
service can be made available to con- New flight means a flight added to a
sumers of air transportation. This part carrier’s schedule to operate in a spe-
also requires that service quality data cific origin-destination city pair and
be disclosed directly to consumers. not scheduled to depart within 30 min-
utes of any discontinued flight that
§ 234.2 Definitions. was contained in the carrier’s pub-
For the purpose of this part: lished schedules for the same city pair
Cancelled flight means a flight oper- during the previous month.
ation that was not operated, but was On-time means a flight that arrives
listed in a carrier’s computer reserva- less than 15 mintues after its published
tion system within seven calendar days arrival time.
of the scheduled departure. On-time performance means the per-
Discontinued flight means a flight centage of scheduled operations of a
dropped from a carrier’s computer res- specific flight that an air carrier oper-
ervation system more than seven cal- ates on-time during a month.
endar days before its scheduled depar- On-time performance code means a sin-
ture. gle character determined in accordance
Diverted flight means a flight which is with the provisions of this part that re-
operated from the scheduled origin flects the monthly on-time perform-
point to a point other than the sched- ance of certain nonstop flights and sin-
uled destination point in the carrier’s gle plane one-stop or multi-stop
published schedule. For example, a car- flights, the schedule and availability of
rier has a published schedule for a which are listed in a computer reserva-
flight from A to B to C. If the carrier tion system (CRS) regulated by 14 CFR
were to actually fly an A to C oper- part 255.
ation, the A to B segment is a diverted Reportable flight. (1) Reportable flight
flight, and the B to C segment is a can- for air transportation taking place be-
celled flight. fore January 1, 2018 means any nonstop
Extra-section flight means a flight flight, including a mechanically de-
conducted as an integral part of sched- layed flight, to or from any airport
uled passenger service, that has not within the contiguous 48 states that
been provided for in published sched- accounts for at least 1 percent of do-
ules and is required for transportation mestic scheduled-passenger
of traffic that cannot be accommo- enplanements in the previous calendar
dated on the regularly scheduled flight. year, as reported to the Department
Flight means any nonstop scheduled pursuant to part 241 of this title. Quali-
passenger flight segment with a spe- fying airports will be specified periodi-
cific flight number scheduled to be op- cally in accounting and reporting di-
erated pursuant to a published sched- rectives issued by the Office of Airline
ule within a specific origin-destination Information.
city pair, other than transborder or (2) Reportable flight for air transpor-
foreign air transportation. In the case tation taking place on or after January
of reporting to computer reservations 1, 2018 means any domestic nonstop
system vendors, flight also means one- scheduled passenger flight, including a
stop or multi-stop single plane sched- mechanically delayed flight, held out
uled operations that include any flight to the public under the reporting car-
segments for which performance is re- rier’s code, to or from any U.S. large,
ported pursuant to this part. medium, small, or non-hub airport as

94
Office of the Secretary, DOT § 234.4
defined in 49 U.S.C. 47102. Qualifying certain provisions also apply to vol-
airports will be specified periodically untary reporting of on-time perform-
in accounting and reporting directives ance by carriers.
issued by the Office of Airline Informa- [Dockt. No. DOT–OST–2014–0056, 81 FR 76826,
tion. Nov. 3, 2016]
Reporting carrier. (1) Reporting car-
rier for air transportation taking place § 234.4 Reporting of on-time perform-
before January 1, 2018 means an air ance.
carrier certificated under 49 U.S.C. (a) Each reporting carrier shall file
41102 that accounted for at least 1 per- BTS Form 234 ‘‘On-Time Flight Per-
cent of domestic scheduled-passenger formance Report’’ with the Office of
revenues in the most recently reported Airline Information of the Depart-
12-month period as defined by the De- ment’s Bureau of Transportation Sta-
partment’s Office of Airline Informa- tistics on a monthly basis, setting
tion, and as reported to the Depart- forth the information for each of its re-
ment pursuant to part 241 of this title. portable flights operated by the report-
Reporting carriers will be identified pe- ing carrier and held out to the public
riodically in accounting and reporting on the reporting carrier’s Web site and
directives issued by the Office of Air- the Web sites of major online travel
line Information. agencies, or in other generally recog-
(2) Reporting carrier for air transpor- nized sources of schedule information.
tation taking place on or after January (See also paragraph (k) of this section.)
1, 2018 means an air carrier certificated The reportable flights include, but are
under 49 U.S.C. 41102 that accounted for not limited to, cancelled flights, me-
at least 0.5 percent of domestic sched- chanically cancelled flights, diverted
uled-passenger revenus in the most re- flights, new flights and wet-leased
cently reported 12-month period as de- flights. The report shall be made in the
fined by the Department’s Office of form and manner set forth in account-
Airline Information, and as reported to ing and reporting directives issued by
the Department pursuant to part 241 of the Director, Office of Airline Statis-
this chapter. Reporting carriers will be tics, and shall contain the following in-
identified periodically in accounting formation:
and reporting directives issued by the (1) Carrier and flight number.
Office of Airline Information. (2) Aircraft tail number.
[Amdt. 234–1, 52 FR 34071, Sept. 9, 1987, as (3) Origin and Destination airport
amended by Doc. No. 48524, 59 FR 49797, Sept. codes.
30, 1994; 60 FR 66722, Dec. 26, 1995; Dockt. No. (4) Published OAG departure and ar-
DOT–RITA–2011–0001, 81 FR 76306, Nov. 2, rival times for each scheduled oper-
2016; Dockt. No. DOT–OST–2014–056; 81 FR ation of the flight.
76826, Nov. 3, 2016] (5) CRS scheduled arrival and depar-
ture time for each scheduled operation
§ 234.3 Applicability.
of the flight.
For air transportation taking place (6) Actual departure and arrival time
before January 1, 2018, this part applies for each operation of the flight.
to reportable flights as defined in § 234.2 (7) Difference in minutes between
that are held out to the public by cer- OAG and CRS scheduled arrival times.
tificated air carriers that account for (8) Difference in minutes between
at least 1 percent of domestic sched- OAG and CRS scheduled departure
uled passenger revenues. As stated in times.
§ 234.7, certain provisions also apply to (9) Actual wheels-off and wheels-on
voluntary reporting of on-time per- times for each operation of the flight.
formance by carriers. For air transpor- (10) Date and day of week of sched-
tation taking place on or after January uled flight operation.
1, 2018, this part applies to reportable (11) Scheduled elapsed time, accord-
flights as defined in § 234.2 that are held ing to CRS schedule.
out to the public by certificated air (12) Actual elapsed time.
carriers that account for at least 0.5 (13) Amount of departure delay, if
percent of domestic scheduled pas- any.
senger revenues. As stated in § 234.7, (14) Amount of arrival delay, if any.

95
§ 234.4 14 CFR Ch. II (1–1–19 Edition)
(15) Amount of elapsed time dif- departure times in effect on the date of
ference, if any. the scheduled operation of the flight,
(16) Causal code for cancellation, if as shown in the most recent Official
any. Airline Guide, and in computer reserva-
(17) Minutes of delay attributed to tions systems. Each carrier shall des-
the air carrier, if any. ignate a single computer reservations
(18) Minutes of delay attributed to system in addition to the Official Air-
extreme weather, if any. line Guide as the sources of scheduled
(19) Minutes of delay attributed to arrival time and departure time data in
the national aviation system, if any. its reports to the Department and shall
(20) Minutes of delay attributed to se- report the scheduled arrival times and
curity, if any. departure times listed in those sources
(21) Minutes of delay attributed to a for each flight. Scheduled elapsed
previous late arriving aircraft, if any. times, amount of departure and/or ar-
(22) For gate returns, first gate-de- rival delay, and elapsed time difference
parture time at origin airport. shall be calculated using the scheduled
(23) Total ground time away from times shown in the designated CRS
gate for all gate/air returns at origin source.
airport, including cancelled flights— (h) Reporting carriers should use the
actual minutes. following codes to identify causes for
(24) Longest time away from gate for cancelled flights:
gate return or cancelled flight. Code
(25) Three-letter code of airport A—Air Carrier B—
where diverted flight landed. Extreme Weather
(26) Wheels-on time at diverted air- C—National Aviation System (NAS).
port. D-Security
(27) Total time away from gate at di- (1) Air Carrier cancellations are due
verted airport. to circumstances that were within the
(28) Longest period of time away control of the air carrier (e.g., lack of
from gate at diverted airport. flight crew, maintenance, etc.).
(29) Wheels-off time at diverted air- (2) Extreme weather cancellations
port. are caused by weather conditions (e.g.,
(b) Repeat fields (25) through (29) for significant meteorological conditions),
each subsequent diverted airport land- actual or forecasted at the point of de-
ing. parture, en route, or point of arrival
(c) When reporting the information that, in accordance with applicable
specified in paragraph (a) of this sec- regulatory standards and/or in the
tion for diverted flights, a reporting judgment of the air carrier, prevents
carrier shall use the original scheduled operation of that flight and/or prevents
flight number and the origin and des- operations of subsequent flights due to
tination airport codes except for item the intended aircraft being out of posi-
(25). tion as a result of a prior cancellation
(d) A reporting carrier shall report or delay attributable to weather.
the information specified in paragraph (3) NAS cancellations are caused by
(a) of this section for a new flight be- circumstances within the National
ginning with the first day of the new Aviation System. This term is used to
scheduled operation. refer to a broad set of conditions:
(e) A reporting carrier shall not re- weather-non-extreme, airport oper-
port the information specified in para- ations, heavy traffic volume, air traffic
graph (a) of this section for any discon- control, etc.
tinued or extra-section flight. (4) Security cancellations may be the
(f) Actual arrival, departure and result of malfunctioning screening or
elapsed times shall be measured by the other security equipment or a breech of
times at which the aircraft arrived at security that causes the evacuation of
and departed from the gate or pas- the airport or individual concourses, or
senger loading area. the need to re-screen passengers.
(g) The published arrival time and de- (i) Reporting carriers should use the
parture time of a flight shall be, re- following causes to identify the reasons
spectively, the scheduled arrival and for delayed flights:

96
Office of the Secretary, DOT § 234.6
CAUSE cated air carrier or commuter air car-
Air Carrier rier. If the operating carrier of the
Extreme weather flight is not a reporting carrier, the
NAS
Security
non-operating reporting carrier must
Late arriving aircraft file a BTS Form 234 ‘‘On-time Flight
Performance Report’’ with the Office of
(1) Air carrier delays are due to cir- Airline Information on a monthly
cumstances within the control of the basis, setting forth the information re-
air carrier. garding those flights in a form and
(2) Extreme weather delays are manner consistent with the require-
caused by weather conditions (e.g., sig- ments set forth in paragraph (a)
nificant meteorological conditions, ac- through (j) of this section. If the oper-
tual or forecasted at the point of depar- ating carrier of the flight is a reporting
ture, en route, or point of arrival that, carrier, the non-operating reporting
in accordance with applicable regu- carrier must file a simplified BTS
latory standards and/or in the judg- Form 234 ‘‘On-Time Flight Perform-
ment of the air carrier, prevents oper- ance Report’’ with the Office of Airline
ation of that flight and/or prevents op- Information on a monthly basis, set-
erations of subsequent flights due to ting forth the information regarding
the intended aircraft being out of posi- those flights in a form and manner con-
tion as a result of a prior cancellation sistent with the requirements set forth
or delay attributable to weather. in paragraph (a)(1) through (a)(4) and
(3) NAS delays are caused by cir- paragraph (a)(10) of this section, and in
cumstances within the National Avia- accordance with the requirements set
tion System. This term is used to refer forth in accounting and reporting di-
to a broad set of conditions: weather- rectives issued by the Office of Airline
non-extreme, airport operations, heavy Information.
traffic volume, air traffic control, etc.
(4) Security delays may be the result [Amdt. 234–1, 52 FR 34071, Sept. 9, 1987, as
of malfunctioning screening or other amended by Doc. No. 48524, 59 FR 49797, Sept.
30, 1994; 60 FR 66722, Dec. 26, 1995; 67 FR 70544,
security equipment or a breech of secu- Nov. 25, 2002; Doc. No. RITA 2007–28522, 73 FR
rity that causes the evacuation of the 29431, May 21, 2008; Dockt. No. DOT–OST–
airport or individual concourses or the 2014–0056; 81 FR 76826, Nov. 3, 2016]
need to re-screen passengers.
(5) Late arriving aircraft delays are § 234.5 Form of reports.
the result of a late incoming aircraft Except where otherwise noted, all re-
from the previous flight. ports required by this part shall be
(j) When reporting causal codes in filed within 15 days of the end of the
paragraph (a) of this section, reporting month for which data are reported. The
carriers are required to code delays reports must be submitted to the Office
only when the arrival delay is 15 min- of Airline Information in a format
utes or greater; and reporting carriers
specified in accounting and reporting
must report each causal component of
directives issued by the Bureau of
the reportable delay when the causal
Transportation Statistics’ Assistant
component is 5 minutes or greater.
Director for Airline Information.
(k) For air transportation taking
place on or after January 1, 2018, each [Doc. No. DOT–OST–2000–8164, 67 FR 70545,
reporting carrier shall also file a sepa- Nov. 25, 2002]
rate BTS Form 234 ‘‘On-Time Flight
Performance Report’’ with the Office of § 234.6 Baggage-handling statistics.
Airline Information on a monthly (a) For air transportation taking
basis, setting forth the information for place before January 1, 2019, an air car-
each of its reportable flights held out rier certificated under 49 U.S.C. 41102
with only the reporting carrier’s air- that accounts for at least 1 percent of
line designator code on the reporting domestic scheduled-passenger revenues
carrier’s Web site, on the Web sites of in the most recently reported 12-month
major online travel agencies, or in period as defined by the Department’s
other generally recognized sources of Office of Airline Information, and as
schedule information, and operated by reported to the Department pursuant
any code-share partner that is a certifi- to part 241 of this title shall, for the

97
§ 234.6 14 CFR Ch. II (1–1–19 Edition)
flights it operates, report monthly to layed flight, held out with only the
the Department on a domestic system carrier’s designator code to or from
basis, excluding charter flights, the any U.S. large, medium, small, or non-
total number of passengers enplaned hub airport as defined in 49 U.S.C. 47102
system-wide and the total number of and operated by any code-share partner
mishandled-baggage reports filed with that is a certificated air carrier or
the carrier for any nonstop flight, in- commuter air carrier;
cluding a mechanically delayed flight, (3) The number of mishandled
to or from any airport within the con- checked bags, including gate-checked
tiguous 48 states that accounts for at baggage, ‘‘valet bags,’’ interlined bags
least 1 percent of domestic scheduled- and wheelchairs and scooters that were
passenger enplanements in the pre- enplaned in the aircraft cargo compart-
vious calendar year, as reported to the ment for any domestic nonstop sched-
Department pursuant to part 241 of this uled passenger flight, including a me-
title. chanically delayed flight, operated by
(b) For air transportation taking the carrier to or from any U.S. large,
place on or after January 1, 2019, an air medium, small or non-hub airport as
carrier certificated under 49 U.S.C. defined in 49 U.S.C. 41702 and sepa-
41102 that accounts for at least 0.5 per- rately for any domestic nonstop sched-
cent of domestic scheduled-passenger uled passenger flight, including a me-
revenues in the most recently reported chanically delayed flight, held out with
12-month period as defined by the De- only the carrier’s designator code to or
partment’s Office of Airline Informa- from any U.S. large, medium, small, or
tion, and as reported to the Depart- non-hub airport as defined in 49 U.S.C.
ment pursuant to part 241 of this title 47102 and operated by any code-share
shall report monthly to the Depart- partner that is a certificated air car-
ment on a domestic system basis, ex- rier or commuter air carrier; and
cluding charter flights: (4) The number of mishandled wheel-
(1) The total number of checked bags chairs and scooters that were enplaned
enplaned, including gate checked bag- in the aircraft cargo compartment for
gage, ‘‘valet bags,’’ interlined bags, and any domestic nonstop scheduled pas-
wheelchairs and scooters enplaned in senger flight, including a mechanically
the aircraft cargo compartment for any delayed flight, operated by the carrier
domestic nonstop scheduled passenger
to or from any U.S. large, medium,
flight, including a mechanically de-
small or non-hub airport as defined in
layed flight, operated by the carrier to
49 U.S.C. 41702 and separately for any
or from any U.S. large, medium, small
domestic nonstop scheduled passenger
or non-hub airport as defined in 49
flight, including a mechanically de-
U.S.C. 41702 and separately for any do-
layed flight, held out with only the
mestic nonstop scheduled passenger
carrier’s designator code to or from
flight, including a mechanically de-
any U.S. large, medium, small, or non-
layed flight, held out with only the
hub airport as defined in 49 U.S.C. 47102
carrier’s designator code to or from
and operated by any code-share partner
any U.S. large, medium, small, or non-
that is a certificated air carrier or
hub airport as defined in 49 U.S.C. 47102
commuter air carrier.
and operated by any code-share partner
(c) The information in paragraphs (a)
that is a certificated air carrier or
and (b) of this section shall be sub-
commuter air carrier;
mitted to the Department within 15
(2) The total number of wheelchairs
days after the end of the month to
and scooters that were enplaned in the
which the information applies and
aircraft cargo compartment for any do-
must be submitted with the trans-
mestic nonstop scheduled passenger
mittal accompanying the data for on-
flight, including a mechanically de-
time performance in the form and man-
layed flight, operated by the carrier to
ner set forth in accounting and report-
or from any U.S. large, medium, small
ing directives issued by the Director,
or non-hub airport as defined in 49
U.S.C. 41702 and separately for any do- Office of Airline Information.
mestic nonstop scheduled passenger [Dockt. No. DOT–OST–2014–0056, 82 FR 14604,
flight, including a mechanically de- Mar. 22, 2017]

98
Office of the Secretary, DOT § 234.9

§ 234.7 Voluntary reporting. flects the percentile of on-time per-

formance achieved by the flight, as set
(a) In addition to the data for each
forth in the following table:
reportable flight required to be re-
ported by this part, a reporting carrier ON TIME PERFORMANCE
may report to DOT for every other
nonstop domestic flight that it sched- Code: Percentage
ules, the reportable flight data speci- 9 ........................................ 90–100
fied in this part. 8 ........................................ 80–89.9
(b) Any air carrier that is not a re- 7 ........................................ 70–79.9
porting carrier may file the data speci- 6 ........................................ 60–69.9
5 ........................................ 50–59.9
fied in this part for every reportable 4 ........................................ 40–49.9
flight that it schedules, or for every 3 ........................................ 30–39.9
nonstop domestic flight that it sched- 2 ........................................ 20–29.9
1 ........................................ 10–19.9
ules. 0 ........................................ 0–9.9
(c) Voluntary reports containing in-
formation not required to be filed (1) (3) For a one-stop or multi-stop
must be submitted in the same form flight, or portion thereof, listed in a
and manner, and at the same time, as CRS, the performance code for the non-
reports containing data required to be stop flight segment arriving at the des-
filed, and (2) must be accompanied by a tination listed in the CRS shall be
written statement describing in detail used.
the information that is being volun- (4) In the case of a new flight, car-
tarily submitted. A carrier that files a riers shall assign a performance code
voluntary report must continue to do consisting of the letter ‘‘N.’’ A flight
so for a period of not less than 12 con- that is not a new flight shall be as-
secutive months. signed the performance code calculated
for the flight that it replaces, even if
§ 234.8 Calculation of on-time perform- the two flights do not have the same
ance codes.
flight number. In the case of a flight
(a) Each reporting carrier shall cal- scheduled to operate three times or
culate an on-time performance code in less during a month, carriers shall as-
accordance with this section and as sign a performance code consisting of
provided in more detail in accounting the letter ‘‘U.’’
and reporting directives issued by the (c) Carriers shall calculate on-time
Director, Office of Airline Information. performance percentages and assign
The calculations shall be performed for on-time performance codes on a
each reportable flight, except those monthly basis. This process shall be
scheduled to operate three times or completed no later than the 15th day of
less during a month. In addition, each each month, when the reports required
reporting carrier shall assign an on- by this part are due to the Department,
time performance code to each of its and the codes shall reflect the previous
single plane one-stop or multi-stop month’s operations.
flights, or portion thereof, that the
[Amdt. 234–1, 52 FR 34071, Sept. 9, 1987, as
carrier holds out to the public through amended by Amdt. 234–3, 52 FR 48397, Dec. 22,
a CRS, the last segment of which is a 1987; 53 FR 27677, July 22, 1988; Doc. No. 48524,
reportable flight. 59 FR 49798, Sept. 30, 1994; 60 FR 66722, Dec.
(b) The on-time performance code 26, 1995]
shall be calculated as follows:
(1) Based on reportable flight data § 234.9 Reporting of on-time perform-
provided to the Department, calculate ance codes.
the percentage of on-time arrivals of No later than the 15th day of each
each nonstop flight. Calculations shall month, each reporting carrier shall de-
not include discontinued or extra-sec- liver, or arrange to have delivered, to
tion flights for which data are not re- each system vendor, as defined in 14
ported to the Department. CFR part 255, the on-time performance
(2) Based upon the on-time perform- codes required to be determined above.
ance percentage calculated in para- Carriers may report the codes by insur-
graph (b)(1) of this section, assign a ing that they are included in basic
single digit code to each flight that re- schedule tapes provided to CRS vendors

99
§ 234.10 14 CFR Ch. II (1–1–19 Edition)
or by providing a separate tape that and the percentage of flight cancella-
will permit the CRS vendors to match tions if 5 percent or more of the flight’s
the performance codes with basic operations were canceled in the month
schedule tapes. covered. The information must be pro-
vided by showing all of the required in-
§ 234.10 Voluntary disclosure of on- formation on the initial listing of
time performance codes. flights or by showing all of the re-
(a) Any air carrier may determine, in quired information via a prominent
accordance with the provisions of hyperlink in close proximity to each
§ 234.8 of this part, the on-time per- flight on the page with the initial list-
formance codes for the flights for ing of flights.
which it voluntarily provides flight in- (c) The first time each carrier must
formation to the Department pursuant load the information whose disclosure
to § 234.7 of this part. is required under paragraphs (a) and (b)
(b) A carrier may supply these addi- of this section onto its Web site is on
tional on-time performance codes to Saturday, July 24, 2010, for June data.
system vendors at the same time and Carriers must load all subsequent
in the same manner as the required dis- flight performance information on the
closures are made to system vendors, fourth Saturday of the month fol-
provided that voluntary disclosures lowing the month that is being re-
must continue for a period of not less ported.
than 12 consecutive months, and must (d) A reporting carrier must meet the
be supplied either requirements of paragraphs (b) and (c)
(1) For each of the carrier’s report- of this section by June 29, 2010.
able flights and each of its single plane [Doc. No. DOT–OST–2007–0022, 74 FR 69002,
one-stop or multi-stop flights, or por- Dec. 30, 2009, as amended by Doc. No. DOT–
tions thereof, that it holds out to the OST–2010–0039, 75 FR 17052, Apr. 5, 2010; Doc.
public through a CRS, the last segment No. DOT–OST–2007–0022, 75 FR 34927, June 21,
of which is a reportable flight or 2010]
(2) For each of the carrier’s domestic
flights. § 234.12 Waivers.
Any carrier may request a waiver
§ 234.11 Disclosure to consumers. from the reporting requirements of this
(a) During the course of reservations part. Such a request, at the discretion
or ticketing discussions or trans- of the Director, Bureau of Transpor-
actions, or inquiries about flights, be- tation Statistics may be granted for
tween a carrier’s employees or contrac- good cause shown. The requesting
tors and the public, the carrier shall party shall state the basis for such a
disclose upon reasonable request the waiver.
on-time performance code for any [Doc. No. 48524, 59 FR 49798, Sept. 30, 1994, as
flight that has been assigned a code amended at 60 FR 66722, Dec. 26, 1995]
pursuant to this part.
(b) For each domestic flight for
which schedule information is avail- PART 235—REPORTS BY AIR CAR-
able on its Web site, including domes- RIERS ON INCIDENTS INVOLVING
tic code-share flights, a reporting car- ANIMALS DURING AIR TRANS-
rier shall display the following infor- PORT
mation regarding the flight’s perform-
ance during the most recent calendar Sec.
month for which the carrier has re- 235.1 Definitions.
ported on-time performance data to the 235.2 Applicability.
235.3 Reports by air carriers on incidents in-
Department: the percentage of arrivals volving animals during air transport.
that were on time—i.e., within 15 min-
utes of scheduled arrival time, the per- AUTHORITY: 49 U.S.C. 41721.
centage of arrivals that were more SOURCE: 79 FR 37945, July 3, 2014, unless
than 30 minutes late (including special otherwise noted.
highlighting if the flight was late more
than 30 minutes of scheduled arrival § 235.1 Definitions.
time more than 50 percent of the time), For the purposes of this part:

100
Office of the Secretary, DOT § 235.3
Air transport includes the entire pe- (3) Description of the animal, includ-
riod during which an animal is in the ing name, if known;
custody of an air carrier, from the time (4) Name and contact information of
that the animal is tendered to the air the owner(s), guardian, and/or shipper
carrier prior to departure until the air of the animal;
carrier tenders the animal to the (5) Narrative description of the inci-
owner, guardian or representative of dent;
the shipper of the animal at the ani- (6) Narrative description of the cause
mal’s final destination. It does not in- of the incident;
clude animals that accompany a pas- (7) Narrative description of any cor-
senger at his or her seat in the cabin rective action taken in response to the
and of which the air carrier does not incident; and
take custody. (8) Name, title, address, and tele-
Animal means any warm- or cold- phone number of the individual filing
blooded animal which, at the time of the report on behalf of the air carrier.
transportation, is being kept as a pet (b) Within 15 days after the end of
in a family household in the United December of each year, each covered
States and any dog or cat which, at the carrier shall submit the following in-
time of transportation, is shipped as formation (this information may be in-
part of a commercial shipment on a cluded in any report that the carrier
scheduled passenger flight, including may file for the loss, injury, or death of
shipments by trainers and breeders. animals during the month of Decem-
ber):
§ 235.2 Applicability. (1) The total number of incidents in-
This part applies to the scheduled do- volving an animal during air transport
mestic and international passenger provided by the air carrier for the en-
service of any U.S. air carrier that op- tire calendar year, including incidents
erates such service with at least one on flights by that carrier that are oper-
ated with aircraft having 60 or fewer
aircraft having a designed seating ca-
seats. The report shall include sub-
pacity of more than 60 passenger seats.
totals for loss, injury, and death of ani-
The reporting requirements of this part
mals. Report ‘‘0’’ for any category for
apply to all scheduled-service pas-
which there were no such incidents. If
senger flights of such carriers, includ-
the carrier had no reportable incidents
ing flights that are operated with air-
for that calendar year, it shall report
craft having 60 or fewer seats.
‘‘0’’ in each category. Covered carriers
§ 235.3 Reports by air carriers on inci- shall use the following data table when
dents involving animals during air reporting the total number of animal
transport. incidents during air transport provided
(a) Each covered carrier shall, within by the air carrier for the entire cal-
15 days after the end of the month to endar year:
which the information applies, submit Total number in the calendar year
to the United States Department of
Deaths
Transportation’s Aviation Consumer Injuries
Protection Division a report on any in- Loss
cidents involving the loss, injury, or
death of an animal during air transport (2) The total number of animals
provided by the air carrier, including transported in the calendar year. If the
incidents on flights by that carrier carrier did not transport any animals
that are operated with aircraft having for that calendar year, it shall report
60 or fewer seats. The report shall be ‘‘0.’’
made in the form and manner set forth (3) The December report must con-
in reporting directives issued by the tain the following certification signed
Deputy General Counsel for the U.S. by the carrier’s authorized representa-
Department of Transportation and tive: ‘‘I, the undersigned, do certify
shall contain the following informa- that this report has been prepared
tion: under my direction in accordance with
(1) Carrier and flight number; the regulations in 14 CFR part 235. I af-
(2) Date and time of the incident; firm that, to the best of my knowledge

101
Pt. 240 14 CFR Ch. II (1–1–19 Edition)
and belief, this is a true, correct and United States and regulations thereunder,
complete report.’’ and his authority will be respected accord-
ingly.
By authority of the Civil Aeronautics Board.
PART 240—INSPECTION OF
ACCOUNTS AND PROPERTY
Secretary
Sec. CIVIL A ERONAUTICS B OARD
240.1 Interpretation.
240.2 Obligation of air carriers, foreign air Name llllllllllllllllllll
carriers, and ticket agents. Date Issued lllllllllllllllll
Number lllllllllllllllllll
§ 240.1 Interpretation. Height llllllllllllllllllll
Weight lllllllllllllllllll
(a) In the exercise of the authority Hair lllllllllllllllllllll
granted by section 407(e) of the Act, Eyes lllllllllllllllllllll
the authority of any special agent or Date of Birth llllllllllllllll
The holder hereof is authorized to inves-
auditor to inspect and examine lands,
tigate violations of the Federal Aviation
buildings, equipment, accounts, Act, as amended, collect evidence in cases in
records, memorandums, papers or cor- which the regulatory authority of the Civil
respondence shall include the author- Aeronautics Board is or may be involved and
ity to make such notes and copies perform other duties imposed upon him by
thereof as he deems appropriate. law.
(b) The term ‘‘special agent’’ and Under the Federal Aviation Act and part
‘‘auditor’’ are construed to mean any 240 of the Economic Regulations of the Civil
Aeronautics Board (14 CFR part 240), the
employee of the Bureau of Enforce- duly accredited special agents and auditors
ment and any other employee of the of the Board are empowered at all times to
Board specifically designated by it or obtain access to all lands, buildings and
by the Director, Office of Facilities and equipment of any air carrier or foreign air
Operations. carrier and to inspect, examine, and make
(c) The issuance in the form set forth notes and copies of all accounts, records,
below of an identification card and cre- memorandums, documents, papers and cor-
respondence kept or required to be kept by
dentials to any such employee shall be any air carrier, foreign air carrier or ticket
construed to be an order and direction agent.
of the Board to such individual to in- The issuance of these credentials to the
spect and examine lands, buildings, holder hereof constitutes an order and direc-
equipment, accounts, records, and tion on the part of the Civil Aeronautics
memorandums in accordance with the Board to such individual to carry out these
authority conferred on the Board by duties as aforesaid and as more fully de-
scribed in part 240 of the Board’s Economic
the Act. Regulations.
U NITED S TATES OF A MERICA, CIVIL Failure to honor these credentials will re-
AERONAUTICS B OARD, WASHINGTON, D.C. sult in penalties as provided by law.
U NITED S TATES OF A MERICA,
Number lllllllllllllllllll C IVIL A ERONAUTICS B OARD,
Expires lllllllllllllllllll WASHINGTON, D.C.
(Secs. 204, 407, 701, 72 Stat. 743; 49 U.S.C. 1324,
1377, 1441)
[ER–822, 38 FR 26601, Sept. 24, 1973, as amend-
[photo] ed by ER–914, 40 FR 27017, June 26, 1975; ER–
941, 40 FR 58850, Dec. 19, 1975]

§ 240.2 Obligation of air carriers, for-

eign air carriers, and ticket agents.
Signature Upon the demand of a special agent
This is to certify thatllllll, whose or auditor of the Board, and upon the
signature and photograph appear hereon is a presentation of the identification card
duly designated ——————————————— and credentials issued to him in ac-
cordance with this part: (a) Any air
of the Civil Aeronautics Board and is author- carrier or foreign air carrier shall
ized and directed to perform the duties of forthwith permit such special agent or
said office in accordance with the laws of the auditor to inspect and examine all

102
Office of the Secretary, DOT Section 01
lands, buildings and equipment; (b) any PROFIT AND L OSS C LASSIFICATION
air carrier, foreign air carrier or ticket 7 Chart of Profit and Loss Accounts.
agent shall forthwith permit such spe- 8 General.
cial agent or auditor to inspect and ex- 9 Functional Classification—Operating Rev-
amine all accounts, records, memoran- enues.
dums, documents, papers and cor- 10 Functional Classification—Operating Ex-
respondence now or hereafter existing, penses of Group I Air Carriers.
11 Functional Classification—Operating Ex-
and kept or required to be kept by the penses of Group II and Group III Air Car-
air carrier, foreign air carrier, or tick- riers.
et agent, and shall permit such special 12 Objective Classification—Operating Rev-
agent or auditor to make such notes enues and Expenses.
and copies thereof as he deems appro- 14 Objective Classification—Nonoperating
priate. Income and Expense.
15 Objective Classification—Income Taxes
(Sec. 204(a), Federal Aviation Act of 1958, as for Current Period.
amended, 72 Stat. 743; (49 U.S.C. 1324)) 16 Objective Classification—Discontinued
[ER–914, 40 FR 27017, June 26, 1975] Operations.
17 Objective Classification—Extraordinary
Items.
PART 241—UNIFORM SYSTEM OF 18 Objective Classification—Cumulative Ef-
ACCOUNTS AND REPORTS FOR fect of Changes in Accounting Principles.
LARGE CERTIFICATED AIR CAR- OPERATING S TATISTICS CLASSIFICATIONS
RIERS 19 Uniform Classification of Operating Sta-
tistics.
Sec. 19–1 Applicability.
1 Authority Under Which Accounting and 19–2 Maintenance of data.
Reporting Rules and Regulations Are 19–3 Accessibility and transmittal of data.
Prescribed and Administered. 19–4 Service classes.
2 [Reserved] 19–5 Air transport traffic and capacity ele-
3 Definitions for Purposes of This System ments.
of Accounts and Reports. 19–6 Public disclosure of traffic data.
4 Air Carrier Groupings. 19–7 Passenger origin-destination survey.

GENERAL A CCOUNTING P ROVISIONS GENERAL REPORTING PROVISIONS —LARGE

CERTIFICATED AIR C ARRIERS
1 Introduction to System of Accounts and
Reports. 21 Introduction to System of Reports.
1–1 Applicability of system of accounts and 22 General Reporting Instructions.
reports. FINANCIAL REPORTING REQUIREMENTS
1–2 Waivers from this system of accounts
and reports. 23 Certification and Balance Sheet Ele-
1–3 General description of system of ac- ments.
counts and reports. 24 Profit and Loss Elements.
1–4 System of accounts coding. TRAFFIC R EPORTING REQUIREMENTS
1–5 Records.
1–6 Accounting entities. 25Traffic and Capacity Elements. AUTHORITY:
1–7 Interpretation of accounts. 49 U.S.C. 329 and chapters
1–8 Address for reports and correspondence. 41101, 41708, and 41709.
2 General Accounting Policies.
2–1 Generally accepted accounting prin- SOURCE: ER–755, 37 FR 19726, Sept. 21, 1972,
ciples. unless otherwise noted.
2–2 Basis of allocation between entities.
Section 01 Authority Under Which Ac-
2–3 Distribution of revenues and expenses
counting and Reporting Rules and
within entities.
Regulations are Prescribed and Ad-
2–4 Accounting period.
ministered
2–5 Revenue and accounting practices.
This Uniform System of Accounts
BALANCE SHEET CLASSIFICATIONS and Reports for Large Certificated Air
3 Chart of Balance Sheet Accounts. Carriers is issued, prescribed and ad-
4 General. ministered under the following provi-
5 [Reserved] sions of the Federal Aviation Act of
6 Objective Classification of Balance Sheet 1958, as amended (72 Stat. 731, 49 U.S.C.
Elements. 1301):

103
Section 01 14 CFR Ch. II (1–1–19 Edition)
GENERAL P OWERS INSPECTION OF ACCOUNTS AND PROPERTY
SEC. 204. (a) The Board is empowered to SEC. 407. (e) The Board shall at all times
perform such acts, to conduct such inves- have access to all lands, buildings, and
tigations, to issue and amend such orders, equipment of any carrier and to all accounts,
and to make and amend such general or spe- records, and memoranda, including all docu-
cial rules, regulations, and procedure, pursu- ments, papers, and correspondence, now or
ant to and consistent with the provisions of hereafter existing, and kept or required to be
this Act, as it shall deem necessary to carry kept by air carriers; and it may employ spe-
out the provisions of, and to exercise and cial agents or auditors, who shall have au-
thority under the orders of the Board to in-
perform its powers and duties under, this
spect and examine any and all such lands,
Act.
buildings, equipment, accounts, records, and
FILING OF REPORTS
memoranda. The provisions of this section
shall apply, to the extent found by the Board
SEC. 407. (a) The Board is empowered to re- to be reasonably necessary for the adminis-
quire annual, monthly, periodical, and spe- tration of this Act, to persons having control
cial reports from any air carrier; to prescribe over any air carrier, or affiliated with any
the manner and form in which such reports air carrier within the meaning of section 5(8)
shall be made; and to require from any air of the Interstate Commerce Act, as amended.
carrier specific answers to all questions upon
C LASSIFICATION
which the Board may deem information to be
necessary. Such reports shall be under oath SEC. 416. (a) The Board may from time to
whenever the Board so requires. The Board time establish such just and reasonable clas-
may also require any air carrier to file with sifications or groups of air carriers for the
it a true copy of each or any contract, agree- purposes of this title as the nature of the
ment, understanding, or arrangement, be- services performed by such air carriers shall
tween such air carrier and any other carrier require; and such just and reasonable rules
or person, in relation to any traffic affected and regulations, pursuant to and consistent
by the provisions of this Act. with the provisions of this title, to be ob-
served by each such class or group, as the
DISCLOSURE OF S TOCK O WNERSHIP Board finds necessary in the public interest.

SEC. 407. (b) Each air carrier shall submit S AFETY, E CONOMIC AND P OSTAL O FFENSES
annually, and at such other times as the SEC. 901. (a)(1) Any person who violates (A)
Board shall require, a list showing the names any provision of Title III, IV, V, VI, VII, or
of each of its stockholders or members hold- XII of this Act, or any rule, regulation, or
ing more than 5 per centum of the entire order issued thereunder, or under section
capital stock or capital, as the case may be, 1002(i), or any term, condition or limitation
of such air carrier, together with the name of any permit or certificate issued under
of any person for whose account, if other Title IV, or (B) any rule or regulation issued
than the holder, such stock is held; and a re- by the Postmaster General under this Act,
port setting forth a description of the shares shall be subject to a civil penalty of not to
of stock, or other interest, held by such air exceed $1,000 for each such violation. If such
carrier, or for its account, in persons other violation is a continuing one, each day of
than itself. such violation shall constitute a separate of-
fense: Provided, That this subsection shall
FORM OF ACCOUNTS not apply to members of the Armed Forces of
the United States, or those civilian employ-
SEC. 407. (d) The Board shall prescribe the
ees of the Department of Defense who are
forms of any and all accounts, records, and
subject to the provisions of the Uniform
memoranda to be kept by air carriers, in-
Code of Military Justice, while engaged in
cluding the accounts, records, and memo- the performance of their official duties; and
randa of the movement of traffic, as well as the appropriate military authorities shall be
of the receipts and expenditures of money, responsible for taking any necessary discipli-
and the length of time such accounts, nary action with respect thereto and for
records, and memoranda shall be preserved; making to the Administrator or Board, as
and it shall be unlawful for air carriers to appropriate, a timely report of any such ac-
keep any accounts, records, or memoranda tion taken.
other than those prescribed or approved by (2) Any such civil penalty may be com-
the Board: Provided, That any air carrier promised by the Administrator in the case of
may keep additional accounts, records, or violations of Titles III, V, VI, or XII, or any
memoranda if they do not impair the integ- rule, regulation, or order issued thereunder,
rity of the accounts, records, or memoranda or by the Board in the case of violations of
prescribed or approved by the Board and do Titles IV or VII, or any rule, regulation or
not constitute an undue financial burden on order issued thereunder, or under section
such air carrier. 1002(i), or any term, condition, or limitation

104
Office of the Secretary, DOT Section 03
of any permit or certificate issued under ment concerned for action. The Secretary
Title IV, or by the Postmaster General in shall, within ninety days after receiving
the case of regulations issued by him. The such a complaint, inform the Administrator
amount of such penalty, when finally deter- or the Board of his disposition of the com-
mined, or the amount agreed upon in com- plaint, including a report as to any correc-
promise, may be deducted from any sums tive or disciplinary actions taken.
owing by the United States to the person
charged. I NVESTIGATIONS ON INITIATIVE OF
ADMINISTRATOR OR BOARD
FAILURE T O FILE REPORTS; F ALSIFICATION OF
RECORDS SEC. 1002. (b) The Administrator or Board,
with respect to matters within their respec-
SEC. 902. (e) Any air carrier, or any officer, tive jurisdictions, is empowered at any time
agent, employee, or representative thereof, to institute an investigation, on their own
who shall, knowingly and willfully, fail or initiative, in any case and as to any matter
refuse to make a report to the Board or Ad- or thing within their respective jurisdic-
ministrator as required by this Act, or to tions, concerning which complaint is author-
keep or preserve accounts, records, and ized to be made to or before the Adminis-
memoranda in the form and manner pre- trator or Board by any provision of this Act,
scribed or approved by the Board or Adminis- or concerning which any question may arise
trator, or shall, knowingly and willfully, fal- under any of the provisions of this Act, or re-
sify, mutilate, or alter any such report, ac-
lating to the enforcement of any of the pro-
count, record, or memorandum, or shall
visions of this Act. The Administrator or the
knowingly and willfully file any false report,
Board shall have the same power to proceed
account, record, or memorandum, shall be
with any investigation instituted on their
deemed guilty of a misdemeanor and, upon
own motion as though it had been appealed
conviction thereof, be subject for each of-
to by complaint.
fense to a fine of not less than $100 and not
more than $5,000. ENTRY OR ORDERS FOR COMPLIANCE WITH ACT
R EFUSAL T O T ESTIFY SEC. 1002. (c) If the Administrator or the
SEC. 902. (g) Any person who shall neglect Board finds, after notice and hearing, in any
or refuse to attend and testify, or to answer investigation instituted upon complaint or
any lawful inquiry, or to produce books, pa- upon their own initiative, with respect to
pers, or documents, if in his power to do so, matters within their jurisdiction, that any
in obedience to the subpena or lawful re- person has failed to comply with any provi-
quirement of the Board or Administrator, sion of this Act or any requirement estab-
shall be guilty of a misdemeanor and, upon lished pursuant thereto, the Administrator
conviction thereof, shall be subject to a fine or the Board shall issue an appropriate order
of not less than $100 nor more than $5,000, or to compel such person to comply therewith.
imprisonment for not more than one year, or [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
both. ed by ER–1400, 50 FR 11, Jan. 2, 1985]
FILING OF C OMPLAINTS A UTHORIZED
Section 02 [Reserved]
SEC. 1002. (a) Any person may file with the
Administrator or the Board, as to matters Section 03 Definitions for Purposes of
within their respective jurisdictions, a com- This System of Accounts and Re-
plaint in writing with respect to anything ports
done or omitted to be done by any person in
contravention of any provisions of this Act, Account, clearing. An account used as a me-
or of any requirement established pursuant dium for the temporary accumulation of
thereto. If the person complained against costs that are redistributed to appropriate
shall not satisfy the complaint and there applicable accounts.
shall appear to be any reasonable ground for Acquisition, date of. The date on which the
investigating the complaint, it shall be the title to owned property or equipment (or the
duty of the Administrator or the Board to in- right to use or control the reassignment of
vestigate the matters complained of. When- leased property or equipment) passes to the
ever the Administrator or the Board is of the air carrier.
opinion that any complaint does not state Act. The Federal Aviation Act of 1958, as
facts which warrant an investigation or ac- amended.
tion, such complaint may be dismissed with- Addition, property. Additional equipment,
out hearing. In the case of complaints land, structures, and other tangible prop-
against a member of the Armed Forces of the erty; extensions of fuel, water, and oil dis-
United States acting in the performance of tribution equipment; additions to buildings
his official duties, the Administrator or the and other structures; and additional safety
Board, as the case may be, shall refer the devices applied to equipment not previously
complaint to the Secretary of the depart- thus equipped. (See also Modification.)

105
Section 03 14 CFR Ch. II (1–1–19 Edition)
Affiliated group. A combination of compa- Aircraft. Any contrivance now known or
nies comprised of the air carrier, any person hereafter invented, used or designed for navi-
controlling the air carrier or under common gation of or flight in the air.
control with the air carrier, and organiza- Aircraft days assigned to service-carrier’s
tional divisions (as defined in sections 1–6) of equipment means the number of days that
and persons controlled by the air carrier. aircraft owned or acquired through rental or
Agency, cargo. Any person (other than the lease are in the possession of the reporting
air carrier preforming the direct air trans- air carrier and are available for service on
portation or one of its bona fide regular em- the reporting carrier’s routes plus the num-
ployees or an indirect air carrier lawfully en- ber of days such aircraft are in service on
gaged in air transportation under authority routes of others under wet-lease agreements.
conferred by any applicable part of the Eco- Includes days in overhaul, or temporarily
nomic Regulations of the Department) who out of service due to schedule cancellations.
for compensation or profit: (1) Solicits, ob- Excludes days that newly acquired aircraft
tains, receives or furnishes directly or indi- are on hand but not available for productive
rectly property or consolidated shipments of use, days dry-leased or rented to others, and
property for transportation upon the aircraft days in possession but formally withdrawn
of an air carrier subject to this part, or (2) from air transportation service.
procures or arranges for air transportation Aircraft day assigned to service-carrier
of property upon aircraft of an air carrier routes—same as aircraft days assigned to serv-
subject to this part by charter, lease, or any ice carrier’s equipment but excluding the num-
other arrangement. ber of days owned or rented equipment are in
Agent, ticket. Any person (other than the the possession of others under interchange
air carrier performing the direct air trans- agreements and including the number of
portation or one of its bona fide regular em- days aircraft of others are in the possession
ployees, or an air carrier which subcontracts of the air carrier under interchange agree-
the performance of charter air transpor- ments.
tation which it has contracted to perform) Aircraft, leased (rented). Aircraft obtained
who for compensation or profit: (1) Solicits, from (or furnished to) others under lease or
obtains, receives, or furnishes directly or in- rental arrangements. Leased and rented air-
directly passengers or groups of passengers craft do not include those used under inter-
for transportation upon the aircraft of an air change agreements designed to provide
carrier subject to this part, or (2) procures or oneplane service over the routes of the air
arranges for air transportation of passengers carriers involved.
or groups of passengers upon aircraft of an Aircraft type. A distinctive model as des-
air carrier subject to this part by charter, ignated by the manufacturer.
lease, or any other arrangement. Airport. A landing area regularly used by
Agreement. Any oral or written agreement, aircraft for receiving or discharging pas-
contract, understanding, or arrangement, sengers or cargo.
and any amendment, revision, modification, Airport, alternate. An approved airport to
renewal, extension, cancellation or termi- which a flight may proceed if a landing at
nation thereof. the airport to which the flight was dis-
Air carrier. Any citizen of the United States patched becomes inadvisable.
who undertakes, whether directly or indi- Airport-to-airport distance. The great circle
rectly or by a lease or any other arrange- distance between airports, measured in stat-
ment, to engage in air transportation. ute miles in accordance with part 247 of this
Air carrier, charter. An air carrier holding a chapter.
certificate issued under 49 U.S.C. 41102(a)(3). Air transportation. The carriage by aircraft
Air carrier, large certificated. An air carrier of persons, property, or mail.
holding a certificate issued under 49 U.S.C. Air transportation, charter. Air transpor-
41102, as amended, that: (1) Operates aircraft tation authorized pursuant to section
designed to have a maximum passenger ca- 401(d)(3).
pacity of more than 60 seats or a maximum Airworthiness (or Airworthy). When applied
payload capacity of more than 18,000 pounds; to a particular aircraft or component part, it
or (2) conducts operations where one or both denotes the ability of such aircraft or com-
terminals of a flight stage are outside the 50 ponent part to perform its function satisfac-
states of the United States, the District of torily through a range of operations deter-
Columbia, the Commonwealth of Puerto mined by the Federal Aviation Administra-
Rico and the U.S. Virgin Islands. tion.
Air carrier, surviving. An entity (air carrier) Allocate. To assign an item or group of
which, as the result of a business combina- items of investment, revenue, or cost to an
tion, has acquired the net assets, and carries object, activity, process, or operation, in ac-
on the operations of, one or more predecessor cordance with cost responsibilities, benefits
air carriers, and which may be newly orga- received, or other measure of apportionment.
nized at the time of the combination or may Allocation, bases of. Bases of distribution
be one of the predecessor air carriers. whereby revenues, expenses, and/or costs are

106
Office of the Secretary, DOT Section 03
equitably apportioned among revenue, ex- whether such power is through one or more
pense, property and equipment, and other ac- intermediary companies or alone or in con-
counts. junction with or pursuant to an agreement,
Amortization. The gradual extinguishment and whether such power is established
of an amount in an account by distributing through a majority or minority ownership or
such amount over a fixed period, over the life voting of securities, common directors, offi-
of the asset or liability to which it applies or cers, or stockholders, voting trusts, holding
over the period during which it is antici- trusts, associated companies, contract, or
pated the benefit will be realized. any other direct or indirect means.
Asset, contingent. An asset the existence, Controlling person. (See Person Controlling
value, or ownership of which depend upon an air carrier)
the occurrence or nonoccurrence of a specific Cost. The amount of cash (or its equiva-
event or upon the performance or non- lent) actually paid for property, materials
performance of a specified act. and supplies, and services, including that
Associated company. A company in which amount paid to put the property or mate-
the accounting air carrier holds 5 percent or rials and supplies in readiness for use. It in-
more of the outstanding proprietary inter- cludes such items as transportation charges,
est; or a company which holds 5 percent or installation charges, and customs duties,
more of the outstanding proprietary interest less any cash or other discounts.
of the accounting air carrier; or a company Cost, book. The amount at which an asset is
that, directly or through one or more inter- recorded in an account without the deduc-
mediaries, controls or is controlled by, or is tion of amounts in related allowances or
under common control with the accounting other accounts.
air carrier. Companies owned or controlled Cost, depreciated. The cost of property and
jointly with other air carriers shall be re- equipment less the related allowances for de-
garded as associated companies for purposes preciation.
of this system of accounts. (See also Control.) Cost, removal. The cost of demolishing, dis-
Betterment. Any improvement to property mantling, tearing down, or otherwise remov-
or equipment through the substitution of su- ing property and equipment, including the
perior parts for inferior parts retired, the ob- cost of related transportation and handling.
ject of which is to make such property more Debt, expense on. Expenses incurred by or
useful or of greater capacity than at the for the air carrier in connection with the
time of acquisition or installation. (See also issuance and sale of evidences of debt (exclu-
Modification.) sive of the sale of reacquired securities),
BTS. The Bureau of Transportation Statis- such as fees for drafting mortgages and trust
tics. deeds; fees and taxes for issuing or recording
Cargo. All traffic other than passengers. evidences of debt; cost of engraving and
Cargo transported. Cargo on board each printing bonds, certificates of indebtedness,
flight stage. and other commercial paper; specific costs of
Certificated point. A city, place or popu- obtaining governmental authority for
lation center authorized to receive scheduled issuance and filing notices thereunder; fees
air service under a Certificate of Public Con- for legal services; fees and commissions paid
venience and Necessity or under an exemption underwriters, brokers, and salesmen for mar-
issued to an air carrier. keting such evidences of debt; fees and ex-
Certificate of Public Convenience and Neces- penses of listing on exchanges; and other like
sity. A certificate issued to an air carrier costs.
under 49 U.S.C. 41102, by the Department of Deferred taxes. Tax effects which are de-
Transportation authorizing the carrier to en- ferred for allocation to income tax expense
gage in air transportation. of future periods.
Company, predecessor. An air carrier whose Department. Department of Transportation.
net assets and operations have been taken Departures completed, percent scheduled. The
over by one or more other air carriers. percent of scheduled departures that were
Compensation (of personnel). Remuneration performed.
to air carrier employees for personal serv- Departures completed, scheduled. The num-
ices. Includes salaries, wages, overtime pay, ber of takeoffs performed at each airport
cost-of-living differentials, bonuses, etc., as pursuant to published schedules, exclusive of
distinguished from per diem allowances or extra sections to scheduled departures.
reimbursement for expenses incurred by per- Departure performed. A takeoff made at an
sonnel for the benefit of the air carrier. airport.
Continental United States. The 48 contiguous Departure, scheduled. A takeoff scheduled
States and the District of Columbia. at an airport, as set forth in published sched-
Control (including the terms Controlling, ules.
Controlled by, and Under common control). The Depreciation (of depreciable property and
possession, directly or indirectly, of the equipment). The loss in service value, not re-
power positively to direct, or cause the di- stored by current maintenance, incurred in
rection of or negate the direction of, the the course of service from causes known to
management and policies of a company, be in current operation, against which the

107
Section 03 14 CFR Ch. II (1–1–19 Edition)
carrier is not protected by insurance, and has not been provided for in published sched-
the effect of which can be forecast with rea- ules and is required for transportation of
sonable accuracy. The causes of depreciation traffic that cannot be accommodated on a
include wear and tear, decay, action of the regularly scheduled flight. Flights made in
elements, inadequacy, obsolescence, changes ferrying aircraft to meet schedules, or for
in the art, changes in demand, and require- similar operational reasons, are not extra
ments of public authorities. sections and are classified as nonrevenue
Discount (of securities issued or assumed by flights even if an occasional shipment, as a
the air carrier). The excess of (1) the par or matter of special accommodation, is on
stated value of securities over (2) the then board.
current money value of the consideration re- Flight, ferry. A flight for the purpose of re-
ceived from their sale less the amount in- turning an aircraft to base, equipment
cluded for dividends or for interest accrued. equalization, or moving an aircraft to and
DOT. Department of Transportation. from a maintenance base.
Equipment. Tangible property other than Flight, paid positioning. A flight for the pur-
land, structures, and improvements. pose of positioning an empty aircraft in con-
Equity security. Any instrument rep- nection with a charter flight for which a spe-
resenting ownership shares (for example, cific charge is set forth in a tariff or con-
common, preferred, and other capital stock), tract for application directly to the posi-
or the right to acquire (for example, war- tioning miles operated. Such flights are con-
rants, rights, and call options) or dispose of sidered revenue flights for Form 41 reporting
(for example, put options) ownership shares purposes.
in an enterprise at fixed or determinable Flight, personnel training. A flight for the
prices. The term does not encompass pre- purpose of obtaining flying time for flight
ferred stock that by its terms either must be personnel or a flight in connection with a
redeemed by the issuing enterprise or is re- personnel training program.
deemable at the option of the investor, nor Flight stage. The operation of an aircraft
does it include treasury stock or convertible from takeoff to landing. For purposes of
bonds. classifying flight stages as between ‘‘domes-
Equivalent unit. A new unit substituted for tic’’, ‘‘territorial’’, and ‘‘international’’,
an existing unit that is worn out, is damaged technical stops are disregarded. (See Stops,
beyond repair, or has become inadequate in technical.)
service, the substituted unit having substan- Freight. Property, other than mail, trans-
tially no greater capacity than the unit for ported by air.
which substituted. Generally accepted accounting principles
Estimated economic life of leased property. (GAAP). The body of authoritative account-
The estimated remaining period during ing knowledge governing the recording, pre-
which the property is expected to be eco- senting and disclosing of financial trans-
nomically usable by one or more users, with actions, as incorporated in the pronounce-
normal repairs and maintenance, for the pur- ments of the Financial Accounting Stand-
pose for which it was intended at the incep- ards Board.
tion of the lease, without limitation by the Group basis (in depreciation accounting). A
lease term. plan under which (1) depreciation is based
Expense, capital stock. Expenses incurred by upon the application of a single depreciation
or for the air carrier in connection with the rate to the total book cost of all property in-
initial issuance and sale of capital stock (ex- cluded in a given depreciable property and
clusive of the sale of reacquired capital equipment account or class, despite dif-
stock), such as fees and commissions paid to ferences in service life of individual items of
promoters, underwriters, brokers, and sales- property and equipment, (2) the full original
men; fees for legal services; cost of soliciting cost, less any salvage realized, of an item of
subscriptions for capital stock; including depreciable property or equipment retired is
fees, commissions, and advertising; specific charged to the allowance for depreciation re-
costs of obtaining governmental authority gardless of the age of the item, and (3) no
for issuance and filing notices thereunder; gain or loss is recognized on the retirement
fees and taxes for issuance of capital stock of individual items of property or equipment.
and listing on exchanges; and the cost of pre- Horsepower, maximum continuous for recipro-
paring, engraving, printing, issuing, and dis- cating engines. The brake horsepower devel-
tributing prospectuses and stock certifi- oped in standard atmosphere at a specified
cates. altitude and under the maximum conditions
Flight, developmental. A flight for (1) the de- of crankshaft rotational speed and engine
velopment of a new route either prior or sub- manifold pressure, and approved for use dur-
sequent to certification by the Department ing periods of unrestricted duration.
of Transportation; (2) the extension of an ex- Horsepower, maximum continuous for turbine
isting route; or (3) the integration of a new engines. The brake horsepower developed at
type of aircraft or service. specified altitudes, atmospheric tempera-
Flight, extra section. A flight, conducted as tures, and flight speeds and under the max-
an integral part of scheduled service, that imum conditions of rotor shaft rotational

108
Office of the Secretary, DOT Section 03
speed and gas temperature, and approved for Inventory, perpetual. A book inventory kept
use during periods of unrestricted duration. in continuous agreement with stock on hand
Thrust, maximum continuous for turbine en- by means of a detailed record.
gines. The jet thrust developed at specified Investor controlled company (for purposes of
altitudes, atmospheric temperatures, and applying the equity method of accounting). Any
flight speeds and under the maximum condi- business entity in which the accounting air
tions of rotor shaft rotational speed and gas carrier is able to exercise significant influ-
temperature, and approved for use during pe- ence over operating and financial policies of
riods of unrestricted duration. the issuing company. Significant influence
Hours, aircraft. The airborne hours of air- will be presumed, unless established to the
craft computed from the moment an aircraft contrary by waiver request, with ownership
leaves the ground until it touches the ground of 20 percent or more of the outstanding vot-
at the end of a flight. ing capital stock. Ability to exercise influ-
Hours flown, revenue aircraft. The aircraft ence may be indicated in several ways, such
hours of flights performed in revenue serv- as representation on the Board of Directors,
ice. participation in policy-making processes,
Hours in capitalized projects, aircraft. Air- material intercompany transactions, inter-
craft hours applicable to ferrying newly ac- change of managerial personnel, or techno-
quired aircraft from the factory, to capital- logical dependency. Investor controlled com-
ized extension and development preoperating panies shall also be regarded as associated
projects and to other costs which have been companies for purposes of this system of ac-
capitalized. counts (see also Associated company).
Hours per aircraft per day—carrier’s equip- Item, delayed. An item relating to trans-
ment, revenue. Average hours of productive actions that occurred during a prior account-
use per day in revenue service of reporting ing period and that requires further account-
carrier’s equipment determined by dividing ing treatment for a true statement of finan-
(1) Aircraft days assigned to service—car- cial condition or operating results. It in-
rier’s equipment into (2) Revenue aircraft cludes adjustments of errors in the operating
hours minus Revenue hours on other car- revenue, operating expense, and other in-
rier’s interchange equipment plus Total come accounts for prior periods.
hours by others on the carrier’s interchange Liability, contingent. A possible source of
equipment. obligation of an air carrier dependent upon
Hours per aircraft per day—carrier’s routes, the fulfillment of conditions regarded as un-
revenue. Average hours of productive use per certain.
day in revenue service on reporting carrier’s Load, available. Represents the maximum
routes determined by dividing (1) Aircraft salable load. It is the allowable gross weight
days assigned to service-carrier’s routes into less the empty weight, less all justifiable air-
(2) Revenue aircraft hours. craft equipment, and less the operating load
Hours, ramp-to-ramp. The aircraft hours (consisting of minimum fuel load, oil, flight
computed from the moment the aircraft first crew, steward’s supplies, etc.). For passenger
moves under it own power for purposes of aircraft, the available load must not exceed
flight, until it comes to rest at the next the weight of the maximum number of pas-
point of landing. sengers who can be accommodated in the
Improvement. An addition or alteration to seats installed in the aircraft plus the weight
land, a building, or a unit of equipment that of the traffic that can be accommodated in
results in a better piece of property, in the the cargo space.
sense of greater durability, or in increased Load, average revenue. The average total
productivity or efficiency. (See also Modi- revenue tons carried in revenue services, de-
fication.) termined by dividing total revenue ton-miles
Income tax expense. The amount of income by aircraft miles flown in revenue services.
taxes (whether or not currently payable or Load, average revenue passenger. Average
refundable) allocable to a period in the de- number of revenue passengers carried in pas-
termination of net income. senger services, determined by dividing rev-
Income taxes. Taxes based on income deter- enue passenger-miles by aircraft miles flown
mined under provisions of the United States in revenue passenger services.
Internal Revenue Code and foreign, State, Load factor, over-all revenue. The percent
and other taxes (including franchise taxes) that total revenue ton-miles (passenger plus
based on income. nonpassenger) are of available ton-miles in
Insurance, self. The assumption by an air revenue services.
carrier of a risk of loss or liability arising Load factor, revenue passenger. The percent
from an accident or other contingent event. that revenue passenger-miles are of available
Interchange agreement. An agreement under seat-miles in revenue passenger services.
which aircraft of one air carrier are utilized Load, minimum fuel. The minimum quan-
to provide one-plane service over its own tity of fuel with which an aircraft may be
routes and the routes of other air carriers. dispatched in accordance with the safety op-
Interperiod tax allocation. The process of ap- erating needs of the air carrier.
portioning income taxes among periods. Load, salable. (See Load, available.)

109
Section 03 14 CFR Ch. II (1–1–19 Edition)
Mail, nonpriority. All mail for which trans- Operations, systems. The over-all operations
portation by air is provided on a space avail- of an air carrier including all of the oper-
able basis. ating entities of an air carrier having mul-
Mail, priority. All mail for which transpor- tiple operations.
tation by air is provided on a priority basis. Passenger-mile. One passenger transported 1
Mile. A statute mile (5,280 feet). mile. Passenger-miles are computed by mul-
Miles completed, percent scheduled aircraft. tiplying the aircraft miles flown on each
The percent of scheduled aircraft miles flight stage by the number of passengers
which were performed. transported on that stage.
Miles completed, scheduled aircraft. The air- Passenger-mile, nonrevenue. One nonrevenue
craft miles performed on scheduled flights passenger transported one mile.
computed between only those scheduled Passenger-mile, revenue. One revenue pas-
points actually served. senger transported one mile.
Miles flown, aircraft. The miles (computed Passenger, nonrevenue. A person traveling
in airport-to-airport distances) for each free or under token charges, except those ex-
flight stage actually completed, whether or pressly named in the definition of revenue
not performed in accordance with the sched- passenger; a person traveling at a fare or dis-
uled pattern. For this purpose, operation to count available only to employees or author-
a flag stop is a stage completed even though ized persons of air carriers or their agents or
a landing is not actually made. In cases only for travel on the business of the car-
where the interairport distances are inappli- riers; and an infant who does not occupy a
cable, aircraft miles flown are determined by seat. (This definition is for 14 CFR part 241
multiplying the normal crusing speed for the traffic reporting purposes and may differ
aircraft type by the airborne hours. from the definitions used in other parts by
the Federal Aviation Administration and the
Miles flown, nonrevenue aircraft. The air-
Transportation Security Administration for
craft miles flown on nonrevenue flights, such
the collection of Passenger Facility Charges
as ferry (including empty backhauls to MAC
and Security Fees.)
one-way charters), personnel training, exten-
The definition includes, but is not limited
sion and development, and abortive revenue
to following examples of passengers when
flights.
traveling free or pursuant to token charges:
Miles, revenue aircraft. The aircraft miles
(1) Directors, officers, employees, and oth-
flown in revenue service.
ers authorized by the air carrier operating
Miles, scheduled aircraft. The sum of the
the aircraft;
airport-to-airport distances of all flights
(2) Directors, officers, employees, and oth-
scheduled to be performed over the air car-
ers authorized by the air carrier or another
rier’s certificated routes pursuant to pub-
carrier traveling pursuant to a pass inter-
lished flight schedules. Flights listed in the
change agreement;
published schedules for operation only as
(3) Travel agents being transported for the
extra sections, when traffic warrants, are ex-
purpose of familiarizing themselves with the
cluded.
carrier’s services;
Modification. An alteration in a structure
(4) Witnesses and attorneys attending any
or unit of equipment that changes its design legal investigation in which such carrier is
and is made to correct an error, increase pro- involved;
duction, improve efficiency of operation, or (5) Persons injured in aircraft accidents,
for some other reason. and physicians, nurses, and others attending
Obsolescence. The process of becoming out such persons;
of date due to progress of the arts and (6) Any persons transported with the object
sciences, changed economic conditions, legis- of providing relief in cases of general epi-
lation, etc., which ultimately results in the demic, natural disaster, or other catas-
retirement or other disposition of property. trophe;
Off-Line. Installations maintained or fa- (7) Any law enforcement official, including
cilities used for other than scheduled certifi- any person who has the duty of guarding
cated air services. government officials who are traveling on of-
On-Line. Installations maintained or facili- ficial business or traveling to or from such
ties used in conducting scheduled certifi- duty;
cated air services. (8) Guests of an air carrier on an inaugural
Domestic. Flight stages with both terminals flight or delivery flights of newly-acquired
within the 50 States of the United States and or renovated aircraft;
the District of Columbia. (9) Security guards who have been assigned
Territorial. Flight stages with both termi- the duty to guard such aircraft against un-
nals within territory under U.S. jurisdiction lawful seizure, sabotage, or other unlawful
where at least one of the terminals is not interference;
within a State or the District of Columbia. (10) Safety inspectors of the National
International. Flight stages with one or Transportation Safety Board or the FAA in
both terminals outside of territory under their official duties or traveling to or from
U.S. jurisdiction. such duty;

110
Office of the Secretary, DOT Section 03
(11) Postal employees on duty in charge of Premium (as applied to securities issued or as-
the mails or traveling to or from such duty; sumed by the air carrier). The excess of (1) the
(12) Technical representatives of compa- then current money value of the consider-
nies that have been engaged in the manufac- ation received from their sale, less the
ture, development or testing of a particular amount included therein for dividends or in-
type of aircraft or aircraft equipment, when terest accrued, over (2) their par or stated
the transportation is provided for the pur- value.
pose of in-flight observation and subject to Pretax accounting income. Income or loss for
applicable FAA regulations; a period exclusive of related income tax ex-
(13) Persons engaged in promoting air pense.
transportation; Property (as applied to traffic). (See Cargo.)
(14) Air marshals and other Transportation Replacement. Substitution of new for exist-
Security officials acting in their official ca- ing facilities that are worn out, damaged be-
pacities and while traveling to and from yond repair, or have become inadequate in
their official duties; and service.
(15) Other authorized persons, when such Reporting carrier for T–100 purposes means
transportation is undertaken for pro- the air carrier in operational control of the
motional purpose. flight, i.e., the carrier that uses its flight
Passenger, revenue. A passenger for whose crew under its own FAA operating authority.
transportation an air carrier receives com- Residual value. The predetermined portion
mercial remuneration. (This definition is for of the cost of a unit of property or equip-
14 CFR part 241 traffic reporting purposes ment excluded from depreciation. It shall
and may differ from the definitions used in represent a fair and reasonable estimate of
other parts by the Federal Aviation Admin- recoverable value as at the end of the service
istration and the Transportation Security life over which the property or equipment is
Administration for the collection of Pas- depreciated and shall give due consideration
senger Facility Charges and Security Fees.) to the proceeds anticipated from disposition
This includes, but is not limited to, the fol- of the property or equipment and the extent
lowing examples: to which costs attaching to property or
(1) Passengers traveling under publicly equipment are otherwise recoverable
available tickets including promotional of- through charges against income.
fers (for example two-for-one) or loyalty pro- Retirement. The permanent withdrawal of
grams (for example, redemption of frequent assets from services of the corporate entity
flyer points); through sale, abandonment, demolition, or
(2) Passengers traveling on vouchers or other disposal.
tickets issued as compensation for denied Retirement, date of. The date on which prop-
boarding or in response to consumer com- erty or equipment is permanently withdrawn
plaints or claims; from services of the corporate entity.
(3) Passengers traveling at corporate dis- Route, certificated. The route(s) over which
counts; an air carrier is authorized to provide air
(4) Passengers traveling on preferential transportation by a Certificate of Public
fares (Government, seamen, military, youth, Convenience and Necessity issued by the De-
student, etc.); partment of Transportation pursuant to sec-
(5) Passengers traveling on barter tickets; tion 401(d) (1) or (2) of the Act.
and Salvage value. The amount received for
(6) Infants traveling on confirmed-space property retired, less the expenses incurred
tickets. in connection with the sale or in the prepa-
Passengers transported. Passengers on board ration of the property for sale; or, if re-
each flight stage. tained, the amount at which the material re-
Person controlling an air carrier. Any person, covered is charged to materials and supplies
as defined in 49 U.S.C. 40102, whom the De- or other appropriate account.
partment has found, in any proceeding, to Seats available. Installed seats in an air-
control an air carrier, or who holds, directly craft (including seats in lounges) exclusive of
or indirectly, the legal or beneficial owner- any seats not offered for sale to the public by
ship of more than 50 percent of the out- the carrier; provided that in no instance
standing voting capital stock or capital of an shall any seat sold be excluded from the
air carrier, and who does not make a proper count of available seats.
showing to the Department that he or she Seats, average available. The average num-
does not control the carrier despite such ber of seats available for passengers, deter-
stock ownership, shall be deemed to be a per- mined by dividing available seat-miles by
son controlling the carrier for the purpose of revenue aircraft miles flown in passenger
this part. A brokerage firm which holds service.
record ownership of securities merely for the Seat-miles available, revenue. The aircraft
convenience of the customer beneficially miles flown on each flight stage multiplied
owning the stock shall not be deemed a per- by the number of seats available for revenue
son controlling an air carrier. use on that stage.

111
Section 03 14 CFR Ch. II (1–1–19 Edition)
Section 41103 cargo operations. The carriage, Service, scheduled. Transport service oper-
pursuant to 49 U.S.C. 41103, by aircraft of ated pursuant to published flight schedules,
property and/or mail as a common carrier for including extra sections and related nonrev-
compensation or hire in commerce between a enue flights.
place in any State of the United States, or Service, transport. The operation of facili-
the District of Columbia, or Puerto Rico, or ties for the carriage of traffic by air.
the U.S. Virgin Islands, and a place in any Services, all. The total of scheduled and
other of those entities, or between places in nonscheduled transport services.
the same State or other entity through the Stop, flag. A point on an air carrier’s oper-
air-space over any place outside thereof, or ating system that is scheduled to be served
between places within the District of Colum- only when traffic is to be picked up or dis-
bia, Puerto Rico, or the U.S. Virgin Islands. charged.
This includes commerce moving partly by Stops, technical. Aircraft landing made for
aircraft and partly by other forms of trans- purposes other than enplaning or deplaning
portation, as well as commerce moving whol- traffic. For purposes of identifying reporting
ly by aircraft. entities, landings made for stopover pas-
Segment, service. A pair of points served or sengers are regarded as technical stops.
scheduled to be served by a single stage of at Tariff, published. A publication containing
least one flight within any given time pe- fares and rates applicable to the transpor-
riod. tation of persons or cargo and rules relating
Service, charter. Nonscheduled air transport to or affecting such fares or rates of trans-
service in which the party receiving trans- portation, filed with the Department of
portation obtains exclusive use of an agreed Transportation.
upon portion of the total capacity of an air- Taxable income. The excess of revenues over
craft with the remuneration paid by the deductions or the excess of deductions over
party receiving transportation accruing di- revenues to be reported for income tax pur-
poses for a period.
rectly to, and the responsibility for pro-
Tax effects. Differentials in income taxes of
viding transportation is that of, the account-
a period attributable to (1) revenue or ex-
ing air carrier.
pense transactions which enter into the de-
Service, coach (tourist). Transport service
termination of pretax accounting income in
specifically established for the carriage of
one period and into the determination of tax-
passengers at special reduced passenger fares
able income in another period, (2) deductions
that are predicated on both the operation of
or credits that may be carried backward or
specifically designated aircraft space and a
forward for income tax purposes, and (3) ad-
reduction in the quality of service regularly
justments of prior periods (or of the opening
and ordinarily provided.
balance of retained earnings) and direct en-
Service, first class. Transport service estab- tries to other stockholders’ equity accounts
lished for the carriage of passengers moving which enter into the determination of tax-
at either standard fares or premium fares, or able income in a period but which do not
at reduced fares not predicated upon the op- enter into the determination of pretax ac-
eration of specifically allocated aircraft counting income of that period. A permanent
space, and for whom standard or premium difference does not result in a ‘‘tax effect’’ as
quality services are provided. the term is used in this System of Accounts
Service life. The period between the date of and Reports.
installation of property or equipment and its Ton. A short ton (2,000 pounds).
date of retirement. Ton-mile. One ton transported 1 mile. Ton-
Service, mixed. Transport service for the miles are computed by multiplying the air-
carriage of both first-class and coach pas- craft miles flown on each flight stage by the
sengers on the same aircraft. number of tons transported on that stage.
Service, nonpassenger. Transport service es- Ton-mile, nonrevenue. One ton of nonrev-
tablished for the carriage of traffic other enue traffic transported 1 mile.
than passengers. Ton-mile, passenger. One ton of passenger
Service, nonscheduled. Includes transport weight (including all baggage) transported 1
service between points not covered by Cer- mile. (See also Weight, passenger.)
tificates of Public Convenience and Neces- Ton-mile, revenue. One ton of revenue traf-
sity issued by the Department of Transpor- fic transported 1 mile.
tation to the air carrier; services pursuant to Ton-miles available, revenue. The aircraft
the charter or hiring of aircraft; other rev- miles flown on each flight stage multiplied
enue services not constituting an integral by the ton capacity available for use on that
part of the services performed pursuant to stage.
published schedules; and related nonrevenue Traffic, deplaned. A count of the number of
flights. passengers getting off and tons of cargo un-
Service, passenger-cargo. Transport service loaded from an aircraft. For this purpose,
established for the carriage of passengers passengers and cargo on aircraft leaving a
which may also be used jointly for the trans- carrier’s system on interchange flights are
portation of cargo. considered as deplaning and the interchange

112
Office of the Secretary, DOT Section 04
point; and passengers and cargo moving from an aircraft. Empty weight excludes the
one operation to another operation of the weight of the crew and payload, but includes
same carrier, for which separate reports are the weight of all fixed ballast, unusable fuel
required by the Department of Transpor- supply, undrainable oil, total quantity of en-
tation, are considered as deplaning at the gine coolant, and total quantity of hydraulic
junction point. fluid.
Traffic, enplaned. A count of the number of Weight, passenger. For the purposes of this
passengers boarding and tons of cargo loaded part, a standard weight of 200 pounds per pas-
on an aircraft. For this purpose, passengers senger (including all baggage) is used for all
and cargo on aircraft entering a carrier’s civil operations and classes of service. Other
system on interchange flights are considered weights may be prescribed in specific in-
as enplaning at the interchange point; and stances upon the initiative of the Depart-
passengers and cargo moving from one oper- ment of Transportation or upon a factually
ation to another operation of the same car- supported request by an air carrier.
rier, for which separate reports are required Wet-Lease Agreement means an agreement
by the Department of Transportation, are under which one carrier leases an aircraft
considered as enplaning at the junction with flight crew to another air carrier.
point.
Traffic, nonrevenue. Passengers and cargo [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
transported by air for which no remunera- ed by Amdt. 241–58, 54 FR 5590, Feb. 89, 1989]
tion or token service charges are received by
EDITORIAL N OTE : For F EDERAL REGISTER ci-
the air carrier. Airline employees, officers
tations affecting Section 03, see the List of
and directors, or other persons, except for
CFR Sections Affected, which appears in the
ministers of religion, who are traveling
Finding Aids section of the printed volume
under reduced-rate transportation author-
and at www.govinfo.gov.
ized 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 Section 04 Air Carrier Groupings
are also considered nonrevenue traffic. (a) All large certificated air carriers are
Traffic office. A facility where air transpor- placed into three basic air carrier groupings
tation is sold, and related processes of docu- based upon their level of operations and the
mentation and reservation confirmation are nature of these operations. In order to deter-
performed. mine the level of operations, total operating
Traffic, revenue. Passengers and cargo revenues for a twelve-month period are used.
transported by air for which remuneration is The following operating revenue ranges are
received by the air carrier. Airline employ- used to establish air carrier groupings:
ees, officers and directors, or other persons,
except for ministers of religion, who are Carrier Group Total Annual Operating Revenues
traveling under reduced-rate transportation
authorized by 49 U.S.C. 41511(a) and 14 CFR I ............................. 0–$100,000,000
part 223, travel agents, cargo agents, and II ............................ $100,000,001–$1,000,000,000
III ........................... $1,000,000,001 +
tour conductors traveling at reduced fares,
and other passengers and cargo carried for
token service charges, are not considered as For reporting purposes, Group I air car-
revenue traffic. riers are further divided into two subgroups:
Transportation, free. The carriage of any (1) Air carriers with total annual operating
person or cargo (other than cargo owned by revenues from $20,000,000 to $100,000,000 and
the air carrier) without compensation. (2) Air carriers with total annual operating
Unit basis (in depreciation accounting). A revenues below $20,000,000.
plan under which depreciation expenses is (b) Both the criteria for establishing air
accrued upon the basis of the book cost of carrier groupings and the assignment of each
the individual item of property in relation to air carrier to a specific group of carriers will
the service life and salvage value of the par- be reviewed periodically by the Director, Of-
ticular item. fice of Airline Information, to assure the
Value, service. The difference between the maintenance of appropriate standards for the
book cost and the residual value of property grouping of carriers. When an air carrier’s
and equipment. level of operations passes the upper or lower
Weight, allowable gross. The maximum gross limit of its currently assigned carrier group-
weight (of the aircraft and its contents) ing, the carrier is not automatically trans-
which an aircraft is licensed to carry into ferred to a different group and a new level of
the air on each flight stage. reporting. The Office of Airline Statistics
Weight, average available. The average ca- will issue an updated listing of the carrier
pacity available for revenue traffic, deter- groups on an annual basis. A carrier may pe-
mined by dividing available ton-miles by air- tition for reconsideration of its assigned car-
craft miles in revenue service. rier grouping or request a waiver from the
Weight, empty. The weight of the airframe, accounting and reporting requirements that
engines, propellers, and fixed equipment of are applicable to a particular group under

113
Section 1 14 CFR Ch. II (1–1–19 Edition)
the provisions of section 1–2 of this Uniform ferent air carriers without impairing
System of Accounts and Reports. basic accounting comparability as be-
[Amdt. 241–60, 56 FR 12658, Mar. 27, 1991, as tween air carriers. In its administra-
amended at 60 FR 66723, Dec. 26, 1995] tion three air carrier groups, des-
ignated Group I, Group II, and Group
GENERAL ACCOUNTING PROVISIONS III, respectively (see section 04), are es-
tablished by the BTS. This grouping
Section 1 Introduction to System of
Accounts and Reports will be reviewed from time to time
upon petition of individual air carriers
Sec. 1–1 Applicability of system of ac- or by initiative of the BTS with the
counts and reports. view of a possible regrouping of the air
Each large certificated air carrier carriers.
shall keep its books of account, records (b) Under the system of accounts pre-
and memoranda and make reports to scribed, balance sheet elements are ac-
the BTS in accordance with this sys- counted for by all air carrier groups
tem of accounts and reports. The BTS within a fixed uniform pattern of spe-
reserves the right, however, under the cific accounts. All profit and loss ele-
provisions of sections 49 U.S.C. 41701 ments are accounted for within specific
and 41708, to expand or otherwise mod- objective accounts established for each
ify the classes of carriers subject to air carrier group resulting from dual
this system of accounts and reports. classifications, designated for each air
carrier group, which are descriptive of
[ER–1400, 50 FR 11, Jan. 2, 1985, as amended both basic areas of financial activity,
at 60 FR 66723, Dec. 26, 1995] or functional operation, and objective
served. The profit and loss elements of
Sec. 1–2 Waivers from this system of
accounts and reports. the three air carrier groups can be re-
duced to broad objectives and general
A waiver from any provision of this or functional classifications which are
system of accounts or reports may be comparable for all air carrier groups.
made by the BTS upon its own initia- Both balance sheet and profit and loss
tive or upon the submission of written accounts and account groupings are de-
request therefor from any air carrier, signed, in general, to embrace all ac-
or group of air carriers, provided that tivities, both air transport and other
such a waiver is in the public interest than air transport, in which the air
and each request for waiver expressly carrier engages and provide for the sep-
demonstrates that: existing peculiar- aration of elements identifiable exclu-
ities or unusual circumstances warrant sively with other than air transport ac-
a departure from a prescribed proce- tivities. Profit and loss elements which
dure or technique; a specifically de- are recorded during the current ac-
fined alternative procedure or tech- counting year are subclassified as be-
nique will result in a substantially tween (1) those which relate to the cur-
equivalent or more accurate portrayal rent accounting year and adjustments
of operating results or financial condi- of a recurrent nature applicable to
tion, consistent with the principles em- prior accounting years, and (2) extraor-
bodied in the provisions of this system dinary items of material magnitude.
of accounts and reports; and the appli- (c) In order to afford air carriers as
cation of such alternative procedure much flexibility and freedom as pos-
will maintain or improve uniformity in sible in establishing ledger and sub-
substantive results as between air car- sidiary accounts to meet their indi-
riers. vidual needs, a minimum number of ac-
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- count subdivisions have been pre-
ed at 60 FR 66723, Dec. 26, 1995] scribed in this Uniform System of Ac-
counts. It is intended, however, that
Sec. 1–3 General description of system each air carrier, in maintaining its ac-
of accounts and reports. counting records, will provide sub-
(a) This system of accounts and re- account and subsidiary account seg-
ports is designed to permit limited con- regations of accounting elements
traction or expansion to reflect the which differ in nature of accounting
varying needs and capacities of dif- characteristics, in a manner which will

114
Office of the Secretary, DOT Sec. 1–6
render individual elements readily dis- Registers, or other appropriate records,
cernible and traceable throughout the shall be maintained of the history and
accounting system, and will provide for nature of each note receivable and each
relating profit and loss elements to ap- note payable.
plicable balance sheet counterparts. (b) The books and records referred to
herein include not only accounting
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
ed at 60 FR 66723, Dec. 26, 1995]
records in a limited technical sense,
but all other records such as organiza-
Sec. 1–4 System of accounts coding. tion tables and charts, internal ac-
counting manuals and revisions there-
(a) A four digit control number is as- to, minute books, stock books, reports,
signed for each balance sheet and profit cost distributions and other accounting
and loss account. Each balance sheet work sheets, correspondence, memo-
account is numbered sequentially, randa, etc., which may constitute nec-
within blocks, designating basic bal- essary links in developing the history
ance sheet classifications. The first of, or facts regarding, any accounting
two digits of the four digit code as- or financial transaction.
signed to each profit and loss account (c) All books, records and memoranda
denote a detailed area of financial ac- shall be preserved and filed in such
tivity or functional operation. The manner as to readily permit the audit
first two digits, thus assigned to each and examination thereof by representa-
profit and loss account, are numbered tives of the DOT. All books, records,
sequentially within blocks, designating and memoranda shall be housed or
more general classifications of finan- stored in such manner as to afford pro-
cial activity and functional operation. tection from loss, theft, or damage by
The second two digits assigned to prof- fire, flood or otherwise and no such
it and loss accounts denote objective books and records shall be destroyed or
classifications. otherwise disposed of, except in con-
(b) A fifth digit, appended as a dec- formance with 14 CFR part 249 for the
imal, has been assigned for internal preservation of records.
control by the BTS of prescribed sub-
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
divisions of the primary objective bal- ed at 60 FR 66723, Dec. 26, 1995]
ance sheet and profit and loss classi-
fications. A different fifth digit code Sec. 1–6 Accounting entities.
number from that assigned by the BTS
(a) Separate accounting records shall
may be adopted for internal record-
be maintained for each air transport
keeping by the air carrier provided the
entity for which separate reports to
prescribed subclassification of objec-
the BTS are required to be made by
tive accounts is not impaired and the
sections 21(g) and for each separate
code number assigned by the BTS is
corporate or organizational division of
employed in reporting to the BTS on
the air carrier. For purposes of this
Form 41 Reports.
Uniform System of Accounts and Re-
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- ports, each nontransport entity con-
ed at 60 FR 66723, Dec. 26, 1995] ducting an activity which is not re-
lated to the air carrier’s transport ac-
Sec. 1–5 Records. tivities and each transport-related ac-
(a) The general books of account and tivity or group of activities qualifying
all books, records, and memoranda as a nontransport venture pursuant to
which support in any way the entries paragraph (b) of this section, whether
therein shall be kept in such manner as or not formally organized within a dis-
to provide at any time full information tinct organizational unit, shall be
relating to any account. The entries in treated as a separately operated orga-
each account shall be supported by nizational division; except that provi-
such detailed information as will sions of this paragraph and paragraph
render certain the identification of all (b) shall not apply to leasing activities.
facts essential to a verification of the (b) As a general rule, any activity or
nature and character of each entry and group of activities comprising a trans-
its proper classification under the pre- port-related service provided for in
scribed Uniform System of Accounts. transport-related revenue and expense

115
Sec. 1–7 14 CFR Ch. II (1–1–19 Edition)
accounts 09 through 18 shall be consid- Section 2 General Accounting Policies
ered a separate nontransport venture
under circumstances in which either: Sec. 2–1 Generally accepted account-
(1) A separate corporate or legal entity ing principles.
has been established to perform such (a) The accounting provisions con-
services, (2) the aggregate annual rev- tained in this part are based on gen-
enue rate, as determined in section 2– erally accepted accounting principles
1(d), during either of the prior two (GAAP). Persons subject to this part
years exceeds the greater of $1 million are authorized to implement, as pre-
per annum or one percent of the air scribed by the Financial Accounting
carrier’s total annual transport reve- Standards Board, newly issued GAAP
nues, or (3) the aggregate annual ex- pronouncements until and unless the
pense rate, as determined in section 2– Director, Office of Airline Information
1(d), during either of the prior two (OAI), issues an Accounting Directive
years exceeds the greater of $1 million making an initial determination that
or one percent of the carrier’s total an- implementation of a new pronounce-
nual operating expenses: Provided, That ment would adversely affect the De-
revenues and expenses from in-flight partment’s programs.
sales, and interchange sales shall be (b) The Director, OAI, shall review
considered related to air transpor- each newly issued GAAP pronounce-
tation and accounted for accordingly, ment to determine its affect on the De-
regardless of the revenue or expense partment’s regulatory programs. If
standard set forth above. adopting a specific change in GAAP
(c) The records for each required ac- would adversely affect the Depart-
counting entity shall be maintained ment’s programs, the Director will
with sufficient particularity to permit issue the results of the review in the
a determination that the requirements form of an Accounting Directive. The
of section 2–1 have been complied with. directive will state the reasons why the
particular change should not be incor-
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- porated in the uniform system of ac-
ed by ER–841, 39 FR 11994, Apr. 2, 1974; ER– counts and contain accounting guid-
1022, 42 FR 46495, Sept. 15, 1977; ER–1027, 42
ance for maintaining the integrity of
FR 60127, Nov. 25, 1977; 60 FR 66723, Dec. 26,
1995] the Department’s air carrier account-
ing provisions.
Sec. 1–7 Interpretation of accounts. (c) Objections and comments relating
to the Department’s decision not to
To the end that uniform accounting
implement a change in generally ac-
may be maintained, questions involv- cepted principles may be addressed to
ing matters of accounting significance Director, Office of Airline Information,
which are not clearly provided for K–25, U.S. Department of Transpor-
should be submitted to the Director, tation, 1200 New Jersey Avenue, SE.,
Office of Airline Information, K–25, Bu- Washington, DC 20590. If significant ob-
reau of Transportation Statistics, for jections are raised urging adoption of a
explanation, interpretation, or resolu- particular GAAP pronouncement, the
tion.
Department will institute a rule-
[Amdt. 241–58, 54 FR 5591, Feb. 6, 1989, as making.
amended at 60 FR 66723, Dec. 26, 1995]
[[Amdt. 241–58, 54 FR 5592, Feb. 6, 1989, as
amended at 60 FR 66723, Dec. 26, 1995]
Sec. 1–8 Address for reports and cor-
respondence.
Sec. 2–2 Basis of allocation between
Reports required by this section shall entities.
be submitted to the Bureau of Trans- (a) The provisions of this section
portation Statistics in a format speci- shall apply to each person controlling
fied in accounting and reporting direc- an air carrier, each person controlled
tives issued by the Bureau of Transpor- by the air carrier, as well as each
tation Statistics’ Director of Airline transport entity and organizational di-
Information. vision of the air carrier for which sepa-
[Doc. No. OST–2006–26053, 75 FR 41583, July rate records must be maintained pursu-
16, 2010] ant to section 1–6.

116
Office of the Secretary, DOT Sec. 2–4
(b) Each transaction shall be re- Sec. 2–3 Distribution of revenues and
corded and placed initially under ac- expenses within entities.
counting controls of the particular air (a) Revenues and expenses attrib-
transport entity or organizational divi- utable to a single natural objective ac-
sion of the air carrier or member of an count or functional classification shall
affiliated group to which directly be assigned accordingly.
traceable. If applicable to two or more (b) Revenue and expense items which
accounting entities, a proration shall are common to two or more natural ob-
be made from the entity of original re- jective accounts shall be recorded in
cording to other participating entities the objective accounts to which they
on such basis that the statements of fi- predominantly relate.
nancial condition and operating results (c) Expense items contributing to
of each entity are comparable to those more than one function shall be
of distinct legal entities. The alloca- charged to the general overhead func-
tions involved shall include all debits tions to which applicable except that
and credits associated with each enti- where only incidental contribution is
ty. made to more than a single function an
(c) For purposes of this section, in- item may be included in the function
vestments by the air carrier in re- to which primarily related, provided
sources or facilities used in common by such function is not distorted by in-
the regulated air carrier and those cluding an aggregation of amounts ap-
transport-related revenue services de- plicable to other functions. When as-
fined as separate nontransport ven- signment of expense items on the basis
tures under section 1–6(b) shall not be of the primary activity to which re-
allocated between such entities but lated does not in the aggregate result
shall be reflected in total in the appro- in a fair presentation of the expenses
priate accounts of the entity which applicable to each function, apportion-
predominately uses those investments. ment shall be made between functions
Where the entity of predominate use is based upon a study of the contribution
a nontransport venture, the air carrier to each function during a representa-
shall reflect the investment in account tive period.
1510.3, Advances to Associated Compa-
[ER–755, 37 FR 19726, Sept. 21, 1972. Redesig-
nies. nated by Amdt. 241–58, 54 FR 5592, Feb. 6,
(d) For purposes of this Uniform Sys- 1989]
tem of Accounts and Reports, all reve-
nues shall be assigned to or appor- Sec. 2–4 Accounting period.
tioned between accounting entities on (a) The accounting year of each air
bases which will fully recognize the carrier subject to this Uniform System
services provided by each entity, and of Accounts shall be the calendar year
expenses, or costs, shall be apportioned unless otherwise approved by the BTS.
between accounting entities on such (b) Each air carrier shall keep its fi-
bases as will result: (1) With respect to nancial accounts and records on a full
transport-related services, in the as- accrual basis for each quarter so that
signment thereto of proportionate di- all transactions, as nearly as may rea-
rect overheads, as well as direct labor sonably be ascertained, shall be fully
and materials, of the applicable ex- reflected in the air carrier’s books for
pense functions prescribed by this sys- the quarter in which revenues have
tem of accounts and reports, and (2) been earned and the costs attaching to
with respect to separate ventures, in the revenues so earned in each quarter
the assignment thereto of proportional have been incurred independently of
general and administrative overheads the incidence of sales or purchases and
as well as the direct overheads, labor, settlement with debtors or creditors.
and materials. (c) Expenditures incurred during the
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- current accounting year which demon-
ed by ER–841, 39 FR 11994, Apr. 2, 1974; ER– strably benefit operations to be per-
1401, 50 FR 238, Jan. 3, 1985. Redesignated and formed during subsequent accounting
further amended by Amdt. 241–58, 54 FR 5592, years to a significant extent shall be
Feb. 6, 1989] deferred and amortized to the period in

117
Sec. 2–5 14 CFR Ch. II (1–1–19 Edition)
which the related operations are per- (6) The amount and basis for all esti-
formed when of sufficient magnitude to mates employed in the verification.
distort the accounting results of the (7) The amount of resulting adjust-
year in which incurred. ments and the quarter in which such
(d) Expenditures charged directly or adjustments were, or are to be, made in
amortized to operations within one ac- the accounts.
counting year shall not be reversed in (d) For those carriers who use the
a subsequent accounting year and re- sales-lift match method to determine
amortized or charged directly against earned revenue, the analysis sup-
operations of subsequent years except porting the physical inventory
that retroactive adjustments are per- verification shall include:
mitted where necessary to conform (1) The cutoff date for the liability to
with adjustments required by the DOT be verified; such cutoff date shall be at
for ratemaking purposes. the end of a calendar month.
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- (2) A trial balance as of the cutoff
ed by ER–1027, 42 FR 60127, Nov. 25, 1977; ER– date of all subaccounts supporting the
1188, 45 FR 48870, July 22, 1980; 60 FR 66723, Air Traffic Liability control account;
66725, Dec. 26, 1995] the subsidiary trial balance must agree
with the Air Traffic Liability control
Sec. 2–5 Revenue and accounting prac- account or a reconciliation statement
tices. furnished.
(a) Revenue accounting practices (3) A statement to the effect that a
shall conform to the provisions of ac- sales listing of the value of all un-
count 2160, Air Traffic Liability. matched auditor coupons has been
(b) Each route air carrier shall phys- compiled and compared to the general
ically verify the reliability of its pas- ledger control figure; the statement re-
senger revenue accounting practice at quired by this subparagraph shall indi-
least once each accounting year. cate whether or not the value of the
(c) For those carriers who use the unmatched coupons is in agreement
yield or average-fare method to deter- with the general ledger. If the sales
mine earned revenue, the analysis sup- listing is not in agreement with the Air
porting the verification shall include: Traffic Liability control account, the
(1) The cutoff date for the liability to amount of such difference shall be
be verified; such cutoff date shall be at shown on such statement.
the end of a calendar month. [ER–948, 41 FR 12290, Mar. 25, 1976, as amend-
(2) The number of months after the ed by ER–1401, 50 FR 238, Jan. 3, 1985. Redes-
cutoff date during which documents ignated at Amdt. 241–58, 54 FR 5592, Feb. 6,
were examined to verify the liability; 1989; 60 FR 66725, Dec. 26, 1995]
the number of months after the cutoff
date during which documents are ex- BALANCE SHEET CLASSIFICATIONS
amined shall not exceed the maximums
set forth below: Section 3 Chart of Balance Sheet Ac-
counts
Class of carrier Maximum [See footnotes at end of table]
months 1
General classification
TWA ..................................................................... 18 Name of account
Trunks (except TWA) .......................................... 12
All other route air carriers .................................... 6
Current assets:
1 Applies only to carriers on a yield or average-fare basis.
Cash ................................... ...................... 1010
(3) The nature of the documents Short-term investments ...... ...................... 1100
Notes receivable ................ ...................... 1200
which were examined for purposes of Accounts receivable ........... ...................... 1270
the verification. Allowance for uncollectible
(4) The totals for each of the various accounts ......................... ...................... 1290
types of documents examined, on ac- Spare parts and supplies ... ...................... 1300
tual or sampling basis. Allowance for obsoles-
cence—Spare parts and
(5) A description of the sampling supplies ........................... ...................... 1311
technique and conversion to totals, if Prepaid items ..................... ...................... 1410
sampling was employed. Other current assets .......... ...................... 1420

118
Office of the Secretary, DOT Section 3
[See footnotes at end of table] [See footnotes at end of table]

General classification General classification

Name of account Name of account

Investments and special Allowance for depreciation of

funds: flight equipment and ground
Investments in associated property and equipment,
companies ...................... ...................... 1510 and amortization of over-
Investments in investor haul and airworthiness
controlled companies ...... ...................... 1510.1 costs ................................... 1668 1768
Investments in other asso- Land ....................................... 1679 1779
ciated companies ............ ...................... 1510.2 Equipment purchase deposits
Advances to associated and advance payments ...... 1685 1785
companies ...................... ...................... 1510.3 Construction work in progress 1689 1789
Other investments and re- Leased property under capital
ceivables ......................... ...................... 1530 leases ................................. 1695 1795
Special funds ...................... ...................... 1550 Capital leases—flight equip-
Property and equipment ........ ...................... 1600–1700 ment ................................ 1695.1 1795.1
Capital leases—other prop-
Operating Nonoperat- erty and equipment ......... 1695.2 1795.2
...................... ing Leased property under capital
leases, accumulated amor-
Airframes ................................ 1601 1701 tization ................................ 1696 1796
Airframes ............................ 1601.1 1701.1 Accumulated amortization—
Unamortized airframe over- capitalized flight equip-
hauls ............................... 1601.2 1701.2 ment ................................ 1696.1 1796.1
Aircraft engines ...................... 1602 1702 Accumulated amortization—
Aircraft engines .................. 1602.1 1702.1 capitalized other property
Unamortized aircraft engine and equipment ................ 1696.2 1796.2
overhauls ........................ 1602.2 1702.2 Property on operating-type
Improvements to leased flight lease to others and prop-
equipment ........................... 1607 1707 erty held for lease .............. ...................... 1797
Flight equipment rotable parts Property on operating-type
and assemblies .................. 1608 1708 lease to others and prop-
Airframe parts and assem- erty held for lease, accumu-
blies ................................ 1 1608.1 1 1708.1 lated depreciation ............... ...................... 1798
Aircraft engine parts and Other assets:
assemblies ...................... 1 1608.5 1 1708.5 Long-term prepayments ..... ...................... 1820
Other parts and assemblies 1 1608.9 1 1708.9
Unamortized developmental
Flight equipment .................... 1609 1709 and preoperating costs ... ...................... 1830
Allowance for depreciation: Other assets and deferred
Airframes ............................ 1611 1711 charges ........................... ...................... 1890
Aircraft engines .................. 1612 1712 Current liabilities:
Improvements to leased Current maturities of long-
flight equipment .............. 1617 1717 term debt ........................ ...................... 2000
Flight equipment rotable Notes payable:
parts and assemblies ..... 1618 1718 Banks .............................. ...................... 2005
Flight equipment airworthi- Other ............................... ...................... 2015
ness allowance ................... 2 1629 2 1729 Trade accounts payable ..... ...................... 2021
Equipment .............................. 1630 1730 Accounts payable—other ... ...................... 2025
Furniture, fixtures and office Current obligations under
equipment ........................... 1636 1736 capital leases .................. ...................... 2080
Improvements to leased build- Accrued salaries, wages .... ...................... 2110
ings and equipment ............ 1639 1739 Accrued vacation liability .... ...................... 2120
Accrued interest ................. ...................... 2125
General classification Accrued taxes .................... ...................... 2130
Dividends declared ............. ...................... 2140
Buildings ................................ 1640 1740 Air traffic liability ................. ...................... 2160
Maintenance buildings and Other current liabilities ....... ...................... 2190
improvements ................. 1640.1 1740.1 Noncurrent liabilities:
Other buildings and im- Long-term debt ................... ...................... 2210
provements ..................... 1640.9 1740.9 Advances from associated
Ground property and equip- companies ...................... ...................... 2240
ment ................................... 1649 1749 Pension liability .................. ...................... 2250
Allowance for depreciation: Noncurrent obligations
Equipment .......................... 1650 1750 under capital leases ....... ...................... 2280
Improvements to leased Other noncurrent liabilities ...................... 2290
buildings and equipment 1654 1754 Deferred credits:
Furniture, fixtures, and of- Deferred income taxes ....... ...................... 2340
fice equipment ................ 1656 1756 Deferred investment tax
Buildings ............................. 1660 1760 credits ............................. ...................... 2345
Maintenance buildings Other deferred credits ........ ...................... 2390
and improvements ...... 1660.1 1760.1 Stockholders’ equity:
Other buildings and im- Preferred stock ................... ...................... 2820
provements ................. 1660.9 1760.9 Common stock ................... ...................... 2840

119
Section 4 14 CFR Ch. II (1–1–19 Edition)
[See footnotes at end of table] by current liabilities, shall be included
General classification in account 1550 Special Funds.
Name of account (b) Each air carrier shall subdivide
this account in such manner that the
Additional capital invested ...................... 2890 balance can be readily segregated as
Premium on capital stock ... ...................... 2890.1 between balances in United States cur-
Discount on capital stock ... ...................... 2890.2 rency and the balances in each foreign
Other capital stock trans-
currency.
actions ............................ ...................... 2890.3
Retained earnings .............. ...................... 2900
Subscribed and unissued 1100 Short-term Investments.
stock ............................... 2860 (a) Record here the cost of short-
Treasury stock .................... ...................... 2990
term investments such as special de-
Prescribed for group II and group III air carriers only. posits and United States Government
1
2 At the option of the air carrier, these accounts may be as-
signed Nos. 2629 and 2729, respectively, for accounting pur- securities, any other temporary cash
poses. investments, and the allowance for un-
Note: Digits to right of decimals and italicized codes estab-
lished for BTS control purposes only.
realized gain or loss on current mar-
ketable equity securities.
[ER–1401, 50 FR 239, Jan. 3, 1985, as amended (b) Special deposits for more than
by Amdt. 248–58, 54 FR 5592, Feb. 6, 1989; 60 one year, not offset by current liabil-
FR 66723, Dec. 26, 1995] ities, shall not be included in this ac-
count but in account 1550 Special
Section 4 General Funds.
(a) The balance sheet accounts are (c) This account should be charged or
designed to show the financial condi- credited for discount or premium on
tion of the air carrier as at a given United States Government securities
date, reflecting the asset and liability or other securities which should be am-
balances carried forward subsequent to ortized to profit and loss account 80 In-
the closing or constructive closing of terest Income.
the air carrier’s books of account.
1200 Notes Receivable.
(b) The balance sheet accounts pre-
scribed in this system of accounts for (a) Record here current notes receiv-
each air carrier group are set forth in able including those from associated
Section 3, Chart of Balance Sheet Ac- companies, company personnel, and all
counts. The balance sheet elements to other sources.
be included in each account are pre- (b) Balances of notes payable to asso-
sented in section 6. ciated companies shall not be offset
against amounts carried in this ac-
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- count. Balances with associated com-
ed by Amdt. 241–58, 54 FR 5592, Feb. 6, 1989]
panies which are not normally settled
Section 5 [Reserved] currently shall not be included in this
account but in balance sheet account
Section 6 Objective Classification of Advances to Associated
Balance Sheet Elements Compa- nies.
SOURCE: ER–980, 42 FR 29, Jan. 3, 1977, un- [ER–980, 42 FR 29, Jan. 3, 1977, as amended by
less otherwise noted. ER–1401, 50 FR 241, Jan. 3, 1985]

CURRENT ASSETS 1270 Accounts Receivable.

(a) Record here current accounts re-
1010 Cash. ceivable including those due from the
(a) Record here all general and work- United States Government, foreign
ing funds available on demand as of the governments, associated companies,
date of the balance sheet which are not company personnel, and other amounts
formally restricted or earmarked for due for the performance of air trans-
specific objectives. Funds deposited for portation.
special purposes which are to be satis- (b) Amounts due from the United
fied within one year shall be included States Government shall be main-
in account 1100 Short-term Invest- tained in such fashion as will clearly
ments and funds restricted as to gen- and separately identify service mail
eral availability, which are not offset pay receivables, subsidy receivables

120
Office of the Secretary, DOT Section 6
and other than mail transportation re- charges applicable to the cost of spare
ceivables. parts and supplies shall be charged to
(c) Amounts due for the performance this account when they can be defi-
of air transportation shall include nitely allocated to specific items or
gross amounts due whether settled units of property. If such costs cannot
through airline clearing houses or with be so allocated, or if of minor signifi-
individual carriers. Amounts payable cance in relation to the cost of such
collected as agent shall not be credited property, such amounts may be
to this account, but should be included charged to balance sheet account 1890
in account 2190 Other Current Liabil-
Other Assets and Deferred Charges and
ities.
(d) Balances payable to associated cleared either by a suitable ‘‘loading
companies shall not be offset against charge’’ as the parts are used or by cur-
amounts carried in this account. Bal- rent charges to appropriate expense or
ances with associated companies which property accounts; so long as the meth-
are not normally settled currently od of application does not cause mate-
shall not be included in this account rial distortion in operating expenses
but in balance sheet account 1510.3 Ad- from one accounting period to another.
vances to Associated Companies. (c) Reusable spare parts and supplies
[ER–980, 42 FR 29, Jan. 3, 1977, as amended by recovered in connection with construc-
ER–1401, 50 FR 241, Jan. 3, 1985] tion, maintenance, or retirement of
property and equipment shall be in-
1290 Allowance for Uncollectible Ac- cluded in this account at fair and rea-
counts. sonable values but in no case shall such
(a) Record here accruals for esti- values exceed original cost. Recoveries
mated losses from uncollectible ac- of normally reparable and reusable
counts. parts of a type for which losses in value
(b) All accounts against which allow- may be covered on a practical basis
ances have been established shall be through valuation allowance provisions
examined quarterly for the purpose of shall be included in this account on an
redetermining the basis of accruals to original cost basis. Scrap and non-
be applied to subsequent accounting usable parts, expensed from this ac-
periods and the reasonableness of al- count and recovered, shall be included
lowances already provided. at net amounts realizable therefrom
1300 Spare parts and supplies. with contra credit to the expense ac-
counts initially charged.
(a) Record here the cost of:
(d) The cost of rotable parts and as-
(1) Flight equipment replacement
semblies of material value included in
parts of a type which ordinarily would
be recurrently expended and replaced this account which ordinarily are re-
rather than repaired and reused; paired and reused and possess a service
(2) Unissued fuel inventories for use life approximating that of the primary
in the overall or system operations of property types to which related shall
the carrier. Adjustments of inventories not be recorded in this account but in
for aircraft fuel due to retroactive balance sheet account 1608 Flight
price increases and decreases shall not Equipment Rotable Parts and Assem-
be entered in this account but in profit blies. For purposes of identifying
and loss account 45, Aircraft Fuels and rotable parts and assemblies of insig-
Oils; and nificant unit value which may be in-
(3) Unissued and unapplied materials cluded in this account, a reasonable
and supplies held in stock such as maximum unit value limitation may
unissued shop materials, expendable be established.
tools, stationery and office supplies, (e) Any losses sustained or gains real-
passenger service supplies, and res- ized upon the abandonment or other
taurant and food service supplies. disposition of flight equipment expend-
(b) Costs paid by the air carrier such able parts shall be taken up as capital
as transportation charges and customs gains or losses in the periods in which
duties; excise, sales, use and other sustained or realized. (See balance
taxes; special insurance; and other sheet account 1311.)

121
Section 6 14 CFR Ch. II (1–1–19 Edition)
(f) Items in this account shall be count and credited to profit and loss
charged to appropriate expense ac- account 73 Provisions for Obsolescence
counts as issued for use. Profit and loss and Deterioration—Expendable Parts.
on sales of inventory items as a routine (c) Where changing conditions neces-
service to others shall be included in sitate a revision or adjustment in rates
profit and loss accounts 14 General of accrual, such revision or adjustment
Service Sales—Associated Companies, shall be made applicable to current and
or 16 General Service Sales—Outside, subsequent accounting periods and
and the parts sold shall be removed
shall not be applied retroactively to
from this accounts at full cost.
prior accounting periods. Following re-
(g) Materials and supplies held in
small supply and purchased currently tirement of airframe or aircraft engine
may be charged to appropriate expense types to which related, any balance re-
accounts when purchased. maining in this account shall be offset
(h) An allowance for inventory ad- against related balances carried in bal-
justment applicable to materials and ance sheet account 1300 Spare Parts
supplies is prohibited. Items in this ac- and Supplies and the net cleared to
count shall be charged to appropriate profit and loss accounts 88.5 Capital
expense accounts as issued for use. Gains and Losses—Operating Property
(i) Subaccounts shall be established or 88.6 Capital Gains and Losses—
within this account for the separate re- Other.
cording of each class or type of spare
parts and supplies. [ER–980, 42 FR 29, Jan. 3, 1977, as amended by
ER–1401, 50 FR 241, Jan. 3, 1985]
[ER–980, 42 FR 29, Jan. 3, 1977, as amended by
ER–1401, 50 FR 241, Jan. 3, 1985] 1410 Prepaid Items.
1311 Allowance for Obsolescence— Record here prepayments of obliga-
Spare Parts and Supplies. tions which if not paid in advance
(a) Accruals shall be made to this ac- would require the expenditure of work-
count when allowances are established ing capital within one year, such as
for losses in the value of expendable prepaid rent, insurance, taxes, interest,
parts. The accruals to this account etc. Unexpired insurance and miscella-
shall be made by charges to profit and neous prepayments applicable to peri-
loss account 73 Provisions for Obsoles- ods extending beyond one year where
cence and Deterioration—Expendable significant in amount shall be charged
Parts. Records shall be maintained to balance sheet account 1820 Long-
with sufficient detail to permit asso- Term Prepayments.
ciation of the allowances with each
class or type of expendable parts. 1420 Other Current Assets.
(b) The accruals to this account shall Record here current assets not pro-
be based upon a predetermination by vided for in balance sheet accounts 1010
the air carrier of that portion of the to 1410, inclusive.
total inventory of each class and type
of expendable parts against which an INVESTMENTS AND SPECIAL FUNDS
allowance for loss is to be accrued. Ex-
pendable parts issued for use in oper- 1510 Investments in Associated Com-
ations shall be charged to operating ex- panies.
penses as issued and shall not be
charged to this account. If at the end (a) Record here net investments in
of any calendar year the amount of the associated companies.
allowance exceeds the product of the (b) [Reserved]
applicable inventory for the year deter- (c) This account shall be subdivided
mined consistently on a year-end or av- by all air carrier groups as follows:
erage basis, and the sum of the stand- [ER–980, 42 FR 29, Jan. 3, 1977, as amended by
ard percentage accrual rates for all ER–1027, 42 FR 60128, Nov. 25, 1977; ER–1188,
prior years including the current, the 45 FR 48870, July 22, 1980]
allowance shall be adjusted downward
by the amount of the excess. Such ad-
justments shall be charged to this ac-

122
 Office of the Secretary, DOT Section 6
Investments in Investor Controlled Companies. vestments in securities issued by oth-
Record here the cost of investments in in- ers, investments in leveraged leases,
vestor controlled companies except that per- the noncurrent net investment in di-
manent impairment in the value of securi- rect financing and sales-type leases,
ties may be reflected through charges to and the allowance for unrealized gain
profit and loss classification 8100, Nonop-
erating Income or Expense—Net. This ac-
or loss on noncurrent marketable eq-
count shall also include the equity in undis- uity securities. Securities held as tem-
tributed earnings or losses since acquisition. porary cash investments shall not be
In the event dividends are declared by such included in this account but in balance
companies, the air carrier shall credit this sheet account 1100 Short-Term Invest-
account for its share in dividends declared
and debit balance sheet account 1270 Ac-
ments. Investments in and receivables
counts Receivable. This account shall sepa- from associated companies which are
rately state: (a) The cost of such invest- not settled currently shall be included
ments at date of acquisition and (b) the eq- in balance sheet account 1510 Invest-
uity in undistributed earnings or losses since ments in Associated Companies.
acquisition.
[Amdt. 241–58, 54 FR 5592, Feb. 6, 1989]
[Amdt. 241–58, 54 FR 5592, Feb. 6, 1989]
Investments in Other Associated Companies. 1550 Special Funds.
Record here the cost of investments in as- Record here special funds not of a
sociated companies other than investor con- current nature and restricted as to
trolled companies. Cost shall represent the general availability. Include items
amount paid at the date of acquisition with-
out regard to subsequent changes in the net such as sinking funds, cash and securi-
assets through earnings or losses of such as- ties posted with courts of law, employ-
sociated companies. However, permanent im- ee’s funds for purchase of capital stock,
pairment in the value of securities may be pension funds under the control of the
reflected through charges to profit and loss air carrier and equipment purchase
classification 8100, Nonoperating Income or
funds.
Expense—Net.
[Amdt. 241–58, 54 FR 5592, Feb. 6, 1989] OPERATING PROPERTY AND EQUIPMENT
Advances to Associated Companies. ‘‘Operating Property and Equipment’’ shall
(a) Record here advances, loans, and other encompass items used in air transportation
amounts not settled currently with investor services and services related thereto.
controlled and other associated companies
and nontransport divisions. Balances receiv- 1601 Airframes.
able from and payable to different associated
companies and different nontransport divi- (a) Record here the total cost to the
sions shall not be offset. air carrier of airframes of all types and
(b) In the case of nontransport divisions classes together with the full com-
three subaccounts shall be maintained: plement of instruments, appurtenances
(1) Net investment; and fixtures comprising complete air-
(2) current net profit or loss; and
(3) current accounts receivable or payable frames including accessories necessary
between the air carrier and the nontransport to the installation of engines and flight
division. control and transmission systems, ex-
(c) Each nontransport division shall be ac- cept as specifically provided otherwise
counted for separately in net amounts re- in accounts 1602 and 1607. Also record
ceivable which shall be included in this ac-
here in separate subaccounts the costs
count or net amounts payable which shall be
included in balance sheet account 2240 Ad- of airframes overhauls accounted for
vances from Associated Companies. on a deferral and amortization basis.
[ER–980, 42 FR 29, Jan. 3, 1977. Redesignated (b) Airframes designed to permit
by ER–1401, 50 FR 241, Jan. 3, 1985] multiple payload configurations shall
be recorded in this account at the total
1530 Other Investments and Receiv- cost of the maximum complement of
ables. instruments, appurtenances, and fix-
Record here notes and accounts re- tures used in the air carrier’s oper-
ceivable not due within one year, in- ations.
(c) This account shall be subdivided
as follows by all air carriers:

123
 Section 6 14 CFR Ch. II (1–1–19 Edition)
Airframes. generally may not be repaired and re-
Unamortized Airframe Overhauls. used, shall not be recorded in this ac-
count but in account 1300 Spare Parts
[ER–980, 42 FR 29, Jan. 3, 1977, as amended by and Supplies. Except for recurrent
Amdt. 241–58, 54 FR 5593, Feb. 6, 1989] service sales, flight equipment parts
recorded in this account shall not be
1602 Aircraft Engines. charged to operating expenses as re-
(a) Record here the total cost to the tired. Profit or loss on sales of parts as
air carrier of complete units of aircraft a routine service to others shall be in-
engines of all types and classes to- cluded in profit and loss account 14
gether with a full complement of acces- General Service Sales, and parts sold
sories, appurtenances, parts and fix- shall be removed from this account at
tures comprising fully assembled en- full cost irrespective of any allowance
gines as delivered by the engine manu- for depreciation which has been pro-
facturer ready for operation in test but vided.
without the accessories necessary to (b) This account shall be subdivided
its installation in airframes. Also as follows by Group II and Group III air
record here in separate subaccounts carriers:
the costs of aircraft engine overhauls
1608.1 Airframe Parts and Assemblies.
accounted for on a deferral and amorti-
zation basis. 1608.5 Aircraft Engine Parts and Assemblies.
(b) This account shall be subdivided
as follows by all air carriers: 1608.9 Other Parts and Assemblies.

Aircraft Engines. [ER–980, 42 FR 29, Jan. 3, 1977, as amended by

Amdt. 241–58, 54 FR 5593, Feb. 6, 1989]
Unamortized Aircraft Engine Overhauls.
1609 Flight Equipment.
[ER–980, 42 FR 29, Jan. 3, 1977, as amended by
Amdt. 241–58, 54 FR 5593, Feb. 6, 1989] This classification is established only
for purposes of control by the BTS and
1607 Improvements to Leased Flight shall reflect the total cost of property
Equipment. and equipment of all types and classes
Record here the total cost incurred used in the in-flight operations of air-
by the air carrier for modification, con- craft.
version or other improvements to [ER–980, 42 FR 29, Jan. 3, 1977, as amended at
leased flight equipment. Also record 60 FR 66723, Dec. 26, 1995]
here, in separate subaccounts, the
costs of airframe and aircraft engine 1629 Flight Equipment Airworthiness
overhauls of leased aircraft accounted Allowances.
for on a deferral and amortization (a) Record here accumulated provi-
basis. sions for overhauls of flight equipment.
[Amdt. 241–58, 54 FR 5593, Feb. 6, 1989] (b) Separate subaccounts shall be es-
tablished for recording accumulated
1608 Flight Equipment Rotable Parts provisions related to each type of air-
and Assemblies. frame and aircraft engine, respectively.
(a) Record here the total cost to the NOTE: At the option of the air carrier, the
air carrier of all spare instruments, number ‘‘2629’’ may be assigned to this ac-
parts, appurtenances and subassem- count for accounting purposes. However, for
blies related to the primary compo- purposes of reporting on BTS Form 41, the
nents of flight equipment units pro- balance in this account shall be reported
vided for in balance sheet accounts 1601 under account ‘‘1629.’’
through 1607, inclusive. This account [ER–980, 42 FR 29, Jan. 3, 1977, as amended by
shall include all parts and assemblies Amdt. 241–58, 54 FR 5593, Feb. 6, 1989; 60 FR
of material value which are rotable in 66723, Dec. 26, 1995]
nature, are generally reserviced or re-
paired, are used repeatedly and possess 1630 Equipment.
a service life approximating that of the Record here the total cost to the air
property type to which they relate. carrier of ground equipment to include
Items of an expendable nature which the following:

124
Office of the Secretary, DOT Section 6
(a) Equipment assigned to aircraft or 1639 Improvements to Leased Build-
active line operations as opposed to ings and Equipment.
items held in stock for servicing pas- Record here the total cost to the air
sengers such as broilers, bottleware, carrier incurred in connection with
dishes, food boxes, thermos jugs, blan- modification, conversion, or other im-
kets, first aid kits, etc. Spare items provements to leased buildings and
shall be carried in balance sheet ac- equipment.
count 1300 Spare Parts and Supplies
and shall be charged directly to ex- 1640 Buildings.
pense upon withdrawal from stock for Record here the total cost to the air
replacing original complements. carrier of owned buildings, structures
(b) Equipment used in restaurants and equipment and related improve-
and kitchens. ments. Each air carrier shall maintain
(c) Equipment of all types and classes the following subaccounts in which the
used in enplaning and handling traffic values fairly assignable to mainte-
and in handling aircraft while on nance and other operations shall be
ramps, including motorized vehicles separately recorded:
used in ramp service. Classes of equip- 1640.9 Other Buildings and Improvements.
ment used interchangeably between
handling aircraft on ramps and in 1640.1 Maintenance Buildings and
maintaining aircraft may be classified Improvements.
in accordance with normal predomi- [Amdt. 241–58, 54 FR 5593, Feb. 6, 1989]
nant use.
(d) Nonairborne equipment of all 1649 Ground Property and Equipment.
types and classes used in meteorolog- This classification is established only
ical and communication services which for purposes of control by the BTS and
is not a part of buildings. shall reflect the total cost of property
(e) Equipment of all types and classes and equipment of all types and classes
including motorized vehicles used in other than flight equipment, equip-
engineering and drafting services and ment purchase deposits and advance
in maintaining, overhauling, repairing payments, land, and work in progress.
and testing other classes of property
[ER–980, 42 FR 29, Jan. 3, 1977, as amended at
and equipment. 60 FR 66723, Dec. 26, 1995]
(f) Property and equipment of all
types and classes used in ground and 1668 Allowance for Depreciation of
marine transportation services. Flight Equipment and Ground
(g) Property and equipment of all Property and Equipment and Amor-
types and classes used in storing and tization of Overhaul and Airworthi-
distributing fuel, oil and water, such as ness Costs.
fueling trucks, tanks, pipelines, etc. (a) Record in accounts 1611 and 1618,
(h) All other ground equipment of all inclusive, and 1650 through 1660, inclu-
types and classes such as medical, pho- sive, accruals for depreciation of flight
tographic, employees’ training equip- equipment and ground property and
ment, and airport and airway lighting equipment.
equipment. (b) As set forth in section 3, Chart of
Balance Sheet Accounts, separate ac-
[ER–980, 42 FR 29, Jan. 3, 1977, as amended by counts shall be established for depre-
Amdt. 241–58, 54 FR 5593, Feb. 6, 1989] ciation allowances to parallel balance
sheet accounts 1601 through 1608 estab-
1636 Furniture, Fixtures, and Office
lished for recording the cost of flight
Equipment.
equipment and accounts 1630 through
Record here the total cost to the air 1640 established for recording the cost
carrier of furniture, fixtures and office of ground property and equipment.
equipment of all types and classes (c) This account shall be used as a
wherever used or located. control account and shall reflect the
total amounts recorded in balance
[Amdt. 241–58, 54 FR 5593, Feb. 6, 1989]
sheet accounts 1611 through 1618 and

125
Section 6 14 CFR Ch. II (1–1–19 Edition)
1650 through 1660 in addition to account 1695.1 Capital Leases—Flight Equipment.
1629 Flight Equipment Airworthiness 1696.2 Capital Leases—Other Property and
Allowance. Equipment.

1679 Land. [ER–1401, 50 FR 241, Jan. 3, 1985, as amended

Record here the initial cost and the by Amdt. 241–58, 54 FR 5594, Feb. 6, 1989]
cost of improving land. 1696 Leased Property Under Capital
[Amdt. 241–58, 54 FR 5593, Feb. 6, 1989] Leases—Accumulated Amortization.
(a) Record here accruals for amorti-
1685 Equipment Purchase Deposits zation of leased property obtained
and Advance Payments. under capital leases.
Record here the amount of purchase (b) This account shall be subdivided
deposits and advance payments made by all air carrier groups as follows:
to acquire operating property and Accumulated Amortization—Capitalized Flight
equipment under outstanding purchase Equipment.
commitments. Funds set aside but not
deposited or used as advance payments Accumulated Amortization—Capitalized
Other Property and Equipment.
should not be included in this account
but in Account 1550 Special Funds. [ER–1401, 50 FR 241, Jan. 3, 1985, as amended
by Amdt. 241–58, 54 FR 5594, Feb. 6, 1989]
1689 Construction Work in Progress.
NON-OPERATING PROPERTY AND
(a) Record here all direct and indirect
EQUIPMENT
costs of the air carrier that are ex-
pended for constructing and readying ‘‘Nonoperating Property and Equipment’’
property and equipment of all types includes investments in property and equip-
and classes for installation in oper- ment not separately accounted for within a
nontransport division but assigned to other
ations. The amount reported shall re-
than air transportation and transport-re-
flect all such expenses that are accu- lated services, and property and equipment
mulated to the balance sheet date. held for future use.
Where properly includable in the prop-
erty and equipment classification, 1700 Non-operating Property and
record here also the accumulated costs Equipment.
for uncompleted overhauls of air- The total cost to the air carrier of
frames, aircraft engines, or other mate- nonoperating property and equipment
rial units of property. and related allowances for depreciation
(b) At the option of the air carrier shall be recorded in balance sheet ac-
this account may be used as a clearing counts 1701 through 1796 which, as set
account for recording the cost of prop- forth in section 3, Chart of Balance
erty and equipment acquisitions prior Sheet Accounts, parallel balance sheet
to a distribution thereof to the appro- accounts 1601 through 1689, for record-
priate property accounts, whether or ing the cost of operating property and
not conditioning or modification is equipment. In addition to these ac-
necessary before placing in service. counts, Account 1797 has been estab-
lished for recording the cost of prop-
[ER–980, 42 FR 29, Jan. 3, 1977, as amended by erty on operating-type leases to others
Amdt. 241–58, 54 FR 5594, Feb. 6, 1989] and property held for lease; any accu-
mulated depreciation applicable to the
1695 Leased Property Under Capital assets contained in Account 1797 shall
Leases. be recorded in Account 1798.
(a) Record here the total costs to the [ER–1013, 42 FR 37515, July 21, 1977]
air carrier for all property obtained
under capital leases. 1797 Property on Operating-type
(b) This account shall be subdivided Lease to Others and Property Held
by all air carrier groups as follows: for Lease.
Record here the total cost to the air
carrier of property on operating-type

126
Office of the Secretary, DOT Section 6
lease to others and property held for rected at obtaining new operating au-
lease. thority or expanding the physical ca-
[Amdt. 241–58, 54 FR 5594, Feb. 6, 1989] pacity of the air carrier and shall not
include costs incurred for the purpose
1798 Property on Operating-type of generating revenues through rate
Lease to Others and Property Held adjustment. Accordingly, costs associ-
for Lease—Accumulated Deprecia- ated with regulatory proceedings in-
tion. volving route awards or amendments,
Record here accruals for depreciation whether successful or unsuccessful to
of property on operating-type leases to the carrier, shall be included in this ac-
others and property held for lease. count whereas costs associated with
regulatory proceedings involving rate
[Amdt. 241–58, 54 FR 5594, Feb. 6, 1989]
or other revenue generation matters
OTHER ASSETS shall be charged to appropriate expense
accounts.
1820 Long-Term Prepayments. (c) Records shall be established for
Record here prepayments of obliga- new routes or extensions of existing
tions applicable to periods extending routes to record separately: (1) Costs
beyond one year such as payments on incurred in acquiring or applying for
leased property and equipment and the routes, including all costs incurred
other payments and advances for rents, prior to certification by the DOT and
rights, or other privileges. inauguration of service by the air car-
rier, and (2) costs incurred after rev-
1830 Unamortized Developmental and enue operations begin over the new
Preoperating Costs. routes or extensions.
(a) Record here costs accumulated (d) Subclassifications shall be estab-
and deferred by the air carrier per- lished to record for each developmental
taining to the development of new project the period covered and the pur-
routes or extension of existing routes, pose of each item of expense. Each air
preparation for operation of new routes carrier shall classify the costs of all
subsequent to certification by the projects included in this account be-
DOT, the integration of new types of tween: (1) Those related and contrib-
aircraft or services, and other prepara- uting to the normal air transportation
tions for substantial alterations in services currently conducted by the air
operational characteristics. carrier; (2) those related to services
(b) Costs chargeable to this account conducted by the air carrier which are
shall include items directly related to extraneous to or are not otherwise re-
each specific developmental or lated to the air transportation services
preoperating project, such as travel currently conducted; and (3) those held
and incidental expenses, legal ex- in suspense pending status determina-
penses, flight crew training expenses, tion in terms of possible contribution
and regulatory proceedings expenses. to the air transportation services and
Expenses which would be otherwise in- inauguration of the service or oper-
curred in the normal air transport op- ation to which related.
erations conducted by the air carrier
(e) Amounts included in this account
during the current accounting period
which contribute to or protect the po-
shall not be allocated to developmental
sition of the normal air transportation
or preoperating projects and charged to
services currently conducted by the
this account. Nor shall this account be
carrier shall be amortized to profit and
credited for revenues from aircraft
loss account 74 Amortization, unless
flights of a developmental or
preoperating character the operating otherwise approved or directed by the
costs of which are charged to this ac- DOT. Other amounts included in this
count. Any such revenues shall be in- account shall be amortized or charged
cluded in the profit and loss account to profit and loss account 89.9 Other
for the respective type of revenue. This Miscellaneous Nonoperating Debits.
account shall include charges for only [ER–980, 42 FR 29, Jan. 3, 1977, as amended at
those costs associated with projects di- 60 FR 66723, Dec. 26, 1995]

127
Section 6 14 CFR Ch. II (1–1–19 Edition)
1890 Other Assets and Deferred classes. Amounts recorded shall be am-
Charges. ortized to profit and loss account 84
(a) Record here other assets and de- Amortization of Debt Discount, Pre-
ferred charges not provided for else- mium and Expense.
where. (e) Unamortized debt expense shall
(b) Record here debits, the proper not include the excess of the par value
final disposition of which cannot be de- of debt securities over the cash value of
termined until additional information consideration received. Instead, dis-
has been received. This account shall counts shall be recorded in a sub-
include the accumulated cost of labor, account of the related liability.
materials and outside services used in (f) Record here the cost of patents,
the process of manufacturing flight copyrights and other intangible prop-
equipment expendable parts and mate- erties, rights and privileges acquired as
rials and supplies for stock, the accu- a part of a business from other air car-
mulated cost of jobs in process for oth- riers and other intangibles not pro-
ers, projects to be charged to expense vided for elsewhere. This account shall
upon completion. This account shall be subdivided to reflect the nature of
also include unamortized debt expense,
each intangible asset included in this
property acquisition adjustments and
account.
intangible assets.
(c) This account shall be charged (g) Record here the difference be-
with property loss and other costs re- tween the purchase price to the air car-
lated to casualties and credited with rier of property and equipment ac-
recoveries from purchased insurance quired as a part of a business from an-
and salvage. A debit or credit balance other air carrier through consolida-
in this account related to property re- tion, merger, or reorganization, pursu-
tired as a result of a casualty shall be ant to a plan approved by the DOT, and
recorded in profit and loss account 88.5 the depreciated cost to the predecessor
Capital Gains and Losses—Operating company at date of acquisition. Record
Property or 88.6 Capital Gains and here also such differences relating to
Losses—Other; however, any balances purchases of property and equipment
related to property not retired or to from associated companies unless other
other casualties shall be recorded in treatment is approved by the BTS. Sep-
profit and loss account 58 Injuries, Loss arate subaccounts shall be established
and Damage. Proceeds from purchased to record the amounts applicable to
insurance for property damage, re- each such acquisition.
ceived prior to repair of such damage, (h) Balances in this account relating
shall not be credited to this account to property acquisition adjustments
but to balance sheet account 2390 Other shall be amortized by charges to profit
Deferred Credits pending repair. The and loss account 89.9 Other Miscella-
records for each major casualty shall neous Nonoperating Debits unless oth-
be kept in such manner as to clearly erwise directed or approved by the
disclose insurance recoveries and the BTS.
total costs, which shall include charges
for the depreciated cost of property [ER–1401, 50 FR 242, Jan. 3, 1985, as amended
damaged or destroyed, costs for clear- at 60 FR 66723, Dec. 26, 1995]
ing wrecks and damaged property and
equipment, including salaries and CURRENT LIABILITIES
wages for the repair thereof, and pay-
2000 Current Maturities of Long-term
ments for damages to property of oth-
Debt.
ers. The cost of casualties shall not be
charged directly against retained earn- Record here the face value or prin-
ings or appropriations thereof, but cipal amount of debt securities issued
shall be cleared through the applicable or assumed by the air carrier which is
profit and loss accounts in accordance payable within 12 months of the bal-
with the foregoing. ance sheet date unless such debt is to
(d) Record here the unamortized debt refinance, or where payment is to be
expense related to the assumption by made from assets of a type not prop-
the air carrier of debt of all types and erly classifiable as current.

128
Office of the Secretary, DOT Section 6
2005 Notes Payable—Banks. tions accrued and vacations taken. Ac-
Record here the face value of all cruals may be based upon standard
notes, drafts, acceptances, or other rates of lag, if such standard rates are
similar evidences of indebtedness pay- verified by physical inventory and ad-
able on demand or within one year to a justed accordingly at least once each
bank or another financial institution calendar year. Adjustments of balances
with the exception of current matu- in this account shall be cleared to ap-
rities of long-term debt which should plicable compensation expense ac-
be included in account 2000. counts.
[ER–980, 42 FR 29, Jan. 3, 1977, as amended by
2015 Notes Payable—Other. ER–1027, 42 FR 60128, Nov. 25, 1977; ER–1188,
Record here the face value of all 45 FR 48870, July 22, 1980; Amdt. 241–58, 54 FR
notes, drafts, acceptances, or other 5594, Feb. 6, 1989]
similar evidences of indebtedness pay-
able on demand or within one year to 2125 Accrued Interest.
an associated company or party other Record here interest payable within
than a financial institution. one year for all outstanding obliga-
tions.
2021 Trade Accounts Payable.
Record here all accounts payable 2130 Accrued Taxes.
within one year which accrued from (a) Record here accruals for currently
generally recognized trade practices. payable income and other forms of
2025 Accounts Payable—Other. taxes which constitute a charge borne
by the air carrier as opposed to those
Record here all accounts payable collected as an agent for others.
within one year which are not provided (b) Each air carrier shall disclose in
for in accounts 2000 to 2021, inclusive. the footnotes of its BTS Form 41 for
2080 Current Obligations Under Cap- each calendar quarter whether utilized
ital Leases. credits are accounted for by the flow-
through method or the deferred meth-
Record here the total current liabil- od. The method selected shall be con-
ity applicable to property obtained sistently followed by the carrier.
under capital leases.
[Amdt. 241–58, 54 FR 5594, Feb. 6, 1989, as
[ER–1013, 42 FR 37515, July 21, 1977; 42 FR amended at 60 FR 66723, Dec. 26, 1995]
38555, July 29, 1977; Amdt. 241–58, 54 FR 5594,
Feb. 6, 1989] 2140 Dividends Declared.
2110 Accrued Salaries, Wages. Record here in separate subdivisions
Record here amounts accrued for un- for each class and series of capital
paid compensation to personnel, which stock, all dividends declared but un-
have been charged to profit and loss or paid on capital stock.
capitalized, as compensation for the
2160 Air Traffic Liability.
period in which accrued.
(a) Record here balances representing
2120 Accrued Vacation Liability. the value of unused transportation
(a) Record here accruals of liabilities sold. Transportation sold includes both
for personnel vacations. All vacation sales for transportation to be provided
policies, plans, or agreements whether by the air carrier and transportation to
oral or written shall be accounted for be provided by another air carrier.
on an accrual basis whenever a lag ex- (b) Earned revenue, determined by
ists between vacations earned and va- the yield or average fare method or by
cations taken, thereby resulting in a li- the sales-lift-match method, shall be
ability against the carrier under the consistently and periodically cleared
applicable policy, plan or agreement. by debit to this account, and by credit
(b) This account shall be credited and to the appropriate profit and loss rev-
the applicable personnel compensation enue account. Amounts receivable for
expense account concurrently charged transportation to be provided by the
with the cost of any lag between vaca- air carrier shall be debited to balance

129
Section 6 14 CFR Ch. II (1–1–19 Edition)
sheet account 1270 Accounts Receiv- 2250 Pension Liability.
able. Record here the liability of the air
(c) Carriers who determine earned carrier under employee pension plans,
revenue on a yield or average fare to which either or both employees and
method may not accrue income during the air carrier contribute, if the plan is
the accounting year in anticipation of administered by the air carrier.
a favorable annual physical inventory
determination, nor for unused or 2280 Noncurrent Obligations under
unpresented tickets. Capital Leases.
(d) Subaccounts to this account shall Record here the total noncurrent li-
be established to record balances per- ability applicable to property obtained
taining to passenger and cargo trans- under capital leases.
portation sold, respectively, and sepa-
rately to sales in scheduled and non- [ER–1013, 42 FR 37515, July 21, 1977, as amend-
scheduled services. ed by Amdt. 241–58, 54 FR 5594, Feb. 6, 1989]

[ER–980, 42 FR 29, Jan. 3, 1977, as amended by 2290 Other Noncurrent Liabilities.

ER–1401, 50 FR 242, Jan. 3, 1985] Record here noncurrent liabilities
2190 Other Current Liabilities. not provided for in balance sheet ac-
counts 2210 to 2280, inclusive, such as
Record here current and accrued li- the liability for installments received
abilities, including amounts payable on capital stock from company per-
collected as an agent, not provided for sonnel who are not bound by legally
in accounts 2110 to 2160, inclusive. enforceable subscription contracts, ac-
cruals for personnel dismissal liability,
NON-CURRENT LIABILITIES
and accruals of other demonstrable
2210 Long-Term Debt. miscellaneous noncurrent liabilities.
(a) Record here the face value of prin- [ER–1401, 50 FR 242, Jan. 3, 1985]
cipal amount of debt securities issued
DEFERRED CREDITS
or assumed by the air carrier and held
by other than associated companies, 2340 Deferred Income Taxes.
which has not been retired or cancelled
Record here credits and debits rep-
and is not payable within 12 months of
resenting the net tax effect of material
the balance sheet date.
timing differences originating and re-
(b) In cases where debt coming due
versing in the current accounting pe-
within 12 months is to be refunded, or
riod, giving appropriate recognition to
where payment is to be made from as-
the portion of investment tax credits
sets of a type not properly classifiable
which would have been allowed if taxes
as current, the amount payable shall
not be removed from this account. In were based on pretax accounting in-
come by a reduction of the deferred tax
addition, this account shall include
provision.
short-term debt obligations when both
the intent to refinance the short-term [Amdt. 241–58, 54 FR 5594, Feb. 6, 1989]
obligations on a long-term basis is es-
tablished and the ability to consum- 2345 Deferred Investment Tax Credits.
mate this refinancing can be dem- Record here investment tax credits
onstrated. utilized as reduction of tax liabilities,
[Amdt. 241–58, 54 FR 5594, Feb. 6, 1989]
when the carrier exercises the option
to defer such credits for amortization
2240 Advances from Associated Com- over the service life of the related
panies. equipment.
Record here net amounts due associ- [Amdt. 241–58, 54 FR 5594, Feb. 6, 1989]
ated companies and nontransport divi-
sions for notes, loans and advances 2390 Other Deferred Credits.
which are not settled currently. Bal- Record here credits, not provided for
ances payable to and receivable from elsewhere, the proper final disposition
different associated companies shall of which cannot be effected until addi-
not be offset. tional information has been received.

130
 Office of the Secretary, DOT Section 6
STOCKHOLDERS’ EQUITY dends. Discounts applicable to a particular
class and series of capital stock may be off-
2820 Preferred Stock. set against premiums from the same class
and series of capital stock. Discounts and
Record here in separate subdivisions
premiums on different classes and series of
for each class and series, the par or capital stock shall not be offset. The air car-
stated value of preferred capital stock rier may, at its option, record in this sub-
issued or in the case of no-par stock account commissions and expenses incurred
without stated value, the full consider- in the issuance of capital stock and may
ation received. charge balance sheet account 2900 Retained
Earnings to the extent capital stock expense
2840 Common Stock. may exceed any existing balance of paid-in
Record here in separate subdivisions capital over the par or stated value of cap-
for each class and series, the par or ital stock.
stated value of common stock issued or Other Capital Stock Transactions. Record
in case of no-par stock without stated here in separate subdivisions for each class
value, the full consideration received. and series, the balance of credits aris- ing
from the reacquisition and resale or can-
2860 Subscribed and Unissued Stock. cellation of capital stock, credits arising
from a reduction in the par or stated value of
Record here in separate subdivisions capital stock or the net balance of credits or
for each class and series, the par or debits resulting from other paid-in capital
stated value, or the subscription price transactions such as proceeds attributable to
in the case of stock without par or detachable stock purchase warrants related
stated value, of legally enforceable to debt issues, not provided for elsewhere,
subscriptions to the capital stock of which is identified with a particular class
the air carrier. and series of capital stock.

2890 Additional Capital Invested. 2900 Retained Earnings.

(a) Record herein separate subdivi- (a) Record here the net income or
sions for each class and series, the dif- loss from operations of the air carrier
ference between the price at which cap- and dividends declared on capital
ital stock is sold and the par or stated stock.
value of the stock; gains or losses aris- (b) This account shall not be charged
ing from the reacquisition and the re- with dividends on treasury stock. If a
sale or retirement of each class and se- dividend is not payable in cash, the
ries of capital stock; donations; the ex- values entered in this account shall be
cess of retained earnings capitalized completely described.
over par or stated value of capital
(c) Delayed credits or charges to in-
stock issued; adjustments in capital re-
sulting from reorganization or recapi- come shall not be entered in this ac-
talization; and proceeds attributable to count directly but in appropriate profit
detachable stock purchase warrants re- and loss accounts.
lated to debt issues. This account shall (d) Net income or loss accounted for
also include balances of contributions during the current fiscal year shall not
to the business enterprise of individual be entered in this account until the
proprietors or partners. close of the fiscal year. Individual pro-
(b) Each air carrier shall maintain prietorships or partnerships may clear
the following subaccounts: net income or loss accounted for during
Premium on capital stock. Record here in separate the year directly to balance sheet ac-
subdivisions for each class and series of capital stock count 2890 Additional Capital Invested,
issued the excess of the cash value of consideration or optionally, to this account for sub-
received over the par or stated value and accrued
sequent transfer to balance sheet ac-
dividends of stock issued together with assessments
against stockholders representing payments required in count 2890 Additional Capital Invested.
excess of par or stated value. (e) A separate subaccount to this ac-
Discount on capital stock. Record here in separate count shall be maintained to record
subdivisions for each class and series of capital stock changes in the valuation of marketable
issued, the excess of the par or stated value over the equity securities included in noncur-
cash value of consideration received, less accrued
divi- rent assets. Such changes shall be re-
flected in this subaccount to the extent

131
Section 7 14 CFR Ch. II (1–1–19 Edition)
the balance in this subaccount rep- (b) Separate records shall be estab-
resents a net unrealized loss as of the lished for each class and series of cap-
current balance sheet date. ital stock held in this account.
[ER–980, 42 FR 29, Jan. 3, 1977, as amended by [ER–980, 42 FR 29, Jan. 3, 1977, as amended by
ER–1401, 50 FR 242, Jan. 3, 1985] Amdt. 241–58, 54 FR 5594, Feb. 6, 1989]
2990 Treasury Stock. PROFIT AND LOSS CLASSIFICATION
(a) Record here the cost of capital
stock issued by the air carrier reac- Section 7 Chart of Profit and Loss Ac-
quired by it and not retired or can- counts
celed.
Functional or financial activity to which applicable (00)
Objective classification of profit and loss elements
Group I car- Group II carriers Group III carriers
riers

OPERATING REVENUES AND EXPENSES

Transport revenues:
01 Passenger:
01.1 Passenger—first class .................................................... 31, 32 ........... 31, 32 ............... 31, 32.
01.2 Passenger—coach .......................................................... 31, 32 ........... 31, 32 ............... 31, 32.
05 Mail:
05.1 Priority ............................................................................. 31, 32 ........... 31, 32 ............... 31, 32.
05.2 Nonpriority ....................................................................... 31, 32 ........... 31, 32 ............... 31, 32.
05.3 Foreign ............................................................................ 31, 32 ........... 31, 32 ............... 31, 32.
06 Property:
06.1 Freight ............................................................................. 31, 32 ........... 31, 32 ............... 31, 32.
06.2 Excess passenger baggage ............................................ 31, 32 ........... 31, 32 ............... 31, 32.
07 Charter:
07.1 Passenger ....................................................................... 32 .................. 32 ..................... 32.
07.2 Property ........................................................................... 32 .................. 32 ..................... 32.
19 Air transport—other:
19.1 Reservation cancellation fees ......................................... 31, 32 ........... 31, 32 ............... 31, 32.
19.2 Miscellaneous operating revenues ................................. 31, 32 ........... 31, 32 ............... 31, 32.
08 Public service revenues (subsidy) ............................................ 48 .................. 48 ..................... 48.
Transport-related revenues and expenses:
09 In-flight sales:
09.1 Liquor and food—gross revenues ................................... 48 .................. 48 ..................... 48.
09.2 Movies and stereo—gross revenues .............................. 48 .................. 48 ..................... 48.
09.3 Other—gross revenues ................................................... 48 .................. 48 ..................... 48.
09.4 Liquor and food—depreciation expense ......................... 71 .................. 71 ..................... 71.
09.5 Liquor and food—other expense .................................... 71 .................. 71 ..................... 71.
09.6 Movies and stereo—depreciation expense ..................... 71 .................. 71 ..................... 71.
09.7 Movies and stereo—other expense ................................ 71 .................. 71 ..................... 71.
09.8 Other—depreciation expense ......................................... 71 .................. 71 ..................... 71.
09.9 Other—expense .............................................................. 71 .................. 71 ..................... 71.
10 Restaurant and food service (ground):
10.1 Gross revenues ............................................................... 48 .................. 48 ..................... 48.
10.2 Depreciation expense ..................................................... 71 .................. 71 ..................... 71.
10.3 Other expenses ............................................................... 71 .................. 71 ..................... 71.
11 Rents:
11.1 Gross revenues ............................................................... 48 .................. 48 ..................... 48.
11.2 Depreciation expense ..................................................... 71 .................. 71 ..................... 71.
11.3 Other expenses ............................................................... 71 .................. 71 ..................... 71.
12 Limousine service:
12.1 Gross revenues ............................................................... 48 .................. 48 ..................... 48.
12.2 Depreciation expense ..................................................... 71 .................. 71 ..................... 71.
12.3 Other expenses ............................................................... 71 .................. 71 ..................... 71.
13 Interchange sales:
13.1 Associated companies—gross revenues ........................ 48 .................. 48 ..................... 48.
13.2 Outside—gross revenues ................................................ 48 .................. 48 ..................... 48.
13.3 Associated companies—depreciation expense .............. 71 .................. 71 ..................... 71.
13.4 Associated companies—other expense .......................... 71 .................. 71 ..................... 71.
13.5 Outside—depreciation expense ...................................... 71 .................. 71 ..................... 71.
13.6 Outside—other expense ................................................. 71 .................. 71 ..................... 71.
14 General service sales:
14.1 Associated companies—gross revenues ........................ 48 .................. 48 ..................... 48.
14.2 Outside—gross revenues ................................................ 48 .................. 48 ..................... 48.
14.3 Associated companies—depreciation expense .............. 71 .................. 71 ..................... 71.
14.4 Associated companies—other expense .......................... 71 .................. 71 ..................... 71.

132
Office of the Secretary, DOT Section 7
Functional or financial activity to which applicable (00)
Objective classification of profit and loss elements
Group I car- Group II carriers Group III carriers
riers

14.5 Outside—depreciation expense ...................................... 71 .................. 71 ..................... 71.

14.6 Outside—other expense ................................................. 71 .................. 71 ..................... 71.
16 Substitute (replacement) service:
16.1 Gross revenues ............................................................... 48 .................. 48 ..................... 48.
16.2 Expense .......................................................................... 71 .................. 71 ..................... 71.
17 Air cargo service:
17.1 Gross revenues ............................................................... 48 .................. 48 ..................... 48.
17.2 Depreciation expense ..................................................... 71 .................. 71 ..................... 71.
17.3 Other expense ................................................................. 71 .................. 71 ..................... 71.
18 Other transport related items:
18.1 Gross revenues ............................................................... 48 .................. 48 ..................... 48.
18.2 Depreciation expense ..................................................... 71 .................. 71 ..................... 71.
18.3 Other expense ................................................................. 71 .................. 71 ..................... 71.
19 Other operating revenues:
19.1 Reservations cancellation fees ....................................... 31, 32 ........... 31, 32 ............... 31, 32.
19.9 Miscellaneous operating revenues ................................. 31, 32, 41 ..... 31, 32, 41 ......... 31, 32, 41.
Transport expenses:
21 General management personnel ............................................... 53, 69 ........... 53, 55, 64, 67, 53, 55, 61, 62, 63, 65,
68. 66, 68.
23 Pilots and copilots ..................................................................... 51 .................. 51 ..................... 51.
24 Other flight personnel ................................................................ 51, 69 ........... 51, 55 ............... 51, 55.
25 Maintenance labor:
25.1 Labor—airframes and other flight equipment ................. ....................... 52 ..................... 52.
25.2 Labor—aircraft engines ................................................... ....................... 52 ..................... 52.
25.6 Labor—flight equipment .................................................. 52 .................. ...........................
25.9 Labor—ground property and equipment ......................... 52, 53 ........... 52, 53 ............... 52, 53.
26 Aircraft and traffic handling personnel ...................................... 69 .................. ...........................
26.1 General aircraft and traffic handling personnel .............. ....................... 64, 67 ............... 61, 62, 63, 65.
26.2 Aircraft control personnel ................................................ ....................... 64 ..................... 61.
26.3 Passenger handling personnel ....................................... ....................... 64, 67 ............... 62, 65.
26.4 Cargo handling personnel ............................................... ....................... 64, 67 ............... 62, 65.
28 Trainees, instructors and unallocated shop labor:
28.1 Trainees and instructors ................................................. 51, 53, 69 ..... 51, 53, 55, 51, 53, 55, 61, 62, 63,
64,67, 68. 65, 66, 68.
28.2 Unallocated shop labor ................................................... 53 .................. 53 ..................... 53.
30 Communications personnel ....................................................... 53, 69 ........... 53, 55, 64, 67, 53, 55, 61, 62, 63, 65,
68. 66, 68.
31 Recordkeeping and statistical personnel .................................. 53, 69 ........... 53, 55, 64, 67, 53, 55, 61, 62, 63, 65,
68. 66, 68.
32 Lawyers and law clerks ............................................................. 69 .................. 68 ..................... 68.
33 Traffic solicitors ......................................................................... 69 .................. 67 ..................... 65.
34 Purchasing personnel ................................................................ 53, 69 ........... 53, 68 ............... 53, 68.
35 Other personnel ......................................................................... 53, 69 ........... 53, 55, 64, 67, 53, 55, 61, 62, 63, 65,
68. 66, 68.
36 Personnel expenses .................................................................. 51, 53, 69 ..... 51, 53, 55, 64, 51, 53, 55, 61, 62, 63,
67, 68. 65, 66, 68.
37 Communications purchased ...................................................... 53, 69 ........... 53, 55, 64, 67, 53, 55, 61, 62, 63, 65,
68. 66, 68.
38 Light, heat, power, and water ................................................... 53, 69 ........... 53, 55, 64, 67, 53, 55, 61, 62, 63, 65,
68. 66, 68.
39 Traffic commissions ................................................................... 69 .................. ...........................
39.1 Commissions—passenger .............................................. ....................... 67 ..................... 65.
39.2 Commissions—property .................................................. ....................... 67 ..................... 65.
40 Legal fees and expenses .......................................................... 69 .................. 68 ..................... 68.
41 Professional and technical fees and expenses ........................... 51, 53, 69 ..... 51, 53, 55, 64, 51, 53, 55, 61, 62, 63,
67, 68. 65, 66, 68
43 General services purchased:
43.1 Airframe and other flight equipment repairs ...................... ....................... 52 ..................... 52
43.2 Aircraft engine repairs ....................................................... 52 .................. 52 .....................
43.6 Flight equipment repairs .................................................... 52 .................. ...........................
43.7 Aircraft interchange charges ............................................. 51, 52 ........... 51, 52 ............... 51, 52
43.8 General interchange service charges ............................... 52, 69 ........... 52, 55, 64, 67, 52, 55, 61, 62, 63, 65,
68. 66, 68
43.9 Other services ................................................................... 52, 53, 69 ..... 52, 53, 55, 64, 52, 53, 55, 61, 62, 63,
67, 68. 65, 66, 68
44 Landing fees .............................................................................. 69 .................. 64 ..................... 61.
45 Aircraft fuels and oils ................................................................. 51 .................. ...........................
45.1 Aircraft fuels .................................................................... ....................... 51 ..................... 51.
45.2 Aircraft oils ...................................................................... ....................... 51 ..................... 51.
46 Maintenance materials:
46.1 Airframes and other flight equipment .............................. ....................... 52 ..................... 52

133
Section 7 14 CFR Ch. II (1–1–19 Edition)
Functional or financial activity to which applicable (00)
Objective classification of profit and loss elements
Group I car- Group II carriers Group III carriers
riers

46.2 Aircraft engines ............................................................... ....................... 52 ..................... 52.

46.6 Flight equipment .............................................................. 52 .................. ...........................
46.9 Ground property and equipment ..................................... 52, 53 ........... 52, 53 ............... 52, 53.
47 Rentals ...................................................................................... 51, 53, 69 ..... 51, 53, 55, 64, 51, 53, 55, 61, 62, 63,
67, 68. 65, 66, 68.
49 Shop and servicing supplies ..................................................... 53, 69 ........... 53, 64 ............... 53, 61.
50 Stationery, printing, and office supplies .................................... 53, 69 ........... 53, 55, 64, 67, 53, 55, 61, 62, 63, 65,
68. 66, 68.
51 Passenger food expense .......................................................... 69 .................. 55 ..................... 55.
53 Other supplies ........................................................................... 51, 53, 69 ..... 51, 53, 55, 64, 51, 53, 55, 61, 62, 63,
67, 68. 65, 66, 68.
54 Inventory adjustments ............................................................... 53, 69 ........... 53, 55 ............... 53, 55.
55 Insurance—general ................................................................... 51, 53, 69 ..... 51, 53, 68 ......... 51, 53, 68.
56 Insurance—traffic liability .......................................................... 69 .................. 55, 64 ............... 55, 62.
57 Employee benefits and pensions .............................................. 51, 53, 69 ..... 51, 53, 55, 64, 51, 53, 55, 61, 62, 63,
67, 68. 65, 66, 68.
58 Injuries, loss and damage ......................................................... 51, 53, 69 ..... 51, 53, 55, 64, 51, 53, 55, 61, 62, 63,
67, 68. 65, 66, 68.
59 Schedules and timetables ......................................................... 69 .................. 67 ..................... 65, 66.
60 Advertising ................................................................................. 69 .................. 67 ..................... 66.
61 Foreign exchange gains and losses ......................................... 69 .................. 68 ..................... 68.
62 Other promotional and publicity expenses ................................ 69 .................. 67 ..................... 66.
63 Interrupted trips expense .......................................................... 69 .................. 55 ..................... 55.
64 Memberships ............................................................................. 53, 69 ........... 53, 55, 64, 67, 53, 55, 61, 62, 63, 65,
68. 66, 68.
65 Corporate and fiscal expenses ................................................. 69 .................. 68 ..................... 68.
66 Uncollectible accounts ............................................................... 69 .................. 68 ..................... 68.
67 Clearance, customs and duties ................................................. 69 .................. 64 ..................... 61, 62.
68 Taxes—payroll ........................................................................... 51, 53, 69 ..... 51, 53, 55, 64, 51, 53, 55, 61, 62, 63,
67, 68. 65, 66, 68.
69 Taxes—other than payroll ......................................................... 51, 69 ........... 51, 68 ............... 51, 68.
71 Other expenses ......................................................................... 51, 53, 69 ..... 51, 53, 55, 64, 51, 53, 55, 61, 62, 63,
67, 68. 65, 66 68.
72 Aircraft overhauls ...................................................................... 52, 53 ........... 52, 53 ............... 52, 53.
72.1 Airworthiness allowance provisions—airframes .............. 52, 53 ........... 52, 53 ............... 52, 53.
72.3 Airframe overhauls deferred ........................................... 52, 53 ........... 52, 53 ............... 52, 53.
72.6 Airworthiness allowance provisions—aircraft engines .... 52, 53 ........... 52, 53 ............... 52, 53.
72.8 Aircraft engine overhauls deferred .................................. 52, 53 ........... 52, 53 ............... 52, 53.
73 Provisions for obsolescence and deterioration—expendable
parts:
73.1 Current provisions ........................................................... 70 .................. 70 ..................... 70.
73.2 Inventory decline credits ................................................. 70 .................. 70 ..................... 70.
74 Amortizations:
74.1 Developmental and preoperating expenses ................... 70 .................. 70 ..................... 70.
74.2 Other intangibles ............................................................. 70 .................. 70 ..................... 70.
75 Depreciation:
75.1 Airframes ......................................................................... 70 .................. 70 ..................... 70.
75.2 Aircraft engines ............................................................... 70 .................. 70 ..................... 70.
75.3 Airframe parts .................................................................. 70 .................. 70 ..................... 70.
75.4 Aircraft engine parts ........................................................ 70 .................. 70 ..................... 70.
75.5 Other flight equipment ..................................................... 70 .................. 70 ..................... 70.
75.6 Flight equipment .............................................................. 70 .................. 70 ..................... 70.
75.8 Maintenance equipment and hangars ............................ 70 .................. 70 ..................... 70.
75.9 General ground property ................................................. 70 .................. 70 ..................... 70.
76 Amortization expense, capital leases:
76.1 Amortization—capitalized flight equipment ..................... 70 .................. 70 ..................... 70
76.2 Amortization—capitalized other property and equipment 70 .................. 70 ..................... 70
77 Uncleared expense credits:
77.8 Uncleared interchange expense credits ......................... 53, 69 ........... 53, 55, 64, 67, 53, 55, 61, 62, 63, 65,
68. 66, 68.
77.9 Other uncleared expense credits .................................... 53, 69 ........... 53, 55, 64, 67, 53, 55, 61, 62, 63, 65,
68. 66, 68.
78 Direct maintenance—flight equipment ...................................... 52 .................. 52 ..................... 52.
79 Applied burden Dr/Cr:
79.6 Flight equipment .............................................................. 52 Dr, 53 Cr 52 Dr, 53 Cr ..... 52 Dr, 53 Cr.
79.8 General ground property ................................................. 52 Dr, 53 Cr 52 Dr, 53 Cr ..... 52 Dr, 53 Cr.
NONOPERATING INCOME AND EXPENSE
81 Interest on long-term debt and capital leases:
81.1 Interest expense, long-term debt .................................... 81 .................. 81 ..................... 81
81.2 Interest expense, capital leases ..................................... 81 .................. 81 ..................... 81
82 Other interest:
82.1 Interest expense, short-term debt ................................... 81 .................. 81 ..................... 81

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Office of the Secretary, DOT Section 8
Functional or financial activity to which applicable (00)
Objective classification of profit and loss elements
Group I car- Group II carriers Group III carriers
riers

83.1 Imputed interest capitalized—credit ................................ 81 .................. 81 ..................... 81

83.2 Imputed interest deferred—debit .................................... 81 .................. 81 ..................... 81
83.3 Imputed interest deferred—credit ................................... 81 .................. 81 ..................... 81
83.4 Interest capitalized—credit .............................................. 81 .................. 81 ..................... 81
84.1 Amortization of discount and expense on debt .............. 81 .................. 81 ..................... 81
84.2 Amortization of premium on debt .................................... 81 .................. 81 ..................... 81
85 Foreign exchange gains and losse ........................................... 81 .................. 81 ..................... 81
89 Other nonoperating income and expense-net:
80.0 Interest income ................................................................ 81 .................. 81 ..................... 81
86.0 Income from nontransport ventures ................................ 81 .................. 81 ..................... 81
87.0 Equity in income of investor controlled companies ........ 81 .................. 81 ..................... 81
88.1 Intercompany transaction adjustment-credit ................... 81 .................. 81 ..................... 81
88.2 Dividend income .............................................................. 81 .................. 81 ..................... 81
88.3 Net unrealized gain or loss on marketable equity secu- 81 .................. 81 ..................... 81.
rities.
88.4 Net realized gain or loss on marketable equity securi- 81 .................. 81 ..................... 81.
ties.
88.5 Capital gains and losses—operating property ................ 81 .................. 81 ..................... 81.
88.6 Capital gains and losses—other ..................................... 81 .................. 81 ..................... 81.
88.7 Unapplied cash discounts ............................................... 81 .................. 81 ..................... 81.
88.9 Other miscellaneous nonoperating credits ..................... 81 .................. 81 ..................... 81.
89.1 Intercompany transaction adjustment—debit .................. 81 .................. 81 ..................... 81.
89.9 Other miscellaneous nonoperating debits ...................... 81 .................. 81 ..................... 81.
INCOME TAXES
91 Provision for income taxes:
91.1 Income taxes before investment tax credits ................... 91 .................. 91 ..................... 91.
91.2 Investment tax credits utilized ......................................... 91 .................. 91 ..................... 91.
92 Provisions for deferred income taxes:
92.1 Current provisions for deferred taxes ............................. 91 .................. 91 ..................... 91.
92.2 Application of deferred taxes .......................................... 91 .................. 91 ..................... 91.
92.3 Adjustment of deferred taxes .......................................... 91 .................. 91 ..................... 91.
93 Investment tax credits deferred and amortized:
93.1 Investment tax credits deferred ...................................... 91 .................. 91 ..................... 91.
93.2 Amortization of deferred investment tax credits ............. 91 .................. 91 ..................... 91.
94 Excess profits taxes .................................................................. 91 .................. 91 ..................... 91.
DISCONTINUED OPERATIONS
95 Discontinued operations:
95.1 Income from discontinued operations ............................. 96 .................. 96 ..................... 96.
95.2 Loss on disposal of discontinued operations .................. 96 .................. 96 ..................... 96.
EXTRAORDINARY ITEMS
96 Extraordinary items ................................................................... 97 .................. 97 ..................... 97.
97 Income taxes applicable to extraordinary items ....................... 97 .................. 97 ..................... 97.
CHANGES IN ACCOUNTING PRINCIPLES
98 Cumulative effects of change in accounting principles ............. 98 .................. 98 ..................... 98.

[ER–755, 37 FR 19726, Sept. 21, 1972, as amended by ER–781, 37 FR 25223, Nov. 29, 1972; 37 FR
28277, Dec. 22, 1972; ER–797, 38 FR 10926, May 3, 1973; ER–841, 39 FR 11995, Apr. 2, 1974; ER–948,
41 FR 12295, Mar. 25, 1976; ER–980, 42 FR 35, Jan. 3, 1977; ER–1013, 42 FR 37515, July 21, 1977;
ER–1401, 50 FR 242, Jan. 3, 1985; Amdt. 241–56, 52 FR 9129, Mar. 23, 1987; Amdt. 241–58, 54 FR
5594, Feb. 6, 1989]

Section 8 General functional activities and for subdivi-

sion of both to provide varying degrees
(a) The profit and loss accounts are
designed to reflect, through natural of detail for air carriers of differing ac-
groupings, the elements entering into counting capacities and/or require-
the derivation of income or loss accru- ments.
ing to the proprietary interests during (c) The detailed objective accounts
each accounting period. established for each air carrier group,
(b) The prescribed system of accounts by the dual subdivision of profit and
provides for the co-ordinate grouping loss elements in terms of both natural
of all revenues and expenses in terms of objectives and functional activities,
both major natural objectives and

135
Section 9 14 CFR Ch. II (1–1–19 Edition)
are set forth in section 7, Chart of Prof- counting year. Income taxes applicable
it and Loss Accounts. to special income credits or debits re-
(d) The prescribed system of accounts corded in profit and loss classification
provides generally that profit and loss 9700 Extraordinary Items, and other
elements shall be grouped in accord- material income tax items not allo-
ance with their inherent characteris- cable to income of the current account-
tics within the following primary clas- ing year, shall not be included in this
sifications: classification but in profit and loss
(1) Operating revenues. (i) This pri- classification 9700 Extraordinary
mary classification shall include reve- Items.
nues of a character usually and ordi- (5) Discontinued operations. This pri-
narily derived from the performance of mary classification (9600) shall include
air transportation and air transpor- earnings and losses of discontinued
tation-related services, which relate to nontransport operations and gains or
services performed during the current losses from the disposal of non-
accounting year, and adjustments of a transport operations the result of
recurrent nature applicable to services which are customarily accounted for
performed in prior accounting years. through profit and loss objective ac-
(ii) Operating revenues shall be sub- counts 86, 87 and 88.2.
classified in terms of functional activi- (6) Extraordinary items. This primary
ties as provided in section 9. classification (9700) shall include mate-
(2) Operating expenses. (i) This pri- rial items characterized by their un-
mary classification shall include ex- usual nature and infrequent occur-
penses of a character usually and ordi- rence.
narily incurred in the performance of (7) Cumulative effect of changes in ac-
air transportation and air transpor- counting principles. This primary classi-
tation-related services, which relate to fication (9800) shall include the cumu-
services performed during the current lative effect of material changes in ac-
accounting year, and adjustments of a counting principles.
recurring nature attributable to serv- [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
ices performed in prior accounting ed by ER–841, 39 FR 11997, Apr. 2, 1974; ER–
years. 980, 42 FR 36, Jan. 3, 1977, Amdt. 241–58, 54 FR
(ii) Operating expenses shall be sub- 5594, Feb. 6, 1989]
classified in terms of functional activi-
ties as provided in sections 10 and 11. Section 9 Functional Classification—
Operating Revenues
(3) Nonoperating income and expense—
net. This primary classification (8100) 3900 Transport Revenues.
shall include income and loss incident
This classification is prescribed for
to commercial ventures not inherently
all air carrier groups and shall include
related to the performance of the com-
all revenues from the air transpor-
mon carrier air transport services of
tation of traffic of all classes. It shall
the accounting entity; other revenues
consist of the following subclassifica-
and expenses attributable to financing
tions:
or other activities which are extra-
neous to and not an integral part of air 3100 Scheduled Services.
transportation or its incidental serv- This subclassification shall include reve-
ices; and special recurrent items of a nues from the transportation by air of indi-
nonperiod nature. vidual passengers or cargo shipments (as op-
(4) Income taxes for current period. posed to charter flights) pursuant to pub-
This primary classification (9100) shall lished schedules, including extra sections
include provisions for Federal, state, and other flights performed as an integral
local, and foreign taxes which are part of published flight schedules.
based upon the net income of the air 3200 Nonscheduled Services.
carrier for the current period together
This subclassification shall include reve-
with refunds for excess profits credits nues from the transportation by air of traffic
or carryback of losses and increases or applicable to the performance of aircraft
reductions of income taxes of prior charters, and other air transportation serv-
years of a magnitude which will not ices not part of services performed pursuant
distort net income of the current ac- to published flight schedules (but shall not

136
Office of the Secretary, DOT Section 10
include data applicable to flights performed 5400 Maintenance.
as extra sections to published flight sched-
ules, which shall be reported in the sub-
(a) This function shall include all ex-
classification 3100 Scheduled Services). penses, both direct and indirect, spe-
cifically identifiable with the repair
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- and upkeep of property and equipment
ed by ER–1401, 50 FR 243, Jan. 3, 1985] as may be required to meet operating
and safety standards; in inspecting or
4800 Transport-Related Revenues. checking property and equipment in
(a) This classification is prescribed accordance with prescribed operational
for all air carrier groups and shall in- standards; and in polishing or cleaning
clude all revenues from the United property and equipment when such
States Government as direct grants or polishing or cleaning is not an inci-
aids for providing air transportation dental routine in connection with the
facilities and all revenues from serv- normal productive use of property and
ices which grow from and are inci- equipment.
(b) This function shall include the
dental to the air transportation serv-
cost of direct labor, materials, and out-
ices performed by the air carrier.
side services and maintenances over-
(b) Revenues related to services of a head or other costs specifically associ-
magnitude or scope beyond an inci- ated with maintenance operations re-
dental adjunct to air transportation gardless of the location at which in-
services shall not be included in this curred.
classification (see section 1–6(b)). Reve- (c) This function shall not include
nues applicable to such services shall costs incurred in the construction, im-
be included in profit and loss classifica- provement, or modification of property
tion 8100, Nonoperating Income and Ex- and equipment even when necessitated
pense-Net, and the accounting modified to meet new or changed operating or
to conform with that of a nontransport safety standards. Such costs shall be
division whether or not the service is charged to appropriate property and
organized as a nontransport division. equipment accounts.
(d) Costs incurred by aircraft han-
[ER–841, 39 FR 11997, Apr. 2, 1974] dling personnel in visual inspection,
minor check and servicing of aircraft,
Section 10 Functional Classification—
Operating Expenses of Group I Air while in line service, shall not be in-
Carriers cluded in this function when performed
as an incidental routine during the
5100 Flying Operations. normal productive use of aircraft but
shall be included in function 6900 Gen-
(a) This function shall include ex- eral Services and Administration.
penses incurred directly in the in-flight (e) Each Group I air carrier shall
operation of aircraft and expenses at- maintain the following subfunctions:
taching to the holding of aircraft and
aircraft operational personnel in readi- 5200 Direct Maintenance.
ness for assignment to an in-flight sta- a. This subfunction shall include the costs
tus. of labor, materials and outside services con-
(b) This function shall not include ex- sumed directly in periodic maintenance op-
erations and the maintenance and repair of
penses incurred in repairing, servicing property and equipment, of all types and
or storing aircraft, expenses incurred classes, regardless of the location at which
on the ground in protecting and con- incurred, exclusive of costs specifically iden-
trolling the inflight movement of air- tified with maintenance property and equip-
craft, or the compensation of ground ment expenses in balance sheet accounts 1630
personnel and other expenses incurred Equipment, 1639 Improvements to Leased
Buildings and Equipment, and 1640.1 Mainte-
in scheduling or preparing aircraft or nance Buildings and Improvements which
aircraft operational personnel for shall be included in subfunction 5300 Mainte-
flight assignment. Such expenses shall nance Burden.
be included in function 5400 Mainte- b. The cost of direct labor, materials and
nance or function 6900 General Services supplies, as well as outside repairs, used in
the maintenance and repair of property and
and Administration.
equipment shall be recorded on running job

137
Section 10 14 CFR Ch. II (1–1–19 Edition)
orders or tickets covering repairs and peri- Standard burden rates may be employed for
odic inspections except servicing. Where a quarterly allocations of maintenance burden
number of like items are maintained on a provided the rates are reviewed at the close
group basis, it will be necessary to maintain of each calendar year. When the actual bur-
only one job order for each group. den rate for the year differs materially from
c. When supervisory personnel such as crew the standard burden rate applied, adjustment
chiefs, inspectors and foremen are engaged shall be made to reflect the actual cost in-
in direct labor in connection with equipment curred for the full accounting year. Alloca-
maintenance, a proportionate part of their tions of maintenance burden to capital
salaries and wages shall be charged to the projects, and service sales to others shall be
appropriate direct labor accounts. The cost made through the individual maintenance
of transporting property to and from shops burden objective accounts, except that the
for repair and maintenance shall be included
air carrier may make such allocations by
as a part of the cost of the materials and
credits to profit and loss account 77
supplies used in the repair or maintenance of
Uncleared Expense Credits provided that use
such property and equipment. Transpor-
tation charges, customs and duties, etc.; of that account will not undermine the sig-
shall be included in the cost of repairs and nificance of the individual maintenance bur-
maintenance operations when made by out- den objective accounts in terms of the ex-
side parties. pense levels associated with the air carrier’s
air transport services. Maintenance burden
5300 Maintenance Burden. allocated to overhauls shall be credited to
a. This subfunction shall include all over- profit and loss subaccounts 5372.1 or 5372.6
head or general expenses which are specifi- Airworthiness Allowance Provisions.
cally identified with activities involved in [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
periodic maintenance operations and the ed by ER–980, 42 FR 36, Jan. 3, 1977; ER–1027,
maintenance and repair of property and 42 FR 60128, Nov. 25, 1977; ER–1188, 45 FR
equipment of all types and classes, including 48870, July 22, 1980; Amdt. 241–58, 54 FR 5595,
the cost of direct labor, materials and out- Feb. 6, 1989]
side services identified with the maintenance
and repair of maintenance property and
equipment included in balance sheet ac-
6900 General Services and Administra-
counts 1630 Equipment, 1639 Improvements tion.
to Leased Buildings and Equipment, and This function shall include expenses
1604.1 Maintenance Buildings and Improve- incurred on the ground in controlling
ments. It shall include expenses specifically
related to the administration of mainte- and protecting the in-flight movement
nance stocks and stores, the keeping of per- of aircraft; landing, handling, or serv-
tinent maintenance operations records, and icing aircraft on the ground; selling
the scheduling, controlling, planning and su- transportation; servicing and handling
pervision of maintenance operations. traffic of all classes; promoting the de-
b. This subfunction shall not include ex- velopment of traffic; administering op-
penses related to financial accounting, pur-
chasing or other overhead activities which erations generally; and all other ex-
are of general applicability to all operating penses not otherwise provided for in
functions. Such expenses shall be included in functions 5100 Flying Operations, 5400
function 6900 General Services and Adminis- Maintenance and 7000 Depreciation and
tration. Amortization.
c. This subfunction shall include only
those expenses attributable to the current 7000 Depreciation and Amortization.
air transport operations of the air carrier.
Maintenance burden associated with capital This function shall include all
projects of the air carrier, other than over- charges to expense to record losses suf-
hauls of airframes and aircraft engines shall fered through current exhaustion of
be allocated to such projects. Maintenance
the serviceability of property and
burden incurred in common with services to
other companies and operating entities shall equipment due to wear and tear from
be allocated to such services on a pro rata use and the action of time and the ele-
basis unless the services are so infrequent in ments, which are not replaced by cur-
performance or small in volume as to result rent repairs, as well as losses in serv-
in no appreciable demands upon the air car- iceability caused by obsolescence,
rier’s maintenance facilities. When over- supersession, discoveries, change in de-
hauls of airframes or aircraft engines are as
a consistent practice accounted for on an ac-
mand or actions by public authority. It
crual basis instead of being expensed di- shall also include charges for the amor-
rectly, maintenance burden shall be allo- tization of capitalized developmental
cated to such overhauls on a pro rata basis. and preoperating costs, leased property

138
Office of the Secretary, DOT Section 11
under capital leases and other intan- craft, or compensation of ground per-
gible assets applicable to the perform- sonnel and other expenses incurred in
ance of air transportation. (See sec- scheduling or preparing aircraft or air-
tions 6–1696, 1830 and 1890.) craft operational personnel for flight
[Amdt. 241–58, 54 FR 5595, Feb. 6, 1989] assignment. Such expenses shall be in-
cluded in function 5400 Maintenance, or
7100 Transport-Related Expenses. function 6400 Aircraft and Traffic Serv-
icing.
(a) This function shall include all ex-
pense items applicable to the genera- 5400 Maintenance.
tion of transport-related revenues in-
cluded in section 9, Function 4800. (a) This function shall include all ex-
(b) Such expense related to services penses, both direct and indirect, in-
of a magnitude or scope beyond an inci- curred in the repair and upkeep of
dental adjunct to air transportation property and equipment as may be re-
services shall not be included in this quired to meet operating and safety
function (see section 1–6(b)). Expenses standards; in inspecting or checking
applicable to the generation of such property and equipment in accordance
revenues shall be included in profit and with prescribed operational standards;
loss classification 8100, Nonoperating and in polishing or cleaning property
Income and Expense-Net, and the ac- and equipment when such polishing or
counting modified to conform with cleaning is not an incidental routine in
that of a nontransport division wheth- connection with the normal productive
er or not the service is organized as a use of property and equipment.
nontransport division. (b) This function shall include the
(c) This function shall also include cost of direct labor, materials, and out-
expenses representing increases in side services and maintenance over-
costs incurred in common with the air head or other costs associated with
transport service, to the extent such maintenance operations regardless of
increases result from the added trans- the location at which incurred.
port-related services, as well as a pro (c) This function shall not include
rata share of the costs incurred by the costs incurred in the construction, im-
air carrier in operating facilities which provement, or modification of property
are used jointly with others. As a gen- and equipment even when necessitated
eral rule, this function shall not in- to meet new or changed operating or
clude those expenses, other than joint safety standards. Such costs shall be
facilities costs, which would remain as charged to appropriate property and
an essential part of the air transport equipment accounts.
services if the transport-related serv- (d) Costs incurred by aircraft han-
ices were terminated. dling personnel in visual inspection,
minor check and servicing of aircraft,
[ER–841, 39 FR 11997, Apr. 2, 1974, as amended
by ER–1401, 50 FR 243, Jan. 3, 1985] while in line service, shall not be in-
cluded in this function when performed
Section 11 Functional Classification— as an incidental routine during the
Operating Expenses of Group II and normal productive use of aircraft but
Group III Air Carriers shall be included in function 6400 Air-
craft and Tariff Servicing.
5100 Flying Operations. (e) Both Group II air carriers and
(a) This function shall include ex- Group III air carriers shall maintain
penses incurred directly in the in-flight the following subfunctions:
operation of aircraft and expenses at-
5200 Direct Maintenance.
taching to the holding of aircraft and
aircraft operational personnel in readi- a. This subfunction shall include the costs
ness for assignment to an in-flight sta- of labor, materials and outside services con-
tus. sumed directly in periodic maintenance op-
erations and the maintenance and repair of
(b) This function shall not include ex-
property and equipment of all types and
penses incurred in repairing, servicing classes, regardless of the location at which
or storing aircraft, expenses incurred incurred, exclusive of maintenance property
on the ground in protecting and con- and equipment included in balance sheet ac-
trolling the in-flight movement of air- counts 1630 Equipment, 1639 Improvements

139
Section 11 14 CFR Ch. II (1–1–19 Edition)
to Leased Buildings and Equipment, and rier’s maintenance facilities. When over-
1640.1 Maintenance Buildings and Improve- hauls of airframes or aircraft engines are as
ments, which shall be included in subfunc- a consistent practice accounted for on an ac-
tion 5300 Maintenance Burden. crual basis instead of being expensed di-
b. The cost of direct labor, materials and rectly, maintenance burden shall be allo-
supplies, as well as outside repairs, used in cated to such overhauls on a pro rata basis.
the maintenance and repair of property and Standard burden rates may be employed for
equipment shall be recorded on running job quarterly allocations of maintenance burden
orders or tickets covering repairs and peri- provided the rates are reviewed at the close
odic inspections except servicing. Where a of each calendar year. When the actual bur-
number of like items are maintained on a den rate for the year differs materially from
group basis, it will be necessary to maintain the standard burden rate applied, adjustment
only one job order for each group. shall be made to reflect the actual costs in-
c. When supervisory personnel such as crew curred for the full accounting year. Alloca-
chiefs, inspectors and foremen are engaged tions of maintenance burden to capital
in direct labor in connection with equipment projects, and service sales to others shall be
maintenance, a proportionate part of their made through the individual maintenance
salaries and wages shall be charged to the burden objective accounts, except that the
appropriate direct labor accounts. The cost air carrier may make such allocations by
of transporting property to and from shops credits to profit and loss account 77
for repair and maintenance shall be included Uncleared Expense Credits under such cir-
as a part of the cost of the materials and cumstances in which the use of that account
supplies used in the repair or maintenance of will not undermine the significance of the
such property and equipment. Transpor- individual maintenance burden objective ac-
tation charges, customs and duties, etc., counts in terms of the expense levels associ-
shall be included in the cost of repairs and ated with the air carrier’s air transport serv-
maintenance operations when made by out- ices. Maintenance burden allocated to over-
side parties. hauls shall be credited to profit and loss sub-
5300 Maintenance Burden. accounts 5372.1 or 5372.6 Airworthiness Al-
lowance Provisions.
a. This subfunction shall include all over-
head or general expenses used directly in the [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
activities involved in periodic maintenance ed by ER–980, 42 FR 36, Jan. 3, 1977; ER–1401,
operations and the maintenance and repair 50 FR 244, Jan. 3, 1985; Amdt. 241–58, 54 FR
of property and equipment of all types and 5595, Feb. 6, 1989]
classes, including the cost of direct labor,
materials and outside services used in the 5500 Passenger Service.
maintenance and repair of maintenance This function shall include all ex-
property and equipment included in balance
penses chargeable directly to activities
sheet accounts 1630 Equipment, 1639 Im-
provements to Leased Buildings and Equip- contributing to the comfort, safety and
ment, and 1640.1 Maintenance Buildings and convenience of passengers while in
Improvements. It shall include expenses re- flight and when flights are interrupted.
lated to the administration of maintenance It shall not include expenses incurred
stocks and stores, the keeping of pertinent in enplaning or deplaning passengers,
maintenance operation records, and the or in securing and selling passenger
scheduling, controlling, planning and super- transportation and caring for pas-
vision of maintenance operations.
b. This subfunction shall not include ex- sengers prior to entering a flight sta-
penses related to financial accounting, pur- tus. Such expenses shall be included in
chasing or other overhead activities which functions 6400 Aircraft and Traffic
are of general applicability to all operating Servicing and 6700 Promotion and
functions. Such expenses shall be included in Sales, respectively.
function 6800 General and Administrative.
c. This subfunction shall include only 6400 Aircraft and Traffic Servicing.
those expenses attributable to the current
air transport operations of the air carrier. (a) This function shall include the
Maintenance burden associated with capital compensation of ground personnel and
projects of the air carrier, other than over- other expenses incurred on the ground
hauls of airframes and aircraft engines, shall incident to the protection and control
be allocated to such projects. Maintenance of the in-flight movement of aircraft,
burden incurred in common with services to scheduling and preparing aircraft oper-
other companies and operating entities shall
be allocated to such services on a pro rata ational crews for flight assignment,
basis unless the services are so infrequent in handling and servicing aircraft while in
performance or small in volume as to result line operation, servicing and handling
in no appreciable demands upon the air car- traffic on the ground, subsequent to

140
Office of the Secretary, DOT Section 11
the issuance of documents establishing the ground subsequent to the issuance of
the air carrier’s responsibility to pro- documents establishing the air carrier’s re-
vide air transportation, and in-flight sponsibility to provide air transportation.
Expenses attributable to the operation of
expenses of handling and protecting all
airport traffic offices shall also be included
nonpassenger traffic including pas- in this subfunction; expenses attributable to
senger baggage. reservations centers shall be excluded. It
(b) This function shall include only shall include expenses incurred in both en-
those aircraft servicing and cleaning planing and deplaning traffic as well as ex-
expenses which are incurred as an inci- penses incurred in preparation for
dental routine during the normal pro- enplanement and all expenses subsequent to
ductive use of aircraft in line oper- deplanement.
ations. It shall not include expenses in- b. This subfunction shall also include costs
incurred in handling and protecting all non-
curred in the repair and maintenance
passenger traffic while in flight. It shall not
of property and equipment, or in include expenses incurred in contributing to
checking or inspecting property and the comfort, safety and convenience of pas-
equipment in accordance with pre- sengers while in flight or when flights are in-
scribed operational standards when terrupted. Such expenses shall be included in
such activities are not an incidental function 5500 Passenger Service.
routine during the normal productive
6300 Servicing Administration.
use of aircraft. Such expenses shall be
included in function 5400 Maintenance. a. This subfunction shall include expenses
(c) This function shall not include ex- of a general nature incurred in performing
penses incurred in securing traffic, ar- supervisory or administrative activities re-
ranging aircraft space for traffic sold lating solely and in common to subfunctions
6100 Aircraft Servicing and 6200 Traffic Serv-
or in issuing documents confirming icing.
traffic sales and establishing the air b. This subfunction shall not include super-
carrier’s responsibilities to provide air visory or administrative expenses which can
transportation. Such expenses shall be be charged directly to subfunction 6100 Air-
included in function 6700 Promotion craft Servicing or subfunction 6200 Traffic
and Sales. However, for purposes of Servicing. Nor shall this subfunction include
this system of accounts, expenses at- expenses of a general administrative char-
tributable to the operation of airport acter and of significant amount regularly
contributing to operating functions gen-
traffic offices, excluding reservation
erally. Such expenses shall be included in
centers, shall be included in this func- function 6800 General and Administrative.
tion. Expenses attributable to the oper- c. The expenses in this subfunction shall be
ation of reservation or aircraft space recorded separately for each geographic loca-
control centers shall be included in tion at which incurred.
function 6700 Promotion and Sales re-
gardless of the location at which in- 6700 Promotion and Sales.
curred. (a) This function shall include ex-
(d) Group III air carriers shall further penses incurred in creating public pref-
subdivide this function as follows: erence for the air carrier and its serv-
6100 Aircraft Servicing. ices; stimulating the development of
the air transport market; and pro-
a. This subfunction shall include the com- moting the air carrier or developing air
pensation of ground personnel and other ex-
transportation generally.
penses incurred on the ground incident to
the protection and control of the in-flight (b) It shall also include the com-
movement of aircraft; scheduling or pre- pensation of personnel and other ex-
paring aircraft operational crews for flight penses incident to documenting sales;
assignment; landing and parking aircraft; expenses incident to controlling and
visual inspection, routine checking, serv- arranging or confirming aircraft space
icing and fueling of aircraft; and other ex- for traffic sold; expenses incurred in di-
penses incurred on the ground incident to rect sales solicitation and selling of
readying for arrival and takeoff of aircraft.
aircraft space; and expenses incurred in
6200 Traffic Servicing. developing tariffs and schedules for
a. This subfunction shall include the com- publication.
pensation of ground personnel and other ex- (c) This function shall not include ex-
penses incurred on the ground incident to penses incurred in handling traffic sub-
handling traffic of all types and classes on sequent to the issuance of documents

141
Section 11 14 CFR Ch. II (1–1–19 Edition)
establishing the air carrier’s responsi- which shall be included in function 6700
bility to provide air transportation Promotion and Sales. Nor shall this
which shall be included in functions function include expenses, regularly
5500 Passenger Service and 6400 Air- applicable in large part to a specific
craft and Traffic Servicing. However, function, which contribute only inci-
for purposes of this system of accounts, dentally, or in small amount, to var-
expenses attributable to the operation ious other functions. Such expenses
of airport traffic offices, excluding res- when of such size as will not distort
ervation centers, shall be included in the function to which predominantly
function 6400 Aircraft and Traffic Serv- related, shall be included in the spe-
icing. Expenses attributable to the op- cific function to which regularly re-
eration of reservation or aircraft space lated. However, expenses of a general
control centers shall be included in administrative character and of signifi-
function 6700 Promotion and Sales re- cant amount regularly contributing to
gardless of the location at which in- operating functions generally shall be
curred. included in this function.
(d) Group III air carriers shall sub-
divide this function as follows: 7000 Depreciation and Amortization.
6500 Reservations and Sales.
This function shall include all
charges to expense to record losses suf-
This subfunction shall include expenses in- fered through current exhaustion of
cident to direct sales solicitation, docu- the serviceability of property and
menting sales, controlling and arranging or
confirming aircraft space sold, and in devel-
equipment due to wear and tear from
oping tariffs and schedules for publication. It use and the action of time and the ele-
shall also include expenses attributable to ments, which are not replaced by cur-
the operation of city traffic offices. Expenses rent repairs, as well as losses in serv-
incurred in stimulating traffic and pro- iceability occasioned by obsolescence,
moting the air carrier or air transportation supersession, discoveries, change in
generally shall not be included in this sub- popular demand or action by public au-
function but in subfunction 6600 Advertising thority. It shall also include charges
and Publicity.
for the amortization of capitalized de-
6600 Advertising and Publicity. velopmental and preoperating costs,
a. This subfunction shall include expenses leased property under capital leases,
incurred in creating public preference for the and other intangible assets applicable
air carrier and its services; stimulating de- to the performance of air transpor-
velopment of the air transport market; and tation. (See sections 6–1696, 1830 and
promoting the air carrier or developing air 1890.)
transportation generally.
b. This subfunction shall not include ex- [Amdt. 241–58, 54 FR 5595, Feb. 6, 1989]
penses incurred in direct sales solicitation
and selling of aircraft space. Such costs shall 7100 Transport-Related Expenses.
be included in subfunction 6500 Reservations (a) This function shall include all ex-
and Sales. pense items applicable to the genera-
tion of transport-related revenues in-
6800 General and Administrative. cluded in section 9, Function 4800.
(a) This function shall include ex- (b) Such expense related to services
penses of a general corporate nature of a magnitude or scope beyond an inci-
and expenses incurred in performing dental adjunct to air transportation
activities which contribute to more services shall not be included in this
than a single operating function such function (see section 1–6(b)). Expenses
as general financial accounting activi- applicable to the generation of such
ties, purchasing activities, representa- revenues shall be included in profit and
tion at law, and other general oper- loss classification 8100, Nonoperating
ational administration, which are not Income and Expense-Net, and the ac-
directly applicable to a particular counting modified to conform with
function. that of a nontransport division wheth-
(b) This function shall not include ex- er or not the service is organized as a
penses incurred directly in promoting nontransport division.
traffic or in promoting relations of the (c) This function shall also include
air carrier generally with the public expenses representing increases in

142
Office of the Secretary, DOT Section 12
costs incurred in common with the air transport-related services and trans-
transport service, to the extent such port services, or transport functions,
increases result from the added trans- (iii) balance sheet and profit and loss
port-related services, as well as a pro elements, and (iv) the air carrier and
rata share of the costs incurred by the others, when the expenses are incurred
air carrier in operating facilities which initially by or for the benefit of the air
are used jointly with others. As a gen- carrier. At the option of the air carrier,
eral rule, this function shall not in- standard rates applicable to each ob-
clude those expenses, other than joint jective account comprising a particular
facilities, costs, which would remain as pool of expenses subject to assignment
an essential part of the air transport between two or more activities, may be
services if the transport-related serv- established for proration purposes, pro-
ices were terminated. vided the rates established are predi-
cated upon the experience of the air
[ER–841, 39 FR 11997, Apr. 2, 1974, as amended
carrier and are reviewed and modified
by ER–1401, 50 FR 244, Jan. 3, 1985]
as appropriate at least once each year.
Section 12 Objective Classification—
Operating Revenues and Expenses TRANSPORT REVENUES

00 General Instructions. 01 Passenger.

(a) Basic objective accounts, applica- (a) Record here revenue from the
ble to all air carrier groups, are estab- transportation of passengers by air, in-
lished for recording all revenue and ex- cluding infants transported at reduced
pense elements. These basic accounts fares, berth charges, surcharges for
are in certain areas subdivided to pro- premium services and other similar
charges. Revenue from airline employ-
vide greater detail for indicated air
ees, officers and directors, or other per-
carrier groups.
(b) Each air carrier shall credit the sons, except for ministers of religion,
gross revenues accruing from services who are traveling under reduced-rate
transportation authorized by 49 U.S.C.
ordinarily associated with air transpor-
41511(a) and 14 CFR part 223, as well as
tation and transportation-related serv-
revenue from travel agents, cargo
ices to the appropriate account estab-
agents and tour conductors traveling
lished for each revenue source. Ex-
at reduced fares, and revenues from
penses incident to transport and trans-
service charges for passengers trav-
port-related services shall be charged
eling on a nonrevenue basis shall be re-
to the accounts established in this sec-
corded in objective account 19 Air
tion in accordance with the objectives
Transport—Other.
served by each expenditure. However,
(b) This account shall be subdivided
direct costs of forwarding traffic as a
as follows by all air carrier groups:
result of interrupted trips, and refunds
of sales, shall be charged to the appli- 1.1 Passenger—First Class.
cable revenue account. Record here revenue from the air transpor-
(c) To the end that the integrity of tation of passengers moving at either stand-
the prescribed objective accounts shall ard fares or premium fares, or at reduced
not be impaired, each air carrier shall: fares not predicated upon the use of aircraft
(1) Charge the appropriate account space specifically separated from first class,
prescribed for each service purchased and for whom standard or premium quality
or expense element incurred expressly services are provided.
for the benefit of the air carrier regard- 1.2 Passenger—Coach.
less of whether incurred directly by the
Record here revenue from the air transpor-
air carrier or through an agent or other
tation of passengers moving at special fares
intermediary, and (2) except as pro- reduced from the first class or premium fares
vided in objective account 77, which are predicated upon both the oper-
Uncleared Expense Credits, credit or ation of specifically designated aircraft
charge, as appropriate, the account space and a reduction in the quality of serv-
prescribed for each expense element ice regularly and ordinarily provided.
which may be involved in distributions [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
of expenses between (i) separate oper- ed by ER–980, 42 FR 36, Jan. 3, 1977; 60 FR
ating entities of the air carrier, (ii) 66723, Dec. 26, 1995]

143
Section 12 14 CFR Ch. II (1–1–19 Edition)
05 Mail. 07 Charter.
(a) Record here revenue from the (a) Record here the revenue from
transportation by air of both United nonscheduled air transport services
States and foreign mail. (except as otherwise required by profit
(b) Fines and penalties imposed by and loss Account 86 Income from Non-
the United States Government and for- transport Ventures) where the party
eign governments in connection with receiving the transportation obtains
the carriage of mail shall not be exclusive use of an aircraft at either
charged to this account but to profit published tariff or other contractual
and loss account 89.9 Other Miscella- rates and the remuneration paid by the
neous Nonoperating Debits. party receiving transportation accrues
(c) This account shall be subdivided directly to, and the responsibility for
as follows by all air carrier groups: providing transportation is that of, the
5.1 Priority. accounting air carrier. This account
shall also include revenues from air
Record here revenue from United States
mail for which transportation by air is pro- transport services other than inter-air-
vided on a priority basis. port services, whether scheduled or
nonscheduled, where each passenger or
5.2 Nonpriority. shipment receiving transportation is
Record here revenue from United States individually documented and does not
mail for which transportation by air is pro- obtain exclusive use of an aircraft.
vided on a space available basis. (b) This account shall not include
5.3 Foreign. revenues or fees received from other
air carriers for flight facilities fur-
Record here revenue from the transpor-
tation by air of mail other than United
nished or operated by the accounting
States mail. air carrier where the remuneration
paid by the party receiving transpor-
[ER–980, 42 FR 36, Jan. 3, 1977, as amended by
Amdt. 241–58, 54 FR 5595, Feb. 6, 1989]
tation accrues directly to, and the re-
sponsibility for providing transpor-
06 Property. tation is that of other air carriers.
Such revenues and related expenses
(a) Record here revenue from the
shall be included in profit and loss ac-
transportation by air of property in-
counts 11, Rents; 13, Interchange Sales;
cluding excess passenger baggage.
(b) Revenues resulting from services or 18, Other Transport-Related Reve-
incidental to the transportation serv- nues and Expenses.
ices such as collection of shipper’s in- (c) This account shall be subdivided
terest insurance premiums and charges as follows by all air carrier groups:
and fees for service such as pick-up and 7.1 Passenger.
delivery, assembly and distribution,
storage and handling, and C.O.D. col- Record here revenue from the transpor-
lection shall not be credited to this ac- tation of passengers and their personal bag-
count but to profit and loss account 17 gage.
Air Cargo Services. 7.2 Property.
(c) This account shall be subdivided
as follows by all air carrier groups: Record here revenue from the transpor-
tation of property.
6.1 Freight.
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
Record here revenue from the transpor- ed by ER–980, 42 FR 37, Jan. 3, 1977; ER–1401,
tation by air of property other than pas- 50 FR 244, Jan. 3, 1985]
senger baggage.

6.2 Excess Passenger Baggage.

Record here revenue from the transpor-
tation by air of passener baggage in excess of
fixed free allowance.
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
ed by ER–1401, 50 FR 244, Jan. 3, 1985]

144
Office of the Secretary, DOT Section 12
TRANSPORT RELATED REVENUES AND 11.1 Gross Revenues.
EXPENSES
11.2 Depreciation Expense.
8 Public Service Revenues (Subsidy). 11.3 Other Expenses.
Record here amounts of compensa-
tion received pursuant to the provi- 12 Limousine Service.
sions of 49 U.S.C. 41733 under rates es- (a) Record here revenues from and ex-
tablished by the Department of Trans- penses related to the operation of pas-
portation for the provision of essential senger limousine surface transpor-
air service to small communities. tation services.
[Amdt. 241–58, 54 FR 5595, Feb. 6, 1989, as (b) This account shall be subdivided
amended at 60 FR 66723, Dec. 26, 1995] as follows by all air carrier groups:

9 In-Flight Sales. 12.1 Gross Revenues.

(a) Record here revenues from and ex- 12.2 Depreciation Expense.
penses related to transport-related
services performed while in flight. 12.3 Other Expenses.
(b) This account shall be subdivided
13 Interchange Sales.
as follows by all air carrier groups:
(a) Record here the revenues or fees
9.1 Liquor and food—gross revenues. from and the expenses related to serv-
9.2 Movies and stereo—gross revenues. ices provided associated companies and
other than associated companies by the
9.3 Other—gross revenues. air carrier under aircraft interchange
9.4 Liquor and food—depreciation expense. agreements. This account shall be
charged and the applicable operating
9.5 Liquor and food—other expense. expense objective accounts shall be
9.6 Movies and stereo—depreciation expense. credited, except as provided in oper-
ating expense objective account 77,
9.7 Movies and stereo—other expense. Uncleared Expense Credits, with the
9.8 Other—depreciation expense. expenses attaching to services provided
all companies under aircraft inter-
9.9 Other—expense. change agreements.
(b) This account shall not include
10 Restaurant and Food Service revenues or expenses related to air
(Ground). transportation services performed in
(a) Record here revenues from and ex- the name of and for the account of the
penses related to the operation of res- accounting air carrier. Such revenues
taurants and similar facilities, and shall be included in applicable trans-
from sales of food. (See section 12–51.) port revenue and operating expense ob-
(b) This account shall be subdivided jective accounts.
as follows by all air carrier groups. (c) This account shall be subdivided
as follows by all air carrier groups:
10.1 Gross revenues.
13.1 Associated companies—gross revenues.
10.2 Depreciation expense.

10.3 Other expense. 13.2 Outside—gross revenues.

13.3 Associated companies—depreciation

11 Rents. expense.
(a) Record here revenues from and ex-
13.4 Associated companies—other expense.
penses related to property and equip-
ment owned or leased which has been 13.5 Outside—depreciation expense.
rented or subleased to others exclusive
of associated companies. This account 13.6 Outside—other expense.
shall not include fees from the use by
others of air carrier aircraft under air- 14 General Service Sales.
craft interchange agreements. (a) Record here the revenues, com-
(b) This account shall be subdivided missions or fees from and expenses re-
as follows by all air carrier groups: lated to other than air transportation

145
Section 12 14 CFR Ch. II (1–1–19 Edition)
and aircraft interchange services pro- 16.1 Gross revenue.
vided to associated and outside compa- 16.2 Expense.
nies by the air carrier. This account
shall include the contractual fees or 17 Air Cargo Services.
other revenues from and expenses re- (a) Record here fees and other reve-
lated to services provided to associated nues from and expenses related to inci-
and other companies in the operation dental services performed in connec-
of facilities which are used jointly with tion with cargo shipments such as
associated and other companies as well pickup and delivery fees, shipper’s in-
as revenues from and the costs related terest insurance charges, storage and
to the sale of supplies, parts and re- handling fees, etc.
pairs sold directly or furnished as a (b) This account shall be subdivided
part of services to associated and other as follows by all air carrier groups:
companies.
17.1 Gross Revenues.
(b) This account shall not include
consideration received from sales of 17.2 Depreciation Expense.
property, equipment, materials or sup-
17.3 Other Expenses.
plies when disposed of as a part of a
program involving retirement of prop- 18 Other Transport-Related Revenues
erty and equipment as opposed to rou- and Expenses.
tine sales and services to associated (a) Record here revenues from and ex-
and other companies unless such dis- penses related to transport-related
position is conducted as a normal part services not provided for in profit and
of the incidental sales activity. Such loss accounts 10 through 17, inclusive,
retirement gain or loss shall be in- such as revenues and expenses incident
cluded in capital gains and losses ac- to the operation of flight facilities by
counts. Maintenance parts, materials the accounting air carrier, except those
or supplies sold as a service to others operated under aircraft interchange
shall be charged to this account at cost agreements, where the remuneration
without adjustment of related obsoles- paid by the party receiving transpor-
cence or depreciation allowances. tation accrues directly to, and the re-
(c) This account shall be subdivided sponsibility for providing transpor-
as follows by all air carrier groups: tation is that of, other air carriers; and
the revenues and expenses incident to
14.1 Associated companies—gross revenues. vending machines, parcel rooms, stor-
age facilities, etc.
14.2 Outside—gross revenues.
(b) [Reserved]
14.3 Associated companies—depreciation (c) Revenues from the renting or
expense. leasing of property and equipment to
others shall not be included in this ac-
14.4 Associated companies—other expense. count but in profit and loss account 11
14.5 Outside—depreciation expense. Rents.
(d) This account shall be subdivided
14.6 Outside—other expense. as follows by all air carrier groups:

[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- 18.1 Gross Revenues.

ed by ER–980, 42 FR 37, Jan. 3, 1977] 18.2 Depreciation Expense.

16 Substitute (replacement) Service. 18.3 Other Expenses.

(a) Record here revenues from and ex- 19 Air Transport—Other.
penses related to substitute service.
This account shall include as revenues (a) Record here revenues associated
all monies received from substitute with air transportation conducted by
the air carrier, not provided for in prof-
carriers and as expense all monies paid
it and loss accounts 01 through 09, in-
to substitute carriers.
clusive, such as revenue from (1) air-
(b) This account shall be subdivided line employees, officers and directors,
as follows by all air carrier groups: or other persons, except for ministers

146
Office of the Secretary, DOT Section 12
of religion, who are traveling under re- tions, (iii) balance sheet and profit and
duced-rate transportation authorized loss elements and (iv) the air carrier
by 49 U.S.C. 41511(a) and 14 CFR part and others, when the expenses are in-
223, as well as travel agents, cargo curred initially by or for the benefit of
agents and tour conductors traveling the air carrier. At the option of the air
at reduced fares, (2) service charges for carrier, standard rates applicable to
failure to cancel or for late cancella- each objective account comprising a
tion of air transportation reservations, particular pool of expenses subject to
and (3) nontransportation service assignment between two or more ac-
charges collected on both revenue and
tivities, may be established for prora-
nonrevenue flights.
tion purposes, provided the rates estab-
(b) Revenues derived from sight-
seeing, aerial photography, adver- lished are predicated upon the experi-
tising, or other special flights shall not ence of the air carrier and are reviewed
be included in this account but in ac- and modified as appropriate at least
count 07 Charter. once each year.
(c) This account shall be subdivided
as follows by all air carrier groups: 21 General Management Personnel.

19.1 Reservations Cancellation Fees.

Record here the compensation, in-
cluding vacation and sick leave pay, of
19.9 Miscellaneous Operating Revenue. general officers and supervisors, and
immediate assistants regardless of lo-
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
ed by ER–820, 38 FR 24352, Sept. 7, 1973; ER–
cality at which based, responsible for
841, 39 FR 11997, Apr. 2, 1974; ER–980, 42 FR 37, an activity not provided for in profit
Jan. 3, 1977; 60 FR 66723, Dec. 26, 1995] and loss accounts 25 through 35, inclu-
sive, or an activity involving two or
TRANSPORT EXPENSES more such accounts.
20 General Instructions. 23 Pilots and Copilots.
(a) Each element of expense ordi-
Record here the compensation, in-
narily associated with air transpor-
cluding vacation and sick leave pay, of
tation services shall be charged to the
pilots and copilots assigned or held in-
accounts established in this section in
accordance with the objectives served active awaiting assignment to flight
by each expenditure. Basic objective duty.
accounts, applicable to all air carrier
24 Other Flight Personnel.
groups, are established for recording
all expense elements. These basic ac- Record here the compensation, in-
counts are in certain areas subdivided cluding vacation and sick leave pay, of
to provide greater detail for indicated other flight personnel assigned or held
air carrier groups. inactive awaiting assignment to flight
(b) To the end that the integrity of status, not responsible for the in-flight
the prescribed objective accounts shall management of aircraft, such as engi-
not be impaired, each air carrier shall: neers, navigation officers and cabin at-
(1) Charge the appropriate account tendants.
prescribed for each service purchased
or expense element incurred expressly 25 Maintenance Labor.
for the benefit of the air carrier regard-
(a) Record here the compensation for
less of whether incurred directly by the
air carrier or through an agent or other time of personnel spent directly on spe-
intermediary, and (2) except as pro- cific property and equipment mainte-
vided in objective account 77 Uncleared nance projects. (See sections 10 and 11–
Expense Credits, credit or charge, as 5200.) Vacation and sick leave pay shall
appropriate, the account prescribed for be charged to profit and loss account 28
each expense element which may be in- Trainees, Instructors and Unallocated
volved in distributions of expenses be- Shop Labor.
tween (i) separate operating entities of (b) This account shall be subdivided
the air carrier, (ii) incidental and as follows:
transport services or transport func-

147
Section 12 14 CFR Ch. II (1–1–19 Edition)
GROUP II AND G ROUP III AIR CARRIERS 26.1 General Aircraft and Traffic Handling
Personnel.
25.1 Labor—Airframes and Other Flight
Equipment. Record here compensation of personnel
handling or controlling aircraft and gen-
Record here the direct labor expended upon erally servicing or handling traffic of all
airframes, spare parts related to airframes, types and classes whose activities are not
and other flight equipment (Other than air- identifiable with the particular activities
craft engines and spare parts related to air- provided for in subaccounts 26.2, 26.3, or 26.4,
craft engines). Other flight equipment shall inclusive.
include instruments, which encompass all
gauges, meters, measuring devices, and indi- 26.2 Aircraft Control Personnel.
cators, together with appurtenances thereto Record here compensation of personnel
for installation in aircraft and aircraft en- whose activities are identifiable with the
gines which are maintaned separately from protection and control of aircraft in flight
airframes and aircraft engines. and in scheduling or preparing flight crews
for flight assignment.
25.2 Labor—Aircraft Engines.
Record here the direct labor expended upon 26.3 Passenger Handling Personnel.
aircraft engines and spare parts related to Record here compensation of personnel
aircraft engines. whose activities are identifiable with the
handling of passengers.
GROUP I AIR C ARRIERS
26.4 Cargo Handling Personnel.
25.6 Labor—Flight Equipment.
Record here compensation of personnel
Record here the direct labor expended upon whose activities are identifiable with the
flight equipment of all types and classes. handling of passenger baggage, mail, express,
or freight.
ALL AIR CARRIER G ROUPS

25.9 Labor—Ground Property and Equipment. 28 Trainees, Instructors, and

Unallocated Shop Labor.
Record here the direct labor expended upon
ground property and equipment of all types (a) Record here the compensation, in-
and classes. Direct labor expended upon gen- cluding vacation and sick leave pay, of
eral ground properties shall be charged to instructors and personnel in an off-the-
subfunction 5200 Direct Maintenance; and di- job training status; direct maintenance
rect labor expended upon maintenance build- personnel compensation not assigned
ings and equipment shall be charged to sub- to specific projects; and vacation or
function 5300 Maintenance Burden. sick leave pay of direct maintenance
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- personnel.
ed by ER–1401, 50 FR 244, Jan. 3, 1985] (b) This account shall be subdivided
as follows by all air carrier groups:
26 Aircraft and Traffic Handling Per-
28.1 Trainees and Instructors.
sonnel.
(a) Record here the compensation, in- Record here the compensation of instruc-
tors and personnel in a training status.
cluding vacation and sick leave pay, of
personnel of all types and classes, in- 28.2 Unallocated Shop Labor.
cluding direct supervisory personnel, Record here the pay of direct maintenance
assigned to ground activities, engaged personnel which has not been assigned to
directly in protecting and controlling profit and loss account 25 Maintenance
aircraft in flight, scheduling and pre- Labor for time spent on specific mainte-
paring flight crews for flight assign- nance projects, and vacation or sick leave
ment, parking and servicing aircraft pay of direct maintenance personnel.
incidental to line operations, and of
30 Communications Personnel.
personnel of all types and classes en-
gaged in servicing and handling traffic Record here the compensation, in-
of all types and classes on the ground. cluding vacation and sick leave pay, of
(b) This account shall be subdivided personnel of all types and classes, in-
as follows by Group II and Group III air cluding direct supervisory personnel,
carriers: engaged in local, interstation, or
groundair communication activities.

148
Office of the Secretary, DOT Section 12
This account shall include compensa- Keeping and Statistical Personnel. In
tion of personnel such as radio opera- cases where the responsibility for
tors, telephone operators, switchboard maintaining purchasing and stores
operators, teletype operators, mes- records are inseparable, the related
sengers, etc. compensation may be accounted for in
accordance with dominant responsibil-
31 Recordkeeping and Statistical Per- ities.
sonnel.
Record here the compensation, in- 35 Other Personnel.
cluding vacation and sick leave pay, of Record here the compensation, in-
personnel including supervisory per- cluding vacation and sick leave pay, of
sonnel, whose primary duties relate to personnel whose activities are not
maintaining records or conducting eco- identifiable with activities provided for
nomic or other analyses required for in profit and loss accounts 21 through
general management controls, such as 34, inclusive.
accountants, economists, statisticians,
maintenance record clerks, stores 36 Personnel Expenses.
record clerks, stores receiving and (a) Record here expenses incurred by
issuing clerks and file clerks. The ac- officers, executives, directors and other
count shall not include personnel en- personnel, whether for the benefit of
gaged in documentation or other ac- the air carrier or for the private ben-
tivities constituting an integral part of efit of such persons, which are directly
activities encompassed by other objec- or indirectly borne by the air carrier.
tive accounts. (b) This account shall include allow-
ances in lieu of expenses as well as ex-
32 Lawyers and Law Clerks. penses incurred for travel, lodgings,
Record here the compensation, in- meals, entertainment of individuals or
cluding vacation and sick leave pay, of groups of individuals, and membership
air carrier personnel engaged in law re- fees and dues in professional or social
search or representing the air carrier clubs and associations.
in matters of law. (c) Records shall be maintained in a
conveniently accessible form which
33 Traffic Solicitors. will separately and clearly document
Record here the compensation, in- each charge to this account in terms of
cluding vacation and sick leave pay, of its natural characteristics and con-
personnel engaged directly in solicita- tribution to the performance of the air
tion of traffic of all types and classes. carrier’s transport operations. The
This account shall not include com- records shall be maintained in such
pensation of traffic office personnel en- manner as will identify specifically the
gaged in soliciting activities incidental persons incurring the cost. Costs for
to the documenting of sales and assign- standby hotel or other facilities main-
ing aircraft space which shall be in- tained for the air carrier’s personnel
cluded in profit and loss account 26 generally need not be allocated among
Aircraft and Traffic Handling Per- the individuals using such facilities;
sonnel. however, sufficiently detailed records
are required to identify the use made of
34 Purchasing Personnel. such facilities by each individual.
(a) Record here the compensation, in- [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
cluding vacation and sick leave pay, of ed by ER–948, 41 FR 12295, Mar. 25, 1976]
personnel, including direct supervisory
personnel, engaged in purchasing ac- 37 Communications Purchased.
tivities. Record here expenses, including re-
(b) This account shall include com- lated taxes, incurred for rental of com-
pensation of personnel engaged in munication services and for commu-
maintaining purchasing records but nication services of all types and class-
shall not include compensation of per- es not provided by personnel of the air
sonnel responsible for the control of in- carrier, such as telegraph, telephone,
ventories or stores which shall be in- teletype, private line services, and
cluded in objective account 31 Record charges for communication services

149
Section 12 14 CFR Ch. II (1–1–19 Edition)
from organizations operated jointly 41 Professional and Technical Fees
with associated companies or others. and Expenses.
Record here fees and expenses, other
38 Light, Heat, Power and Water.
than legal fees and expenses, incurred
Record here charges related to the for outside professional and technical
provision of light, heat, power and services which are reimbursed or borne
water including related taxes. directly by the air carrier. This ac-
count shall not include fees or expenses
39 Traffic Commissions. related to developmental projects.
(a) Record here charges by others, in- Such expenses shall be included, as ap-
cluding associated companies, for com- propriate, in profit and loss account
missions arising from sales of transpor- 89.9 Other Miscellaneous Nonoperating
tation. Commissions, fees or other Debits or balance sheet account 1830
charges incurred for general agency Unamortized Developmental and
services, as opposed to commissions Preoperating Costs.
arising from sales of transportation, [ER–980, 42 FR 37, Jan. 3, 1977]
shall not be included in this account
but in profit and loss account 43 Gen- 43 General Services Purchased.
eral Services Purchased. (a) Record here charges for services
(b) This account shall be subdivided performed for the air carrier by outside
as follows by Group II and Group III air and associated companies which are
carriers. not identifiable with services provided
39.1 Commissions—Passenger. for in profit and loss accounts 37
through 41, inclusive, or which are not
Record here charges for commissions aris- expressly identified with other objec-
ing from sales of passenger transportation.
tive expense accounts.
39.2 Commissions—Property. (b) Charges from outside and associ-
ated companies for services provided
Record here charges for commissions aris-
the air carrier under aircraft inter-
ing from sales of nonpassenger transpor-
tation. change agreements or other agree-
ments embracing a complete activity
40 Legal Fees and Expenses. or service, such as the operating of
jointly used ground facilities, shall be
Record here expenditures incurred included in this account for each oper-
for legal services by counsel retained ating function to which the services
on a fee basis and related expenses re- contribute. Charges for providing air-
imbursed or borne directly by the air craft capacity, including charges for
carrier and other expenses incurred di- depreciation and interest on the cap-
rectly by the air carrier for legal sup- ital related to the flight equipment
plies not obtainable from the air car- provided, shall be included in function
rier’s general stationery stock. This 5100 Flying Operations.
account shall not be charged with legal (c) This account shall be subdivided
fees or expenses incurred in connection by each air carrier group, as follows:
with claims occasioned by accidents or
other casualties. Such charges shall be GROUP II AND G ROUP III AIR CARRIERS
accumulated in balance sheet account
43.1 Airframe and Other Flight Equipment
1890 Other Assets and cleared to profit Repairs.
and loss account 58 Injuries, Loss and
Damage upon settlement of insurance Record here charges for maintenance or re-
claims. Nor should this account include pair of airframes and spare parts related to
airframes owned or leased by the air carrier.
fees or expenses related to develop- Charges for maintenance or repair of other
mental projects. Such expenses shall be flight equipment (including instruments)
included, as appropriate, in profit and owned or leased by the air carrier, excluding
loss account 89.9 Other Miscellaneous aircraft engines and spare parts related to
Nonoperating Debits or balance sheet aircraft engines, shall also be recorded here.
account 1830 Unamortized Develop- Instruments shall include all gauges, meters,
mental and Preoperating Costs. measuring devices, and indicators, together
with appurtenances thereto for installation
[ER–980, 42 FR 37, Jan. 3, 1977] in aircraft and aircraft engines, which are

150
Office of the Secretary, DOT Section 12
maintained separately from airframes and profit and loss accounts 37 to 41, inclusive,
aircraft engines. Charges by outside and as- and subaccounts 43.1 to 43.8, inclusive, em-
sociated companies for maintenance of flight bracing a complete activity or service pro-
equipment provided under aircraft inter- vided by outside and associated companies
change agreements shall not be included in such as the operation of traffic offices or
this subaccount but in subaccount 43.7 Air- other facilities used jointly with the air car-
craft Interchange Charges. rier which do not represent reimbursement
of specific expense elements incurred ex-
43.2 Aircraft Engine Repairs. pressly for the benefit of the air carrier. Re-
Record here charges for maintenance of re- imbursement of expenses incurred expressly
pair or aircraft engines, including spare for the benefit of the air carrier shall be en-
parts related to aircraft engines owned or tered in appropriate personnel compensation
leased by the air carrier. Charges by outside or other objective expense accounts. The
and associated companies for maintenance of cost of services received in the repair of gen-
aircraft engines provided under aircraft eral ground properties shall be charged to
interchange agreements shall not be in- subfunction 5200 Direct Maintenance; and
cluded in this subaccount but in subaccount services received in the repair of mainte-
43.7 Aircraft Interchange Charges. nance buildings and equipment shall be
charged to subfunction 5300 Maintenance
GROUP I AIR C ARRIERS Burden.
43.6 Flight Equipment Repairs. [Amdt. 241–56, 52 FR 9129, Mar. 23, 1987]
Record here charges for maintenance or re-
pair of flight equipment of all types and 44 Landing Fees.
classes owned or leased by the air carrier. Record here the charges and fees in-
Charges by outside and associated companies curred for landing of aircraft while in
for maintenance of flight equipment pro-
line operation.
vided under aircraft interchange agreements
shall not be included in this subaccount but
in subaccount 43.7 Aircraft Interchange
45 Aircraft Fuels and Oils.
Charges. (a) Record here the cost of fuels and
ALL AIR CARRIER G ROUPS oils issued from stocks of the air car-
rier, or delivery directly by others, to
43.7 Aircraft Interchange Charges. aircraft for use in flight operations.
Record here charges by outside and associ- Adjustments of inventories of aircraft
ated companies for providing aircraft capac- fuel and oil shall also be entered in this
ity or services related to the direct operation account. The cost of fuels and oils used
or maintenance of flight equipment under in repairs and maintenance services
aircraft interchange agreements. and nonrefundable fuel and oil taxes
43.8 General Interchange Service Charges. shall not be included in this account
but in profit and loss accounts 49 Shop
Record here charges by outside and associ- and Servicing Supplies and 69 Taxes—
ated companies for services provided the air
carrier under aircraft interchange agree-
Other than Payroll, respectively.
ments, other than charges related to the di- (b) This account shall be subdivided
rect operation or maintenance of flight as follows by Group II and Group III air
equipment, including all charges for mainte- carriers:
nance and repair of group properties, as well
as fees or charges for traffic solicitation and 45.1 Aircraft Fuels.
sales, or supervision and administration cov- Record here the cost of fuels used in flight
ered by the aircraft interchange agreements. operations.
Charges for depreciation or interest on cap-
ital related to flight equipment provided 45.2 Aircraft Oils.
under interchange agreements shall not be
included in this subaccount but in sub- Record here the cost of oils used in flight
account 43.7 Aircraft Interchange Charges. operations.

43.9 Other Services. 46 Maintenance Materials.

Record here charges for maintenance and (a) Record here the cost of materials
repair of ground property and equipment of and supplies consumed directly in spe-
all types and classes and other charges for
services performed by outside and associated
cific property and equipment mainte-
companies not provided for elsewhere. This nance projects.
subaccount shall include only those charges (b) This account shall be subdivided
for services not provided for elsewhere in as follows:

151
Section 12 14 CFR Ch. II (1–1–19 Edition)
GROUP II AND G ROUP III AIR CARRIERS used in maintaining, servicing and
cleaning property or equipment the
46.1 Materials—Airframes and Other Flight
Equipment. cost of which cannot be directly as-
signed to a specific job or type of work.
Record here the cost of materials and sup-
plies consumed directly in maintenance of 50 Stationery, Printing and Office
airframes and spare parts related to air- Supplies.
frames. Other flight equipment (including in-
struments), excluding aircraft engines and Record here the cost of stationery
spare parts related to aircraft engines, shall and forms used by the air carrier in-
also be recorded here. Instruments shall in- cluding the cost of engineering and
clude all gauges, meters, measuring devices, shipping supplies.
and indicators, together with appurtenances
thereto for installation in aircraft and air- 51 Passenger Food Expense.
craft engines, which are maintained sepa-
rately from airframes and aircraft engines. (a) Record here the cost of food and
refreshments served passengers except
46.2 Materials—Aircraft Engines. food costs arising from interrupted
Record here the cost of materials and sup- trips.
plies consumed directly in maintenance of (b) If the air carrier prepares its own
aircraft engines and spare parts related to food, the initial cost and expenses in-
aircraft engines. curred in the preparation thereof shall
GROUP I AIR C ARRIERS be accumulated in a clearly identified
clearing account through which the
46.6 Materials—Flight Equipment. cost of food shall be cleared to this ac-
Record here the cost of materials and sup- count, to profit and loss account 36
plies consumed directly in the maintenance Personnel Expenses, and to profit and
of flight equipment of all types and classes. loss account 10 Hotel, Restaurant and
Food Service on bases which appro-
ALL AIR CARRIER G ROUPS priately allocate the cost of food
46.9 Materials—Ground Property and served passengers, the cost of food pro-
Equipment. vided employees without charge and
Record here the cost of materials and sup-
the cost of food sold.
plies consumed directly in the maintenance
53 Other Supplies.
of ground property and equipment of all
types and classes. The cost of materials and Record here the cost of supplies con-
supplies consumed in the repair of general sumed and not provided for otherwise.
ground properties shall be charged to sub-
function 5200 Direct Maintenance and mate- 54 Inventory Adjustments.
rials and supplies consumed in the repair of
maintenance buildings and equipment shall Record here adjustments for overage,
be charged to subfunction 5300 Maintenance shortage or shrinkage of inventories
Burden. carried in balance sheet account 1300
Spare Parts and Supplies. Adjustment
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
ed by ER–1401, 50 FR 245, Jan. 3, 1985] of aircraft fuel and oil inventories due
to retroactive price increases and de-
47 Rentals. creases shall not be included in this ac-
count but in profit and loss account 45
Record here rentals, fee, or charges
Aircraft Fuels and Oils. Gains or losses
incurred in the use of property and
from retirements of materials and sup-
equipment provided by others. When a
plies shall not be recorded in this ac-
lease arrangement provides that the
count but in profit and loss account
amounts paid include charges for main-
88.5 Capital Gains and Losses—Oper-
tenance, insurance, or taxes, the
ating Property.
amounts related thereto shall not be
recorded in this account but in the ap- [ER–980, 42 FR 37, Jan. 3, 1977]
propriate expense account to which re-
lated. 55 Insurance—General.
Record here the cost of public liabil-
49 Shop and Servicing Supplies. ity and property damage insurance and
Record here the cost of supplies and all other general insurance except in-
expendable small tools and equipment surance covering liability for injuries,

152
Office of the Secretary, DOT Section 12
loss, and damage to passengers and ating schedules, timetables, circulars
cargo, and insurance carried for the and related quick reference charts.
protection or welfare of employees. [ER–1401, 50 FR 245, Jan. 3, 1985]
[ER–948, 41 FR 12295, Mar. 25, 1976]
60 Advertising.
56 Insurance—Traffic Liability. Record here the cost, excluding com-
Record here the cost of purchased in- pensation of air carrier personnel, of
surance covering liability for injuries, all space, direct mail, spot and other
loss and damage to passengers and advertising for the purpose of increas-
cargo. ing air travel, disseminating air travel
information and publicizing services
[ER–980, 42 FR 37, Jan. 3, 1977] offered by the air carrier.
57 Employee Benefits and Pensions. 61 Foreign Exchange Gains and
(a) Record here all costs for the ben- Losses.
efit or protection of employees includ- Record here gains or losses from
ing all pension expenses whether for transactions involving currency trans-
payments to or on behalf of retired em- lations resulting from normal, routine,
ployees or for accruals or annuity pay- current fluctuations in rates of foreign
ments to provide for pensions; and all exchange. Gains or losses of a nonrou-
expenses for accident, sickness, hos- tine abnormal character and gains or
pital, and death benefits to employees losses which arise from long-term debt
or the cost of insurance to provide principal and interest transactions
these benefits. Include, also, expenses shall not be entered in this account but
incurred in medical, educational, or in profit and loss account 85, Foreign
recreational activities for the benefit Exchange Gains and Losses.
of employees. Do not include vacation [Amdt. 241–58, 54 FR 5596, Feb. 6, 1989]
and sick leave pay, or salaries of doc-
tors, nurses, trainees, or instructors, 62 Other Promotional and Publicity
which shall be recorded in the regular Expenses.
salary accounts.
Record here the costs, excluding
(b) [Reserved] compensation of air carrier personnel,
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- of producing and distributing publicity
ed by ER–980, 42 FR 37, Jan. 3, 1977; ER–1188, releases and other expenses, not
45 FR 48871, July 22, 1980] chargeable to profit and loss accounts
59 and 60, incurred for the purpose of
58 Injuries, Loss and Damage. publicizing or improving the public re-
Record here the remainder of gains, lations of the air carrier generally.
losses or costs resulting from acci-
63 Interrupted Trips Expense.
dents, casualties or mishandlings, after
offsetting insurance recoveries, as ac- Record here expenses allowed or paid
cumulated until finally determined in for the care and serving of passengers
balance sheet account 1890 Other As- because of unscheduled interruptions
sets and Deferred Charges. This ac- in passenger journeys. Transportation
count shall not include gains or losses refunds and the cost of forwarding traf-
from retirement of property and equip- fic by surface common carrier or other-
ment resulting from casualties. Such wise as a result of such interruptions
gains or losses shall be recorded in ap- shall not be charged to this account
propriate capital gains or losses ac- but to the appropriate operating rev-
counts. enue account.

[Amdt. 241–58, 54 FR 5596, Feb. 6, 1989] 64 Memberships.

Record here the cost of membership
59 Schedules and Timetables.
dues in trade associations, chambers of
Record here the production and dis- commerce, or other business associa-
tribution cost, excluding compensation tions and organizations together with
of air carrier personnel, of all oper- special assessments related thereto.

153
Section 12 14 CFR Ch. II (1–1–19 Edition)
65 Corporate and Fiscal Expenses. frame Overhauls or 1602.2 Unamortized
Record here corporate and fiscal fees Aircraft Engine Overhauls. This ac-
and expenses of the air carrier and all count shall also include the amount of
expenses in connection with exchange deferred overhauls costs being amor-
and transfer of capital stock excluding tized for the current period. For car-
expenses in connection with original riers which elect to continue accruing
for aircraft overhauls for aircraft types
issuance of capital stock.
acquired before January 1, 1976, as well
66 Uncollectible Accounts. as for other aircraft of the same type
acquired after January 1, 1976, the re-
Record here losses from uncollectible lated provisions and charges shall be
accounts and allowance provisions and recorded in the appropriate sub-
adjustments thereto, for such losses. accounts of this account.
When allowances for uncollectible ac- (b) This account shall be subdivided
counts are established, losses as real- as follows by all carrier groups:
ized shall be charged against such al-
lowances and shall not be charged to 72.1 Airworthiness Allowance Provisions—
this account. Airframes.
Record here current provisions for effect-
[ER–980, 42 FR 37, Jan. 3, 1977]
ing an equitable distribution of airframe
overhaul costs between different accounting
67 Clearance, Customs and Duties.
periods. Record here also credits for airframe
Record here clearance, customs, du- overhaul costs incurred in the current period
ties and brokerage fees and charges ap- which have been charged against related air-
plicable to clearing aircraft and traffic. worthiness allowances.

72.3 Airframe Overhauls Deferred.

68 Taxes—Payroll.
Record here airframe overhauls of the cur-
Record here all taxes levied against rent period transferred to subaccount 1601.2,
the air carrier based upon or directly Unamortized Airframe Overhauls, and the
relating to compensation of personnel. amount of deferred airframe overhaul costs
amortized for the current period.
69 Taxes—Other Than Payroll.
72.6 Airworthiness Allowance Provisions—
(a) Record here all taxes levied Aircraft Engines.
against the air carrier not otherwise
provided for including nonrefundable Record here current provisions for effect-
ing an equitable distribution of aircraft en-
aircraft fuel and oil taxes. Interest and gine overhauls costs between different ac-
penalties on delinquent taxes shall not counting periods. Record here also credits
be charged to this account but to profit for aircraft engine overhaul costs incurred in
and loss accounts 82 Other Interest and the current period which have been charged
89.9 Other Miscellaneous Nonoperating against related airworthiness allowances.
Debits, respectively.
72.8 Aircraft Engine Overhauls Deferred.
(b) Entries to this account shall
clearly reveal each kind of tax and the Record here airframe overhauls of the cur-
governmental agency to which paid or rent period transferred to subaccount 1602.2,
Unamortized Aircraft Engine Overhauls, and
payable.
the amount of deferred aircraft engine over-
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- haul costs amortized for the current period.
ed by ER–980, 42 FR 37, Jan. 3, 1977] [ER–948, 41 FR 12295, Mar. 25, 1976, as amend-
ed by ER–1401, 50 FR 245, Jan. 3, 1985]
71 Other Expenses.
Record here all expenses ordinarily 73 Provisions for Obsolescence and
associated with air transportation and Deterioration—Expendable Parts.
its incidental services not provided for (a) Where allowances for loss in value
otherwise. of flight equipment expendable parts
are established, provisions for accruals
72 Aircraft Overhauls. to such allowances shall be charged to
(a) Record here airframe and aircraft this account and credited to balance
engine overhauls of the current period sheet account 1311 Allowance for Obso-
which are transferred to balance sheet lescence in accordance with the provi-
subaccounts 1601.2 Unamortized Air- sions of that account.

154
Office of the Secretary, DOT Section 12
(b) This account shall be subdivided GROUP II AND G ROUP III AIR CARRIERS
as follows by all air carrier groups:
75.3 Depreciation—Airframe Parts.
73.1 Current provisions. Record here provisions for depreciation of
Record here provisions during the current spare airframe instruments and parts carried
period for losses in value of expendable parts. in balance sheet subaccount 1608.1 Airframe
Parts and Assemblies.
73.2 Inventory decline credits.
75.4 Depreciation—Aircraft Engine Parts.
Record here credits applicable to the cur-
Record here provisions for depreciation of
rent period for any adjustments for excess
spare aircraft engine instruments and parts
inventory allowance levels determined pur-
carried in balance sheet subaccount 1608.5
suant to section 6–1311. Aircraft Engine Parts and Assemblies.
[ER–980, 42 FR 37, Jan. 3, 1977]
ALL AIR CARRIER G ROUPS
74 Amortization. 75.5 Depreciation—Other Flight Equipment.
(a) Record here amortization of de- Record here provisions for depreciation of
ferred changes attaching to the air property and equipment carried in balance
transportation services conducted by sheet account 1607 Improvements to Leased
the air carrier which are not prepay- Flight Equipment (exclusive of capitalized
ments of recurrent expenses ordinarily overhauls accounted for on a deferral and
amortization basis) and balance sheet sub-
requiring expenditures of working cap- account 1608.9 Other Parts and Assemblies.
ital within one year. Group I air carriers shall also include in this
(b) This account shall be subdivided subaccount provisions for depreciation of
as follows by all air carrier groups: property carried in balance sheet account
1608 Flight Equipment Rotable Parts and As-
74.1 Developmental and Preoperating Expenses semblies.
Record here amortization of the cost of 75.6 Depreciation—Flight Equipment.
projects carried in balance sheet account
1830 Unamortized Developmental and This classification is established only for
Preoperating Costs. purposes of control by the BTS and shall in-
clude all charges to operating expenses for
74.2 Other Intangibles. depreciation of flight equipment of all types
and classes.
Record here mortization of the cost of in-
tangibles not provided for otherwise. 75.8 Depreciation—Maintenance Equipment
and Hangars.
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
ed by ER–980, 42 FR 38, Jan. 3, 1977; Amdt. Record here provisions for depreciation of
241–58, 54 FR 5596, Feb. 6, 1989] maintenance property and equipment in-
cluded in balance sheet accounts 1630 Equip-
75 Depreciation. ment, 1639 Improvements to Leased Build-
ings and Equipment, and 1640.1 Maintenance
(a) Record here provisions for depre- Buildings and Improvements.
ciation of property and equipment car-
75.9 Depreciation—General Ground Property.
ried in balance sheet accounts 1601
through 1640, inclusive. Record here provisions for depreciation of
(b) This account shall be subdivided property and equipment included in balance
of property and equipment included in bal-
as follows: ance sheet accounts 1630 through 1640, exclu-
ALL AIR CARRIER G ROUPS sive of provision for depreciation of mainte-
nance property and equipment included in
75.1 Depreciation—Airframes. account 75.8.

Record here provisions for depreciation of [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
property and equipment carried in balance ed by ER–948, 41 FR 12296, Mar. 25, 1976; ER–
subaccount 1601.1 Airframes. 980, 42 FR 38, Jan. 3, 1977; 60 FR 66723, Dec. 26,
1995]
75.2 Depreciation—Aircraft Engines.
76 Amortization Expense—Capital
Record here provisions for depreciation of Leases.
property and equipment carried in balance
sheet subaccount 1602.1 Aircraft Engines. (a) Record here amortization charges
applicable to assets recorded under

155
Section 14 14 CFR Ch. II (1–1–19 Edition)
capital leases in Account 1695—Leased functions. Credits applicable to such
Property under Capital Leases. functions shall be carried to the indi-
(b) This account shall be subdivided vidual objective accounts to which ap-
as follows by all air carrier groups: plicable.
(d) This account shall be subdivided
76.1 Amortization—Capitalized Flight
Equipment.
as follows by all air carrier groups:
Record here amortization charges applica- 77.8 Uncleared Interchange Expense Credits.
ble to flight equipment acquired under cap- Record here credits to operating expenses,
ital leases. from operations performed for others under
76.2 Amortization—Capitalized Other Property aircraft interchange agreements, which have
and Equipment. not been cleared to the objective accounts to
which applicable.
Record here the amortization charges ap-
plicable to property and equipment, other 77.9 Other Uncleared Expense Credits.
than flight equipment, acquired under cap- Record here credits to operating expenses,
ital leases. from other than operations under aircraft
[ER–1401, 50 FR 245, Jan. 3, 1985] interchange agreements, which have not
been cleared to the objective accounts to
77 Uncleared Expense Credits. which applicable.
(a) Record here credits to operating [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
expenses, which have not been cleared ed at 60 FR 66723, Dec. 26, 1995]
to the objective accounts to which ap-
plicable. 78 Direct Maintenance—Flight Equip-
(b) Each air carrier shall credit, or ment.
charge as appropriate, the objective ac- This classification is established for
count prescribed for each expense ele- purposes of control by the BTS and
ment which may be involved in dis- shall include all charges to operating
tribution of expenses between separate expenses for maintenance of flight
reporting entities or nontransport divi- equipment of all types and classes.
sions of the air carrier. At the option [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
of the air carrier, either the individual ed at 60 FR 66723, Dec. 26, 1995]
applicable objective accounts or this
account may be credited with amounts 79 Applied Burden Debit/Credit.
capitalized, charged against incidental (a) This classification is established
services, or otherwise assigned to other only for purposes of control by the BTS
than separate operating entities of the and reporting on Form 41 by air car-
air carrier provided the aggregate cred- riers, and shall reflect all maintenance
its to this account in each function do burden applied in accordance with the
not, for any accounting year, distort provisions of section 24, schedule P–5 of
the individual objective accounts of this system of accounts and reports.
the function to which related and all (b) This classification shall be sub-
expense credits applicable to complete divided as follows by all air carrier
individual transactions are consist- groups:
ently credited either to this account or
the individual objective accounts to 79.6 Applied Burden—Flight Equipment.
which related. Each air carrier using
79.8 Applied Burden—General Ground
this account shall establish such stand- Property.
ard practices as may be prescribed by
the BTS or, in the absence of such ac- [ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
tion by the Civil Aeronautics Board, ed by ER–979, 38 FR 10926, May 3, 1973; 60 FR
such standard practices as will prevent 66723, Dec. 26, 1995]
credits to this account from signifi-
cantly distorting the individual objec- Section 14 Objective Classification—
tive accounts of each function to which Nonoperating Income and Expense
related. 80 Interest Income.
(c) This account shall not be credited
with amounts applicable to objective Included under account 89 Other Non-
accounts of the Flying Operations, De- operating Income and Expense—Net.
preciation, and Direct Maintenance [ER–1401, 50 FR 245, Jan. 3, 1985]

156
Office of the Secretary, DOT Section 14
81 Interest on Long-term Debt and (b) [Reserved]
Capital Leases.
[ER–1401, 50 FR 245, Jan. 3, 1985, as amended
(a) Record here interest expense ap- by Amdt. 241–58, 54 FR 5596, Feb. 6, 1989]
plicable to long-term debt and capital-
ized leases. 83 Capitalized Interest.
(b) This account shall be subdivided Included under account 82 Other In-
as follows by all air carrier groups: terest.
81.1 Interest expense—long-term debt. [ER–1401, 50 FR 245, Jan. 3, 1985]
Record here interest on all classes of long- 84 Amortization of Debt Discount, Pre-
term debt. This includes interest expense ap-
plicable to all portions of long-term debt
mium and Expense.
which are classified as either current (Ac- Included under account 82 Other In-
count 2000) or long-term (Account 2210) for terest.
balance sheet classification purposes.
[ER–1401, 50 FR 245, Jan. 3, 1985]
81.2 Interest expense—capital leases.
Record here for all capitalized leases, that
85 Foreign exchange gains and losses.
portion of each lease payment which rep- Record here gains and losses from
resents interest expense. transactions involving currency trans-
[ER–1013, 42 FR 37516, July 21, 1977] lations resulting from nonroutine ab-
normal changes in rates of foreign ex-
82 Other Interest. change and gains or losses which arise
from translations of long-term debt
(a) This account shall be subdivided
principal and interest transactions.
as follows by all air carrier groups:
[Amdt. 241–58, 54 FR 5596, Feb. 6, 1989]
82.1 Interest Expense—Short-Term Debt.
Record here interest on all classes of short- 86 Income from Nontransport Ven-
term debt. tures.
83.1 Imputed Interest Capitalized—Credit. Included under account 89 Other Non-
Operating Income and Expense—Net.
Record here credits related to imputed in-
terest capitalized and recorded in asset ac- [ER–980, 42 FR 38, Jan. 3, 1977]
counts.
87 Equity in Income of Investor Con-
83.2 Imputed Interest Deferred—Debit. trolled Companies.
Record here debits related to imputed in- Included under account 89 Other Non-
terest deferred in balance sheet account 2390, operating Income and Expense—Net.
Other deferred credits.
[ER–1401, 50 FR 245, Jan. 3, 1985]
83.3 Imputed Interest Deferred—Credit.
Record here periodic credits for imputed
89 Other Nonoperating Income and Expense—
interest, cleared to this account as the Net.
amount of such interest in the asset ac- (a) Record here all debits and credits
counts is amortized. of a nonoperating character which are
83.4 Interest Capitalized—Credit. not otherwise provided for in this sec-
tion.
Record here interest which is capitalized (b) This account shall be subdivided
and recorded in asset accounts.
as follows by all air carrier groups:
84.1 Amortization of discount and expense on 80.0 Interest Income.
debt.
(a) Record here interest income from all
Record here for all classes of debt the am- sources. This account shall include as an in-
ortizations of discount and expense on short- crease or reduction of interest received the
term and long-term obligations. proportionate amortization of any discount
84.2 Amortization of premium on debt. or premium on the purchase price of securi-
ties of others held by the air carrier.
Record here for all classes of debt the am- (b) This account shall not include interest
ortizations of premium on short-term and on securities issued or assumed by the air
long-term obligations. carrier and subsequently reacquired.

157
Section 14 14 CFR Ch. II (1–1–19 Edition)
86.0 Income from Nontransport Ventures. 88.4 Net Realized Gain or Loss on Marketable
Equity Securities.
(a) Record here the gross revenues and ex-
penses applicable to operations not reason- Record here the net realized gain or loss on
ably considered as incidental to the commer- the valuation of marketable equity securi-
cial air transport services of the accounting ties.
entity; rents from nonoperating properties
used by others; income or loss from non- 88.5 Capital gains and losses—operating
transport divisions; and other income or loss property.
from activities of the air carrier which are Record here gains or losses on retirements
extraneous to the air transport and inci- of operating property and equipment, flight
dental services of the accounting entity. equipment expendable parts, or miscella-
(b) This account shall include revenues and neous materials and supplies sold or other-
expenses applicable to nonscheduled trans- wise retired in connection with a general re-
port services performed for the defense es- tirement program as opposed to incidental
tablishment when separate reports for such sales performed as a service to others.
services are required in accordance with sec-
88.6 Capital gains and losses—other.
tion 21 ‘‘Introduction to System of Reports.’’
Where the foregoing transport services are Record here gains or losses not required to
not required to be separately reported, gross be reported in accounts 88.3, 88.4 and 88.5
revenues from such services shall be included such as gains or losses on retirement of non-
in profit and loss account 07 Charter, or operating property and equipment, invest-
other appropriate revenue account, and gross ments in other than marketable equity secu-
expenses shall be included in the appropriate rities, and the transfer of assets in a trou-
operating expense functions. bled debt restructuring.

87.0 Equity in Income of Investor Controlled 88.7 Unapplied cash discounts.

Companies. Record here cash discounts on routine pur-
Record here the equity in the current earn- chases of materials, repair parts or supplies.
ings or losses of investor controlled compa- Cash discounts on classes of assets included
nies. Dividends declared on the stock of such in property and equipment accounts shall
not be recorded in this account but shall be
companies shall not be included in this ac-
applied as a reduction of the cost of such ac-
count as income but shall be entered in bal-
counts.
ance sheet subaccount 1510.1 Investments in
Investor Controlled Companies as a return 88.9 Other miscellaneous nonoperating credits.
on investment.
Record here all credits of a nonoperating
88.1 Intercompany Transaction Adjustment— character not provided for otherwise, such as
Credit. royalties from patents, gains from reacquisi-
tion and retirement or resale of debt securi-
Record here all intercompany credits for ties issued by the air carrier, and gains re-
any differences between amounts at which sulting from troubled debt restructurings.
transactions between the air carrier and its
nontransport divisions or associated compa- 89.1 Intercompany Transaction Adjustment—
nies are initially recorded and are to be set- Debit.
tled.
Record here all intercompany debits for
88.2 Dividend income. any differences between amounts at which
transactions between the air carrier and its
Record here income from dividends de- nontransport divisions or associated compa-
clared on stocks of other than investor con- nies are initially recorded and are to be set-
trolled companies. Dividends declared on tled.
stock of investor controlled companies shall
not be included in this account but shall be 89.9 Other Miscellaneous Nonoperating Debits.
entered in balance sheet subaccount 1510.1 Record here all debits of a nonoperating
Investments in Investor Controlled Compa- character not provided for otherwise, such as
nies. the following:
(a) Fines or penalties imposes by govern-
88.3Net Unrealized Gain or Loss on mental authorities;
Marketable Equity Securities. (b) Costs associated with employment dis-
Record here the net unrealized gain or loss crimination that include the following:
on the valuation of marketable equity secu- (1) Fines or penalties paid by the carrier as
rities. a result of a judicial or administrative de-
cree; or the amount paid to the complainant
in settling or securing a consent decree;

158
Office of the Secretary, DOT Section 15
(2) Back pay awards as a result of a judi- the year in which the loss occurs, cred-
cial or administrative decree or a com- its for the carry-forward of losses in
promise settlement regardless of admission
the year to which the loss is carried,
of guilt;
(3) Attorneys’ fees or court costs awarded and investment tax credits in the year
to the complainant by a judicial or adminis- in which each credit is utilized to re-
trative decree or as a result of a compromise duce the liability for income taxes.
settlement regardless of admission of guilt; (b) Income taxes shall be allocated
(4) The fees of outside legal counsel or of
among the transport entities of the air
experts retained in the unsuccessful defense
of a discrimination suit or in securing a com- carrier, its nontransport divisions, and
promise settlement or consent decree, unless members of an affiliated group. Under
the amounts attributable to the discrimina- circumstances in which income taxes
tion are not reasonably identifiable; or are determined on a consolidated basis
(5) Any other expenses, such as employee by an air carrier and other members of
salaries, resulting from employment prac-
tices that were found to be discriminatory or an affiliated group, the income tax ex-
that were the subject of a compromise settle- pense to be recorded by the air carrier
ment or consent decree where the amounts shall be the same as would result if de-
attributable to discrimination are reason- termined for the air carrier separately
ably identifiable. for all time periods, except that the tax
(c) Amortization expense attributable to
capital leases recorded in balance sheet Ac-
effect of carryback and carryforward
count 1795, Leased Property under Capital operating losses, investment tax cred-
Leases; its, or other tax credits generated by
(d) Costs related to property held for fu- operations of the air carrier shall be re-
ture use; corded by the air carrier during the pe-
(e) Donations for charitable, social or com- riod in which applied in settlement of
munity welfare purposes;
(f) Losses on reacquired and retired or re- the taxes otherwise attributable to any
sold debt securities of the air carrier; member, or combination of members,
(g) Losses resulting from troubled debt of the affiliated group. Any difference
restructurings; between the income tax so recorded
(h) Losses on uncollectible nonoperating and the amount at which settlement is
receivables; or
to be made shall be recorded in sub-
(i) Accruals to allowance for uncollectible
nonoperating receivables. account 88.1 Intercompany Transaction
Adjustment—Credit or in subaccount
(Secs. 204, 404, 407, and 1002 of the Federal
89.1 Intercompany Transaction Adjust-
Aviation Act of 1958, as amended, 72 Stat.
743, 760, 766, 788, (49 U.S.C. 1324, 1374, 1377, ment—Debit, as is appropriate.
1482)) (c) This account shall be subdivided
[ER–980, 42 FR 38, Jan. 3, 1977, as amended by as follows by all carrier groups:
ER–1013, 42 FR 37516, July 21, 1977; ER–1027,
91.1 Income Taxes Before Investment Tax
42 FR 60128, Nov. 25, 1977; ER–1076, 43 FR
Credits.
46296, Oct. 6, 1978; ER–1401, 50 FR 245, Jan. 3,
1985; Amdt. 241–58, 54 FR 5596, Feb. 6, 1989] Record here accruals of income taxes based
upon taxable income of the period.
Section 15 Objective Classification—
Income Taxes for Current Period 91.2 Investment Tax Credits Utilized.

91 Provision for Income Taxes. Record here investment tax credits utilized
to reduce the accrued liability for income
(a) Record here quarterly provisions taxes.
for accruals of Federal, State, local,
[Amdt. 241–58, 54 FR 5596, Feb. 6, 1989]
and foreign taxes based upon net in-
come, computed at the normal tax and 92 Provisions for Deferred Income
surtax rates in effect during the cur- Taxes.
rent accounting year. In general, this
account shall reflect provisions within (a) Record here income tax debits and
each period for currently accruing tax credits deferred in accordance with the
liabilities as actually or constructively provisions of balance sheet account
computed on tax returns, and any sub- 2340 Deferred Income Taxes for all ma-
sequent adjustments. This account terial timing differences.
shall include credits for refund claims (b) This account shall be subdivided
arising from the carryback of losses in as follows by all air carrier groups:

159
Section 16 14 CFR Ch. II (1–1–19 Edition)
92.1 Current Provisions for Deferred Taxes. Section 17 Objective Classification—
Extraordinary Items
92.2 Application of Taxes Deferred.

92.3 Adjustments of Deferred Taxes. 96 Extraordinary Items.

Record here material items charac-
[ER–948, 41 FR 12296, Mar. 25, 1976] terized by their unusual nature and in-
93 Investment Tax Credits Deferred frequent occurrence. Events or trans-
and Amortized. actions which are material and either
unusual or nonrecurring, but not both,
(a) Record here investment tax cred- shall be recorded in the profit and loss
its of the current period which are accounts to which they relate and dis-
transferred to balance sheet account closed on BTS Form 41 Schedule P–2
2345 Deferred Investment Tax Credits with identification as to their nature
in accordance with the provisions of
and financial effects.
balance sheet account 2130 Accrued
Taxes. This account shall also include [Amdt. 241–58, 54 FR 5596, Feb. 6, 1989, as
amounts for previously deferred invest- amended at 60 FR 66723, Dec. 26, 1995]
ment tax credits amortized during the
current period. 97 Income Taxes Applicable to Ex-
(b) This account shall be subdivided traordinary Items.
as follows by all carrier groups: Record here income taxes allocable
93.1 Investment Tax Credits Deferred. to items of income included in profit
and loss account 96 Extraordinary
93.2 Amortization of Deferred Investment Tax Items and income tax assessments that
Credits. do not constitute ordinary adjustments
of a recurrent nature. Records sup-
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend-
ed by ER–980, 42 FR 39, Jan. 3, 1977]
porting entries to this account shall be
maintained with sufficient particu-
Section 16 Objective Classification— larity to identify the nature and gross
Discontinued Operations amount of each extraordinary credit
and each extraordinary debit.
95 Discontinued Operations.
[ER–948, 41 FR 12296, Mar. 25, 1976]
(a) Record here the earnings (losses)
of discontinued nontransport oper- Section 18 Objective Classification—
ations. For the purposes of this system Cumulative Effect of Changes in Ac-
of accounts and reports discontinued counting Principles
operations shall refer to the disposal of
investor controlled companies and non- 98 Cumulative Effect of Changes in
transport ventures whether sold, aban- Accounting Principles.
doned, spun off, or otherwise disposed Record here the difference between
of. This account shall not include earn- the amount of retained earnings at the
ings or losses from discontinued trans- beginning of the period of a change in
port or transport-related operations.
accounting principle and the amount of
(b) This account shall be subdivided
retained earnings that would have been
as follows by all air carrier groups:
reported at that date if the new ac-
95.1 Income from Discontinued Operations. counting principle had been applied
Record here the results of operations of the
retroactively for all periods which
discontinued operations. would have been affected and by recog-
nizing only the direct effects of a
95.2 Loss of Disposal of Discontinued change and the related income tax ef-
Operations. fect.
Record here the gain or loss on the dis-
[ER–948, 41 FR 12296, Mar. 25, 1976]
posal of an operation. If loss is anticipated it
should be provided for at the measurement
date. If gain is anticipated it should be rec-
ognized when realized.
[ER–948, 41 FR 12296, Mar. 25, 1976]

160
Office of the Secretary, DOT Sec. 19–3
OPERATING STATISTICS CLASSIFICATIONS (c) Operating statistics shall be
maintained in accordance with the
Section 19 Uniform Classification of type of record, either nonstop segment
Operating Statistics or on-flight market.
Sec. 19–1 Applicability. (d) Schedule T–100 collects summa-
rized flight stage data and on-flight
(a) United States air carrier. Each market data. All traffic statistics shall
large certificated U.S. air carrier shall be compiled in terms of each revenue
file with the Department, on a monthly flight stage as actually performed. The
basis, Form 41 Schedule T–100 ‘‘U.S. detail T–100 data shall be maintained
Air Carrier Traffic and Capacity Data in a manner permitting monthly sum-
By Nonstop Segment and On-flight marization and organization into two
Market,’’ and summary data as pre- basic groupings: The nonstop segment
scribed in this section and in sections information that must be summarized
22 and 25 of this part. by equipment type, within class of
(b) Foreign (non-U.S.) air carrier: Each service, within pair-of-points, without
foreign air carrier as required by part regard to individual flight numbers.
217 of this chapter shall file Form 41 The second grouping requires that the
Schedule T–100(f) ‘‘Foreign Air Carrier enplanement/deplanement information
Traffic Data by Nonstop Segment and On- be broken out into separate units
flight Market.’’ The ‘‘Instructions to called ‘‘on-flight market records.’’
Foreign Air Carriers for Reporting Traffic These records must be summarized by
Data on Form 41 Schedule T– 100(f),’’ class of service, within pair-of-points,
(Instructions-Foreign Air Car- riers) are without regard for equipment type or
included in the Appendix to flight number.
§ 217.10 of this chapter. (e) The Department may authorize
(c) Reports required by this section joint-service operations between two
shall be submitted to the Bureau of direct air carriers. Examples of these
Transportation Statistics in a format joint-services are blocked-space agree-
specified in accounting and reporting ments, part-charter agreements, code-
directives issued by the Bureau of share agreements, wet-lease agree-
Transportation Statistics’ Director of ments, and other similar arrange-
Airline Information. ments. Joint services operations are re-
(d) On-flight market and nonstop seg- ported by the air carrier in operational
ment detail data by carrier shall be control of the aircraft. The traffic
made public only as provided in section moving under these agreements is re-
19–6. ported on Schedule T–100 the same way
[53 FR 46305, Nov. 16, 1988; 53 FR 52404, Dec. as any other traffic on the aircraft.
28, 1988, as amended at 60 FR 66723, Dec. 26, (f) Any questions regarding T–100
1995; 67 FR 49223, July 30, 2002; 75 FR 41583, should be e-mailed to
July 16, 2010]
[email protected].
Sec. 19–2 Maintenance of data. [53 FR 46305, Nov. 16, 1988, as amended at 75
(a) Each air carrier required to file FR 41583, July 16, 2010]
Form 41 Schedule T–100 data shall
Sec. 19–3 Accessibility and transmittal
maintain its operating statistics, cov- of data.
ering the movement of traffic in ac-
cordance with the uniform classifica- (a) Each reporting air carrier shall
tions prescribed. Codes are prescribed maintain its prescribed operating sta-
for each operating element and service tistics in a manner and at such loca-
class. All traffic statistics shall be tions as will permit ready accessability
compiled in terms of each flight stage for examination by representatives of
as actually performed. the Department. The record retention
(b) Each carrier shall maintain data requirements are prescribed in part 249
applicable to the specified traffic and of this chapter.
capacity elements prescribed in section (b) [Reserved]
19–5 and section 25, and by general (c) Form 41 Schedule T–100 reports
service classes prescribed in section 19– shall be transmitted in accordance
4 of this part. with the standard practices established

161
Sec. 19–4 14 CFR Ch. II (1–1–19 Edition)
by the Department, and must be re- ble to the performance of nonscheduled
ceived by the Department within 30 aircraft charters, and other air trans-
days following the end of each report- portation services not constituting an
ing month. integral part of services performed pur-
[53 FR 46305, Nov. 16, 1988; 53 FR 52404, Dec. suant to published flight schedules.
28, 1988, as amended at 67 FR 49223, July 30, The following classifications shall be
2002] reported, as applicable:

Sec. 19–4 Service classes. U.S. Air Carriers:

V—Nonscheduled Services (L + N + P + R)
The statistical classifications are de- L—Nonscheduled Civilian Passenger/Cargo
signed to reflect the operating ele- P—Nonscheduled Civilian Cargo N—
ments attributable to each distinctive Nonscheduled Military Passenger/Cargo R—
class of service offered. The operating Nonscheduled Military Cargo
elements shall be grouped in accord- Foreign Air Carriers:
ance with their inherent characteris- L—Nonscheduled Civilian Passenger Cargo
tics as follows: P—Nonscheduled Civilian All-Cargo Char-
(a) Scheduled services. Scheduled serv- ters
ices shall include traffic and capacity Q—Nonscheduled Services (Other than
elements applicable to air transpor- Charter)
tation provided pursuant to published (c) All Services. This classification
schedules and extra sections to sched- shall reflect, for the applicable ele-
uled flights. Scheduled Passenger/ ments, the aggregate amounts for all
Cargo (Service Class F) is a composite services performed by the operating en-
of first class, coach, and mixed pas- tity:
senger/cargo service. The following
classifications shall be reported, as ap- U.S. Air Carriers:
plicable: Z—All Services (V + K)
U.S. Air Carriers: Sec. 19–5 Air transport traffic and ca-
K—Scheduled Services (F + G) pacity elements.
F—Scheduled Passenger/Cargo
G—Scheduled All-Cargo (a) Within each of the service classi-
Foreign Air Carriers: F— fications prescribed in section 19–4,
Scheduled Passenger/Cargo G— data shall be reported as applicable to
Scheduled All-Cargo specified air transport traffic and ca-
(b) Nonscheduled services. Non- pacity elements.
scheduled services shall include all (b) These reported items are as fol-
traffic and capacity elements applica- lows:

Code Description Segment Market Computed by

DOT

Carrier, carrier entity code .............................................. S M

Reporting period date ...................................................... S M
Origin airport code ........................................................... S M
Destination airport code .................................................. S M
Service class code .......................................................... S M
Aircraft type code ............................................................ S
110 ................. Revenue passengers enplaned ...................................... M
130 ................. Revenue passengers transported ................................... S
140 ................. Revenue passenger-miles ............................................... CFD *
210 ................. Revenue cargo tons enplaned ........................................ CFD *
217 ................. Enplaned freight .............................................................. M
219 ................. Enplaned mail .................................................................. M
230 ................. Revenue tons transported ............................................... CFD *
237 ................. Transported freight .......................................................... S
239 ................. Transported mail ............................................................. S
240 ................. Revenue ton-miles .......................................................... CFD *
241 ................. Revenue ton-miles passenger ........................................ CFD *
247 ................. Revenue ton-miles freight ............................................... CFD *
249 ................. Revenue ton-miles mail ................................................... CFD *
270 ................. Available capacity payload .............................................. S
280 ................. Available ton-miles .......................................................... CFD *
310 ................. Available seats, total ....................................................... S
320 ................. Available seat-miles ........................................................ CFD *
410 ................. Revenue aircraft miles flown ........................................... CFD *
430 ................. Revenue aircraft miles scheduled ................................... CFD *

162
Office of the Secretary, DOT Sec. 19–5

Code Description Segment Market Computed by

DOT

501 ................. Inter-airport distance ....................................................... CFD *

510 ................. Revenue aircraft departures performed .......................... S
520 ................. Revenue aircraft departures scheduled .......................... S
610 ................. Revenue aircraft hours (airborne) ................................... S
630 ................. Aircraft hours (ramp-to-ramp) .......................................... S
650 ................. Total aircraft hours (airborne) ......................................... S
* CFD = Computed by DOT from detail Schedule T–100 and T–100(f) data.

(c) These reported items are further passengers in a market. Under the T–
described as follows: 100 system of reporting, these enplaned
(1) Reporting period date. The year and passengers are the sum of the pas-
month or quarter to which the reported sengers in the individual on-flight mar-
data are applicable. kets. Report only the total revenue
(2) Carrier, Carrier entity code. Each passengers enplaned in item 110. For all
foreign air carrier shall report its name air carriers and all entities, item 110
and code (assigned by DOT). Each U.S. revenue passengers enplaned is re-
air carrier shall report its name and ported on Form 41 Schedule T–100 in
entity code (a five digit code assigned column C–1, as follows:
by DOT that identifies both the carrier
and its entity) for its particular oper- Col. All carrier groups and entities
ations. The Office of Airline Informa- C–1 ........... 110 Revenue passengers enplaned.
tion (OAI) will assign or confirm codes
upon request; OAI’s address is in the (8) 130 Revenue passengers transported.
Appendix to section 25 of this part and The total number of revenue pas-
the Appendix to § 217.10 of this chapter. sengers transported over single flight
(3) Service class code. The service class stage, including those already on board
codes are prescribed in section 19–4 of the aircraft from a previous flight
this part. In general, classes are di- stage. Report only the total revenue
vided into two broad categories, either passengers transported in item 130. For
K (scheduled) or V (nonscheduled), all air carriers and all entities, item
where K = F + G for all carriers and V 130 revenue passengers transported is
= L + N + P + R for U.S. air carriers reported on Form 41 Schedule T–100 in
and comprises L + P and Q for foreign Column B–7, as follows:
air carriers. Refer to section 19–4 for
the more information on service class Col. All carrier groups and entities
codes F, G, L, N, P, R and Q.
B–7 ........... 130 Revenue passengers transported.
(4) Record type code. This code indi-
cates whether the data pertain to non-
stop segment (record type S) or on- (9) 140 Revenue passenger-miles. Com-
flight market (record type M). puted by multiplying the interairport
(5) Aircraft type code. This code rep- distance of each flight stage by the
resents the aircraft types, as described number of passengers transported on
in the Appendix to section 25 of this that flight stage.
part. (10) 210 Revenue cargo tons enplaned.
(6) Origin, Destination airport code(s). The total number of cargo tons en-
These codes represent the industry des- planed. This data element is a sum of
ignators described in the Appendix to the individual on-flight market figures
section 25 of this part. A common pri- for each of the following categories: 217
vate industry source of these industry Freight and 219 mail. This element rep-
designator codes is the Official Airline resents an unduplicated count of the
Guides (OAG). OAI will assign codes revenue traffic in a market.
upon request if not listed in the OAG. (11) 230 Revenue tons transported. The
(7) 110 Revenue passengers enplaned. number of tons of revenue traffic trans-
The total number of revenue pas- ported. This element is the sum of the
sengers enplaned at the origin point of following elements: 231 Passengers
a flight, boarding the flight for the transported-total, 237 Freight, and 239
first time; an unduplicated count of Mail.

163
Sec. 19–5 14 CFR Ch. II (1–1–19 Edition)
(12) 240 Revenue ton-miles—total. Ton- maintained in conformity with the air-
miles are computed by multiplying the port pairs between which service is
revenue aircraft miles flown (410) on scheduled, whether or not in accord-
each flight stage by the number of tons ance with actual performance.
transported on that stage. This ele- (22) 501 Interairport distance. The
ment is the sum of 241 through 249. great circle distance, in official statute
(13) 241 Revenue ton-miles—passenger. miles as prescribed in part 247 of this
Equals the number of passengers times chapter, between airports served by
200, times interairport distance, di- each flight stage. Official interairport
vided by 2000. A standard weight of 200 mileage may be obtained from the Of-
pounds per passenger, including bag- fice of Airline Information at the ad-
gage, is used for all operations and
dress included in section 25 of this part.
service classes.
(14) 247 Revenue ton-miles—freight. (23) Revenue aircraft departures per-
Equals the volume of freight in whole formed. The number of revenue aircraft
tons times the interairport distance. departures performed.
(15) 249 Revenue ton-miles—mail. (24) 520 Revenue aircraft departures
Equals the volume of mail in whole scheduled. The number of revenue air-
tons times the interairport distance. craft departures scheduled, whether or
(16) 270 Available capacity-payload. not actually performed.
The available capacity is collected in (25) 610 Revenue aircraft hours (air-
pounds. This figure shall reflect the borne). The elapsed time, computed
payload or total available capacity for from the moment the aircraft leaves
passengers, mail and freight applicable the ground until its next landing.
to the aircraft with which each flight (26) 630 Aircraft hours (ramp-to-ramp).
stage is performed. The elapsed time, computed from the
(17) 280 Available ton-miles. The air- moment the aircraft first moves under
craft miles flown on each flight stage its own power from the boarding ramp
multiplied by the available capacity on at one airport to the time it comes to
the aircraft in tons. rest at the ramp for the next point of
(18) 310 Available seats. The number of landing. This data element is also re-
seats available for sale. This figure re- ferred to as ‘‘block’’ and block-to-block
flects the actual number of seats avail-
aircraft hours.
able, excluding those blocked for safety
or operational reasons. Report the (27) 650 Total aircraft hours (airborne).
total available seats in item 310. For The elapsed time, computed from the
all air carriers and all entities, item moment the aircraft leaves the ground
310 available seats, total is reported on until it touches down at the next land-
Form 41 Schedule T–100 in column B–4, ing. This includes flight training, test-
as follows. ing, and ferry flights.
(28) 810 Aircraft days assigned to serv-
Col. All carrier groups and entities ice—carrier’s equipment. The number of
B–4 ........... 310 Available seats, total. days that aircraft owned or acquired
through rental or lease (but not inter-
(19) 320 Available seat-miles. The air- change) are in the possession of the re-
craft miles flown on each flight stage porting air carrier and are available for
multiplied by the seat capacity avail- service on the reporting carrier’s
able for sale. routes plus the number of days such
(20) 410 Revenue aircraft miles flown. aircraft are in service on routes of oth-
Revenue aircraft miles flown are com- ers under interchange agreements. In-
puted in accordance with the airport cludes days in overhaul, or temporarily
pairs between which service is actually out of service due to schedule cancella-
performed; miles are generated from tions. Excludes days that newly ac-
the data for scheduled aircraft depar- quired aircraft are on hand, but not
tures (Code 520) times the interairport available for productive use, days
distances (Code 501). rented or leased to others (for other
(21) 430 Revenue aircraft miles sched- than interchange) and days in posses-
uled. The number of revenue aircraft sion but formally withdrawn from air
miles scheduled. All such data shall be transportation service.

164
Office of the Secretary, DOT Sec. 19–7
(29) 820 Aircraft days assigned to serv- ment may, at any time, publish inter-
ice—carrier’s routes. The same as ‘‘air- national summary statistics without
craft days assigned to service—car- carrier detail. Further, the Department
rier’s equipment,’’ but excluding the may release nonstop segment and on-
number of days that the reporting car- flight market detail data by carrier be-
rier’s owned or rented equipment are in fore the end of the confidentiality pe-
the possession of others under inter- riod as follows:
change agreements and including the (1) To foreign governments as pro-
number of days aircraft of others are in vided in reciprocal arrangements be-
the possession of the reporting air car- tween the foreign country and U.S.
rier under interchange agreements. Government for exchange of on-flight
(30) 921 Aircraft fuels issued (gallons). market and/or nonstop segment data
The amount of aircraft fuels issued, in submitted by air carriers of that for-
U.S. gallons, during the reporting pe- eign country and U.S. carriers serving
riod for both revenue and nonrevenue that foreign country;
flights. (2) To parties to any proceeding be-
[53 FR 46305, Nov. 16, 1988, as amended by fore the Department under Title IV of
Amdt. 241–58, 54 FR 7184, Feb. 17, 1989; 60 FR the Federal Aviation Act of 1958, as
66723, Dec. 26, 1995; 62 FR 6718, Feb. 13, 1997; amended, as required by the Adminis-
67 FR 49224, July 30, 2002] trative Law Judge or other decision-
maker of the Department. Parties may
Sec. 19–6 Public disclosure of traffic
data. designate agents or consultants to re-
ceive the data in their behalf, provided
(a) Detailed domestic on-flight mar- the agents or consultants agree to
ket data and nonstop segment data ex- abide by the disclosure restrictions.
cept military data shall be made pub- Any data to which access is granted
licly available after processing. Domes- pursuant to this provision may be in-
tic data are defined as data from air troduced into evidence, subject to the
transportation operations from a place normal rules of admissibility of evi-
in any State of the United States, the dence.
District of Columbia, the Common- (3) To agencies and other components
wealth of Puerto Rico and the Virgin of the U.S. Government for their inter-
Islands, or a U.S. territory or posses- nal use only.
sion to a place in any State of the
United States, the District of Colum- [Amdt. 241–59, 56 FR 2845, Jan. 25, 1991, as
bia, the Commonwealth of Puerto Rico amended at 62 FR 6719, Feb. 13, 1997; 67 FR
and the Virgin Islands, or a U.S. terri- 49224, July 30, 2002]
tory or possession. Domestic military
operations are reported under service Sec. 19–7 Passenger origin-destination
survey.
codes N or R.
(b) Detailed international on-flight (a) All U.S. large certificated air car-
market and nonstop segment data in riers conducting scheduled passenger
Schedule T–100 and Schedule T–100(f) operations (except helicopter carriers)
reports, except military data, shall be shall participate in a Passenger Origin-
publicly available immediately fol- Destination (O & D) Survey covering
lowing the Department’s determina- domestic and international operations,
tion that the database is complete, but as described in the instructions manual
no earlier than six months after the entitled, Instructions to Air Carriers for
date of the data. Military operations Collecting and Reporting Passenger Ori-
are reported under service codes N or gin-Destination Survey Statistics (Appen-
R. Data for on-flight markets and non- dix A to this section), and in Passenger
stop segments involving no U.S. point Origin-Destination Directives issued by
shall not be made publicly available for the Department’s Bureau of Transpor-
three years. Industry and carrier sum- tation Statistics (BTS), Office of Air-
mary data may be made public before line Information (OAI). Copies of these
the end of six months or the end of Instructions and Directives are provided
three years, as applicable, provided to each large carrier participating in
there are three or more carriers in the the Survey. Copies are also available
summary data disclosed. The Depart- from the Office of Airline Information,

165
Sec. 19–7 14 CFR Ch. II (1–1–19 Edition)
K–25, U.S. Department of Transpor- ests. Therefore, because of the dam-
tation, 1200 New Jersey Avenue, SE., aging competitive impact on U.S. car-
Washington, DC 20590. Copies of these riers and the adverse effect upon the
Instructions and Directives are available public interest that would result from
on the BTS Web page at (http:// unilateral disclosure of the U.S. survey
www.bts.gov/programs/ data, the Department has determined
airlinelinformation/). its policy to be that the international
(b) Reports required by this section data in the Passenger Origin-Destina-
shall be submitted to the Bureau of tion Survey shall be disclosed only as
Transportation Statistics in a format follows:
specified in accounting and reporting (1) To an air carrier directly partici-
directives issued by the Bureau of pating in and contributing input data
Transportation Statistics’ Director of to the Survey or to a legal or con-
Airline Information. sulting firm designated by an air car-
(c) A statistically valid sample of rier to use on its behalf O & D data in
light coupons shall be selected for re- connection with a specific assignment
porting purposes. The sample shall con- by such carrier.
sist of at least 1 percent of the total (2) To parties to any proceeding be-
lifted ticket flight coupons for all large fore the Department to the extent that
domestic markets listed in the Instruc- such data are relevant and material to
tions and 10 percent for all others—in- the issues in the proceeding upon a de-
cluding domestic and international termination to this effect by the Ad-
markets. The sample shall be selected ministrative Law Judge or by the De-
and reported in accordance with the re- partment’s decision-maker. Any data
quirements of paragraph (a) of their to which access is granted pursuant to
section, except that the participating O this section may be introduced into
& D carriers with nonstandard evidence subject to the normal rules of
ticketing procedures, or other special admissability of evidence.
operating characteristics, may propose (3) To agencies and other components
alternative procedures. Such depar- of the U.S. Government.
tures from standard O & D Survey (4) To other persons upon a showing
practices shall not be authorized unless that the release of the data will serve
approved in writing by the Director, specifically identified needs of U.S.
Office of Airline Information under the users which are consistent with U.S.
procedures in Sec. 1–2 of 14 CFR part interests.
241. The data to be recorded and re- (5) To foreign governments and for-
ported from selected lifted ticket flight eign users as provided in formal recip-
coupons, as stipulated in the Instruc- rocal arrangements between the for-
tions and Directives shall include the eign and U.S. governments for the ex-
following data elements: Point of ori- change of comparable O & D data.
gin, carrier on each flight-coupon (e) The Department reserves the
stage, fare-basis code for each flight- right to make such other disclosures of
coupon stage, points of stopover or the O & D data as is consistent with its
connection (interline and intraline), regulatory functions and responsibil-
point of destination, number of pas- ities.
sengers, and total dollar value of ticket
(fare plus tax). APPENDIX A TO § 19–7—INSTRUCTIONS TO AIR
(d) Data covering the operations of CARRIERS FOR COLLECTING AND REPORTING
foreign air carriers that are similar to PASSENGER ORIGIN-DESTINATION SURVEY
the information collected in the Pas- STATISTICS
senger Origin-Destination Survey are All questions, comments, extension and
generally not available to the Depart- waiver requests should be e-mailed to
ment, the U.S. carriers, or U.S. inter- [email protected].

166
Office of the Secretary, DOT Sec. 19–7

B. Narrative Description tickets (a portion of a multi-part ticket

booklet of three 1 or more coupons, including
A single O&D Survey is conducted continu- one for each stage of the passenger’s trip
ously by the large U.S. certificated air car- itinerary which is lifted by the carrier as the
riers. Foreign air carriers do not directly passenger boards a particular flight seg-
participate in the Survey, although some of ment).
their data are captured in the Survey, since
The Survey data are taken from the cou-
passengers who share a ticketed itinerary be-
pon that is lifted by a participating carrier,
tween a U.S. carrier and a foreign carrier
unless it is apparent from the lifted coupon
may be sampled by the U.S. carrier. The au-
that another participating carrier has al-
thority for these instructions is found in 14
ready recorded and reported the data, in
CFR part 241, section 19–7, and in the CAB
which instance the ticket coupon is non-re-
Sunset Act of 1984 (Pub. L. 94–443).
portable for the second honoring/partici-
The Survey samples revenue passenger
pating carrier. The complete passenger
trips moving in whole or in part on domestic
itinerary, and related data on type of fare
and/or international scheduled services of
and dollar value of the ticket, is recorded as
the carriers participating in the Survey. In
general, these requirements do not apply to
small certificated, all-cargo and all charter 1 Each ticket booklet is comprised of one or

carriers. more flight coupons for passenger travel in a

The source documents for the Survey data city-pair market, plus a passenger coupon
are passenger tickets. These data are col- (the traveler’s receipt) and the auditor cou-
lected from the ‘‘lifted’’ flight coupons of pon (for the carrier’s internal controls).

167
Sec. 19–7 14 CFR Ch. II (1–1–19 Edition)
one entry from the sampled, reportable cated air carriers conducting scheduled pas-
flight coupon. senger services (except helicopter carriers).
The recording of data from the sampled These participating carriers collect and re-
flight coupon normally consists of tran- port data in accordance with these Instruc-
scribing the information exactly as indicated tions, and supplemental Passenger Origin-Des-
on the ticket. The detail recorded for each tination Directives that may be issued periodi-
trip shows the complete routing from the or- cally. The list of participating carriers will
igin city (airport code) to the destination be issued by reporting directive under the
city (airport code) including, in sequence authority in 14 CFR 385.27(b).
from the origin, each point of transfer and B. Amendments to list of participating car-
stopover (intraline and interline), the sum- riers. As new carriers begin service, they will
marized fare-basis code shown for each flight be required to file O&D Survey Data. These
coupon stage of the itinerary, and the total carriers will not be added to the partici-
dollar value of the fare and tax for the entire pating carrier list automatically, but will be
ticket. added when the next annual review is made.
Prior to 1987, the Survey was generally
based on a 10-percent sample of passenger IV. SUBMISSION OF REPORTS
tickets. Beginning July 1, 1987, the Survey is A. Period covered by reports. Reports are to
collected primarily on the basis of a strati-
be filed for each calendar quarter of the year
fied, scientific sample of at least 1 percent of
as shown below:
tickets in domestic major markets and 10
percent of tickets in all other domestic and Report Time period covered
in all international city-pair markets. The
Survey data are taken from the selected 1st quarter ............................... Jan. 1 through Mar. 31.
flight coupons of the tickets sampled: single- 2nd quarter ............................. Apr. 1 through June 30.
3rd quarter .............................. July 1 through Sept. 30.
coupon or double-coupon round trips in do- 4th quarter .............................. Oct. 1 through Dec. 31.
mestic major markets where the ticket se-
rial number ends in double zero (00) and all
B. Filing date for reports. Reports are to be
other ticket coupons ending in zero (0). This
filed with the Department on or before the
procedure yields a ‘‘two-tiered’’ stratified
dates listed below. The mailing address is on
sample.
the inside cover to these instructions.
Group tickets are included on the basis of
a 10-percent sample when the number of pas- Report Due date 1
sengers on such a group ticket is 10 or less.
Group tickets with more than 10 passengers 1st quarter ............................................... May 15
on each ticket are included on the basis of a 2nd quarter .............................................. Aug. 15
100 percent census, i.e., all such tickets are 3rd quarter ............................................... Nov. 15
4th quarter ............................................... Feb. 15
sampled, regardless of serial number, and the
total data listed are conformed to a 10 per- 1 Due dates falling on Saturday, Sunday or national holiday

cent sample for inclusion in the O&D Survey. will become effective the first following work day.
Following the selection of reportable flight C. Format of the Report. Reports required by
coupons and the recording of data, each par- this section shall be submitted to the Bureau
ticipating carrier shall edit and summarize 2 of Transportation Statistics in a format
the data into a quarterly report to the De- specified in accounting and reporting direc-
partment. tives issued by the Bureau of Transportation
Statistics’ Director of Airline Information.
II. EFFECTIVE DATE OF INSTRUCTIONS D. [Reserved]
These data collection and reporting in- E. All reports shall be filed with the Bu-
structions are effective on and after July 1, reau of Transportation Statistics in a format
1987 and apply to all flight coupons lifted on specified in accounting and reporting direc-
or after July 1, 1987. tives issued by the Bureau of Transportation
Statistics’ Director of Airline Information.
III. CARRIERS P ARTICIPATING IN S URVEY
V. SELECTION OF S AMPLE AND R ECORDING OF
A. Participating carriers. As defined in sec-
DATA. 4
tion 19–7 of the Department’s Economic Reg-
ulations (14 CFR part 241), the participants A. Sampling Basis. Each participating car-
in the O&D Survey include all large certifi- rier in this O&D Survey shall search all list-
ed flight coupons, whether the coupons are
2 These summarization procedures include

showing two or more passengers with the 4 Upon approval of the Director, Office of

same itinerary as one O&D record and com- Airline Information, carriers may continue
pressing extremely lengthy itineraries (such current reporting procedures (up to twenty-
as around-the-world tickets) into a standard three stages of a passenger flight) and may
trip stage length limit (which may be either report a uniform 10 percent sample of tickets
seven or twenty-three stages, at the carrier’s lifted (each zero ending lifted coupon) with-
option), as explained in Section V.D. out reducing the sample size from 10 percent

168
Office of the Secretary, DOT Sec. 19–7
its own ticket stock or on the ticket stock of (1) Alternative sampling procedures or al-
another U.S. or foreign carrier (either stand- ternative O&D data systems may be pro-
ard IATA and ARC ticket stock or non- posed by participating carriers with non-
standard ticket stock), and is to select for re- standard ticketing procedures, or other spe-
porting purposes the following flight coupons: cial operating characteristics. Data reported
(1) Major domestic markets. All single-pas- under proposed alternative procedures must
senger flight coupons that are either a single approximate the usefulness and statistical
flight coupon ticket or part of a round trip, validity of the O&D Survey.
two coupon ticket where the ticket serial (2) Such departures from the prescribed
number ends in the digits double-zero (00). O&D Survey practices shall not be author-
ized unless approved in writing by the Direc-
NOTE. The list of major domestic markets
tor, Office of Airline Information (address in-
will be issued by reporting directive under
side front cover). The proposed alternative
the authority in 14 CFR 385.27(b).
O&D Survey procedures must be described in
(2) International markets and all other domes- detail in the letter requesting the waiver.
tic markets. (a) All single-passenger flight D. Recording of Data from Reportable Flight
coupons with ticket serial numbers ending Coupons. (1) The following items are to be re-
with the digit zero (0); ported from the reportable flight coupons:
(b) Those group-ticket flight coupons with (a) Point of origin,
10 or fewer passengers with ticket serial (b) Operating carrier on each flight stage
numbers ending with the digit zero (0); (if unknown, identify ticketed carrier),
(c) Those group-ticket flight coupons with (c) Ticketed carrier on each flight stage,
11 or more passengers without regard to se- (d) Fare-basis on each flight coupon, C, D,
rial number; and F, G, X or Y,
(d) Itineraries in major domestic markets (e) Points of stopover or connection (inter-
that comprise more than two coupons are line and intraline),
sampled on a uniform 10 percent basis, by se-
(f) Point of destination,
lecting all ticket serial numbers ending with
(g) Number of passengers, and
the digit zero (0).
B. Selection of Reportable Flight Coupons. (h) Total dollar value of ticket (fare plus
The flight coupons identified above are to be tax and other charges, such as Passenger Fa-
examined to isolate the reportable flight cility Charges).
coupons, i.e. coupons from which data are to (2) The individual items are to be recorded
be recorded. Flight coupon data are reported in the sequence of occurrence in the
only by the first honoring and participating itinerary as follows:
carrier (operating carrier). Such carriers (a) All entries for points (airport codes 5) in
shall report the required data for the entire an itinerary are to be recorded in three-let-
ticketed itinerary. ter airport code data to fit into the stage-
If a participating carrier has preceded an length limitation (seven or twenty-three
examining carrier on any stage in the trip stages at the carrier’s option), all airport
itinerary, including any stage in a conjunc- codes are to be reported, including data on
tion itinerary and any stage in a reissued commuter, foreign, intra-state and other
ticket (either before or after reissue) that carriers’ portions of itineraries. Normally
coupon is not reportable. codes are recorded as they appear on the
For conjunction tickets, the ticket number ticket. However, if a code is obviously incor-
for the first ticket booklet determines if the rect, record the correct code. For instance, if a
conjunction tickets should be reported in the ticket is coded DCA-NYC or Washington/Na-
Survey. Otherwise, conjunction tickets do tional to New York when the flight stage ac-
not require special treatment and are gov- tually operated from Washington, Dulles to
erned by the rules for regular tickets. Newark (EWR), record the correct airport
No adjustment is made in the Survey for code. When only name spellings of a city ap-
alterations or changes in the trip itinerary pear on the ticket for multi-airport cities
subsequent to the stage covered by the re- (such as Washington, New York, San Fran-
portable coupon. cisco, or Los Angeles), record the specific
C. Optional Use of Other Sampling Proce- three letter airport code. In cases where two
dures. airport codes are shown on the ticket for a
point, such as when the passenger arrives at
an airport such as San Francisco and departs
to 1 percent for domestic major markets. from another local airport such as Oakland,
Note that the domestic major markets will record the code for the arrival airport, enter
be reviewed each year at June 30, based on
the prior 12 months O&D data, and the list
amended as necessary. The list could remain 5 Codes to be used are those appearing in

static for more than a year, although it will the Official Airline Guide at the time the data
be reviewed annually. Necessary amend- are being recorded. If a code is not found in
ments will be effective on January 1 of the the OAG, contact the Director, Office of Air-
following year. line Information (address inside front cover).

169
Sec. 19–7 14 CFR Ch. II (1–1–19 Edition)
a surface segment indicator (—) to the depar- the beginning or end of an itinerary, the sur-
ture airport, and record the departure air- face indicator is to be omitted). For exam-
port code. (When the surface portion is at ple:
000001 UCA YV UA Y JFK TW TW X

Passenger(s) Utica Mesa United Fare Code New York TWA TWA Fare Code
Operating Ticketed Kennedy Operating Ticketed
Carrier Carrier Airport Carrier Carrier

SURFACE TRANSPORTATION
SFO (Blank space)

San Francisco Operating Carrier Ticketed Carrier Fare Code

OAK UA UA G LAX DL DL F

Oakland United United Fare Los Angeles Delta Delta Fare Code
Operating Ticketed Operating Operating
Carrier Carrier Carrier Carrier

SLC NW NW D PHX AA AA C LAX

Salt Lake City Northwest Northwest Fare Code Phoenix American American Fare Code Los Ange-
Operating Ticketed Operating Ticketed les
Carrier Carrier Carrier Carrier

JL JL C NRT 04596

Japan Air Lines Japan Air Lines Fare Code Tokyo Narita Dollars of Fare + Tax
Operating Ticketed
Carrier Carrier

In the above example, the passenger trip share where it is not a party to the code-
stages or segments are compressed into the share segment. Except for the infrequent
maximum of 7 stages so that several inter- compression of data to fit into the stage-
mediate city-pairs (Los Angeles to Seattle to length limitation (7 or 23 stages at the car-
Anchorage, or LAX—SEA—Anc) and the re- rier’s option), all carrier codes are to be re-
lated carriers have not been recorded, as pre- corded, including data on air taxis, com-
scribed below in this Section V.D.(3)(e). In muters, intra-state, and other carrier por-
addition, after the fourth city-pair (Los An- tions of itineraries. On tickets involving
geles-Salt Lake City), the passenger trip interchange service or other cooperative car-
itinerary moves from the initial four-part rier arrangements, the juncture point(s)
ticket booklet onto another ‘‘conjunction’’ where the passenger moves from one carrier
ticket, and the summary fare code data are system to another is to be recorded as an in-
not recorded beyond the initial four-part termediate point in the itinerary, even when
ticket. not shown on the ticket and even though the
(b) All entries for operating and ticketed flight may overfly the juncture point.
carriers for a coupon stage of an itinerary (c) Entries for fare-basis codes are to be
are to be recorded using two character IATA- taken from the ‘‘fare basis’’ and ‘‘fare de-
assigned or DOT codes, as in the above exam- scription’’ portions of the ticket and sim-
ple. Note that the fare code summary was plified into the appropriate category, as
properly inserted after the ticketed carrier’s shown below. No attempt shall be made to
code, i.e., UA for United Air Lines and Y for determine and record fare-basis codes for
unrestricted coach class service. When a two- that portion of a conjunction ticket appear-
character carrier code is shown on the tick- ing in the ticket. Fare-basis codes are to be
et, record that code for the ticketed carrier. recorded in one-character alphabetic codes.
However, if a code is obviously incorrect, The fare-basis codes are recorded as follows:
record the correct carrier code. If the report-
C—Unrestricted Business Class D—
ing carrier does not know the operating car-
Restricted Business Class F—
rier on a downline code-share segment, it
would use the ticketed carrier’s code for Unrestricted First Class G—Restricted
both the operating and ticketed carriers. The First Class X—Restricted
reporting carrier is not responsible for know- Coach/Economy Class Y—Unrestricted
ing the operating carrier of a downline code- Coach/Economy Class

170
Office of the Secretary, DOT Sec. 19–7
U—Unknown (This fare category is used destination are retained, but the intermediate
when none is shown on a ticket coupon, or routing is compressed by applying the fol-
when a fare category is not discernible, or lowing rules, in sequence:
when two or more carrier fare codes are (a) Combine any contiguous open, un-
compressed into a single stage of a pas- known carrier, or surface stages eliminating
senger trip). the connecting point, and ignoring the fare-
(d) In recording the number of passengers, basis codes, if different:
each single-passenger ticket is to be re- (b) Combine any contiguous stages via the
corded as one passenger. Tickets for infants same non-U.S. carrier, eliminating the con-
under two years of age not occupying a seat necting point, and ignoring the fare-basis
are not to be counted. A revenue passenger is codes, if different;
defined in Section X. (c) Combine any contiguous stages via dif-
For group tickets of 10 or fewer passengers ferent non-U.S. carrier, making the carrier
per ticket record the actual number of pas- ‘‘UK’’, eliminating the connecting point, and
sengers on each ticket, i.e., either 2, 3, 4, 5, 6, ignoring fare-basis codes, if different:
7, 8, 9 or 10. For group tickets with 11 or (d) Combine any contiguous stages via the
more passengers (those sampled at a 100-per- same U.S. carrier, eliminating the connecting
cent rate) record the actual number of pas- point, and ignoring the fare-basis codes, if
sengers traveling on each ticket, but keep different, and;
these entries separate from the group ticket (e) If the trip, after applying the four steps
records with 10 or fewer passengers and from above, is still too long, record the com-
the single-passenger ticket records. Group pressed routing through to the stage length
tickets with 11 or more passengers are to be limitation city (seventh or twenty-third
sorted and summarized to combine all pas- city), enter UK as the final carrier, and then
sengers for all itineraries which are identical record the ticketed destination as the next
in every respect, i.e., points, carriers, fare (the 8th or 24th) city.
basis codes, and average dollar value (as de-
fined in paragraph (e), below). The total VI. SUMMARIZATION OF RECORDED DATA
number of passengers on each summarized
record is to be divided by 10, rounding to the A. General. Prior to the submission of each
nearest whole passenger. If the quotient ends quarterly report to the Department, each
in 0.5 or more, raise to the next whole pas- carrier is to summarize the data in accord-
senger. If the quotient ends in less than 0.5, ance with the rules in Section VI.B. In spe-
drop the fraction. These large group-ticket cial hardship cases, carriers may submit a
records, after division by 10 for compat- waiver request (with justification under Sec-
ibility with the other data, are to be merged tion 1–2 of 14 CFR part 241) requesting per-
with the single-passenger records and with mission to report their flight coupon records
the group-ticket entries from tickets of 10 or exactly as represented on their lifted tick-
fewer passengers for the quarterly O&D Sur- ets. Waiver requests must provide the docu-
vey report. mentation described in Section VI.C. so that
(e) The total dollar value shall be taken the Department can develop the necessary
from the ‘‘Total’’ box on each ticket and procedures and edit routines to ensure the
shall be the sum of the fare plus tax for the accuracy and reliability of the overall O&D
entire ticket. Record this amount in whole Survey results. The granting of such waivers
U.S. dollars, with the cents dropped. Do not will depend upon the availability of re-
round cents to nearest whole dollar. sources for the Department to assume this
Amounts on tickets stated in foreign cur- additional burden, which can only be deter-
rency are to be converted to U.S. dollar mined on a case by case basis, after evalu-
equivalents. For all group tickets, the dollar ating each carrier’s need.
value to be recorded shall be the average B. Rules for Summarization. Sort the re-
amount per passenger, determined by divid- corded entries into sequence by the entire
ing the total dollar value for the entire record (excluding the passenger field) i.e., by
group by the number of passengers on the origin, complete routing (including fare-
group ticket, dropping cents in the average basis codes), tickets destination, and dollar
amount. value of ticket. All identical records are then
(3) The length of the itineraries to be recorded to be combined into one summary record. The
is limited to a maximum of seven stages or number of passengers on the summary record
twenty-three stages, at the carrier’s option. is to be the sum of the passenger amounts of
This recognizes that the vast majority of all the individual records combined. Pas-
tickets sampled have seven stages or fewer sengers are only summarized where records
and that the rare occurrences of extremely are identical in all respects except in the
lengthy itineraries do not impact the overall number of passengers including dollar value
Survey results enough to justify their re- of ticket. Note: Do not summarize dollars
porting burden. Therefore, trips longer than over identical records. This summarization
these limits are compressed to fall within the is to include the entries from group tickets,
stated maximums. The ticketed origin and but only after the entries for group tickets

171
Sec. 19–7 14 CFR Ch. II (1–1–19 Edition)
with 11 or more passengers have been summa- VIII. CONTROL OF S AMPLE S ELECTION AND
rized and divided by 10, as stated in Section DATA RECORDING
V.D.(2)(d).
A. Sample Accuracy and Reliability. In order
C. Waiver Requests. Requests for permission
to maximize the accuracy and reliability of
to depart from the required O&D Survey pro-
the sample selection and data recording,
cedures should include a procedural statement
each carrier is to:
describing the process the carrier proposed
(1) Develop a written statement describing
to employ in examining, selecting and editing
the procedures it will employ in examining
the data from reportable flight coupons for
and selecting reportable flight coupons and
the O&D Survey, as well as a flow chart dia-
in recording, summarizing, editing, and test-
gramming the proposed procedures.
ing the Survey data.
D. Quantity and Quality Controls. Carriers
(2) Submit any proposed changes in the
are expected to establish and maintain con- above procedures to the Department’s Office
tinuous quantity and quality controls on the of Airline Information, prior to implementa-
flow of all lifted flight coupons through their tion of such changes.
system processes to determine the total (3) Establish continuous quantity controls
number of coupons handled and the number of on the flow of all lifted flight coupons
reportable coupons selected. Such data con- through the carrier’s accounting processing
trols and tests have not been specified by the to determine the total number of coupons
Department, and necessarily must be devel- handled, and the number of reportable cou-
oped by each carrier. Each participating car- pons selected. Tests are to be made continu-
rier shall develop and use on a continuous ously to assure that all reportable coupons
basis such control tests as are necessary to are being selected and the data recorded.
ensure that all reportable coupons are being Such tests should be completed while the
selected, recorded and reported as intended ‘‘lifted’’ flight coupons (representing earned
by these O&D Survey Instructions. Such con- passenger revenues for flight segments oper-
trols should extend over all ADP processing, ated) remain in the possession of the carrier.
both in-house and that from external service Establish such other internal control proce-
bureaus. dures as are necessary for supervising and
VII. EDITING OF RECORDED DATA monitoring the accuracy of the recording of
data from reportable flight coupons.
A. City and Airport Codes. Prior to submis- B. Staff Review. The OAI staff will review
sion of O&D Survey reports, each carrier is the carrier procedures and practices and may
to edit the recorded data to validate city and request modifications or the use of special
airport codes. This edit is to verify that the procedures necessary to improve the sample
codes recorded are valid official codes, and it or to bolster the controls for accuracy and
is independent of whether or not the carriers reliability.
shown actually operated into or out of the [Reserved]
airport shown. Any questions about airport
codes should be addressed to the Director, X. GLOSSARY OF T ERMS
Office of Airline Information (see inside of Selected terms used in the foregoing in-
cover). structions are here defined and explained in
B. Edit Responsibility of Carriers. Each car- the context of the O&D Survey.
rier is responsible for developing edit proce- ADP. An abbreviation for automated data
dures and internal controls over its data processing, which is the term applied to all
entry and processing procedures so that forms of machine processed data.
valid and reliable data are captured in the Carrier. Any scheduled air carrier, U.S. or
O&D Survey inputs and are properly summa- foreign, that appears on a coupon stage in a
rized in the outputs. Since the carriers have ticketed itinerary, including helicopter, air
many different statistical systems, it is not taxi, commuter, intra-Alaska carriers, and
practicable for the Department of Transpor- intra-state carriers.
tation to prescribe specific controls in this City or origin. (See origin.)
area, and each carrier is responsible for de- Conjunction ticket. Two or more tickets
veloping the appropriate internal control concurrently issued to a passenger and which
procedures to edit the O&D Survey data and together constitute a single contract of car-
ensure the integrity of these data. The De- riage.
partment will control the accuracy of its Connecting point. An intermediate point in
processing of the sampled data upon receipt an itinerary at which the passenger deplanes
from the carriers. from one flight and boards another flight, ei-
C. System Documentation of Edits. Carriers ther on the same carrier or from the flight of
are required to maintain written O&D Sur- one carrier to a flight of another carrier, for
vey procedural statements and flow charts. continuation of the journey.
As provided in Section VIII, these must be Coupon stage. (See flight-coupon stage.)
established, or re-certified as of July 1, 1987, Destination. The last point in the itinerary
and thereafter when significant procedural and the last point at which the passenger is
revisions occur. to deplane at the completion of the journey.

172
Office of the Secretary, DOT Sec. 19–7
(In roundtrip itineraries, the destination and Operating air carrier. Under a code-share ar-
the origin are the same.) rangement, the air carrier whose aircraft
Dollar value of ticket. (See total dollar value and flight crew are used to perform a flight
of ticket.) segment.
Domestic. Itineraries within or between the Origin. The first point in the itinerary and
50 U.S. States and the District of Columbia the point where the passenger first boards a
are considered domestic for this Survey. carrier at the beginning of the itinerary.
Fare basis code. The alphabetic code(s) or Participating carrier. A carrier which is gov-
combination of alphabetic and numeric codes erned by the Survey data collection and re-
appearing in the ‘‘Fare basis’’ box on the porting instructions contained herein and
flight coupon which describe the applicable which is required to file Survey reports with
service and discount to which the passenger the Department of Transportation.
is entitled. All fare basis codes are summa- Point. A city or airport (always identified
rized into basic categories; namely C—Unre- by its airport code).
stricted Business Class, D—Restricted Busi- Reissued ticket. A ticket issued in exchange
ness Class, F—Unrestricted First Class, G— for all or part of the unused portion of a pre-
Restricted First Class, X—Restricted Coach/ viously issued ticket.
Economy Class, Y—Unrestricted Coach/Econ- Reportable flight coupon. A flight coupon in
omy Class, and U—Unknown (This fare cat- an itinerary in which the carrier examining
egory is used when none is shown on a ticket the coupon is the first participating carrier
coupon, or when a fare category is not dis- to lift a flight coupon in the itinerary and
cernible, or when two or more carrier fare from which coupon the examining carrier
codes are compressed into a single stage of a
records the Survey data.
passenger trip).
Reporting carrier. The carrier in a given
Fare ladder. The ‘‘For-issuing-office-only’’
itinerary which has lifted the reportable
box of a ticket.
flight coupon in that itinerary and which
Flight-coupon stage. The portion of an
carrier is required to record the Survey data
itinerary which lies between two contiguous
for that itinerary for the report to the De-
points in the itinerary and between which
partment.
points the passenger is to travel on a single
Routing. The carrier on each flight-coupon
flight.
stage in an itinerary and the intermediate
Group ticket. A single ticket valid for the
points of routing stopover or connection
transportation of two or more passengers
(interline or intraline) in the sequence of oc-
over the same itinerary.
currence in the movement of the passenger
Interline transfer. An occurrence at an in-
from origin to destination. The routing also
termediate point in an itinerary where a pas-
includes fare-basis summary codes on each
senger changes from one carrier to another
flight-coupon stage, to the extent these are
carrier, with or without a stopover.
available from the ticket.
Intermediate point. Any point in an
Scheduled service. Transport service oper-
itinerary, other than the origin or destina-
ated on a certificated large air carrier’s
tion, at which the passenger makes an inter-
routes pursuant to published flight sched-
line or intraline connection or stopover.
ules, including extra sections of scheduled
International. The world area outside the 50
flights.
U.S. States and the District of Columbia.
Itineraries between points outside the 50 Stage. (See flight-coupon stage.)
States are considered as international for Ticketed air carrier. Under a code-share ar-
this Survey, as well as itineraries between rangement, the air carrier whose two-char-
the 50 States and U.S. possessions, and be- acter air carrier code is used for a flight seg-
tween or within U.S. possessions. ment, whether or not it actually operates
Intraline transfer. An occurrence at an in- the flight segment.
termediate point in an itinerary where a pas- Total dollar value of ticket. The sum of the
senger changes from a flight of one carrier to fare plus tax for the entire ticketed
another flight of that same carrier, with or itinerary, in whole U.S. dollars with cents
without stopover, or where the passenger dropped. For a group ticket, the amount is
changes from one class of service to another the average per passenger. For fares stated
class of service on the same flight. in foreign currency, it is the equivalent in
Itinerary. All points in the passenger jour- U.S. dollars.
ney, beginning with the origin, followed by Transfer. (See interline transfer and
the routing, and ending with the destination, intraline transfer.)
in the sequence shown on the ticket. [Reserved]

[Amdt. 241–55, 52 FR 6529, Mar. 5, 1987, as amended at 60 FR 66723, 66724, Dec. 26, 1995; 62 FR
43280, Aug. 13, 1997; 67 FR 58690, Sept. 18, 2002; 75 FR 41584, July 16, 2010]

173
Section 21 14 CFR Ch. II (1–1–19 Edition)
GENERAL R EPORTING PROVISIONS— of Puerto Rico and the U.S. Virgin Is-
LARGE CERTIFICATED AIR CARRIERS lands, and shall also include Canadian
transborder operations. The reports to
Section 21 Introduction to System of be submitted by each entity shall be
Reports comparable to those required of a dis-
(a) Each large certificated air carrier tinct legal entity whether the report-
subject to the Federal Aviation Act of ing entity constitutes such an entity, a
1958, as amended, shall file with the semiautonomous physically separated
BTS, monthly, quarterly, semiannu- operating division of the carrier, or an
ally, and annually BTS Form 41 Re- entity established for reporting pur-
ports of financial and operating statis- poses only.
tics as prescribed herein unless waiver (h) Two separate entities shall be es-
has been made by the Civil Aeronautics tablished for large certificated air car-
Board. riers predominantly engaged in con-
(b) The system prescribed provides ducting charter activities for the pur-
for the submission by each air carrier pose of submitting the prescribed re-
of four classes of financial and oper- ports: (1) Domestic operations; and (2)
ating statistics, on individual sched- international operations. The domestic
ules of the BTS Form 41 Report, entity includes all operations within
grouped as follows: and between the 50 States of the United
A. Certification. States, the District of Columbia, the
B. Balance Sheet Elements. Commonwealth of Puerto Rico, and the
P. Profit and Loss Elements. U.S. Virgin Islands. All other oper-
T. Traffic and Capacity Elements. ations will be in the international enti-
(c) The prescribed system of reports ty.
provides that the frequency of report- (i) The entities for which separate re-
ing shall be monthly for some sched- ports shall be made by the different
ules, quarterly for some, semiannually route and charter air carriers will be
for some and annually for others. It set semiannually by the Office of Air-
also provides in some areas for the line Information.
classification of large certificated air (j) As a general rule separate reports
carriers into Group I, Group II, and shall be filed for the air carrier and for
Group III with the form and content each associated company air carriers
differentiated as between groups. as defined in section 03 which is an air
(d) Each schedule of the prescribed carrier. However, transactions of asso-
BTS Form 41 Report has been assigned ciated companies in which 100 percent
a specific code. The prefix alphabetical equity control resides in the reporting
codes A, B, P and T, respectively, have air carrier shall be consolidated with
been employed to denote certification, transactions of the reporting air car-
balance sheet, profit and loss, and traf- rier when such associated companies
fic and capacity. The digits imme- perform services related to the trans-
diately following the alphabetical pre- port operations of the reporting air
fix designate the particular schedule. carrier almost exclusively and are not
(e) [Reserved] engaged in air transportation for their
(f) [Reserved] own account.
(g) Four separate air carrier entities (k) Generally, route air carriers’ non-
shall be established for large certifi- scheduled services shall be treated as
cated air carriers conducting scheduled an integral part of the reporting entity
service for the purpose of submitting to which most closely related without
the prescribed reports. They are as fol- regard to the geographic area in which
lows: (1) Domestic operations; (2) oper- such nonscheduled services may actu-
ations via the Atlantic Ocean; (3) oper- ally be performed. However, supple-
ations via the Pacific Ocean; and (4) op- mental reports shall be made of non-
erations in Latin American areas. With scheduled services (including service
respect to the first classification, the for the Department of Defense) in areas
domestic entity shall embrace all oper- not encompassed by the prescribed re-
ations within and between the 50 porting entity in any month in which
States of the United States, the Dis- the available ton-miles of such non-
trict of Columbia, the Commonwealth scheduled services exceed 5 percent of

174
Office of the Secretary, DOT Section 22
the available ton-miles of the reporting ports, following the schedule number of
entity. Such supplemental reports each P and T schedule. When a carrier
shall continue until waived by the BTS has more than one reporting entity,
upon a showing that such nonscheduled nonscheduled transport and non-
operations will not in the subsequent scheduled Defense services shall be as-
12-month period exceed the 5-percent signed to the reporting entity to which
limit. The supplemental reports to be more closely related.
filed each month or calendar quarter, [ER–1027, 42 FR 60128, Nov. 25, 1977, as amend-
as applicable, shall be comprised of re- ed by ER–1073, 43 FR 40453, Sept. 12, 1978; ER–
port Schedules P–5, T–1, and T–2. 1073, 44 FR 1970, Jan. 9, 1979; ER–1188, 45 FR
Transport and nontransport revenues 48871, July 22, 1980; ER–1297, 47 FR 32919, July
pertaining to such separately reported 30, 1982; ER–1400, 50 FR 12, Jan. 2, 1985; ER–
nonscheduled services shall be reported 1401, 50 FR 247, Jan. 3, 1985; Amdt. 241–56, 52
FR 9130, Mar. 23, 1987; Amdt. 241–60, 56 FR
on Schedule P–2 each quarter. 12658, Mar. 27, 1991; 60 FR 66724, Dec. 26, 1995;
(l) When and as required in the na- 75 FR 41584, July 16, 2010]
tional interest, any air carrier which
performs nonscheduled transport serv- Section 22 General Reporting Instruc-
ices for the Department of Defense tions
shall, when directed by the Depart- (a) One copy of each schedule in the
ment, make separate reports for such BTS Form 41 report shall be filed with
services as if they were conducted by a the BTS and shall be received on or be-
physically separate transport entity, fore the due date indicated for each
such reports shall consist of Schedules such schedule in the list titled ‘‘Due
P–1 through P–7, T–1, and T–2. The let- Dates of Schedules in BTS Form 41 Re-
ter ‘‘D’’ shall be inserted on such re- port.’’
LIST OF SCHEDULES IN BTS FORM 41 REPORT
[See footnotes at end of table]

Applicability by carrier
Schedule No. Title Filing fre- group
quency
I II III

A ...................... Certification ........................................................................................... Q (1) X X

B–1 .................. Balance sheet ....................................................................................... Q (1) X X
B–1.1 ............... Balance sheet ....................................................................................... SA (2) NA NA
B–7 .................. Airframe and aircraft engine acquisitions and retirements ................... Q NA X X
B–12 ................ Statement of changes in financial position ........................................... Q (1) X X
B–43 ................ Inventory of airframes and aircraft engines .......................................... A X X X
P–1.1 ............... Statement of operations ....................................................................... SA (2) NA NA
P–1.2 ............... Statement of operations ....................................................................... Q (1) X X
P–1(a) .............. Interim operations report ....................................................................... M X X X
P–2 .................. Notes to RSPA Form 41 report ............................................................ Q (1) X X
P–5.1 ............... Aircraft operating expenses .................................................................. Q(1), X NA NA
SA(2)
P–5.2 ............... Aircraft operating expenses .................................................................. Q NA X X
P–6 .................. Operating expenses by objective groupings ........................................ Q (1) X X
P–7 .................. Operating expenses by functional groupings—Group III air carriers ... Q NA NA X
P–10 ................ Employment statistics by labor category .............................................. A (1) X X
P–12(a) ............ Fuel consumption by type of service and entity ................................... M (1) X X
T–100 .............. U.S. air carrier traffic and capacity data by nonstop segment and on- M X X X
flight market.
T–100(f) ........... Foreign air carrier traffic data by nonstop segment and on-flight mar- M
ket.
(see 14 CFR 217)
T–8 .................. Report of all-cargo operations .............................................................. A (3) (3) (3)
M = Monthly, Q = Quarterly, SA = Semiannually, A = Annually, NA = Not Applicable, X = All Carriers.
(1) Applicable to Group I Air Carriers with annual operating revenues of $20 million or more.
(2) Appilcable to Group I Air Carriers with annual operating revenues below $20 million.
(3) Applicable to Air Carriers conducting 49 U.S.C. 41103 all-cargo operations.

175
Section 22 14 CFR Ch. II (1–1–19 Edition)

DUE DATES OF SCHEDULES IN BTS FORM 41 March 30 if the preliminary Schedules

REPORT B–1 or B–1.1 and P–1.1 or P–1.2 are sub-
mitted, as applicable, and are received
Financial
Due dates 1 data on Traffic and capacity data
on schedule No.
on or before their respective due dates.
schedule No. (2) For the third month of any cal-
January 20 ........ P–12(a) endar quarter, Schedule P–1(a) need
January 30 ........ P–1(a) T–100, T–100(f) not be filed if Schedule P–1.1 or P–1.2
February 10 2 .... A, B–1, B–
1.1, B–7, for the quarter or semiannual period,
B–12, P– as applicable, is received on the due
1.1, P–1.2, date prescribed for Schedule P–1(a).
P–2, P–
5.1, P–5.2, (3) Income and expense data on
P–6, P–7, Schedule P–1(a) for each month will be
P–10. withheld by the BTS from public dis-
February 20 ...... P–12(a)
March 1 ............ P–1(a) T–100, T–100(f), closure, until such time as (i) the semi-
March 20 .......... P–12(a) annual or quarterly financial reports
March 30 .......... B–43, P– T–100, T–100(f), T–8
1(a).
are due, (ii) the semiannual or quar-
April 20 ............. P–12(a) terly financial reports are filed, or (iii)
April 30 ............. P–1(a) T–100, T–100(f) information covered by monthly re-
May 10 .............. A, B–1, B–7,
B–12, P–
ports is publicly released by the carrier
1.2, P–2, concerned, whichever occurs first. Be-
P–5.1, P– fore that time, income and expense
5.2, P–6,
P–7.
data reported on Schedule P–1(a) will
May 20 .............. P–12(a) be disclosed to parties to any pro-
May 30 .............. P–1(a) T–100, T–100(f) ceeding before the DOT to the extent
June 20 ............. P–12(a)
June 30 ............. P–1(a) T–100, T–100(f) that such data are relevant and mate-
July 20 .............. P–12(a) rial to the issues in the proceeding
July 30 .............. P–1(a) T–100, T–100(f) upon a determination to this effect by
August 10 ......... A, B–1, B–
1.1, B–7, the administrative law judge assigned
B–12, P– to the case or by the DOT. Any data to
1.1, P–1.2, which access is granted may be intro-
P–2, P–
5.1, P–5.2, duced into evidence, subject to the nor-
P–6, P–7. mal rules of admissibility of evidence.
August 20 .........
August 30 .........
P–12(a)
P–1(a) T–100, T–100(f)
The DOT will make other disclosure of
September 20 ... P–12(a) these data upon its own motion or upon
September 30 ... P–1(a) T–100, T–100(f) application of any interested person,
October 20 ........ P–12(a)
October 30 ........ P–1(a) T–100, T–100(f)
when the DOT finds the public interest
November 10 .... A, B–1, B–7, so requires. The BTS may, from time
B–12, P– to time, publish summary information
1.2, P–2,
P–5.1, P–
compiled from Schedule P–1(a) in a
5.2, P–6, form which will not identify the indi-
P–7. vidual carrier. At the request of an air
November 20 .... P–12(a)
November 30 .... P–1(a) T–100, T–100(f) carrier, and upon a showing by such air
December 20 .... P–12(a) carriers that public disclosure of its
December 30 .... P–1(a) T–100, T–100(f) preliminary year-end report would ad-
1 Due dates falling on a Saturday, Sunday or national holi- versely affect its interests and would
day will become effective the first following work day.
2 Reporting due dates on Form 41 Schedules B and P are not be in the public interest, the BTS
extended to March 30 if preliminary schedules are filed at the will withhold such preliminary year-
Department by February 10
end report from public disclosure until
(b) Each large certificated air carrier such time as (i) the final report is filed,
shall file the applicable schedules of (ii) the final report is due, or (iii) infor-
the BTS Form 41 Report with the BTS mation covered by the preliminary re-
in accordance with the above instruc- port is publicly released by the carrier
tions with the following exceptions: concerned, whichever occurs first.
(1) The time for filing B and P report
(c) If circumstances prevent the fil-
schedules for the final quarter or semi- ing of a report on or before the pre-
annual period of each calendar year scribed due date, consideration will be
may be extended to the following
given to the granting of an extension

176
Office of the Secretary, DOT Section 23
upon receipt of a written request there- except that any correction which
for. To provide ample time for consid- amounts to less than one-half of one
eration and communication to the air percent (0.5%) of the corrected amount
carrier of the action taken, such a re- for the month to which related may be
quest must be delivered to the Board in included in the report for the current
writing at least three (3) days in ad- month provided the amount of the cor-
vance of the due date, setting forth rection is clearly noted on the Form 41
good and sufficient reason to justify Report.
the granting of the extension and the (h) All letters and statements of cor-
date when the report can be filed. Ex- rection or revision of reported data
cept in cases of emergency, no such re- shall be a part of the BTS Form 41 re-
quest will be entertained which is not ports.
in writing and received by the BTS at (i) All changes in accounting meth-
least three (3) days before the pre- ods having a material impact upon the
scribed due date. If a request is denied, particular financial elements involved,
the air carrier remains subject to the and all changes in methods of com-
filing requirements to the same extent puting and reporting traffic and capac-
as if no request for extension of time ity statistics having a material impact
had been made. upon the particular statistic involved
(d) [Reserved] shall be adequately explained and iden-
(e) All financial data reported on B, P tified in the report first reflecting such
and G schedules shall reflect the status changes. Such explanations related to
of the air carrier’s books of account for financial position or financial results
the period for which the report is being shall be made on BTS Form 41 Sched-
made and shall conform to the instruc- ule P–2. Changes in methods for com-
tions contained in this Uniform Sys- puting or reporting traffic and capacity
tem of Accounts and Reports. At the statistics shall be identified and ex-
option of the air carrier, Group III air plained on a separate sheet attached to
carriers may round reported financial the first report affected. (See sec. 2–16.)
data to the nearest thousands of dol- The reporting requirements shall not
lars by typing ‘‘($000)’’ at the top of be construed, in any sense, as relieving
each amount column. All Group I and the air carrier of the responsibility for
Group II air carriers may, at their op- conforming its procedures to those oth-
tion, round reported financial data to erwise prescribed in this system of ac-
the nearest whole dollars by dropping counts and reports.
the cents. All rounded amounts must (j) All financial statements released
be balanced within and between sched- by carriers to the public reflecting a fi-
nancial position or operating results
ules. This option applies only to the
for dates or reporting periods not cov-
submission of hardcopy reports. In-
ered by reports on file with the Board
structions for the submission of data in
shall be filed with the Board simulta-
ADP format are contained in the Ac-
neously with their public release.
counting and Reporting Directives,
which are available from OAI. (Approved by the Office of Management and
(f) Traffic and other operational sta- Budget under control number 2138–0013)
tistics included in schedules of the BTS [ER–755, 37 FR 19726, Sept. 21, 1972]
Form 41 reports shall reflect data per- EDITORIAL N OTE : For F EDERAL REGISTER ci-
taining to the month, quarter or 12- tations affecting part 241, section 22, see the
months-to-date period for which the re- List of CFR Sections Affected, which appears
port is being made. in the Finding Aids section of the printed
(g) Adjustments correcting errors in volume and at www.govinfo.gov.
previously reported traffic and other
operational statistics shall not be in- FINANCIAL REPORTING REQUIREMENTS
cluded in data reported in schedules for
Section 23 Certification and Balance
the current period but shall be effected Sheet Elements
by submission of corrected schedules
for the period to which applicable or, if Schedule A—Certification
only a few items are involved, by writ- (a) The certification of the BTS Form 41
ten notice and authorization to the Report shall be signed by an elective cor-
BTS to correct previously filed reports porate officer, executive, or director. Other

177
Section 23 14 CFR Ch. II (1–1–19 Edition)
persons may be authorized by the carrier to (b) Each carrier shall insert in the space
sign the certification provided a written au- provided for ‘‘OAG Code’’ its carrier code as
thorization disclosing the individual’s name contained in the Official Airlines Guide
and title is forwarded to the Department of (OAG). If the OAG does not contain a carrier
Transportation. Since corrections or revi- code for the reporting carrier, a code will be
sions of reported data are a part of the BTS provided by the Office of Airline Information
Form 41 Report, all correspondence relating upon request. This code will then be inserted
to such matters shall be signed only by the in the space provided for ‘‘carrier code.’’
person(s) authorized to sign the certifi- (c) This schedule shall show the account
cation. balances at the close of business on June 30
(b) The certification of the Form 41 re- or December 31, as applicable, of each semi-
ports, embodied in Schedule A thereof, shall annual reporting period.
read as follows: (d) ‘‘Current Assets’’ shall include all re-
I, the undersigned (Title of officer in sources that may reasonably be expected to
charge of accounts) llll of the (Full be realized in cash or sold or consumed with-
name of the reporting company) lll do in one year. This group of assets is classified
certify that this report and all schedules, ADP- into three basic accounts:
media submissions, Passenger Origin- (1) ‘‘Cash and Equivalents’’ shall include
Destination Survey submissions and sup- cash on hand and on deposit, U.S. Govern-
porting documents which are submitted ment securities, and other temporary cash
herewith or have been submitted heretofore investments.
as parts of this report filed for the above in- (2) ‘‘Notes and Accounts Receivable-Net’’
dicated period have been prepared under my shall include general traffic accounts receiv-
direction; that I have carefully examined able, government receivables, notes and re-
them and declare that they correctly reflect ceivables from associated companies, offi-
the accounts and records of the company, cers, employees and others, and a deduction
and to the best of my knowledge and belief for a reasonable allowance for bad debts.
are a complete and accurate statement, after (3) ‘‘Other Current Assets’’ shall contain
adjustments to reflect full accruals, of the all other current assets not provided for in
operating revenues and expenses, income the above classifications. This account shall
items, assets, liabilities, capital, retained include, but is not limited to, short-term
earnings, and operating statistics for the pe- prepayments, expendable spare parts, sup-
riods reported in the several schedules, the plies and other inventories of flight equip-
Schedule T–100 ADP-media submissions, and ment replacement parts that are usually re-
the Passenger Origin-Destination Survey; placed rather than repaired, and materials
that the various items herein reported were and supplies held in stock, such as fuel and
determined in accordance with the Uniform oil, expendable tools, office supplies and food
System of Accounts and Reports for Large service supplies. Spare parts may be reduced
Certificated Air Carriers prescribed by the by an allowance for obsolescence to provide
Department of Transportation; and that the for losses in value.
data contained herein are reported on a basis (e) ‘‘Property and Equipment’’ shall be seg-
consistent with that of the preceding report regated into that which is owned and that
except as specifically noted in the financial which is leased under capital leases. All
and statistical statements. property and equipment, with the deception
of land, shall be reported net of accumulated
Schedule B–1 Balance Sheet depreciation or amortization.
(a) This schedule shall be filed by all Group (f) ‘‘Other Assets’’ shall included all assets
II and Group III air carriers and Group I air not included in the above categories, such as
carriers that have annual operating revenues long-term investments, long-term prepay-
of $20 million or more. ments, long-term receivables, deferred
charges, intangible assets, equipment pur-
(b) This schedule shall reflect the balances
chase deposits, and construction work in
at the close of business on the last day of
progress.
each calendar quarter for the overall or sys-
(g) ‘‘Current Liabilities’’ shall include all
tem operations of each air carrier in con-
obligations, the liquidation of which is rea-
formance with the provisions of sections 4, 5
sonably expected to require the use of exist-
and 6.
ing resources within one year. This group of
(c) Individual proprietors or partners shall liabilities is classified into three basic ac-
report the aggregate capital contributed by counts:
the proprietor or partners in account 2890
(1) ‘‘Notes and Accounts Payable’’ shall in-
Additional Capital Invested.
clude any payments on long-term debt,
Schedule B–1.1—Balance Sheet short-term notes and accounts payable, and
accrued expenses that are payable within one
(a) This schedule shall be filed semiannu- year.
ally by Group I air carriers with annual op- (2) ‘‘Accrued Taxes’’ shall include tax li-
erating revenues below $20 million. abilities, such as those imposed on income,

178
Office of the Secretary, DOT Section 23
property and payroll, which are reasonably tirements) shall be further subgrouped and
expected to be liquidated within one year. reported as follows:
(3) ‘‘Other Current Liabilities’’ shall in- (1) Acquisitions: the indicated data shall be
clude all current liabilities which are not reported for each individual airframe, identi-
provided for elsewhere, such as air traffic li- fied by type, model, and design of cabin as to
abilities for unused transportation sold (in- use for passengers exclusively, cargo exclu-
cludes sales of transportation on both the re- sively, or both passengers and cargo in com-
porting carrier and other carriers). bination. Data pertaining to aircraft engines
(h) ‘‘Long-Term Debt’’ shall include all ob- shall be reported in aggregate for each type
ligations which are not reasonably expected or model; however, leased aircraft engines
to be liquidated within one year. Typical ex- shall be separately reported under captions
amples include bonds payable, long-term entitled: Capital Leases—Aircraft Engines;
notes payable, lease obligations, and pension and Operating Leases—Aircraft Engines. Air-
obligations. frame units leased from others for a period of
(i) ‘‘Other Liabilities’’ shall include any more than 90 days shall be reported in a sep-
debts or obligations which are not properly arate subsection of this schedule, captioned
listed in the ‘‘Current Liabilities’’ or ‘‘Long- as follows: Capital Leases—Airframe Units;
Term Debt’’ sections. and Operating Leases—Airframe Units. In
(j) ‘‘Deferred Credits’’ shall include all addition, a notation shall be made by license
credit balances of a general clearing nature, number of airframe units of the air carrier
including credits held in suspense pending returned after lease to others for a period of
receipt of further information necessary for more than 90 days. Airframe units obtained
final disposition. Included in this account through interchange lease arrangements
are deferred income taxes and deferred in- shall not be so reported.
vestment tax credits. (2) Retirements: The indicated data shall
(k) ‘‘Stockholder’s Equity’’ shall be re- be reported for the sale or retirement of each
ported as follows: airframe, each type of aircraft engine (stat-
(1) ‘‘Capital Stock’’ shall be segregated as ing the number of units retired) and, to the
between common and preferred. The number extent retired along with airframes and en-
of shares outstanding, along with the par or gines, in aggregates by accounts, operating
stated value of the stock, shall be reported. property and equipment included in accounts
In the case of no-par stock without stated 1607 and 1608 and nonoperating property and
value, the full consideration received shall equipment included in accounts 1707 and
be reported. 1708. Disposition of properties in accounts
(2) ‘‘Other Paid-In Capital’’ shall include 1608 and 1708 not related to airframe and air-
the difference between the price at which the craft engine retirements shall be reported in
capital stock is sold and the par or stated a separate group for each account. Airframe
value of the stock. units leased from others for a period of more
(3) ‘‘Retained Earnings’’ shall represent than 90 days shall be reported, upon return
the net income or loss from all operations of to the lessor, in a separate subsection of this
the corporate entity less dividends. schedule and captioned as follows: Capital
(4) ‘‘Treasury Stock’’ shall represent the Leases—Airframe Units; and Operating
cost of stock issued by the carrier and reac- Leases—Airframe Units. In addition, a nota-
quired by it but not retired or cancelled. tion shall be made by license number and
(l) The statement of certification shall be name of lessee of airframe units leased to
signed by the carrier’s chief accounting offi- others for a period of more than 90 days;
cer. moreover, airframe units leased to others
(m) All substantive matters that may ma- under sales-type or direct financing leases
terially influence interpretations or conclu- shall be separately captioned and reported
sions in regard to the financial condition or on this schedule. Airframe units leased under
the earnings position of the air carrier which interchange arrangements shall not be so re-
are not clearly identified in the body of the ported. Aircraft engines leased from others
schedule or which represent information for a period of more than 90 days shall be re-
that cannot be expressed adequately in mon- ported, upon return to the lessor, in a sepa-
etary terms shall be completely and clearly rate subsection of this schedule and cap-
stated in a note attached to this schedule tioned as follows: Capital Leases—Aircraft
and cross-referenced to the affected account Engines; and Operating Leases—Aircraft En-
or accounts. gines. In addition, a notation shall be made
by model number, number of units, and name
Schedule B–7 Airframe and Aircraft Engine of lessee of aircraft engines leased to others
Acquisitions and Retirements for a period of more than 90 days; moreover,
(a) This schedule shall be filed by all Group aircraft engines leased to others under sales-
II and Group III air carriers. type or direct financing leases shall be sepa-
(b) Data applicable to acquisitions and rately captioned and reported on this sched-
data applicable to retirements shall be ule. Aircraft engines leased under inter-
grouped and reported separately. The data change arrangements shall not be so re-
reported within each group (acquisitions; re- ported.

179
Section 23 14 CFR Ch. II (1–1–19 Edition)
(c) All dates shall indicate the day, the (b) This schedule shall be filed for the over-
month and the year; shall be provided on a all or system operations of the air carrier.
unit basis for airframes only, and, shall be (c) The statement of cash flows shall sepa-
reported for each aircraft engine group by rately disclose the amount of net cash pro-
date of transaction. vided or used during the reporting period
(d) Column 1, ‘‘Year of First Delivery—Air- from the carrier’s operating activities, in-
frame,’’ shall reflect, for each reported air- vesting activities and financing activities.
frame, the year that the airframe was first The effect on cash and cash equivalents of
delivered by its manufacturer. the total amount of net cash provided or
(e) Column 2, ‘‘Airframe Manufacturer’s used during the quarter from each of the
Serial Number,’’ shall reflect the serial num- above activities shall be clearly disclosed so
ber assigned to each reported airframe by its as to reconcile beginning and ending cash
manufacturer. and cash equivalents.
(f) Column 4, ‘‘Acquisitions or Retire-
(d) Carriers may use either the direct or in-
ments,’’ shall be used to indicate, for each
direct method of reporting cash flows. Under
item entered, whether it represents an acqui-
either method, the reporting of cash flows
sition or retirement. This shall be indicated
from investing and financing activities will
by inserting in Column 4 an ‘‘A’’ for acquisi-
remain the same. However, the reporting of
tion or an ‘‘R’’ for retirement.
(g) Column 8, ‘‘Maximum Seating Capac- cash flows from operating activities does dif-
ity,’’ shall reflect the number of passenger fer between the two methods.
seats installed in each airframe acquired. (e) For carriers electing to use the direct
When airframes are designed for multiple ad- method, cash flows from operating activities
justable seating configurations, the max- are reported as gross amounts of the prin-
imum number of seats for which designed cipal components of cash receipts and cash
shall be reported. When the seating configu- payments from operating activities, such as
ration of airframes is modified subsequent to cash received from passengers and shippers,
original acquisition, the revised passenger cash paid to suppliers, and cash paid to em-
capacity of each airfame shall be reported in ployees. Each carrier using the direct meth-
the quarter in which modified and referenced od shall provide as part of its statement of
to identify original capacity reported. cash flows, a separate schedule that rec-
(h) Column 9, ‘‘Cost,’’ shall reflect the onciles net income (as reported on Schedule
book cost of reported airframe and aircraft P–1.2 in Account 9899) to cash flow from op-
engine acquisitions and retirements. erating activities.
(i) Column 10, ‘‘Amortization/Depreciated (f) For carriers electing to use the indirect
Cost,’’ shall reflect the book cost, less amor- method, cash flows from operating activities
tization or depreciation expense, for air- shall reflect net income (as reported on
frames and aircraft engines that have been Schedule P–1.2 in Account 9899) along with
retired. the adjustments necessary to reconcile net
(j) Column 11, ‘‘Realization,’’ shall reflect income (Account 9899) to net cash for the pe-
the proceeds from the disposition of air- riod (Net Cash Provided or Used By Oper-
frames and aircraft engines, including any ating Activities).
insurance proceeds. (g) Regardless of the method used, the
(k) Column 12, ‘‘Acquired From/Disposi- statement of cash flows shall reflect the
tion,’’ shall reflect: (1) for acquisitions: the amount of net cash flow provided or used by
name of the person or organization from operating activities during the reporting pe-
which airframes and aircraft engines are ac- riod.
quired and (2) for dispositions (retirements):
(h) The balance of ‘‘Cash and Cash Equiva-
the name of the person or organization to
lents,’’ at the beginning and ending of the
which airframes and aircraft engines are sold
or a notation as to the nature of the retire- quarterly period covered by the report,
ment and the account to which any depre- should equal the sum of Accounts 1010,
ciated cost has been charged, if not sold. ‘‘Cash,’’ and 1100, ‘‘Short-term Investments,’’
Items included in accounts 1607, 1608, 1707, as reported on the immediately preceding
and 1708, sold as a part of an airframe or air- and current quarterly Schedule B–1, ‘‘Bal-
craft sales transaction, shall also be identi- ance Sheet.’’ If the sum of these two ac-
fied by the name of the buyer. Other sales of counts does not equal the total ‘‘Cash and
items included in these accounts shall be re- Cash Equivalents’’ reported on the state-
ported in a separate group in aggregate for ment of cash flows, then a footnote explain-
each property account affected. ing the difference shall be provided as part of
the statement of cash flows.
Schedule B–12—Statement of Cash Flows (i) Carriers shall submit Schedule B–12 in a
(a) This Schedule shall be filed quarterly format specified in accounting and reporting
by all Group II and Group III air carriers and directives issued by the Bureau of Transpor-
Group I air carriers that have annual oper- tation Statistics’ Director of Airline Infor-
ating revenues of $20 million or more. mation.

180
Office of the Secretary, DOT Section 24
Schedule B–43—Inventory of Airframes and (j) Column 11, ‘‘Allowance for Depreciation
Aircraft Engines or Amortization,’’ shall include (1) the accu-
mulations of all provisions for losses due to
(a) This schedule shall be filed by all Group
use and obsolescence that are applicable to
I, Group II and Group III air carriers.
owned airframes and aircraft engines, (2) the
(b) The indicated data shall be reported for
amount of amortization recorded for amor-
each individual airframe, identified by type, tizing the value of airframes and engines ob-
model and design of cabin (main deck) as to tained under capital leases, and (3) the
use for passengers exclusively, cargo exclu- amount of amortization recorded for amor-
sively, or both passengers and cargo in com- tizing the value of improvements to air-
bination. Type and model refers to aircraft frames and aircraft engines obtained under
models such as B–707–100, B–707–200, DC–10–40, operating leases.
Beech–18, Piper PA–32, etc. Aircraft type des- (k) Column 12, ‘‘Depreciated Cost or Amor-
ignations are prescribed in Accounting and tized Value,’’ shall be calculated as either (1)
Reporting Directive No. 178, ‘‘List of Aircraft Acquired Cost (Column 10) less the Allow-
Type Numeric Codes.’’ Copies of this direc- ance for Depreciation (Column 11) or (2) Cap-
tive and subsequent updates to the list of italized Value (Column 10) less Amortization
aircraft type codes are available from the (Column 11).
Department’s Office of Airline Information. (l) Column 13, ‘‘Estimated Residual
Airframes that are authorized for operation Value,’’ shall state, in dollars, the residual
over water under FAA regulation FAR 121 value assigned to owned and capital-leased
shall be so indicated by asterisk. airframes and aircraft engines, including any
(c) Data pertaining to aircraft engines overhaul value not subject to depreciation.
shall be reported on a group basis by type of (m) Column 14, ‘‘Estimated Depreciable or
engine and by type of aircraft to which re- Amortizable Life (Months),’’ shall state the
lated. estimated depreciable or amortizable life
(d) Data in this schedule shall be grouped from the date of acquisition of each airframe
and subtotaled as data pertaining to air- and each group of aircraft engines.
frames and data pertaining to aircraft en-
gines. Data pertaining to nonoperating air- [ER–755, 37 FR 19726, Sept. 21, 1972]
frames and aircraft engines shall be reported EDITORIAL N OTE : For F EDERAL REGISTER ci-
in a group below the data for operating tations affecting part 241, section 23, see the
equipment. Data pertaining to airframes and List of CFR Sections Affected, which appears
aircraft engines obtained under operating in the Finding Aids section of the printed
and capital leases shall be reported, by type volume and at www.govinfo.gov.
of lease, in a separately captioned grouping
below nonoperating airframes and aircraft Section 24 Profit and Loss Elements
engines and subgrouped within those groups
according to operating and nonoperating Schedule P–1.1—Statement of Operations
equipment. (a) This schedule shall be filed semiannu-
(e) Column 1, ‘‘Year of First Delivery—Air- ally by Group I air carriers with annual op-
frame,’’ shall reflect, for each reported air- erating revenues below $20 million. Data re-
frame, the year that the airframe was first ported on this schedule shall be for the over-
delivered by its manufacturer. all or system operations of the air carrier.
(f) Column 2, ‘‘Airframe Manufacturer’s Se- (b) This schedule shall show the results of
rial Number,’’ shall reflect the serial number operations for six-month periods ending June
assigned to each reported airframe by its 30 and December 31. Data reported in the ‘‘12
manufacturer. Months-to-Date’’ column shall represent for
(g) Data pertaining to airframes and air- each individual item the sum of the amount
craft engines obtained under operating leases reported in the ‘‘Current Period’’ column and
shall be listed in Columns 1 through 9; the the next previous six-month period.
cost of improvements to equipment under (c) Each carrier shall insert in the space
operating leases shall be reported in Col- provided for ‘‘OAG Code’’ its carrier code as
umns 10 through 12. contained in the Official Airlines Guide
(h) Column 9, ‘‘Available Capacity (OAG). If the OAG does not contain a carrier
(Weight),’’ shall reflect, for each reported code for the reporting carrier, a code will be
aircraft type, the available capacity (stated provided by the Office of Airline Information
in pounds) that is used in computing the upon request. This code will then be placed
available ton-miles reported on Schedules T– in the space provided for ‘‘carrier code.’’
100, T–1, and T–2. (d) ‘‘Operating Revenue’’ shall be put in
(i) Column 10, ‘‘Acquired Cost or Capital- categories as follows:
ized Value,’’ shall include (1) the acquisition (1) ‘‘Transport Revenue’’ shall include the
cost of owned airframes and aircraft engines; revenue generated by the performance of air
(2) the total capitalized cost of obtaining air- transportation services. This category shall
frames and engines under capital leases; and be subdivided as follows:
(3) the cost of improvements to airframes (i) ‘‘Scheduled Service’’ shall include all
and engines obtained under operating leases. transport revenue derived from operations

181
Section 24 14 CFR Ch. II (1–1–19 Edition)
between pairs of points which are served on not inherently related to the performance of
a regularly scheduled basis. Transport rev- air transport services. For example, the reve-
enue received from scheduled service oper- nues and expenses related to operating a
ations shall be subdivided as follows: hotel or motel would be reported under this
(A) Passengers. Revenue generated from the category. This category shall also include
transportation of passengers shall be in- the total interest expense incurred from all
cluded in this category. sources and shall be subdivided as follows:
(B) Other. Revenue generated by the trans- (1) Interest Expense.
portation of property and mail shall be in- (2) Other Nonoperating (Net).
cluded in this category. (h) ‘‘Income Tax’’ shall reflect the provi-
(ii) ‘‘Nonscheduled Service’’ shall include sions for accruals of Federal, State, local,
all transport revenue derived from oper- and foreign taxes based upon taxable income,
ations between pairs of points which are not and computed at the normal and surtax rates
served on a regularly scheduled basis. in effect during the current accounting year.
(2) ‘‘Transport-Related Revenue’’ shall in- (i) ‘‘Discontinued Operations, Extraor-
clude monies received for providing air dinary Items or Accounting Changes’’ shall
transportation facilities associated with the reflect any earnings or losses from discon-
performance of services which flow from and tinued operations, the net of the tax amount
are incidental to air transportation services of extraordinary items, and the cumulative
performed by the air carrier. This category effect of any changes in accounting prin-
shall be subdivided as follows: ciples.
(i) Public Service Revenue. This category (j) Any air carrier that does not file Sched-
shall include amounts of compensation paid ule P–1(a) in accordance with the filing op-
to the carrier under 49 U.S.C 41733. tion described in section 22—General Report-
(ii) Other. This category shall include other ing Instructions shall, for the sixth month of
transport-related revenue such as in-flight any semi-annual period during which the op-
sales, restaurant and food service (ground), tion is exercised, type in the bottom margin
rental of property or equipment, limousine of this statement of operations the total
service, interchange sales, and cargo pick-up number of full-time and part-time employees
and delivery charges. to be labeled as such and calculated in ac-
(e) ‘‘Operating Expense’’ shall be seg- cordance with paragraph (d) of the reporting
regated as follows: instructions for Schedule P–1(a).
(1) ‘‘Flying Operations’’ shall include ex-
penses incurred directly in the in-flight oper- Schedule P–1.2—Statement of Operations
ation of aircraft and expenses incurred in the
holding of aircraft and aircraft operation (a) This schedule shall be filed quarterly by
personnel in readiness for assignment to an all Group II and Group III air carriers and
in-flight status. Group I air carriers that have annual oper-
(2) ‘‘Maintenance’’ shall include all ex- ating revenues of $20 million or more.
penses which are specifically identifiable (b) Route and charter carriers shall file
with the repair and upkeep of property and separate statements of operations for each
equipment used in the performance of air separate operating entity and for the overall,
transportation. or system operations.
(3) ‘‘General and Administrative’’ shall in- (c) Data reported on this schedule shall
clude that portion of all expenses of a gen- conform with the instructions pertaining to
eral corporate nature and all other expenses profit and loss classifications within this
not provided for elsewhere which are related Uniform System of Accounts and Reports.
to air transport operations either directly or (d) Data reported in the ‘‘12 Months-to-
indirectly. Date’’ column shall represent for each item
(4) ‘‘Depreciation and Amortization’’ shall the sum of amounts reported in the ‘‘Quar-
include all depreciation and amortization ex- ter’’ column for the current and next pre-
penses applicable to property and equipment vious three quarters.
used in providing air transportation services. (e) Group III air carriers shall subdivide
These expenses shall be segregated between total Transport Revenues-Passenger (Ac-
those applicable to owned property and count 3901) between Accounts 3901.1, Pas-
equipment and those applicable to property senger-Flight Class and Account 3901.2 Pas-
and equipment which is leased. senger-Coach, only for operations that are
(5) ‘‘Transport-Related Expense’’ shall in- reported in the international entity (Atlan-
clude all expenses associated with the trans- tic, Pacific and Latin American). First class
port-related revenues reported on line 5 of and coach passenger revenues associated
this schedule. with transport operations reported in the do-
(f) ‘‘Operating Profit (Loss)’’ shall be com- mestic entity shall be reported as a com-
puted by subtracting the total operating ex- bined total in Account 3901 Transport Reve-
penses from the total operating revenues. nues-Passenger.
(g) ‘‘Nonoperating Income and Expense’’ (f) All Group I and Group II air carriers
shall include all revenues and expenses re- shall report first class and coach passenger
sulting from commercial ventures which are revenues as a combined total in Account 3901

182
Office of the Secretary, DOT Section 24
Transport Revenues-Passenger, for both do- ber reported in accordance with paragraph
mestic and international entity operations. (d)(7)).
However, U.S. air carriers in any carrier
group that elect to do so may continue to re- Schedule P–2—Notes to BTS Form 41 Report
port first class and coach revenue data, if
(a) This schedule shall be filed quarterly by
they consider such voluntary reporting to be
less burdensome than changing their exist- all Group II and Group III air carriers and
ing financial reporting system. Group I air carriers with annual revenues of
(g) Any air carrier that does not file Sched- $20 million or more. Carriers shall submit
ule P–1(a) in accordance with the filing op- Schedule P–2 in a format specified in ac-
tion described in section 22—General Report- counting and reporting directives issued by
ing Instructions shall, for the third month of the Bureau of Transportation Statistics’ Di-
any calendar quarter during which the op- rector of Airline Information.
tion is exercised, type in the bottom margin (b) Route and charter air carriers shall file
of the system statement of operations the this schedule for each separate operating en-
total number of full-time and part-time em- tity and for the overall, or system operations
ployees to be labeled as such and calculated of the carrier.
in accordance with paragraph (d) of the re- (c) All substantive matters which may in-
porting instructions for Schedule P–1(a). fluence materially interpretations or conclu-
sions in regard to the financial condition or
Schedule P–1(a)—Interim Income Statement the earnings position of the air carrier which
(a) This schedule shall be filed by all air are not clearly identified in the body of the
carriers. Form 41 report or which represent informa-
(b) This schedule shall be filed for the over- tion that cannot be expressed adequately in
all or system operations of the air carrier. monetary terms shall be completely and
(c) Data reported on this schedule shall re- clearly stated in this schedule and cross-ref-
flect the results of operations for the month erenced to the affected account or accounts.
covered by the report and shall conform to The informative disclosure on this schedule
the instructions pertaining to profit and loss for the system operations of the air carrier
classifications within this Uniform System shall conform, at the end of each carrier’s
of Accounts and Reports. fiscal or calendar year, with the footnotes
(d) Air carriers shall report on this sched- prepared for audited financial statements.
ule: (d) The amounts and estimated delivery
(1) Total operating revenues, dates of any purchase commitments of mate-
(2) Total operating expenses, rial size and not of a recurrent routine char-
(3) Operating profit or loss, acter shall be explained on this schedule. In
(4) Net income, the case of commitments involving flight
(5) Passenger revenues—scheduled service, equipment, the amount for each equipment
(6) Public service revenues (subsidy) and type may be given in total, including any en-
other information on gines, airframes and spares; but the number
(7) The total number of full-time and of airframes and the number of engines by
(8) Part-time employees. Total number of type shall be given, as well as the estimated
full-time employees and total number of
delivery date for each complete aircraft. Re-
part-time employees shall reflect for the
ports on commitments other than for flight
overall or system operations of the air car-
equipment are required only in the Decem-
rier the total number of full-time and part-
ber 31 report of each calendar year.
time employees, respectively, who worked or
received pay for any part of the pay period(s) (e) Each scheduled air carrier shall include
ending nearest the 15th day of the month. on this schedule a description of each inter-
For the purposes of this part, ‘‘part-time em- ruption in air transport operations, the ag-
ployees’’ means those employees hired to gregate effect of which is ten (10) percent or
work less than the number of hours that is more of the scheduled revenue plane-miles
customary or standard for their occupational which, except for the interruption, would
specialty. have been operated during the month or ei-
(e) In the event of a labor strike, the ther of 2 consecutive months affected. The
‘‘number of employees’’ to be reported on information to be reported for each such
this schedule shall be determined on and ac- interruption in operations shall consist of:
tual payroll basis. Actual payroll shall be de- (1) For the report period in which partial
termined in accordance with paragraph (d) of or complete interruption first occurs, the na-
these reporting instructions. An air carrier ture of the interruption and dates of partial
that on October 24, 1978, held a certificate and/or complete cessation of operations, as
issued under 49 U.S.C. 41102 shall also report applicable;
in a footnote on this schedule the number of (2) For each report period until full re-
full-time employees who were deprived of sumption of operations, an estimate of the
employment because of a strike (i.e., the revenue plane-miles canceled in each month
number of full-time employees who, but for a of the quarter because of the interruption;
strike, would have been included in the num- and

183
Section 24 14 CFR Ch. II (1–1–19 Edition)
(3) For the report period in which sched- (iii) Line 5 ‘‘Other’’ expenses shall include
uled operations are resumed, dates of partial general (hull) insurance, and all other ex-
and/or complete resumption, as applicable. penses incurred in the in-flight operation of
aircraft and holding of aircraft and aircraft
Schedule P–5.1—Aircraft Operating Expenses operational personnel in readiness for assign-
(a) This schedule shall be filed by all Group ment to an in-flight status that are not pro-
I air carriers. Group I air carriers that have vided for otherwise on this schedule.
annual operating revenues of $20 million or (2) Line 6 ‘‘Total Flying Operations (Less
more shall file this schedule quarterly and Rentals)’’ shall equal the sum of lines 3, 4
only report direct operating expense data and 5.
(lines 1 thru 9). Group I air carriers with an- (3) Line 7 ‘‘Maintenance-Flight Equip-
nual operating revenues below $20 million ment’’ shall include the cost of labor, mate-
shall file this schedule semiannually and re- rial and related overhead expended by the
port both direct and indirect operating ex- carrier to maintain flight equipment, gen-
pense data (lines 1 thru 16). eral services purchased for flight equipment
(b) Subject to the provisions of Section maintenance from associated or other out-
22(a), quarterly reports are due on May 10, side companies, and provisions for flight
August 10, November 10 and February 10 for equipment overhauls.
the first, second, third and fourth calendar (4) Line 8 ‘‘Depreciation and Rental-Flight
quarters, respectively. Semiannual reports Equipment’’ expense shall include deprecia-
are due on August 10 and February 10. tion of flight equipment, amortization of
(c) Each carrier shall indicate in the space capitalized leases for flight equipment, pro-
provided its full corporate name and an ‘‘X’’ vision for obsolescence and deterioration of
shall be inserted in the appropriate box to spare parts, and rental expense of flight
indicate whether the data being reported are equipment.
quarterly or six months data. The period- (5) Line 9 ‘‘Total Direct Expense’’ shall
ending data shall be indicated in the space equal the sum of lines 6, 7 and 8.
provided. (g) Line 10 Indirect aircraft operating ex-
(d) Route and charter air carriers subject penses shall be reported only in total for all
to the quarterly filing requirement shall file aircraft types and shall be segregated ac-
this schedule for each operating entity of the cording to the following categories:
air carrier. Air carriers subject to the semi- (1) Line 11 ‘‘Flight Attendant Expense’’
annual filing requirement shall file this shall include flight attendants’ salaries, and
schedule for the overall or system operations related employee benefits, pensions, payroll
of the air carrier.
taxes and personnel expenses.
(e) This schedule shall show the direct and
(2) Line 12 ‘‘Traffic Related Expense’’ shall
indirect expenses incurred in aircraft oper-
include traffic solicitor salaries, traffic com-
ations plus total aircraft hours, gallons of
missions, passenger food expense, traffic li-
fuel issued, and aircraft days assigned to
ability insurance, advertising and other pro-
service. Direct expense data applicable to
motion and publicity expenses, and the
each aircraft type operated by the carrier
fringe benefit expenses related to all salaries
shall be reported in separate colums of this
schedule. Each aircraft type reported shall in this classification.
be identified at the head of each column in (3) Line 13 ‘‘Departure Related (Station)
the space provided. ‘‘Aircraft Type’’ refers to Expense’’ shall include aircraft and traffic
aircraft models such as B–707–100, B–707–200, handling salaries, landing fees, clearance,
DC–10–40, Beech–18, Piper PA–32, etc, Air- customs and duties, related fringe benefit ex-
craft Type designations are prescribed in the penses and maintenance and depreciation on
Accounting and Reporting Directives, which ground property and equipment.
is available from the Board’s Information (4) Line 14 ‘‘Capacity Related Expense’’
Management Division. In the space provided shall include salaries and fringe benefits for
for ‘‘Aircraft Code’’ carriers shall insert the general management personnel, record-
four digit code which is prescribed in the Ac- keeping and statistical personnel, lawyers,
counting and Reporting Directives for the re- and law clerks, and purchasing personnel;
ported aircraft type. legal fees and expenses; stationery; printing;
(f) Direct aircraft operating expenses shall uncollectible accounts; insurance purchased-
be reported in the following categories: general; memberships; corporate and fiscal
(1) Line 2 ‘‘Flying Operations (Less Rent- expenses; and all other expenses which can-
al)’’ shall be subdivided as follows: not be identified or allocated to some other
(i) Line 3 ‘‘Pilot and Copilot’’ expense shall specifically identified indirect cost category.
include pilots’ and copilots’ salaries, and re- (h) Line 15 ‘‘Total Indirect Expense’’ shall
lated employee benefits, pensions, payroll equal the sum of lines 11, 12, 13 and 14.
taxes and personnel expenses. (i) Line 16 ‘‘Total Operating Expense’’ shall
(ii) Line 4 ‘‘Aircraft Fuel and Oil’’ expense equal the sum of lines 9 and 15.
shall include the cost of fuel and oil used in (j) Line 17 ‘‘Total Aircraft Hours’’ shall
flight operations and nonrefundable aircraft equal the sum of revenue and nonrevenue
fuel and oil taxes. aircraft hours.

184
Office of the Secretary, DOT Section 24
(k) Line 18 ‘‘Gallons of Fuel Issued’’ shall (e) Italicized codes and item titles do not
equal the aircraft fuels issued (account Z921). constitute accounts or account numbers pre-
(l) Line 19 ‘‘Aircraft Days Assigned to scribed for air carrier accounting, but shall
Service’’ equals the number of days that air- be used for reporting purposes only.
craft owned or acquired through rental or (f) Item 79.6 ‘‘Applied Maintenance Bur-
lease are in the possession of the reporting den’’ shall reflect a memorandum allocation
air carrier and are available for service on by each air carrier of the total expenses in-
the reporting carrier’s routes plus the num- cluded in subfunction 5300 ‘‘Maintenance
ber of days such aircraft are in service on Burden’’ between maintenance of flight
routes of others under wet-lease agreements. equipment, by aircraft type, and mainte-
Includes days in overhaul, or temporarily nance of ground property and equipment.
out of service due to schedule cancellations. The allocation of subfunction 5300 (mainte-
Excludes days that newly acquired aircraft nance burden) shall include the net effect of
are on hand but not available for productive charges and credits to profit and loss ac-
use, days dry-leased or rented to others, and count 5272 Flight Equiment Airworthiness
days in possession but formally withdrawn Provisions.
from air transportation service. (g) Item 73 ‘‘Obsolescence and Deteriora-
tion—Expendable Parts’’ shall reflect (for
Schedule P–5.2—Aircraft Operating Expenses obsolescence and deterioration of flight
and Related Statistics equipment expandable parts) the gross provi-
(a) This schedule shall be filed by all Group sions for losses in value of expendable parts
II and Group III air carriers. during the current accounting period offset
(b) Route and charter air carriers shall file by any credits applicable to the current pe-
this schedule for each operating entity of the riod for adjustments for excess inventory
air carrier. levels determined pursuant to section 6–1311.
(c) Data applicable to each aircraft type (h) The total of function 5100 ‘‘Flying Oper-
operated by the air carrier shall be reported ations’’ reported on this schedule shall agree
in separate columns of this schedule. ‘‘Air- with corresponding amounts reported on
craft Type’’ refers to aircraft models (such as Schedule P–1.2.
B–707–100, B–707–300, DC–9–30, etc.) that are Schedule P–6—Operating Expenses by
prescribed in the Accounting and Reporting Objective Groupings
Directives, which is available from the Office
of Airline Information. In the space provided (a) This schedule shall be filed quarterly by
for ‘‘Aircraft Code’’ carriers shall insert the all Group II and Group III air carriers and
four digit code which is prescribed in the Ac- Group I air carriers that have annual oper-
counting and Reporting Directives for the re- ating revenues of $20 million or more.
ported aircraft type. For route air carriers, (b) Route and charter air carriers shall file
expenses of operating aircraft provided by this schedule for each separate operating en-
other carriers under interchange agreements tity.
shall be separately reported in total for all (c) Line 36 ‘‘Total Operating Expenses’’
such aircraft as if for a distinct aircraft shall agree with the corresponding amount
type. Interchange expenses applicable to air- reported on Schedule P–1.
craft of the same type as those owned or op-
Schedule P–7—Operating Expenses by Func-
erated by the air carrier shall be distributed
tional Groupings—Group III Air Carriers
in summary memo form as item 98.1 and 98.2
to each aircraft type owned or operated by (a) This schedule shall be filed by all Group
that air carrier. Aircraft types not generally III air carriers.
used in revenue service shall be separately (b) Route and charter air carriers shall file
reported. If more than one type of aircraft is this schedule for each operating entity of the
involved, a separation of data relating to air carrier.
each type of aircraft shall not be required. (c) Line 38 ‘‘Total Operating Expenses’’
(d) Each aircraft type for which a report is shall agree with the corresponding amount
being made shall be identified at the head of reported on Schedule P–1.2.
each column in the space provided. Data ap-
plicable to aircraft designed primarily for Schedule P–10—Employment Statistics by
cargo services and only incidentally used for Labor Category
passenger services shall be reported in sepa- (a) This schedule shall be filed annually by
rate columns, and the word ‘‘cargo’’ shall be all Group II and Group III air carriers and
inserted after the aircraft type at the head of Group I air carriers that have annual oper-
the column. The prescribed reporting by air- ating revenues of $20 million or more.
craft types may be reviewed from time to (b) Separate sets of this schedule shall be
time upon request by individual air carriers, filed for each operating entity of the air car-
or upon the initiative of the BTS, and rier. Employees will be allocated to the re-
groupings of aircraft types for reporting pur- porting entities on a basis consistent with
poses may be prescribed or amended in spe- that used in the allocation of salaries for
cific instances. Form 41 financial reporting purposes.

185
Section 24 14 CFR Ch. II (1–1–19 Edition)
(c) Column 3, ‘‘Number of Employees,’’ national MAC operations shall be reported
shall reflect, for each category in column 1, on separate lines.
the weighted average number of full-time (f) The cost data reported on each line
employees who received pay for any part of shall represent the average cost of fuel, as
the calendar year. In determining the determined at the station level, consumed in
weighted average, all temporary or part- that entity.
time employees shall be restated, based on (g) The cost of fuel shall include shrinkage
their hours paid, as an equivalent number of but exclude (1) ‘‘through-put’’ and ‘‘in to
full-time employees. The calculation shall be plane’’ fees, i.e., service charges or gallonage
based on a standard full-time 2,080/hour year levies assessed by or against the fuel vendor
with overtime hours excluded from the com-
or concessionaire and passed on to the car-
putation.
rier in a separately identifiable form and (2)
(d) Labor category description—‘‘Other
nonrefundable Federal and State excise
personnel’’ shall include all employees whose
taxes. However, ‘‘through-put’’ and ‘‘in to
salary is chargeable to accounts 30, 32, 34 and
plane’’ charges that cannot be identified or
35 in this Uniform System of Accounts and
Reports. segregated from the cost of fuel shall remain
(e) Labor category description—‘‘Trans- a part of the cost of fuel as reported on this
port-related’’ shall include all employees schedule.
whose salary is not chargeable to one of the (h) Each air carrier shall maintain records
various salary accounts contained in the for each station showing the computation of
Uniform System of Accounts and Reports. fuel inventories and consumption for each
For example, this category would include fuel type. The periodic average cost method
those employees who work in transport-re- shall be used in computing fuel inventories
lated operations and other activities for and consumption. Under this method, an av-
which a separate payroll account is not pre- erage unit cost for each fuel type shall be
scribed. The number of employees reported computed by dividing the total cost of fuel
as transport-related shall be calculated in available (Beginning Inventory plus Pur-
accordance with paragraph (c) of these re- chases) by the total gallons available. The
porting instructions. resulting unit cost shall then be used to de-
termine the ending inventory and the total
Schedule P–12(a)—Fuel Consumption by consumption costs to be reported on this
Type of Service and Entity schedule.
(a) This schedule shall be filed monthly by (i) Where amounts reported for a specific
all Group II and Group III air carriers and entity include other than Jet A fuel, a foot-
Group I air carriers that have annual oper- note shall be added indicating the number of
ating revenues of $20 million or more. gallons and applicable costs of such other
(b) A single copy (original only) of this fuel included in amounts reported for that
schedule shall be filed to report monthly fuel entity.
consumption data by type of service and en- (j) Where any adjustment(s) recorded on
tity. the books of the carrier results in a material
(c) For the purposes of this schedule, type distortion of the current month’s schedule,
of service shall be either scheduled service or carriers shall file a revised schedule P–12(a)
nonscheduled service as those terms are de- for the month(s) affected.
fined in section 03 of part 241. (k) Data reported on this schedule shall be
(d) For the purpose of this schedule, sched- withheld from public release until the quar-
uled service shall be reported separately for: terly Form 41 P schedules for the calendar
(1) Intra-Alaskan operations; (2) domestic quarter to which the monthly schedules re-
operations, which shall include all oper-
late are due at the BTS. However, aggregate
ations within and between the 50 States of
data may be released before that time with-
the United States (except Intra-Alaska), the
out identifying individual carriers. Provi-
District of Columbia, the Commonwealth of
sions governing the due dates for submitting
Puerto Rico and the United States Virgin Is-
the quarterly P schedules are contained in
lands and Canadian transborder operations;
(3) Atlantic operations (excluding Bermuda); paragraphs (a) and (b) of section 22 of this
(4) Pacific operations which shall include the part. Individual carrier fuel data withheld
North/Central Pacific, South Pacific (includ- from public disclosure may be disclosed by
ing Australia) and the Trust Territories; and the BTS to:
(5) Latin American operations which shall (1) Parties to any proceeding before the
include the Caribbean (including Bermuda DOT to the extent such material is relevant
and the Guianas), Mexico and South/Central and material to the issues in the proceeding
America. upon a determination to this effect by the
(e) For the purpose of this schedule, non- administrative law judge assigned to the
scheduled service shall be reported sepa- case or by the DOT;
rately for domestic operations and inter- (2) Agencies and other components of the
national operations as defined in paragraph Federal Government for their internal use
(d) above, except that domestic and inter- only; and

186
Office of the Secretary, DOT Pt. 243
(3) Such persons and in such circumstances (2) Revenue tons enplaned, reflecting the
as the BTS determines to be in the public in- total revenue tons of cargo loaded on air-
terest or consistent with its regulatory func- craft during the annual period;
tions and responsibilities. (3) Available ton-miles, reflecting the total
revenue ton-miles available for all-cargo
(Approved by the Office of Management and
service during the annual period, and com-
Budget under control number 2138–0013)
puted by multiplying aircraft miles flown on
[ER–755, 37 FR 19726, Sept. 21, 1972, as amend- each flight stage by the number of tons of
ed by Amdt. 241–58, 54 FR 5597, Feb. 6, 1989] aircraft capacity available for that stage;
(4) Aircraft miles flown, reflecting the
EDITORIAL N OTE : For F EDERAL REGISTER ci-
total number of aircraft miles flown in cargo
tations affecting part 241 section 24, see the
service during the annual period;
List of CFR Sections Affected, which appears
in the Finding Aids section of the printed (5) Aircraft departures performed, reflect-
volume and at www.govinfo.gov. ing the total number of take-offs performed
in cargo service during the annual period;
TRAFFIC REPORTING REQUIREMENTS and
(6) Aircraft hours airborne, reflecting the
Section 25 Traffic and Capacity Ele- aircraft hours of flight (from take-off to
ments landing) performed in cargo service during
the annual period.
General Instructions. (a) All prescribed re-
porting for traffic and capacity elements Schedule T–100 U.S. Air Carrier Traffic and
shall conform with the data compilation Capacity Data By Nonstop Segment and On-
standards set forth in section 19—Uniform Flight Market
Classification of Operating Statistics. (a) Schedule T–100 collects detailed on-
(b) Carriers submitting Schedule T–100 flight market and nonstop segment data on
shall use magnetic computer tape or IBM all revenue flights flown by U.S. certificated
compatible disk for transmitting the pre- air carriers. This schedule is filed monthly.
scribed data to the Department. Upon good Separate data shall be reported for each op-
cause shown, OAI may approve the request of erating entity (Latin America, Atlantic, Pa-
a U.S. air carrier, under section 1–2 of this cific; International, or Domestic) of the air
part, to use hardcopy data input forms or carrier. Data for each operating entity shall
submit data via e-mail. be reported using the five digit entity code
Schedule T–8—Report of all-cargo prescribed under section 19–5(c) of this part.
operations. (b) Guidelines for reporting the automated
monthly Schedule T–100 are included in the
(a) This schedule shall be filed annually by Appendix to this section.
all air carriers that conduct all-cargo oper- (c) Reported data shall be compiled as ag-
ations under certificates issued under 49 gregates of the basic data elements and serv-
U.S.C. 41103. ice classes contained in sections 19–4 and 19–
(b) [Reserved] 5 of this part.
(c) Statement of operations. This statement (d) Joint-service operations. The air carrier
shall include the following elements: in operational control of the aircraft (the
(1) Total operating revenue, categorized as carrier that uses its flight crews under its
follows: own FAA operating authority) must report
(i) Transport revenues from the carriage of joint-service operations.
property in scheduled and nonscheduled serv-
ice; (Approved by the Office of Management and
(ii) Transport revenues from the carriage Budget under control number 2138–0013)
of mail in scheduled and nonscheduled serv- [ER–755, 37 FR 19726, Sept. 21, 1972]
ice; and
(iii) Transport-related revenues. EDITORIAL N OTE : For F EDERAL REGISTER ci-
(2) Total operating expenses; and tations affecting part 241, section 25, see the
(3) Operating profit or loss, computed by List of CFR Sections Affected, which appears
subtracting the total operating expenses in the Finding Aids section of the printed
from the total operating revenues. volume and at www.govinfo.gov.
(d) Summary of traffic and capacity statis-
tics. This summary shall include the fol- PART 243—PASSENGER MANIFEST
lowing elements:
(1) Total revenue ton-miles, which are the INFORMATION
aircraft miles flown on each flight stage
times the number of tons of revenue traffic Sec.
carried on that stage. They shall be cat- 243.1 Purpose.
egorized as follows: 243.3 Definitions.
(i) Property; and 243.5 Applicability.
(ii) Mail. 243.7 Information collection requirements.

187
§ 243.1 14 CFR Ch. II (1–1–19 Edition)
243.9 Procedures for collecting and main- Covered flight segment means a pas-
taining the information. senger-carrying flight segment oper-
243.11 Transmission of information after an ating to or from the United States (i.e.,
aviation disaster.
243.13 Filing requirements.
the flight segment where the last point
243.15 Conflicts with foreign laws. of departure or the first point of ar-
243.17 Enforcement. rival is in the United States). A cov-
ered flight segment does not include a
AUTHORITY: 49 U.S.C. 40101, 40101nt., 40105,
40113, 40114, 41708, 41709, 41711, 41501, 41702, flight segment in which both the point
41712, 44909, 46301, 46310, 46316; section 203 of of departure and point of arrival are in
Pub. L. 101–604, 104 Stat. 3066 (22 U.S.C. 5501– the United States.
5513), Title VII of Pub. L. 104–264, 110 Stat. Full name means the given name,
3213 (22 U.S.C. 5501–5513) and Pub. L. 105–148, middle initial or middle name, if any,
111 Stat. 2681 (49 U.S.C. 41313.) and family name or surname as pro-
SOURCE: Docket No. OST–95–950, 63 FR 8280, vided by the passenger.
Feb. 18, 1998, unless otherwise noted. Passenger means every person aboard
a covered flight segment regardless of
§ 243.1 Purpose. whether he or she paid for the trans-
The purpose of this part is to ensure portation, had a reservation, or occu-
that the U.S. government has prompt pied a seat, except the crew. For the
and adequate information in case of an purposes of this part, passenger in-
aviation disaster on covered flight seg- cludes, but is not limited to, a revenue
ments. and non-revenue passenger, a person
holding a confirmed reservation, a
§ 243.3 Definitions. standby or walkup, a person rerouted
Air piracy means any seizure of or ex- from another flight or airline, an in-
ercise of control over an aircraft, by fant held upon a person’s lap and a per-
force or violence or threat of force or son occupying a jump seat. Airline per-
violence, or by any other form of in- sonnel who are on board but not work-
timidation, and with wrongful intent. ing on that particular flight segment
Aviation disaster means: would be considered passengers for the
(1) An occurrence associated with the purpose of this part.
operation of an aircraft that takes United States means the States com-
place between the time any passengers prising the United States of America,
have boarded the aircraft with the in- the District of Columbia, and the terri-
tention of flight and the time all such tories and possessions of the United
persons have disembarked or have been States, including the territorial sea
removed from the aircraft, and in and the overlying airspace.
which any person suffers death or seri- U.S. citizen means United States na-
ous injury, and in which the death or tionals as defined in 8 U.S.C. 1101(a)(22).
injury was caused by a crash, fire, col-
lision, sabotage or accident; § 243.5 Applicability.
(2) A missing aircraft; or
(3) An act of air piracy. This part applies to covered flight
Contact means a person not on the segments operated by covered airlines.
covered flight or an entity that should (See § 243.3 of this part)
be contacted in case of an aviation dis- § 243.7 Information collection require-
aster. The contact need not have any ments.
particular relationship to a passenger.
Covered airline means: (a) For covered flight segments, each
(1) certificated air carriers, and covered airline shall:
(2) foreign air carriers, except those (1) Collect, or cause to be collected,
that hold Department of Transpor- the full name for each passenger who is
tation authority to conduct operations a U.S. citizen. U.S.-citizen passengers
in foreign air transportation using only for whom this information is not ob-
small aircraft (i.e., aircraft designed to tained shall not be boarded;
have a maximum passenger capacity of (2) Solicit, or cause to be solicited, a
not more than 60 seats or a maximum name and telephone number of a con-
payload capacity of not more than tact from each passenger who is a U.S.
18,000 pounds). citizen; and

188
Office of the Secretary, DOT § 243.15
(3) Maintain a record of the informa- sible, but not later than 3 hours, after
tion collected pursuant to this section. the carrier learns of an aviation dis-
(b) The covered airline operating the aster involving a covered flight seg-
flight segment shall be responsible for ment operated by that carrier.
ensuring compliance with paragraph (c) Upon request, a covered airline
(a) of this section. shall transmit a complete and accurate
compilation of the information col-
§ 243.9 Procedures for collecting and
maintaining the information. lected pursuant to § 243.7 of this part to
the Director, Family Support Services,
Covered airlines may use any method National Transportation Safety Board.
or procedure to collect, store and
transmit the required information, § 243.13 Filing requirements.
subject to the following conditions:
(a) Information on individual pas- (a) Each covered airline that operates
sengers shall be collected before each one or more covered flight segments
passenger boards the aircraft on a cov- shall file with the U.S. Department of
ered flight segment. Transportation a brief statement sum-
(b) The information shall be kept marizing how it will collect the pas-
until all passengers have disembarked senger manifest information required
from the covered flight segment. by this part and transmit the informa-
(c) The contact information collected tion to the Department of State fol-
pursuant to section 243.7(a)(2) of this lowing an aviation disaster. This de-
part shall be kept confidential and re- scription shall include a contact at the
leased only to the U.S. Department of covered airline, available at any time
State, the National Transportation the covered airline is operating a cov-
Safety Board (upon NTSB’s request), ered flight segment, who can be con-
and the U.S. Department of Transpor- sulted concerning information gath-
tation pursuant to oversight of this ered pursuant to this part.
part. This paragraph does not preempt (b) Each covered airline shall file any
other governments or governmental contact change as well as a description
agencies that have an independent, of any significant change in its means
legal right to obtain this information.
of collecting or transmitting manifest
(d) The contact information collected
information on or before the date the
pursuant to section 243.7(a)(2) of this
part shall only be used by covered air- change is made.
lines for notification of family mem- (c) All filings under this section
bers or listed contacts following an should be submitted to OST Docket 98–
aviation disaster. The information 3305, Dockets Facility (SVC–121.30),
shall not be used for commercial or U.S. Department of Transportation,
marketing purposes. 1200 New Jersey Avenue, SE., Wash-
ington, DC 20590. The statement shall
§ 243.11 Transmission of information be filed by July 1, 1998, or, for covered
after an aviation disaster. airlines beginning operations after
(a) Each covered airline shall inform July 1, 1998, prior to the date a covered
the Managing Director of Overseas Cit- airline operates a covered flight seg-
izen Services, Bureau of Consular Af- ment.
fairs, U.S. Department of State imme-
diately upon learning of an aviation § 243.15 Conflict with foreign laws.
disaster involving a covered flight seg- (a) If a covered airline obtains a
ment operated by that carrier. The waiver in the manner described in this
Managing Director may be reached 24 section, it will not be required to so-
hours a day through the Department of
licit, collect or transmit information
State Operations Center at (202) 647–
under this part in countries where such
1512.
(b) Each covered airline shall trans- solicitation or collection would violate
mit a complete and accurate compila- applicable foreign law, but only to the
tion of the information collected pur- extent it is established by the carrier
suant to § 243.7 of this part to the U.S. that such solicitation or collection
Department of State as quickly as pos- would violate applicable foreign law.

189
§ 243.17 14 CFR Ch. II (1–1–19 Edition)
(b) Covered airlines that claim that PART 244—REPORTING TARMAC
such solicitation, collection or trans- DELAY DATA
mission would violate applicable for-
eign law in certain foreign countries Sec.
shall file a petition requesting a waiver 244.1 Definitions.
in the Docket Facility, on or before Oc- 244.2 Applicability.
tober 1, 1998, or on or before beginning 244.3 Reporting of tarmac delay data.
service between that country and AUTHORITY: 49 U.S.C. 40101(a)(4), 40101(a)(9),
United States. Such petition shall in- 40113(a), 41702, and 41712.
clude copies of the pertinent foreign SOURCE: Docket No. DOT–OST–2010–0140, 76
law, as well as a certified translation, FR 23160, Apr. 25, 2011, unless otherwise
and shall include opinions of appro- noted.
priate legal experts setting forth the
basis for the conclusion that collection § 244.1 Definitions.
would violate such foreign law. State- Arrival time is the instant when the
ments from foreign governments on the pilot sets the aircraft parking brake
application of their laws will also be after arriving at the airport gate or
accepted. passenger unloading area. If the park-
(c) The U.S. Department of Transpor- ing brake is not set, record the time for
tation will notify the covered airline of the opening of the passenger door.
the extent to which it has been satis- Also, for purposes of section 244.3 car-
factorily established that compliance riers using a Docking Guidance System
with all or part of the data collection (DGS) may record the official ‘‘gate-ar-
requirements of this part would con- rival time’’ when the aircraft is
stitute a violation of foreign law. stopped at the appropriate parking
(d) The U.S. Department of Transpor- mark.
tation will maintain an up-to-date list- Cancelled flight means a flight oper-
ing in OST Docket 98–3305 of countries ation that was not operated, but was
where adherence to all or a portion of listed in an air carrier or a foreign air
carrier’s computer reservation system
this part is not required because of a
within seven calendar days of the
conflict with applicable foreign law.
scheduled departure.
[Doc. No. OST–95–950, 63 FR 8280, Feb. 18, Certificated air carrier means a U.S.
1998; 63 FR 9413, Feb. 25, 1998] carrier holding a certificate issued
under 49 U.S.C. 41102 to conduct pas-
§ 243.17 Enforcement. senger service or holding an exemption
The U.S. Department of Transpor- to conduct passenger operations under
tation may at any time require a cov- 49 U.S.C. 40109.
ered airline to produce a passenger Commuter air carrier means a U.S. car-
manifest including emergency contacts rier that has been found fit under 49
and phone numbers for a specified cov- U.S.C. 41738 and is authorized to carry
ered flight segment to ascertain the ef- passengers on at least five round trips
fectiveness of the carrier’s system. In per week on at least one route between
two or more points according to a pub-
addition, it may require from any cov-
lished flight schedule using small air-
ered airline further information about
craft as defined in 14 CFR 298.2.
collection, storage and transmission
Covered carrier means a certificated
procedures at any time. If the Depart- carrier, a commuter carrier, or a for-
ment finds a covered airline’s system eign air carrier operating to, from, or
to be deficient, it will require appro- within the United States, conducting
priate modifications, which must be scheduled passenger service or public
implemented within the period speci- charter service with at least one air-
fied by the Department. In addition, a craft having a designed passenger seat-
covered airline not in compliance with ing capacity of 30 or more seats.
this part may be subject to enforce- Diverted flight means a flight which is
ment action by the Department. operated from the scheduled origin
point to a point other than the sched-
uled destination point in the carrier’s

190
Office of the Secretary, DOT § 244.2
published schedule. For example, a car- Non-hub airport means an airport
rier has a published schedule for a with 10,000 or more annual
flight from A to B to C. If the carrier enplanements but less than 0.05 percent
were to actually fly an A to C oper- of the total enplanements in the
ation, the A to B segment is a diverted United States.
flight, and the B to C segment is a can- Small hub airport means an airport ac-
celled flight. The same would apply if counting for at least 0.05 percent but
the flight were to operate from A to an less than 0.25 percent of the total
airport other than B or C. enplanements in the United States.
Foreign air carrier means a carrier Tarmac delay means the holding of an
that is not a citizen of the United aircraft on the ground either before
States as defined in 49 U.S.C. 40102(a) taking off or after landing with no op-
that holds a foreign air carrier permit portunity for its passengers to deplane.
issued under 49 U.S.C. 41302 or an ex-
emption issued under 49 U.S.C. 40109 § 244.2 Applicability.
authorizing direct foreign air transpor- (a) Except as provided in paragraph
tation. (b) of this section, this part applies to
Gate departure time is the instant U.S. certificated air carriers, U.S. com-
when the pilot releases the aircraft muter air carriers and foreign air car-
parking brake after passengers have riers that operate passenger service to
boarded and aircraft doors have closed. or from a U.S. airport with at least one
In cases where the flight returned to aircraft that has an original manufac-
the departure gate before wheels-off turer’s design capacity of 30 or more
time and departs a second time, the re- seats. Covered carriers must report all
portable gate departure time for pur- passenger operations that experience a
poses of this part is the last gate depar- tarmac time of more than 3 hours at a
ture time before wheels-off time. In U.S. airport.
cases of a return to the gate after (b) For foreign air carriers that oper-
wheels-off time, the reportable gate de- ate charter flights from foreign air-
parture time is the last gate departure ports to U.S. airports, and return to
time before the gate return. If pas- foreign airports, and do not pick up
sengers were boarded without the park- any new passengers in the U.S., the
ing brake being set, the reportable gate charter flights are not flights subject
departure time is the time that the to the reporting requirements of this
last passenger door was closed. Also, part.
the official ‘‘gate-departure time’’ may (c) U.S. carriers that submit Part 234
be based on aircraft movement for car- Airline Service Quality Performance
riers using a Docking Guidance System Reports must submit 3-hour tarmac
(DGS). For example, one DGS records delay information for public charter
gate departure time when the aircraft flights and international passenger
moves more than 1 meter from the ap- flights to or from any U.S. large hub
propriate parking mark within 15 sec- airport, medium hub airport, small hub
onds. Fifteen seconds is then sub- airport and non-hub airport. These car-
tracted from the recorded time to ob- riers are already required to submit
tain the appropriate ‘‘out’’ time. such information for domestic sched-
Gate Return time means the time that uled flights to or from U.S. large hub
an aircraft that has left the boarding airports under art 234 of this chapter.
gate returns to a gate or other position These carriers that are covered by part
at an airport for the purpose of allow- 234 need only submit information for
ing passengers the opportunity to dis- flights with tarmac delays of more
embark from the aircraft. than 3 hours under this part 244 for do-
Large hub airport means an airport mestic scheduled passenger flights to
that accounts for at least 1.00 percent or from any U.S. medium hub airport,
of the total enplanements in the small hub airport and non-hub airport
United States. to the extent they do not report such
Medium hub airport means an airport information under 14 CFR 234.7.
accounting for at least 0.25 percent but [Docket No. DOT–OST–2010–0140, 76 FR 23160,
less than 1.00 percent of the total Apr. 25, 2011, as amended by Dockt. No. DOT–
enplanements in the United States. OST–2014–0056, 81 FR 76827, Nov. 3, 2016]

191
§ 244.3 14 CFR Ch. II (1–1–19 Edition)

§ 244.3 Reporting of tarmac delay data. section must be provided for each sub-
sequent diverted airport landing.
(a) Each covered carrier shall file
BTS Form 244 ‘‘Tarmac Delay Report’’ [Docket No. DOT–OST–2010–0140, 76 FR 23160,
with the Office of Airline Information Apr. 25, 2011, as amended by Docket No.
DOT–OST–2014–0056, 81 FR 76827, Nov. 3, 2016]
of the Department’s Bureau of Trans-
portation Statistics setting forth the
information for each of its covered PART 247—DIRECT AIRPORT-TO-
flights that experienced a tarmac delay AIRPORT MILEAGE RECORDS
of more than 3 hours, including di-
verted flights and cancelled flights on AUTHORITY: 49 U.S.C. chapter 401.
which the passengers were boarded and
SOURCE: Amdt. 247–2, 56 FR 67170, Dec. 30,
then deplaned before the cancellation. 1991, unless otherwise noted.
The reports are due within 15 days
after the end of any month during § 247.1 Official mileage record of the
which the carrier experienced any re- Department of Transportation.
portable tarmac delay of more than 3 The direct airport-to-airport mileage
hours at a U.S. airport. The reports record now maintained, and as here-
shall be made in the form and manner after amended or revised from time to
set forth in accounting and reporting time by the Office of Airline Informa-
directives issued by the Director, Of- tion of the Bureau of Transportation
fice of Airline Information, and shall Statistics of the Department of Trans-
contain the following information: portation in the regular performance of
(1) Carrier code its duties, is hereby adopted as the offi-
(2) Flight number cial mileage record of the Department
(3) Departure airport (three letter and the mileages set forth therein shall
code) be used in all instances where it shall
(4) Arrival airport (three letter code) be necessary to determine direct air-
(5) Date of flight operation (year/ port-to-airport mileages pursuant to
month/day) the provisions of Titles IV and X of the
Federal Aviation Act of 1958, as amend-
(6) Gate departure time (actual) in
ed, or any rule, regulation, or order of
local time
the Department pursuant thereto.
(7) Gate arrival time (actual) in local
time [Amdt. 247–2, 56 FR 67170, Dec. 30, 1991, as
(8) Wheels-off time (actual) in local amended at 60 FR 66725, Dec. 26, 1995]
time
(9) Wheels-on time (actual) in local PART 248—SUBMISSION OF AUDIT
time REPORTS
(10) Aircraft tail number
(11) Total ground time away from Sec.
248.1 Applicability.
gate for all gate return/fly return at or- 248.2 Filing of audit reports.
igin airports including cancelled 248.4 Time for filing reports.
flights 248.5 Withholding from public disclosure.
(12) Longest time away from gate for AUTHORITY: 49 U.S.C. 329 and chapters
gate return or canceled flight 41102, 41708, and 41709.
(13) Three letter code of airport
SOURCE: ER–420, 29 FR 13799, Oct. 7, 1964,
where flight diverted unless otherwise noted.
(14) Wheels-on time at diverted air-
port § 248.1 Applicability.
(15) Total time away from gate at di- The requirements of this part shall
verted airport be applicable to all air carriers subject
(16) Longest time away from gate at to the requirements of part 241 of this
diverted airport subchapter.
(17) Wheels-off time at diverted air-
port § 248.2 Filing of audit reports.
(b) The same information required by (a) Whenever any air carrier subject
paragraph (a)(13) through (17) of this to § 248.1 shall have caused an annual

192
Office of the Secretary, DOT § 249.2
audit of its books, records, and ac- PART 249—PRESERVATION OF AIR
counts to be made by independent pub- CARRIER RECORDS
lic accountants, such air carrier shall
file with the Office of Airline Informa- Subpart A—General Instructions
tion, in duplicate, a special report con-
sisting of a true and complete copy of Sec.
the audit report submitted by such 249.1 Applicability.
249.2 Definitions.
independent public accountants, in- 249.3 Preservation of records.
cluding all schedules, exhibits, and cer- 249.4 Photographic copies.
tificates included in, attached to, or 249.5 Storage of records.
submitted with or separately as a part 249.6 Destruction of records.
of, the audit report. 249.7 Restrictions on record destruction.
(b) Each air carrier subject to § 248.1 249.8 Premature loss or destruction of
records.
that does not cause an annual audit to 249.9 Carriers going out of business.
be made of its books, records, and ac- 249.10 Waiver of requirements.
counts for any fiscal year shall, at the
close of such fiscal year file with the Subpart B—Preservation of Records by
Board’s Office of the Comptroller, as a Carrier
part of its periodic reports, a state-
ment that no such audit has been per- 249.20 Preservation of records by certifi-
cated air carriers.
formed. 249.21 Preservation of records by public
(c) Carriers shall submit their audit charter operators and overseas military
reports or their statement that no personnel charter operators.
audit was performed in a format speci-
fied in accounting and reporting direc- Subpart C—Regulations Relating to the
tives issued by the Bureau of Transpor- Truth-in-Lending Act
tation Statistics’ Director of Airline 249.30 Applicability.
Information. 249.31 Preservation and inspection of evi-
(Approved by the Office of Management and dence of compliance.
Budget under control number 2138–0004) AUTHORITY: 49 U.S.C. 329 and chapters 401,
411, 413, 417.
[ER–1351, 48 FR 32756, July 19, 1983, as amend-
ed by ER–1362, 48 FR 46265, Oct. 12, 1983; 60 SOURCE: ER–1214, 46 FR 25415, May 6, 1981,
FR 66725, Dec. 26, 1995; 75 FR 41584, July 16, unless otherwise noted.
2010] NOTE: The recordkeeping requirements
contained in this part have been approved by
§ 248.4 Time for filing reports. the Office of Management and Budget under
control number 2138–0006.
The report required by this part shall
be filed with the Office of Airline Infor-
mation within 15 days after the due Subpart A—General Instructions
date of the appropriate periodic BTS § 249.1 Applicability.
Form 41 Report, filed for the 12-month
period covered by the audit report, or Subparts A and B of this part apply
the date the accountant submits its to:
audit report to the air carrier, which- (a) Air carriers, as defined in 49
ever is later. U.S.C. 40102, that hold either certifi-
cates of public convenience and neces-
[ER–1351, 48 FR 32756, July 19, 1983, as amend- sity or certificates for all-cargo air
ed at 60 FR 66725, Dec. 26, 1995] service.
(b) Public charter operators, as de-
§ 248.5 Withholding from public disclo- fined in part 380 of this chapter.
sure.
(c) Overseas military personnel char-
The special reports required to be ter operators, as defined in part 372 of
filed by § 248.2 shall be withheld from this chapter.
public disclosure, until further order of [ER–1214, 46 FR 25415, May 6, 1981, as amend-
the BTS, if such treatment is requested ed at 60 FR 66725, Dec. 26, 1995]
by the air carrier at the time of filing.
[ER–420, 29 FR 13799, Oct. 7, 1964, as amended
§ 249.2 Definitions.
at 60 FR 66725, Dec. 26, 1995] For the purposes of this part:

193
§ 249.3 14 CFR Ch. II (1–1–19 Edition)
Authorized representatives of the DOT succession, transfer, or other acquisi-
means any persons, including special tion.
agents and auditors, designated by the Supporting papers (records) means any
DOT to perform inspections, audits, or group of documentary papers, such as
examinations within the purview of the memoranda, correspondence, working
DOT’s authority. sheets, etc., that assist in upholding
Certificated air carrier means the hold- the accuracy or clarity of related
er of a certificate of public convenience records.
and necessity issued by the Depart- [ER–1214, 46 FR 25415, May 6, 1981, as amend-
ment of Transportation under 49 U.S.C. ed at 60 FR 66725, Dec. 26, 1995]
41102 or a certificate for all-cargo air
service issued by the Department of § 249.3 Preservation of records.
Transportation under 49 U.S.C. 41103. (a) All records listed in §§ 249.20 and
Final adjudication means the expira- 249.21 may be preserved on either paper
tion date of the last possible period of or nonerasable microfilm (see § 249.4).
review or reconsideration of a given However, a paper or microfilm record
case, by the DOT or by a court, that is need not be created to satisfy the re-
provided by applicable statute or regu- quirements of this part if the record is
lation. initially prepared in a machine-read-
Open mail rate period means the time able medium such as punched cards,
interval between the date of institu- magnetic tapes, and disks. The records
tion of a new mail rate proceeding or maintained in machine-readable media
the start of service over a new route and the underlying data used in their
for which no mail rate has previously preparation shall be preserved for the
been fixed, and the date upon which a periods prescribed in §§ 249.20 and 249.21.
DOT order setting the final mail rate A paper or microfilm record shall not
becomes legally effective. be destroyed after transfer to a ma-
chine-readable medium before expira-
Pending case means any case that the
tion of the prescribed period: however,
DOT is empowered to hear before its
a waiver permitting the early destruc-
final adjudication. tion of paper or microfilm records
Records include all documents that transferred to a machine-readable me-
are related to, or constitute integral dium may be granted by the Director,
links in developing the history of, or Office of Airline Information, when it
facts regarding, financial transactions is demonstrated by the requesting car-
or physical operations of a particular rier that the substantive purpose of the
segment, operating division, or entire retention requirement will be met by
system of the carrier’s operations. The retention of the information in ma-
term includes any copy of initially pre- chine-readable form (see § 249.10).
pared documents which bear approvals, (b) Each record kept in a machine-
comments, or notations which were readable medium shall be accompanied
added and are of significance to a full by a statement clearly indicating the
explanation of recorded facts or infor- type of data included in the record and
mation. The term records means not certifying that the information con-
only accounting records in a limited tained in it is complete and accurate.
technical sense but all other evi- This statement shall be executed by a
dentiary accounts of events such as person having personal knowledge of
memoranda, correspondence, working the facts contained in the records. The
sheets, tabulating equipment listings records shall be indexed and retained in
punched cards, computer-produced list- such a manner so that they are easily
ings, microfilm, and magnetic storage accessible, and the carrier shall have
media (i.e., magnetic tapes, disks). The the facilities available to locate, iden-
term records also means microform tify and reproduce the records in read-
and/or tape reproductions of documents able form without loss of clarity. Au-
made as authorized by this subpart. In thorized representatives of the DOT
addition, the term records includes any shall be given immediate access to the
of the above-described materials com- carrier’s facilities upon request.
ing into the possession of the air car- (c) If any record which must be re-
rier through merger, consolidation, tained under the provisions of §§ 249.20

194
Office of the Secretary, DOT § 249.7
and 249.21 is included as an exhibit to the photographs are direct and fac-
another document which must also be simile reproductions of the original
retained, the carrier need only keep in records and they have been made in ac-
its files one copy of the record to sat- cordance with prescribed regulations.
isfy these record retention require- Such a certificate shall be executed by
ments. In these cases, the carrier shall a person having personal knowledge of
establish adequate cross-references to these facts. Where the microfilm is
assist in locating the record. computer output, the microfilm certifi-
(d) The provisions in this part do not cate shall state that the information is
excuse noncompliance with require- complete and accurate.
ments of any other governmental body, [ER–1214, 46 FR 25415, May 6, 1981, as amend-
Federal or State, prescribing longer re- ed at 60 FR 66725, Dec. 26, 1995]
tention periods for any records.
[ER–1214, 46 FR 25415, May 6, 1981, as amend- § 249.5 Storage of records.
ed at 60 FR 66725, Dec. 26, 1995] Each carrier shall provide reasonable
protection from damage by fire, floods,
§ 249.4 Photographic copies. and other hazards for records subject
(a) Any record may be transferred to to the provisions of this part.
nonerasable microfilm (including
microfiche, computer output micro- § 249.6 Destruction of records.
film, and aperture cards) at any time. (a) Upon the expiration of the period
Records so maintained on microfilm of preservation prescribed in this regu-
shall satisfy the minimum require- lation, records may be destroyed at the
ments listed in paragraphs (b) through option of the carrier.
(f) of this section. (b) Unless otherwise specified, dupli-
(b) The microfilm shall be of a qual- cate copies of records may be destroyed
ity that can be easily read and that can at any time if they contain no signifi-
be reproduced in paper similar in size cant information not shown on the
to an original without loss of clarity or originals.
detail during the periods the records
are required to be retained in §§ 249.20 § 249.7 Restrictions on record destruc-
and 249.21. tion.
(c) Microfilm records shall be indexed (a) Each carrier that has been named
and retained in such a manner as will a party to a pending mail rate case
render them readily accessible, and the shall retain all records remaining in its
company shall have facilities available custody as of the beginning of an ‘‘open
to locate, identify and read the micro- mail rate period’’ until the occurrence
film and reproduce in paper form. Au- of one of the following contingencies,
thorized representatives of the DOT whichever is first:
shall be given immediate access to (1) Final adjudication of a DOT order
these facilities upon request. fixing the final mail compensation pay-
(d) Any significant characteristic, able for services rendered during an
feature, or other attribute which ‘‘open mail rate period.’’
microfilm will not preserve shall be (2) Receipt of a notice issued by the
clearly indicated at the beginning of Director, Office of Airline Information
each roll of film or series of microfilm in response to a written application
records if applicable to all records on filed by the carrier, authorizing the de-
the roll or series, or on the individual struction of specifically identified cat-
record, as appropriate. egories of records. An application
(e) The printed side of printed forms should be filed when the carrier be-
need not be microfilmed for each lieves that certain categories of
record if nothing has been added to the records are not relevant to the proper
printed matter common to all such processing of a pending mail pro-
forms, but an identified specimen of ceeding. The application should list
the form shall be on the film for ref- those categories of records which the
erence. carrier wants to destroy and its rea-
(f) Each roll of film or series of sons for believing that the records are
microfilm records shall include a not necessary or useful in determining
microfilm of a certificate stating that its satutory mail pay.

195
§ 249.8 14 CFR Ch. II (1–1–19 Edition)
(b) Each carrier shall preserve cumstances under which they became
records supporting the computation of unavailable.
subsidy mail pay in accordance with
[ER–1214, 46 FR 25415, May 6, 1981, as amend-
the provisions of § 249.20 unless the car- ed at 60 FR 66725, Dec. 26, 1995]
rier has been advised that these com-
putations are subject to further review § 249.9 Carriers going out of business.
and disposition by the Board. When the
DOT is still reviewing the compensa- The records referred to in these regu-
tion amount after expiration of the lations may be destroyed after the
normal retention period specified in business is discontinued and the carrier
§ 249.20, these records must be retained is completely liquidated. The records
until the carrier is notified by the Di- may not be destroyed until dissolution
rector, Office of Airline Information, is final and all transactions and litiga-
that the records may be destroyed. tions are completed. When a carrier is
(c) Each carrier that has been named merged with another company which is
a party to an enforcement proceeding regulated by the DOT, the successor
or against whom a third-party com- company shall preserve records of the
plaint has been filed shall retain all merged company in accordance with
records relating to the case until the these regulations.
receipt of formal notification from the [ER–1214, 46 FR 25415, May 6, 1981, as amend-
Director, Office of Airline Information, ed at 60 FR 66725, Dec. 26, 1995]
following a written application from
the carrier, which authorizes the de- § 249.10 Waiver of requirements.
struction of these records. A waiver from any provision of this
(d) Each carrier that has been named regulation may be made by the Direc-
a party to a pending case which is not tor, Office of Airline Information, upon
of a type discussed in paragraphs (a), the Director’s own initiative or upon
(b), and (c) of this section, shall pre- submission of a written request by a
serve all records according to the pro- carrier or group of carriers. Each re-
visions of § 249.20 unless the Director, quest for waiver shall demonstrate
Office of Airline Information, notifies that unusual circumstances warrant a
the carrier in writing that specific departure from prescribed retention pe-
records shall be preserved until final riods, procedures, or techniques, or
adjudication of the pending case. that compliance with the prescribed re-
(e) Each carrier that is a party to quirements would impose an unreason-
litigation in a Federal court of which able burden on the carrier, and that
the DOT is also a party shall retain all
granting the waiver would be in the
records relating to the case until the
public interest.
receipt of formal notification from the
Director, Office of Airline Information, [ER–1214, 46 FR 25415, May 6, 1981, as amend-
following a written application from ed at 60 FR 66726, Dec. 26, 1995]
the carrier, which authorizes the de-
struction of these records. Subpart B—Preservation of
[ER–1214, 46 FR 25415, May 6, 1981, as amend- Records by Carrier
ed at 60 FR 66725, Dec. 26, 1995]
§ 249.20 Preservation of records by
§ 249.8 Premature loss or destruction certificated air carriers.
of records. Each certificated air carrier shall re-
If records are destroyed or lost before tain its records according to the provi-
the expiration of the prescribed reten- sions of this section. Unless otherwise
tion period, a statement shall be pre- specified in the ‘‘Schedule of Records,’’
pared and submitted to the Director, each retention period shall begin on
Office of Airline Information, which the date when the records are created
lists, as accurately as possible, the un- or otherwise come into the possession
available records and describes the cir- of the carrier.

196
Office of the Secretary, DOT § 249.20
SCHEDULE OF RECORDS
[See footnote at end of table]

Retention
Category of records
period

1. General and subsidiary ledgers or their equivalents:

(a) General ledgers; subsidiary or auxiliary ledgers .................................................................... 3 years.
(b) Indexes to general and subsidiary ledgers ............................................................................ Do.
2. Journals and journal vouchers:
(a) General and subsidiary journals, and journal vouchers ......................................................... 3 years.
(b) Papers forming a part of, or necessary to explain, journal entries; entry numbers .............. Do.
3. Voucher distribution registers or their equivalent ........................................................................... Do.
4. Accounts receivables and payables:
(a) Traffic accounts receivable or payable, detailed journals and ledgers or their equivalents, Do.
together with supporting papers.
(b) General accounts receivable or payable, detailed journals and ledgers or their equiva- Do.
lents, together with supporting papers.
(c) Copies of invoices issued by the carrier which have been settled and all supporting pa- 1 year.
pers.
(d) Copies of Postal Service Forms: Weekly Summary of Airmail Dispatch (No. 2729) and 30 days.
POD Airmail Exemption Record (No. 2734) supporting mail pay claims which have been
settled.
5. Subsidy records:
(a) For each calendar year, all monthly records of operations, such as tabulations and sum- 3 years.
maries of miles flown and passenger-miles flown, pertaining to or part of operational
records relevant to computation of subsidy mail pay.
(b) For each calendar year, all basic original documents, such as pilots’ flight logs and pas- Do.
senger lists relevant to a determination of the validity of a carrier’s operations described in
item (a) above.
6. The papers, records, or other evidence supporting financial and statistical reports to the BTS. Do.
These should include among others the following specific records: Internal administrative or op-
erating reports; system reports of aircraft movements by trip number, showing arrivals, depar-
tures, flight delays and related information; bonds and other long-term debt records; stock
records; corporate organization records; financial data in support of subsidy claims; minutes of
meetings; carrier internal reports on internal controls and other internal audits and procedural
studies; operational, management, accounting, financial, and legal service contracts and agree-
ments; records and agreements relating to the lease or purchase and sale of company assets,
including title papers, deeds, and similar records; insurance records; property and equipment
records; tax records; accountants’ and auditors’ reports; records of receipts and disbursements
including bank statements, check registers and cancelled checks; payroll registers of salaries
and wages paid; cost accounting records for work orders; inventories of materials and supplies;
and other source documents.
7. Funds reports and estimates of funds ............................................................................................ 1 year.
8. Consumer complaints:
(a) Initial correspondence and record of action taken ................................................................. 3 years.
(b) Initial trip reports:
(1) Traffic Data: Basic documents showing the number of passengers, and pounds of (1).
mail and property carried.
(c) Reservations reports and records:
(1) Cards and charts constituting original source of passengers’ names, telephone num- 2 months.
bers, etc.
(2) Telegrams and radio messages relating to the clearance of space, passenger dis- 1 month.
patching, etc.
(d) System report of airplane movements by trip number showing arrivals, departures, delays 3 years.
and related information.
(e) Sales reports:
(1) Sales ticket or other similar reports from stations, offices and agents ........................... 2 years.
(f) Auditors’ coupons .................................................................................................................... 1 year.
(g) Air waybills .............................................................................................................................. Do.
(h) Flight coupons ........................................................................................................................ Do.
(i) Ticket refund claims records and reports ................................................................................ Do.
(j) Records and reports relating to errors, oversales, irregularities and delays in handling pas- Do.
sengers.
9. All documents which relate to the furnishing of transportation to candidates for political office or 2 years.
persons acting on their behalf which are required to be maintained following § 374a.7 of the
subchapter.

197
§ 249.21 14 CFR Ch. II (1–1–19 Edition)
SCHEDULE OF RECORDS—Continued
[See footnote at end of table]

Retention
Category of records
period

10. Correspondence and working papers relating to rate and route proceedings ............................. 3 years.
1 One year-mail-property; 2 years-passengers.

[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66726, Dec. 26, 1995]

§ 249.21 Preservation of records by this chapter, indirect air carriers reg-

public charter operators and over- istered under part 296 of this chapter,
seas military personnel charter op- charter operators authorized under
erators. parts 372 and 380 of this chapter, and
Each operator authorized under parts foreign air carriers holding permits to
372 and 380 of this chapter shall retain engage in indirect foreign air transpor-
the following records for 6 months tation issued under 49 U.S.C. 41302.
after completion or cancellation of the [ER–1214, 46 FR 25415, May 6, 1981, as amend-
flight or series of flights. The records ed at 60 FR 66726, Dec. 26, 1995]
shall be made available upon request of
an authorized representative of the § 249.31 Preservation and inspection of
DOT. evidence of compliance.
(a) All receipts and statements of Air carriers and foreign air carriers
travel agents and all other documents shall preserve evidence of compliance
which show deposits made by each with the requirements imposed under
charter participant or which show re- Regulation Z of the Board of Governors
funds to charter participants. of the Federal Reserve System (12 CFR
(b) All receipts and statements of part 226), implementing the provisions
travel agents and all other documents of Title I (Truth in Lending) and Title
which show or reflect commissions re- V (General Provisions) of the Consumer
ceived, paid to, or deducted by travel Credit Protection Act, as amended (15
agents in connection with the flight or U.S.C. 1601 et seq.) other than the ad-
series of flights. vertising requirements under § 226.10 of
(c) All statements, invoices, bills, regulation Z. This evidence shall be
and receipts from suppliers for fur- preserved for no less than 2 years after
nishing of goods or services in connec- the date each disclosure is required to
tion with the tour or series of tours. be made and shall be made available
(d) All customer reservations records for inspection by authorized represent-
for each flight. atives of the DOT.
(e) All contracts with individual tour
participants. [ER–1214, 46 FR 25415, May 6, 1981, as amend-
(f) All bank statements and reconcili- ed at 60 FR 66726, Dec. 26, 1995]
ations for escrow bank accounts opened
and maintained in accordance with PART 250—OVERSALES
DOT regulations.
Sec.
[ER–1214, 46 FR 25415, May 6, 1981, as amend-
250.1 Definitions.
ed at 60 FR 66726, Dec. 26, 1995]
250.2 Applicability.
250.2a Policy regarding denied boarding.
Subpart C—Regulations Relating 250.2b Carriers to request volunteers for de-
to the Truth-in-Lending Act nied boarding.
250.3 Boarding priority rules.
§ 249.30 Applicability. 250.5 Amount of denied boarding compensa-
tion for passengers denied boarding in-
This subpart is applicable to all air voluntarily.
carriers and foreign air carriers as de- 250.6 Exceptions to eligibility for denied
fined in 49 U.S.C. 40102, including, with- boarding compensation.
out limitation, direct carriers, air taxi 250.7 [Reserved]
operators registered under part 298 of 250.8 Denied boarding compensation.

198
Office of the Secretary, DOT § 250.2b
250.9 Written explanation of denied board- carrier, as being reserved for the ac-
ing compensation and boarding prior- commodation of the passenger.
ities, and verbal notification of denied Fare means the price paid for air
boarding compensation.
transportation including all mandatory
250.10 Report of passengers denied con-
firmed space.
taxes and fees. It does not include an-
250.11 Public disclosure of deliberate over- cillary fees for optional services.
booking and boarding procedures. Stopover means a deliberate interrup-
tion of a journey by the passenger,
AUTHORITY: 49 U.S.C. 329 and chapters scheduled to exceed 4 hours, at a point
41102, 41301, 41708, 41709, and 41712.
between the place of departure and the
SOURCE: ER–1306, 47 FR 52985, Nov. 24, 1982, final destination.
unless otherwise noted. Zero fare ticket means a ticket ac-
quired without a substantial monetary
§ 250.1 Definitions. payment such as by using frequent
Airport means the airport at which flyer miles or vouchers, or a
the direct or connecting flight, on consolidator ticket obtained after a
which the passenger holds confirmed monetary payment that does not show
reserved space, is planned to arrive or a fare amount on the ticket. A zero
some other airport serving the same fare ticket does not include free or re-
metropolitan area, provided that trans- duced rate air transportation provided
portation to the other airport is ac- to airline employees and guests.
cepted (i.e., used) by the passenger. [ER–1306, 47 FR 52985, Nov. 24, 1982, as amend-
Alternate transportation means air ed by ER–1337, 48 FR 29680, June 28, 1983; 68
transportation with a confirmed res- FR 52836, Sept. 8, 2003; Doc. No. OST–01–9325,
ervation at no additional charge, oper- 73 FR 21033, Apr. 18, 2008; Doc. No. DOT–OST–
ated by a carrier as defined below, or 2010–0140, 76 FR 23161, Apr. 25, 2011]
other transportation accepted and used
§ 250.2 Applicability.
by the passenger in the case of denied
boarding. This part applies to every carrier, as
Carrier means: (1) a direct air carrier, defined in § 250.1, with respect to sched-
except a helicopter operator, holding a uled flight segments using an aircraft
certificate issued by the Department of that has a designed passenger capacity
Transportation pursuant to 49 U.S.C. of 30 or more passenger seats, oper-
41102 or that has been found fit to con- ating in (1) interstate air transpor-
duct commuter operations under 49 tation or (2) foreign air transportation
U.S.C. 41738, or an exemption from 49 with respect to nonstop flight seg-
U.S.C. 41102, authorizing the scheduled ments originating at a point within the
transportation of persons; or (2) a for- United States.
eign air carrier holding a permit issued [Doc. No. OST–01–9325, 73 FR 21033, Apr. 18,
by the Department pursuant to 49 2008]
U.S.C. 41302, or an exemption from that
provision, authorizing the scheduled § 250.2a Policy regarding denied
foreign air transportation of persons. boarding.
Class of service means seating in the In the event of an oversold flight,
same cabin class such as First, Busi- every carrier shall ensure that the
ness, or Economy class, or in the same smallest practicable number of persons
seating zone if the carrier has more holding confirmed reserved space on
than one seating product in the same that flight are denied boarding invol-
cabin such as Economy and Premium untarily.
Economy class.
Confirmed reserved space means space § 250.2b Carriers to request volunteers
on a specific date and on a specific for denied boarding.
flight and class of service of a carrier (a) In the event of an oversold flight,
which has been requested by a pas- every carrier shall request volunteers
senger, including a passenger with a for denied boarding before using any
‘‘zero fare ticket,’’ and which the car- other boarding priority. A ‘‘volunteer’’
rier or its agent has verified, by appro- is a person who responds to the car-
priate notation on the ticket or in any rier’s request for volunteers and who
other manner provided therefore by the willingly accepts the carriers’ offer of

199
§ 250.3 14 CFR Ch. II (1–1–19 Edition)
compensation, in any amount, in ex- written in such manner as to be under-
change for relinquishing the confirmed standable and meaningful to the aver-
reserved space. Any other passenger de- age passenger. Such rules and criteria
nied boarding is considered for pur- shall not make, give, or cause any
poses of this part to have been denied undue or unreasonable preference or
boarding involuntarily, even if that advantage to any particular person or
passenger accepts the denied boarding subject any particular person to any
compensation. unjust or unreasonable prejudice or
(b) Every carrier shall advise each disadvantage in any respect whatso-
passenger solicited to volunteer for de- ever.
nied boarding, no later than the time (b) Boarding priority factors may in-
the carrier solicits that passenger to clude, but are not limited to, the fol-
volunteer, whether he or she is in dan- lowing:
ger of being involuntarily denied (1) A passenger’s time of check-in;
boarding and, if so, the compensation (2) Whether a passenger has a seat as-
the carrier is obligated to pay if the signment before reaching the departure
passenger is involuntarily denied gate for carriers that assign seats;
boarding. If an insufficient number of (3) The fare paid by a passenger;
volunteers come forward, the carrier (4) A passenger’s frequent-flyer sta-
may deny boarding to other passengers tus; and
in accordance with its boarding pri- (5) A passenger’s disability or status
ority rules. as an unaccompanied minor.
(c) If a carrier offers free or reduced [ER–1306, 47 FR 52985, Nov. 24, 1982, as amend-
rate air transportation as compensa- ed by ER–1337, 48 FR 29680, June 28, 1983; Doc.
tion to volunteers, the carrier must No. OST–01–9325, 73 FR 21034, Apr. 18, 2008]
disclose all material restrictions, in-
cluding but not limited to administra- § 250.5 Amount of denied boarding
tive fees, advance purchase or capacity compensation for passengers de-
restrictions, and blackout dates appli- nied boarding involuntarily.
cable to the offer before the passenger (a) Subject to the exceptions pro-
decides whether to give up his or her vided in § 250.6, a carrier to whom this
confirmed reserved space on the flight part applies as described in § 250.2 shall
in exchange for the free or reduced rate pay compensation in interstate air
transportation. If the free or reduced transportation to passengers who are
rate air transportation is offered orally denied boarding involuntarily from an
to potential volunteers, the carrier oversold flight as follows:
shall also orally provide a brief de- (1) No compensation is required if the
scription of the material restrictions carrier offers alternate transportation
on that transportation at the same that, at the time the arrangement is
time that the offer is made. made, is planned to arrive at the air-
[ER–1337, 48 FR 29680, June 28, 1983, as
port of the passenger’s first stopover,
amended at 68 FR 52836, Sept. 8, 2003; Doc. or if none, the airport of the pas-
No. OST–01–9325, 73 FR 21034, Apr. 18, 2008; senger’s final destination not later
Doc. No. DOT–OST–2010–0140, 76 FR 23161, than one hour after the planned arrival
Apr. 25, 2011; Docket No. DOT–OST–2014–0056, time of the passenger’s original flight;
81 FR 76827, Nov. 3, 2016] (2) Compensation shall be 200% of the
fare to the passenger’s destination or
§ 250.3 Boarding priority rules. first stopover, with a maximum of $675,
(a) Every carrier shall establish pri- if the carrier offers alternate transpor-
ority rules and criteria for determining tation that, at the time the arrange-
which passengers holding confirmed re- ment is made, is planned to arrive at
served space shall be denied boarding the airport of the passenger’s first
on an oversold flight in the event that stopover, or if none, the airport of the
an insufficient number of volunteers passenger’s final destination more than
come forward. Such rules and criteria one hour but less than two hours after
shall reflect the obligations of the car- the planned arrival time of the pas-
rier set forth in §§ 250.2a and 250.2b to senger’s original flight; and
minimize involuntary denied boarding (3) Compensation shall be 400% of the
and to request volunteers, and shall be fare to the passenger’s destination or

200
Office of the Secretary, DOT § 250.5
first stopover, with a maximum of the cash/check payment otherwise re-
$1,350, if the carrier does not offer al- quired;
ternate transportation that, at the (2) The carrier fully informs the pas-
time the arrangement is made, is senger of the amount of cash/check
planned to arrive at the airport of the compensation that would otherwise be
passenger’s first stopover, or if none, due and that the passenger may decline
the airport of the passenger’s final des- the transportation benefit and receive
tination less than two hours after the the cash/check payment; and
planned arrival time of the passenger’s (3) The carrier fully discloses all ma-
original flight. terial restrictions, including but not
(b) Subject to the exceptions pro- limited to, administrative fees, ad-
vided in § 250.6, a carrier to whom this vance purchase or capacity restric-
part applies as described in § 250.2 shall tions, and blackout dates applicable to
pay compensation to passengers in for- the offer, on the use of such free or re-
eign air transportation who are denied duced rate transportation before the
boarding involuntarily at a U.S. air- passenger decides to give up the cash/
port from an oversold flight as follows: check payment in exchange for such
(1) No compensation is required if the transportation. (See also § 250.9(c)).
carrier offers alternate transportation (d) The requirements of this section
that, at the time the arrangement is apply to passengers with ‘‘zero fare
made, is planned to arrive at the air- tickets.’’ The fare paid by these pas-
port of the passenger’s first stopover, sengers for purposes of calculating de-
or if not, the airport of the passenger’s nied boarding compensation shall be
final destination not later than one the lowest cash, check, or credit card
hour after the planned arrival time of payment charged for a ticket in the
the passenger’s original flight; same class of service on that flight.
(2) Compensation shall be 200% of the (e) The Department of Transpor-
fare to the passenger’s destination or tation will review the maximum denied
first stopover, with a maximum of $675, boarding compensation amounts pre-
if the carrier offers alternate transpor- scribed in this part every two years ex-
tation that, at the time the arrange- cept for the first review, which will
ment is made, is planned to arrive at take place in 2012 in order to put the
the airport of the passenger’s first reviews specified in this section on the
stopover, or if not, the airport of the same cycle as the reviews of domestic
passenger’s final destination more than baggage liability limits specified in 14
one hour but less than four hours after CFR 254.6. The Department will use
the planned arrival time of the pas- any increase in the Consumer Price
senger’s original flight; and Index for All Urban Consumers (CPI–U)
(3) Compensation shall be 400% of the as of July of each review year to cal-
fare to the passenger’s destination or culate the increased maximum com-
first stopover, with a maximum of pensation amounts. The Department
$1,350, if the carrier does not offer al- will use the following formula:
ternate transportation that, at the (1) Current Denied Boarding Com-
time the arrangement is made, is pensation limit in section 250.5(a)(2)
planned to arrive at the airport of the multiplied by (a/b) rounded to the near-
passenger’s first stopover, or if not, the est $25 where:
airport of the passenger’s final destina-
tion less than four hours after the a = July CPI–U of year of current adjustment
planned arrival time of the passenger’s b = the CPI–U figure in August, 2011 when
the inflation adjustment provision was
original flight. added to Part 250.
(c) Carriers may offer free or reduced
rate air transportation in lieu of the (2) The Denied Boarding Compensa-
cash or check due under paragraphs (a) tion limit in § 250.5(a)(3) shall be twice
and (b) of this section, if— the revised limit for § 250.5(a)(2).
(1) The value of the transportation (3) The Denied Boarding Compensa-
benefit offered, excluding any fees or tion limit in paragraph (b)(2) shall be
other mandatory charges applicable for the same as the revised limit for para-
using the free or reduced rate air trans- graph (a)(2) of this section, and the De-
portation, is equal to or greater than nied Boarding Compensation limit in

201
§ 250.6 14 CFR Ch. II (1–1–19 Edition)
paragraph (b)(3) shall be twice the re- not later than 1 hour after the planned
vised limit for paragraph (a)(2) of this arrival time of the passenger’s original
section. flight or flights.
(f) In addition to the denied boarding
[ER–1337, 48 FR 29680, June 28, 1983, as
compensation specified in this part, a amended at Doc. No. OST–01–9325, 73 FR
carrier shall refund all unused ancil- 21034, Apr. 18, 2008]
lary fees for optional services paid by a
passenger who is voluntarily or invol- § 250.7 [Reserved]
untarily denied boarding. The carrier is
not required to refund the ancillary § 250.8 Denied boarding compensation.
fees for services that are provided with (a) Every carrier shall tender to a
respect to the passenger’s alternate passenger eligible for denied boarding
transportation. compensation, on the day and place the
[Doc. No. DOT–OST–2010–0140, 76 FR 23162, denied boarding occurs, except as pro-
Apr. 25, 2011, as amended by Doc. No. DOT– vided in paragraph (b), cash or an im-
OST–2015–0104, 80 FR 30147, May 27, 2015; Doc. mediately negotiable check for the ap-
No. DOT–OST–2014–0056, 81 FR 76827, Nov. 3, propriate amount of compensation pro-
2016]
vided in § 250.5.
§ 250.6 Exceptions to eligibility for de- (b) Where a carrier arranges, for the
nied boarding compensation. passenger’s convenience, alternate
means of transportation that departs
A passenger denied boarding involun-
before the payment can be prepared
tarily from an oversold flight shall not and given to the passenger, tender
be eligible for denied boarding com- shall be made by mail or other means
pensation if: within 24 hours after the time the de-
(a) The passenger does not comply nied boarding occurs.
fully with the carrier’s contract of car-
riage or tariff provisions regarding [ER–1394, 49 FR 43625, Oct. 31, 1984]
ticketing, reconfirmation, check-in,
and acceptability for transportation; § 250.9 Written explanation of denied
(b) The flight for which the passenger boarding compensation and board-
ing priorities, and verbal notifica-
holds confirmed reserved space is un- tion of denied boarding compensa-
able to accommodate that passenger tion.
because of substitution of equipment of
lesser capacity when required by oper- (a) Every carrier shall furnish pas-
ational or safety reasons; or, on an air- sengers who are denied boarding invol-
craft with a designed passenger capac- untarily from flights on which they
ity of 60 or fewer seats, the flight for hold confirmed reserved space imme-
which the passenger holds confirmed diately after the denied boarding oc-
reserved space is unable to accommo- curs, a written statement explaining
date that passenger due to weight/bal- the terms, conditions, and limitations
ance restrictions when required by of denied boarding compensation, and
operational or safety reasons; describing the carriers’ boarding pri-
(c) The passenger is offered accom- ority rules and criteria. The carrier
modations or is seated in a section of shall also furnish the statement to any
the aircraft other than that specified person upon request at all airport tick-
on the ticket at no extra charge, ex- et selling positions which are in the
cept that a passenger seated in a sec- charge of a person employed exclu-
tion for which a lower fare is charged sively by the carrier, or by it jointly
shall be entitled to an appropriate re- with another person or persons, and at
fund; or all boarding locations being used by
(d) The carrier arranges comparable the carrier.
air transportation, or other transpor- (b) The statement shall read as fol-
tation used by the passenger at no lows:
extra cost to the passenger, that at the
time such arrangements are made is COMPENSATION FOR DENIED BOARDING
planned to arrive at the airport of the If you have been denied a reserved seat on
passenger’s next stopover or, if none, (name of air carrier), you are probably enti-
at the airport of the final destination tled to monetary compensation. This notice

202
Office of the Secretary, DOT § 250.9
explains the airline’s obligation and the pas- senger’s original flight; (2) 200% of the fare
senger’s rights in the case of an oversold to the passenger’s destination or first stop-
flight, in accordance with regulations of the over, with a maximum of $675, if the carrier
U.S. Department of Transportation. offers alternate transportation that is
planned to arrive at the passenger’s destina-
V OLUNTEERS AND B OARDING PRIORITIES
tion or first stopover more than one hour but
If a flight is oversold (more passengers less than two hours after the planned arrival
hold confirmed reservations than there are time of the passenger’s original flight; and
seats available), no one may be denied board- (3) 400% of the fare to the passenger’s des-
ing against his or her will until airline per- tination or first stopover, with a maximum
sonnel first ask for volunteers who will give of $1,350, if the carrier does not offer alter-
up their reservation willingly, in exchange nate transportation that is planned to arrive
for compensation of the airline’s choosing. If at the airport of the passenger’s destination
there are not enough volunteers, other pas- or first stopover less than two hours after
sengers may be denied boarding involun- the planned arrival time of the passenger’s
tarily in accordance with the following
original flight.
boarding priority of (name of air carrier): (In
this space the carrier inserts its boarding 0 to 1 hour arrival delay ........ No compensation.
1 to 2 hour arrival delay ........ 200% of one-way fare (but
priority rules or a summary thereof, in a
no more than $675).
manner to be understandable to the average
Over 2 hours arrival delay ..... 400% of one-way fare (but
passenger.) no more than $1,350).
COMPENSATION FOR INVOLUNTARY DENIED
International Transportation
BOARDING
If you are denied boarding involuntarily, Passengers traveling from the United
you are entitled to a payment of ‘‘denied States to a foreign point who are denied
boarding compensation’’ from the airline un- boarding involuntarily from an oversold
less: flight originating at a U.S. airport are enti-
(1) you have not fully complied with the tled to: (1) No compensation if the carrier of-
airline’s ticketing, check-in and reconfirma- fers alternate transportation that is planned
tion requirements, or you are not acceptable to arrive at the passenger’s destination or
for transportation under the airline’s usual first stopover not later than one hour after
rules and practices; or the planned arrival time of the passenger’s
(2) you are denied boarding because the original flight; (2) 200% of the fare to the
flight is canceled; or passenger’s destination or first stopover,
(3) you are denied boarding because a with a maximum of $675, if the carrier offers
smaller capacity aircraft was substituted for alternate transportation that is planned to
safety or operational reasons; or arrive at the passenger’s destination or first
(4) on a flight operated with an aircraft stopover more than one hour but less than
having 60 or fewer seats, you are denied four hours after the planned arrival time of
boarding due to safety-related weight/bal- the passenger’s original flight; and (3) 400%
ance restrictions that limit payload; or of the fare to the passenger’s destination or
(5) you are offered accommodations in a first stopover, with a maximum of $1,350, if
section of the aircraft other than specified in
the carrier does not offer alternate transpor-
your ticket, at no extra charge (a passenger
tation that is planned to arrive at the air-
seated in a section for which a lower fare is
port of the passenger’s destination or first
charged must be given an appropriate re-
fund); or stopover less than four hours after the
(6) the airline is able to place you on an- planned arrival time of the passenger’s origi-
other flight or flights that are planned to nal flight.
reach your next stopover or final destination 0 to 1 hour arrival delay ........ No compensation.
within one hour of the planned arrival time 1 to 4 hour arrival delay ........ 200% of one-way fare (but
of your original flight. no more than $675).
Over 4 hours arrival delay ..... 400% of one-way fare (but
AMOUNT OF DENIED BOARDING COMPENSATION no more than $1,350).

Domestic Transportation Alternate Transportation

Passengers traveling between points with- ‘‘Alternate transportation’’ is air transpor-
in the United States (including the terri- tation with a confirmed reservation at no ad-
tories and possessions) who are denied board- ditional charge (by any scheduled airline li-
ing involuntarily from an oversold flight are censed by DOT), or other transportation ac-
entitled to: (1) No compensation if the car- cepted and used by the passenger in the case
rier offers alternate transportation that is of denied boarding.
planned to arrive at the passenger’s destina-
tion or first stopover not later than one hour
after the planned arrival time of the pas-

203
§ 250.10 14 CFR Ch. II (1–1–19 Edition)
METHOD OF PAYMENT quarterly basis, the information speci-
Except as provided below, the airline must fied in BTS Form 251. The reporting
give each passenger who qualifies for invol- basis shall be flight segments origi-
untary denied boarding compensation a pay- nating in the United States operated
ment by cash or check for the amount speci- by the reporting carrier. The reports
fied above, on the day and at the place the must be submitted within 30 days after
involuntary denied boarding occurs. If the
airline arranges alternate transportation for
the end of the quarter covered by the
the passenger’s convenience that departs be- report. The calendar quarters end
fore the payment can be made, the payment March 31, June 30, September 30 and
shall be sent to the passenger within 24 December 31. ‘‘Total Boardings’’ on
hours. The air carrier may offer free or dis- Line 7 of Form 251 shall include only
counted transportation in place of the cash passengers on flights for which con-
payment. In that event, the carrier must dis-
firmed reservations are offered. Data
close all material restrictions on the use of
the free or discounted transportation before shall not be included for inbound inter-
the passenger decides whether to accept the national flights.
transportation in lieu of a cash or check pay- (b) For air transportation taking
ment. The passenger may insist on the cash/ place on or after January 1, 2018, each
check payment or refuse all compensation reporting carrier and voluntary report-
and bring private legal action. ing carrier shall file a separate BTS
PASSENGER’S O PTIONS Form 251 for all flight segments origi-
Acceptance of the compensation may re-
nating in the United States marketed
lieve (name of air carrier) from any further under only the reporting carrier’s code,
liability to the passenger caused by its fail- and operated by a code-share partner
ure to honor the confirmed reservation. How- that is a certificated air carrier or
ever, the passenger may decline the payment commuter air carrier using aircraft
and seek to recover damages in a court of that have a designed passenger capac-
law or in some other manner. ity of 30 or more seats.
(c) In addition to furnishing pas- [Docket No. DOT–OST–2014–0056, 81 FR 76827,
sengers with the carrier’s written Nov. 3, 2016]
statement as specified in paragraphs
(a) and (b) of this section, if the carrier § 250.11 Public disclosure of deliberate
orally advises involuntarily bumped overbooking and boarding proce-
passengers that they are entitled to re- dures.
ceive free or discounted transportation
(a) Every carrier shall cause to be
as denied boarding compensation, the
displayed continuously in a con-
carrier must also orally advise the pas-
spicuous public place at each desk, sta-
sengers of any material restrictions or
tion and position in the United States
conditions applicable to the free or dis-
which is in the charge of a person em-
counted transportation and that they
ployed exclusively by it, or by it joint-
are entitled to choose a check instead
ly with another person, or by any agent
(or cash if that option is offered by the
carrier). employed by such air carrier or foreign
air carrier to sell tickets to passengers,
(Approved by the Office of Management and a sign located so as to be clearly visible
Budget under control number 3024–0003) and clearly readable to the traveling
[ER–1306, 47 FR 52985, Nov. 24, 1982, as amend- public, which shall have printed there-
ed by ER–1337, 48 FR 29681, June 28, 1983; ER– on the following statement in boldface
1392, 49 FR 40401, Oct. 16, 1984; ER–1394, 49 FR type at least one-fourth of an inch
43625, Oct. 31, 1984; 68 FR 52836, Sept. 8, 2003; high:
Doc. No. OST–01–9325, 73 FR 21034, Apr. 18,
2008; Doc. No. DOT–OST–2010–0140, 76 FR NOTICE—OVERBOOKING OF FLIGHTS
23162, Apr. 25, 2011; Doc. No. DOT–OST–2015–
0104, 80 FR 30147, May 27, 2015] Airline flights may be overbooked, and
there is a slight chance that a seat will not
§ 250.10 Report of passengers denied be available on a flight for which a person
confirmed space. has a confirmed reservation. If the flight is
overbooked, no one will be denied a seat
(a) Each reporting carrier as defined until airline personnel first ask for volun-
in § 234.2 of this chapter and any carrier teers willing to give up their reservation in
that voluntarily submits data pursuant exchange for compensation of the airline’s
to § 234.7 of this chapter shall file, on a choosing. If there are not enough volunteers,

204
Office of the Secretary, DOT § 251.3
the airline will deny boarding to other per- SOURCE: 80 FR 166, Jan. 5, 2015, unless oth-
sons in accordance with its particular board- erwise noted.
ing priority. With few exceptions, including
failure to comply with the carrier’s check-in § 251.1 Definitions.
deadline (carrier shall insert either ‘‘of l
minutes prior to each flight segment’’ or
As used in this part:
‘‘(which are available upon request from the Certificated air carrier means a U.S.
air carrier)’’ here), persons denied boarding carrier holding a certificate issued
involuntarily are entitled to compensation. under 49 U.S.C. 41102 to conduct pas-
The complete rules for the payment of com- senger service or holding an exemption
pensation and each airline’s boarding prior- to conduct passenger operations under
ities are available at all airport ticket 49 U.S.C. 40109.
counters and boarding locations. Some air-
lines do not apply these consumer protec-
Commuter air carrier means a U.S. car-
tions to travel from some foreign countries, rier that has been found fit under 49
although other consumer protections may be U.S.C. 41738 and is authorized to carry
available. Check with your airline or your passengers on at least five round trips
travel agent. per week on at least one route between
(b) Every carrier shall include with two or more points according to a pub-
each ticket sold in the United States lished flight schedule using small air-
the notices set forth in paragraph (a) of craft as defined in 14 CFR 298.2.
this section, printed in at least 12-point Covered carrier means a certificated
type. The notice may be printed on a carrier, a commuter carrier, an air
separate piece of paper, on the ticket taxi, or a U.S. indirect carrier oper-
stock, or on the ticket envelope. The ating to, from, or within the United
last two sentences of the notice shall States, conducting scheduled passenger
be printed in a type face contrasting service or public charter service.
with that of the rest of the notice. FAA means the Federal Aviation Ad-
(c) It shall be the responsibility of ministration, an operating administra-
each carrier to ensure that travel tion of the Department of Transpor-
agents authorized to sell air transpor- tation.
tation for that carrier comply with the Indirect carrier means a person not di-
notice provisions of paragraphs (a) and rectly involved in the operation of an
(b) of this section. aircraft who sells air transportation
(d) [Reserved] services to the general public other
(e) Any air carrier or foreign air car- than as an authorized agent of a car-
rier engaged in foreign air transpor- rier.
tation that complies fully with this
part for inbound traffic to the United § 251.2 Applicability.
States need not use the last two sen- This part applies to U.S. certificated
tences of the notices required by para- air carriers, U.S. commuter air car-
graph (a) of this subsection. riers, air taxis, and U.S. indirect car-
(Approved by the Office of Management and riers that operate passenger service to,
Budget under control number 3024–0018) from, or within the United States.
[ER–1306, 47 FR 52985, Nov. 24, 1982, as amend- § 251.3 Small musical instruments as
ed by ER–1392, 49 FR 40401, Oct. 16, 1984; Doc. carry-on baggage.
No. OST–01–9325, 73 FR 21035, Apr. 18, 2008]
Each covered carrier shall permit a
passenger to carry a violin, guitar, or
PART 251—CARRIAGE OF MUSICAL other small musical instrument in the
INSTRUMENTS aircraft cabin, without charging the
passenger a fee in addition to any
Sec. standard fee that carrier may require
251.1 Definitions.
251.2 Applicability. for comparable carry-on baggage, if:
251.3 Small musical instruments as carry- (a) The instrument can be stowed
on baggage. safely in a suitable baggage compart-
251.4 Large musical instruments as carry-on ment in the aircraft cabin or under a
baggage. passenger seat, in accordance with the
251.5 Large musical instruments as checked requirements for carriage of carry-on
baggage. baggage or cargo established by the
AUTHORITY: 49 U.S.C. 41724. FAA; and

205
§ 251.4 14 CFR Ch. II (1–1–19 Edition)
(b) There is space for such stowage at PART 252—SMOKING ABOARD
the time the passenger boards the air- AIRCRAFT
craft.
Sec.
§ 251.4 Large musical instruments as 252.1 Purpose.
carry-on baggage. 252.2 Applicability.
Each covered carrier shall permit a 252.3 Definitions.
passenger to carry a musical instru- 252.4 Smoking ban: air carriers.
252.5 Smoking ban: foreign air carriers.
ment that is too large to meet the re-
252.8 Extent of smoking restrictions.
quirements of § 251.3 in the aircraft 252.9 Ventilation systems.
cabin, without charging the passenger 252.11 Aircraft on the ground.
a fee in addition to the cost of an addi- 252.17 Enforcement.
tional ticket described in paragraph (e) AUTHORITY: Pub. L. 101–164; 49 U.S.C. 40102,
of this section, if: 40109, 40113, 41701, 41702, 41706 as amended by
(a) The instrument is contained in a section 708 of Pub. L. 106–181 and section 401
case or covered so as to avoid injury to of Pub. L. 112–95, 41711, and 46301.
other passengers; CROSS REFERENCE: For smoking rules of
(b) The weight of the instrument, in- the Federal Aviation Administration, see 14
cluding the case or covering, does not CFR 121.317(c), 121.571(a)(1)(i), 129.29,
exceed 165 pounds or the applicable 135.117(a)(1), and 135.127(a).
weight restrictions for the aircraft; SOURCE: Docket No. DOT–OST–2000–7473, 65
(c) The instrument can be stowed in FR 36775, June 9, 2000, unless otherwise
accordance with the requirements for noted.
carriage of carry-on baggage or cargo § 252.1 Purpose.
established by the FAA;
(d) Neither the instrument nor the This part implements a ban on smok-
case contains any object not otherwise ing as defined in § 252.3, including the
permitted to be carried in an aircraft use of electronic cigarettes and certain
other devices, on flights by air carriers
cabin because of a law or regulation of
and foreign air carriers.
the United States; and
(e) The passenger wishing to carry [Docket DOT-OST-2011-0044, 81 FR 11427, Mar.
the instrument in the aircraft cabin 4, 2016]
has purchased an additional seat to ac- § 252.2 Applicability.
commodate the instrument.
This part applies to operations of air
§ 251.5 Large musical instruments as carriers engaged in interstate, intra-
checked baggage. state and foreign air transportation
and to foreign air carriers engaged in
Each covered carrier shall transport
foreign air transportation.
as baggage a musical instrument that
is the property of a passenger traveling [Docket DOT-OST-2011-0044, 81 FR 11427, Mar.
in air transportation that may not be 4, 2016]
carried in the aircraft cabin if
§ 252.3 Definitions.
(a) The sum of the length, width, and
height measured in inches of the out- As used in this part:
side linear dimensions of the instru- Air carrier means a carrier that is a
ment (including the case) does not ex- citizen of the United States under-
ceed 150 inches or the applicable size taking to provide air transportation as
restrictions for the aircraft; defined in 49 U.S.C. 40102.
Foreign air carrier means a carrier
(b) The weight of the instrument does
that is not a citizen of the United
not exceed 165 pounds or the applicable
States undertaking to provide foreign
weight restrictions for the aircraft; and
air transportation as defined in 49
(c) The instrument can be stowed in U.S.C. 40102.
accordance with the requirements for Smoking means the use of a tobacco
carriage of carry-on baggage or cargo product, electronic cigarettes whether
established by the FAA. or not they are a tobacco product, or
similar products that produce a smoke,

206
Office of the Secretary, DOT Pt. 253
mist, vapor, or aerosol, with the excep- smoking prohibition resulting from bi-
tion of products (other than electronic lateral negotiations is in effect.
cigarettes) which meet the definition [Docket DOT-OST-2011-0044, 81 FR 11427, Mar.
of a medical device in section 201(h) of 4, 2016]
the Federal Food, Drug and Cosmetic
Act, such as nebulizers. § 252.8 Extent of smoking restrictions.
[Docket DOT-OST-2011-0044, 81 FR 11427, Mar. The restrictions on smoking de-
4, 2016] scribed in §§ 252.4 and 252.5 shall apply
to all locations within the aircraft.
§ 252.4 Smoking ban: air carriers.
[Docket DOT-OST-2011-0044, 81 FR 11428, Mar.
Air carriers shall prohibit smoking 4, 2016]
on the following flights:
(a) Scheduled passenger flights. § 252.9 Ventilation systems.
(b) Nonscheduled passenger flights, Air carriers shall prohibit smoking
except for the following flights where a whenever the ventilation system is not
flight attendant is not a required crew- fully functioning. Fully functioning for
member on the aircraft as determined this purpose means operating so as to
by the Administrator of the Federal provide the level and quality of ven-
Aviation Administration: tilation specified and designed by the
(1) Single entity charters. manufacturer for the number of per-
(2) On-demand services of air taxi op- sons currently in the passenger com-
erators. partment.
(c) Nothing in this section shall be § 252.11 Aircraft on the ground.
deemed to require air carriers to per-
mit smoking aboard aircraft. (a) Air carriers shall prohibit smok-
ing whenever the aircraft is on the
[Docket DOT-OST-2011-0044, 81 FR 11427, Mar. ground.
4, 2016] (b) With respect to the restrictions
on smoking described in § 252.5, foreign
§ 252.5 Smoking ban: foreign air car- air carriers shall prohibit smoking
riers.
from the time an aircraft begins en-
(a)(1) Foreign air carriers shall pro- planing passengers until the time pas-
hibit smoking on flight segments that sengers complete deplaning.
occur between points in the United
States, and between the United States § 252.17 Enforcement.
and any foreign point, in the following Air carriers and foreign air carriers
types of operations: shall take such action as is necessary
(i) Scheduled passenger foreign air to ensure that smoking by passengers
transportation. or crew is not permitted where smok-
(ii) Nonscheduled passenger foreign ing is prohibited by this part, including
air transportation, if a flight attendant but not limited to aircraft lavatories.
is a required crewmember on the air- [Docket DOT-OST-2011-0044, 81 FR 11428, Mar.
craft as determined by the Adminis- 4, 2016]
trator of the Federal Aviation Admin-
istration or a foreign carrier’s govern-
ment.
PART 253—NOTICE OF TERMS OF
(2) Nothing in this section shall be
CONTRACT OF CARRIAGE
deemed to require foreign air carriers
Sec.
to permit smoking aboard aircraft. 253.1 Purpose.
(b) A foreign government objecting to 253.2 Applicability.
the application of paragraph (a) of this 253.3 Definitions.
section on the basis that paragraph (a) 253.4 Incorporation by reference in the con-
provides for extraterritorial applica- tract of carriage.
tion of the laws of the United States 253.5 Notice of incorporated terms.
253.6 Explanation of incorporated terms.
may request and obtain a waiver of 253.7 Direct notice of certain terms.
paragraph (a) from the Assistant Sec- 253.8 Qualifications to notice requirements.
retary for Aviation and International 253.9 Retroactive changes to contracts of
Affairs, provided that an alternative carriage.

207
§ 253.1 14 CFR Ch. II (1–1–19 Edition)
253.10 Notice of contract of carriage choice- (b) Each air carrier shall make the
of-forum provisions. full text of each term that it incor-
AUTHORITY: 49 U.S.C. 40113; 49 U.S.C. Chap- porates by reference in a contract of
ters 401, 415 and 417. carriage available for public inspection
at each of its airport and city ticket of-
SOURCE: ER–1302, 47 FR 52134, Nov. 19, 1982,
unless otherwise noted.
fices.
(c) Each air carrier shall provide free
§ 253.1 Purpose. of charge by mail or other delivery
service to passengers, upon their re-
The purpose of this rule is to set uni- quest, a copy of the full text of its
form disclosure requirements, which terms incorporated by reference in the
preempt any State requirements on the contract. Each carrier shall keep avail-
same subject, for terms incorporated able at all times, free of charge, at all
by reference into contracts of carriage locations where its tickets are sold
for scheduled service in interstate and within the United States information
overseas passenger air transportation. sufficient to enable passengers to order
the full text of such terms.
§ 253.2 Applicability.
(The notice requirements contained in para-
This rule applies to all scheduled di- graphs (b) and (c) were approved by the Of-
rect air carrier operations in interstate fice of Management and Budget under con-
and overseas air transportation. It ap- trol number 3024–0061)
plies to all contracts with passengers, [ER–1302, 47 FR 52134, Nov. 19, 1982, as amend-
for those operations, that incorporate ed by ER–1309, 47 FR 54764, Dec. 6, 1982]
terms by reference.
§ 253.5 Notice of incorporated terms.
[ER–1323, 48 FR 6318, Feb. 11, 1983]
Except as provided in § 253.8, each air
§ 253.3 Definitions. carrier shall include on or with a tick-
et, or other written instrument given
Large aircraft means any aircraft de- to a passenger, that embodies the con-
signed to have a maximum passenger tract of carriage and incorporates
capacity of more than 60 seats. terms by reference in that contract, a
Passenger means any person who pur- conspicuous notice that:
chases, or who contacts a ticket office (a) Any terms incorporated by ref-
or travel agent for the purpose of pur- erence are part of the contract, pas-
chasing, or considering the purchase of, sengers may inspect the full text of
air transportation. each term incorporated by reference at
Ticket office means station, office, or the carrier’s airport or city ticket of-
other location where tickets are sold fices, and passengers have the right,
that is under the charge of a person upon request at any location where the
employed exclusively by the carrier, or carrier’s tickets are sold within the
by it jointly with another person. United States, to receive free of charge
by mail or other delivery service the
§ 253.4 Incorporation by reference in full text of each such incorporated term;
the contract of carriage. (b) The incorporated terms may in-
(a) A ticket or other written instru- clude and passengers may obtain from
ment that embodies the contract of any location where the carrier’s tick-
carriage may incorporate contract ets are sold within the United States
terms by reference (i.e., without stat- further information concerning:
ing their full text), and if it does so (1) Limits on the air carrier’s liabil-
shall contain or be accompanied by no- ity for personal injury or death of pas-
tice to the passenger as required by sengers, and for loss, damage, or delay
this part. In addition to other remedies of goods and baggage, including fragile
at law, an air carrier may not claim or perishable goods;
the benefit as against the passenger of, (2) Claim restrictions, including time
and the passenger shall not be bound periods within which passengers must
by, any contract term incorporated by file a claim or bring an action against
reference if notice of the term has not the carrier for its acts or omissions or
been provided to that passenger in ac- those of its agents;
cordance with this part.

208
Office of the Secretary, DOT § 253.10
(3) Rights of the carrier to change those locations without the notice re-
terms of the contract. (Rights to quired in § 253.5 are given that notice
change the price, however, are gov- not later than check-in for the travel
erned by § 253.7); in interstate or overseas air transpor-
(4) Rules about reconfirmation of res- tation, and that conspicuous notice is
ervations, check-in times, and refusal included on or with the ticket stating
to carry; that the price for that travel is refund-
(5) Rights of the carrier and limita- able without penalty.
tions concerning delay or failure to
(b) An air taxi operator (including a
perform service, including schedule
commuter air carrier) not operating
changes, substitution of alternate air
under subpart I of part 298 of this chap-
carrier or aircraft, and rerouting.
ter shall not be considered to have in-
(Approved by the Office of Management and corporated terms by reference into its
Budget under control number 3024–0061) contract of carriage merely because a
[ER–1302, 47 FR 52134, Nov. 19, 1982, as amend- passenger has purchased a flight seg-
ed by ER–1309, 47 FR 54764, Dec. 6, 1982; ER– ment on that carrier that appears on
1370, 48 FR 54591, Dec. 6, 1983; ER–1375, 49 FR ticket stock that contains a statement
5064, Feb. 10, 1984]
that terms have been incorporated by
§ 253.6 Explanation of incorporated reference. However, such an air taxi op-
terms. erator may not claim the benefit as
against the passenger of, and the pas-
Each air carrier shall ensure that
senger shall not be bound by, any con-
any passenger can obtain from any lo-
tract term incorporated by reference if
cation where its tickets are sold within
notice of the term has not been pro-
the United States a concise and imme-
diate explanation of any terms incor- vided to the passenger in accordance
porated by reference, concerning the with this part.
subjects listed in § 253.5(b). [ER–1370, 48 FR 54591, Dec. 6, 1983]
(Approved by the Office of Management and
Budget under control number 3024–0061) § 253.9 Retroactive changes to con-
tracts of carriage.
[ER–1302, 47 FR 52134, Nov. 19, 1982, as amend-
ed by ER–1309, 47 FR 54764, Dec. 6, 1982] An air carrier may not retroactively
apply to persons who have already
§ 253.7 Direct notice of certain terms. bought a ticket any material amend-
A carrier may not impose any terms ment to its contract of carriage that
restricting refunds of the ticket price, has significant negative implications
imposing monetary penalties on pas- for consumers.
sengers, or raising the ticket price con- [Doc. No. DOT–OST–2007–0022, 74 FR 69002,
sistent with § 399.87 of the chapter, un- Dec. 30, 2009]
less the passenger receives conspicuous
written notice of the salient features of § 253.10 Notice of contract of carriage
those terms on or with the ticket. choice-of-forum provisions.
[Doc. No. DOT–OST–2010–0140, 76 FR 23163, No carrier may impose any contract
Apr. 25, 2011] of carriage provision containing a
choice-of-forum clause that attempts
§ 253.8 Qualifications to notice re-
quirements. to preclude a passenger, or a person
who purchases a ticket for air trans-
(a) If notice is not provided in accord- portation on behalf of a passenger,
ance with § 253.5 at a ticket sales loca- from bringing a claim against a carrier
tion outside of the United States that in any court of competent jurisdiction,
is not a U.S. air carrier ticket office, including a court within the jurisdic-
the price paid for the portion of such tion of that passenger’s residence in
ticket that is for interstate and over-
the United States (provided that the
seas air transportation shall be refund-
carrier does business within that juris-
able without penalty if the passenger
diction).
refuses transportation by the carrier.
Each air carrier shall ensure that pas- [Doc. No. DOT–OST–2010–0140, 76 FR 23163,
sengers who have bought tickets at Apr. 25, 2011]

209
Pt. 254 14 CFR Ch. II (1–1–19 Edition)

PART 254—DOMESTIC BAGGAGE § 254.5 Notice requirement.

LIABILITY In any flight segment using large air-
craft, or on any flight segment that is
Sec. included on the same ticket as another
254.1 Purpose. flight segment that uses large aircraft,
254.2 Applicability. an air carrier shall provide to pas-
254.3 Definitions. sengers, by conspicuous written mate-
254.4 Carrier liability.
rial included on or with its ticket, ei-
254.5 Notice requirement.
254.6 Periodic adjustments.
ther:
(a) Notice of any monetary limita-
AUTHORITY: 49 U.S.C. 40113, 41501, 41504, tion on its baggage liability to pas-
41510, 41702, and 41707.
sengers; or
SOURCE: ER–1374, 49 FR 5071, Feb. 10, 1984, (b) The following notice: ‘‘Federal
unless otherwise noted. rules require any limit on an airline’s
baggage liability to be at least $3,500
§ 254.1 Purpose. per passenger.’’
The purpose of this part is to estab-
[72 FR 3943, Jan. 29, 2007, as amended by Doc.
lish rules for the carriage of baggage in N. oDOT–OST–2008–0332, 73 FR 70592, Nov. 21,
interstate and intrastate air transpor- 2008; 78 FR 14914, Mar. 8, 2013; 80 FR 30147,
tation. The part sets permissible limi- May 27, 2015]
tations of air carrier liability for loss,
damage, or delay in the carriage of pas- § 254.6 Periodic adjustments.
senger baggage and requires air car- The Department of Transportation
riers to provide certain types of notice will review the minimum limit of li-
to passengers. ability prescribed in this part every
[ER–1374, 49 FR 5071, Feb. 10, 1984, as amend- two years. The Department will use the
ed at 64 FR 70575, Dec. 17, 1999] Consumer Price Index for All Urban
Consumers as of July of each review
§ 254.2 Applicability. year to calculate the revised minimum
This part applies to any air carrier liability amount. The Department will
that provides charter or scheduled pas- use the following formula:
senger service in interstate or intra- $2500 (a/b) rounded to the nearest $100
state air transportation. where:
[ER–1374, 49 FR 5071, Feb. 10, 1984, as amend- a = July CPI-U of year of current adjustment
ed at 64 FR 70575, Dec. 17, 1999] b = the CPI–U figure in December 1999 when
the inflation adjustment provision was
§ 254.3 Definitions. added to part 254.
Large aircraft means any aircraft de- [64 FR 70575, Dec. 17, 1999, as amended by
signed to have a maximum passenger Doc. No. DOT–OST–2008–0332, 73 FR 70592,
capacity of more than 60 seats. Nov. 21, 2008]

§ 254.4 Carrier liability.

PART 255 [RESERVED]
On any flight segment using large
aircraft, or on any flight segment that
is included on the same ticket as an-
PART 256—ELECTRONIC AIRLINE
other flight segment that uses large INFORMATION SYSTEMS
aircraft, an air carrier shall not limit
Sec.
its liability for provable direct or con-
256.1 Purpose.
sequential damages resulting from the
256.2 Applicability.
disappearance of, damage to, or delay 256.3 Definitions.
in delivery of a passenger’s personal 256.4 Prohibition on undisclosed display
property, including baggage, in its cus- bias.
tody to an amount less than $3,500 for 256.5 Minimum disclosure requirements for
each passenger. biased displays.
256.6 No requirement to provide access to
[72 FR 3943, Jan. 29, 2007, as amended at 73
systems.
FR 70592, Nov. 21, 2008; 78 FR 14914, Mar. 8,
2013; 80 FR 30147, May 27, 2015] AUTHORITY: 49 U.S.C. 40101 and 41712.

210
Office of the Secretary, DOT § 256.4
SOURCE: Docket No. DOT–OST–2014–0056, 81 Electronic airline information system or
FR 76828, Nov. 3, 2016, unless otherwise EAIS means a system that combines air
noted. carrier or foreign air carrier schedule,
§ 256.1 Purpose. fare, or availability information for
transmission or display to air carriers
(a) The purpose of this part is to set or foreign air carriers, ticket agents,
forth requirements for the display of other business entities, or consumers.
flight options by electronic airline in-
Integrated display means any display
formation systems that provide air car-
rier or foreign air carrier schedule, that includes the schedules, fares or
fare, or availability information, in- availability of more than one listed
cluding, but not limited to, global dis- carrier.
tribution systems (GDSs), corporate
§ 256.4 Prohibition on undisclosed dis-
booking tools, and internet flight
play bias.
search tools, for use by consumers, car-
riers, ticket agents, and other business Each air carrier, foreign air carrier,
entities so as to prevent unfair or de- and ticket agent that operates an EAIS
ceptive practices in the distribution must comply with the requirements of
and sale of air transportation. this section.
(b) Nothing in this part exempts any (a) Each EAIS that uses any factor,
person from the operation of the anti- not based on user selection or cor-
trust laws set forth in subsection (a) of porate contract travel arrangement, di-
the first section of the Clayton Act (15 rectly or indirectly relating to carrier
U.S.C. 12). identity in ordering the information
contained in an integrated display
§ 256.2 Applicability.
must clearly disclose as provided for in
(a) This part applies to any air car- § 256.5 that the identity of the carrier is
rier, foreign air carrier, or ticket agent a factor in the order in which informa-
that operates an electronic airline in- tion is displayed.
formation system, e.g., GDS, corporate (b) An EAIS’s integrated display
booking tool, or internet flight search
must not give any carrier’s flights a
tool, that combines the schedules, fares
system-imposed preference over any
or availability information of more
other carrier’s flights in that market
than one air carrier or foreign air car-
rier for the distribution or sale in the based on carrier identity unless the
United States of interstate or foreign preference is prominently disclosed as
air transportation. provided for in § 256.5.
(b) This part applies only if the elec- (c) Each EAIS must display informa-
tronic airline information system is tion in an objective manner based on
displayed on a Web site marketed to search criteria selected by the user
consumers in the United States or on a (e.g., lowest fare, lowest total cost,
proprietary display available to travel date and time of travel, class of serv-
agents, business entities, or a limited ice, stopovers, total elapsed time or du-
segment of consumers of air transpor- ration of travel, number of stops, limi-
tation in the United States. tations on carriers to be used, par-
ticular airport(s), number of pas-
§ 256.3 Definitions. sengers, etc.) When providing informa-
For purposes of this part: tion in response to a search by a user
Availability means information pro- of the EAIS, the EAIS must order the
vided in displays with respect to the information provided so that the flight
ability to make a reservation on a par- options that best satisfy the param-
ticular flight. eters of the user-selected search cri-
Display means the presentation of air teria are displayed conspicuously and
carrier or foreign air carrier schedules, no less prominently (e.g., in the same
fares, or availability to a consumer or or larger font size and the same or
agent or other individual involved in more noticeable font color) than any
arranging air travel for a consumer by other flight option displayed. Flight
means of a computer or mobile elec- options may be presented in sequence,
tronic device. matrix, or other formats, but the flight

211
§ 256.5 14 CFR Ch. II (1–1–19 Edition)
options that best satisfy the param- SOURCE: 64 FR 12851, Mar. 15, 1999, unless
eters of the user-selected search cri- otherwise noted.
teria must be ranked in lists above
other flight options, or identified more § 257.1 Purpose.
prominently than other flight options The purpose of this part is to ensure
in a matrix or other format. This does that ticket agents doing business in
not preclude systems from setting de- the United States, air carriers, and for-
fault display parameters that are not eign air carriers tell consumers clearly
deceptive or offering users the option when the air transportation they are
to choose a variety of display methods buying or considering buying involves
within those parameters. a code-sharing arrangement or a long-
term wet lease, and that they disclose
§ 256.5 Minimum disclosure require- to consumers the transporting carrier’s
ments for biased displays. identity.
To the extent an EAIS engages in
display bias based on carrier identity, § 257.2 Applicability.
it must clearly and conspicuously dis- This part applies to the following:
close that fact at the top of each (a) Direct air carriers and foreign air
search result display presented to the carriers that participate in code-shar-
user in response to the user-selected ing arrangements or long-term wet
search criteria. The notice must state leases involving scheduled passenger
that the flights are not displayed in air transportation; and
neutral order and that certain airlines’ (b) Ticket agents doing business in
fare, schedule or availability informa- the United States that sell scheduled
tion is given preferential treatment in passenger air transportation services
how it is displayed. involving code-sharing arrangements
or long-term wet leases.
§ 256.6 No requirement to provide ac-
cess to systems.
§ 257.3 Definitions.
Nothing in this section requires an
As used in this part:
air carrier, foreign air carrier, or tick-
et agent to allow a system to access its Air transportation means foreign air
internal computer reservation system transportation or interstate air trans-
or to permit ‘‘screen scraping’’ or portation as defined in 49 U.S.C. 40102
‘‘content scraping’’ of its Web site; nor (a)(23) and (25) respectively.
does it require an air carrier or foreign Carrier means any air carrier or for-
air carrier to permit the marketing or eign air carrier as defined in 49 U.S.C.
sale of the carrier’s services through 40102(2) or 49 U.S.C. 40102(21), respec-
any ticket agent or other carrier’s sys- tively, that is engaged directly in
tem. ‘‘Screen scraping’’ as used in this scheduled passenger air transportation,
paragraph refers to a process whereby a including by wet lease.
company uses computer software tech- Code-sharing arrangement means an
niques to extract information from arrangement whereby a carrier’s desig-
other companies’ Web sites without nator code is used to identify a flight
permission from the company oper- operated by another carrier.
ating the targeted Web site. Designator code means the airline des-
ignations originally allotted and ad-
PART 257—DISCLOSURE OF CODE- ministered pursuant to Agreements
CAB 24606 and 26056.
SHARING ARRANGEMENTS AND Long-term wet lease means a lease by
LONG-TERM WET LEASES which the lessor provides both an air-
craft and crew dedicated to a par-
Sec.
257.1 Purpose.
ticular route(s), and which either:
257.2 Applicability. (1) Lasts more than 60 days; or
257.3 Definitions. (2) Is part of a series of such leases
257.4 Unfair and deceptive practice. that amounts to a continuing arrange-
257.5 Notice requirement. ment lasting more than 60 days.
257.6 Effective and compliance dates. (g) Operating carrier means the car-
AUTHORITY: 49 U.S.C. 40113(a) and 41712. rier that is operating the aircraft in a

212
Office of the Secretary, DOT § 257.5
code-sharing arrangement or long-term over, pop-up and linked disclosures do
wet lease. not comply with this paragraph.
Ticket agent has the meaning ascribed (2) In flight schedule information
to it in 49 U.S.C. 40102(40). provided by an air carrier, foreign air
[64 FR 12851, Mar. 15, 1999, as amended by carrier, or ticket agent to U.S. con-
Docket No. DOT–OST–2014–0056, 81 FR 76828, sumers on mobile browser-based Web
Nov. 3, 2016] sites or applications in response to any
requested itinerary search, for each
§ 257.4 Unfair and deceptive practice. flight in scheduled passenger air trans-
The holding out or sale of scheduled portation that is operated by a carrier
passenger air transportation involving other than the one listed for that
a code-sharing arrangement or long- flight, the corporate name of the trans-
term wet lease is prohibited as unfair porting carrier must appear promi-
and deceptive in violation of 49 U.S.C. nently in text format, with font size
41712 unless, in conjunction with such not smaller than the font size of the
holding out or sale, carriers and ticket flight itinerary itself, on the first dis-
agents follow the requirements of this play following the input of a search
part. query, immediately adjacent to each
code-share flight in that search-results
§ 257.5 Notice requirement. list. Roll-over, pop-up and linked dis-
(a) Notice in flight itineraries and closures do not comply with this para-
schedules. Each air carrier, foreign air graph.
carrier, or ticket agent providing flight (3) For static written schedules, each
itineraries and/or schedules for sched- flight in scheduled passenger air trans-
uled passenger air transportation to portation that is operated by a carrier
the public in the United States and to other than the one listed for that flight
the Official Airline Guides and com- shall be identified by an asterisk or
parable publications, and, where appli- other easily identifiable mark that
cable, computer reservation systems, leads to disclosure of the corporate
shall ensure that each flight on which name of the operating carrier and any
the designator code is not that of the other name under which that service is
operating carrier is clearly and promi- held out to the public.
nently identified and contains the fol- (4) Each air carrier and foreign air
lowing disclosures. If there is more carrier that provides flight schedule in-
than one operating carrier for a par- formation to any computer reservation
ticular flight (e.g., change of gauge), system or global distribution system
the required disclosures shall be made that receives and distributes the U.S.
for each flight segment where the des- or foreign carrier’s fare, schedule, or
ignator code is not that of the oper- availability information shall ensure
ating carrier. that each flight on which the desig-
(1) In flight schedule information nator code is not that of the operating
provided by an air carrier, foreign air carrier is clearly and prominently
carrier, or ticket agent to U.S. con- identified and the corporate name of
sumers on desktop browser-based Web the transporting carrier and any other
sites or applications in response to any name under which the service is held
requested itinerary search, for each out to the public appears prominently
flight in scheduled passenger air trans- in text format, with font size that is
portation that is operated by a carrier not smaller than the font size of the
other than the one listed for that flight itinerary itself, immediately ad-
flight, the corporate name of the trans- jacent to each code-share flight in that
porting carrier and any other name search-results list.
under which the service is held out to (b) Notice in oral communications with
the public must appear prominently in prospective consumers. In any direct oral
text format, with font size not smaller communication in the United States
than the font size of the flight with a prospective consumer, and in
itinerary itself, on the first display fol- any telephone call placed from the
lowing the input of a search query, im- United States by a prospective con-
mediately adjacent to each code-share sumer, concerning a flight within, to,
flight in that search-results list. Roll- or from the United States that is part

213
§ 257.6 14 CFR Ch. II (1–1–19 Edition)
of a code-sharing arrangement or long- ment broadcast in the United States
term wet lease, a ticket agent doing for service in a city-pair market that is
business in the United States or a car- provided under a code-sharing or long-
rier shall inform the consumer, the term wet lease, the advertisement shall
first time that such a flight is offered include at least a generic disclosure
to the consumer, or, if no such offer statement, such as ‘‘Some flights are
was made, the first time a consumer operated by other airlines.’’
inquires about such a flight, that the [Docket No. DOT–OST–2014–0056, 81 FR 76828,
operating carrier is not the carrier Nov. 3, 2016]
whose name or designator code will ap-
pear on the ticket and shall identify § 257.6 Effective and compliance dates.
the transporting carrier by its cor-
(a) This Part is effective as of August
porate name and any other name under
25, 1999.
which that service is held out to the
(b) Compliance with the following
public.
sections is mandatory as of August 25,
(c) Notice in ticket confirmations. At
1999:
the time of purchase, each selling car-
(1) § 257.1, § 257.2, § 257.3, § 257.4,
rier or ticket agent shall provide writ-
§ 257.5(d), and § 257.6.
ten disclosure of the actual operator of
(2) § 257.5(b) to the extent that it re-
the flight to each consumer of sched-
quires sellers of air transportation to
uled passenger air transportation sold
give consumers oral notice before
in the United States that involves a
booking transportation involving a code-
code-sharing arrangement or long-term
share arrangement
wet lease. For any flight on which the
(i) Of the fact that the selling carrier
designator code is not that of the oper-
is not the transporting carrier and
ating carrier the notice shall state
(ii) Of the transporting carrier’s iden-
‘‘Operated by’’ followed by the cor-
tity (as shown by its two-letter desig-
porate name of the transporting carrier
nator code in CRS displays).
and any other name in which that serv-
(c) Compliance with the following
ice is held out to the public. The fol-
sections is mandatory as of March 15,
lowing form of statement will satisfy
2000:
the requirement of this paragraph:
(1) § 257.5(a) and § 257.5(c) in their en-
Important Notice: Service between XYZ
tirety.
City and ABC City will be operated by
(2) § 257.5(b) insofar as it requires sell-
Jane Doe Airlines d/b/a QRS Express. At
ers of air transportation to give con-
the purchaser’s request, the notice re-
sumers
quired by this part may be delivered in
(i) Oral notice before booking trans-
person, or by fax, electronic mail, or
portation involving a code-share ar-
any other reliable method of transmit-
rangement of the transporting carrier’s
ting written material.
corporate name and any other name
(d) In any written advertisement dis-
under which the service is held out to
tributed in or mailed to or from the
the public and
United States (including those that ap-
(ii) The same disclosures for long-
pear on an internet Web site that is
term wet leases as for code-sharing ar-
marketed to consumers in the United
rangements.
States) for service in a city-pair mar-
ket that is provided under a code-shar- [64 FR 46821, Aug. 27, 1999]
ing arrangement or long-term wet
lease, the advertisement shall promi- PART 258—DISCLOSURE OF
nently disclose that the advertised CHANGE-OF-GAUGE SERVICES
service may involve travel on another
carrier and clearly indicate the nature Sec.
of the service in reasonably sized type 258.1 Purpose.
and shall identify all potential oper- 258.2 Applicability.
ating carriers involved in the markets 258.3 Definitions.
being advertised by corporate name 258.4 Unfair and deceptive practice.
and by any other name under which 258.5 Notice requirement.
that service is held out to the public. 258.6 Effective and compliance dates.
In any radio or television advertise- AUTHORITY: 49 U.S.C. 40113(a) and 41712.

214
Office of the Secretary, DOT Pt. 259
SOURCE: 64 FR 12860, Mar. 15, 1999, unless and electronic schedule information
otherwise noted. they provide to the public, to the Offi-
cial Airline Guide and comparable pub-
§ 258.1 Purpose. lications, and to computer reservations
The purpose of this part is to ensure systems, these services are shown as
that consumers are adequately in- requiring a change of aircraft.
formed before they book air transpor- (b) Oral notice to prospective con-
tation or embark on travel involving sumers. In any direct oral communica-
change-of-gauge services that these tion with a consumer in the United
services require a change of aircraft en States concerning a change-of-gauge
route. service, any carrier or ticket agent
doing business in the United States
§ 258.2 Applicability. shall tell the consumer before booking
This part applies to the following: scheduled passenger air transportation
(a) Direct air carriers and foreign air to, from, or within the United States
carriers that sell or issue tickets in the that the service requires a change of
United States for scheduled passenger aircraft en route.
air transportation on change-of-gauge (c) Written notice. At the time of sale
services or that operate such transpor- in the United States of transportation
tation; and that includes a change-of-gauge service
(b) Ticket agents doing business in to, from, or within the United States,
the United States that sell or issue or, if no ticket is issued, no later than
tickets for scheduled passenger air the time when the passenger checks in
transportation on change-of-gauge at the airport for the first flight in an
services. itinerary that includes such a service,
the selling carrier or ticket agent shall
§ 258.3 Definitions. provide the following written notice:
As used in this part: NOTICE: CHANGE OF AIRCRAFT REQUIRED
(a) Air transportation has the meaning
ascribed to it in 49 U.S.C. 40102(5). For at least one of your flights, you must
change aircraft en route even though your
(b) Carrier means any air carrier or
ticket may show only one flight number and
foreign air carrier as defined in 49 have only one flight coupon for that flight.
U.S.C. 40102(2) or 49 U.S.C. 40102(21), re- Further, in the case of some travel, one of
spectively, that engages directly in your flights may not be identified at the air-
scheduled passenger air transportation. port by the number on your ticket, or it may
(c) Change-of-gauge service means a be identified by other flight numbers in addi-
service that requires a change of air- tion to the one on your ticket. At your re-
craft en route but has only a single quest, the seller of this ticket will give you
details of your change of aircraft, such as
flight number.
where it will occur and what aircraft types
(d) Ticket agent has the meaning as- are involved.
cribed to it in 49 U.S.C. 40102(40).
§ 258.6 Effective and compliance dates.
§ 258.4 Unfair and deceptive practice.
(a) This Part is effective as of August
The holding out or sale of scheduled 25, 1999.
passenger air transportation that in- (b) Compliance with the following
volves change-of-gauge service is pro- sections is mandatory as of August 25,
hibited as an unfair or deceptive prac- 1999: § § 258.1, 258.2, 258.3, 258.4, 258.5(a),
tice or an unfair method of competi- 258.5(b), and 258.6.
tion within the meaning of 49 U.S.C. (c) Compliance with § 258.5(c) is man-
41712 unless, in conjunction with such datory as of March 15, 2000.
holding out or sale, carriers and ticket
agents follow the requirements of this [64 FR 46821, Aug. 27, 1999]
part.
PART 259—ENHANCED PROTEC-
§ 258.5 Notice requirement. TIONS FOR AIRLINE PAS-
(a) Notice in schedules. Carriers hold- SENGERS
ing out or operating change-of-gauge
services to, from, or within the United Sec.
States shall ensure that in the written 259.1 Purpose.

215
§ 259.1 14 CFR Ch. II (1–1–19 Edition)
259.2 Applicability. lished flight schedule using small air-
259.3 Definitions. craft as defined in 14 CFR 298.2.
259.4 Contingency plan for lengthy tarmac Covered carrier means a certificated
delays. carrier, a commuter carrier, or a for-
259.5 Customer Service Plan. eign air carrier operating to, from or
259.6 Posting of contracts of carriage, within the United States, conducting
tarmac delay contingency plans and cus- scheduled passenger service or public
tomer service plans on websites.
charter service with at least one air-
259.7 Response to consumer problems.
259.8 Notify passengers of known delays,
craft having a designed seating capac-
cancellations, and diversions. ity of 30 or more seats.
Foreign air carrier means a carrier
AUTHORITY: 49 U.S.C. 40101(a)(4), 40101(a)(9), that is not a citizen of the United
40113(a), 41702, and 41712. States as defined in 49 U.S.C. 40102(a)
SOURCE: 74 FR 69002, Dec. 30, 2009, unless that holds a foreign air carrier permit
otherwise noted. issued under 49 U.S.C. 41302 or an ex-
emption issued under 49 U.S.C. 40109
§ 259.1 Purpose. authorizing direct foreign air transpor-
The purpose of this part is to miti- tation.
gate hardships for airline passengers Large hub airport means an airport
during lengthy tarmac delays and oth- that accounts for at least 1.00 percent
erwise to bolster air carriers’ account- of the total enplanements in the
ability to consumers. United States.
Medium hub airport means an airport
§ 259.2 Applicability. accounting for at least 0.25 percent but
This part applies to all the flights of less than 1.00 percent of the total
a certificated or commuter air carrier enplanements in the United States.
Non-hub airport means an airport
if the carrier operates scheduled pas-
senger service or public charter service with 10,000 or more annual
using any aircraft originally designed enplanements but less than 0.05 percent
of the country’s annual passenger
to have a passenger capacity of 30 or
boardings.
more seats, and to all flights to and
Small hub airport means an airport ac-
from the U.S. of a foreign carrier if the
counting for at least 0.05 percent but
carrier operates scheduled passenger
less than 0.25 percent of the total
service or public charter service to and
enplanements in the United States.
from the U.S. using any aircraft origi-
Tarmac delay means the holding of an
nally designed to have a passenger ca-
aircraft on the ground either before
pacity of 30 or more seats, except as
taking off or after landing with no op-
otherwise provided in this part. This
portunity for its passengers to deplane.
part does not apply to foreign carrier
charters that operate to and from the [Doc. No. DOT–OST–2010–0140, 76 FR 23164,
United States if no new passengers are Apr. 25, 2011]
picked up in the United States.
§ 259.4 Contingency Plan for Lengthy
[Doc. No. DOT–OST–2010–0140, 76 FR 23163, Tarmac Delays.
Apr. 25, 2011]
(a) Adoption of Plan. Each covered
§ 259.3 Definitions. carrier shall adopt a Contingency Plan
for Lengthy Tarmac Delays for its
Certificated air carrier means a U.S. scheduled and public charter flights at
carrier holding a certificate issued each U.S. large hub airport, medium
under 49 U.S.C. 41102 to conduct pas- hub airport, small hub airport and non-
senger service or holding an exemption hub airport at which it operates or
to conduct passenger operations under markets such air service and shall ad-
49 U.S.C. 41102. here to its plan’s terms.
Commuter air carrier means a U.S. car- (b) Contents of Plan. Each Contin-
rier that has been found fit under 49 gency Plan for Lengthy Tarmac Delays
U.S.C. 41738 and is authorized to carry shall include, at a minimum, the fol-
passengers on at least five round trips lowing:
per week on at least one route between (1) For domestic flights, assurance
two or more points according to a pub- that the covered U.S. air carrier will

216
Office of the Secretary, DOT § 259.4
not permit an aircraft to remain on the scheduled departure time (including
tarmac for more than three hours be- any revised departure time that pas-
fore allowing passengers to deplane un- sengers were notified about before
less: boarding) and every 30 minutes there-
(i) The pilot-in-command determines after that they have the opportunity to
there is a safety-related or security-re- deplane from an aircraft that is at the
lated reason (e.g. weather, a directive gate or another disembarkation area
from an appropriate government agen- with the door open if the opportunity
cy) why the aircraft cannot leave its to deplane actually exists;
position on the tarmac to deplane pas- (7) Assurance of sufficient resources
sengers; or to implement the plan; and
(ii) Air traffic control advises the (8) Assurance that the plan has been
pilot-in-command that returning to the coordinated with airport authorities
gate or another disembarkation point (including terminal facility operators
elsewhere in order to deplane pas- where applicable) at each U.S. large
sengers would significantly disrupt air- hub airport, medium hub airport, small
port operations. hub airport and non-hub airport that
(2) For international flights operated the carrier serves, as well as its regular
by covered carriers that depart from or U.S. diversion airports;
arrive at a U.S. airport, assurance that (9) Assurance that the plan has been
the carrier will not permit an aircraft coordinated with U.S. Customs and
to remain on the tarmac at a U.S. air- Border Protection (CBP) at each large
port for more than four hours before al- U.S. hub airport, medium hub airport,
lowing passengers to deplane, unless: small hub airport and non-hub airport
(i) The pilot-in-command determines that is regularly used for that carrier’s
there is a safety-related or security-re- international flights, including diver-
lated reason why the aircraft cannot sion airports; and
leave its position on the tarmac to (10) Assurance that the plan has been
deplane passengers; or coordinated with the Transportation
(ii) Air traffic control advises the Security Administration (TSA) at each
pilot-in-command that returning to the U.S. large hub airport, medium hub
gate or another disembarkation point airport, small hub airport and non-hub
elsewhere in order to deplane pas- airport that the carrier serves, includ-
sengers would significantly disrupt air- ing diversion airports.
port operations. (c) Code-Share Responsibility. The
(3) For all flights, assurance that the tarmac delay contingency plan of the
carrier will provide adequate food and carrier under whose code the service is
potable water no later than two hours marketed governs, if different from the
after the aircraft leaves the gate (in operating carrier, unless the marketing
the case of a departure) or touches carrier specifies in its contract of car-
down (in the case of an arrival) if the riage that the operating carrier’s plan
aircraft remains on the tarmac, unless governs.
the pilot-in-command determines that (d) Amendment of plan. At any time, a
safety or security considerations pre- carrier may amend its Contingency
clude such service; Plan for Lengthy Tarmac Delays to de-
(4) For all flights, assurance of oper- crease the time for aircraft to remain
able lavatory facilities, as well as ade- on the tarmac for domestic flights cov-
quate medical attention if needed, ered in paragraph (b)(1) of this section,
while the aircraft remains on the for aircraft to remain on the tarmac
tarmac; for international flights covered in
(5) For all flights, assurance that the paragraph (b)(2) of this section, and for
passengers on the delayed flight will the trigger point for food and water
receive notifications regarding the sta- covered in paragraph (b)(3) of this sec-
tus of the delay every 30 minutes while tion. A carrier may also amend its plan
the aircraft is delayed, including the to increase these intervals (up to the
reasons for the tarmac delay, if known; limits in this rule), in which case the
(6) For all flights, assurance that the amended plan shall apply only to de-
passengers on the delayed flight will be partures that are first offered for sale
notified beginning 30 minutes after after the plan’s amendment.

217
§ 259.5 14 CFR Ch. II (1–1–19 Edition)
(e) Retention of records. Each carrier quired by 14 CFR part 254 for domestic
that is required to adopt a Contingency flights and as required by applicable
Plan for Lengthy Tarmac Delays shall international agreements for inter-
retain for two years the following in- national flights, and reimbursing pas-
formation about any tarmac delay that sengers for any fee charged to trans-
lasts more than three hours: port a bag if that bag is lost;
(1) The length of the delay; (4) Allowing reservations to be held
(2) The precise cause of the delay; at the quoted fare without payment, or
(3) The actions taken to minimize cancelled without penalty, for at least
hardships for passengers, including the twenty-four hours after the reservation
provision of food and water, the main- is made if the reservation is made one
tenance and servicing of lavatories, week or more prior to a flight’s depar-
and medical assistance; ture;
(4) Whether the flight ultimately
(5) Where ticket refunds are due, pro-
took off (in the case of a departure
viding prompt refunds, as required by
delay or diversion) or returned to the
14 CFR 374.3 and 12 CFR part 226 for
gate; and
credit card purchases, and within 20
(5) An explanation for any tarmac
delay that exceeded 3 hours (i.e., why days after receiving a complete refund
the aircraft did not return to the gate request for cash and check purchases,
by the 3-hour mark). including refunding fees charged to a
(f) Unfair and deceptive practice. A passenger for optional services that the
carrier’s failure to comply with the as- passenger was unable to use due to an
surances required by this rule and con- oversale situation or flight cancella-
tained in its Contingency Plan for tion;
Lengthy Tarmac Delays will be consid- (6) Properly accommodating pas-
ered to be an unfair and deceptive prac- sengers with disabilities, as required by
tice within the meaning of 49 U.S.C. part 382 of this chapter, and other spe-
41712 that is subject to enforcement ac- cial-needs passengers as set forth in
tion by the Department. the carrier’s policies and procedures,
including during lengthy tarmac
[Doc. No. DOT–OST–2010–0140, 76 FR 23164, delays;
Apr. 25, 2011]
(7) Meeting customers’ essential
§ 259.5 Customer Service Plan. needs during lengthy tarmac delays as
required by § 259.4 of this chapter and
(a) Adoption of Plan. Each covered as provided for in each covered car-
carrier shall adopt a Customer Service rier’s contingency plan;
Plan applicable to its scheduled flights
(8) Handling ‘‘bumped’’ passengers
and shall adhere to the plan’s terms.
with fairness and consistency in the
(b) Contents of Plan. Each Customer
case of oversales as required by part 250
Service Plan shall address the fol-
of this chapter and as described in each
lowing subjects and comply with the
carrier’s policies and procedures for de-
minimum standards set forth:
termining boarding priority;
(1) Disclosing on the carrier’s
website, at the ticket counter, or when (9) Disclosing cancellation policies,
a customer calls the carrier’s reserva- frequent flyer rules, aircraft seating
tion center to inquire about a fare or configuration, and lavatory avail-
to make a reservation, that the lowest ability on the selling carrier’s website,
fare offered by the carrier may be and upon request, from the selling car-
available elsewhere if that is the case; rier’s telephone reservations staff;
(2) Notifying consumers of known (10) Notifying consumers in a timely
delays, cancellations, and diversions as manner of changes in their travel
required by 14 CFR 259.8 of this chap- itineraries;
ter; (11) Ensuring responsiveness to con-
(3) Delivering baggage on time, in- sumer problems as required by § 259.7 of
cluding making every reasonable effort this chapter; and
to return mishandled baggage within (12) Identifying the services it pro-
twenty-four hours, compensating pas- vides to mitigate passenger inconven-
sengers for reasonable expenses that iences resulting from flight cancella-
result due to delay in delivery, as re- tions and misconnections.

218
Office of the Secretary, DOT § 259.8
(c) Self-auditing of plan and retention vided on the U.S. carrier’s website (if
of records. Each carrier that is required any) and the foreign carrier’s website
to adopt a Customer Service Plan shall (if marketed to U.S. consumers), on all
audit its own adherence to its plan an- e-ticket confirmations and, upon re-
nually. Carriers shall make the results quest, at each ticket counter and
of their audits available for the Depart- boarding gate staffed by the carrier or
ment’s review upon request for two a contractor of the carrier.
years following the date any audit is (c) Response to complaints. Each cov-
completed. ered carrier shall acknowledge in writ-
[Doc. No. DOT–OST–2010–0140, 76 FR 23165,
ing receipt of each complaint regarding
Apr. 25, 2011; 76 FR 45181, July 28, 2011] its scheduled service to the complain-
ant within 30 days of receiving it and
§ 259.6 Posting of Contracts of Car- shall send a substantive written re-
riage, Tarmac Delay Contingency sponse to each complainant within 60
Plans and Customer Service Plans days of receiving the complaint. A
on websites. complaint is a specific written expres-
(a) Each U.S. air carrier that has a sion of dissatisfaction concerning a dif-
website and each foreign air carrier ficulty or problem which the person ex-
that has a website marketed to U.S. perienced when using or attempting to
consumers, and that is required to use an airline’s services.
adopt a contingency plan for lengthy (d) Social networking sites. Each cov-
tarmac delays, shall post its current ered carrier that uses a social net-
contingency plan on its website in eas- working site (e.g. Facebook, Twitter)
ily accessible form. and that does not intend for that site
(b) Each U.S. air carrier that has a to be a vehicle for receipt of written
website and each foreign air carrier consumer complaints subject to this
that has a website marketed to U.S. section shall clearly indicate on the
consumers, and that is required to carrier’s primary page on that social
adopt a customer service plan, shall networking site that it will not reply
post its current customer service plan to consumer complaints on that site
on its website in easily accessible form. and shall direct consumers to the car-
(c) Each U.S. air carrier that has a rier’s mailing address and e-mail or
website and each foreign air carrier website location for filing written com-
that has a website marketed to U.S. plaints.
consumers shall post its current con-
[Doc. No. DOT–OST–2010–0140, 76 FR 23165,
tract of carriage on its website in eas- Apr. 25, 2011]
ily accessible form.
[Doc. No. DOT–OST–2010–0140, 76 FR 23165, § 259.8 Notify passengers of known
Apr. 25, 2011] delays, cancellations, and diver-
sions.
§ 259.7 Response to consumer prob- (a) Each covered carrier for its sched-
lems. uled flights to, from or within the U.S.
(a) Designated advocates for passengers’ must promptly provide to passengers
interests. Each covered carrier shall who are ticketed or hold reservations,
designate for its scheduled flights an and to the public, information about a
employee who shall be responsible for change in the status of a flight within
monitoring the effects of flight delays, 30 minutes after the carrier becomes
flight cancellations, and lengthy aware of such a change in the status of
tarmac delays on passengers. This em- a flight. A change in the status of a
ployee shall have input into decisions flight means, at a minimum, a can-
on which flights to cancel and which cellation, diversion or delay of 30 min-
will be delayed the longest. utes or more in the planned operation
(b) Informing consumers how to com- of a flight that occurs within seven cal-
plain. Each covered carrier shall make endar days of the scheduled date of the
available the mailing address and e- planned operation. The flight status in-
mail or web address of the designated formation must at a minimum be pro-
department in the airline with which vided in the boarding gate area for the
to file a complaint about its scheduled flight at a U.S. airport, on the carrier’s
service. This information shall be pro- website, and via the carrier’s telephone

219
Pt. 271 14 CFR Ch. II (1–1–19 Edition)
reservation system upon inquiry by SOURCE: ER–1398, 49 FR 49846, Dec. 24, 1984,
any person. unless otherwise noted.
(1) With respect to any U.S. air car-
rier or foreign air carrier that permits § 271.1 Purpose.
passengers and other interested per- This part establishes the guidelines
sons to subscribe to flight status noti- required by 49 U.S.C. 41736 to be used
fication services, the carrier must de- by the Department in establishing the
liver such notification to such sub- fair and reasonable amount of com-
scribers, by whatever means the carrier pensation needed to ensure the con-
offers that the subscriber chooses. tinuation of essential air service to an
(2) The U.S. carrier or foreign air car- eligible place under 49 U.S.C. 41731 and
rier shall incorporate such notification 41734. These guidelines are intended to
service commitment into its Customer cover normal carrier selection cases
Service Plan as specified in section and rate renewal cases, and not nec-
259.5 of this chapter. essarily emergency carrier selection
(b) For its scheduled flights to, from cases.
or within the U.S, within 30 minutes
after the carrier becomes aware of a [60 FR 43524, Aug. 22, 1995]
flight cancellation, a flight delay of 30
minutes or more, or a flight diversion, § 271.2 Definitions.
each covered carrier must update all As used in this part:
flight status displays and other sources Eligible place means a place in the
of flight information that are under United States that—
the carrier’s control at U.S. airports (1) Was an eligible point under sec-
with information on that flight irregu- tion 419 of the Federal Aviation Act of
larity.
1958 as in effect before October 1, 1988;
(c) If an airport-controlled display
(2) Received scheduled air transpor-
system at a U.S. airport accepts flight
tation at any time between January 1,
status updates from carriers, covered
carriers must provide flight irregu- 1990, and November 4, 1990; and
larity information to that airport for (3) Is not listed in Department of
the carrier’s scheduled flights to, from Transportation Orders 89–9–37 and 89–
or within the U.S. within 30 minutes 12–52 as a place ineligible for com-
after the carrier becomes aware of such pensation under Subchapter II of Chap-
a change in the status of a flight. ter 417 of the Statute.
Flight irregularity refers to flight can- Essential air service is that air trans-
cellations, flight delays of 30 minutes portation which the Department has
or more, and diversions. found to be essential under Subchapter
[Doc. No. DOT–OST–2010–0140, 76 FR 23166,
II of Chapter 417 of the Statute.
Apr. 25, 2011; Docket No. DOT–OST–2014–0056, [60 FR 43524, Aug. 22, 1995]
81 FR 76829, Nov. 3, 2016]
§ 271.3 Carrier subsidy need.
PART 271—GUIDELINES FOR SUB- In establishing the subsidy for an air
SIDIZING AIR CARRIERS PRO- carrier providing essential air service
VIDING ESSENTIAL AIR TRANS- at an eligible place, the Department
PORTATION will consider the following:
(a) The reasonable projected costs of
Sec. a carrier in serving that place;
271.1 Purpose. (b) The carrier’s reasonable projected
271.2 Definitions.
revenues for serving that place;
271.3 Carrier subsidy need.
271.4 Carrier costs. (c) The appropriate size of aircraft
271.5 Carrier revenues. for providing essential air service at
271.6 Profit element. that place; and
271.7 Subsidy payout formula. (d) A reasonable profit for a carrier
271.8 Rate period. serving that place.
271.9 Discrimination prohibited.
[ER–1398, 49 FR 49846, Dec. 24, 1984, as amend-
AUTHORITY: 49 U.S.C. Chapters 401, 417. ed at 60 FR 43524, Aug. 22, 1995]

220
Office of the Secretary, DOT § 271.6

§ 271.4 Carrier costs. stead of the factors in paragraph (a) of

(a) The reasonable costs projected for this section, consider only the incre-
a carrier providing essential air service mental costs that the carrier will incur
at an eligible place will be evaluated: in adding that service to its system.
(1) For costs attributable to the car- [ER–1398, 49 FR 49846, Dec. 24, 1984, as amend-
rier’s flying operations (direct ex- ed at 60 FR 43524, 43525, Aug. 22, 1995]
penses), by comparing the projected
costs submitted by the carrier with the § 271.5 Carrier revenues.
following: (a) The projected passenger revenue
(i) The carrier’s historical direct op- for a carrier providing essential air
erating costs with the same or similar service at an eligible place will be cal-
aircraft types; culated by multiplying the following:
(ii) The direct operating unit costs of (1) A reasonable projected net fare,
similar carriers using the same or which is the standard fare expected to
similar equipment; and be charged for service between the eli-
(iii) Data supplied by the manufac- gible place and the designated hub less
turer of the carrier’s aircraft. any dilution caused by joint fare ar-
(2) For other costs, by one or more of rangements, discount fares that it of-
the following methods: fers, or prorates of fares for through
(i) By direct assignment where the one-line passengers; and
indirect costs are attributable to the (2) The traffic (including both local
carrier’s operations at the eligible and beyond traffic) projected to flow
place; between the eligible place and the des-
(ii) By comparing the carrier’s sys- ignated hub or hubs, which is based on
temwide indirect operating expenses to the carrier’s own estimates, Depart-
those submitted by the carrier for the ment estimates, and on traffic levels in
eligible place; or the market at issue when such data are
(iii) By comparing the indirect oper- available.
ating expenses submitted by the car- (b) The reasonableness of a carrier’s
rier with the ratio of indirect to direct passenger revenue projections will be
costs that have been experienced by evaluated by:
the carrier in other markets or to costs (1) Comparing the carrier’s proposed
that are representative of the industry. fare with the fare charged in other
(3) By considering the unique cir- city-pair markets of similar distances
cumstances of the carrier or the com- and traffic densities; and
munity being served that justify devi- (2) Comparing the carrier’s proposed
ations from the costs that would other- pricing structure with historical pric-
wise be established for that carrier ing practices in the market at issue,
under this paragraph. with the pricing practices of that car-
(4) By determining whether the air- rier in other markets, and with any
craft to be used by the carrier at the standard industry pricing guidelines
eligible place, and on which its costs that may be available.
are derived, are appropriate for pro- (c) An estimate of freight and other
viding essential air service there. The transport-related revenue will be in-
appropriateness of the aircraft to be cluded as a component of projected rev-
used is based on the following charac- enues and will be based on recent expe-
teristics of the eligible place: rience in the market involved and on
(i) Traffic levels; the experience of the carrier involved
(ii) The level of air service that the in other markets.
Department has decided is essential for
the eligible place; [ER–1398, 49 FR 49846, Dec. 24, 1984, as amend-
(iii) Distance to the designated hub; ed at 60 FR 43524, Aug. 22, 1995]
(iv) The altitude at which the carrier
§ 271.6 Profit element.
must fly to the designated hub; and
(v) Other operational elements in- The reasonable return for a carrier
volved. for providing essential air service at an
(b) When the essential air service eligible place generally will be set at a
would be made part of the carrier’s lin- flat percentage, typically 5 percent of
ear system, the Department might, in- that carrier’s projected operating costs

221
§ 271.7 14 CFR Ch. II (1–1–19 Edition)
as established under § 271.4, plus any (b) The subsidy rate established for a
applicable interest expenses on flight carrier under this part will not be
equipment. changed during the rate period unless
an adjustment is required in the public
[ER–1398, 49 FR 49846, Dec. 24, 1984, as amend-
ed at 60 FR 43524, 43525, Aug. 22, 1995]
interest.
(c) At the end of the rate period, the
§ 271.7 Subsidy payout formula. carrier will not have a continuing right
to receive subsidy for providing essen-
(a) Subsidy will be paid by the De- tial air service at the eligible place.
partment to the air carrier monthly,
based on the subsidy rate established [ER–1398, 49 FR 49846, Dec. 24, 1984, as amend-
by the Department for the carrier ed at 60 FR 43524, 43525, Aug. 22, 1995]
under this part. Payments will not
§ 271.9 Discrimination prohibited.
vary except as provided in this section.
(b) While a carrier’s subsidy rate will (a) All air carriers receiving subsidy
not vary even if actual revenues or under this part shall comply with the
costs differ from projections, the ac- following:
tual amount of each payment may vary (1) The Age Discrimination Act of
depending on the following factors: 1975;
(1) Seasonal characteristics of the (2) The Civil Rights Act of 1964 and 49
carrier’s operations at the eligible CFR part 21; and
place; (3) The Rehabilitation Act of 1973, 49
(2) The actual number of flights com- CFR part 27, and part 382 of this chap-
pleted, aircraft miles flown, available ter.
seat-miles flown, or variations in other (b) Within 1 year after it first re-
operational elements upon which the ceives a subsidy under this part, the
subsidy rate is based; or carrier shall evaluate its practices and
(3) Adjustments to the carrier’s sub- procedures for accommodating the
sidy required by § 271.8(b). handicapped in accordance with § 382.23
(c) Payments will continue for the of this chapter.
duration of the rate term established (c) All air carriers seeking a subsidy
under § 271.8 provided that the carrier under this part shall include in their
continues to provide the required serv- subsidy application the assurances re-
ice. quired by 49 CFR parts 20, 21, 27 and 29,
and § 382.21 of this chapter.
[ER–1398, 49 FR 49846, Dec. 24, 1984, as amend-
ed at 60 FR 43524, 43525, Aug. 22, 1995] [ER–1398, 49 FR 49846, Dec. 24, 1984, as amend-
ed at 60 FR 43525, Aug. 22, 1995]
§ 271.8 Rate period.
(a) The subsidy rate generally will be PART 272—ESSENTIAL AIR SERVICE
set for a 2-year period, or two consecu- TO THE FREELY ASSOCIATED STATES
tive 1-year periods. The Department
may set the rate for a shorter period in Sec.
the following situations: 272.1 Purpose.
(1) A commuter air carrier is replac- 272.2 Applicability.
ing a larger certificated carrier at the 272.3 Places eligible for guaranteed essen-
tial air service.
eligible place; 272.4 Applicability of procedures and poli-
(2) Traffic at the eligible place has cies under 49 U.S.C. 41731–42.
substantially decreased; 272.5 Determination of essential air service.
(3) The Department considers the 272.6 Considerations in the determination of
cost or revenue projections of the car- essential air service.
rier for the second year to be unreal- 272.7 Notice of discontinuance of service.
istic; 272.8 Obligation to continue service.
(4) It is likely that there will be 272.9 Selection of a carrier to provide essen-
tial air service and payment of com-
changes in the eligible place essential pensation.
air service level; or 272.10 Conditions applicable to carriers
(5) The uncertainties of the market serving a subsidized market.
or other circumstances warrant a 272.11 Effective date of provisions.
shorter rate period. 272.12 Termination.

222
Office of the Secretary, DOT § 272.5
AUTHORITY: 49 U.S.C. Chapters 401, 402, 416, § 272.3 Places eligible for guaranteed
461, 1102; sec. 221(a)(5) of the Compact of Free essential air service.
Association, and paragraph 5 of Article IX of
the Federal Programs and Services Agree- (a) Subject to the provisions of this
ment in implementation of that Compact part, and paragraph 5 of Article IX of
(Pub. L. 99–239; Pub. L. 99–658); Pub. L. 101– the Federal Programs and Services
219. Agreement, the Department will make
provision for the operation of essential
SOURCE: Amdt. 272–1, 52 FR 5443, Feb. 23,
air service, with compensation if nec-
1987, unless otherwise noted.
essary, to the following places in the
§ 272.1 Purpose. Freely Associated States:
In the Federated States of Micronesia:
Paragraph 5 of Article IX of the Fed- Ponape, Truk and Yap.
eral Programs and Services Agreement In the Marshall Islands: Majuro and Kwaja-
implementing section 221(a)(5) of the lein.
Compact of Free Association between In Palau: Koror.
the United States and the Govern- (b) The places specified herein in the
ments of the Federated States of Mi- Federated States of Micronesia, the
cronesia, the Marshall Islands and Marshall Islands or Palau, respec-
Palau (the Freely Associated States) tively, shall cease to be eligible places
provides, among other things, for the under this part if any of those Govern-
Department of Transportation (Depart- ments withdraw from the subsidy pro-
ment), as successor to the Civil Aero- visions of Article IX of the Federal
Programs and Services Agreement in
nautics Board (Board), to guarantee es-
accordance with paragraph 8 of Article
sential air service, with compensation
IX or Article XII of that Agreement.
if necessary, to certain places in these
islands. Subparagraph 5(h) of the [Amdt. 272–1, 52 FR 5443, Feb. 23, 1987, as
Agreement provides that the Depart- amended at 60 FR 43525, Aug. 22, 1995]
ment shall adopt rules to implement
§ 272.4 Applicability of procedures and
the provisions of paragraph 5 as it in policies under 49 U.S.C. 41731–42.
its discretion deems appropriate. Sec-
tion 221(a)(5) of the Compact, which Since the authority of the Depart-
was adopted by Congress as public laws ment to guarantee essential air service
(Pub. L. 99–239, Jan. 14, 1986; Pub. L. 99– is derived from the Federal Programs
and Services Agreement and the Com-
658, Nov. 14, 1986), provides that the De-
pact of Free Association, the provi-
partment (as successor to the Board)
sions and procedures utilized by the
has the authority to implement the Department in implementation of 49
provisions of paragraph 5 of the Agree- U.S.C. 41731–42 will be followed only to
ment. This part implements these pro- the extent determined by the Depart-
visions of paragraph 5. ment to be consistent with the obliga-
[Amdt. 272–1, 52 FR 5443, Feb. 23, 1987, as tions assumed by the United States in
amended at 60 FR 43525, Aug. 22, 1995] the Agreement and Compact, and the
provisions of this part.
§ 272.2 Applicability. [Amdt. 272–1, 52 FR 5443, Feb. 23, 1987, as
This part establishes the provisions amended at 60 FR 43525, Aug. 22, 1995]
applicable to the Department’s guar-
antee of essential air service to places § 272.5 Determination of essential air
service.
in the Federated States of Micronesia,
the Marshall Islands and Palau, and Procedures for the determination of
the payment of compensation for such essential air service under this section,
services. The rule applies to U.S. air and review of that determination,
carriers and Freely Associated State shall, except to the extent otherwise
Air Carriers providing essential air directed by the Department, be gov-
service to these places. erned by § 325.4 (except the application
of 49 U.S.C. 41737 in § 325.4(b)); § 325.6(a);
[Amdt. 272–1, 52 FR 5443, Feb. 23, 1987, as §§ 325.8–325.11; § 325.12 (provided that all
amended at 60 FR 43525, Aug. 22, 1995] documents shall be served on the Presi-
dent and the designated authorities of

223
§ 272.6 14 CFR Ch. II (1–1–19 Edition)
the Freely Associated State con- (1) If the Department has not made a
cerned); and §§ 325.13 and 325.14 of this determination of essential air service
chapter. for such place, the level of service spec-
[Amdt. 272–1, 52 FR 5443, Feb. 23, 1987, as ified in Order 80–9–63; and
amended at 60 FR 43525, Aug. 22, 1995] (2) If the Department has made a de-
termination of essential air service for
§ 272.6 Considerations in the deter- such place, that level of essential air
mination of essential air service. service.
(a) In the determination of essential (b) An air carrier or Freely Associ-
air service to an eligible Freely Associ- ated State Air Carrier wishing to ter-
ated State place, the Department shall minate, suspend or reduce air service
consider, among other factors, the fol- under paragraph (a) shall file a notice
lowing: of such proposed reduction in service at
(1) The demonstrated level of traffic least 90 days prior to such service re-
demand; duction, in accordance with the proce-
(2) The amount of compensation nec- dures specified in §§ 323.4, 323.6, and
essary to maintain a level of service 323.7 of this chapter.
sufficient to meet that demand; (c) The notice shall be served on the
(3) The extent to which the demand President and the designated Authori-
may be accommodated by connecting ties of the Freely Associated State con-
or other services of U.S., Freely Associ- cerned, in addition to the persons spec-
ated State, or foreign carriers by air— ified in § 323.7.
through U.S., Freely Associated State, (d) The procedures specified in
or foreign places—that provide access §§ 323.9–323.18, to the extent applicable
to the U.S. air transportation system; to 90-day notices filed by certificated
(4) Alternative modes of transpor- air carriers, shall also be applicable to
tation that may be available; and notices of terminations, suspensions or
(5) The peculiar needs of the Freely reductions in service filed under this
Associated States for air transpor- section.
tation services.
(b) The Guidelines for Individual De- [Amdt. 272–1, 52 FR 5443, Feb. 23, 1987, as
terminations of essential air service amended at 60 FR 43525, Aug. 22, 1995]
set forth in part 398 of this chapter
shall be applied only to the extent the § 272.8 Obligation to continue service.
Department concludes that they are (a) If the Department finds that a
applicable to the special circumstances proposed termination, suspension, or
affecting transportation to the Freely reduction in service by an air carrier or
Associated States and reflective of the Freely Associated State Air Carrier
provisions of this part. will, or may, reduce service to an eligi-
(c) Nothing in this part shall be con- ble Freely Associated State place
strued as providing for a level of essen- below the level of essential air service
tial air service that would exceed the to such place, whether or not the De-
level of service justified by the consid- partment has previously determined
erations set forth in paragraph (a) of the level of essential air service to
this section. such place, the Department may direct
[Amdt. 272–1, 52 FR 5443, Feb. 23, 1987, as the air carrier or Freely Associated
amended at 60 FR 43525, Aug. 22, 1995] State Air Carrier concerned to main-
tain service to such place at a level the
§ 272.7 Notice of discontinuance of Department determines will ensure es-
service. sential air service to such place, pend-
(a) An air carrier or Freely Associ- ing the commencement of alternative
ated State Air Carrier shall not termi- service as required to maintain the
nate, suspend, or reduce air service to level of essential air service previously,
any eligible Freely Associated State or thereafter, determined by the De-
place, unless it has given notice as partment.
specified in this section, if as a result (b) During any period the Depart-
of the reduction of such service the ag- ment requires an air carrier or Freely
gregate of the remaining air service Associated State Air Carrier to main-
provided to such place would be below: tain a level of service proposed to be

224
Office of the Secretary, DOT § 272.9
terminated, suspended or reduced, fol- times and manner of the payment of
lowing the filing of a 90 day notice in such compensation.
accordance with § 272.7, the Department (c) The compensation determined by
will provide for the payment of com- the Department to be necessary to
pensation to such carrier for any losses maintain essential air service to such
incurred by that carrier as a result of place shall be paid by the Department
such required continuation of service of Interior out of funds appropriated
in accordance with the procedures set for that purpose, to the carrier or car-
forth in part 271 of this chapter. If the riers selected by the Department.
carrier is already receiving compensa- (d) The Department shall continue to
tion pursuant to § 272.9 of this part, the specify compensation to be paid to a
Department will continue to direct carrier or carriers under this section
payment of such compensation during only as long as the Department deter-
any period the carrier is required to mines that essential air service will
maintain service. Such payments shall not be provided to the Freely Associ-
be made by the Department of Interior ated State in the absence of the pay-
from funds appropriated for this pur- ment of such compensation.
pose. (e) Except as permitted in paragraph
(c) The Department will review its (f) of this section, the Department
order from time to time and will revise shall select a U.S. air carrier or car-
the level of required service as nec- riers to provide essential air service for
essary to maintain only the level of es- compensation.
sential air service determined by the (f) The Department may select a
Department for that place, considering Freely Associated State Air Carrier,
all other service to such place in ac- holding a foreign air carrier permit
cordance with § 272.6(a)(3). issued in accordance with subpart D of
(d) During the period any such air part 211 of this chapter, to provide es-
carrier or Freely Associated State Air sential air service for compensation,
Carrier is required to maintain service only if—
under this section, the Department will (1) No U.S. air carrier is available to
make every effort to obtain alternative provide the required essential air serv-
service, with compensation if nec- ice; or
essary, as required to maintain essen- (2) The compensation necessary for
tial air service to such place. the provision of the required essential
air service would be substantially less
[Amdt. 272–1, 52 FR 5443, Feb. 23, 1987, as than the compensation necessary if
amended at 60 FR 43525, Aug. 22, 1995] such essential air service were to be
provided by a U.S. air carrier.
§ 272.9 Selection of a carrier to pro- (g) Any order of the Department se-
vide essential air service and pay- lecting a Freely Associated State Air
ment of compensation.
Carrier to provide such essential air
(a) If the Department finds that es- service shall be submitted to the Presi-
sential air service will not be main- dent of the United States not less than
tained to an eligible Freely Associated 10 days prior to its effective date and
State place, the Department shall in- shall be subject to stay or disapproval
vite applications to provide the service by the President.
required to maintain essential air serv- (h) Among the criteria that will be
ice to such place. considered by the Department in its de-
(b) If the Department determines termination of the carrier or carriers
that essential air service will not be to be selected to perform the required
provided to such place in the absence of essential air service are:
the payment of subsidy compensation (1) The desirability of developing an
to a carrier or carriers, the Depart- integrated linear system of air trans-
ment shall determine the compensa- portation whenever such a system
tion necessary, considering all other most adequately meets the air trans-
service to such place in accordance portation needs of the Freely Associ-
with § 272.6(a)(3), to maintain the level ated States concerned;
of essential air service determined by (2) The experience of the applicant in
the Department under § 272.5, and the providing scheduled air service in the

225
§ 272.10 14 CFR Ch. II (1–1–19 Edition)
vicinity of the Freely Associated sirable to minimize the required sub-
States for which essential air service is sidy compensation; and
proposed to be provided; (3) The imposition of such conditions
(3) The amount of compensation that will not unduly impair the service pro-
will be required to provide the proposed vided in the market.
essential air service; (b) To the extent the carrier or car-
(4) The impact of the proposed serv- riers upon whom the conditions are im-
ice on service provided to other Freely posed pursuant to paragraph (a) of this
Associated State points; and section do not hold a certificate, per-
(5) The views of the Governments of mit, or other authority from the De-
the Freely Associated States con- partment that may be amended to ef-
cerned. fectively implement the specified con-
(i) The Department may from time to ditions, the Department may notify
time, on its own motion, or upon appli- the Government(s) of the Freely Asso-
cation of any carrier or government, ciated States concerned that the impo-
review and change its selection of a sition of such conditions on those car-
carrier to provide essential air service, riers by those Governments shall be a
or its determination as to the com- precondition to the payment of the
pensation necessary to provide such es- subsidy compensation required to
sential air service. maintain essential air service in the
(j) All applications or other docu- market in question.
ments filed or issued in proceedings (c) The Department may withhold or
under this section shall be served upon suspend its provision for the payment
the President of the Freely Associated of subsidy compensation required to
State concerned and the Authorities maintain essential air service unless
designated by that Government(s) in and until the Freely Associated
accordance with Article II, paragraph State(s) concerned take the necessary
10, of the Federal Programs and Serv- action to impose the specified condi-
ices Agreement supplemental to the tions on the carriers referred to in
Compact of Free Association, and such paragraph (b) of this section, and those
Government shall be a party to any carriers have complied with the speci-
such proceeding. In reaching its deter- fied conditions.
mination, the Department will care- (d) Any order of the Department im-
fully consider any views of such Gov- posing conditions, or requiring the im-
ernment that have been submitted. position of conditions, pursuant to this
paragraph shall be submitted to the
[Amdt. 272–1, 52 FR 5443, Feb. 23, 1987, as
President for review not less than 10
amended at 60 FR 43525, Aug. 22, 1995]
days prior to its effective date, and
§ 272.10 Conditions applicable to car- shall be subject to stay or disapproval
riers serving a subsidized market. by the President.
(a) The Department may, after pro- [Amdt. 272–1, 52 FR 5443, Feb. 23, 1987, as
viding an opportunity for comment by amended at 60 FR 43525, Aug. 22, 1995]
the carrier or carriers affected, impose
§ 272.11 Effective date of provisions.
service, fare or rate conditions on any
U.S., Freely Associated State, foreign The provisions of this part shall not
air carrier, or foreign carrier by air as become effective for Palau until the
a precondition to the payment of com- Compact of Free Association and Arti-
pensation necessary to maintain essen- cle IX of the Federal Programs and
tial air service, whether or not the af- Services Agreement become effective
fected carrier is itself receiving subsidy for Palau.
compensation in the market, if it finds
that: § 272.12 Termination.
(1) Essential air service in a Freely These provisions shall terminate on
Associated State market or markets October 1, 1998, unless the program of
will not be provided in the absence of essential air service to the Federated
the payment of compensation; States of Micronesia, the Marshall Is-
(2) Specified service, rate or fare con- lands, and Palau is specifically ex-
ditions are or will be necessary or de- tended by Congress.

226
Office of the Secretary, DOT § 291.2
This amendment is issued under the Subpart A—General
authority of 49 CFR 1.57(l).
§ 291.1 Applicability.
[Amdt. 272–2, 56 FR 1732, Jan. 7, 1991, as
amended at 60 FR 43525, Aug. 22, 1995] This part applies to cargo operations
in interstate air transportation by air
PART 291—CARGO OPERATIONS carriers certificated under section 41102
or 41103 of the Statute. It also applies
IN INTERSTATE AIR TRANSPOR- to applicants for an all-cargo air trans-
TATION portation certificate under section
41103 of the Statute.
Subpart A—General
[60 FR 43525, Aug. 22, 1995]
Sec.
291.1 Applicability. § 291.2 Definitions.
291.2 Definitions. All-cargo air transportation means the
transportation by aircraft in interstate
Subpart B—All-Cargo Air Transportation air transportation of only property or
Certificates only mail, or both.
291.10 Applications. Interstate air transportation means the
transportation of passengers or prop-
Subpart C—General Rules for All-Cargo Air erty by aircraft as a common carrier
Transportation for compensation, or the transpor-
tation of mail by aircraft—
291.20 Applicability. (1) Between a place in—
291.22 Aircraft accident liability insurance (i) A State, territory, or possession of
requirement.
the United States and a place in the
291.23 Record retention.
291.24 Waiver of Department Economic Reg-
District of Columbia or another State,
ulations. territory, or possession of the United
States;
Subpart D—Exemptions for Cargo (ii) Hawaii and another place in Ha-
Operations in Interstate Air Transportation waii through the airspace over a place
outside Hawaii;
291.30 General. (iii) The District of Columbia and an-
291.31 Exemptions from the Statute. other place in the District of Columbia;
or
Subpart E—Reporting Rules (iv) A territory or possession of the
291.40 [Reserved] United States and another place in the
291.41 Financial and statistical reporting— same territory or possession; and
general. (2) When any part of the transpor-
291.42 Section 41103 financial and traffic re- tation is by aircraft.
porting. Reporting carrier for Schedule T–100
291.43 Statement of operation for section purposes means the air carrier in oper-
41103 operations. ational control of the aircraft, i.e., the
291.44 BTS Schedule P–12(e), Fuel Consump- carrier that uses its flight crew under
tion by Type of Service and Entity. its own FAA operating authority.
291.45 BTS Schedule T–100, U.S. Air Carrier Section 41102 carrier means an air car-
Traffice and Capacity Data by Nonstop
Segment and On-Flight Market.
rier certificated under section 41102 of
the Statute to transport persons, prop-
Subpart F—Enforcement erty and mail or property and mail
only.
291.50 Enforcement. Section 41103 carrier means an air car-
rier holding a certificate issued under
Subpart G—Public Disclosure of Data section 41103 of the Statute to provide
291.60 Public disclosure of data. all-cargo air transportation.
Service, scheduled cargo means trans-
AUTHORITY: 49 U.S.C. 329 and chapters port service operated pursuant to pub-
41103, 41708 and 41709. lished flight schedules including extra
SOURCE: ER–1080, 43 FR 53635, Nov. 16, 1978, sections. There is no requirement on
unless otherwise noted. the number of weekly flights nor is

227
§ 291.10 14 CFR Ch. II (1–1–19 Edition)
there a requirement that the schedule maintains in effect aircraft accident li-
be published in the Official Airline ability coverage that meets the re-
Guide. quirements of part 205 of this chapter.
Wet-Lease Agreement means an agree-
[ER–1255, 46 FR 52583, Oct. 27, 1981, as amend-
ment under which one carrier leases an ed at 60 FR 43526, Aug. 22, 1995]
aircraft with flight crew to another air
carrier. § 291.23 Record retention.
[60 FR 43525, Aug. 22, 1995, as amended at 67 (a) The provisions of 14 CFR part 249,
FR 49226, July 30, 2002] Preservation of air carrier accounts,
records and memoranda, shall apply to
Subpart B—All-Cargo Air all carriers, except that records per-
Transportation Certificates taining to transportation provided on
aircraft eligible to be operated under
§ 291.10 Applications. part 298 of this title, and records con-
Applications for all-cargo air service cerning transportation outside the geo-
certificates shall comply with the pro- graphic scope of interstate air trans-
visions of part 201 and subpart B of part portation, need not be maintained un-
302 of this chapter with regard to filing less required by other Department reg-
procedures, and with the provisions of ulations.
part 204 of this chapter with regard to (b) Each carrier shall retain for 1
evidentiary requirements. year a copy of each rate sheet,
airwaybill contract, and other docu-
(Approved by the Office of Management and
Budget under control number 2106–0023)
ment reflecting changed, new, or other
previously unreported general or spe-
[Doc. No. 47582, 57 FR 38770, Aug. 27, 1992, as cial prices or rules governing the car-
amended at 65 FR 6456, Feb. 9, 2000]
riage of freight in interstate air trans-
portation (except mail), unless the
Subpart C—General Rules for All- transportation was performed in ac-
Cargo Air Transportation cordance with an effective tariff on file
with the Department. Each carrier
§ 291.20 Applicability. shall retain for 1 year a copy of any
The rules in this subpart apply to formula based on standard weight,
cargo operations in interstate air mileage, or other method used to deter-
transportation performed by air car- mine an individual airbill or contract.
riers certificated under sections 41102 (Approved by the Office of Management and
or 41103 of the Statute. Section 41103 Budget under control number 3024–0022)
carriers that operate passenger-only or
combination aircraft under section [ER–1080, 43 FR 53635, Nov. 16, 1978, as amend-
ed by ER–1270, 46 FR 63220, Dec. 31, 1981; Doc.
41102, part 298 of this chapter, or other No. 47582, 57 FR 38770, Aug. 27, 1992; 60 FR
Department authority, must comply 43526, Aug. 22, 1995]
with the rules in this subpart in con-
nection with cargo operations in inter- § 291.24 Waiver of Department Eco-
state air transportation, whether pro- nomic Regulations.
vided on all-cargo or combination air- Except for this part and those parts
craft, operated pursuant to this au- of the Department’s Economic Regula-
thority or otherwise. In case a carrier tions (parts 200 through 299 of this
may operate a particular flight under title) specifically referred to in this
either a section 41102 certificate or a part, carriers providing cargo oper-
section 41103 certificate, the flight is ations in interstate air transportation
presumed to be operated under the car- are, with respect to that transpor-
rier’s section 41103 authority. tation, relieved from all obligations
[60 FR 43526, Aug. 22, 1995] imposed on air carriers by those eco-
nomic regulations. Flights operated en-
§ 291.22 Aircraft accident liability in- tirely within interstate air transpor-
surance requirement. tation shall be free from those obliga-
No air carrier shall operate all-cargo tions, even though they may also carry
aircraft or provide all-cargo air trans- shipments to or from points outside
portation unless such carrier has and that geographic area. This waiver shall

228
Office of the Secretary, DOT § 291.42
not apply to the requirements of part Subpart E—Reporting Rules
239 of this title.
§ 291.40 [Reserved]
[ER–1080, 43 FR 53635, Nov. 16, 1978, as amend-
ed by Doc. No. 47582, 57 FR 38770, Aug. 27, § 291.41 Financial and statistical re-
1992; 60 FR 43526, Aug. 22, 1995] porting—general.
(a) Carriers providing cargo oper-
Subpart D—Exemptions for Cargo ations in interstate air transportation
Operations in Interstate Air that also conduct other operations
Transportation under section 41102 shall comply with
the provisions of part 241 of this title.
§ 291.30 General. (b) Carriers providing cargo oper-
ations in interstate air transportation
The following exemptions, except as
under section 41103 certificates shall
otherwise specifically noted, apply
comply with § 291.42.
only to cargo operations in interstate (c) Carriers providing cargo oper-
air transportation. They do not relieve ations in interstate air transportation
a carrier from obligations derived from under section 41103, and also providing
other transportation. other services under part 298 of this
[ER–1080, 43 FR 53635, Nov. 16, 1978, as amend- title, shall report their cargo oper-
ed at 60 FR 43526, Aug. 22, 1995] ations in interstate air transportation
operations in accordance with § 291.42,
§ 291.31 Exemptions from the Statute. and shall report all other traffic in ac-
cordance with the provisions of subpart
(a) Each section 41102 or 41103 air car-
F of part 298.
rier providing cargo operations in
interstate air transportation is, with [ER–1080, 43 FR 53635, Nov. 16, 1978, as amend-
respect to such transportation, ex- ed at 60 FR 43526, Aug. 22, 1995]
empted from the following portions of § 291.42 Section 41103 financial and
the Statute only if and so long as it traffic reporting.
complies with the provisions of this
(a) General instructions. Carriers oper-
part and the conditions imposed here-
ating under section 41103 certificates
in, and to the extent necessary to per-
that are not subject to part 241 of this
mit it to conduct cargo operations in chapter shall file Form 291–A, ‘‘State-
interstate air transportation: ment of Operations for Section 41103
(1) Sections 41310, 41705, Operations’’, Schedule T–100, ‘‘U.S. Air
(2) Chapter 415, and Carrier Traffic and Capacity Data by
(3) Chapter 419 for all-cargo oper- Nonstop Segment and On-Flight Mar-
ations under section 41103. ket’’, and Schedule P–12(a), ‘‘Fuel Con-
(b) Each air carrier providing cargo sumption by Type of Service and Enti-
operations in interstate air transpor- ty’’ with the Department’s Bureau of
tation under section 41103 of the Stat- Transportation Statistics (BTS).
ute is exempted from the provisions of (1) A single copy of the BTS Form
section 41106(a) of the Statute to the 291–A report shall be filed annually
extent necessary to permit it to com- with the Office of Airline Information
pete for and operate cargo charters in (OAI) for the year ended December 31,
interstate air transportation for the to be received on or before February 10
Department of Defense under contracts of the immediately following year. A
of more than 30 days’ duration. single copy of the monthly BTS Sched-
(c) The Department of Defense is ex- ule P–12(a) is due at OAI within 20 days
empted from section 41106(a) of the after the end of each month. An elec-
tronic filing of the monthly Schedule
Statute to the extent necessary to per-
T–100 is due at OAI within 30 days after
mit it to negotiate and enter into con-
the end of each month. Due dates fall-
tracts of more than 30 days’ duration
ing on a Saturday, Sunday or Federal
with any section 41103 carrier for oper-
holiday will become effective on the
ation of cargo charters in interstate air
next work day.
transportation. (2) Reports required by this section
[60 FR 43526, Aug. 22, 1995] shall be submitted to the Bureau of

229
§ 291.43 14 CFR Ch. II (1–1–19 Edition)
Transportation Statistics in a format off to landing) performed in cargo serv-
specified in accounting and reporting ice during the annual period.
directives issued by the Bureau of [ER–1350, 48 FR 32757, July 19, 1983, as amend-
Transportation Statistics’ Director of ed by Doc. No. 47582, 57 FR 38770, Aug. 27,
Airline Information. 1992; 60 FR 43526, Aug. 22, 1995; 60 FR 66726,
(b) Statement of Operations and Statis- Dec. 26, 1995; 67 FR 49226, July 30, 2002; 75 FR
tics Summary for section 41103 operations. 41585, July 16, 2010]
This statement shall include the fol-
lowing elements: § 291.43 Statement of operation for
(1) Total operating revenue, cat- section 41103 operations.
egorized as follows: Form 291–A contains the following
(i) Transport revenues from the car- data elements:
riage of property in scheduled and non- (a) Total operating revenue, cat-
scheduled service; egorized as follows:
(ii) Transport revenue from the car- (1) Transport revenues from the car-
riage of mail in scheduled and non- riage of property in scheduled and non-
scheduled service; and scheduled service;
(iii) Transport-related revenues. (2) Transport revenues from the car-
(2) Total operating expenses; riage of mail in scheduled and non-
(3) Operating profit or loss, computed scheduled service; and
by subtracting the total operating ex- (3) Transport-related revenues;
penses from the total operating reve- (b) Total operating expenses;
nues; and (c) Operating profit or loss, computed
(4) Net income, computed by sub- by subtracting the total operating ex-
tracting the total operating and nonop- penses from the total operating reve-
erating expenses, including interest ex- nues; and
penses and income taxes, from the (d) Net income, computed by sub-
total operating and nonoperating reve- tracting the total operating and nonop-
nues. erating expenses, including interest ex-
(c) Summary of traffic and capacity sta- penses and income taxes, from the
tistics. This summary shall include the total operating and nonoperating reve-
following elements: nues.
(1) Total revenue ton-miles, which [Doc. No. OST–98–4043, 67 FR 49227, July 30,
are the aircraft miles flown on each 2002]
flight stage times the number of tons
of revenue traffic carried on that stage. § 291.44 BTS Schedule P–12(a), Fuel
They shall be categorized as follows: Consumption by Type of Service
(i) Property; and and Entity.
(ii) Mail. (a) For the purposes of BTS schedule
(2) Revenue tons enplaned, reflecting P–12(a), type of service shall be either
the total revenue tons of cargo loaded scheduled service or nonscheduled serv-
on aircraft during the annual period; ice as those terms are defined in
(3) Available ton-miles, reflecting the § 291.45(c)(2) and (3).
total revenue ton-miles available for (b) For the purpose of this schedule,
all-cargo service during the annual pe- scheduled service shall be reported sep-
riod, and computed by multiplying air- arately for:
craft miles flown on each flight stage (1) Intra-Alaskan operations;
by the number of tons of aircraft ca- (2) Domestic operations, which shall
pacity available for that stage; include all operations within and be-
(4) Aircraft miles flown, reflecting tween the 50 States of the United
the total number of aircraft miles States (except Intra-Alaska), the Dis-
flown in cargo service during the an- trict of Columbia, the Commonwealth
nual period; of Puerto Rico and the United States
(5) Aircraft departures performed, re- Virgin Islands, or a U.S. territory or
flecting the total number of take-offs possession to a place in any State of
performed in cargo service during the the United States the District of Co-
annual period; and lumbia, the Commonwealth of Puerto
(6) Aircraft hours airborne, reflecting Rico and the United States Virgin Is-
the aircraft hours of flight (from take- lands, or a U.S. territory or possession;

230
Office of the Secretary, DOT § 291.45
(3) International operations are flight material distortion of the current
stages with one or both terminals out- month’s schedule, carriers shall file a
side the 50 States of the United States, revised Schedule P–12(a) for the
the District of Columbia, the Common- month(s) affected.
wealth of Puerto Rico and the United [Doc. No. OST–98–4043, 67 FR 49227, July 30,
States Virgin Islands, or a U.S. terri- 2002]
tory or possession.
(c) For the purpose of this schedule, § 291.45 BTS Schedule T–100, U.S. Air
nonscheduled service shall be reported Carrier Traffic and Capacity Data
separately for domestic operations and by Nonstop Segment and On-Flight
international operations as defined in Market.
paragraphs (b)(2) and (b)(3) of this sec- (a) Each section 41103 all-cargo air
tion, except that domestic and inter- carrier shall file Schedule T–100, ‘‘U.S.
national Military Airlift Command Air Carrier Traffic and Capacity Data
(MAC) operations shall be reported on by Nonstop Segment and On-Flight
separate lines. Market’’.
(d) The cost data reported on each (b) Schedule T–100 shall be filed
line shall represent the average cost of monthly.
fuel, as determined at the station level, (1) Schedule T–100 collects summa-
consumed in that geographic entity. rized flight stage data and on-flight
(e)(1) The cost of fuel shall include market data for revenue flights. All
shrinkage, but excludes: traffic statistics shall be compiled in
(i) ‘‘Throughput’’ and ‘‘in to plane’’ terms of each flight stage as actually
fees, i.e., service charges or gallonage performed. The detail T–100 data shall
levies assessed by or against the fuel be maintained in such a manner as to
vendor or concessionaire and passed on permit monthly summarization and or-
to the carrier in a separately identifi- ganization into two basic groupings.
able form; and First, the nonstop segment informa-
(ii) Nonrefundable Federal and State tion which is to be summarized by
excise taxes. equipment type, within class of service,
(2) However, ‘‘through-put’’ and ‘‘in within pair-of-points, without regard
to plane’’ charges that cannot be iden- to individual flight number. The second
tified or segregated from the cost of grouping requires that the
fuel shall remain a part of the cost of enplanement/deplanement information
fuel as reported on this schedule. be broken out into separate units
(f) Each air carrier shall maintain called on-flight market records, which
records for each station showing the shall be summarized by class of service,
computation of fuel inventories and within pair-of-points, without regard
consumption for each fuel type. The for equipment type or flight number.
periodic average cost method shall be (2) Joint-service operations. The De-
used in computing fuel inventories and partment may authorize joint-service
consumption. Under this method, an operations between two direct air car-
average unit cost for each fuel type riers. Examples of these joint-service
shall be computed by dividing the total operations are: blocked-space agree-
cost of fuel available (Beginning Inven- ments; part-charter agreements; code-
tory plus Purchases) by the total gal- sharing agreements; wet-lease agree-
lons available. The resulting unit cost ments, and similar arrangements.
shall then be used to determine the (i) Joint-service operations are re-
ending inventory and the total con- ported by the carrier in operational
sumption costs to be reported on this control of the flight, i.e., the carrier
schedule. that uses its flight crews under its own
(g) Where amounts reported for a spe- FAA operating authority. The traffic
cific entity include other than Jet A moving under these agreements is re-
fuel, a footnote shall be added indi- ported on Schedule T–100 the same way
cating the number of gallons and appli- as any other traffic on the aircraft.
cable costs of such other fuel included (ii) If there are questions about re-
in amounts reported for that entity. porting a joint-service operation, con-
(h) Where any adjustment(s) recorded tact the BTS Assistant Director—Air-
on the books of the carrier results in a line Information (fax no. 202 366–3383,

231
§ 291.45 14 CFR Ch. II (1–1–19 Edition)
telephone no. 202 366–4373). Joint-serv- Com-
ice operations are reported in Schedule Code Description Seg-
ment
Mar-
ket
puted
by
T–100 in accordance with this para- DOT
graph (b).
140 Revenue passenger-miles ........ CFD*
(iii) Operational control. The air car- 210 Revenue cargo tons enplaned CFD*
rier in operational control of the air- 217 Enplaned freight ....................... M
craft (the carrier that uses its flight 219 Enplaned mail ........................... M
230 Revenue tons transported ........ CFD*
crews under its own FAA operating au- 237 Transported freight ................... S
thority) must report joint services. 239 Transported mail ....................... S
(c) Service classes. (1) The statistical 240 Revenue ton-miles .................... CFD*
241 Revenue ton-miles passenger .. CFD*
classifications are designed to reflect 247 Revenue ton-miles freight ........ CFD*
the operating characteristics attrib- 249 Revenue ton-miles mail ............ CFD*
utable to each distinctive type of serv- 270 Available capacity payload ....... S
ice offered. The combination of sched- 280 Available ton-miles ................... CFD*
310 Available seats, total ................ S
uled and nonscheduled operations with 320 Available seat-miles .................. CFD*
passenger, all-cargo, and military serv- 410 Revenue aircraft miles flown .... CFD*
ices are placed into service classes as 430 Revenue aircraft miles sched- CFD*
uled.
follows: 501 Inter-airport distance ................. CFD*
510 Revenue aircraft departures S
Code Type of service
performed.
F .............. Scheduled Passenger/Cargo. 520 Revenue aircraft departures S
G .............. Scheduled All-Cargo. scheduled.
L ............... Nonscheduled Civilian Passenger/Cargo/ 610 Revenue aircraft hours (air- S
P .............. Nonscheduled Civilian Cargo. borne).
N .............. Nonscheduled Military Passenger/Cargo. 630 Aircraft hours (ramp-to-ramp) ... S
R .............. Nonscheduled Military Cargo. 650 Total aircraft hours (airborne) ... S
* CFD = Computed by DOT from detail Schedule T–100
(2) Scheduled services include traffic and T–100(f) data.
and capacity elements applicable to air (e) These reported items are further
transportation provided pursuant to described as follows:
published schedules and extra sections (1) Reporting period date. The year and
of scheduled flights. Scheduled Pas- month to which the reported data are
senger/Cargo (Service Class F) is a applicable.
composite of first-class, coach, and (2) Carrier, Carrier entity code. Each
mixed passenger/cargo service. air carrier shall report its name and
(3) Nonscheduled services include all entity code (a five digit code assigned
traffic and capacity elements applica- by BTS that identifies both the air car-
ble to the performance of nonscheduled rier and its entity) for its particular
aircraft charters, and other air trans- operations. The Office of Airline Infor-
portation services not constituting an mation (OAI) will assign or confirm
integral part of services performed pur- codes upon request. Such requests
suant to published flight schedules. should be transmitted by e-mail to
(d) Air transport traffic and capacity [email protected].
elements. Within each of the service (3) Service class code. The service class
classifications, carriers shall report air codes are prescribed in section 298.45(c).
transport traffic and capacity ele- In general, classes are divided into two
ments. The elements are reported on broad categories, either scheduled or
segment and/or market records as fol- nonscheduled, where scheduled = F + G
lows: and nonscheduled = L + N + P + R.
Com- (4) Record type code. This code indi-
Code Description Seg- Mar- puted cates whether the data pertain to non-
ment ket by
DOT stop segment (record type S) or on-
flight market (record type M).
Carrier, carrier entity code ........ S M (5) Aircraft type code. This code rep-
Reporting period date ............... S M
Origin airport code .................... S M resents the aircraft types, as described
Destination airport code ........... S M in the BTS’ Accounting and Reporting
Service class code ................... S M Directives.
Aircraft type code ..................... S
110 Revenue passengers enplaned M
(6) Origin, Destination airport code(s).
130 Revenue passengers trans- S These codes represent the industry des-
ported. ignators. An industry source of these

232
Office of the Secretary, DOT § 291.45
industry designator codes is the Offi- transported on that stage. This ele-
cial Airline Guide (OAG). OAI assigns ment is the sum of 241 through 249.
codes, upon request, if not listed in the (17) 241 Revenue ton-miles—passenger.
OAG. Equals the number of passengers times
(7) 110 Revenue passengers enplaned. 200, times inter-airport distance, di-
The total number of revenue pas- vided by 2000. A standard weight of 200
sengers enplaned at the origin point of pounds per passenger, including bag-
a flight, boarding the flight for the gage, is used for all operations and
first time; an unduplicated count of service classes.
passengers in a market. (18) 247 Revenue ton-miles—freight.
(8) 130 Revenue passengers transported. Equals the volume of freight in whole
The total number of revenue pas- tons times the inter-airport distance.
sengers transported over a single flight (19) 249 Revenue ton-miles—mail.
stage, including those already on the Equals the volume of mail in whole
aircraft from a previous flight stage. tons times the inter-airport distance.
(9) 140 Revenue passenger-miles. Com- (20) 270 Available capacity-payload.
puted by multiplying the inter-airport The available capacity is collected in
distance of each flight stage by the pounds. This figure shall reflect the
number of passengers transported on payload or total available capacity for
that flight stage. passengers, mail and freight applicable
(10) 210 Revenue cargo tons enplaned. to the aircraft with which each flight
The total number of cargo tons en- stage is performed.
planed. This data element is a sum of (21) 280 Available ton-miles. The air-
the individual on-flight market figures craft miles flown on each flight stage
for each of the following categories: 217 multiplied by the available capacity on
Freight and 219 Mail. This element rep- the aircraft in tons.
resents an unduplicated count of the (22) 310 Available seats. The number of
revenue traffic in a market. seats available for sale. This figure re-
(11) 217 Enplaned freight. The total flects the actual number of seats avail-
weight of revenue freight enplaned at able, excluding those blocked for safety
the origin point of a flight, loaded onto or operational reasons. In the domestic
the flight for the first time; an entity, report the total available seats
unduplicated count of freight in a mar- in item 130. Scheduled and non-
ket. scheduled available seats are reported
(12) 219 Enplaned mail. The total in item 130.
weight of mail enplaned at the origin (23) 320 Available seat-miles. The air-
point of a flight, loaded onto the flight craft miles flown on each flight stage
for the first time; an unduplicated multiplied by the seat capacity avail-
count of mail in a market. able for sale.
(13) 230 Revenue tons transported. The (24) 410 Revenue aircraft miles flown.
number of tons of revenue traffic trans- Revenue aircraft miles flown are com-
ported. This element is the sum of the puted based on the airport pairs be-
following elements: 231 Passengers tween which service is actually per-
transported-total, 237 Freight, and 239 formed; miles are generated from the
Mail. data for scheduled aircraft departures
(14) 237 Transported freight. The total (Code 520) times the inter-airport dis-
weight of freight transported over a tances (Code 501).
single flight stage, including freight al- (25) 430 Revenue aircraft miles sched-
ready on the aircraft from a previous uled. The number of revenue aircraft
flight stage. miles scheduled. All such data shall be
(15) 239 Transported mail. The total maintained in conformity with the air-
weight of mail transported over a sin- port pairs between which service is
gle flight stage, including mail already scheduled, whether or not in accord-
on the aircraft from a previous flight ance with actual performance.
stage. (26) 501 Inter-airport distance. The
(16) 240 Revenue ton-miles—total. Ton- great circle distance, in official statute
miles are computed by multiplying the miles as prescribed in part 247 of this
revenue aircraft miles flown (410) on chapter, between airports served by
each flight stage by the number of tons each flight stage. Official inter-airport

233
§ 291.45 14 CFR Ch. II (1–1–19 Edition)
mileage may be obtained from the Of- frame or minicomputers to prepare its data
fice of Airline Information. submissions, the following specifications for
(27) 510 Revenue aircraft departures filing data on diskette media apply.
(ii) Reporting medium. Microcomputer ADP
performed. The number of revenue air- data submission of T–100 information must
craft departures performed. be on IBM compatible disks. Carriers wishing
(28) 520 Revenue aircraft departures to use a different ADP procedure must ob-
scheduled. The number of revenue air- tain written approval to do so from the BTS
craft departures scheduled, whether or Assistant Director—Airline Information. Re-
not actually performed. quests for approval to use alternate methods
(29) 610 Revenue aircraft hours (air- must disclose and describe the proposed data
borne). The elapsed time, computed transmission methodology. Refer to para-
graph (i) of this appendix for microcomputer
from the moment the aircraft leaves record layouts.
the ground until its next landing. (iii) Microcomputer file characteristics. The
(30) 630 Aircraft hours (ramp-to-ramp). files will be created in ASCII delimited for-
The elapsed time, computed from the mat, sometimes called Data Interchange
moment the aircraft first moves under Format (DIF). This form of recording data
its own power from the boarding ramp provides for variable length fields (data ele-
at one airport to the time it comes to ments) which, in the case of alphabetic data,
rest at the ramp for the next point of are enclosed by quotation marks (‘‘) and sep-
arated by a comma (,) or tab. Numeric data
landing. This data element is also re-
elements that are recorded without editing
ferred to as ‘block’ and ‘block-to-block’ symbols are also separated by a comma (,) or
aircraft hours. tab. The data are identified by their jux-
(31) 650 Total aircraft hours (airborne). taposition within a given record. Therefore,
The elapsed time, computed from the each record must contain the exact number
moment the aircraft leaves the ground of data elements, all of which must be
until it touches down at the next land- juxtapositionally correct. Personal computer
ing. This includes flight training, test- software including most spreadsheets, data
base management programs, and BASIC are
ing, and ferry flights.
capable of producing files in this format.
(f) Public availability of Schedule T–100 (b) Filing date for reports. The reports must
data. Detailed domestic on-flight mar- be received at BTS within 30 days following
ket and nonstop segment data in the end of each reporting period.
Schedule T–100, except military data, (c) Address for filing. Data Administration
shall be publicly available after proc- Division, K–14, Office of Airline Information,
essing. Domestic data are defined as Bureau of Transportation Statistics, U.S.
data from air transportation oper- Department of Transportation, 1200 New Jer-
sey Avenue, SE., Washington, DC 20590–0001.
ations from a place in any State of the
(d) ADP format for magnetic tape—(1) Mag-
United States, the District of Colum- netic tape specifications. IBM compatible 9-
bia, the Commonwealth of Puerto Rico track EBCDIC recording. Recording density
and the Virgin Islands, or a U.S. terri- of 6250 or 1600 bpi. The order of recorded in-
tory or possession to a place in any formation is:
State of the United States, the District (i) Volume label.
of Columbia, the Commonwealth of (ii) Header label.
Puerto Rico and the Virgin Islands, or (iii) Data records.
(iv) Trailer label.
a U.S. territory or possession. (2) [Reserved]
APPENDIX TO § 291.45—INSTRUCTIONS TO U.S. (e) External tape label information. (1) Car-
AIR CARRIERS FOR REPORTING TRAFFIC AND rier name.
CAPACITY D ATA ON S CHEDULE T–100 (2) Report date.
(3) File identification.
(a) Format of reports—(1) Automatic Data (4) Carrier address for return of tape reel.
Processing (ADP) magnetic tape. Refer to para- (f) Standards. It is the policy of the Depart-
graph (d) of this appendix for instructions ment to be consistent with the American Na-
pertaining to mainframe and minicomputer tional Standards Institute and the Federal
reporting. The Department will issue ‘‘Ac- Standards Activity in all data processing
counting and Reporting Directives’’ to make and telecommunications matters. It is our
necessary technical changes to these T–100 intention that all specifications in this ap-
instructions. Technical changes which are plication are in compliance with standards
minor in nature do not require public notice promulgated by these organizations.
and comment. (g) Volume, header, and trailer label for-
(2) Microcomputer diskette—(i) Optional spec- mats—(1) Use standard IBM label formats. The
ification. If an air carrier desires to use its file identifier field of the header labels
personal computers (PC’s), rather than main- should be ‘‘T–100.SYSTEM’’.

234
Office of the Secretary, DOT § 291.60
(h) Magnetic tape record layouts for T–100— data are identified by their juxtaposition
(1) Nonstop segment record layout. within a given record. Therefore, it is crit-
ical that each record contain the exact num-
Field Posi- Mode Description ber of data elements, all of which must be
No. tions
juxtapositionally correct. PC software in-
1 .... 1 1T ... Record type code (S = nonstop seg- cluding most spreadsheets, data base man-
ment). agement programs, and BASIC produce
2 .... 2–6 5T ... Carrier entity code. minidisk files in this format.
3 .... 7–12 6T ... Report date (YYYYMM). (2) File naming conventions for diskettes. For
4 .... 13–15 3T ... Origin airport code.
5 .... 16–18 3T ... Destination airport code. microcomputer reports, each record type
6 .... 19 1T ... Service class code (F, G, L, N, P or should be contained in a separate DOS file on
R). the same physical diskette. The following
7 .... 20–23 4T ... Aircraft type code. DOS naming conventions should be followed:
8 .... 24–28 5N ... Revenue departures performed (F, G, (i) Record type S = SEGMENT.DAT
L, N, P, R510).
9 .... 29–38 10N
(ii) Record type M = MARKET.DAT
Available capacity payload (lbs) (F,
G, L, N, P, R270). [Doc. No. OST–98–4043, 67 FR 49227, July 30,
10 .. 39–45 7N ... Available seats (F, L, N310). 2002, as amended at 75 FR 41585, July 16, 2010]
11 .. 46–52 7N ... Passengers transported (F, L, N130).
12 .. 53–62 10N Rev freight transported (F, G, L, N, P,

13 .. 63–72 10N
R237) (in lbs).
Revenue mail transported (F, G, L, N,
Subpart F—Enforcement
P, R239) (in lbs).
14 .. 73–77 5N ... Revenue aircraft departures sched- § 291.50 Enforcement.
15 .. 78–87 10N
uled (F, G520). In case of any violation of any of the
Rev hrs, ramp-to-ramp (F, G, L, N, P,
R630) (in minutes). provisions of the Statute, or this part,
16 .. 88–97 10N Rev hrs, airborne (F, G, L, N, P, or any other rule, regulation, or order
R610) (in minutes). issued under the Statute, the violator
T = Text. may be subject to a proceeding pursu-
N = Numeric.
ant to section 46101 of the Statute be-
(2) On-flight market record layout. fore the Department, or sections 46106
Field Posi-
through 46108 of the Statute before a
No. tions
Mode Description U.S. District Court, as the case may be,
to compel compliance therewith; or to
1 .... 1 1T ... Record type: M = on-flight market
record. civil penalties pursuant to the provi-
2 .... 2–6 5T ... Carrier entity code. sions of section 46301 of the Statute.
3 .... 7–12 4T ... Report date (YYYYMM).
4 .... 13–15 3T ... Origin airport code. [60 FR 43526, Aug. 22, 1995]
5 .... 16–18 3T ... Destination airport code.
Subpart G—Public Disclosure of
6 .... 19 1T ... Service class code (F, G, L, N, P or
R).
7 .... 20–26 7N ... Total passengers in market (F, L, Data
N110).
8 .... 27–36 10N Rev freight in market (F, G, L, N, P,
R217) (in lbs).
§ 291.60 Public disclosure of data.
9 .... 37–46 10N Revenue mail in market (F, G, L, N, (a) Detailed domestic on-flight mar-
P, R219) (in lbs).
ket data and nonstop segment data, ex-
T = Text. cept military data, shall be made pub-
N = numeric.
licly available after processing. Domes-
(i) Record layouts for microcomputer disk- tic data are defined as data from air
ettes. The record layouts for diskette are gen- transportation operations from a place
erally identical to those shown for magnetic
in any State of the United States, the
tape, with the exception that delimiters
(quotation marks, tabs and commas) are District of Columbia, the Common-
used to separate fields. It is necessary that wealth of Puerto Rico and the Virgin
the order of fields be maintained in all Islands, or a U.S. territory or posses-
records. sion to a place in any State of the
(1) File characteristics. The files will be cre- United States, the District of Colum-
ated in ASCII delimited format, sometimes bia, the Commonwealth of Puerto Rico
called Data Interchange Format (DIF). This and the Virgin Islands, or a U.S. terri-
form of recording data provides for variable
tory or possession. Domestic military
length fields (data elements) which, in the
case of alphabetic data, are enclosed by operations are reported under service
quotation marks (‘‘) and separated by a codes N or R.
comma (,) or tab. Numeric data elements (b) Detailed international on-flight
that are recorded without editing symbols market and nonstop segment data in
are also separated by a comma (,) or tab. The Schedule T–100 and Schedule T–100(f)

235
Pt. 292 14 CFR Ch. II (1–1–19 Edition)
reports, except military data, shall be Subpart B—Exemption From Filing Tariffs
publicly available immediately fol-
292.10 Exemption.
lowing the Department’s determina- 292.11 Revocation of exemption.
tion that the database is complete, but
no earlier than six months after the Subpart C—Effect of Exemption
date of the data. Military operations
are reported under service codes N or 292.20 Rule of construction.
R. Data for on-flight markets and non- 292.21 Incorporation of contract terms by
reference.
stop segments involving no U.S. points
292.22 Effectiveness of tariffs on file.
shall not be made publicly available for
three years. Industry and carrier sum- AUTHORITY: 49 U.S.C. 40101, 40105, 40109,
mary data may be made public before 40113, 40114, 41504, 41701, 41707, 41708, 41709,
41712, 46101; 14 CFR 1.56(j)(2)(ii).
the end of six months or the end of
three years, as applicable, provided SOURCE: Docket No. 48827, 60 FR 61478, Nov.
there are three or more carriers in the 30, 1995, unless otherwise noted.
summary data disclosed. The Depart-
ment may, at any time, publish inter- Subpart A—General
national summary statistics without
carrier detail. Further, the Department § 292.1 Applicability.
may release nonstop segment and on- This part applies to direct air car-
flight market detail data by carrier be- riers providing scheduled transpor-
fore the end of the confidentiality pe- tation of cargo in foreign air transpor-
riod as follows: tation.
(1) To foreign governments as pro-
vided in reciprocal arrangements be- § 292.2 Definitions.
tween the foreign country and the U.S. For purposes of this part:
Government for exchange of on-flight Cargo means property other than
market and/or nonstop segment data baggage accompanied or checked by
submitted by air carriers of that for- passengers, or mail.
eign country and U.S. carriers serving Cargo tariff means a tariff containing
that foreign country. rates, charges or provisions governing
(2) To parties to any proceeding be- the application of such rates or
fore the Department under Title IV of charges, or the conditions of service,
the Federal Aviation Act of 1958, as applicable to the scheduled transpor-
amended, as required by an Adminis- tation of cargo in foreign air transpor-
trative Law Judge or other decision- tation.
maker of the Department. Parties may Direct air carrier means an air carrier
designate agents or consultants to re- or foreign air carrier directly engaged
ceive the data in their behalf, provided in the operation of aircraft under a cer-
the agents or consultants agree to tificate, regulation, order, exemption
abide by the disclosure restrictions. or permit issued by the Department or
Any data to which access is granted its predecessor, the Civil Aeronautics
pursuant to this provision may be in- Board.
troduced into evidence, subject to the
normal rules of admissibility.
(3) To agencies or other components Subpart B—Exemption From Filing
of the U.S. Government for their inter- Tariffs
nal use only.
§ 292.10 Exemption.
[Doc. No. OST–98–4043, 67 FR 49230, July 30,
Direct air carriers are exempted from
2002]
the requirement to file cargo tariffs
with the Department of Transportation
PART 292—INTERNATIONAL provided in 49 U.S.C. 41504 and 14 CFR
CARGO TRANSPORTATION Part 221.

Subpart A—General § 292.11 Revocation of exemption.

Sec. (a) The Department, upon complaint
292.1 Applicability. or upon its own initiative, may, imme-
292.2 Definitions. diately and without hearing, revoke, in

236
Office of the Secretary, DOT Pt. 293
whole or in part, the exemption grant- is incorporated by reference under this
ed by this part with respect to a carrier part unless the requirements of para-
or carriers, when such action is in the graph (a)(1) of this section are com-
public interest. plied with, to the extent applicable;
(b) Any such action will be taken in and
an order issued by the Assistant Sec- (c) The purpose of this section is to
retary for Aviation and International set uniform disclosure requirements,
Affairs, and will identify: which preempt any State requirements
(1) The tariff matter to be filed; on the same subject, for terms incor-
and porated by reference into contracts of
(2) The deadline for carrier compli- carriage for the scheduled transpor-
ance. tation of cargo in foreign air transpor-
(c) Revocations under this section tation.
will have the effect of reinstating all
applicable tariff requirements and pro- § 292.22 Effectiveness of tariffs on file.
cedures specified in the Department’s (a) Cargo rate tariffs on file with the
regulations for the tariff material to be Department, including related classi-
filed, unless otherwise specified by De- fication and/or applicability rules,
partment order. cease to be effective as tariffs under 49
U.S.C. 41504 and 41510, as well as under
Subpart C—Effect of Exemption the provisions of 14 CFR Part 221, and
they are canceled by operation of law.
§ 292.20 Rule of construction. (b) As of March 1, 1996, all remaining
Carriers holding an effective exemp- cargo tariffs on file with the Depart-
tion from the duty to file tariffs under ment cease to be effective as tariffs
this part shall not, unless otherwise di- under 49 U.S.C. 41504 and the provisions
rected by order of the Department, be of 14 CFR part 221, and are cancelled by
subject to tariff posting, notification operation of law. Any such tariffs may
or subscription requirements set forth be cancelled voluntarily prior to that
in 49 U.S.C. 41504 or 14 CFR part 221, ex- date. With respect to terms expressly
cept as provided in § 292.21 of this part. agreed in the contract of carriage, car-
riers, agents and other persons are re-
§ 292.21 Incorporation of contract lieved from the requirement of adher-
terms by reference. ence to filed tariffs in 49 U.S.C. 41510
(a) Carriers holding an effective ex- and the related provisions of 14 CFR
emption from the duty to file tariffs part 221 as of November 30, 1995.
under this part may incorporate con- (c) Applications for filing and/or ef-
tract terms by reference (i.e. without fectiveness of any cargo tariffs pending
stating their full text) into the waybill on November 30, 1995 are dismissed by
or other document embodying the con- operation of law. No new filings or ap-
tract of carriage for the scheduled plications will be permitted except as
transportation of cargo in foreign air provided under § 292.11.
transportation, provided that:
(1) The notice, inspection, expla- PART 293—INTERNATIONAL
nation and other requirements set PASSENGER TRANSPORTATION
forth in 14 CFR 221.177(a)(1), (a)(2),
(a)(4), (b), (c) and (d) are complied with, Subpart A—General
to the extent applicable, except that
the notice required under 14 CFR Sec.
221.177(b)(1) shall refer to the title or 293.1 Applicability.
general nature of the publication(s) or 293.2 Definitions.
document(s) containing the full text of Subpart B—Exemption From Filing of Tariffs
the referenced terms rather than to
‘‘terms and conditions filed in public 293.10 Exemption.
tariffs with U.S. authorities’’; 293.11 Required statement.
(b) In addition to other remedies at 293.12 Revocation of exemption.
law, a carrier may not claim the ben-
Subpart C—Effect of Exemption
efit as against a shipper or consignee
of, and a shipper or consignee shall not 293.20 Rule of construction.
be bound by, any contract term which
237
§ 293.1 14 CFR Ch. II (1–1–19 Edition)
293.21 Incorporation of contract terms by through (iv) of this section. All coun-
reference. try-pair markets not listed in Cat-
293.22 Effectiveness of tariffs on file. egories A or C shall be considered to be
AUTHORITY: 49 U.S.C. 40101, 40105, 40109, in Category B and need not be specifi-
40113, 40114, 41504, 41701, 41707, 41708, 41709, cally listed.
41712, 46101; 14 CFR 1.56(j)(2)(ii). (i) Whether the U.S. has an aviation
SOURCE: 64 FR 40674, July 27, 1999, unless agreement in force with that country
otherwise noted. providing double-disapproval treat-
ment of prices filed by the carriers of
Subpart A—General the Parties;
(ii) Whether the country’s Govern-
§ 293.1 Applicability. ment has disapproved or deterred U.S.
This part applies to air carriers and carrier price leadership or matching
foreign air carriers providing scheduled tariff filings in any market;
transportation of passengers and their (iii) Whether the country’s Govern-
baggage in foreign air transportation. ment has placed significant restric-
tions on carrier entry or capacity in
§ 293.2 Definitions. any market; and
(iv) Whether the country’s govern-
For purposes of this part the defini-
ment is honoring the provisions of the
tions in § 221.3 of this chapter apply.
bilateral aviation agreement and there
are no significant bilateral problems.
Subpart B—Exemption From Filing (b) By notice of the Assistant Sec-
Tariffs retary, new country-pair markets will
be listed in the appropriate category,
§ 293.10 Exemption. and existing country-pair markets may
(a) Air carriers and foreign air car- be transferred between categories.
riers are exempted from the duty to (c) Notwithstanding a determination
file passenger tariffs with the Depart- that a country is in Category A or B, if
ment of Transportation, as required by the Assistant Secretary finds that ef-
49 U.S.C. 41504 and 14 CFR part 221, as fective price leadership opportunities
follows: for U.S. carriers are not available be-
(1) The Assistant Secretary for Avia- tween that country and any third coun-
tion and International Affairs will, by try, carriers that are nationals of such
notice, issue and periodically update a country may be required to file tariffs,
list establishing the following cat- as provided under part 221 or as other-
egories of markets: wise directed in the notice, for some or
(i) In Category A markets, carriers all of their services between the U.S.
are exempted from the duty to file all and third countries.
passenger tariffs unless they are na- (d) Air carriers and foreign air car-
tionals of countries listed in Category riers are exempted from the duty to
C, or are subject to the provisions of file governing rules tariffs containing
paragraph (c) of this section. general conditions of carriage with the
(ii) In Category B markets, carriers Department of Transportation, as re-
are exempted from the duty to file all quired by 49 U.S.C. 41504 and 14 CFR
passenger tariffs except those setting part 221. A description of the general
forth one-way economy-class fares and conditions of carriage will be included
governing provisions thereto, unless in the Assistant Secretary’s initial no-
they are nationals of countries listed tice.
in Category C, or are subject to the (e) Notwithstanding paragraph (d) of
provisions of paragraph (c) of this sec- this section, air carriers and foreign air
tion. carriers shall file and maintain a tariff
(iii) In Category C markets, carriers with the Department to the extent re-
shall continue to file all passenger tar- quired by 14 CFR 203.4 and other imple-
iffs, except as provided in § 293.10(b); menting regulations.
(2) The Assistant Secretary will list (f) Authority for determining what
country-pair markets falling in Cat- rules are covered by paragraph (d) of
egories A and C, taking into consider- this section and for determining the
ation the factors in paragraphs (a)(2) (i) filing format for the tariffs required by

238
Office of the Secretary, DOT Pt. 294
paragraph (e) of this section is dele- the contract of carriage for the sched-
gated to the Director of the Office of uled transportation of passengers in
International Aviation. foreign air transportation, provided
that:
§ 293.11 Required statement. (a) The notice, inspection, expla-
Each governing rules tariff shall in- nation and other requirements set
clude the following statements: forth in 14 CFR 221.107, paragraphs (a),
(a) ‘‘Rules herein containing general (b), (c) and (d) are complied with, to
conditions of carriage are not part of the extent applicable;
the official U.S. D.O.T. tariff.’’ (b) In addition to other remedies at
(b) ‘‘The rules and provisions con- law, a carrier may not claim the ben-
tained herein apply only to the pas- efit under this section as against a pas-
senger fares and charges that the U.S. senger, and a passenger shall not be
Department of Transportation requires bound by incorporation of any contract
to be filed as tariffs.’’ term by reference under this part, un-
less the requirements of paragraph (a),
§ 293.12 Revocation of exemption. of this section are complied with, to
(a) The Department, upon complaint the extent applicable; and
or upon its own initiative, may, imme- (c) The purpose of this section is to
diately and without hearing, revoke, in set uniform disclosure requirements,
whole or in part, the exemption grant- which preempt any State requirements
ed by this part with respect to a carrier on the same subject, for incorporation
or carriers, when such action is in the of terms by reference into contracts of
public interest. carriage for the scheduled transpor-
(b) Any such action will be taken in tation of passengers in foreign air
a notice issued by the Assistant Sec- transportation.
retary for Aviation and International
Affairs, and will identify the tariff § 293.22 Effectiveness of tariffs on file.
matter to be filed, and the deadline for
(a) One hundred and eighty days after
carrier compliance.
the date of effectiveness of the Assist-
(c) Revocations under this section
ant Secretary’s notice, passenger tar-
will have the effect of reinstating all
iffs on file with the Department cov-
applicable tariff requirements and pro-
ered by the scope of the exemption will
cedures specified in the Department’s
cease to be effective as tariffs under 49
Regulations for the tariff material to
U.S.C. 41504 and 41510, and the provi-
be filed, unless otherwise specified by
sions of 14 CFR part 221, and will be
the Department.
canceled by operation of law.
(b) One hundred and eighty days after
Subpart C—Effect of Exemption the date of effectiveness of the Assist-
§ 293.20 Rule of construction. ant Secretary’s notice, pending appli-
cations for filing and/or effectiveness of
To the extent that a carrier holds an any passenger tariffs covered by the
effective exemption from the duty to scope of the exemption, will be dis-
file tariffs under this part, it shall not, missed by operation of law. No new fil-
unless otherwise directed by order of ings or applications will be permitted
the Department, be subject to tariff after the date of effectiveness of the
posting, notification or subscription re- Assistant Secretary’s notice except as
quirements set forth in 49 U.S.C. 41504 provided under § 293.12.
or 14 CFR part 221, except as provided
in § 293.21.
PART 294—CANADIAN CHARTER
§ 293.21 Incorporation of contract AIR TAXI OPERATORS
terms by reference.
Carriers holding an effective exemp- Subpart A—General
tion from the duty to file tariffs under Sec.
this part may incorporate contract 294.1 Applicability and purpose.
terms by reference (i.e., without stat- 294.2 Definitions.
ing their full text) into the passenger 294.3 General requirements for Canadian
ticket or other document embodying charter air taxi operators.

239
§ 294.1 14 CFR Ch. II (1–1–19 Edition)

Subpart B—Exemption Subpart A—General

294.10 Exemption authority.
§ 294.1 Applicability and purpose.
Subpart C—Registration for Exemption This part establishes a classification
of foreign air carriers known as ‘‘Ca-
294.20 Applying for registration.
nadian charter air taxi operators,’’ and
294.21 Procedure on receipt of registration
form.
establishes registration procedures for
294.22 Notification to the Department of these carriers operating or seeking to
change in operations or identifying infor- operate transborder services between
mation. Canada and the United States. This
part also exempts Canadian charter air
Subpart D—General Rules for Registrants taxi operators from certain provisions
of the Subtitle VII of Title 49 of the
294.30 Scope of service and equipment au-
thorized. United States Code (Transportation),
294.31 Use of business name. and establishes rules applicable to
294.32 Security arrangements for operating their operations in the United States.
Public Charters. This part does not provide exemption
294.33 Compliance with the regulations of from the safety regulatory provisions
the Federal Aviation Administration. of the Statute that are administered by
294.34 Advance approval by the Department. the U.S. Department of Transportation
through the Federal Aviation Adminis-
Subpart E—Insurance Requirements tration (FAA), and Canadian charter
294.40 Aircraft accident liability insurance air taxi operators in the conduct of
requirements. their operations must observe all appli-
cable safety standards and require-
Subpart F—Cancellation of Registration ments.
and Presidential Review
[ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
294.50 Cancellation, revocation, or suspen- ed at 60 FR 43526, Aug. 22, 1995]
sion of registration.
294.51 Presidential review. § 294.2 Definitions.
As used in this part:
Subpart G—Authorizations and Waivers (a) Agreement means the Air Transport
294.60 Applications for authorization to con- Agreement Between the Government of
duct individual operations or programs the United States and the Government of
not otherwise permitted by this part. Canada, signed at Ottawa, February 24,
294.61 Waivers. 1995, with Annexes and any amend-
ments, supplements, reservations, or
Subpart H—Violations supersessions to it.
294.70 Enforcement. (b) Canadian charter air taxi operator
means a foreign air carrier that is sub-
Subpart I—Terms, Conditions, and stantially owned and effectively con-
Limitations of This Part trolled by Canadian citizens, the Gov-
ernment of Canada, or both, whose for-
294.80 Waiver of sovereign immunity.
eign air transportation operations are
294.81 Local traffic prohibited.
limited to charter air service between
294.83 Compliance with certain inter-
national agreements. points in Canada and points in the
294.84 Air competency requirements. United States, and that does not use
294.85 Charterworthiness standards. large aircraft in those operations.
294.86 Industrial/agricultural/other non- (c) Charter air service means non-
transport air operations prohibited. scheduled commercial air transpor-
294.87 Compliance with Canadian licenses. tation of persons and their accom-
AUTHORITY: 49 U.S.C. Chapters 401, 417. panied baggage, and of property, on a
time, mileage, or trip basis where the
SOURCE: ER–1257, 46 FR 52591, Oct. 27, 1981, entire planeload capacity of one or
unless otherwise noted.
more aircraft has been engaged, or the
transportation of mail by aircraft.

240
Office of the Secretary, DOT § 294.3
(d) Large aircraft means any aircraft (2) maximum authorized takeoff
that are not small aircraft as defined in weight on wheels not greater than
this section. 35,000 pounds.
(e) Maximum authorized takeoff weight
[ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
has the meaning assigned to it in regu- ed by Doc. No. 47939, 57 FR 40102, Sept. 2,
lations of the Canadian Transport 1992; 60 FR 43526, Aug. 22, 1995; 71 FR 49347,
Commission. Aug. 23, 2006]
(f) Maximum certificated takeoff weight
means the maximum takeoff weight § 294.3 General requirements for Cana-
authorized by the terms of the aircraft dian charter air taxi operators.
airworthiness certificate. This weight A Canadian charter air taxi operator
may be found in the airplane operating shall conduct charter air service be-
record or in the airplane flight manual tween the United States and Canada
that is incorporated by regulation into only if it:
the airworthiness certificate. (a) Has been registered by the De-
(g) Maximum passenger capacity means partment under this part;
the maximum number of passenger (b) Does not directly or indirectly
seats for which an aircraft is config- utilize large aircraft in charter air
ured. services;
(h) Maximum payload capacity means (c) Has and maintains in effect liabil-
the maximum certificated takeoff ity insurance coverage that complies
weight of an aircraft less the empty with the requirements set forth in sub-
weight as defined in section 03 of part part E of this part and has and main-
241 of this chapter, less all justifiable tains a current certificate of insurance
aircraft equipment, and less the oper- evidencing such coverage on file with
ating load (consisting of minimum fuel the Department;
load, oil, flight crew, steward’s sup- (d) Has and maintains in effect and
plies, etc.). For purposes of this part, on file with the Department a signed
the allowance for weight of the crew, counterpart of Agreement 18900 (OST
oil and fuel is as follows: Form 4523) and complies with all other
(1) Crew—200 pounds per crew mem- requirements of part 203 of this chap-
ber required under FAA regulations, (2) ter;
oil—350 pounds, (3) fuel—the minimum (e) Has effective authority from the
weight of fuel required under FAA reg- Government of Canada to conduct
ulations for a flight between domestic charter air service between the United
points 200 miles apart, assuming VFR States and Canada.
weather conditions and flights not in- (f) Has been granted Federal Aviation
volving extended overwater operations. Administration operations specifica-
However, in the case of aircraft for tions required under part 129 of the
which a maximum zero fuel weight is Federal Aviation Regulations;
prescribed by the FAA, maximum pay- (g) Is substantially owned and effec-
load capacity means the maximum tively controlled by Canadian citizens,
zero fuel weight less the empty weight, or the Government of Canada, or a
less all justifiable aircraft equipment, combination of both; and
and less the operating load (consisting (h) Complies with the terms, condi-
of minimum flight crew, steward’s sup- tions, and limitations of this part.
plies, etc., but not including disposable
fuel or oil). (The reporting requirements contained in
(2) [Reserved] paragraph (d) were approved by the Office of
Management and Budget under control num-
(i) Small aircraft means any aircraft ber 3024–0064)
designed to have:
(1) A maximum passenger capacity of [ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
not more than 30 seats and a maximum ed by ER–1332, 48 FR 8051, Feb. 25, 1983; ER–
1342, 48 FR 31015, July 6, 1983; Doc. No. 47939,
payload capacity of not more than 7,500 57 FR 40102, Sept. 2, 1992; 71 FR 49347, Aug. 23,
pounds, and/or 2006]

241
§ 294.10 14 CFR Ch. II (1–1–19 Edition)

Subpart B—Exemption (b) Any person objecting to the reg-

istration of a Canadian charter air taxi
§ 294.10 Exemption authority. operator shall file an objection with
Canadian charter air taxi operators the Office of International Aviation,
registered under this part are exempt Special Authorities Division, and serve
from the following provisions of the a copy on the applicant within 28 days
Statute to the extent necessary to per- after the Department receives the
form charter air service between the properly completed registration appli-
United States and Canada, and as long cation. Objections shall include any
as they comply with the terms, condi- facts and arguments upon which they
tions, and limitations of this part: are based.
(a) Section 41302 (permits). (c) Any answers to objections shall be
(b) Section 41501 (carrier’s duty to ob- filed within 14 days after the date that
serve reasonable rates). the objections were due.
(c) Section 41310 (discrimination). (d) After receipt of OST Form 4505,
(d) Section 41313 (aviation disaster the Department may request addi-
family assistance plans for foreign air tional information.
carriers) (e) After the period for objections and
[ER–1257, 46 FR 52591, Oct. 27, 1981, as amend- answers has expired, the Department
ed at 60 FR 43526, Aug. 22, 1995; 71 FR 49347, will take one of the following actions:
Aug. 23, 2006] (1) Issue the registration by stamping
its effective date on OST Form 4505 and
Subpart C—Registration for sending a copy of it to the carrier.
Exemption (2) Reject the application for failure
to comply with this part;
§ 294.20 Applying for registration. (3) Issue the registration subject to
To apply for registration under this such terms, conditions, or limitations
part, a Canadian charter air taxi oper- as may be consistent with the public
ator shall file with the Department’s interest; or
Office of International Aviation, Spe- (4) Institute evidentiary proceedings
cial Authorities Division, the fol- to consider whether the registration
lowing: should be issued.
(a) A currently effective certificate (f) An action described in paragraph
of insurance (see § 294.40); and (e) of this section will normally be
(b) Three copies of OST Forms 4523 taken within 60 days after the registra-
and 4505, which may be obtained from tion application is received. The De-
the Department’s Office of Inter- partment will consider requests for
national Aviation, Special Authorities faster action that include a full expla-
Division. All the information required nation of the need for expedited action.
by OST Form 4505 shall be filled in, and (g) A registration shall not be issued
it shall be certified by a responsible of-
until the Department receives evidence
ficer of the applicant Canadian charter
that the applicant has effective author-
air taxi operator.
ity issued by the Government of Can-
(Approved by the Office of Management and ada. The applicant must provide copies
Budget under control number 3024–0051) of its Air Carrier Operating certificate
[ER–1257, 46 FR 52591, Oct. 27, 1981; 46 FR and non-scheduled international li-
62054, Dec. 22, 1981, as amended by ER–1363, 48 cense issued by the Government of
FR 46265, Oct. 12, 1983; Doc. No. 47939, 57 FR Canada.
40102, Sept. 2, 1992; 60 FR 43526, Aug. 22, 1995;
(h) Rejection of an application for
71 FR 49347, Aug. 23, 2006]
registration will not preclude the filing
§ 294.21 Procedure on receipt of reg- of a new application by the same car-
istration form. rier.
(a) The Department will list the [ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
names and addresses of all persons ap- ed by Doc. No. 47939, 57 FR 40102, Sept. 2,
plying for registration under this part 1992; 60 FR 43526, Aug. 22, 1995; 71 FR 49347,
in its Weekly Summary of Filings. Aug. 23, 2006]

242
Office of the Secretary, DOT § 294.31

§ 294.22 Notification to the Depart- Subpart D—General Rules for

ment of change in operations or Registrants
identifying information.
Registrants shall refile a copy of OST § 294.30 Scope of service and equip-
ment authorized.
Form 4505 with the Department’s Office
of International Aviation, Special Au- (a) Upon fulfillment of the require-
thorities Division, upon any of the fol- ments of § 294.3 of this part, the reg-
lowing events. The refiling shall be istrant will have Department authority
sent by electronic mail, or other to engage in charter air services be-
means, so as to be received by the De- tween any point or points in Canada
and any point or points in the United
partment not later than 30 days after
States using small aircraft.
the reported event has occurred.
(b) Nothing in this part shall be con-
(a) The carrier changes its name. strued as authorizing the operation of
When a carrier refiles OST Form 4505 large aircraft in charter air service,
to indicate a change of name: and the exemption provided by this
(1) A registration ceases to be in ef- part to Canadian charter air taxi oper-
fect unless the Government of Canada ators that register with the Depart-
amends the registrant’s Air Carrier Op- ment extends only to the direct oper-
erating Certificate to reflect the reg- ations of charter air service in accord-
istrant’s new name within 60 days of ance with the limitations and condi-
the name change and the registrant tions of this part using aircraft de-
submits to the Department a copy of signed to have:
its amended Canadian authority. (1) A maximum passenger capacity of
(2) The registrant must also refile no more than 30 seats and a maximum
three copies of Agreement 18900 (OST payload capacity of no more than 7,500
pounds, and/or
Form 4523) under its new name;
(2) A maximum authorized takeoff
(3) The registrant must also refile its weight on wheels not greater than
certificate of insurance under its new 35,000 pounds.
name; and (c) A Canadian charter air taxi oper-
(4) The registrant must also advise ator shall not use large aircraft for
the appropriate FAA office referred to charter air service until it has been
in § 294.33 of the carrier’s new name. granted a permit by the Department
(b) The carrier changes its designated under section 41302 of the Statute or
agent. granted an exemption under section
(c) A change occurs in the carrier’s 41701 of the Statute. Its application for
ownership and control resulting in a such a permit or exemption should
person acquiring a beneficial or voting refer to the registration under this
interest in the registrant of 10 percent part. Registration under this part will
or more. The name(s), address(es), citi- be canceled when a section 41302 permit
zenship(s), and percentages of owner- has been granted by the Department
for the use of large aircraft in foreign
ship of the new owners shall be indi-
charter air service.
cated on the form. Acquisition of own-
ership interest by persons who are not [ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
citizens of the country of citizenship of ed by Doc. No. 47939, 57 FR 40102, Sept. 2,
1992; 60 FR 43526, Aug. 22, 1995]
the registrant may invalidate the reg-
istration. § 294.31 Use of business name.
(d) The carrier temporarily or perma-
(a) A Canadian charter air taxi oper-
nently ceases operations. ator, in holding out charter air service
(Approved by the Office of Management and to the public and performing its char-
Budget under control number 3024–0051) ter operations, shall do so only in the
names in which its registration is
[ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
issued under this part. The Department
ed by ER–1363, 48 FR 46265, Oct. 12, 1983; Doc.
No. 47939, 57 FR 40102, Sept. 2, 1992; 60 FR may require a Canadian charter air
43526, Aug. 22, 1995; 71 FR 49347, Aug. 23, 2006] taxi operator to change such names
where they appear to be inconsistent
with the public interest.

243
§ 294.32 14 CFR Ch. II (1–1–19 Edition)
(b) [Reserved] Airport Way, Rochester, New York
14624.
§ 294.32 Security arrangements for op- (d) If the registrant’s business ad-
erating Public Charters. dress is west of Winnipeg, Manitoba, it
When a Canadian charter air taxi op- should write to: Federal Aviation Ad-
erator performs a Public Charter under ministration, General Aviation Dis-
part 380 of this chapter, either: trict Office, 1601 Lind Avenue, SW.,
(a) The Canadian charter air taxi op- Renton, Washington 98055.
erator shall meet the bonding or es- [ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
crow requirements applicable to for- ed by Doc. No. 47939, 57 FR 40102, Sept. 2,
eign air carriers as set forth in § 212.8 of 1992]
this chapter.
(b) The Canadian charter air taxi op- § 294.34 Advance approval by the De-
erator shall ensure that it does not re- partment.
ceive any payments for the charter The Department, by order or regula-
until after the charter has been com- tion and without hearing, may require
pleted. In this case, its contracts with advance approval of individual charter
the charter operator and the charter trips conducted by the registrant under
operator’s depository bank, if any, the authority granted by this part, if it
shall state that the charter operator or finds such action to be consistent with
bank, as applicable, shall retain con- the public interest.
trol of and responsibility for all partic-
ipant funds intended for payment for Subpart E—Insurance
charter air service until after the char- Requirements
ter has been completed, notwith-
standing any provision of part 380. § 294.40 Aircraft accident liability in-
[ER–1257, 46 FR 52591, Oct. 27, 1981, as amend- surance requirements.
ed by Doc. No. 2006–25691, 71 FR 49347, Aug. No Canadian charter air taxi oper-
23, 2006] ator shall engage in charter air service
unless such carrier has and maintains
§ 294.33 Compliance with the regula- in effect aircraft accident liability cov-
tions of the Federal Aviation Ad-
ministration. erage that meets the requirements of
part 205 of this chapter. Evidence of
(a) Registrants under this part shall such insurance coverage, in the form of
obtain FAA operations specifications a certificate of insurance, as required
required under part 129 or other appli- in part 205 of this chapter, shall be
cable rules of the Federal Aviation maintained on file with the Depart-
Regulations prior to beginning oper- ment’s Office of International Avia-
ations into the United States. Reg- tion, Special Authorities Division, at
istrants should write to the FAA office all times.
at one of the following addresses to ob-
tain instructions on how to apply for (Approved by the Office of Management and
FAA authority. Budget under control number 3024–0050)
(b) If the registrant’s business ad- [ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
dress is located on or east of 76 degrees ed by ER–1342, 48 FR 31015, July 6, 1983; Doc.
West Longitude (in or east of Ottawa, No. 47939, 57 FR 40102, Sept. 2, 1992; 60 FR
43526, Aug. 22, 1995; 71 FR 49347, Aug. 23, 2006]
Ontario) it should write to: Federal
Aviation Administration, General
Aviation District Office No. 1, Albany Subpart F—Cancellation of Reg-
County Airport, Albany, New York istration and Presidential Re-
12211. view
(c) If the registrant’s business ad-
dress is located on or east of 100 de- § 294.50 Cancellation, revocation, or
grees West Longitude (in or east of suspension of registration.
Winnipeg, Manitoba) and west of 76 de- The registration of a carrier subject
grees West Longitude (west of, but not to this part may be revoked, canceled,
including, Ottawa, Ontario) it should suspended, modified, or otherwise sub-
write to: Federal Aviation Administra- jected to additional terms and condi-
tion, Flight Standards District Office, 1 tions by the Department if:

244
Office of the Secretary, DOT § 294.80
(a) The carrier files with the Depart- (b) Action on the application for au-
ment a written notice that it is dis- thorization filed under paragraph (a) of
continuing operations; this section will normally be taken
(b) The carrier is the holder of a sec- within 30 days after the application is
tion 41302 permit to perform large air- filed. The Department will consider re-
craft charters under the Agreement; quests for faster action that include a
(c) Substantial ownership or effective full explanation of the need for expe-
control is acquired by persons who are dited action.
not (1) citizens of Canada, (2) the Gov-
ernment of Canada, or (3) a combina- [ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
tion of both; ed by Doc. No. 47939, 57 FR 40103, Sept. 2,
1992; 71 FR 49347, Aug. 23, 2006]
(d) The Government of Canada termi-
nates or suspends authority it granted § 294.61 Waivers.
to the registrant to conduct charter air
service between the United States and The Department upon application or
Canada. on its own initiative may waive any of
(e) The Agreement between the two the provisions of this part if it finds
countries is terminated; such action to be in the public interest.
(f) The registrant fails to have proper
insurance coverage, or fails to file or Subpart H—Violations
keep a current insurance certificate on
file with the Department; § 294.70 Enforcement.
(g) The registrant fails to comply In case of any violation of any of the
with the terms, conditions, or limita- provisions of the Statute, or this part,
tions of this part;
or any other rule, regulation, or order
(h) The carrier’s operations specifica-
issued under the Statute, the violator
tions issued by the FAA are suspended
may be subject to a proceeding under
or terminated;
section 46101 of the Statute before the
(i) The Department finds that it is in
the public interest to do so. Department, or sections 46106 through
46108 of the Statute before a U.S. Dis-
[ER–1257, 46 FR 52591, Oct. 27, 1981, as amend- trict Court, as the case may be, to
ed at 60 FR 43526, Aug. 22, 1995; 71 FR 49347, compel compliance; or to impose civil
Aug. 23, 2006]
penalties under the provisions of sec-
§ 294.51 Presidential review. tion 46301 of the Statute; or in the case
of a willful violation, to impose crimi-
A Department order under § 294.50 (e),
nal penalties under the provisions of
(g) or (i) shall be subject to stay or dis-
section 46316 of the Statute; or to im-
approval by the President within 60
pose other lawful sanctions, including
days.
revocation of registration.
Subpart G—Authorizations and [ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
Waivers ed at 60 FR 43527, Aug. 22, 1995]

§ 294.60 Applications for authorization Subpart I—Terms, Conditions, and

to conduct individual operations or
programs not otherwise permitted Limitations of This Part
by this part.
§ 294.80 Waiver of sovereign immunity.
(a) Where the terms, conditions, or
limitations of this part, particularly By accepting an approved registra-
§ 294.81, require prior approval of indi- tion under this part, a registrant
vidual flights or charter programs, the waives any right it may possess to as-
registrant shall apply for such approval sert any defense of sovereign immunity
by filing three copies of OST Form 4540 in any action or proceeding instituted
with the Office of International Avia- against it in any court or other tri-
tion, Foreign Air Carrier Licensing Di- bunal in the United States based upon
vision. OST Form 4540 may be obtained any claim arising out of its operations
from the Foreign Air Carrier Licensing under this part.
Division.

245
§ 294.81 14 CFR Ch. II (1–1–19 Edition)

§ 294.81 Local traffic prohibited. (b) Registrants may perform Cana-

dian-originating charters authorized by
(a) Except as set forth in
Annex B (III)(B) of the Agreement and
paragraph
any amendments, supplements, res-
(b) of this section or § 294.60, a reg-
ervations or supersessions of it. Such
istrant shall not carry passengers,
charters may be performed only to the
cargo, or mail between two or more
extent authorized by the Air Carrier
United States points for compensation
Regulations of the Canadian Transport
or hire.
Commission applicable to operations
(b) A registrant may grant stopover by small aircraft.
privileges at any point or points in the
United States to passengers and their § 294.86 Industrial/agricultural/other
accompanied baggage as part of a sin- nontransport air operations prohib-
gle continuous operation to or from ited.
Canada.
A registrant shall not engage in
[ER–1257, 46 FR 52591, Oct. 27, 1981, as amend- flights for the purpose of industrial or
ed by Doc. No. 2006–25691, 71 FR 49347, Aug. agricultural operations (e.g., crop dust-
23, 2006] ing, pest control, pipeline patrol, map-
ping, surveying, banner towing, sky-
§ 294.83 Compliance with certain inter- writing, aerial photography) within the
national agreements.
United States unless it has obtained a
A registrant shall not operate any permit from the Department under
aircraft under this part unless it: part 375 of this chapter.
(a) Complies with operational safety
requirements at least equivalent to § 294.87 Compliance with Canadian li-
Annex 6 of the Chicago Convention; censes.
(b) Complies with all applicable pro- A registrant shall not, in the per-
visions of the Agreement; and formance of operations authorized by
(c) Complies with all applicable pro- this part, use any aircraft or conduct
visions of any treaty, convention, or any operations except in accordance
agreement affecting international air with the authority and conditions con-
transportation to which the United tained in the registrant’s applicable
States and Canada are parties. Canadian licenses.
§ 294.84 Air competency requirements.
PART 295—AIR CHARTER BROKERS
Registrants shall conform to the air-
worthiness and airman competency re- Subpart A—General
quirements prescribed by the Govern-
ment of Canada for Canadian inter- Sec.
national air service. 295.1 Purpose.
295.3 Applicability.
§ 294.85 Charterworthiness standards. 295.5 Definitions.
295.7 Agency relationships.
(a) Registrants may perform U.S.-
originating charters authorized under Subpart B—Exemption Authority
Annex B (III)(A) of the Agreement as
follows: Commercial air transportation 295.10 Grant of economic authority; exemp-
of passengers and their accompanied tion from the Statute.
baggage, and of property, on a time, 295.12 Suspension or revocation of exemp-
mileage, or trip basis, where the entire tion authority.
planeload capacity of one or more air-
craft has been engaged by a person for Subpart C—Consumer Protection
his own use or by a person for the 295.20 Use of duly authorized direct air car-
transportation of a group of persons riers.
and/or their property, as agent or rep- 295.22 Prohibited unfair or deceptive prac-
resentative of such group, or other tices or unfair methods of competition.
small aircraft operations as may be au-
thorized under any amendments, sup- 295.23 Advertising.
plements, reservations, or superses- 295.24 Disclosures.

246
sions of the Agreement. 295.26 Refunds.

247
Office of the Secretary, DOT § 295.7

Subpart D—Violations charterer or direct air carrier, as prin-

cipal, has appointed or authorized such
295.50 Enumerated unfair or deceptive prac-
tices or unfair methods of competition. agent to act on the principal’s behalf.
295.52 Enforcement. (d) Charterer means the person or en-
AUTHORITY: 49 U.S.C. Chapters 401, 411, 413, tity that contracts with an air charter
and 417. broker, direct air carrier, or foreign di-
rect air carrier, for the transportation
SOURCE: 83 FR 46874, Sept. 17, 2018, unless
otherwise noted. of the passengers flown on a charter
flight.
EFFECTIVE DATE NOTE: At 83 FR 46874,
Sept. 17, 2018, Part 295 was added, effective (e) Charter air transportation means
Feb. 14, 2019. charter flights in air transportation
authorized under Part A of Subtitle VII
Subpart A—General of Title 49 of the United States Code.
(f) Direct air carrier and foreign direct
§ 295.1 Purpose. air carrier mean a U.S. or foreign air
Air charter brokers, defined as an in- carrier that provides or offers to pro-
direct air carrier, foreign indirect air vide air transportation and that has
carrier or a bona fide agent, provide in- control over the operational functions
direct air transportation of passengers performed in providing that transpor-
on single entity charters aboard large tation.
and small aircraft. This part grants ex- (g) Indirect air carrier and foreign indi-
emptions to such air charter brokers rect air carrier mean a person or entity
from certain provisions of Subtitle VII that, as a principal, holds out, sells, or
of Title 49 of the United States Code arranges air transportation and sepa-
(Transportation), and establishes rules, rately contracts with direct air car-
including consumer protection provi- riers and/or foreign direct air carriers.
sions, for the provision of such air (h) Single entity charter means a char-
transportation by air charter brokers. ter for the entire capacity of the air-
§ 295.3 Applicability. craft, the cost of which is borne by the
charterer and not directly or indirectly
This part applies to any person or en-
by individual passengers, except when
tity acting as an air charter broker as
individual passengers self-aggregate to
defined in this part with respect to sin-
form a single entity for flights to be
gle entity charter air transportation
that the air charter broker, as an indi- operated using small aircraft.
rect air carrier, foreign indirect air (i) Statute means Subtitle VII of Title
carrier, or a bona fide agent, holds out, 49 of the United States Code (Transpor-
sells or undertakes to arrange aboard tation).
large and small aircraft. (j) Large aircraft means any aircraft
originally designed to have a maximum
§ 295.5 Definitions. passenger capacity of more than 60
For the purposes of this part: seats or a maximum payload capacity
(a) Air transportation means inter- of more than 18,000 pounds.
state or foreign air transportation, as (k) Small aircraft means any aircraft
defined in 49 U.S.C. 40102(a)(5), originally designed to have a maximum
40102(a)(23), and 40102(a)(25). passenger capacity of 60 seats or fewer
(b) Air charter broker means a person or a maximum payload capacity of
or entity that, as an indirect air car- 18,000 pounds or less.
rier, foreign indirect air carrier, or a
bona fide agent, holds out, sells, or ar- § 295.7 Agency relationships.
ranges single entity charter air trans-
An air charter broker acting as an in-
portation using a direct air carrier.
(c) Bona fide agent means a person or direct air carrier or foreign indirect air
entity that acts as an agent on behalf carrier may choose to act as a bona
of a single entity charterer seeking air fide agent in individual cases where a
transportation or a direct air carrier charterer, direct air carrier, or foreign
seeking to provide single entity char- direct air carrier has expressly author-
ter air transportation, when such ized such agency relationship.

248
§ 295.10 14 CFR Ch. II (1–1–19 Edition)

Subpart B—Exemption Authority ations in interstate or intrastate air

transportation.
§ 295.10 Grant of economic authority;
exemption from the statute. § 295.22 Prohibited unfair or deceptive
practices or unfair methods of com-
To the extent necessary to permit air petition.
charter brokers, acting as indirect air
An air charter broker shall not en-
carriers or foreign indirect air carriers,
gage in any unfair or deceptive prac-
to hold out, sell, and undertake to ar-
tice or unfair method of competition.
range single entity charter air trans-
portation, such air charter brokers are § 295.23 Advertising.
exempted from the following provisions
(a) All solicitation materials and ad-
of Subtitle VII of Title 49 of the United
vertisements, including internet web
States Code, except for the provisions
pages, published or caused to be pub-
noted, only if and so long as they com-
lished by air charter brokers shall
ply with the provisions and the condi-
clearly and conspicuously state that
tions imposed by this part: 49 U.S.C.
the air charter broker is an air charter
41101–41113, 49 U.S.C. 41301–41313, and 49
broker, and that it is not a direct air
U.S.C. 41501–41511. Air charter brokers
carrier or a direct foreign air carrier in
are not exempt from the following pro-
operational control of aircraft, and
vision: 49 U.S.C. 41310 (nondiscrimina-
that the air service advertised shall be
tion) with respect to foreign air trans-
provided by a properly licensed direct
portation.
air carrier or direct foreign air carrier.
§ 295.12 Suspension or revocation of (b) Air charter brokers may display
exemption authority. their name and logo on aircraft pro-
vided the name of the direct air carrier
The Department reserves the power is displayed prominently and clearly on
to alter, suspend, or revoke the exemp- the aircraft and consumers are not oth-
tion authority of any air charter erwise misled into thinking that the
broker acting as an indirect air carrier, air charter broker is a direct air car-
without a hearing, if it finds that such rier or direct foreign air carrier.
action is in the public interest or is
otherwise necessary to protect the § 295.24 Disclosures.
traveling public.
(a) Before entering a contract for a
specific flight or series of flights with
Subpart C—Consumer Protection charterers, air charter brokers must
disclose to the charterer the informa-
§ 295.20 Use of duly authorized direct tion in paragraphs (a)(1),(2), and (6) of
air carriers. this section. Before entering a contract
Air charter brokers are not author- for a specific flight or series of flights
ized under this part to hold out, sell, or with charterers, air charter brokers
otherwise arrange charter air transpor- must, upon request of the charterer,
tation to be operated by a person or en- disclose to the charterer the informa-
tity that does not hold the requisite tion in paragraphs (a)(3), (4), and (5) of
form of economic authority from the this section. The six disclosures may be
Department and appropriate safety au- accomplished through electronic trans-
thority from the Federal Aviation Ad- missions.
ministration and, if applicable, a for- (1) The corporate name of the direct
eign safety authority. Air charter bro- air carrier or direct foreign air carrier
kers are not authorized under this part in operational control of the aircraft
to hold out, sell, or arrange air trans- on which the air transportation is to be
portation to be performed by a direct performed and any other names in
air carrier or direct foreign air carrier which that direct carrier holds itself
that the direct carrier is not author- out to the public.
ized in its own right to hold out, sell, (2) The capacity in which the air
or operate. Only direct air carriers that charter broker is acting in contracting
are citizens of the United States as de- for the air transportation, i.e., as an in-
fined in 49 U.S.C. 40102(a)(15) may pro- direct air carrier, indirect foreign air
vide direct air transportation oper- carrier, as an agent of the charterer, or

249
Office of the Secretary, DOT § 295.26
as an agent of the direct air carrier or broker, air charter brokers must pro-
direct foreign air carrier that will be in vide the charterer with the oppor-
operational control of the flight. tunity to cancel the contract for char-
(3) If the air charter broker is acting ter air transportation, including any
as the agent of the charterer, the air services in connection with such con-
charter broker must disclose the exist- tract, and receive a full refund of any
ence of any corporate or business rela- monies paid for the charter air trans-
tionship, including a preexisting con- portation and services.
tract, between the air charter broker (d) In all circumstances, air charter
and the direct air carrier or direct for- brokers must disclose prior to the start
eign air carrier that will be in oper- of the air transportation the informa-
ational control of the flight that may
tion in paragraph (a) of this section
have a bearing on the air charter bro-
that is required to be disclosed or that
ker’s selection of the direct carrier
the charterer has requested to be dis-
that will be in operational control of
the flight. closed.
(4) The total cost of the air transpor- (e) If the information in paragraph
tation paid by the charterer to or (a) of this section that is required to be
through the air charter broker, includ- disclosed to the charterer or requested
ing any air charter broker or carrier- by the charterer to be disclosed
imposed fees or government-imposed changes after the air transportation
taxes and fees. Specific individual fees, covered by the contract has begun, air
taxes, or costs may, but are not re- charter brokers must provide informa-
quired to be itemized. tion regarding any such changes to the
(5) The existence of any fees and charterer within a reasonable time
their amounts collected by third-par- after such information becomes avail-
ties, if known (or a good faith estimate able to the air charter broker.
if not known), including fuel, landing (f) If the changes in information de-
fees, and aircraft parking or hangar scribed in paragraph (e) of this section
fees, for which the charterer will be re- are not provided to the charterer with-
sponsible for paying directly. in a reasonable time after becoming
(6) The existence or absence of liabil- available to the air charter broker, air
ity insurance held by the air charter charter brokers must provide the
broker covering the charterer and pas- charterer with the opportunity to can-
sengers and property on the charter
cel the remaining portion of the con-
flight, and the monetary limits of any
tract for charter air transportation, in-
such insurance.
(b) If any of the information in para- cluding any services paid in connection
graph (a) of this section that is re- with such contract, and receive a full
quired to be disclosed to the charterer refund of any monies paid for the char-
or requested by the charterer to be dis- ter air transportation and services not
closed is not known at the time the yet provided.
contract is entered into or changes
thereafter, air charter brokers must § 295.26 Refunds.
provide the information to the Air charter brokers must make
charterer within a reasonable time prompt refunds of all monies paid for
after such information becomes avail- charter air transportation when such
able to the air charter broker, such transportation cannot be performed or
that the charterer has enough time to when such refunds are otherwise due,
make an informed decision as to as required by 14 CFR 374.3 and 12 CFR
whether to accept the additional infor- part 226 for credit card purchases, and
mation or accept the change. within 20 days after receiving a com-
(c) If the information in paragraph plete refund request for cash and check
(a) of this section that is required to be purchases.
disclosed to the charterer or requested
by the charterer to be disclosed is not
provided to the charterer within a rea-
sonable time after such information
becomes available to the air charter

250
§ 295.50 14 CFR Ch. II (1–1–19 Edition)

Subpart D—Violations (9) Selling or contracting for air

transportation while knowing or hav-
§ 295.50 Enumerated unfair or decep- ing reason to know or believe that such
tive practices or unfair methods of air transportation cannot be legally
competition. performed by the direct air carrier or
(a) Violations of this Part shall be foreign direct air carrier that is to per-
considered to constitute unfair or de- form the air transportation.
ceptive practices or unfair methods of (10) Misrepresentations as to the re-
competition in violation of 49 U.S.C. quirements that must be met by
41712. charterers to qualify for charter
(b) In addition to paragraph (a) of flights.
this section, the following enumerated (11) Using or displaying or permitting
practices, among others, by an air or suffering to be used or displayed the
charter broker are unfair or deceptive name, trade name, slogan or any abbre-
practices or unfair methods of competi- viation thereof, of the air charter
tion in violation of 49 U.S.C. 41712: broker in advertisements, on or in
(1) Misrepresentations that may in- places of business, or on or in aircraft
duce members of the public to reason- or any other place in connection with
ably believe that the air charter broker the name of an air carrier or foreign
is a direct air carrier or direct foreign air carrier or with services in connec-
air carrier when that is not the case.
tion with air transportation, in such
(2) Misrepresentations as to the qual- manner that it may mislead or confuse
ity or kind of service or type of air-
potential consumers with respect to
craft.
the status of the air charter broker.
(3) Misrepresentations as to the time
of departure or arrival, points served, § 295.52 Enforcement.
route to be flown, stops to be made, or
total trip-time from point of departure In case of any violation of any of the
to destination. provisions of the Statute, or of this
(4) Misrepresentations as to the part, or any other rule, regulation, or
qualifications of pilots or safety record order issued under the Statute, the vio-
or certification of pilots, aircraft, or lator may be subject to a proceeding
air carriers. under 49 U.S.C. 46101 before the Depart-
(5) Misrepresentations that pas- ment, or 49 U.S.C. 46106–46108 before a
sengers are directly insured when they U.S. District Court, as the case may be,
are not so insured. For example, where to compel compliance. The violator
the only insurance in force is that pro- may also be subject to civil penalties
tecting the direct air carrier or air under the provisions of 49 U.S.C. 46301,
charter broker in event of liability. or other lawful sanctions, including
(6) Misrepresentations as to fares or revocation of the exemption authority
charges for air transportation or serv- granted in this part. In the case of a
ices in connection therewith. willful violation, the violator may be
(7) Misrepresentations as to member- subject to criminal penalties under the
ship in or involvement with an organi- provisions of 49 U.S.C. 46316.
zation that audits air charter brokers,
direct air carriers, or direct foreign air PART 296—INDIRECT AIR
carriers, or that the air charter broker
or any direct carriers to be used for a TRANSPORTATION OF PROPERTY
particular flight meets a standard set
by an auditing organization. Subpart A—General
(8) Representing that a contract for a Sec.
specified direct air carrier, direct for- 296.1 Purpose.
eign air carrier, aircraft, flight, or 296.2 Applicability.
time has been arranged without a bind- 296.3 Indirect cargo air carrier.
ing commitment with a direct air car- 296.4 Joint loading.
rier or direct foreign air carrier for the 296.5 Agency relationships.
furnishing of such transportation as 296.6 Public disclosure of cargo liability
represented. limits and insurance.

251
Office of the Secretary, DOT § 296.10
Subpart B—Exemption for Indirect Air § 296.5 Agency relationships.
Transportation of Property An indirect cargo air carrier may act
296.10 Exemption from the Statute. as agent of a shipper, or of a direct air
carrier that has authorized such agen-
Subpart C—Violations cy, rather than as an air carrier, if it
expressly reserves the option to do so
296.20 Enforcement.
when the shipment is accepted.
AUTHORITY: 49 U.S.C. Chapters 401, 417.
SOURCE: ER–1261, 46 FR 54727, Nov. 4, 1981,
§ 296.6 Public disclosure of cargo li-
unless otherwise noted.
ability limits and insurance.
Every indirect cargo air carrier shall
Subpart A—General give notice in writing to the shipper,
when any shipment is accepted, of the
§ 296.1 Purpose. existence or absence of cargo liability
accident insurance, and of the limits
This part establishes rules for the in-
on the extent of its liability, if any.
direct air transportation of property. It
The notice shall be clear and conspicu-
creates a class of air carriers to provide
ously included on or attached to all of
this air transportation and grants ex-
its rate sheets and airwaybills.
emptions from certain provisions of the
Subtitle VII of Title 49 of the United
States Code (Transportation). Subpart B—Exemption for Indirect
Air Transportation of Property
[ER–1257, 46 FR 52591, Oct. 27, 1981, as amend-
ed at 60 FR 43527, Aug. 22, 1995] § 296.10 Exemption from the Statute.
§ 296.2 Applicability. (a) Indirect cargo air carriers are ex-
empted from the provisions of the Stat-
This part applies to air transpor-
ute only if and so long as they comply
tation of property by indirect cargo air
with the provisions of this part and its
carriers, and to persons entering into
conditions, and to the extent necessary
control relationships with indirect
to permit them to organize and arrange
cargo air carriers.
their air freight shipments to provide
§ 296.3 Indirect cargo air carrier. indirect air transportation, except for
the following sections:
An indirect cargo air carrier is any (1) Section 41510(b) (solicitation of re-
U.S. citizen who undertakes to engage bates). However, indirect cargo air car-
indirectly in air transportation of riers are exempt from section 41510(b)
property, and uses for the whole or any to the extent necessary to permit them
part of such transportation the serv- to solicit, accept, or receive fees from
ices of an air carrier or a foreign air direct air carriers.
carrier that directly engages in the op- (2) Section 41702 to the extent re-
eration of aircraft under a certificate, quired to provide safe service, equip-
regulation, order, or permit issued by ment, and facilities in connection with
the Department of Transportation or air transportation.
the Civil Aeronautics Board, or the (3) Section 41310 (nondiscrimination)
services of its agent, or of another indi- with respect to foreign air transpor-
rect cargo air carrier. tation.
[ER–1261, 46 FR 54727, Nov. 4, 1981, as amend- (4) Section 41708 (accounts, records,
ed by Doc. No. 47939, 57 FR 40103, Sept. 2, and reports) and section 41709 (inspec-
1992] tion of accounts and property);
(5) Section 41712 (unfair or deceptive
§ 296.4 Joint loading. practices or method of competition);
Nothing in this part shall preclude (6) Section 40102(b) (form of control);
joint loading, meaning the pooling of and
shipments and their delivery to a di- (7) Section 41711 (inquiry into air car-
rect air carrier for transportation as rier management).
one shipment, under an agreement be- (b)–(c) [Reserved]
tween two or more indirect air carriers (d) Direct air carriers are exempted
or foreign indirect air carriers. from Chapter 415 of the Statute to the

252
§ 296.20 14 CFR Ch. II (1–1–19 Edition)
extent necessary to permit them to 297.24 Notification to the Department of
pay, directly or indirectly, fees to indi- change of operations.
rect cargo air carriers. 297.25 Cancellation or conditioning of reg-
istration.
[ER–1261, 46 FR 54727, Nov. 4, 1981, as amend-
ed by ER–1335, 48 FR 22705, May 20, 1983; ER– Subpart D—General Rules for Foreign
1381, 49 FR 25226, June 20, 1984, 50 FR 31142, Indirect Air Carriers
July 31, 1985; 60 FR 43527, Aug. 22, 1995]
297.30 Public disclosure of cargo liability in-
Subpart C—Violations surance.
297.31 Preparation of airwaybills and mani-
§ 296.20 Enforcement. fests.
In case of any violation of any of the
Subpart E [Reserved]
provisions of the Statute, or of this
part, or any other rule, regulation, or Subpart F—Violations
order issued under the Statute, the vio-
lator may be subject to a proceeding 297.50 Enforcement.
under section 46101 of the Statute be- AUTHORITY: 49 U.S.C. Chapters 401, 417.
fore the Department, or sections 46106
through 46108 of the Statute before a SOURCE: ER–1159, 44 FR 69635, Dec. 4, 1979,
U.S. District Court, as the case may be, unless otherwise noted.
to compel compliance. The violator
may also be subject to civil penalties Subpart A—General
under the provisions of section 46301 of
the Statute, or other lawful sanctions. § 297.1 Purpose.
[ER–1261, 46 FR 54727, Nov. 4, 1981, as amend- This part establishes registration
ed by Doc. No. 47939, 57 FR 40103, Sept. 2, procedures and operating rules for for-
1992; 60 FR 43527, Aug. 22, 1995] eign air carriers that engage indirectly
in interstate or foreign air transpor-
PART 297—FOREIGN AIR FREIGHT tation of property. It relieves these
FORWARDERS AND FOREIGN carriers from certain provisions of Sub-
COOPERATIVE SHIPPERS ASSO- title VII of Title 49 of the United
CIATIONS States Code (Transportation), and es-
tablishes simplified reports for them.
Subpart A—General [ER–1294, 47 FR 19684, May 7, 1982, as amend-
Sec. ed at 60 FR 43527, Aug. 22, 1995]
297.1 Purpose.
297.2 Applicability. § 297.2 Applicability.
297.3 Definitions. This part applies to interstate air
297.4 Joint loading.
297.5 Foreign air freight forwarder as agent. transportation of property and to for-
297.6 Foreign cooperative shippers associa- eign air transportation of property out-
tion as agent. bound from the United States by for-
eign indirect air carriers. It also ap-
Subpart B—Exemption for Foreign Indirect plies to applications for registration as
Air Transportation of Property a foreign indirect air carrier of prop-
297.10 Exemption from the Statute. erty.
297.11 Disclaimer of jurisdiction.
[ER–1294, 47 FR 19684, May 7, 1982, as amend-
297.12 General requirements.
ed at 60 FR 43527, Aug. 22, 1995]
Subpart C—Registration for Foreign Air
§ 297.3 Definitions.
Freight Forwarders and Foreign Coop-
erative Shippers Associations For purpose of this part:
(a) Foreign air freight forwarder means
297.20 Filing for registration.
297.21 Objections to registration applica- a foreign indirect air carrier that is re-
tion. sponsible for the transportation of
297.22 Procedure on receipt of registration property from the point of receipt to
application. point of destination, and utilizes for
297.23 Waiver of sovereign immunity.

253
Office of the Secretary, DOT § 297.11
the whole or any part of such transpor- thorized such agency, if it expressly re-
tation the services of a direct air car- serves the option to do so when the
rier or its agent, of another foreign in- shipment is accepted. A cooperative
direct cargo air carrier as defined in shippers association shall not act as an
part 296 of this chapter. agent of any direct air carrier with re-
(b) Foreign cooperative shippers asso- spect to shipments accepted in its ca-
ciation means a bona fide asociation of pacity as an indirect air carrier.
shippers operating as a foreign indirect
[ER–1235, 46 FR 38496, July 28, 1981]
air carrier on a nonprofit basis that un-
dertakes to ship property by air for the
account of such association or its Subpart B—Exemption for Foreign
members, and utilizes for the whole or Indirect Air Transportation of
any part of such transportation the Property
services of a direct air carrier or its
agent, of a foreign indirect cargo air § 297.10 Exemption from the Statute.
carrier as defined in part 296 of this (a) Foreign indirect air carriers with
chapter. an effective registration under this
(c) Direct air carrier means an air car- part are exempted from the following
rier or foreign air carrier directly en- provisions of the Statute only if and so
gaged in the operation of aircraft under long as they comply with the provi-
a certificate, regulation, order, or per- sions of this part and the conditions
mit issued by the Department of Trans- imposed herein, and to the extent nec-
portation or the Civil Aeronautics essary to permit them to arrange their
Board. air freight shipments:
(d) Foreign indirect air carrier means (1) Section 41302 (Permits);
any person, not a citizen of the United (2) Sections 41504 and 41510(a) (Tar-
States, who undertakes indirectly to iffs);
engage in the air transportation of (3) Section 41510(b) (Solicitation of
property. rebates) to the extent necessary to per-
[ER–1159, 44 FR 69635, Dec. 4, 1979, as amend- mit them to solicit, accept, or receive
ed by ER–1294, 47 FR 19684, May 7, 1982; Doc. fees from direct air carriers;
No. 47939, 57 FR 40103, Sept. 2, 1992] (4) Section 41501 (Carrier’s duty to es-
tablish just and reasonable rates, etc.);
§ 297.4 Joint loading. and
Nothing in this part shall preclude (5) If awarded interstate air transpor-
joint loading, meaning the pooling of tation operating rights, any other pro-
shipments and their delivery to a di- vision of the Statute that would other-
rect air carrier for transportation as wise prohibit them from engaging in
one shipment, under an agreement be- the interstate indirect air transpor-
tween two or more indirect air carriers tation of property.
or foreign indirect air carriers. (6) Section 41310 (nondiscrimination)
with respect to interstate and overseas
§ 297.5 Foreign air freight forwarder air transportation.
as agent. (b) Direct air carriers are exempted
A foreign air freight forwarder may from Chapter 415 of the Statute to the
act as agent of a shipper, or of a direct extent necessary to permit them to
air carrier that has authorized such pay, directly or indirectly, fees to for-
agency, if it expressly reserves the op- eign air freight forwarders and foreign
tion to do so when the shipment is ac- cooperative shippers associations on
cepted. A foreign air freight forwarder consolidated shipments.
shall not act as the agent of any direct [ER–1336, 48 FR 22705, May 20, 1983, as amend-
air carrier with respect to shipments ed by ER–1382, 49 FR 25226, June 20, 1984; Doc.
accepted for forwarding. No. 47939, 57 FR 40103, Sept. 2, 1992; 60 FR
43527, Aug. 22, 1995]
§ 297.6 Foreign cooperative shippers
association as agent. § 297.11 Disclaimer of jurisdiction.
A foreign cooperative shippers asso- The Department declines to exercise
ciation may act as agent of a shipper, its jurisdiction over foreign indirect
or of a direct air carrier that has au- air carriers of property with respect to

254
§ 297.12 14 CFR Ch. II (1–1–19 Edition)
shipments that originate in a foreign shall file their objections with the Of-
country. The Department reserves the fice of Aviation Analysis, Special Au-
right to exercise its jurisdiction over thorities Division, within 28 days of the
any foreign indirect air carrier of prop- filing date of the registration forms.
erty at any time it finds that such ac- The Department will list the names
tion is in the public interest. and nationality of all persons applying
for registration in its Weekly Sum-
§ 297.12 General requirements.
mary of Filings.
(a) The direct air transportation pro-
vided must be performed by direct air [ER–1159, 44 FR 69635, Dec. 4, 1979, as amend-
carriers that hold authority under sec- ed by Doc. No. 47939, 57 FR 40103, Sept. 2,
tion 41102, 41103, 41302, or 41701 of the 1992; 60 FR 43527, Aug. 22, 1995]
Statute or are operating under part 298
§ 297.22 Procedure on receipt of reg-
of this chapter; istration application.
(b) Only U.S. citizen direct air car-
riers may provide direct air transpor- After review of a registration form
tation operations in interstate air filed under § 297.20, the Department will
transportation. take one or more of the following ac-
(c) Foreign indirect air carriers that tions:
hold authority to engage in foreign air (a) Indicate by stamp on OST Form
transportation must apply additionally 4506 the effective date of registration,
for permission to consolidate freight in and return to the carrier the duplicate
interstate air transportation. copy of OST Form 4506 as evidence of
[ER–1294, 47 FR 19684, May 7, 1982, as amend- registration with the Department
ed at 60 FR 43527, Aug. 22, 1995] under this part;
(b) Reject an application for registra-
Subpart C—Registration for For- tion for failure to comply with this
eign Air Freight Forwarders part, for reasons relating to the failure
and Foreign Cooperative of effective reciprocity, or if the De-
Shippers Associations partment finds that it is in the public
interest to do so.
§ 297.20 Filing for registration. (c) Request additional information
(a) Not later than 60 days before the from the applicant;
start of operations as a foreign indirect (d) Issue an order subjecting a car-
air carrier, every foreign air freight rier’s exercise of authority under this
forwarder and foreign cooperative ship- part to such terms, conditions, or limi-
pers association shall apply for reg- tations as may be required by the pub-
istration with the Department, unless lic interest; or
upon a showing of good cause, the Di- (e) Institute a proceeding under sec-
rector, Office of Aviation Analysis, al- tion 41302 of the Statute.
lows application at a later time.
(b) Application shall consist of filing [ER–1159, 44 FR 69635, Dec. 4, 1979, as amend-
with the Department’s Office of Avia- ed by ER–1294, 47 FR 19685, May 7, 1982; Doc.
No. 47939, 57 FR 40103, Sept. 2, 1992; 60 FR
tion Analysis, Special Authorities Di-
43527, Aug. 22, 1995]
vision, two copies of completed OST
Form 4506, which may be obtained from § 297.23 Waiver of sovereign immunity.
the Department of Transportation,
Special Authorities Division. By accepting an approval registra-
tion form under this part, a carrier
[ER–1159, 44 FR 69635, Dec. 4, 1979, as amend-
waives any right it may possess to as-
ed by ER–1265, 46 FR 56602, Nov. 18, 1981; Doc.
No. 47939, 57 FR 40103, Sept. 2, 1992; 60 FR sert any defense of sovereign immunity
43527, Aug. 22, 1995] from suit in any action or proceeding
instituted against the carrier in any
§ 297.21 Objections to registration ap- court or other tribunal in the United
plication. States based upon any claim arising
Persons objecting to registration by out of operations by the carrier under
a foreign air freight forwarder or for- this part.
eign cooperative shippers association

255
Office of the Secretary, DOT § 297.50

§ 297.24 Notification to the Depart- Subpart D—General Rules for

ment of change of operations. Foreign Indirect Air Carriers
(a) Not later than 30 days before any
change in its name or address or any § 297.30 Public disclosure of cargo li-
ability insurance.
temporary or permanent cessation of
operations, each foreign indirect air Every foreign air freight forwarder
carrier shall notify the Department’s shall give notice in writing to the ship-
Office of Aviation Analysis, Special per, when any shipment is accepted, of
Authorities Division, of the change by the limits of its cargo liability insur-
resubmitting OST Form 4506. ance, or of the absence of such insur-
ance, and the limits of its liability, if
(b) The registrant shall apply for an
any. The notice shall be included clear-
amendment of its registration not later
ly and conspicuously on all of its rate
than 30 days after any person listed on
sheets and airwaybills, and on any
its existing registration as owning or other documentation that is given to a
holding beneficial ownership of 10 per- shipper at the time of acceptance of
cent or more of the registrant’s stock the shipment.
no longer has an interest of 10 percent
or more, or after any person not so list- § 297.31 Preparation of airwaybills and
ed becomes an owner or holder of 10 manifests.
percent or more. Application for (a) Each registered foreign indirect
amendment shall be made by resubmit- air carrier shall prepare an accurate
ting OST Form 4506, but the existing airwaybill describing completely all
registration shall remain valid pending services rendered to or on behalf of the
Department action on the amendment. shipper, including the conditions under
which the contract will be completed,
[ER–1159, 44 FR 69635, Dec. 4, 1979, as amend-
in its capacity as a foreign indirect air
ed by Doc. No. 47939, 57 FR 40103, Sept. 2,
1992; 60 FR 43527, Aug. 22, 1995]
carrier. A copy of the airwaybill shall
be given to the consignor and to the
§ 297.25 Cancellation or conditioning consignee.
of registration. (b) Each registered foreign indirect
air carrier shall prepare an accurate
The registration of a foreign indirect manifest showing every individual
air carrier may be canceled or sub- shipment included in each shipment
jected to additional terms, conditions consigned for transportation to a di-
or limitations if: rect air carrier.
(a) It files with the Department a (c) A waiver of paragraph (a) of this
written notice that it is discontinuing section may be granted by the Depart-
foreign indirect air carrier activities; ment upon a written application by the
(b) It fails to perform air transpor- foreign indirect air carrier not less
tation services as authorized; than 30 days before the shipment to
(c) It fails to file the reports required which it relates is transported, if the
by this part; waiver is in the public interest, and is
(d) A substantial ownership or con- warranted by special or unusual cir-
trol interest is acquired by persons who cumstances.
are not citizens of the country of citi-
zenship of the registrant; Subpart E [Reserved]
(e) There is a failure of effective reci-
procity; or Subpart F—Violations
(f) The Department finds that it is in
the public interest to do so. § 297.50 Enforcement.
In case of any violation of any of the
[ER–1159, 44 FR 69635, Dec. 4, 1979, as amend-
provisions of the Statute, or this part,
ed by ER–1294, 47 FR 19685, May 7, 1982]
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

256
Pt. 298 14 CFR Ch. II (1–1–19 Edition)
46108 of the Statute before a U.S. Dis- 298.53 Suspension or revocation of author-
trict Court, as the case may be, to ity.
compel to compliance; or to civil pen-
alties under the provisions of section Subpart F—Reporting Requirements
46301 of the Statute; or in the case of 298.60 General reporting instructions.
willful violation, to criminal penalties 298.61 Reporting of traffic statistics.
under the provisions of section 46316 of 298.62 Reporting of financial data.
the Statute; or other lawful sanctions 298.63 Reporting of aircraft operating ex-
including cancellation of registration. penses and related statistics by small
certificated air carriers.
[ER–1159, 44 FR 69635, Dec. 4, 1979, as amend-
298.65 Requests for extensions of time with-
ed at 60 FR 43527, Aug. 22, 1995]
in which to file reports or for waivers
from reporting requirements.
PART 298—EXEMPTIONS FOR AIR 298.66 Reporting exemption for State collec-
TAXI AND COMMUTER AIR CAR- tion of data.
RIER OPERATIONS
Subpart G—Public Disclosure of Data
Subpart A—General 298.70 Public disclosure of data.
Sec.
298.1 Applicability of part. Subpart H—Violations
298.2 Definitions. 298.80 Enforcement.
298.3 Classification.
298.4 Requests for statement of authority. Subpart I—Violations
Subpart B—Exemptions 298.90 Prohibited unfair or deceptive prac-
tices or unfair methods of competition.
298.11 Exemption authority.
298.92 Enforcement.
298.12 Duration of exemption.
AUTHORITY: 49 U.S.C. 329 and chapters
Subpart C—Registration for Exemption by 41102, 41708, and 41709.
Air Taxi Operators EFFECTIVE DATE NOTE: At 83 FR 46877,
298.21 Filing for registration by air taxi op- Sept. 17, 2018, the authority citation for Part
erators. 298 was revised, effective Feb. 14, 2019. For
298.22 Processing by the Department. the convenience of the user, the revised text
298.23 Notifications to the Department of is set forth as follows:
change in operations. AUTHORITY: 49 U.S.C. 329 and chapters 401,
298.24 Cancellation of the registration. 411, and 417.
SOURCE: ER–929, 40 FR 42855, Sept. 17, 1975,
Subpart D—Limitations and Conditions on unless otherwise noted.
Exemptions and Operations
298.30 Public disclosure of policy on con- Subpart A—General
sumer protection.
298.31 Scope of service and equipment au-
thorized. SOURCE: 70 FR 25768, May 16, 2005.
298.32 Limitations on operations to eligible
places. § 298.1 Applicability of part.
298.33 Security requirements This part establishes classifications
298.34 [Reserved] of air carriers known as ‘‘air taxi oper-
298.35 Limitations on carriage of mail.
298.36 Limitations on use of business name.
ators’’ and ‘‘commuter air carriers,’’
298.37 Prohibition of services not covered by provides certain exemptions to them
insurance. from some of the economic regulatory
298.38 Financial security arrangements for provisions of Subtitle VII of Title 49 of
operating Public Charters. the United States Code (Transpor-
tation), specifies procedures by which
Subpart E—Commuter Air Carrier such air carriers may obtain authority
Authorizations to conduct operations, and establishes
298.50 Applications. rules applicable to their operations in
298.51 Processing by the Department. interstate and/or foreign air transpor-
298.52 Air taxi operations by commuter air tation in all States, Territories and
carriers. possessions of the United States. This

257
Office of the Secretary, DOT § 298.2
part also establishes reporting require- Certificated air carrier means an air
ments for commuter air carriers and carrier holding a certificate issued
small certificated air carriers. under section 41102 of the Statute.
Citizen of the United States means:
§ 298.2 Definitions. (1) An individual who is a citizen of
As used in this part: the United States;
Air taxi operator means an air carrier (2) A partnership each of whose part-
as established by § 298.3(a). ners is an individual who is a citizen of
Air transportation means interstate the United States; or
air transportation, foreign air trans- (3) A corporation or association orga-
portation, or the transportation of nized under the laws of the United
mail by aircraft as defined by the Stat- States or a state, the District of Co-
ute. 1 lumbia, or a territory or possession of
Aircraft-hours means the airborne the United States, of which the presi-
hours of aircraft computed from the dent and at least two-thirds of the
moment an aircraft leaves the ground board of directors and other managing
until it touches the ground at the end officers are citizens of the United
of a flight stage. States, which is under the actual con-
Aircraft miles means the miles (com- trol of citizens of the United States,
puted in airport-to-airport distances) and in which at least 75 percent of the
for each flight stage actually com- voting interest is owned or controlled
pleted, whether or not performed in ac- by persons that are citizens of the
cordance with the scheduled pattern. United States.
Commuter air carrier means an air car-
1 Interstate air transportation is defined in rier as established by § 298.3(b) that car-
section 40102(a)(25) as the transportation of ries passengers on at least five round
passengers or property by aircraft as a com- trips per week on at least one route be-
mon carrier for compensation, or the trans- tween two or more points according to
portation of mail by aircraft (1) between a its published flight schedules that
place in (i) a State, territory, or possession specify the times, days of the week,
of the United States and a place in the Dis-
trict of Columbia or another State, terri-
and places between which those flights
tory, or possession of the United States; (ii) are performed.
Hawaii and another place in Hawaii through Departure means takeoff from an air-
the airspace over a place outside Hawaii; (iii) port.
the District of Columbia and another place Eligible place means a place in the
in the District of Columbia; or (iv) a terri- United States that—
tory or possession of the United States and (1)(i) Was an eligible point under sec-
another place in the same territory or pos- tion 419 of the Federal Aviation Act of
session; and (2) when any part of the trans-
portation is by aircraft. NOTE: Operations
1958 as in effect before October 1, 1988;
wholly within the geographic limits of a sin- (ii) Received scheduled air transpor-
gle State are not considered interstate air tation at any time after January 1,
transportation if in those operations the car- 1990; and
rier transports no more than a de minimis (iii) Is not listed in Department of
volume of passengers or property moving as Transportation Orders 89–9–37 and 89–
part of a continuous journey to or from a 12–52 as a place ineligible for com-
point outside the State. pensation under Subchapter II of Chap-
Foreign air transportation is defined in
section 40102(a)(23) of the Statute as the
ter 417 of the Statute; or
transportation of passengers or property by (2) Was determined, on or after Octo-
aircraft as a common carrier for compensa- ber 1, 1988, and before the date of the
tion, or the transportation of mail by air- enactment of the Wendell H. Ford
craft, between a place in the United States Aviation Investment and Reform Act
and a place outside the United States when for the 21st Century, by the Depart-
any part of the transportation is by aircraft. ment to be eligible to receive sub-
Air transportation also is defined to in- sidized small community air service
clude the transportation of mail by aircraft.
Section 5402 of the Postal Reorganization
under section 41736(a) of the Statute.
Act, 39 U.S.C. 5402, authorizes the carriage of Flight stage means the operation of an
mail by air taxi operators and commuter air aircraft from takeoff to landing.
carriers in some circumstances under con- Large aircraft means any aircraft
tract with the U.S. Postal Service. originally designed to have a maximum

258
§ 298.2 14 CFR Ch. II (1–1–19 Edition)
passenger capacity of more than 60 Mile means a statute mile, i.e., 5,280
seats or a maximum payload capacity feet.
of more than 18,000 pounds. Nonrevenue passenger means a person
Maximum certificated takeoff weight traveling free or under token charges,
means the maximum takeoff weight except those expressly named in the
authorized by the terms of the aircraft definition of revenue passenger; a per-
airworthiness certificate. 2 son traveling at a fare or discount
Maximum passenger capacity means available only to employees or author-
the maximum number of passenger ized persons of air carriers or their
seats for which an aircraft is config- agents or only for travel on the busi-
ured. ness of the carriers; and an infant who
Maximum payload capacity means: (1) does not occupy a seat. (This definition
The maximum certificated take-off is for 14 CFR part 298 traffic-reporting
weight of an aircraft, less the empty purposes and may differ from the defi-
weight,3 less all justifiable aircraft nitions used in other parts by the Fed-
equipment, and less the operating load eral Aviation Administration and the
(consisting of minimum fuel load, oil, Transportation Security Administra-
flight crew, steward’s supplies, etc.). tion for the collection of Passenger Fa-
For purposes of this part, the allow- cility Charges and Security Fees.) The
ance for the weight of the crew, oil, definition includes, but is not limited
and fuel is as follows: to, the following examples of pas-
(i) Crew—200 pounds per crew mem- sengers when traveling free or pursu-
ber required under FAA regulations, ant to token charges:
(ii) Oil—350 pounds, (1) Directors, officers, employees, and
(iii) Fuel—the minimum weight of others authorized by the air carrier op-
fuel required under FAA regulations erating the aircraft;
for a flight between domestic points 200 (2) Directors, officers, employees, and
miles apart, 4 others authorized by the air carrier or
(2) Provided, however, That in the case another carrier traveling pursuant to a
of aircraft for which a maximum zero pass interchange agreement;
fuel weight is prescribed by the FAA, 5 (3) Travel agents being transported
maximum payload capacity means the for the purpose of familiarizing them-
maximum zero fuel weight, less the selves with the carrier’s services;
empty weight, less all justifiable air- (4) Witnesses and attorneys attending
craft equipment, and less the operating any legal investigation in which such
load (consisting of minimum flight carrier is involved;
crew, steward’s supplies, etc., but not (5) Persons injured in aircraft acci-
including disposable fuel or oil). dents, and physicians, nurses, and oth-
ers attending such persons;
2 This weight may be found in the airplane (6) Any persons transported with the
operating record or in the airplane flight object of providing relief in cases of
manual, which is incorporated by regulation general epidemic, natural disaster, or
into the airworthiness certificate. other catastrophe;
3 Empty weight is defined in section 03 of
(7) Any law enforcement official, in-
part 241 as follows: the weight of the air- cluding any person who has the duty of
frame, engines, propellers, and fixed equip- guarding government officials who are
ment. Empty weight excludes the weight of
traveling on official business or trav-
the crew and payload, but includes the
weight of all fixed ballast, unusable fuel sup- eling to or from such duty;
ply, undrainable oil, total quantity of engine (8) Guests of an air carrier on an in-
coolant, and total quantity of hydraulic augural flight or delivery flights of
fluid. newly-acquired or renovated aircraft;
4 Assumes VFR weather conditions and
(9) Security guards who have been as-
flights not involving extended overwater op- signed the duty to guard such aircraft
erations. against unlawful seizure, sabotage, or
5 The maximum zero fuel weight is the
other unlawful interference;
maximum permissible weight of an airplane
with no disposable fuel or oil. The zero fuel (10) Safety inspectors of the National
weight figure may be found in the FAA’s Transportation Safety Board or the
type certificate data sheets, and/or in FAA- FAA in their official duties or trav-
approved flight manuals. eling to or from such duty;

259
Office of the Secretary, DOT § 298.2
(11) Postal employees on duty in one) or loyalty programs (for example,
charge of the mails or traveling to or redemption of frequent flyer points);
from such duty; (2) Passengers traveling on vouchers
(12) Technical representatives of or tickets issued as compensation for
companies that have been engaged in denied boarding or in response to con-
the manufacture, development or test- sumer complaints or claims;
ing of a particular type of aircraft or (3) Passengers traveling at corporate
aircraft equipment, when the transpor- discounts;
tation is provided for the purpose of in- (4) Passengers traveling on pref-
flight observation and subject to appli- erential fares (Government, seamen,
cable FAA regulations; military, youth, student, etc.);
(13) Persons engaged in promoting air (5) Passengers traveling on barter
transportation; tickets; and
(14) Air marshals and other Transpor- (6) Infants traveling on confirmed-
tation Security officials acting in their space tickets.
official capacities and while traveling
Revenue passenger-mile means one rev-
to and from their official duties; and
enue passenger transported one mile.
(15) Other authorized persons, when
Revenue passenger-miles are computed
such transportation is undertaken for
by multiplying the aircraft miles flown
promotional purpose.
on each flight stage by the number of
Passengers carried means passengers
revenue passengers carried on that
on board each flight stage.
flight stage.
Point when used in connection with
any territory or possession of the Revenue seat-miles available means the
United States, or the States of Alaska aircraft-miles flown on each flight
and Hawaii, means any airport or place stage multiplied by the number of
where aircraft may be landed or taken seats available for sale on that flight
off, including the area within a 25-mile stage.
radius of such airport or place; when Revenue ton-mile means one ton of
used in connection with the conti- revenue traffic transported one mile.
nental United States, except Alaska, it Revenue ton-miles are computed by
shall have the same meaning except be multiplying the aircraft-miles flown on
limited to the area within a 3-mile ra- each flight stage by the number of
dius of such airport or place: Provided, pounds of revenue traffic carried on
That for the purposes of this part, West that flight stage and converted to ton-
30th Street Heliport and Pan Am Build- miles by dividing total revenue pound-
ing Heliport, both located in New York miles by 2,000 pounds.
City, shall be regarded as separate Revenue ton-miles available means the
points. aircraft-miles flown on each flight
Reporting carrier for Schedule T–100 stage multiplied by the number of
purposes means the air carrier in oper- pounds of aircraft capacity available
ational control of the flight, i.e., the for use on that stage and converted to
carrier that uses its flight crews under ton-miles by dividing total pound-
its own FAA operating authority. miles available by 2,000 pounds.
Revenue passenger means a passenger Scheduled service means transport
for whose transportation an air carrier service operated over routes pursuant
receives commercial remuneration. to published flight schedules or pursu-
(This definition is for 14 CFR part 298 ant to mail contracts with the U.S.
traffic-reporting purposes and may dif- Postal Service.
fer from the definitions used in other Small aircraft means any aircraft
parts by the Federal Aviation Adminis- originally designed to have a maximum
tration and the Transportation Secu- passenger capacity of 60 seats or less or
rity Administration for the collection a maximum payload capacity of 18,000
of Passenger Facility Charges and Se- pounds or less.
curity Fees.) This includes, but is not Small certificated air carrier means an
limited to, the following examples: air carrier holding a certificate issued
(1) Passengers traveling under pub- under section 41102 of the Statute that
licly available tickets including pro- provides scheduled passenger air serv-
motional offers (for example two-for- ice within and between only the 50

260
§ 298.3 14 CFR Ch. II (1–1–19 Edition)
States of the United States, the Dis- route between two or more points ac-
trict of Columbia, the Commonwealth cording to its published flight sched-
of Puerto Rico, and the U.S. Virgin Is- ules that specify the times, days of the
lands with small aircraft as defined in week, and places between which those
this section. flights are performed;
Statute means Subtitle VII of Title 49 (4) Have and maintain in effect liabil-
of the United States Code (Transpor- ity insurance coverage in compliance
tation). with the requirements set forth in part
Ton means a short ton, i.e., 2,000 205 of this chapter and have and main-
pounds. tain a current certificate of insurance
Wet-Lease Agreement means an agree- evidencing such coverage on file with
ment under which one carrier leases an the Department;
aircraft with flight crew to another air (5) Have and maintain in effect and
carrier. on file with the Department a signed
counterpart of Agreement 18900 (OST
§ 298.3 Classification. Form 4523) and comply with all other
(a) There is hereby established a clas- requirements of part 203 of this chap-
sification of air carriers, designated as ter; and
‘‘air taxi operators,’’ which directly en- (6) Hold a Commuter Air Carrier Au-
gage in the air transportation of per- thorization issued in accordance with
sons or property or mail or in any com- subpart E of this part.
bination of such transportation and (c) A person who does not observe the
which: conditions set forth in paragraph (a) or
(1) Do not directly or indirectly uti- (b) of this section shall not be an air
lize large aircraft in air transportation; taxi operator or commuter air carrier
(2) Do not hold a certificate of public within the meaning of this part with
convenience and necessity and do not respect to any operations conducted
while such conditions are not being ob-
engage in scheduled passenger oper-
served, and during such periods is not
ations as specified in paragraph (b) of
entitled to any of the exemptions set
this section;
forth in this part.
(3) Have and maintain in effect liabil-
ity insurance coverage in compliance § 298.4 Requests for statement of au-
with the requirements set forth in part thority.
205 of this chapter and have and main-
In any instance where an air taxi op-
tain a current certificate of insurance
erator or commuter air carrier is re-
evidencing such coverage on file with
quired by a foreign government to
the Department;
produce evidence of its authority to en-
(4) If operating in foreign air trans-
gage in foreign air transportation
portation or participating in an inter- under the laws of the United States,
line agreement, subscribe to Agree- the Director, Office of Aviation Anal-
ment 18900 (OST Form 4523 or OST ysis (X–50), Office of the Secretary, 1200
Form 4507) and comply with all other New Jersey Avenue, SE., Washington,
requirements of part 203 of this chap- DC 20590, will, upon request, furnish
ter; and the carrier with a written statement,
(5) Have registered with the Depart- outlining its general operating privi-
ment in accordance with subpart C of leges under this part for presentation
this part. to the proper authorities of the foreign
(b) There is hereby established a clas- government.
sification of air carriers, designated as
‘‘commuter air carriers,’’ which di-
rectly engage in the air transportation Subpart B—Exemptions
of persons, property or mail, and
which: SOURCE: 70 FR 25768, May 16, 2005.
(1) Do not directly or indirectly uti-
§ 298.11 Exemption authority.
lize large aircraft in air transportation;
(2) Do not hold a certificate of public Air taxi operators and commuter air
convenience and necessity; carriers are hereby relieved from the
(3) Carry passengers on at least five following provisions of the Statute
round trips per week on at least one only if and so long as they comply with

261
Office of the Secretary, DOT § 298.21
the provisions of this part and the con- continue in effect only until such time
ditions imposed herein, and to the ex- as the Department shall find that en-
tent necessary to permit them to con- forcement of that provision would be in
duct air taxi or commuter air carrier the public interest, at which time the
operations: exemption shall terminate or be condi-
(a) Section 41101; tioned with respect to the person, class
(b) Section 41504; except that the re- of persons, or service (e.g., limited-
quirements of that section shall apply entry foreign air transportation mar-
to: ket) subject to the finding.
(1) Tariffs for through rates, fares,
and charges filed jointly by air taxi op- Subpart C—Registration for
erators or commuter air carriers with Exemption by Air Taxi Operators
air carriers or with foreign air carriers
subject to the tariff-filing require-
ments of Chapter 415; and SOURCE: 70 FR 25768, May 16, 2005.
(2) Tariffs required to be filed by air
§ 298.21 Filing for registration by air
taxi operators or commuter air carriers taxi operators.
which embody the provisions of the
counterpart to Agreement 18900 as (a) Every air taxi operator who plans
specified in part 203 of this chapter; to commence operations under this
(c) Section 41702, except for the re- part shall register with the Depart-
quirements that air taxi operators and ment not later than 30 days prior to
commuter air carriers shall: the commencement of such operations,
(1) Provide safe service, equipment, unless, upon a showing of good cause
and facilities in connection with air satisfactory to the Manager, Program
transportation; Management Branch (AFS–260), Fed-
(2) Provide adequate service insofar eral Aviation Administration, registra-
as that requires them to comply with tion within a lesser period of time is al-
parts 252 and 382 of this chapter; lowed.
(3) Observe and enforce just and rea- (b) The registration of an air taxi op-
sonable joint rates, fares, and charges, erator shall remain in effect until it is
and just and reasonable classifications, amended by the carrier or canceled by
rules, regulations and practices as pro- the Department.
vided in tariffs filed jointly by air taxi (c) Registration by all air taxi opera-
operators or commuter air carriers tors shall be accomplished by filing
with certificated air carriers or with with the Department at the address
foreign air carriers; and specified in paragraph (d) of this sec-
(4) Establish just, reasonable, and eq- tion the following:
uitable divisions of such joint rates, (1) Air Taxi Registration (OST Form
fares, and charges as between air car- 4507), executed in duplicate. 6 This form
riers participating therein which shall shall be certified by a responsible offi-
not unduly prefer or prejudice any of cial and shall include the following in-
such participating air carriers; formation:
(d) Section 41310, except that the re- (i) The name of the carrier and its
quirements of that subsection shall mailing address;
apply to through service provided pur- (ii) The carrier’s principal place of
suant to tariffs filed jointly by air taxi business, if different from its mailing
operators or commuter air carriers address, and its telephone number and
with certificated air carriers or with fax number;
foreign air carriers and to transpor- (iii) The carrier’s FAA certificate
tation of the handicapped to the extent number, if any, and the address and
that that is required by part 382 of this telephone number of the carrier’s local
chapter; FAA office;
(e) Section 41902;
(f) Section 41708. 6 OST Form 4507 can be obtained from the

§ 298.12 Duration of exemption. Manager, Program Management Branch,

Federal Aviation Administration, AFS–260,
The exemption from any provision of or on the World Wide Web at http://
the Statute provided by this part shall www.faa.gov/avr/afs/afs200/afs260/Part298.cfm.

262
§ 298.22 14 CFR Ch. II (1–1–19 Edition)
(iv) The type of service the carrier Aviation Administration, Alaskan Re-
will offer (scheduled passenger, 7 sched- gion Headquarters (AAL–230), 222 West
uled cargo, mail under a U.S. Postal 7th Avenue, Box 14, Anchorage, Alaska
Service contract, on-demand pas- 99513.
senger, on-demand cargo, or other serv-
ice such as air ambulance operations, § 298.22 Processing by the Department.
firefighting or seasonal operations); After examination of the OST Form
(v) A list of the aircraft that the car- 4507 submitted by the carrier, the De-
rier proposes to operate, or, in the case partment will stamp the effective date
of an amendment to the registration, of the registration on the form and re-
the aircraft that it is currently oper- turn the duplicate copy to the carrier
ating in its air taxi operations, and the to confirm that it has registered with
aircraft type, FAA registration number the Department as required by this
and passenger capacity of each air- part. The effective date of the registra-
craft; tion shall not be earlier than the effec-
(vi) For initial registration, the pro- tive date of the insurance policy or
posed date of commencement of air policies named in the certificate of in-
taxi operations; surance filed by the carrier under
(vii) For amendments, whether the § 298.21(c)(2).
carrier has carried passengers in for-
eign air transportation during the pre- § 298.23 Notifications to the Depart-
vious 12 months; ment of change in operations.
(viii) Whether the carrier is a citizen (a) If any of the information con-
of the United States; and tained on its registration changes, an
(ix) A certification that the registra- air taxi operator shall submit an
tion is complete and accurate and that, amendment reflecting the updated in-
if the carrier is engaged in foreign air formation. This amendment shall be
transportation, or participating in an filed no later than 30 days after the
interline agreement, it subscribes to change occurs. There is no filing fee for
the terms of Agreement 18900 (see OST submitting an amendment.
Form 4523). (b) An amendment shall be made by
(2) A certificate of insurance (OST resubmitting OST Form 4507 to the De-
Form 6410) which is currently effective partment of Transportation, Federal
(or in case of initial registration, is to Aviation Administration, Program
become effective), as defined in part 205 Management Branch (AFS–260), 800
of this chapter; Independence Avenue, SW., Wash-
(3) An 8 dollar ($8) registration filing ington, DC 20591. If the air taxi oper-
fee in the form of a check, draft, or ator has a mailing address in the State
postal money order payable to the De- of Alaska, the form shall be mailed to
partment of Transportation. the Department of Transportation,
(d) Registrations required in para- Federal Aviation Administration, Alas-
graph (c) of this section shall be sub- kan Region Headquarters (AAL–230),
mitted to the Department of Transpor- 222 West 7th Avenue, Box 14, Anchor-
tation, Federal Aviation Administra- age, Alaska 99513.
tion, Program Management Branch
(AFS–260), 800 Independence Avenue, § 298.24 Cancellation of the registra-
SW., Washington, DC 20591. For those tion.
air taxi operators that have a mailing The registration of an air taxi oper-
address in the State of Alaska, the reg- ator may be canceled by the Depart-
istrations shall be filed with the De- ment if any of the following occur:
partment of Transportation, Federal (a) The operator ceases its oper-
ations;
7Companies proposing to provide scheduled
(b) The operator’s insurance coverage
passenger service at the level established by changes or lapses;
this Part for commuter air carriers are not
(c) The operator fails to file an
permitted to conduct such operations under
their air taxi registration; such companies amended registration when required by
must first be found fit, willing and able to § 298.23;
operate and be issued a Commuter Air Car- (d) The operator’s Air Carrier Certifi-
rier Authorization by the Department. cate and/or Operations Specifications

263
Office of the Secretary, DOT § 298.36
is revoked by the Federal Aviation Ad- maximum payload capacity of 18,000
ministration; pounds or less.
(e) The operator fails to qualify as a
citizen of the United States; § 298.32 Limitations on operations to
(f) The Department determines that eligible places.
it is otherwise in the public interest to No person shall provide scheduled
do so. passenger service as a commuter air
carrier at an eligible place unless it has
Subpart D—Limitations and Condi- been found by the Department to be fit,
tions on Exemptions and Op- willing, and able to conduct such serv-
erations ice and issued a Commuter Air Carrier
Authorization as provided in subpart E
SOURCE: 70 FR 25768, May 16, 2005. of this part.
§ 298.30 Public disclosure of policy on § 298.33 Security requirements.
consumer protection.
In conducting operations under this
(a) Every air taxi and commuter air part, an air taxi operator or a com-
carrier shall cause to be displayed con-
muter air carrier is required to adhere
tinuously in a conspicuous public place
to all security requirements estab-
at each desk, station and position in
lished by the Department of Transpor-
the United States that is in charge of a
person employed exclusively by it, or tation and the Department of Home-
by it jointly with another person, or by land Security applicable to such oper-
any agent employed by it to sell tick- ations.
ets to passengers, a sign located so as
to be clearly visible and readable to § 298.34 [Reserved]
the traveling public, containing a
§ 298.35 Limitations on carriage of
statement setting forth the air taxi mail.
and commuter air carrier’s policy on
baggage liability and denied boarding An air taxi operator or commuter air
compensation. carrier is not authorized to carry mail
(b) An air taxi or commuter air car- except pursuant to contract with the
rier shall provide a written notice on U.S. Postal Service entered into pursu-
or with a passenger’s ticket concerning ant to section 5402 of the Postal Reor-
baggage liability as provided in § 254.5 ganization Act (39 U.S.C. 5402).
of this chapter. These ticket notices
are required only for passengers whose § 298.36 Limitations on use of business
ticket includes a flight segment that name.
uses large aircraft (more than 60 seats). (a) An air taxi operator or commuter
(c) If the substantive terms of the air carrier in holding out to the public
counter sign and ticket notice required
and in performing its services in air
by this section differ, the terms con-
transportation shall do so only in the
tained in the required ticket notice
name or names in which its air carrier
govern.
certificate is issued pursuant to section
§ 298.31 Scope of service and equip- 44702 of the Statute by the Federal
ment authorized. Aviation Administration, and in which
Nothing in this part shall be con- it is registered with the Department
strued as authorizing the operation of under this part, or in which its Com-
large aircraft in air transportation, muter Air Carrier Authorization is
and the exemption provided by this issued or other trade name is reg-
part to air taxi operators and com- istered.
muter air carriers that register with (b) Slogans shall not be considered
the Department extends only to the di- names for the purposes of this section,
rect operation in air transportation in and their use is not restricted hereby.
accordance with the limitations and (c) Commuter air carriers are subject
conditions of this part of aircraft origi- to the provisions of part 215 of this
nally designed to have a maximum pas- chapter with regard to the use and
senger capacity of 60 seats or less or a change of air carrier names.

264
§ 298.37 14 CFR Ch. II (1–1–19 Edition)
(d) Neither the provisions of this sec- complished by filing with the Depart-
tion nor the grant of a permission here- ment—
under shall preclude Department inter- (1) An application in accordance with
vention or enforcement action should the requirements of parts 201 and 302 of
there be evidence of a significant po- this chapter;
tential for, or of actual, public confu- (2) Data in accordance with part 204
sion. of this chapter to support a determina-
tion by the Department that the per-
§ 298.37 Prohibition of services not son is ‘‘fit, willing, and able’’ to oper-
covered by insurance. ate the proposed commuter service;
An air taxi operator or commuter air and
carrier shall not operate in air trans- (3) A $670 filing fee in the form of a
portation or provide or offer to provide check, draft, or postal money order
air transportation unless there is in ef- payable to the Department of Trans-
fect liability insurance which covers portation.
such transportation and which is evi- (b) An executed original and two true
denced by a current certificate of in- copies of an application for a Com-
surance on file with the Department as muter Air Carrier Authorization shall
required by part 205 of this chapter. be filed with Department of Transpor-
tation Dockets, 1200 New Jersey Ave-
§ 298.38 Financial security arrange- nue, SE., Washington, DC 20590.
ments for operating Public Char-
ters. § 298.51 Processing by the Department.
When an air taxi operator or com- In processing applications filed in ac-
muter air carrier performs a Public cordance with § 298.50, the Department
Charter under part 380 of this chapter, will generally follow the procedures set
either: forth in §§ 302.207 through 302.211 of this
(a) The air taxi operator or com- chapter.
muter air carrier shall meet the bond-
ing or escrow requirements applicable § 298.52 Air taxi operations by com-
to certificated air carriers as set forth muter air carriers.
in § 212.8 of this chapter; or (a) A commuter air carrier that holds
(b) The air taxi operator or com- an effective Commuter Air Carrier Au-
muter air carrier shall ensure that it thorization and otherwise meets the re-
does not receive any payments for the quirements of this part is also author-
charter until after the charter has been ized to conduct air taxi operations
completed. In this case, its contracts (e.g., scheduled cargo, mail under a
with the charter operator and the char- U.S. Postal Service contract, on-de-
ter operator’s depository bank, if any, mand passenger, on-demand cargo, or
shall state that the charter operator or other service such as air ambulance op-
bank, as applicable, shall retain con- erations, firefighting or seasonal oper-
trol of and responsibility for all partic- ations) without having to meet the reg-
ipant funds intended for payment for istration requirements of subpart C of
air transportation until after the char- this part, except as provided in para-
ter has been completed, notwith- graph (b) of this section.
standing any provision of part 380 of (b) Should a commuter air carrier
this chapter. cease conducting all scheduled pas-
senger operations and its Commuter
Subpart E—Commuter Air Carrier Air Carrier Authorization is suspended
pursuant to §§ 298.53 and/or 204.7 of this
Authorizations chapter, it may continue to conduct air
taxi operations provided that the car-
SOURCE: 70 FR 25768, May 16, 2005. rier maintains in effect liability insur-
ance coverage as required for such op-
§ 298.50 Application. erations by part 205 of this chapter and,
(a) Any person desiring to provide air within 10 days of the cessation of
transportation as a commuter air car- scheduled passenger operations, reg-
rier must first obtain a Commuter Air isters as an air taxi operator in accord-
Carrier Authorization. This shall be ac- ance with subpart C of this part; and

265
Office of the Secretary, DOT § 298.61
provided further that the carrier con- ing on a Saturday, Sunday or Federal
tinues to hold authority from the Fed- holiday will become effective on the
eral Aviation Administration to con- next work day.
duct such air taxi operations. (c) Reports required by this section
shall be submitted to the Bureau of
§ 298.53 Suspension or revocation of
authority. Transportation Statistics in a format
specified in accounting and reporting
A Commuter Air Carrier Authoriza- directives issued by the Bureau of
tion may be suspended or revoked if Transportation Statistics’ Director of
any of the following occur: Airline Information.
(a) The operator fails to maintain in-
surance coverage as required by part [ER–1399, 50 FR 19, Jan. 2, 1985, as amended
205 of this chapter for commuter oper- by Doc. No. 47939, 57 FR 40104, Sept. 2, 1992;
ations; 60 FR 66726, Dec. 26, 1995; 67 FR 49231, July 30,
(b) The scheduled passenger author- 2002; 75 FR 41585, July 16, 2010]
ity under the operator’s Air Carrier
Certificate is suspended or revoked by § 298.61 Reporting of traffic statistics.
the Federal Aviation Administration; (a) Each commuter air carrier and
(c) The operator does not commence small certificated air carrier shall file
operations for which it has been found Schedule T–100, AU.S. Air Carrier Traf-
fit, or the operator ceases those oper- fic and Capacity Data by Nonstop Seg-
ations as provided in § 204.7 of this ment and On-Flight Market.’’
chapter; (b) Schedule T–100 shall be filed
(d) The Department finds that the monthly as set forth in ‘‘298.60.
carrier is not fit, willing, and able to (1) Schedule T–100 collects summa-
conduct scheduled service or fails to rized flight stage data and on-flight
qualify as a citizen of the United market data from revenue flights. All
States; or traffic statistics shall be compiled in
(e) The Department determines that terms of each flight stage as actually
it is otherwise in the public interest to performed. The detail T–100 data shall
do so.
be maintained in such a manner as to
permit monthly summarization and or-
Subpart F—Reporting ganization into two basic groupings.
Requirements The first grouping, the nonstop seg-
ment information, is to be summarized
§ 298.60 General reporting instruc-
tions. by equipment type, within class of
service, within pair-of-points, without
(a) Each commuter air carrier and regard to individual flight number. The
each small certificated air carrier shall second grouping requires that the
file with the Department’s Bureau of enplanement/deplanement information
Transportation Statistics (BTS) the be broken out into separate units
applicable schedules of BTS Form 298- called on-flight market records, which
C, A Report of Financial and Operating shall be summarized by class of service,
Statistics for Small Aircraft Operators’
within pair-of-points, without regard
and Schedule T–100, AU.S. Air Carrier
for equipment type or flight number.
Traffic and Capacity Data by Nonstop
Segment and On-Flight Market’’ as re- (2) Joint-service operations. The De-
quired by this section. partment may authorize joint service
(b) A single copy of the BTS Form 298- operations between two direct air car-
C report shall be filed quarterly with the riers. Examples of these joint-service
Office of Airline Information (OAI) for the operations are: blocked-space agree-
periods ended March 31, June 30, ments; part-charter agreements; code-
September 30 and December 31 of each sharing agreements; wet-lease agree-
year to be received on or before May 10, ments, and similar arrangements.
August 10, November 10, and February (i) Joint-service operations are re-
10, respectively. An elec- tronic filing of ported by the carrier in operational
the monthly Schedule T–100 is due at control of the flight, i.e., the carrier
OAI within 30 days after the end of that uses its flight crews under its own
each month. Due dates fall- FAA operating authority. The traffic

266
§ 298.61 14 CFR Ch. II (1–1–19 Edition)
moving under these agreements is re- Com-
ported on Schedule T–100 the same way Code Description Seg-
ment
Mar-
ket
puted
by
as any other traffic on the aircraft. DOT
(ii) If there are questions about re- Carrier, carrier entity code ........ S M
porting a joint-service operation, con- Reporting period date ............... S M
tact the BTS Assistant Director—Air- Origin airport code .................... S M
Destination airport code ........... S M
line Information (fax no. 202 366–3383, Service class code ................... S M
telephone no. 202 366–4373). Joint-serv- Aircraft type code ..................... S
ice operations are reported in Schedule 110 Revenue passengers enplaned M
130 Revenue passengers trans- S
T–100 in accordance with this para- ported.
graph (b). 140 Revenue passenger-miles ........ CFD*
210 Revenue cargo tons enplaned
(iii) Operational control. The air car- 217 Enplaned freight ....................... M
CFD*

rier in operational control of the air- 219 Enplaned mail ........................... M

craft (the carrier that uses its flight 230 Revenue tons transported ........ CFD*
237 Transported freight ................... S
crews under its own FAA operating au- 239 Transported mail ....................... S
thority) must report joint-service oper- 240 Revenue ton-miles .................... CFD*
ations. 241 Revenue ton-miles passenger .. CFD*
247 Revenue ton-miles freight ........ CFD*
(c) Service classes. (1) The statistical 249 Revenue ton-miles mail ............ CFD*
classifications are designed to reflect 270 Available capacity payload ....... S
the operating characteristics attrib- 280 Available ton-miles ................... CFD*
310 Available seats, total ................ S
utable to each distinctive type of serv- 320 Available seat-miles .................. CFD*
ice offered. The combination of sched- 410 Revenue aircraft miles flown .... CFD*
uled and nonscheduled operations with 430 Revenue aircraft miles sched- CFD*
uled.
passenger, all-cargo, and military serv- 501 Inter-airport distance ................. CFD*
ices are placed into service classes as 510 Revenue aircraft departures S
follows: performed.
520 Revenue aircraft departures S
scheduled.
Code Type of Service
610 Revenue aircraft hours (air- S
borne).
F .............. Scheduled Passenger/Cargo
630 Aircraft hours (ramp-to-ramp) ... S
G .............. Scheduled All-Cargo
650 Total aircraft hours (airborne) ... S
L ............... Nonscheduled Civilian Passenger/Cargo
P .............. Nonscheduled Civilian Cargo *CFD = Computed by DOT from detail Schedule T–100 and
T–100(f) data.
N .............. Nonscheduled Military Passenger/Cargo
R .............. Nonscheduled Military Cargo (2) [Reserved]
(e) These reported items are further
(2) Scheduled services include traffic described as follows:
and capacity elements applicable to air (1) Reporting period date. The year and
transportation provided pursuant to month to which the reported data are
published schedules and extra sections applicable.
of scheduled flights. Scheduled Pas- (2) Carrier, Carrier entity code. Each
senger/Cargo (Service Class F) is a air carrier shall report its name and
composite of first class, coach, and entity code (a five digit code assigned
mixed passenger/cargo service. by BTS that identifies both the carrier
(3) Nonscheduled services include all and its entity) for its particular oper-
traffic and capacity elements applica- ations. The Office of Airline Informa-
ble to the performance of nonscheduled tion (OAI) will assign or confirm codes
aircraft charters, and other air trans- upon request; OAI’s address is Office of
portation services not constituting an Airline Information, BTS, DOT, K–14,
integral part of services performed pur- 1200 New Jersey Avenue, SE., Wash-
ington, DC 20590–0001.
suant to published flight schedules.
(3) Service class code. The service class
(d) Air transport traffic and capacity
codes are prescribed in section 298.61(c).
elements. (1) Within each of the service In general, classes are divided into two
classifications, carriers shall report air broad categories, either scheduled or
transport traffic and capacity ele- nonscheduled, where scheduled = F + G
ments. The elements are reported on and nonscheduled = L + N + P + R.
segment or market records as follows: (4) Record type code. This code indi-
cates whether the data pertain to non-

267
Office of the Secretary, DOT § 298.61
stop segment (record type S) or on- ported. This element is the sum of the
flight market (record type M). following elements: 231 Passengers
(5) Aircraft type code. This code rep- transported-total, 237 Freight, and 239
resents the aircraft types, as described Mail.
in the BTS’ Accounting and Reporting (14) 237 Transported freight. The total
Directives. weight of freight transported over a
(6) Origin, Destination airport code(s). single flight stage, including freight al-
These codes represent the industry des- ready on the aircraft from a previous
ignators. An industry source of these flight stage.
industry designator codes is the Offi- (15) 239 Transported mail. The total
cial Airline Guide (OAG). OAI assigns
weight of mail transported over a sin-
codes upon request if not listed in the
gle flight stage, including mail already
OAG.
on the aircraft from a previous flight
(7) 110 Revenue passengers enplaned.
stage.
The total number of revenue pas-
sengers enplaned at the origin point of (16) 240 Revenue ton-miles—total. Ton-
a flight, boarding the flight for the miles are computed by multiplying the
first time; an unduplicated count of revenue aircraft miles flown (410) on
passengers in a market. Under the T– each flight stage by the number of tons
100 system of reporting, these enplaned transported on that stage. This ele-
passengers are the sum of the pas- ment is the sum of 241 through 249.
sengers in the individual on-flight mar- (17) 241 Revenue ton-miles—passenger.
kets. In the domestic entity, report Equals the number of passengers times
only the total revenue passengers en- 200, times inter-airport distance, di-
planed in item 110. vided by 2000. A standard weight of 200
(8) 130 Revenue passengers transported. pounds per passenger, including bag-
The total number of revenue pas- gage, is used for all operations and
sengers transported over a single flight service classes.
stage, including those already on the (18) 247 Revenue ton-miles—freight.
aircraft from a previous flight stage. In Equals the volume of freight in whole
the domestic entity, report only the tons times the inter-airport distance.
total revenue passengers transported in (19) 249 Revenue ton-miles—mail.
item 130. Equals the volume of mail in whole
(9) 140 Revenue passenger-miles. Com- tons times the inter-airport distance.
puted by multiplying the inter-airport (20) 270 Available capacity-payload.
distance of each flight stage by the The available capacity is collected in
number of passengers transported on pounds. This figure shall reflect the
that flight stage. payload or total available capacity for
(10) 210 Revenue cargo tons enplaned. passengers, mail, and freight applicable
The total number of cargo tons en- to the aircraft with which each flight
planed. This data element is a sum of
stage is performed.
the individual on-flight market figures
for each of the following categories: 217 (21) 280 Available ton-miles. The air-
Freight and 219 Mail. This element rep- craft miles flown on each flight stage
resents an unduplicated count of the multiplied by the available capacity on
revenue traffic in a market. the aircraft in tons.
(11) 217 Enplaned freight. The total (22) 310 Available seats. The number of
weight of revenue freight enplaned at seats available for sale. This figure re-
the origin point of a flight, loaded onto flects the actual number of seats avail-
the flight for the first time; an able, excluding those blocked for safety
unduplicated count of freight in a mar- or operational reasons. In the domestic
ket. entity, report the total available seats
(12) 219 Enplaned mail. The total in item 130. Scheduled and non-
weight of mail enplaned at the origin scheduled available seats are reported
point of a flight, loaded onto the flight in item 130.
for the first time; an unduplicated (23) 320 Available seat-miles. The air-
count of mail in a market. craft miles flown on each flight stage
(13) 230 Revenue tons transported. The multiplied by the seat capacity avail-
number of tons of revenue traffic trans- able for sale.

268
§ 298.62 14 CFR Ch. II (1–1–19 Edition)
(24) 410 Revenue aircraft miles flown. tory or possession to a place in any
Revenue aircraft miles flown are com- State of the United States, the District
puted based on the airport pairs be- of Columbia, the Commonwealth of
tween which service is actually per- Puerto Rico and the Virgin Islands, or
formed; miles are generated from the a U.S. territory or possession.
data for scheduled aircraft departures
[Doc. No. OST–98–4043, 67 FR 49231, July 30,
(Code 520) times the inter-airport dis- 2002, as amended by Doc. No. OST–2006–26053,
tances (Code 501). 75 FR 41585, July 16, 2010]
(25) 430 Revenue aircraft miles sched-
uled. The number of revenue aircraft § 298.62 Reporting of financial data.
miles scheduled. All such data shall be
maintained in conformity with the air- (a) Each commuter air carrier and
port pairs between which service is each small certificated air carrier shall
scheduled, whether or not in accord- file BTS Form 298–C, Schedule F–1
ance with actual performance. ‘‘Report of Financial Data.’’ This re-
(26) 501 Inter-airport distance. The port shall be filed quarterly as set
great circle distance, in official statute forth in § 298.60 of this part.
miles as prescribed in part 247 of this (b) Each carrier shall indicate in the
chapter, between airports served by space provided, its full corporate name
each flight stage. Official inter-airport and the quarter for which the report is
mileage may be obtained from the Of- filed.
fice of Airline Information. (c) This schedule shall be used to re-
(27) 510 Revenue aircraft departures port financial data for the overall or
performed. The number of revenue air- system operations of the carrier. At
craft departures performed. the option of the carrier, the data may
(28) 520 Revenue aircraft departures be reported in whole dollars by drop-
scheduled. The number of revenue air- ping the cents. Financial data shall be
craft departures scheduled, whether or reported in the following categories:
not actually performed. (1) Line 1 ‘‘Total Operating Reve-
(29) 610 Revenue aircraft hours (air- nues’’ shall include gross revenues ac-
borne). The elapsed time, computed cruing from services ordinarily associ-
from the moment the aircraft leaves ated with air transportation and air
the ground until its next landing. transportation-related services. This
(30) 630 Aircraft hours (ramp-to-ramp). category shall include revenue derived
The elapsed time, computed from the from scheduled service operations, rev-
moment the aircraft first moves under enue derived from nonscheduled service
its own power from the boarding ramp operations, amounts of compensation
at one airport to the time it comes to paid to the carrier under section 41732
rest at the ramp for the next point of of the Statute and other transport-re-
landing. This data element is also re- lated revenue such as in-flight sales,
ferred to as ‘block’ and ‘block-to-block’ restaurant and food service (ground),
aircraft hours. rental of property or equipment, lim-
(31) 650 Total aircraft hours (airborne). ousine service, cargo pick-up and deliv-
The elapsed time, computed from the ery charges, and fixed-base operations
moment the aircraft leaves the ground involving the selling or servicing of
until it touches down at the next land- aircraft, flying instructions, charter
ing. This includes flight training, test- flights, etc.
ing, and ferry flights. (2) Line 2 ‘‘Total Operating Ex-
(f) Public availability of Schedule T–100 penses’’ shall include expenses of a
data. Detailed domestic on-flight mar- character usually and ordinarily in-
ket and nonstop segment data in curred in the performance of air
Schedule T–100, except military data, transporation and air transportation
shall be publicly available after proc- services. This category shall include
essing. Domestic data are defined as expenses incurred: directly in the in-
data from air transportation oper- flight operation of aircraft; in the hold-
ations from a place in any State of the ing of aircraft and aircraft personnel in
United States, the District of Colum- readiness for assignment to an in-flight
bia, the Commonwealth of Puerto Rico status; on the ground in controlling
and the Virgin Islands, or a U.S. terri- and protecting the in-flight movement

269
Office of the Secretary, DOT § 298.63
of aircraft; landing, handling or serv- (b) Each carrier shall indicate in the
icing aircraft on the ground; selling space provided its full corporate name
transportation; servicing and handling and the quarter for which the report is
traffic; promoting the development of filed.
traffic; and administering operations (c) This schedule shall show the di-
generally. This category shall also in- rect and indirect expenses incurred in
clude expenses which are specifically aircraft operations. Direct expense
identifiable with the repair and upkeep data applicable to each aircraft type
of property and equipment used in the operated by the carrier shall be re-
performance of air transportation, all ported in separate columns of this
depreciation and amortization ex- schedule. Each aircraft type reported
penses applicable to property and shall be identified at the head of each
equipment used in providing air trans- column in the space provided for ‘‘Air-
portation services, all expenses associ- craft Type.’’ ‘‘Aircraft Type’’ refers to
ated with the transport-related reve- aircraft models such as Beech–18, Piper
nues included on line 1 of this schedule, PA–32, etc. Aircraft Type designations
and all other expenses not specifically are prescribed in the Accounting and
mentioned which are related to trans- Reporting Directives, which is available
port operations. Interest expense and from the BTS’ Office of Airline Infor-
other nonoperating expenses attrib- mation. In the space provided for ‘‘Air-
utable to financing or other activities craft Code’’ carriers shall insert the
which are extraneous to and not an in- three digit code prescribed in the Ac-
tegral part of air transportation or its counting and Reporting Directives for the
incidental services shall not be in- reported aircraft type. (NOTE: Aircraft
cluded in this category. of the same type but different cabin
(3) Line 3 ‘‘Net Income or (Loss)’’ configuration may be grouped into a
shall reflect all operating and nonop- single classification; therefore, carriers
erating items of profit and loss recog- are not required to report the fourth
nized during the period except for prior digit of an aircraft code indicating
period adjustments. cabin configuration.)
(d) Line 1 Direct aircraft operating
(4) Line 4 ‘‘Passenger Revenues-
expenses shall be reported in the fol-
Scheduled Service’’ shall include rev-
lowing categories:
enue generated from the transpor-
(1) Line 2 ‘‘Flying Operations (Less
tation of passengers between pairs of
Rental)’’ shall be subdivided as follows:
points which are served on a regularly
(i) Line 3 ‘‘Pilot and Copilot’’ expense
scheduled basis. shall include pilots’ and copilots’ sala-
(d) Data reported on this schedule ries, and related employee benefits,
shall be withheld from public release pensions, payroll taxes and personnel
for a period of 3 years after the close of expenses.
the calendar quarter to which the re- (ii) Line 4 ‘‘Aircraft Fuel and Oil’’ ex-
port relates. pense shall include the cost of fuel and
[ER–1399, 50 FR 20, Jan. 2, 1985, as amended oil used in flight operations and non-
by 53 FR 48528, Dec. 1, 1988; 60 FR 43528, Aug. refundable aircraft fuel and oil taxes.
22, 1995; 60 FR 66726, Dec. 26, 1995; 67 FR 49234, (iii) Line 5 ‘‘Other’’ expenses shall in-
July 30, 2002] clude general (hull) insurance, and all
other expenses incurred in the in-flight
§ 298.63 Reporting of aircraft oper- operation of aircraft and holding of air-
ating expenses and related statis- craft and aircraft operational per-
tics by small certificated air car- sonnel in readiness for assignment to
riers.
an in-flight status, which are not pro-
(a) Each small certificated air carrier vided for otherwise on this schedule.
shall file BTS Form 298–C, Schedule F– (2) Line 6 ‘‘Total Flying Operations
2 ‘‘Report of Aircraft Operating Ex- (Less Rentals)’’ shall equal the sum of
penses and Related Statistics.’’ This lines 3, 4 and 5.
schedule shall be filed quarterly as pre- (3) Line 7 ‘‘Maintenance-Flight
scribed in § 298.60. Data reported on this Equipment’’ shall include the cost of
report shall be for the overall or sys- labor, material and related overhead
tem operations of the air carrier. expended by the carrier to maintain

270
§ 298.65 14 CFR Ch. II (1–1–19 Edition)
flight equipment, general services pur- (h) Line 17 ‘‘Total Gallons of Fuel
chased for flight equipment mainte- Issued’’ shall include the gallons of fuel
nance from associated or other outside used in flight operations related to fuel
companies, and provisions for flight cost reported in total and by aircraft
equipment overhauls. type on Line 4.
(4) Line 8 ‘‘Depreciation and Rental- [ER–1399, 50 FR 20, Jan. 2, 1985, as amended
Flight Equipment’’ expense shall in- by Doc. No. 47939, 57 FR 40104, Sept. 2, 1992;
clude depreciation of flight equipment, 60 FR 66726, Dec. 26, 1995; 67 FR 49234, July 30,
amortization of capitalized leases for 2002]
flight equipment, provision for obsoles-
cence and deterioration of spare parts, § 298.65 Requests for extensions of
and rental expense of flight equipment. time within which to file reports or
for waivers from reporting require-
(5) Line 9 ‘‘Total Direct Expense’’ ments.
shall equal the sum of lines 6, 7 and 8.
(a) If circumstances prevent the fil-
(e) Line 10 Indirect aircraft operating
ing of BTS Form 298–C on or before the
expenses shall be reported only in total
due date, a written request for an ex-
for all aircraft types and shall be seg- tension may be submitted. Except in
regated according to the following cat- cases of emergency, the request must
egories: be delivered to the BTS’s Office of Air-
(1) Line 11 ‘‘Flight Attendant Ex- line Information in writing at least
pense’’ shall include flight attendants’ three days in advance of the due date.
salaries, and related employee benefits, The request must state good and suffi-
pensions, payroll taxes and personnel cient reason to justify the granting of
expenses. the extension and the date when the re-
(2) Line 12 ‘‘Traffic Related Expense’’ ports can be filed. If the request is de-
shall include traffic solicitor salaries, nied, the air carrier remains subject to
traffic commissions, passenger food ex- the filing requirements to the same ex-
pense, traffic liability insurance, ad- tent as if no request for extension of
vertising and other promotion and pub- time had been made.
licity expenses, and the fringe benefit (b) The Office of Airline Information
expenses related to all salaries in this may waive any reporting requirements
classification. contained in §§ 298.61, 298.62, 298.63 and
(3) Line 13 ‘‘Departure Related (Sta- 298.64 of this part, upon its own initia-
tion) Expense’’ shall include aircraft tive or upon written request from any
and traffic handling salaries, landing air carrier if the waiver is in the public
fees, clearance, customs and duties, re- interest and the request demonstrates
lated fringe benefit expenses and main- that:
tenance and depreciation on ground (1) Unusual circumstances warrant
property and equipment. such a departure;
(4) Line 14 ‘‘Capacity Related Ex- (2) A specifically defined alternative
pense’’ shall include salaries and fringe procedure or technique will result in a
benefits for general management per- substantially equivalent or more accu-
sonnel, recordkeeping and statistical rate portrayal; and
personnel, lawyers and law clerks, and (3) The application of the alternative
purchasing personnel; legal fees and ex- procedure will maintain or improve
penses; stationery; printing; uniformity in reporting between air
uncollectible accounts; insurance pur- carriers.
chased-general; memberships; cor-
[ER–1399, 50 FR 21, Jan. 2, 1985, as amended
porate and fiscal expenses; and all by Doc. No. 47939, 57 FR 40104, Sept. 2, 1992;
other expenses which cannot be identi- 60 FR 66726, Dec. 26, 1995]
fied or allocated to some other specifi-
cally identified indirect cost category. § 298.66 Reporting exemption for State
(f) Line 15 ‘‘Total Indirect Expense’’ collection of data.
shall equal the sum of lines 11, 12, 13 (a) The Office of Airline Information
and 14. may exempt a commuter air carrier
(g) Line 16 ‘‘Total Operating Ex- from the reporting requirements of
pense’’ shall equal the sum of lines 9 § 298.61 of this part if a State govern-
and 15. ment collects the information specified

271
Office of the Secretary, DOT § 298.80
in that section and provides it to the lease for a period of 3 years after the
Department by the dates specified. The close of the calendar quarter to which
data provided to the Department in the report relates.
this manner must be at least as reli- (d) The Department may release non-
able as if they were collected by the stop segment and on-flight market de-
Department directly. tail data by carrier or individual
(b) The Office of Airline Information Schedule F–1 ‘‘Report of Financial
will provide assistance to any State Data’’ before the end of the confiden-
agency interested in participating in
tiality period as follows:
this exemption program.
(1) To foreign governments as pro-
[ER–1399, 50 FR 21, Jan. 2, 1985, as amended vided in reciprocal arrangements be-
by Doc. No. 47939, 57 FR 40104, Sept. 2, 1992; tween the foreign country and the U.S.
60 FR 66726, Dec. 26, 1995]
Government for exchange of on-flight
market and/or nonstop segment data
Subpart G—Public Disclosure of submitted by air carriers of that for-
Data eign country and U.S. carriers serving
§ 298.70 Public disclosure of data. that foreign country.
(2) To parties to any proceeding be-
(a) Detailed domestic on-flight mar- fore the Department under Title IV of
ket data and nonstop segment data ex-
the Federal Aviation Act of 1958, as
cept military data shall be made pub-
licly available after processing. Domes- amended, as required by an Adminis-
tic data are defined as data from air trative Law Judge or other decision-
transportation operations from a place maker of the Department. Parties may
in any State of the United States, the designate agents or consultants to re-
District of Columbia, the Common- ceive the data in their behalf, provided
wealth of Puerto Rico and the Virgin the agents or consultants agree to
Islands, or a U.S. territory or posses- abide by the disclosure restrictions.
sion to a place in any State of the Any data to which access is granted
United States, the District of Colum- pursuant to this provision may be in-
bia, the Commonwealth of Puerto Rico troduced into evidence, subject to the
and the Virgin Islands, or a U.S. terri- normal rules of admissibility.
tory or possession. Domestic military (3) To agencies or other components
operations are reported under service of the U.S. Government for their inter-
codes N or R. nal use only.
(b) Detailed international on-flight
market and nonstop segment data in [Doc. No. OST–98–4043, 67 FR 49234, July 30,
Schedule T–100 and Schedule T–100(f) 2002]
reports, except military data, shall be
publicly available immediately fol- Subpart H—Violations
lowing the Department’s determina-
tion that the database is complete, but § 298.80 Enforcement.
no earlier than six months after the
In case of any violation of the provi-
date of the data. Military operations
sions of the Statute, or this part, or
are reported under service codes N or
R. Data for on-flight markets and non- any other rule, regulation, or order
stop segments involving no U.S. points issued under the Statute, the violator
shall not be made publicly available for may be subject to a proceeding pursu-
three years. Industry and carrier sum- ant to section 46101 of the Statute be-
mary data may be made public before fore the Department, or sections 46106
the end of six months or the end of through 46108 of the Statute before a
three years, as applicable, provided U.S. District Court, as the case may be,
there are three or more carriers in the to compel compliance therewith; or to
summary data disclosed. The Depart- civil penalties pursuant to the provi-
ment may, at any time, publish inter- sions of section 46301 of the Statute; or,
national summary statistics without in the case of a willful violation, to
carrier detail. criminal penalties pursuant to the pro-
(c) Schedule F–1 ‘‘Report of Financial visions of section 46316 of the Statute;
Data’’ shall be withheld from public re-

272
§ 298.80, Nt. 14 CFR Ch. II (1–1–19 Edition)
or other lawful sanctions including rev- cluding fuel, landing fees, and aircraft park-
ocation of operating authority. ing or hangar fees for which the charterer
will be responsible for paying directly.
[ER–929, 40 FR 42855, Sept. 17, 1975, as amend- (b) If any of the information in paragraph
ed at 60 FR 43528, Aug. 22, 1995] (a) of this section that is required to be dis-
closed to the charterer or requested by the
EFFECTIVE DATE NOTE: At 83 FR 46877,
charterer to be disclosed is not known at the
Sept. 17, 2018, § 298.80 was revised, effective
time the contract is entered into or changes
Feb. 14, 2019. For the convenience of the user,
thereafter, air taxi operators and commuter
the revised text is set forth as follows:
air carriers must provide the information to
§ 298.80 Disclosures. the charterer within a reasonable time after
such information becomes available to the
(a) Before entering a contract for a specific
air taxi operator or commuter air carrier,
flight or series of flights with charterers, air such that the charterer has enough time to
taxi operators and commuter air carriers make an informed decision as to whether to
must disclose to the charterer the informa- accept the additional information or accept
tion in paragraphs (a)(1) and (2) of this sec- the change.
tion. Before entering a contract for a specific (c) If the information in paragraph (a) of
flight or series of flights with charterers, air this section that is required to be disclosed
taxi operators and commuter air carriers to the charterer or requested by the
must, upon request of the charterer, disclose charterer to be disclosed is not provided to
to the charterer the information in para- the charterer within a reasonable time after
graphs (a)(3), (4), and (5) of this section. The such information becomes available to the
disclosures may be accomplished through air taxi operator or commuter air carrier, air
electronic transmissions. taxi operators and commuter air carriers
(1) That the flight will be performed by an- must provide the charterer with the oppor-
other direct air carrier or direct foreign air tunity to cancel the contract for air trans-
carrier if that is the case. The corporate portation, including any services in connec-
name of the direct air carrier or direct for- tion with such contract, and receive a full
eign air carrier in operational control of the refund of any monies paid for the charter air
aircraft on which the air transportation is to transportation and services.
be performed and any other names in which (d) Except in exigent circumstances par-
that direct carrier holds itself out to the ticular to a passenger, air taxi operators and
public. commuter air carriers must disclose prior to
(2) If the flight is to be performed by an- the start of the air transportation the infor-
other direct air carrier or direct foreign air mation in paragraph (a) of this section that
carrier, the capacity in which the air taxi is required or requested to be disclosed.
operator or commuter air carrier is acting in (e) If the information in paragraph (a) of
contracting for the air transportation, i.e., as this section that is required to be disclosed
a principal, as an agent of the charterer, or to the charterer or requested by the
as an agent of the direct air carrier that will charterer to be disclosed changes after the
be in operational control of the flight. air transportation covered by the contract
(3) If the flight is to be performed by an- has begun, air taxi operators and commuter
other direct air carrier or foreign direct air air carriers must provide information re-
carrier and the air taxi operator or com- garding any such changes to the charterer
muter air carrier is acting as the agent of within a reasonable time after such informa-
the charterer, the air taxi operator or com- tion becomes available to the air taxi oper-
muter air carrier must disclose the existence ator or commuter air carrier.
of any corporate or business relationship, in- (f) If the changes in information described
cluding a preexisting contract, between the in paragraph (e) of this section are not pro-
air taxi operator or commuter air carrier vided to the charterer within a reasonable
and the direct carrier that will be in oper- time after becoming available to the air taxi
ational control of the flight that may have a operator or commuter air carrier, air taxi
bearing on the air taxi operator’s or com- operators and commuter air carriers must
muter air carrier’s selection of the direct provide the charterer with the opportunity
carrier that will be in operational control of to cancel the remaining portion of the con-
the flight. tract for charter air transportation, includ-
(4) The total cost of the air transportation ing any services paid for in connection with
paid by the charterer to or through the air such contract, and receive a full refund of
taxi operator or commuter air carrier, in- any monies paid for the charter air transpor-
cluding any carrier-imposed fees or govern- tation and services not yet provided.
ment-imposed taxes and fees. Specific indi-
vidual fees, taxes, or costs may, but are not
required to be itemized. Subpart I—Violations
(5) The existence of any fees and their
amounts collected by third parties, if known SOURCE: 83 FR 46877, Sept. 17, 2018, unless
(or a good faith estimate if not known), in- otherwise noted.

273
Office of the Secretary, DOT § 298.92
EFFECTIVE DATE NOTE: At 83 FR 46877, for a flight meets a standard set by an
Sept. 17, 2018, Subpart I was added, effective auditing organization.
Feb. 14, 2019. (8) Representing that a contract for a
§ 298.90 Prohibited unfair or deceptive specified direct air carrier, aircraft,
practices or unfair methods of com- flight, or time has been arranged with-
petition. out a binding commitment with a di-
rect air carrier for the furnishing of
(a) Violations of this Part shall be
such transportation as represented.
considered to constitute unfair or de-
(9) Selling or contracting for air
ceptive practices or unfair methods of
competition in violation of 49 U.S.C. transportation while knowing or hav-
41712. ing reason to know or believe that such
(b) In addition to paragraph (a) of air transportation cannot be legally
this section, the following enumerated performed by the direct air carrier or
practices, among others, by an air taxi foreign direct air carrier that is to per-
operator or commuter air carrier are form the air transportation.
unfair or deceptive practices or unfair (10) Misrepresentations as to the re-
methods of competition in violation of quirements that must be met by
49 U.S.C. 41712: charterers in order to qualify for char-
(1) Misrepresentations that may in- ter flights.
duce members of the public to reason- (11) Using or displaying or permitting
ably believe that the air taxi operator or suffering to be used or displayed the
or commuter air carrier will be, or is, name, tradename, slogan or any abbre-
in operational control of a flight when viation thereof, of an air charter
that is not the case. broker in advertisements, on or in
(2) Misrepresentations as to the qual- places of business, or on or in aircraft
ity or kind of service or type of air- or any other place in connection with
craft. the name of the air taxi or commuter
(3) Misrepresentations as to the time air carrier in such manner that it may
of departure or arrival, points served, mislead or confuse potential consumers
route to be flown, stops to be made, or with respect to the status of the air
total trip-time from point of departure charter broker.
to destination.
§ 298.92 Enforcement.
(4) Misrepresentations as to the
qualifications of pilots or safety record In case of any violation of the provi-
or certification of pilots, aircraft, or sions of the Statute, or this part, or
air carriers. any other rule, regulation, or order
(5) Misrepresentations that pas- issued under the Statute, the violator
sengers are directly insured when they may be subject to a proceeding pursu-
are not so insured. For example, where ant to section 46101 of the Statute be-
the only insurance in force is that pro- fore the Department, or sections 46106
tecting the air taxi operator or com- through 46108 of the Statute before a
muter air carrier in the event of liabil- U.S. District Court, as the case may be,
ity. to compel compliance therewith; or to
(6) Misrepresentations as to fares or civil penalties pursuant to the provi-
charges for air transportation or serv- sions of section 46301 of the Statute; or,
ices in connection therewith. in the case of a willful violation, to
(7) Misrepresentations as to member- criminal penalties pursuant to the pro-
ship in or involvement with an organi- visions of section 46316 of the Statute;
zation that audits direct air carriers or or other lawful sanctions including rev-
that the direct air carrier to be used ocation of operating authority.

274
 SUBCHAPTER B—PROCEDURAL REGULATIONS

PART 300—RULES OF CONDUCT IN ships between the Office of the Sec-

DOT PROCEEDINGS UNDER THIS retary of Transportation, the Office of
CHAPTER the Assistant Secretary for Aviation
and International Affairs, and the Of-
Sec. fice of the General Counsel, including
300.0 Applicability. regular personnel, and officials, special
300.1a Applicability of 49 CFR part 99. Government employees, consultants, or
300.2 Judicial standards of practice. experts under contract to the Depart-
300.3 Prohibited communications. ment of Transportation (DOT) and ad-
300.4 Reporting of communications.
300.5 Separation of functions in hearing
ministrative law judges (hereinafter re-
cases. ferred to as ‘‘DOT employee(s)’’) and
300.6 Prohibited conduct. all other persons in all DOT matters
300.7 Practitioners’ standards of conduct. involving aviation economic and en-
300.8 Conciseness. forcement proceedings.
300.9 Gifts and hospitality and other con-
duct affecting DOT employees. [Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as
300.10 Permanent disqualification of employ- amended by Amdt. 1–261, 59 FR 10061, Mar. 3,
ees from matters in which they person- 1994; 60 FR 43528, Aug. 22, 1995]
ally participated before joining DOT or
the Civil Aeronautics Board. § 300.0a Applicability of 49 CFR part
300.11 Temporary disqualification of em- 99.
ployees from matters in which they had
official responsibility before joining (a) Except as provided in paragraph
DOT. (b) of this section, each DOT employee
300.10a Permanent and temporary disquali- involved in matters covered by this
fication of DOT employees. chapter shall comply with the rules on
300.11 Disqualification of Government offi- ‘‘Employee Responsibilities and Con-
cers and employees.
duct’’ in 49 CFR part 99.
300.12 Practice of special Government em-
ployees permitted. (b) The rules in this part shall be
300.13 Permanent disqualification of former construed as being consistent with
Civil Aeronautics Board members and those in 49 CFR part 99. If a rule in this
employees and DOT employees from mat- part is more restrictive than a rule in
ters in which they personally partici- 49 CFR part 99, the more restrictive
pated. rule shall apply.
300.14 Temporary disqualification of former
DOT employees from matters formerly
under their official responsibility.
§ 300.1 Judicial standards of practice.
300.15 Opinions or rulings by the General Certain of DOT’s functions involving
Counsel. aviation economic and enforcement
300.16 Waivers. proceedings are similar to those of a
300.17 Disqualification of partners of DOT
employees. court, and parties to cases before DOT
300.18 Motions to disqualify DOT employee and those who represent such parties
in review of hearing matters. are expected—in fact and in appear-
300.19 Use of confidential information. ance—to conduct themselves with
300.20 Violations. honor and dignity as they would before
AUTHORITY: 49 U.S.C. subtitle I and chap- a court. By the same token, any DOT
ters 401, 411, 413, 415, 417, 419, 421, 449, 461, 463, employee or administrative law judge
and 465. carrying out DOT’s quasi-judicial func-
SOURCE: Docket No. 82, 50 FR 2380, Jan. 16, tions and any DOT employee making
1985, unless otherwise noted. recommendations or advising them are
expected to conduct themselves with
§ 300.0 Applicability. the same fidelity to appropriate stand-
The rules of conduct set forth in this ards of propriety that characterize a
part except as otherwise provided in court and its staff. The standing and
this or any other DOT regulation shall effectiveness of DOT in carrying out its
govern the conduct of the parties and quasi-judicial functions are in direct
their representatives, and the relation- relation to the observance by DOT,

275
Office of the Secretary, DOT § 300.2
DOT employees, and the parties and at- identifiable written opposition to the
torneys appearing before DOT of the initiating document.
highest standards of judicial and pro- (c) General exceptions. Paragraph (a)
fessional ethics. The rules of conduct of this section shall not apply to the
set forth in this part are to be inter- following:
preted in light of those standards. (1) Informal communications be-
[Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as tween legal counsel, including discus-
amended at 60 FR 43528, Aug. 22, 1995] sions about stipulations and other
communications considered proper in
§ 300.2 Prohibited communications. Federal court proceedings.
(a) Basic requirement. Except as pro- (2) Information given to a DOT em-
vided in paragraphs (c), (d) and (e) ployee who is participating in a hear-
there shall be no substantive commu- ing case on behalf of an office that is a
nication in either direction between party, to another DOT employee who is
any concerned DOT employee and any reviewing that work, or to his or her
interested person outside DOT, con- supervisors within that office.
cerning a public proceeding, until after (3) Communications made in the
final disposition of the proceeding, course of an investigation to determine
other than as provided by Federal stat- whether formal enforcement action
ute or published DOT rule or order. should be begun.
(b) Definitions. For purposes of this (4) Settlement discussions and medi-
part: ation efforts.
(1) A ‘‘substantive communication’’ (5) Information given at the request
is any written or oral communication of a DOT employee acting upon a spe-
relevant to the merits of the pro- cific direction of DOT, in a case other
ceeding. than a hearing proceeding as described
(2) The ‘‘DOT decisionmaker’’ is de- in paragraphs (b)(4) (i) and (ii) (a ‘‘non-
fined in 14 CFR 302.2 and 302.18. hearing case’’), where DOT has decided
(3) A ‘‘concerned DOT employee’’ is a that emergency conditions exist and
DOT employee who is or may reason- this rule would otherwise prevent the
ably be expected to be directly in- obtaining of needed information in a
volved in a decision which is subject to timely manner.
a public proceeding. (6) Information given at the request
(4) A ‘‘public proceeding’’ is one of of a DOT employee in a tariff matter
the following: after a complaint is filed but before an
(i) A hearing proceeding (i.e., pro- investigation is ordered.
ceeding conducted on-the record after (7) Nonhearing cases that are to be
notice and opportunity for an oral evi- decided within 30 days after the filing
dentiary hearing as provided in of the initiating document.
§§ 302.17–302.38) (8) Nonhearing cases arising under 49
(ii) A rulemaking proceeding involv- U.S.C. 41731–42.
ing a hearing as described in paragraph (9) In nonhearing cases, communica-
(b)(4)(i) of this section or an exemption tions with other Federal agencies not
proceeding covered by this chapter. exempted by paragraph (e) of this sec-
(Other rulemaking proceedings are cov- tion, provided the agencies have not
ered by the ex parte communication participated as parties in the pro-
policies of DOT Order 2100.2.) ceeding by making filings on-the-
(iii) A tariff filing after DOT has or- record.
dered an investigation or a complaint (10) Information given at the request
has been filed or docketed. of a DOT career employee in the course
(iv) A proceeding initiated by DOT of investigating or clarifying informa-
show-cause order, after the filing in the tion filed, or pursuant to a waiver
docket of an identifiable written oppo- granted to an applicant or other inter-
sition to the order’s tentative findings. ested person, in docketed proceedings
(v) Any other proceeding initiated by involving determinations of fitness
a docket filing, other than a petition and/or U.S. citizenship only, for that
for generally applicable rulemaking, portion of the proceeding that precedes
after the filing in the docket of an the issuance of a show-cause order or

276
§ 300.3 14 CFR Ch. II (1–1–19 Edition)
an order instituting a formal pro- (5) Communications in nonhearing
ceeding. Motions for such waivers and cases arising under 49 U.S.C. 41731–42,
any answers shall be filed in the appli- made under § 300.2(c)(8).
cable docket in accordance with § 302.11 (b) Public filing. (1) A written commu-
of the Department’s Procedural Regu- nication shall be placed onto the elec-
lations (14 CFR 302.11) and served upon tronic docket management system
all parties to the proceeding. (DMS) in the file of the docket number
(d) Status and expedition requests. corresponding to the proceeding, which
Paragraph (a) of this section shall not shall be available for inspection and
apply to oral or written communica- copying during business hours in Office
tions asking about the status, or re- of Docket Operations and Media Man-
questing expeditious treatment, of a agement.
public proceeding. However, any re- (2) An oral communication shall be
quest for expeditious treatment should summarized by the DOT employee re-
be made in accordance with the Rules ceiving it. One copy shall be put into a
of Practice, particularly Rule 11, public file as described in paragraph (b)
§ 302.11 of this chapter. (1) of this section, and another copy
(e) National defense and foreign policy. shall be mailed to the communicator.
In nonhearing cases, paragraph (a) of (3) Electronic copies of written com-
this section shall not apply to commu- munications and oral summaries shall
nications concerning national defense be posted to the DOT’s electronic dock-
or foreign policy matters, including et. Such docketed materials may be
international aviation matters. In searched, viewed, and downloaded
hearing cases, any communications on through the Internet at http://
those subjects that would be barred by dms.dot.gov.
paragraph (a) of this section are per- (4) Copies of all filings under this
mitted if the communicator’s position part dealing with discontinuances or
with respect thereto cannot otherwise reductions of air transportation shall
be fairly presented, but such commu- be mailed to the directly affected local
nications shall not be included as part communities, State agencies, and air-
of the record on which decisions must port managers.
be made. (c) Status and expedition requests. A
(f) Communications not considered. A DOT decisionmaker who receives a
communication in violation of this sec- communication asking about the sta-
tion shall not be considered part of a tus or requesting expeditious treat-
record, or included as available mate- ment of a public proceeding, other than
rial, for decision in any proceeding. a communication concerning national
defense or foreign policy (including
[Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as
amended by Amdt. 300–7, 52 FR 18904, May 20, international aviation), shall either:
1987; 60 FR 10312, Feb. 24, 1995; 60 FR 43528, (1) Refer the communicator to Office
Aug. 22, 1995; 60 FR 43528, Aug. 22, 1995; 65 FR of Docket Operations and Media Man-
6456, Feb. 9, 2000] agement.
(2) If the DOT decisionmaker re-
§ 300.3 Reporting of communications. sponds by advising on the status, put a
(a) General. The following types of memorandum describing the exchange
substantive communication shall be re- in the public file as described in para-
ported as specified in paragraph (b) of graph (b)(1) of this section.
this section: [Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as
(1) Any communication in violation amended at 60 FR 43528, Aug. 22, 1995; Doc.
of § 300.2(a) of this chapter. No. DOT–OST–2002–12200, 67 FR 30325, May 6,
(2) Information given upon deter- 2002]
mination of an emergency under
§ 300.2(c)(5) of this chapter. § 300.4 Separation of functions in hear-
(3) Information given at the request ing cases.
of a DOT employee in a tariff matter (a) This section applies after the ini-
under § 300.2(c)(6) of this chapter. tiation of a hearing or enforcement
(4) Communications in nonhearing case by the Department.
cases to be decided within 30 days (b) A DOT employee who is partici-
under § 300.2(c)(7) of this chapter. pating in a hearing case on behalf of an

277
Office of the Secretary, DOT § 300.7
office that is a party, another DOT em- if he or she acted as the office’s counsel
ployee who is in fact reviewing the po- or witness in the matter.
sition taken, or who has participated (d) In enforcement cases, the Office
in developing the position taken in of the Assistant General Counsel for
that case, or, in cases involving accusa- Aviation Enforcement and Pro-
tory or disciplinary issues (including ceedings, under the supervision of the
all enforcement cases) such employees’ Deputy General Counsel, will conduct
supervisors within that office, shall all enforcement proceedings and re-
have no substantive communication lated investigative functions, while the
with any DOT decisionmaker, adminis- General Counsel will advise the DOT
trative law judge in the case, or other decisionmaker in the course of the
DOT employee advising them, with re- decisional process. The Office of the
spect to that or any factually related Assistant General Counsel for Aviation
hearing case, except in accordance with Enforcement and Proceedings will re-
a published DOT rule or order. In addi- port to the Deputy General Counsel. To
tion, each bureau or office supervisor ensure the independence of these func-
tions, this Office and the Deputy Gen-
of a DOT employee who is participating
eral Counsel, for the purpose of this
in a hearing case on behalf of that of-
section, shall be considered an ‘‘office’’
fice when it is a party shall have no as that term is used in paragraph (a),
substantive communication with any separate from the General Counsel and
administrative law judge in the case, the rest of the Office of the General
or DOT employee advising the judge, in Counsel.
that or any factually related hearing
case, except in accordance with a pub- [Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as
lished DOT rule or order. For each amended at 60 FR 43528, Aug. 22, 1995]
hearing case, bureau or office heads § 300.5 Prohibited conduct.
shall maintain a publicly available
record of those employees who are par- No person shall: (a) Attempt to influ-
ticipating or are in fact reviewing the ence the judgment of a concerned DOT
position taken, or who have partici- employee by any unlawful means such
pated in developing the position taken as deception or the payment of money
in that case. or other consideration; or
(b) Disrupt or interfere with the fair
(c) In hearing cases involving fares or
and orderly disposition of a DOT pro-
rates, or applications for a certificate
ceeding.
or permit under 49 U.S.C. 41102 and
41302, or applications by a holder for a § 300.6 Practitioners’ standards of con-
change in a certificate or permit, a su- duct.
pervisor who would not be permitted to Every person representing a client in
advise the DOT decisionmaker under matters before DOT in all contacts
paragraph (a) may advise the DOT deci- with DOT employees, should:
sionmaker in the following manner: (a) Strictly observe the standards of
The supervisor’s advice must either be professional conduct;
made orally in an open DOT meeting or (b) Refrain from statements or other
by a memorandum placed in the docket actions designed to mislead DOT or to
or other public file of such matter. Oral cause unwarranted delay;
advice must be summarized in writing (c) Avoid offensive or intemperate be-
by the supervisor and placed in the havior;
docket or file of the matter. A copy of (d) Advise all clients to avoid impro-
such written memorandum or sum- prieties and to obey the law as the at-
mary of oral advice must be served on torney believes it to be; and
each party to the proceeding within 3 (e) Terminate the professional rela-
business days after such advice is given tionship with any client who persists
to the concerned DOT decisionmaker. in improprieties in proceedings before
Each of the parties may comment in DOT.
writing on such advice within 5 busi-
ness days after service or the sum- § 300.7 Conciseness.
mary. In no event, however, may a su- Every oral or written statement
pervisor advise the DOT decisionmaker made in a DOT proceding shall be as

278
§ 300.8 14 CFR Ch. II (1–1–19 Edition)
concise as possible. Verbose or redun- Aeronautics Board proceeding or whose
dant presentations may be rejected. relationship to one who so participated
occurred on behalf of another agency of
§ 300.8 Gifts and hospitality and other the United States Government shall
conduct affecting DOT employees. only be applicable with respect to
(a) No person, otherwise than as pro- issues on which the prior governmental
vided by law for the proper discharge of employer took a position in the pro-
official duty, shall directly or indi- ceeding unless participation could fair-
rectly give, offer, or promise anything ly be said to create the appearance
of value to any DOT employee for or that his or her participation would be
because of any official act performed or affected by his or her prior relation-
to be performed by such DOT employee ship.
(18 U.S.C. 201).
(b) Subject to 49 CFR part 99, it is § 300.10 Temporary disqualification of
improper for persons interested in the employees from matters in which
business of DOT to provide hospitality, they had official responsibility be-
gifts, entertainment, or favors to any fore joining DOT.
DOT employee. Any DOT employee shall temporarily
(c) Persons interested in the business disqualify himself or herself from par-
of DOT should familiarize themselves ticipation in any matter before DOT if
with (49 CFR part 99), in order that he or she represented, was associated
they shall not encourage or cause any with or was employed by an interested
violation of the provisions of that part person or entity including other agen-
by any DOT employee. cies of the United States Government
before joining DOT, and, although he
§ 300.9 Permanent disqualification of
employees from matters in which or she did not personally and substan-
they personally participated before tially participate in the matter, the
joining DOT or the Civil Aero- matter was within his or her ‘‘official
nautics Board. responsibility,’’ as that term is defined
Any DOT employee shall perma- in § 300.14 of this chapter except that
nently disqualify himself or herself the action referred to therein shall be
from participation in every matter be- private action as well as ‘‘Govern-
fore the Department in which he or she ment’’ action. Such disqualification
previously personally and substantially shall be applicable also if a person
participated for an interested person or closely related to the DOT employee as
entity, including other agencies of the partner, associate, employer, or the
United States Government, before join- like, who, while not personally and
ing the DOT or the Civil Aeronautics substantially participating in the mat-
Board. Such disqualification shall be ter, had it within his or her ‘‘official
applicable also if a person is closely re- responsibility’’ as that term is defined
lated to is a DOT employee as partner, in § 300.14 of this chapter, and modified
associate, employer, or the like, per- above, and the circumstances are such
sonally and substantially participated that the DOT employee’s subsequent
in a matter before DOT prior to the participation in the matter as a DOT
employee’s employment by the Depart- employee could fairly be said to create
ment or the Civil Aeronautics Board the appearance that his or her partici-
and the circumstances were such that pation would be affected by his or her
the DOT employee’s subsequent par- prior relationship. Notwithstanding
ticipation in the matter as a DOT em- the foregoing, the disqualification of
ployee could fairly be said to create any DOT employee whose prior ‘‘offi-
the appearance that his or her partici- cial responsibility’’ or relationship to
pation would be affected by his or her one with such responsibility occurred
prior relationship. Notwithstanding on behalf of another agency of the
the foregoing, the disqualification of United States Government shall only
any DOT employee, including any be applicable with respect to issues on
member of a DOT employee’s personal which the prior governmental em-
staff or a special Government em- ployer took a position in the pro-
ployee, whose prior personal and sub- ceeding. The temporary disqualifica-
stantial participation in a DOT or Civil tion shall run for a period of one year

279
Office of the Secretary, DOT § 300.15
from the date of the termination of the stantially through decision, approval,
representation, association, or employ- disapproval, recommendation, ren-
ment with the interested person or en- dering of advice, investigation, or oth-
tity. erwise as a Board member or employee
or DOT employee.
[Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as
amended at 60 FR 43528, Aug. 22, 1995] (18 U.S.C. 207(a))

§ 300.10a Permanent and temporary § 300.14 Temporary disqualification of

disqualification of DOT employees. former DOT employees from mat-
The terms of §§ 300.9 and 300.10 shall ters formerly under their official re-
sponsibility.
not be construed to apply to DOT em-
ployees who previously personally and Within one year after termination of
substantially participated in matters employment with DOT, no former DOT
before the Board, which have become employee shall appear personally be-
the subject of DOT proceedings. fore DOT on behalf of any person other
than the United States in any DOT pro-
[Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as
ceeding or matter in which the United
amended at 60 FR 43528, Aug. 22, 1995]
States is a party or has a direct and
§ 300.11 Disqualification of Govern- substantial interest and which was
ment officers and employees. under his or her official responsibility
at any time within one year preceding
No officer or employee of the Federal
termination of such responsibility. The
Government, other than a ‘‘special
term ‘‘official responsibility’’ means
Government employee’’ as defined in 18
the direct administrative or operating
U.S.C. 202, shall represent anyone, oth-
authority, whether intermediate or
erwise than in the proper discharge of
final, and either exercisable alone or
his or her official duties, in any DOT
with others, and either personally or
proceeding or matter in which the
through subordinates, to approve, dis-
United States is a party or has a direct
approve, or otherwise direct Govern-
and substantial interest.
ment action.
(18 U.S.C. 205)
(18 U.S.C. 202(b), 207(b))
§ 300.12 Practice of special Govern- [Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as
ment employees permitted. amended at 60 FR 43528, Aug. 22, 1995]
A special Government employee, who
§ 300.15 Opinions or rulings by the
qualifies as such under the provisions General Counsel.
of 18 U.S.C. 202(a), may participate in
DOT proceedings only to the extent (a) The General Counsel is authorized
and in the manner specified in 18 U.S.C. to render opinions or rulings to the
205. public on the application of the provi-
sions of this part. When written re-
§ 300.13 Permanent disqualification of quest is made for such opinions and
former Civil Aeronautics Board rulings, they shall be transmitted to
members and employees and DOT DOT and shall be available to the pub-
employees from matters in which lic in the Documentary Services Divi-
they personally participated. sion after any appeal to or review by
No former Board member or em- the Secretary has been completed or
ployee or DOT employee shall act as after the time for review has expired.
agent or attorney before DOT for any- Identifying details shall normally be
one other than the United States in stricken from copies available to the
connection with any proceeding, appli- public unless the public interest re-
cation, request for a ruling or other de- quires disclosure of such details.
termination, contract, claim, con- (b) If any person is disqualified from
troversy, charge, accusation, or other a particular proceeding under the pro-
particular matter, involving a specific visions of §§ 300.9, 300.10, 300.13, 300.14,
party or parties, in which the United and 300.17 of this chapter by a ruling of
States is a party or has a direct and the General Counsel, or by such per-
substantial interest and in which he or son’s own action, such disqualification
she participated personally and sub- shall be memorialized in a writing filed

280
§ 300.16 14 CFR Ch. II (1–1–19 Edition)
in the appropriate file of the matter by initial or recommended decision on his
the General Counsel or such person. or her own initiative, such motions
must be filed on or before the date
§ 300.16 Waivers. briefs are due pursuant to § 302.35 or
(a) A former Board member, Board § 302.218, as applicable. Failure to file a
employee or DOT employee with out- timely motion will be deemed a waiver
standing scientific or technological of disqualification. Applications for
qualifications who is disqualified from leave to file an untimely motion seek-
acting in a representative capacity ing disqualification of a concerned
under the provisions of § 300.13 or DOT employee must be accompanied
§ 300.14 of this chapter may neverthe- by an affidavit setting forth in detail
less participate in a proceeding in a why the facts relied upon as grounds
scientific or technological field pursu- for disqualification were not known
ant to the terms of a certificate issued and could not have been discovered
in compliance with the proviso fol- with reasonable diligence within the
lowing 18 U.S.C. 207 (a) and (b). prescribed time.
(b) An employee who believes his or [Doc. No. OST–97–2090, 65 FR 6456, Feb. 9,
her prior employment relationships 2000]
will not affect the integrity of his or
her services may request that the pro- § 300.19 Use of confidential informa-
hibition of § 300.9 or § 300.10 of this tion.
chapter be waived by the appropriate No former CAB member or employee
Ethics Counselor under 49 CFR 99.735– or DOT employee, or any person associ-
71. ated with him or her, shall ever use or
undertake to use in any DOT pro-
§ 300.17 Disqualification of partners of ceeding or matter any confidential
DOT employees. facts or information which came into
No partner of a DOT employee shall the possession of such Member or em-
act as agent or attorney for anyone ployee or to his or her attention by
other than the United States in any reason of his or her employment with
DOT proceeding or matter in which the CAB or DOT without first applying
such employee participates or has par- for and obtaining the consent of the ap-
ticipated personally and substantially propriate ethics counselor for the use
through decision, approval, dis- of such facts or information.
approval, recommendation, rendering
advice, investigation, or otherwise, or § 300.20 Violations.
which is the subject of his or her offi- (a) DOT may disqualify, and deny
cial responsibility. temporarily or permanently the privi-
lege of appearing or practicing before
§ 300.18 Motions to disqualify DOT em- it in any way to, any person who is
ployee in review of hearing matters. found by DOT after written notice of
In cases to be determined on an evi- charges and hearing to have engaged in
dentiary record, a party desiring that a unethical or improper professional con-
concerned DOT employee disqualify duct. Any violation of this part shall
himself or herself from participating in be deemed to be such conduct.
a DOT decision shall file a motion sup- (b) When appropriate in the public in-
ported by an affidavit setting forth the terest, DOT may deny any application
grounds for such disqualification in the or other request of a party in a pro-
form and within the periods prescribed ceeding subject to this part where DOT
in § 302.11 of this chapter. Where review finds after hearing that such party has,
of the administrative law judge’s deci- in connection with any DOT pro-
sion can be obtained only upon the fil- ceeding, violated any of the provisions
ing of a petition for discretionary re- of this part or any of the provisions of
view, such motions must be filed on or Chapter 11 of Title 18 of the United
before the date answers are due pursu- States Code. DOT may also condition
ant to § 302.32. In cases where excep- its further consideration of such par-
tions are filed to recommended, initial, ty’s application or other request or the
or tentative decisions or where the effectiveness of any order granting
DOT decisionmaker orders review of an such application or other request upon

281
Office of the Secretary, DOT Pt. 302
such party’s first taking such action as 302.4 General requirements as to docu-
DOT may deem necessary or appro- ments.
priate to remedy the violation of this 302.5 Amendment of documents.
part or Chapter 11 of Title 18 of the 302.6 Responsive documents.
302.7 Service of documents.
United States Code to prevent or deter
302.8 Computation of time.
any repetition of such violation. DOT 302.9 Continuances and extensions of time.
may in addition issue a cease and de- 302.10 Parties.
sist order against any repetition of 302.11 Motions.
such or similar misconduct. 302.12 Objections to public disclosure of in-
(c) The actions authorized by this formation.
section may take place within the 302.13 Consolidation of proceedings.
framework of the matter during or con- 302.14 Petitions for reconsideration.
cerning which the violations occur or NON-HEARING PROCEEDINGS
in a separate matter, as the DOT deci-
sionmaker or the presiding administra- 302.15 Non-hearing procedures.
tive law judge may direct. A complaint RULEMAKING P ROCEEDINGS
alleging that a violation has occurred
in the course of a matter shall be filed 302.16 Petitions for rulemaking.
in the docket or appropriate public file ORAL E VIDENTIARY HEARING P ROCEEDINGS
of such matter unless such complaint
is made after DOT’s decision of the 302.17 Administrative law judges.
matter has become final, in which 302.18 DOT decisionmaker.
302.19 Participation by persons not parties.
event such complaint may be filed pur-
302.20 Formal intervention.
suant to part 302, subpart D of the rules 302.21 Appearances.
of practice. A violation in the course of 302.22 Prehearing conference.
a matter which may be attributable to 302.23 Hearing.
or affect the fitness of a party will or- 302.24 Evidence.
dinarily either be disposed of within 302.25 Subpoenas.
the framework of such matter or be 302.26 Depositions.
considered within the context of any 302.27 Rights of witnesses; attendance fees
subsequent matter involving the inter- and mileage.
ests of such party. Other violations 302.28 Transcripts of hearings.
302.29 Argument before the administrative
will ordinarily be disposed of in a sepa-
law judge.
rate proceeding. 302.30 Briefs to the administrative law
(d) In the case of any violation of the judge.
provisions of this part, the violator 302.31 Initial and recommended decisions;
may be subject to civil penalties under certification of the record.
the provisions of 49 U.S.C. 46301. The 302.32 Petitions for discretionary review of
violator may also be subject to a pro- initial or recommended decisions; review
ceeding brought under 49 U.S.C. 46101 proceedings.
before the Department, or sections 302.33 Tentative decision of the DOT deci-
46106 through 46108 of the Statute be- sionmaker.
302.34 Exceptions to tentative decisions of
fore a U.S. District Court, as the case the DOT decisionmaker.
may be, to compel compliance with 302.35 Briefs to the DOT decisionmaker.
civil penalties which have been im- 302.36 Oral argument before the DOT deci-
posed. sionmaker.
[Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as 302.37 Waiver of procedural steps after hear-
amended at 60 FR 43528, Aug. 22, 1995; 65 FR ing.
6456, Feb. 9, 2000] 302.38 Final decision of the DOT decision-
maker.

PART 302—RULES OF PRACTICE IN Subpart B—Rules Applicable to U.S. Air

PROCEEDINGS Carrier Certificate and Foreign Air Car-
rier Permit Licensing Proceedings
Sec.
302.1 Applicability and description of part. 302.201 Applicability.
302.2 Definitions. 302.202 Contents of applications.
302.203 Service of documents.
Subpart A—Rules of General Applicability 302.204 Responsive documents.
302.205 Economic data and other facts.
302.3 Filing of documents. 302.206 Verification.

282
 Pt. 302 14 CFR Ch. II (1–1–19 Edition)
DISPOSITION OF A PPLICATIONS Settlement of proceedings.
Motions for immediate suspension of
302.207 Cases to be decided on written sub-
operating authority pendente lite.
missions.
Modification or dissolution of en-
302.208 Petitions for oral presentation or
forcement actions.
judge’s decision.
Saving clause.
302.209 Procedures for deferral of applica-
tions.
Subpart E—Rules Applicable to Pro-
302.210 Disposition of applications; orders
establishing further procedures. ceedings With Respect to Rates, Fares
302.211 Procedures in certificate cases in- and Charges for Foreign Air Transpor-
volving initial or continuing fitness. tation
302.212 Procedures in certificate cases in-
volving international routes. Applicability.
Institution of proceedings.
302.213 Procedures in foreign air carrier per-
mit cases. Contents and service of petition or complaint.
302.214 Oral evidentiary hearing. Dismissal of petition or complaint.
302.215 Briefs to the administrative law Order of investigation.
Complaints requesting suspension of tariffs;
judge.
302.216 Administrative law judge’s initial or answers to such complaints.
recommended decision. Computing time for filing com- plaints.
302.217 Exceptions to administrative law
judge’s initial or recommended decision. Subpart F—Rules Applicable to
302.218 Briefs to the DOT decisionmaker. Proceedings Concerning Airport Fees
302.219 Oral argument before the DOT deci-
Applicability.
sionmaker.
Complaint by a carrier; request for
302.220 Final decision of the Department.
determination by an airport owner or op- erator.
Subpart C—Rules Applicable to Exemption Contents of complaint or request for
determination.
and Certain Other Proceedings Answers to a complaint or request for
302.301 Applicability. determination.
302.302 Filing of applications. Replies.
302.303 Contents of applications. Review of complaints or requests for
302.304 Service of documents. determination.
302.305 Posting of applications. Decision by administrative law judge.
302.306 Dismissal or rejection of incomplete Petitions for discretionary review. 302.609
applications. Completion of proceedings.
302.307 Answers to applications. 302.610 Final order.
302.308 Replies to answers.
302.309 Requests for hearing. Subpart G—Rules Applicable to Mail Rate
302.310 Exemptions on the Department’s ini- Proceedings and Mail Contracts
tiative.
302.311 Emergency exemptions. Applicability.

Subpart D—Rules Applicable to FINAL M AIL R ATE P ROCEEDINGS

Enforcement Proceedings Institution of proceedings.
Order to show cause or instituting a hearing.
Applicability. Objections and answers to order to show
Definitions. cause.
Informal complaints. Further procedures.
Formal complaints. Hearing.
Responsive documents.
Procedure for responding to formal complaints. PROVISION FOR T EMPORARY R ATE
Commencement of enforcement pro- ceeding.
Procedure for fixing temporary mail rates.
Answers and replies.
Default. I NFORMAL M AIL R ATE C ONFERENCE
Consolidation of proceedings. PROCEDURE
Motions to dismiss and for summary judgment.
Admissions as to facts and docu- ments. Invocation of procedure. 302.709
Evidence of previous violations. Scope of conferences.
Prehearing conference. 302.710 Participants in conferences.
Hearing.
Appearances by persons not parties.

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Office of the Secretary, DOT § 302.3
302.711 Conditions upon participation. Statute’’), and to the substantive rules,
302.712 Information to be requested from an regulations and orders of the Depart-
air carrier. ment relating to the proceeding. Wher-
302.713 DOT analysis of data for submission
ever there is any conflict between one
of answers thereto.
302.714 Availability of data to the U.S. Post- of the general rules in subpart A and a
al Service. special rule in another subpart applica-
302.715 Post-conference procedure. ble to a particular type of proceeding,
302.716 Effect of conference agreements. the special rule will govern.
302.717 Waiver of participant conditions. (c) Reference to part and method of cit-
ing rules. This part may be referred to
PROCESSING C ONTRACTS FOR THE CARRIAGE OF
M AIL IN F OREIGN AIR T RANSPORTATION as the ‘‘Rules of Practice’’. Each sec-
tion, and any paragraph or subpara-
302.718 Filing. graph thereof, may be referred to as a
302.719 Explanation and data supporting the ‘‘Rule’’. The number of each rule need
contract.
302.720 Service.
include only the numbers and letters at
302.721 Complaints. the right of the decimal point. For ex-
302.722 Answers to complaints. ample, ‘‘302.7 Service of documents’’,
302.723 Further procedures. may be referred to as ‘‘Rule 7’’.
302.724 Petitions for reconsideration.
APPENDIX A TO PART 302—INDEX TO RULES OF § 302.2 Definitions.
PRACTICE Administrative law judge as used in
AUTHORITY: 39 U.S.C. 5402; 42 U.S.C., 4321, 49 this part means an administrative law
U.S.C. Subtitle I and Chapters 401, 411, 413, judge appointed pursuant to 5 U.S.C.
415, 417, 419, 461, 463, 471. 3105.
SOURCE: Docket No. OST–97–2090, 65 FR DOT Decisionmaker as used in this
6457, Feb. 9, 2000, unless otherwise noted. part is the official authorized to issue
final decisions of the Department as
§ 302.1 Applicability and description of set forth in § 302.18. This includes the
part. Assistant Secretary for Aviation and
(a) Applicability. This part governs International Affairs, the senior career
the conduct of all aviation economic official in the Office of the Assistant
proceedings before the Department Secretary for Aviation and Inter-
whether instituted by order of the De- national Affairs, the Deputy Secretary,
partment or by the filing with the De- and the Secretary.
partment of an application, complaint, Hearing case or oral hearing case
petition, motion, or other authorized means any proceeding that the Depart-
or required document. This part also ment has determined will be conducted
contains delegations to administrative on the record using oral evidentiary
law judges and to the DOT decision- procedures subject to 5 U.S.C. 556 and
maker of the Department’s function to 557.
render the agency decision in certain Non-hearing case means any pro-
cases and the procedures for review of ceeding not involving oral evidentiary
those decisions. This part applies un- procedures.
Party as used in this part includes
less otherwise specified by order of the
Department. the person initiating a proceeding,
(b) Description. Subpart A of this part such as an applicant, complainant, or
sets forth general rules applicable to petitioner; any person filing an answer
all types of proceedings. Each of the to such filing; and any other persons as
other subparts of this part sets forth set forth in § 302.10.
special rules applicable to the type of Statute when used in this chapter
proceedings described in the title of means Subtitle VII of Title 49 of the
the subpart. Therefore, for information United States Code (Transportation).
as to applicable rules, reference should
be made to subpart A and to the rules Subpart A—Rules of General
in the subpart relating to the par- Applicability
ticular type of proceeding, if any. In
addition, reference should be made to § 302.3 Filing of documents.
Subtitle VII of Title 49 of the United (a) Filing address, date of filing, hours.
States Code (Transportation) (‘‘the (1) Documents required by any section

284
§ 302.3 14 CFR Ch. II (1–1–19 Edition)
of this part to be filed with the Depart- shown in color on the original will be
ment must be filed with Department of accurately indicated on all copies.
Transportation Dockets at the Depart- (c) Number of copies. Unless otherwise
ment’s offices in Washington, DC. Doc- specified, an executed original, along
uments may be filed either on paper or with the number of true copies set
by electronic means using the process forth below for each type of proceeding,
set at the DOT Dockets Management must be filed with Department of
System (DMS) internet website. Transportation Dockets. The copies
(2) Such documents will be deemed to filed need not be signed, but the name
be filed on the date on which they are of the person signing the original docu-
actually received by the Department. ment, as distinguished from the firm or
Documents must be filed between the organization he or she represents, must
hours of 9:00 a.m. and 5:00 p.m., eastern also be typed or printed on all copies
standard or daylight savings time, below the space provided for signature.
whichever is in effect in the District of Electronic filers need only submit one
Columbia at the time, Monday to Fri- copy of the document, which must con-
day, inclusive, except on legal holi- form to the submission requirements
days. Electronic filings may be made given in the electronic filing instruc-
at any time under the process set by tions at the specified DOT DMS inter-
the Department. Electronic filings that net website and in this part, as applica-
are received after the specified Dockets ble.
Facility hours shall be deemed to be
Number
constructively received on the next of copies
Dockets Facility business day.
Airport Fees ........................................................... 9
(b) Formal specifications of documents. Agreements:
(1) Documents filed under this part International Air Transport Association
must be on white paper not larger than (IATA) .................................................. 6
81⁄2 by 11 inches, including any tables, Complaints:
Other (under 49 U.S.C. 41309) .............. 9

charts and other documents that may Enforcement ............................................ 5

be included. Ink must be black to pro- Mail Contracts ......................................... 4
vide substantial contrast for scanning Rates, Fares and Charges in Foreign Air
Transportation ...................................... 6
and photographic reproduction. Text Unfair Practices in Foreign Air Transpor-
must be double-spaced (except for foot- tation .................................................... 7
notes and long quotations which may Employee Protection Program (14 CFR 314) ....... 7
Exemptions:
be single-spaced) using type not small- Computer Reservations Systems (14
er than 12 point. The left margin must CFR 255) ............................................. 8
be at least 11⁄2 inches; all other margins Slot Exemptions (under 49 U.S.C.
41714) .................................................. 7
must be at least 1 inch. The title page Tariffs (under 49 U.S.C. Chapter 415 or
and first page must bear a clear date 14 CFR 221) ........................................ 5
and all subsequent pages must bear a Other (under 49 U.S.C. 40109) .............. 7
Foreign Air Carrier Permits/Exemptions ................ 7
page number and abbreviated heading. International Authority for U.S. Air Carriers (cer-
In order to facilitate automated proc- tificates, exemptions, allocation of limited fre-
essing in document sheet feeders, docu- quencies, designations, or charters) .................. 7
ments of more than one page should be Mail Rate Proceedings .......................................... 4
Name Change/Trade Name Registrations ............ 4
held together with removable metal Suspension of Service (14 CFR 323) ................... 4
clips or similar retainers. Original doc- Tariff Justifications to exceed Standard Inter-
uments may not be bound in any form national Fare Level ............................................ 6
U.S. Air Carrier Certificates (involving Initial or
or include tabs, except in cases as- Continuing Fitness) ............................................ 6
signed by order to an Administrative Other matters ......................................................... 3
Law Judge for hearing, in which case
the filing requirements will be set by (d) Prohibition and dismissal of certain
order. Section 302.35 contains addi- documents. (1) No document that is sub-
tional requirements as to the contents ject to the general requirements of this
and style of briefs. subpart concerning form, filing, sub-
(2) Papers may be reproduced by any scription, service or similar matters
duplicating process, provided all copies will be accepted for filing by the De-
are clear and legible. Appropriate notes partment, and will not be physically
or other indications must be used, so incorporated in the docket of the pro-
that the existence of any matters ceeding, unless:

285
Office of the Secretary, DOT § 302.4
(i) Such document and its filing by plaint, motion or other authorized or
the person submitting it have been ex- required document, such document
pressly authorized or required in the shall contain a proper identification of
Statute, any other law, this part, other the parties concerned, a concise but
Department regulations, or any order, complete statement of the facts relied
notice or other document issued by the upon and the relief sought, and, where
DOT decisionmaker, the Chief Admin- required, such document shall be ac-
istrative Law Judge or an administra- companied by an Energy Statement, in
tive law judge assigned to the pro- conformity with the provisions of part
ceeding, and 313 of this chapter.
(ii) Such document complies with (2)(i) Each document must include
each of the requirements of this para- with or provide on its first page:
graph and 302.7, and for those electroni- (A) The docket title and subject;
cally filed, the requirements specified (B) The relevant operating adminis-
at the DOT DMS internet website, and tration before which the application or
is submitted as a formal application, request is filed;
complaint, petition, motion, answer, (C) The identity of the filer and its
pleading, or similar paper rather than filing agent, if applicable;
as a letter, telegram, or other informal (D) The name and mailing address of
written communication; Provided, how- the designated agent for service of any
ever, That for good cause shown, plead- documents filed in the proceeding,
ings of any public body or civic organi- along with the telephone and facsimile
zation or comments concerning tariff numbers and, if available, electronic
agreements that have not been dock- mail address of that person; and
eted, may be submitted in the form of (E) The title of the specific action
a letter. being requested.
(2) If any document initiating, or (ii) Department of Transportation
filed in, a proceeding is not in substan- Dockets has an Expedited Processing
tial conformity with the applicable Sheet that filers can use to assist in
rules or regulations of the Department preparing this index for submission of
as to the contents thereof, or is other- paper documents, and an electronic
wise insufficient, the Department, on registration for electronic filing at the
its own initiative, or on motion of any DOT DMS internet website.
party, may reject, strike or dismiss (3) All documents filed under this
such document, or require its amend- part consisting of twenty (20) or more
ment. pages must contain a subject index of
(e) Official docket copy. With respect the matter in such document, with
to all documents filed under this part, page references.
the electronic record produced by the (b) Verification: The following certifi-
Department shall thereafter be the of- cation shall be included with every
ficial docket copy of the document and pleading filed under this part: ‘‘Pursu-
any subsequent copies generated by the ant to Title 18 United States Code Sec-
Department’s electronic records sys- tion 1001, I [the individual signing the
tem will be usable for admission as pleading, who shall be a principal owner,
record copies in any proceeding before senior officer, or internal counsel of the
the Department. pleader], in my individual capacity and
(f) Retention of documents by the De- as the authorized representative of the
partment. All documents filed with or pleader, have not in any manner know-
presented to the Department Dockets ingly and willfully falsified, concealed
will be retained in the permanent or failed to disclose any material fact
docket of the Department of Transpor- or made any false, fictitious, or fraudu-
tation. lent statement or knowingly used any
documents which contain such state-
§ 302.4 General requirements as to ments in connection with the prepara-
documents. tion, filing or prosecution of the plead-
(a) Contents. (1) In case there is no ing. I understand that an individual
rule, regulation, or order of the Depart- who is found to have violated the pro-
ment that prescribes the contents of a visions of 18 U.S.C. section 1001 shall be
formal application, petition, com- fined or imprisoned not more than five

286
§ 302.5 14 CFR Ch. II (1–1–19 Edition)
years, or both.’’ In addition, electronic filed shall be titled to describe both the
subscription requirements shall be motion and the underlying documents.
those specified at the DOT DMS inter- (3) Where unauthorized responsive
net website. documents are not permitted, all new
matter contained in an answer filed
§ 302.5 Amendment of documents. pursuant to paragraph (a) of this sec-
(a) An application may be amended tion shall be deemed controverted.
prior to the filing of answers thereto, (d) Time for filing. Except as other-
or, if no answer is filed, prior to the wise provided, an answer, motion, or
issuance of an order establishing fur- other further responsive document
ther procedures, disposing of the appli- shall be filed within seven (7) days
cation, or setting the case for hearing. after service of any document, order, or
Thereafter, applications may be ruling to which the proposed filing is
amended only if leave is granted pursu- responsive and must be served on all
ant to the procedures set forth in parties to the proceeding.
§ 302.11. § 302.7 Service of documents.
(b) Except as otherwise provided, if
properly amended, a document and any (a) Who makes service—(1) The Depart-
statutory deadline shall be made effec- ment. Formal complaints, notices, or-
tive as of the date of original filing but ders, and similar documents issued by
the time prescribed for the filing of an the Department will be served by the
answer or any further responsive docu- Department upon all parties to the pro-
ment directed towards the amended ceeding.
document shall be computed from the (2) The parties. Answers, petitions,
date of the filing of the amendment. motions, briefs, exceptions, notices,
protests, or memoranda, or any other
§ 302.6 Responsive documents. documents filed by any party or other
person with the Department shall be
(a) Answers. Answers to applications, served by such party or other person
complaints, petitions, motions or other upon all parties to the proceeding in
documents or orders instituting pro- which it is filed; including, where ap-
ceedings may be filed by any person. In plicable, all persons who have peti-
hearing cases, answers may be filed by tioned for intervention in, or consoli-
any party to such proceedings or any dation of applications with, such pro-
person who has a petition for interven- ceeding. Proof of service shall accom-
tion pending. Except as otherwise pro- pany all documents when they are
vided, answers are not required. filed. The Department may require ad-
(b) Further responsive documents. Ex- ditional service of any document(s).
cept as otherwise provided, a reply to (b) How service may be made. Service
an answer, reply to a reply, or any fur- may be made by first class mail, ex-
ther responsive document is not au- press mail, priority mail, registered or
thorized. certified mail, facsimile transmission,
(c) Motions for leave to file otherwise personal delivery, or by electronic
unauthorized documents. (1) The Depart- mail. The Department may prescribe
ment will accept otherwise unauthor- other means of service by order or no-
ized documents for filing only if leave tice. The means of service selected
has been obtained from the DOT deci- must be done in such manner so as to
sionmaker or, if applicable, the admin- have the same attributes as section
istrative law judge, on written motion 46103 of the Statute, which provides for
and for good cause shown. service of notices and processes in a
(2) Such motions shall contain a con- proceeding by personal service or reg-
cise statement of the matters relied istered or certified mail.
upon as good cause and shall be at- (c) Who may be served. Service upon a
tached to the pleading or other docu- party or person may be made upon an
ment for which leave to file is sought, individual, or upon a member of a part-
or the written motion may be incor- nership or firm to be served, or upon
porated into the otherwise unauthor- the president or other officer of the
ized document for which admission is corporation, company, firm, or associa-
sought. In such event, the document tion to be served, or upon the assignee

287
Office of the Secretary, DOT § 302.10
or legal successor of any of the fore- wise required, and shall be in addition
going, or upon any attorney of record to any other service required by this
for the party, or upon the agent des- chapter.
ignated by an air carrier or foreign air
carrier under section 46103 of the Stat- § 302.8 Computation of time.
ute, but it shall be served upon a per- In computing any period of time pre-
son designated by a party to receive scribed or allowed by this part, by no-
service of documents in a particular tice, order or regulation or by any ap-
proceeding in accordance with plicable statute, the day of the act,
§ 302.4(a)(2)(iv) once a proceeding has event, or default after which the des-
been commenced. ignated period of time begins to run is
(d) Where service may be made. Service not to be included. The last day of the
shall be made at the principal place of period so computed is to be included,
business of the party to be served, or at unless it is a Saturday, Sunday, or
his or her usual residence if he or she legal holiday for the Department, in
is an individual, or at the office of the which event the period runs until the
party’s attorney of record, or at the of- end of the next day that is neither a
fice or usual residence of the agent des- Saturday, Sunday, nor holiday. When
ignated by an air carrier or foreign air the period of time prescribed is seven
carrier under section 46103 of the Stat- (7) days or fewer, intermediate Satur-
ute, or at the post office or electronic days, Sundays, and holidays shall be
address or facsimile number stated for excluded in the computation, unless
a person designated to receive service otherwise specified by the DOT deci-
pursuant to § 302.4(a)(2)(iv). sionmaker or the administrative law
(e) Proof of service. Proof of service of judge assigned to the proceeding, as
any document shall consist of one of the case may be.
the following:
(1) A certificate of mailing executed § 302.9 Continuances and extensions of
by the person mailing the document. time.
(2) A certificate of successful trans-
(a) Whenever a party has the right or
mission executed by the person trans-
obligation to take action within a pe-
mitting the document by facsimile or
riod prescribed by this part, by a notice
electronic mail, listing the facsimile
given thereunder, or by an order or reg-
numbers or electronic mail address to
ulation, the DOT decisionmaker or the
which the document was sent, and stat-
administrative law judge assigned to
ing that no indication was received
the proceeding, as appropriate, may:
that any transmission had failed. In
(1) Before the expiration of the pre-
the event of an electronic transmission
scribed period, with or without notice,
failure, any other authorized means of
extend such period, or
service may be substituted and the ap-
propriate proof of service provided. (2) Upon motion, permit the act to be
(f) Date of service. The date of service done after the expiration of the speci-
by post office or electronic mail is the fied period, where good cause for the
date of mailing. Whenever proof of failure to act on time is clearly shown.
service by personal delivery or fac- (b) Except where an administrative
simile transmission is made, the date law judge has been assigned to a pro-
of such delivery or facsimile trans- ceeding, requests for continuance or
mission shall be the date of service. extensions of time, as described in
(g) Freely Associated State Proceedings. paragraph (a) of this section, shall be
In any proceeding directly involving directed to the DOT decisionmaker.
air transportation to the Federated Requests for continuances and exten-
States of Micronesia, the Marshall Is- sions of time may be directed to the
lands, or Palau, the Department and Chief Administrative Law Judge in the
any party or participant in the pro- absence of the administrative law
ceeding shall serve all documents on judge assigned to the proceeding.
the President and the designated au-
thorities of the government(s) in- § 302.10 Parties.
volved. This requirement shall apply to (a) In addition to the persons set
all proceedings where service is other- forth in § 302.2, in hearing cases, parties

288
§ 302.11 14 CFR Ch. II (1–1–19 Edition)
shall include Department staff des- (b) Form and contents. Unless made
ignated to participate in the pro- during a hearing, motions shall be
ceeding and any persons authorized to made in writing in conformity with
intervene or granted permission to par- §§ 302.3 and 302.4, shall state their
ticipate in accordance with §§ 302.19 and grounds and the relief or order sought,
302.20. In any proceeding directly in- and shall be accompanied by any affi-
volving air transportation to the Fed- davits or other evidence desired to be
erated States of Micronesia, the Mar- relied upon. Motions made during hear-
shall Islands or Palau, these govern- ings, answers to them, and rulings on
ments or their designated authorities them, may be made orally on the
shall be a party. record unless the administrative law
(b) Upon motion and for good cause judge directs otherwise. Written mo-
shown, the Department may order a tions shall be filed as separate docu-
substitution of parties, except that in ments, and shall not be incorporated in
case of the death of a party, substi- any other documents, except where in-
tution may be ordered without the fil- corporation of a motion in another doc-
ing of a motion. ument is specifically authorized by the
(c) An association composed entirely Department, or where a document is
or in part of air carriers may partici- filed that requests alternative forms of
pate in any proceedings of the Depart- relief and one of these alternative re-
ment to which the Department’s proce- quests is properly to be made by mo-
dural regulations apply if the associa- tion. In these instances the document
tion represents members that are iden- filed shall be appropriately titled and
tified in any documents filed with the identified to indicate that it incor-
Department, and that have specifically porates a motion; otherwise, the mo-
authorized the positions taken by the tion will be disregarded.
association in that proceeding. The (c) Answers to motions. Within seven
specific authorizations may be infor- (7) days after a motion is served, or
mal and evidence of them shall be pro- such other period as the DOT decision-
vided only upon request of the Depart- maker or the administrative law judge
ment. Upon motion of any interested may fix, any party to the proceeding
person or upon its own initiative, the may file an answer in support of or in
Department may issue an order requir- opposition to the motion, accompanied
ing an association to withdraw from a by such affidavits or other evidence as
case on the grounds of significant di- it desires to rely upon. Except as other-
vergence of interest or position within wise provided, no reply to an answer,
the association. reply to a reply, or any further respon-
sive document shall be filed.
§ 302.11 Motions. (d) Oral arguments; briefs. No oral ar-
(a) Generally. An application to the gument will be heard on motions un-
DOT decisionmaker or an administra- less the DOT decisionmaker or the ad-
tive law judge for an order or ruling ministrative law judge otherwise di-
not otherwise specifically provided for rects. Written memoranda or briefs
in this part shall be by motion. If an may be filed with motions or answers
administrative law judge is assigned to to motions, stating the points and au-
a proceeding and before the issuance of thorities relied upon in support of the
a recommended or initial decision or position taken.
the certification of the record to the (e) Requests for expedition. Any inter-
DOT decisionmaker, all motions shall ested person may by motion request
be addressed to the administrative law expedition of any proceeding or file an
judge. At all other times, motions shall answer in support of or in opposition to
be addressed to the DOT decision- such motions.
maker. All motions shall be made at an (f) Effect of pendency of motions. The
appropriate time depending upon the filing or pendency of a motion shall not
nature thereof and the relief requested automatically alter or extend the time
therein. This paragraph should not be to take action fixed by this part or by
construed as authorizing motions in any order of the Department or of an
the nature of petitions for reconsider- administrative law judge (or any exten-
ation. sion granted thereunder).

289
Office of the Secretary, DOT § 302.12
(g) Disposition of motions. The DOT de- separately in a sealed envelope, bear-
cisionmaker shall pass upon all mo- ing the caption of the enclosed submis-
tions properly submitted to him or her sion, and the notation ‘‘Confidential
for decision. The administrative law Treatment Requested Under § 302.12.’’
judge shall pass upon all motions prop- At the time of filing such submission
erly addressed to him or her, except (or, when the objection is made by a
that, if the administrative law judge person who is not the filer, within five
finds that a prompt decision by the (5) days after the filing of such submis-
DOT decisionmaker on a motion is es- sion), the objecting party shall file a
sential to the proper conduct of the motion to withhold the information
proceeding, the administrative law from public disclosure, in accordance
judge may refer such motion to the with the procedure outlined in para-
DOT decisionmaker for decision. graph (d) or (f) of this section, as ap-
(h) Appeals to the DOT decisionmaker propriate. Notwithstanding any other
from rulings of administrative law judges. provision of this section, copies of the
Rulings of administrative law judges filed submission and of the motion
on motions may not be appealed to the need not be served upon any other
DOT decisionmaker prior to his or her party unless so ordered by the Depart-
consideration of the entire proceeding ment.
except in extraordinary circumstances (c) Information contained in oral testi-
and with the consent of the adminis-
mony. Any person who objects to the
trative law judge. An appeal shall be
public disclosure of any information
disallowed unless the administrative
sought to be elicited from a witness or
law judge finds, either on the record or
deponent on oral examination shall, be-
in writing, that the allowance of such
fore such information is disclosed,
an appeal is necessary to prevent sub-
make his or her objection known. Upon
stantial detriment to the public inter-
such objection duly made, the witness
est or undue prejudice to any party. If
or deponent shall be compelled to dis-
an appeal is allowed, any party may
close such information only in the
file a brief with the DOT decision-
maker within such period as the ad- presence of the administrative law
ministrative law judge directs. No oral judge or the person before whom the
argument will be heard unless the DOT deposition is being taken, as the case
decisionmaker directs otherwise. The may be, the official stenographer and
rulings of the administrative law judge such attorneys for and representative
on a motion may be reviewed by the of each party as the administrative law
DOT decisionmaker in connection with judge or the person before whom the
his or her final action in the pro- deposition is being taken shall des-
ceeding or at any other appropriate ignate, and after all present have been
time irrespective of the filing of an ap- sworn to secrecy. The transcript of tes-
peal or any action taken on it. timony containing such information
shall be segregated and filed in a sealed
§ 302.12 Objections to public disclo- envelope, bearing the title and docket
sure of information. number of the proceeding, and the no-
(a) Generally. Part 7 of the Office of tation ‘‘Confidential Treatment Re-
the Secretary regulations, Public quested Under § 302.12 Testimony Given
Availability of Information, governs by (name of witness or deponent).’’
the availability of records and docu- Within five (5) days after such testi-
ments of the Department to the public. mony is given, the objecting person
(49 CFR 7.1 et seq.) shall file a motion in accordance with
(b) Information contained in written the procedure outlined in paragraph (d)
documents. Any person who objects to of this section, to withhold the infor-
the public disclosure of any informa- mation from public disclosure. Not-
tion filed in any proceeding, or pursu- withstanding any other provision of
ant to the provisions of the Statute, or this section, copies of the segregated
any Department rule, regulation, or portion of the transcript and of the mo-
order, shall segregate, or request the tion need not be served upon any other
segregation of, such information into a party unless so ordered by the Depart-
separate submission and shall file it ment.

290
§ 302.13 14 CFR Ch. II (1–1–19 Edition)
(d) Form of motion. Motions to with- case of objection to the public disclo-
hold from public disclosure informa- sure of any information filed by or elic-
tion covered by paragraphs (b) and (c) ited from any United States Govern-
of this section shall be filed with the ment department or agency, or rep-
Department in accordance with the fol- resentative thereof, under paragraph
lowing procedure: (b) or (c) of this section, the depart-
(1) The motion shall include: ment or agency making such objection
(i) An index listing the information shall be exempted from the provisions
or document sought to be withheld by of paragraphs (b), (c), and (d) of this
an identifying number, and including section insofar as said paragraphs re-
its title, description and number of quire the filing of a written objection
pages, and, if relevant, the specific lo- to such disclosure. However, any de-
cation within a document; partment, agency, or representative
(ii) A statement explaining how and thereof may, if it so desires, file a
why the information falls within one or memorandum setting forth the reasons
more of the exemptions from the Free- why it is claimed that a public disclo-
dom of Information Act (5 U.S.C. sure of the information should not be
552(b)(1)–(9)); and made. If such a memorandum is sub-
(iii) A statement explaining how and mitted, it shall be filed and handled as
why public disclosure of the informa- is provided by this section in the case
tion would adversely affect the inter- of a motion to withhold information
ests of the objecting persons and is not from public disclosure.
required in the interest of the public.
(2) Such motion shall be filed with § 302.13 Consolidation of proceedings.
the person conducting the proceeding,
(a) Initiation of consolidations. The De-
or with the person with whom said ap-
partment, upon its own initiative or
plication, report, or submission is re-
upon motion, may consolidate for hear-
quired to be filed. Such motion will be
ing or for other purposes or may con-
denied when the complete justification
temporaneously consider two or more
required by this paragraph is not pro-
vided. proceedings that involve substantially
(3) During the pendency of such mo- the same parties, or issues that are the
tion, the ruling official may, by notice same or closely related, if it finds that
or order, allow limited disclosure to such consolidation or contemporaneous
parties’ representatives, for purposes of consideration will be conducive to the
participating in the proceeding, upon proper dispatch of its business and to
submission by them of affidavits swear- the ends of justice and will not unduly
ing to protect the confidentiality of delay the proceedings. Although the
the documents at issue. Department may, in any particular
(e) Conditions of disclosure. The order, case, consolidate or contempora-
notice or other action of the Depart- neously consider two or more pro-
ment containing its ruling upon each ceedings on its own motion, the burden
such motion will specify the extent to of seeking consolidation or contem-
which, and the conditions upon which, poraneous consideration of a particular
the information may be disclosed to application shall rest upon the appli-
the parties and to the public, which cant and the Department will not un-
ruling shall become effective upon the dertake to search its docket for all ap-
date stated therein, unless, within five plications that might be consolidated
(5) days after the date of the entry of or contemporaneously considered.
the Department’s order with respect (b) Time for filing. Unless the Depart-
thereto, a petition is filed by the ob- ment has provided otherwise in a par-
jecting person requesting reconsider- ticular proceeding, a motion to con-
ation by the Department, or a written solidate or contemporaneously con-
statement is filed indicating that the sider an application with any other ap-
objecting person in good faith intends plication shall be filed within 21 days
to seek judicial review of the Depart- of the original application in the case
ment’s order. of international route awards under
(f) Objection by Government depart- section 41102 of the Statute (see
ments or representative thereof. In the § 302.212), or, where a proceeding has

291
Office of the Secretary, DOT § 302.14
been set for hearing before an adminis- ice. However, neither the filing nor the
trative law judge, not later than the granting of such a petition shall oper-
prehearing conference in the pro- ate as a stay of such final or interlocu-
ceeding with which consolidation or tory order unless specifically so or-
contemporaneous consideration is re- dered by the DOT decisionmaker. With-
quested. If made at such conference, in ten (10) days after a petition for re-
the motion may be oral. All motions consideration, rehearing, or reargu-
for consolidation or consideration of ment is filed, any party to the pro-
issues that enlarge, expand, or other- ceeding may file an answer in support
wise change the nature of the pro- of or in opposition. Motions for exten-
ceeding shall be addressed to the DOT sion of time to file a petition or an-
decisionmaker, unless made orally at swer, and for leave to file a petition or
the prehearing conference, in which answer after the time for the filing has
event the presiding administrative law expired, will not be granted except on a
judge shall present such motion to the showing of unusual and exceptional cir-
DOT decisionmaker for his or her deci- cumstances, constituting good cause
sion. A motion that is not timely filed, for the movant’s inability to meet the
or that does not relate to an applica- established procedural dates.
tion pending at such time, shall be dis- (b) Contents of petition. A petition for
missed unless the movant shall clearly reconsideration, rehearing, or reargu-
show good cause for failure to file such
ment shall state, briefly and specifi-
motion or application on time.
cally, the matters of record alleged to
(c) Answer. If a motion to consolidate
have been erroneously decided, the
two or more proceedings is filed with
ground relied upon, and the relief
the Department, any party to any of
sought. If a decision by the Secretary
such proceedings, or any person who
or Deputy Secretary is requested, the
has a petition for intervention pending,
petition should describe in detail the
may file an answer to such motion
within such period as the DOT deci- reasons for such request and specify
sionmaker may permit. The adminis- any important national transportation
trative law judge may require that an- policy issues that are presented. If the
swers to such motions be stated orally petition is based, in whole or in part,
at the prehearing conference in the on allegations as to the consequences
proceeding with which the consolida- that would result from the final order,
tion is proposed. the basis of such allegations shall be
set forth. If the petition is based, in
§ 302.14 Petitions for reconsideration. whole or in part, on new matter, such
(a) Department orders subject to recon- new matter shall be set forth, accom-
sideration; time for filing. (1) Unless an panied by a statement to the effect
order or a rule of the Department spe- that petitioner, with due diligence,
cifically provides otherwise: could not have known or discovered
(i) Any interested person may file a such new matter prior to the date the
petition for reconsideration of any in- case was submitted for decision. Unless
terlocutory order issued by the Depart- otherwise directed by the DOT deci-
ment that institutes a proceeding; and sionmaker upon a showing of unusual
(ii) Any party to a proceeding may or exceptional circumstances, petitions
file a petition for reconsideration, re- for reconsideration, rehearing or re-
hearing, or reargument of final orders argument or answers thereto that ex-
issued by the Department (See § 302.38), ceed twenty-five (25) pages (including
or an interlocutory order that defines appendices) in length shall not be ac-
the scope and issues of a proceeding or cepted for filing by Department of
suspends a provision of a tariff on file Transportation Dockets.
with the Department. (c) Successive petitions. A successive
(2) Unless otherwise provided, peti- petition for rehearing, reargument, re-
tions for reconsideration shall be filed, consideration filed by the same party
in the case of a final order, within or person, and upon substantially the
twenty (20) days after service thereof, same ground as a former petition that
and, in the case of an interlocutory has been considered or denied will not
order, within ten (10) days after serv- be entertained.

292
§ 302.15 14 CFR Ch. II (1–1–19 Edition)
NON-HEARING PROCEEDINGS action authorized by part 385 of this
chapter or by the Administrative Pro-
§ 302.15 Non-hearing procedures. cedure Act.
In cases where oral evidentiary hear- (3) The administrative law judge as-
ing procedures will not be used, § 302.17 signed to a particular case is delegated
through § 302.37, relating to hearing the DOT decisionmaker’s function of
procedures, shall not be applicable ex- making the agency decision on the sub-
cept to the extent that the DOT deci- stantive and procedural issues remain-
sionmaker shall determine that the ap- ing for disposition at the close of the
plication of some or all of such rules in hearing in such case, except that this
the particular case will be conducive to delegation does not apply in cases
the proper dispatch of its business and where the record is certified to the
to the public interest. References in DOT decisionmaker, with or without
these and other sections of this part to an initial or recommended decision by
powers or actions by administrative the administrative law judge, or in
law judges shall not apply. cases requiring Presidential approval
under section 41307 of the Statute. This
RULEMAKING PROCEEDINGS delegation does not apply to the review
of rulings by the administrative law
§ 302.16 Petitions for rulemaking. judge on interlocutory matters that
Any interested person may petition have been appealed to the DOT deci-
the Department for the issuance, sionmaker in accordance with the re-
amendment, modification, or repeal of quirements of § 302.11.
any regulation, subject to the provi- (4) The administrative law judge’s
sions of part 5, Rulemaking Proce- authority in each case will terminate
dures, of the Office of the Secretary either upon the certification of the
regulations (49 CFR 5.1 et seq.). record in the proceeding to the DOT de-
cisionmaker, or upon the issuance of
ORAL EVIDENTIARY HEARING an initial or recommended decision, or
PROCEEDINGS when he or she shall have withdrawn
from the case upon considering himself
§ 302.17 Administrative law judges. or herself disqualified.
(a) Powers and delegation of authority. (b) Disqualification. An administra-
(1) An administrative law judge shall tive law judge shall withdraw from the
have the following powers, in addition case if at any time he or she deems
to any others specified in this part: himself or herself disqualified. If, prior
(i) To give notice concerning and to to the initial or recommended decision
hold hearings; in the case, there is filed with the ad-
(ii) To administer oaths and affirma- ministrative law judge, in good faith,
tions; an affidavit of personal bias or dis-
(iii) To examine witnesses; qualification with substantiating facts
(iv) To issue subpoenas and to take and the administrative law judge does
or cause depositions to be taken; not withdraw, the DOT decisionmaker
(v) To rule upon offers of proof and to shall determine the matter, if properly
receive relevant evidence; presented by exception or brief, as a
(vi) To regulate the course and con- part of the record and decision in the
duct of the hearing; case. The DOT decisionmaker shall not
(vii) To hold conferences before or otherwise consider any claim of bias or
during the hearing for the settlement disqualification. The DOT decision-
or simplification of issues; maker, in his or her discretion, may
(viii) To rule on motions and to dis- order a hearing on a charge of bias or
pose of procedural requests or similar disqualification.
matters;
(ix) To make initial or recommended § 302.18 DOT decisionmaker.
decisions as provided in § 302.31; (a) Assistant Secretary for Aviation and
(x) To take any other action author- International Affairs. Except as provided
ized by this part or by the Statute. in paragraphs (b) and (c) of this sec-
(2) The administrative law judge tion, the Assistant Secretary for Avia-
shall have the power to take any other tion and International Affairs is the

293
Office of the Secretary, DOT § 302.20
DOT decisionmaker. The Assistant cial will be transmitted to the Presi-
Secretary shall have all of the powers dent of the United States when re-
set forth in § 302.17(a)(1) and those addi- quired under 49 U.S.C. 41307.
tional powers delegated by the Sec- (c) Secretary and Deputy Secretary.
retary. The Assistant Secretary may The Secretary or Deputy Secretary
delegate this authority in appropriate may exercise any authority of the As-
non-hearing cases to subordinate offi- sistant Secretary whenever he or she
cials. believes a decision involves important
(b) Oral hearing cases assigned to the questions of national transportation
senior career official. Carrier selection policy.
proceedings for international route au-
thority that are set for oral hearing § 302.19 Participation by persons not
and such other oral hearing cases as parties.
the Secretary deems appropriate will
be assigned to the senior career official Any person, including any State, sub-
in the Office of the Assistant Secretary division thereof, State aviation com-
for Aviation and International Affairs, mission, or other public body, may ap-
who will serve as the DOT decision- pear at any hearing, other than in an
maker. In all such cases, the adminis- enforcement proceeding, and present
trative law judge shall render a rec- any evidence that is relevant to the
ommended decision to the senior ca- issues. With the consent of the admin-
reer official, who shall have all of the istrative law judge or the DOT deci-
powers set forth in § 302.17(a)(1) and sionmaker, such person may also cross-
those additional powers delegated by examine witnesses directly. Such per-
the Secretary. sons may also present to the adminis-
(1) Decisions of the senior career offi- trative law judge a written statement
cial are subject to review by, and at on the issues involved in the pro-
the discretion of, the Assistant Sec- ceeding. Such written statements shall
retary for Aviation and International be filed and served on all parties prior
Affairs. Petitions for discretionary re- to the close of the hearing.
view of decisions of the senior career
official will not be entertained. A no- § 302.20 Formal intervention.
tice of review by the Assistant Sec- (a) Who may intervene. Any person
retary will establish the procedures for who has a statutory right to be made a
review. Unless a notice of review is party to an oral evidentiary hearing
issued, the decision of the senior career proceeding shall be permitted to inter-
official will be issued as a final deci- vene. Any person whose intervention
sion of the Department and will be will be conducive to the public interest
served fourteen (14) days after it is and will not unduly delay the conduct
adopted by the senior career official. of such proceeding may be permitted to
(2) Final decisions of the senior ca- intervene.
reer official may be reviewed upon a
(b) Considerations relevant to deter-
petition for reconsideration filed pur-
mination of petition to intervene. In pass-
suant to § 302.14. Such a petition shall
ing upon a petition to intervene, the
state clearly the basis for requesting
following factors, among other things,
reconsideration and shall specify any
questions of national transportation will be considered and will be liberally
policy that may be involved. The As- interpreted to facilitate the effective
sistant Secretary will either grant or participation by members of the public
deny the petition. in Department proceedings:
(3) Upon review or reconsideration, (1) The nature of the petitioner’s
the Assistant Secretary may either af- right under the statute to be made a
firm the decision or remand the deci- party to the proceeding;
sion to the senior career official for (2) The nature and extent of the prop-
further action consistent with such erty, financial or other interest of the
order of remand. petitioner;
(4) Subject to the provisions of para- (3) The effect of the order that may
graphs (b)(1) through (3) of this section, be entered in the proceeding on peti-
final decisions of the senior career offi- tioner’s interest;

294
§ 302.21 14 CFR Ch. II (1–1–19 Edition)
(4) The availability of other means be deemed to constitute an expression
whereby the petitioner’s interest may by the Department that the inter-
be protected; vening party has such a substantial in-
(5) The extent to which petitioner’s terest in the order that is to be entered
interest will be represented by existing in the proceeding as will entitle it to
parties; judicial review of such order.
(6) The extent to which petitioner’s
participation may reasonably be ex- § 302.21 Appearances.
pected to assist in the development of (a) Any party to a proceeding may
a sound record; and appear and be heard in person or by a
(7) The extent to which participation designated representative.
of the petitioner will broaden the (b) No register of persons who may
issues or delay the proceeding. practice before the Department is
(c) Petition to intervene—(1) Contents. maintained and no application for ad-
Any person desiring to intervene in a mission to practice is required.
proceeding shall file a petition in con- (c) Any person practicing or desiring
formity with this part setting forth the to practice before the Department
facts and reasons why he or she thinks may, upon hearing and good cause
he or she should be permitted to inter- shown, be suspended or barred from
vene. The petition should make spe- practicing.
cific reference to the factors set forth
in paragraph (b) of this section. § 302.22 Prehearing conference.
(2) Time for filing. Unless otherwise
(a) Purpose and scope of conference. At
ordered by the Department:
the discretion of the administrative
(i) A petition to intervene shall be
law judge, a prehearing conference may
filed with the Department prior to the
be called prior to any hearing. Written
first prehearing conference, or, in the
notice of the prehearing conference
event that no such conference is to be
shall be sent by the administrative law
held, not later than fifteen (15) days
judge to all parties to a proceeding and
prior to the hearing.
to other persons who appear to have an
(ii) A petition to intervene filed by a
interest in such proceeding. The pur-
city, other public body, or a chamber of
pose of such a conference is to define
commerce shall be filed with the De-
the issues and the scope of the pro-
partment not later than the last day
ceeding, to secure statements of the
prior to the beginning of the hearing.
positions of the parties and amend-
(iii) A petition to intervene that is
ments to the pleadings, to schedule the
not timely filed shall be dismissed un-
exchange of exhibits before the date set
less the petitioner shall clearly show
for hearing, and to arrive at such
good cause for his or her failure to file
agreements as will aid in the conduct
such petition on time.
and disposition of the proceeding. For
(3) Answer. Any party to a proceeding
example, consideration will be given
may file an answer to a petition to in-
to:
tervene, making specific reference to
the factors set forth in paragraph (b) of (1) Matters that the DOT decision-
this section, within seven (7) days after maker can consider without the neces-
the petition is filed. sity of proof;
(4) Disposition. The decision granting, (2) Admissions of fact and of the
denying or otherwise ruling on any pe- genuineness of documents;
tition to intervene may be issued with- (3) Requests for documents;
out receiving testimony or oral argu- (4) Admissibility of evidence;
ment either from the petitioner or (5) Limitation of the number of wit-
other parties to the proceeding. nesses;
(d) Effect of granting intervention. A (6) Reducing of oral testimony to ex-
person permitted to intervene in a pro- hibit form;
ceeding thereby becomes a party to the (7) Procedure at the hearing; and
proceeding. However, interventions (8) Use of electronic media as a basis
provided for in this section are for ad- for exchange of briefs, hearing tran-
ministrative purposes only, and no de- scripts and exhibits, etc., in addition to
cision granting leave to intervene shall the official record copy.

295
Office of the Secretary, DOT § 302.24
(b) Actions during prehearing con- § 302.23 Hearing.
ference. The administrative law judge
The administrative law judge to
may require a further conference, or
whom the case is assigned or the DOT
responsive pleadings, or both. If a
decisionmaker shall give the parties
party refuses to produce documents re-
reasonable notice of a hearing or of the
quested by another party at the con-
change in the date and place of a hear-
ference, the administrative law judge
may compel the production of such ing and the nature of such hearing.
documents prior to a hearing by sub- § 302.24 Evidence.
poena issued in accordance with the
provisions of § 302.25 as though at a (a) Presenting evidence. Presenting
hearing. Applications for the produc- evidence at the hearing shall be lim-
tion prior to hearing of documents in ited to material evidence relevant to
the Department’s possession shall be the issues as drawn by the pleadings or
addressed to the administrative law as defined in the report of prehearing
judge, in accordance with the provi- conference, subject to such later modi-
sions of § 302.25(g), in the same manner fications of the issues as may be nec-
as provided therein for production of essary to protect the public interest or
documents at a hearing. The adminis- to prevent injustice, and shall not be
trative law judge may also, on his or unduly repetitious. Evidence shall be
her own initiative or on motion of any presented in such form by all parties as
party, direct any party to the pro- the administrative law judge may di-
ceeding (air carrier or non-air carrier) rect.
to prepare and submit exhibits setting (b) Objections to evidence. Objections
forth studies, forecasts, or estimates to the admission or exclusion of evi-
on matters relevant to the issues in the dence shall be in short form, stating
proceeding. the grounds of objections relied upon,
(c) Report of prehearing conference. and the transcript shall not include ar-
The administrative law judge shall gument or debate except as ordered by
issue a report of prehearing conference, the administrative law judge. Rulings
defining the issues, giving an account on such objections shall be a part of
of the results of the conference, speci- the transcript.
fying a schedule for the exchange of ex- (c) Exhibits. When exhibits are offered
hibits and rebuttal exhibits, the date of in evidence, one copy must be fur-
hearing, and specifying a time for the nished to each of the parties at the
filing of objections to such report. The hearing, and two copies to the adminis-
report shall be served upon all parties trative law judge, unless the parties
to the proceeding and any person who
previously have been furnished with
appeared at the conference. Objections
copies or the administrative law judge
to the report may be filed by any inter-
directs otherwise. If the administrative
ested person within the time specified
law judge has not fixed a time for the
therein. The administrative law judge
may revise his or her report in the exchange of exhibits, the parties shall
light of the objections presented. The exchange copies of exhibits at the ear-
revised report, if any, shall be served liest practicable time, preferably be-
upon the same persons as was the origi- fore the hearing or, at the latest, at
nal report. Exceptions may be taken on the commencement of the hearing.
the basis of any timely written objec- Copies of exhibits may, at the discre-
tion that has not been met by a revi- tion of the administrative law judge or
sion of the report if the exceptions are the DOT decisionmaker, be furnished
filed within the time specified in the by use of electronic media in lieu of or
revised report. Such report shall con- in addition to a paper record copy.
stitute the official account of the con- (d) Substitution of copies for original
ference and shall control the subse- exhibits. In his or her discretion, the ad-
quent course of the proceeding, but it ministrative law judge may permit a
may be reconsidered and modified at party to withdraw original documents
any time to protect the public interest offered in evidence and substitute true
or to prevent injustice. copies in lieu thereof.

296
§ 302.24 14 CFR Ch. II (1–1–19 Edition)
(e) Designation of parts of documents. judge to notice other matters or docu-
When relevant and material matter of- ments properly the subject of official
fered in evidence by any party is em- notice, facts contained in any docu-
braced in a book, paper, or document ment within the categories enumerated
containing other matter not material in this subdivision are officially no-
or relevant, the party offering the ticed in all formal economic pro-
same shall plainly designate the mat- ceedings except those subject to sub-
ter so offered. The immaterial and ir- part D of this part. Each such category
relevant parts shall be excluded and shall include any document antedating
shall be segregated insofar as prac- the final Department decision in the
ticable. If the volume of immaterial or proceeding where such notice is taken.
irrelevant matter would unduly encum- The matters officially noticed under
ber the record, such submission will the provisions of this paragraph are:
not be received in evidence, but may be (i) Air carrier certificates or applica-
marked for identification, and, if prop- tions therefor, together with any re-
erly authenticated, the relevant or ma- quests for amendment, and pleadings
terial matter may be read into the responding to applications when prop-
record, or, if the administrative law erly filed.
judge so directs, a true copy of such (ii) All Form 41 reports required to be
matter, in proper form, shall be re- filed by air carriers with the Depart-
ceived as an exhibit, and like copies de- ment.
livered by the party offering the same (iii) Reports of Traffic and Financial
to opposing parties or their attorneys Data of all U.S. Air Carriers issued by
appearing at the hearing, who shall be the Civil Aeronautics Board (CAB) or
afforded an opportunity to examine the the Department.
submission, and to offer in evidence in (iv) Airline Traffic Surveys and Pas-
like manner other portions of the ex- senger Origin-Destination Surveys, Do-
hibit. mestic and International, compiled by
(f) Records in other proceedings. In the CAB or the Department and pub-
case any portion of the record in any lished and/or made available either to
other proceeding or civil or criminal the public or to parties in proceedings.
action is offered in evidence, a true (v) Compilations of data relating to
copy of such portion shall be presented competition in the airline industry and
for the record in the form of an exhibit made available to the public by the
unless: CAB or the Department, such as the
(1) The portion is specified with par- 1990 Airline Competition Study.
ticularity in such manner as to be (vi) Passenger, mail, express, and
readily identified; freight data submitted to the CAB or
(2) The party offering the same the Department as part of ER–586 Serv-
agrees unconditionally to supply such ice Segment Data by U.S. carriers, or
copies later, or when required by the similar data submitted to the Depart-
DOT decisionmaker; ment by U.S. air carriers (T–100) or by
(3) The parties represented at the foreign air carriers (T–100F) that is not
hearing stipulate upon the record that confidential.
such portion may be incorporated by (vii) All tariffs, including the elec-
reference, and that any portion offered tronic versions, and amendments
by any other party may be incor- thereof, of all air carriers, on file with
porated by like reference upon compli- the Department.
ance with paragraphs (f)(1) and (2) of (viii) Service Mail Pay and Subsidy
this section; and for U.S. Certificated Air Carriers pub-
(4) The administrative law judge di- lished by the CAB and any supple-
rects such incorporation or waives the mental data and subsequent issues pub-
requirement in paragraph (f)(3) of this lished by the CAB or the Department.
section with the consent of the parties. (ix) Airport Activity Statistics of
(g) Official notice of facts contained in Certificated Air Carriers compiled and
certain documents. (1) Without limiting, published by the Federal Aviation Ad-
in any manner or to any extent, the ministration (FAA) or the Department.
discretionary powers of the DOT deci- (x) Air Traffic Activity Data issued
sionmaker and the administrative law by the FAA.

297
Office of the Secretary, DOT § 302.25
(xi) National Plan of Integrated Air- ter without regard to whether or not
port Systems (NPIAS) issued by the such items are contained in a docu-
FAA. ment belonging to the categories enu-
(xii) Airport Facilities Directory, merated in paragraph (g)(1) of this sec-
Form 5010, issued by the FAA. tion. However, where the decision rests
(xiii) The Airman’s Information Man- on official notice of a material fact or
ual issued by the FAA. facts, it will set forth such items with
(xiv) ICAO Statistical Summary, sufficient particularity to advise inter-
Preliminary Issues and Nos. 1 through ested persons of the matters that have
14, and Digest of Statistics, Nos. 15 been noticed.
through 71, prepared by ICAO, Mon- (h) Receipt of documents after hearing.
treal, Canada, with all changes and ad- No document or other writings shall be
ditions. accepted for the record after the close
(xv) Monthly, quarterly and annual of the hearing except in accordance
reports of the Immigration and Natu- with an agreement of the parties and
ralization Service, U.S. Department of the consent of the administrative law
Justice. judge or the DOT decisionmaker.
(xvi) All forms and reports required (i) Exceptions. Formal exceptions to
by the U.S. Postal Service to be filed the rulings of the administrative law
by air carriers authorized to transport judge made during the course of the
mail. hearing are unnecessary. For all pur-
(xvii) All orders of the Postmaster poses for which an exception otherwise
General designating schedules for the would be taken, it is sufficient that a
transportation of mail. party, at the time the ruling of the ad-
(xviii) Publications of the Bureau of ministrative law judge is made or
the Census of the U.S. Department of sought, makes known the action he or
Commerce (DOC) relating, but not nec- she desires the administrative law
essarily limited, to population, manu- judge to take or his or her objection to
facturing, business, statistics, and any an action taken, and his or her grounds
yearbooks, abstracts, or similar publi- therefor.
cations published by DOC. (j) Offers of proof. Any offer of proof
(xix) ABC World Airways Guide and made in connection with an objection
all Official Airline Guides, including taken to any ruling of the administra-
the North American, Worldwide, All- tive law judge rejecting or excluding
Cargo and quick reference editions, in- proffered oral testimony shall consist
cluding electronic versions. of a statement of the substance of the
(xx) Official Guide of the Railways evidence that counsel contends would
and Russell’s Official National Motor be adduced by such testimony, and if
Coach Guide. the excluded evidence consists of evi-
(xxi) The Rand McNally Commercial dence in documentary or written form
Atlas and Marketing Guide, and the or of reference to documents or
Rand McNally Road Atlas, United records, a copy of such evidence shall
States, Canada, and Mexico. be marked for identification and shall
(xxii) Survey of Buying Power pub- constitute the offer of proof.
lished by Sales Management Magazine.
(2) Any fact contained in a document § 302.25 Subpoenas.
belonging to a category enumerated in (a) An application for a subpoena re-
paragraph (g)(1) of this section shall be quiring the attendance of a witness at
deemed to have been physically incor- a hearing or the production of docu-
porated into and made part of the mentary evidence may be made with-
record in such proceedings. However, out notice by any party to the adminis-
such taking of official notice shall be trative law judge or, in the event that
subject to the rights granted to any an administrative law judge has not
party or intervener to the proceeding been assigned to a proceeding or is not
under section 7(d) of the Administra- available, to the DOT decisionmaker or
tive Procedure Act (5 U.S.C. 557(d)). the Chief Administrative Law Judge,
(3) The decisions of the Department for action.
and its administrative law judges may (b) An application for a subpoena
officially notice any appropriate mat- shall be in duplicate except that if it is

298
§ 302.26 14 CFR Ch. II (1–1–19 Edition)
made during the course of a hearing, it his or her final action thereon. The
may be made orally on the record with DOT decisionmaker may at any time
the consent of the administrative law review, upon his or her own initiative,
judge. the ruling of an administrative law
(c) All such applications, whether judge or the Chief Administrative Law
written or oral, shall contain a state- Judge denying a motion to quash a
ment or showing of general relevance subpoena. In such cases, the DOT deci-
and reasonable scope of the evidence sionmaker may order that the return
sought, and shall be accompanied by date of a subpoena be stayed pending
two copies of a draft of the subpoena action thereon.
sought that, in the case of evidence, (g) The provisions of this section are
shall describe the documentary or tan-
not applicable to the attendance of
gible evidence to be subpoenaed with as
DOT employees or the production of
much particularity as is feasible, or, in
the case of a witness, the name of the documentary evidence in the custody
witness and a general description of thereof at a hearing. The attendance of
the matters concerning which the wit- DOT employees and the production of
ness will be asked to testify. documentary evidence in their custody
(d) The administrative law judge or are governed by 49 CFR Parts 9 and 7,
DOT decisionmaker considering any respectively.
application for a subpoena shall issue
the subpoena requested if the applica- § 302.26 Depositions.
tion complies with this section. No at- (a) For good cause shown, the DOT
tempt shall be made to determine the decisionmaker or administrative law
admissibility of evidence in passing judge assigned to a proceeding may
upon an application for a subpoena, order that the testimony of a witness
and no detailed or burdensome showing be taken by deposition and that the
shall be required as a condition to the witness produce documentary evidence
issuance of a subpoena. in connection with such testimony. Or-
(e) Where it appears during the dinarily an order to take the deposi-
course of a proceeding that the testi- tion of a witness will be entered only
mony of a witness or documentary evi- if:
dence is relevant to the issues in a pro-
(1) The person whose deposition is to
ceeding, the administrative law judge,
Chief Administrative Law Judge or be taken would be unavailable at the
DOT decisionmaker may issue on his or hearing,
her own initiative a subpoena requiring (2) The deposition is deemed nec-
such witness to attend and testify or essary to perpetuate the testimony of
requiring the production of such docu- the witness, or
mentary evidence. (3) The taking of the deposition is
(f) Subpoenas issued under this sec- necessary to prevent undue and exces-
tion shall be served upon the person to sive expense to a party and will not re-
whom directed in accordance with sult in an undue burden to other par-
§ 302.7(b). Any person upon whom a sub- ties or in undue delay.
poena is served may within seven (7) (b) Any party desiring to take the
days after service or at any time prior deposition of a witness shall make ap-
to the return date thereof, whichever is plication therefor in duplicate to the
earlier, file a motion to quash or mod- administrative law judge or, in the
ify the subpoena with the administra- event that an administrative law judge
tive law judge or, in the event an ad- has not been assigned to a proceeding
ministrative law judge has not been as- or is not available, to the DOT deci-
signed to a proceeding or is not avail- sionmaker or Chief Administrative
able, to the DOT decisionmaker or the
Law Judge, setting forth the reasons
Chief Administrative Law Judge for ac-
why such deposition should be taken,
tion. If the person to whom the motion
the name and residence of the witness,
to modify or quash the subpoena has
been addressed or directed, has not the time and place proposed for the
acted upon such a motion by the return taking of the deposition, and a general
date, such date shall be stayed pending description of the matters concerning

299
Office of the Secretary, DOT § 302.26
which the witness will be asked to tes- (f) Depositions may also be taken and
tify. If good cause be shown, the ad- submitted on written interrogatories
ministrative law judge, the DOT deci- in substantially the same manner as
sionmaker, or the Chief Administrative depositions taken by oral examination.
Law Judge, as the case may be, may, in Ordinarily such procedure will be au-
his or her discretion, issue an order au- thorized only if necessary to achieve
thorizing such deposition and speci- the purposes of an oral deposition and
fying the witness whose deposition is to serve the balance of convenience of
to be taken, the general scope of the the parties. The interrogatories shall
testimony to be taken, the time when, be filed in quadruplicate with two cop-
the place where, the designated officer ies of the application and a copy of
(authorized to take oaths) before whom each shall be served on each party.
the witness is to testify, and the num-
Within seven (7) days after service any
ber of copies of the deposition to be
party may file with the person to
supplied. Such order shall be served
whom application was made two copies
upon all parties by the person pro-
posing to take the deposition a reason- of his or her objections, if any, to such
able period in advance of the time fixed interrogatories and may file such
for taking testimony. cross-interrogatories as he or she de-
(c) Witnesses whose testimony is sires to submit. Cross-interrogatories
taken by deposition shall be sworn or shall be filed in quadruplicate, and a
shall affirm before any questions are copy thereof together with a copy of
put to them. Each question shall be re- any objections to interrogatories, shall
corded and the answers shall be taken be served on each party, who shall have
down in the words of the witness. five (5) days thereafter to file and serve
(d) Objections to questions or evi- his or her objections, if any, to such
dence shall be in short form, stating cross-interrogatories. Objections to in-
the grounds of objection relied upon, terrogatories or cross-interrogatories,
but no transcript filed by the des- shall be served on the DOT decision-
ignated officer shall include argument maker or the administrative law judge
or debate. Objections to questions or considering the application. Objections
evidence shall be noted by the des- to interrogatories shall be made before
ignated officer upon the deposition, but the order for taking the deposition
he or she shall not have power to de- issues and if not so made shall be
cide on the competency or materiality deemed waived. When a deposition is
or relevance of evidence, and he or she taken upon written interrogatories,
shall record the evidence subject to ob- and cross-interrogatories, no party
jection. Objections to questions or evi-
shall be present or represented, and no
dence not made before the designated
person other than the witness, a re-
officer shall not be deemed waived un-
less the ground of the objection is one porter, and the designated officer shall
that might have been obviated or re- be present at the examination of the
moved if presented at that time. witness, which fact shall be certified by
(e) The testimony shall be reduced to the designated officer, who shall ask
writing by the designated officer, or the interrogatories and cross-interrog-
under his or her direction, after which atories to the witness in their order
the deposition shall be signed by the and reduce the testimony to writing in
witness unless the parties by stipula- the witness’s own words. The provi-
tion waive the signing or the witness is sions of paragraph (e) of this section
ill or cannot be found or refuses to shall be applicable to depositions taken
sign, and certified in usual form by the in accordance with this paragraph.
designated officer. If the deposition is (g) All depositions shall conform to
not signed by the witness, the des- the specifications of § 302.3 except that
ignated officer shall state on the record the filing of three copies thereof shall
this fact and the reason therefor. The be sufficient. Any fees of a witness, the
original deposition and exhibits shall reporter, or the officer designated to
be forwarded to Department of Trans- take the deposition shall be paid by the
portation Dockets and shall be filed in person at whose instance the deposi-
the proceedings. tion is taken.

300
§ 302.27 14 CFR Ch. II (1–1–19 Edition)
(h) The fact that a deposition is tion 41511 of the Statute shall be enti-
taken and filed in a proceeding as pro- tled to any fees or mileage; And pro-
vided in this section does not con- vided further, That such fees and mile-
stitute a determination that it is ad- age shall not be applicable for wit-
missible in evidence or that it may be nesses summoned to testify in Alaska,
used in the proceeding. Only such part and that, in Alaska, where permitted
or the whole of a deposition as is re- by section 41511 of the Statute, the wit-
ceived in evidence shall constitute a ness may, at his or her option, accept
part of the record in such proceeding a pass for travel by air. Such witnesses
upon which a decision may be based. shall be furnished appropriate forms
and instructions for the submission of
§ 302.27 Rights of witnesses; attend- claims for attendance fees, subsistence,
ance fees and mileage. and mileage from the Government be-
(a) Any person appearing as a witness fore the close of the proceedings that
in any proceeding governed by this they are required to attend. Only per-
part, whether in response to a sub- sons summoned by subpoena shall be
poena or by request or permission of entitled to claim attendance fees, sub-
the Department, may be accompanied, sistence, or mileage from the Govern-
represented, and advised by counsel ment.
and may be examined by that counsel (2) Witnesses who are salaried em-
after other questioning. ployees of the United States and who
(b) Any person who submits data or are summoned to testify on matters re-
evidence in a proceeding governed by lating to their public employment, ir-
this part, whether in response to a sub- respective of at whose instance they
poena or by request or permission of are summoned, shall be paid in accord-
the Department, may retain, or, on ance with applicable Government regu-
payment of lawfully prescribed costs, lations.
procure, a copy of any document so
submitted or a copy of any transcript § 302.28 Transcripts of hearings.
made of such testimony.
(c) No person whose attendance at a (a) Hearings shall be recorded and
hearing or whose deposition is to be transcribed under supervision of the
taken shall be obliged to respond to a administrative law judge, by a report-
subpoena unless upon a service of the ing firm under contract with the De-
subpoena he or she is tendered attend- partment. Copies of the transcript that
ance fees and mileage by the party at may, at the discretion of the adminis-
whose instance he or she is called in trative law judge, be furnished by use
accordance with the requirements of of electronic media in addition to the
paragraphs (c)(1) and (2) of this section; official copy, shall be supplied to the
Provided, That a witness summoned at parties to the proceeding by said re-
the instance of the Department or one porting firm, at the contract price for
of its employees, or a salaried em- copies.
ployee of the United States summoned (b) The administrative law judge
to testify as to matters related to his shall determine whether ‘‘ordinary
or her public employment, need not be transcript’’ or ‘‘daily transcript’’ (as
tendered such fees or mileage at that those terms are defined in the con-
time. tract) will be necessary and required
(1) Witnesses who are not salaried for the proper conduct of the pro-
employees of the United States, or ceeding and the Department will pay
such employees summoned to testify the reporting firm the cost of reporting
on matters not related to their public its proceedings at the contract price
employment, shall be paid the same for such type of transcript. If the ad-
per diem, subsistence, and mileage fees ministrative law judge has determined
paid to witnesses for like service in the that ordinary transcript is adequate,
courts of the United States that are in and has notified the parties of such de-
effect at the time of travel; Provided, termination (in the notice of hearings,
That no employee, officer, or attorney or otherwise), then any party may re-
of an air carrier who travels under the quest reconsideration of such deter-
free or reduced rate provisions of sec- mination and that daily transcript be

300
Office of the Secretary, DOT § 302.30
required. In determining what is nec- Department of Transportation Dock-
essary and required for the proper con- ets, within ten (10) days after receipt of
duct of the proceeding, the administra- the completed transcript by the De-
tive law judge shall consider, among partment. If no objections to the mo-
other things: tion are filed within ten (10) days
(1) The nature of the proceeding thereafter, the transcript may, upon
itself; the approval of the administrative law
(2) The DOT decisionmaker’s needs as judge, be changed to reflect such cor-
well as the reasonable needs of the par- rections. If objections are received, the
ties; motion and objections shall be sub-
(3) The cost to the Department; and mitted to the official reporter by the
(4) The requirements of a fair hear- administrative law judge together with
ing. a request for a comparison of the tran-
(c) If the administrative law judge script with the reporter’s record of the
has determined that ordinary tran- hearing. After receipt of the report of
script is adequate, or, upon reconsider- the official reporter an order shall be
ation, has adhered to such determina- entered by the administrative law
tion, then any party may request the judge settling the record and ruling on
reporting firm to provide daily tran- the motion.
script. In that case, pursuant to its
contract with the Department, the re- § 302.29 Argument before the adminis-
porting firm will be obligated to fur- trative law judge.
nish to the Department daily tran- (a) The administrative law judge
script upon the agreement by the re- shall give the parties to the proceeding
questing party to pay to the reporting adequate opportunity during the
firm an amount equal to the difference course of the hearing for the presen-
between the contract prices for ordi- tation of arguments in support of or in
nary transcript and daily transcript, opposition to motions, and objections
provided that the requesting party and exceptions to rulings of the admin-
makes such agreement with the report- istrative law judge.
ing firm at least twenty-four (24) hours (b) When, in the opinion of the ad-
in advance of the date for which such ministrative law judge, the volume of
transcript is requested. the evidence or the importance or com-
(d) Any party may obtain from the plexity of the issues involved warrants,
Office of the Assistant Secretary for he or she may, either on his or her own
Administration, the name and address motion or at the request of a party,
of the private reporting company with permit the presentation of oral argu-
which the Department currently has a ment, and may impose such time limits
contract for transcripts and copies, as on the argument as he or she may de-
well as the contract prices then in ef- termine appropriate. Such argument
fect for such services. shall be transcribed and bound with the
(e) Copies of transcripts ordered by transcript of testimony and will be
parties other than the Department available to the Department decision-
shall be prepared for delivery to the re- maker for consideration in deciding
questing person at the reporting firm’s the case.
place of business, within the stated
time for the type of transcript ordered. § 302.30 Briefs to the administrative
The requesting party and the reporting law judge.
firm may agree upon some other form Within such limited time after the
or means of delivery (mail, messenger, close of the reception of evidence fixed
electronic media, etc.) and the report- by the administrative law judge, any
ing firm may charge for such special party may, upon request and under
service, provided that such charge shall such conditions as the administrative
not exceed the reasonable cost of such law judge may prescribe, file for his or
service. her consideration briefs which may in-
(f) Changes in the official transcript clude proposed findings of fact and con-
may be made only when they involve clusions of law that shall contain exact
errors affecting substance. A motion to references to the record and authori-
correct a transcript shall be filed with ties relied upon.

301
§ 302.31 14 CFR Ch. II (1–1–19 Edition)

§ 302.31 Initial and recommended deci- sions of paragraph (d) of this section.
sions; certification of the record. In the event the administrative law
(a) Action by administrative law judge judge certifies the record to the DOT
after hearing. Except where the DOT de- decisionmaker without an initial or
cisionmaker directs otherwise, after recommended decision, he or she shall
the taking of evidence and the receipt notify the parties of the time within
of briefs which may include proposed which to file with the DOT decision-
findings of fact and conclusions of law, maker briefs which may include pro-
if any, the administrative law judge posed findings of fact and conclusions
shall take the following action: of law.
(1) Initial decision. If the proceeding (d) Unless a petition for discretionary
does not involve foreign air transpor- review is filed pursuant to § 302.32, ex-
tation, the administrative law judge ceptions are filed pursuant to § 302.217,
shall render an ‘‘initial decision.’’ Such or the DOT decisionmaker issues an
decision shall encompass the adminis- order to review upon his or her own ini-
trative law judge’s decision on the mer- tiative, the initial decision shall be-
its of the proceeding and on all ancil- come effective as the final order of the
lary procedural issues remaining for Department thirty (30) days after serv-
disposition at the close of the hearing. ice thereof; in the case of a rec-
(2) Recommended decision. In cases ommended decision, that decision shall
where the action of the Department in- be transmitted to the President of the
volves foreign air transportation and is United States under 49 U.S.C. 41307. If a
subject to review by the President of petition for discretionary review or ex-
the United States pursuant to section ceptions are timely filed or action to
41307 of the Statute, the administrative review is taken by the DOT decision-
law judge shall render a ‘‘recommended maker upon his or her own initiative,
decision.’’ Such decision shall encom- the effectiveness of the initial decision
pass the administrative law judge’s de- or the transmission of the rec-
cision on the merits of the proceeding ommended decision is stayed until the
and on all ancillary procedural issues further order of the DOT decision-
remaining for disposition at the close maker.
of the hearing.
(b) Certification to the DOT decision- § 302.32 Petitions for discretionary re-
maker for decision. At any time prior to view of initial or recommended de-
the close of the hearing, the DOT deci- cisions; review proceedings.
sionmaker may direct the administra- (a) Petitions for discretionary review.
tive law judge to certify any question (1) Review by the DOT decisionmaker
or the entire record in the proceeding pursuant to this section is not a matter
to the DOT decisionmaker for decision. of right but is at the sole discretion of
In cases where the record is thus cer- the DOT decisionmaker. Any party
tified, the administrative law judge may file and serve a petition for discre-
shall not render a decision but shall tionary review by the DOT decision-
make a recommendation to the DOT maker of an initial decision or rec-
decisionmaker as required by section ommended decision within twenty-one
8(a) of the Administrative Procedure (21) days after service thereof, unless
Act (5 U.S.C. 558(a)) unless advised by the DOT decisionmaker sets a different
the DOT decisionmaker that he or she period for filing.
intends to issue a tentative decision. (2) Petitions for discretionary review
(c) Every initial or recommended de- shall be filed only upon one or more of
cision issued shall state the names of the following grounds:
the persons who are to be served with (i) A finding of a material fact is er-
copies of it, the time within which ex- roneous;
ceptions to, or petitions for review of, (ii) A necessary legal conclusion is
such decision may be filed, and the without governing precedent or is a de-
time within which briefs in support of parture from or contrary to law, the
the exceptions may be filed. In addi- Department’s rules, or precedent;
tion, every such decision shall recite (iii) A substantial and important
that it is made under delegated author- question of law, policy or discretion is
ity, and contain notice of the provi- involved; or

302
Office of the Secretary, DOT § 302.33
(iv) A prejudicial procedural error the Department in the review pro-
has occurred. ceeding.
(3) Each issue shall be separately (d) Review proceedings. (1) The DOT
numbered and plainly and concisely decisionmaker may take review of an
stated. Petitioners shall not restate initial or recommended decision upon
the same point in repetitive discus- petition or on his or her own initiative
sions of an issue. Each issue shall be or both. The DOT decisionmaker will
supported by detailed citations of the issue a final order upon such review
record when objections are based on without further proceedings on any or
the record, and by statutes, regulations all the issues where he or she finds that
or principal authorities relied upon. matters raised do not warrant further
Any matters of fact or law not argued proceedings.
before the administrative law judge, (2) Where the DOT decisionmaker de-
but that the petitioner proposes to sires further proceedings, he or she will
argue on brief to the DOT decision- issue an order for review that will:
maker, shall be stated. (i) Specify the issues to which review
(4) Petitions for discretionary review will be limited. Only those issues speci-
shall be self-contained and shall not in- fied in the order shall be argued on
corporate by reference any part of an- brief to the DOT decisionmaker, pursu-
other document. Except by permission ant to § 302.35, and considered by the
of the DOT decisionmaker, petitions DOT decisionmaker;
shall not exceed twenty (20) pages in- (ii) Specify the portions of the ad-
cluding appendices and other papers ministrative law judge’s decision, if
physically attached to the petition. any, that are to be stayed as well as
the effective date of the remaining por-
(5) Requests for oral argument on pe-
tions thereof; and
titions for discretionary review will
(iii) Designate the parties to the re-
not be entertained by the DOT deci-
view proceeding.
sionmaker.
(b) Answers. Within fifteen (15) days § 302.33 Tentative decision of the DOT
after service of a petition for discre- decisionmaker.
tionary review, any party may file and (a) Except as provided in paragraph
serve an answer of not more than fif- (b) of this section, whenever the admin-
teen (15) pages in support of or in oppo- istrative law judge certifies the record
sition to the petition. If any party de- in a proceeding directly to the DOT de-
sires to answer more than one petition cisionmaker without issuing an initial
for discretionary review in the same or recommended decision in the mat-
proceeding, he or she shall do so in a ter, the DOT decisionmaker shall, after
single document of not more than consideration of any briefs submitted
twenty (20) pages. by the parties, prepare a tentative de-
(c) Orders declining review. The DOT cision and serve it upon the parties.
decisionmaker’s order declining to ex- Every tentative decision of the DOT
ercise the discretionary right of review decisionmaker shall state the names of
will specify the date upon which the the persons who are to receive copies of
administrative law judge’s decision it, the time within which exceptions to
shall become effective as the final deci- such decision and briefs, if any, in sup-
sion of the Department. A petition for port of or in opposition to the excep-
reconsideration of a Department order tions may be filed, and the date when
declining review will be entertained such decision will become final in the
only when the order exercises, in part, absence of exceptions thereto. If no ex-
the DOT decisionmaker’s discretionary ceptions are filed to the tentative deci-
right of review, and such petition shall sion of the DOT decisionmaker within
be limited to the single question of the period fixed, it shall become final
whether any issue designated for re- at the expiration of such period unless
view and any issue not so designated the DOT decisionmaker orders other-
are so inseparably interrelated that the wise.
former cannot be reviewed independ- (b) The DOT decisionmaker may, in
ently or that the latter cannot be made his or her discretion, omit a tentative
effective before the final decision of decision in proceedings under subpart

303
§ 302.34 14 CFR Ch. II (1–1–19 Edition)
B. Final decisions of the DOT decision- opposition to the exceptions filed by
maker are subject to review as pro- any other party. Briefs to the DOT de-
vided in § 302.18. cisionmaker on initial or recommended
decisions of administrative law judges
§ 302.34 Exceptions to tentative deci- shall be filed only in those cases where
sions of the DOT decisionmaker. the DOT decisionmaker grants discre-
(a) Time for filing. Within ten (10) tionary review and orders further pro-
days after service of any tentative de- ceedings, pursuant to § 302.32(d)(2), and
cision of the DOT decisionmaker, any only upon those issues specified in the
party to a proceeding may file excep- order. Such briefs shall be filed within
tions to such decision with the DOT de- thirty (30) days after date of service of
cisionmaker. the order granting discretionary review
(b) Form and contents of exceptions. unless otherwise specified in the order.
Each exception shall be separately In cases where, because of the limited
numbered and shall be stated as a sepa- number of parties and the nature of the
rate point, and appellants shall not re- issues, the filing of opening, answering,
state the same point in several excep- and reply briefs will not unduly delay
tions. Each exception shall state, suffi- the proceeding and will assist in its
ciently identify, and be limited to, an proper disposition, the DOT decision-
ultimate conclusion in the decision to maker may direct that the parties file
which exception is taken (such as, se- briefs at different times rather than at
lection of one carrier rather than an- the same time.
other to serve any point or points;
(b) Effect of failure to restate objections
points included in or excluded from a
in briefs. In determining the merits of
new route; imposition or failure to im-
an appeal, the DOT decisionmaker will
pose a given restriction; determination
not consider the exceptions or the peti-
of a rate at a given amount rather than
tion for discretionary review but will
another). No specific exception shall be
consider only the brief. Each objection
taken with respect to underlying find-
ings or statements, but exceptions to contained in the exceptions or each
an ultimate conclusion shall be deemed issue specified in the DOT decision-
to include exceptions to all underlying maker’s order exercising discretionary
findings and statements pertaining review must be restated and supported
thereto; Provided, however, That excep- by a statement and adequate discus-
tions shall specify any matters of law, sion of all matters relied upon, in a
fact, or policy that were not argued be- brief filed pursuant to and in compli-
fore the administrative law judge but ance with the requirements of this sec-
will be set forth for the first time on tion.
brief to the DOT decisionmaker. (c) Formal specifications of briefs—(1)
(c) Effect of failure to file timely and Contents. Each brief shall discuss every
adequate exceptions. No objection may point of law, fact, or precedent that the
be made on brief or at a later time to party submitting it is entitled to raise
an ultimate conclusion that is not ex- and that it wishes the DOT decision-
pressly made the subject of an excep- maker to consider. Each brief shall in-
tion in compliance with the provisions clude a summary of the argument not
of this section; Provided, however, That to exceed five (5) pages. Support and
any party may file a brief in support of justification for every point raised
the decision and in opposition to the shall include itemized references to the
exceptions filed by any other party. pages of the transcript of hearing, ex-
hibit or other matter of record, and ci-
§ 302.35 Briefs to the DOT decision- tations of the statutes, regulations, or
maker. principal authorities relied upon. If a
(a) Time for filing. Within such period brief or any point discussed in the brief
after the date of service of any ten- is not in substantial conformity with
tative decision by the DOT decision- the requirement for such support and
maker as may be fixed therein, any justification, no motion to strike or
party may file a brief addressed to the dismiss such document shall be made
DOT decisionmaker in support of his or but the DOT decisionmaker may dis-
her exceptions to such decision or in regard the points involved. Copies of

304
Office of the Secretary, DOT § 302.202
briefs may be furnished by use of elec- gued and shall be served on all parties
tronic media in a format acceptable to to the proceeding with four (4) copies
the Department and the parties. transmitted to Department of Trans-
(2) Incorporation by reference. Briefs to portation Dockets at least five (5) cal-
the DOT decisionmaker shall be com- endar days in advance of the argument.
pletely self-contained and shall not in-
corporate by reference any portion of § 302.37 Waiver of procedural steps
any other brief or pleading; Provided, after hearing.
however, That instead of submitting a The parties to any proceeding may
brief to the DOT decisionmaker a party agree to waive any one or more of the
may adopt by reference specifically procedural steps provided in § 302.29
identified pages or the whole of his or through § 302.36.
her prior brief to the administrative
law judge if the latter complies with § 302.38 Final decision of the DOT De-
all requirements of this section. In cisionmaker.
such cases, the party shall file with De- When a case stands submitted to the
partment of Transportation Dockets a DOT decisionmaker for final decision
letter exercising this privilege and on the merits, he or she will dispose of
serve all parties in the same manner as the issues presented by entering an ap-
a brief to the DOT decisionmaker. propriate order that will include a
(3) Length. Except by permission or statement of the reasons for his or her
direction of the DOT decisionmaker, findings and conclusions. Such orders
briefs shall not exceed fifty (50) pages shall be deemed ‘‘final orders’’ within
including pages contained in any ap- the purview of § 302.14(a), in the manner
pendix, table, chart, or other document provided by § 302.18.
physically attached to the brief, but
excluding maps and the summary of Subpart B—Rules Applicable to
the argument. In this case ‘‘map’’ U.S. Air Carrier Certificate and
means only those pictorial representa-
tions of routes, flight paths, mileage, Foreign Air Carrier Permit Li-
and similar ancillary data that are su- censing Proceedings
perimposed on geographic drawings and § 302.201 Applicability.
contain only such text as is needed to
explain the pictorial representation. (a) This subpart sets forth the spe-
cific rules applicable to proceedings on:
§ 302.36 Oral argument before the DOT (1) U.S. air carrier certificates of pub-
decisionmaker. lic convenience and necessity and U.S.
(a) If any party desires to argue a all-cargo air service certificates under
case orally before the DOT decision- Chapter 411 of the Statute, including
maker, he or she shall request leave to renewals, amendments, modifications,
make such argument in his or her ex- suspensions and transfers of such cer-
ceptions or brief. Such request shall be tificates.
filed no later than the date when briefs (2) Foreign air carrier permits under
before the DOT decisionmaker are due Chapter 413 of the Statute, including
in the proceeding. The DOT decision- renewals, amendments, modifications,
maker will rule on such request, and, if suspensions, and transfers of such per-
oral argument is to be allowed, all par- mits.
ties to the proceeding will be advised of (b) Except as modified by this sub-
the date and hour set for such argu- part, the provisions of subpart A of this
ment and the amount of time allowed part apply.
to each party. Requests for oral argu-
ment on petitions for discretionary re- § 302.202 Contents of applications.
view will not be entertained. (a) Certificate applications filed
(b) Pamphlets, charts, and other under this subpart shall contain the in-
written data may be offered to the DOT formation required by part 201 of this
decisionmaker at oral argument only chapter and, where applicable, part 204
in accordance with the following rules: of this chapter, and foreign air carrier
All such material shall be limited to permit applications shall contain the
facts in the record of the case being ar- information required by part 211 of this

305
§ 302.203 14 CFR Ch. II (1–1–19 Edition)
chapter, along with any other informa- and other persons who file a pleading
tion that the applicant desires the De- in the docket shall serve:
partment to notice officially. (1) The airport authority of each air-
(b) Applications shall include a no- port that the applicant initially pro-
tice on the cover page stating that any poses to serve, and
person may support or oppose the ap- (2) Any other person who has filed a
plication by filing an answer and serv- pleading in the docket.
ing a copy of the answer on all persons (B) Applicants for certificates to en-
served with the application. The notice gage in foreign air transportation and
shall also state the due date for an- other persons who file a pleading in the
swers. Amendments to applications docket shall serve:
will be considered new applications for (1) All U.S. air carriers (including
the purpose of calculating the time commuter air carriers) that publish
limitations of this subsection. schedules in the Official Airline Guide or
(c) Applications shall include a list of in the Air Cargo Guide for the country-
the names and addresses of all persons pair market(s) specified in the applica-
who have been served in accordance tion,
with § 302.203. (2) The airport authority of each U.S.
(d) Where required, each application airport that the applicant initially pro-
shall be accompanied by an Energy poses to serve, and
Statement in conformity with part 313
(3) Any other person who has filed a
of this chapter.
pleading in the docket.
§ 302.203 Service of documents. (ii) In certificate proceedings involv-
ing charter-only authority under
(a) General requirements. (1) Appli-
41102(a)(3) of the Statute, applicants
cants shall serve on the persons listed
and other persons who file a pleading
in paragraph (b) of this section a notice
in the docket shall serve any other per-
that an application has been filed, and
son who has filed a pleading in the
upon request shall promptly provide
docket.
those persons with copies of the appli-
(2) Foreign air carriers. (i) In permit
cation and supporting documents. The
proceedings, except for those pro-
notice must clearly state the authority
ceedings involving charter-only au-
sought and the due date for other
thority, applicants and other persons
pleadings.
(2) Applicants shall serve a complete who have filed a pleading in the docket
copy of the application on the Manager shall serve:
of the FAA Flight Standards District (A) All U.S. air carriers (including
Office responsible for processing the commuter air carriers) that publish
application for any FAA authority schedules in the Official Airline Guide or
needed to conduct the proposed oper- the Air Cargo Guide for the country-
ations. pair market(s) specified in the applica-
(3) After an order under § 302.210 has tion,
been issued, parties need only serve (B) The U.S. Department of State,
documents on those persons listed in (C) The airport authority of each
the service list accompanying the U.S. airport that the applicant ini-
order. tially proposes to serve, and
(4) In the case of an application (D) Any other person who has filed a
sought to be consolidated, the appli- pleading in the docket.
cant shall serve the notice required in (ii) In foreign air carrier permit pro-
paragraph (a)(1) of this section on all ceedings for charter-only authority,
persons served by the original appli- applicants and other persons who file a
cant. pleading in the docket shall serve the
(b) Persons to be served—(1) U.S. air U.S. Department of State and any
carriers. (i) In certificate proceedings, other person who has filed a pleading
except for those proceedings that in- in the docket.
volve charter-only authority under sec- (c) Additional service. The Department
tion 41102(a)(3) of the Statute: may, at its discretion, order additional
(A) Applicants for certificates to en- service upon such persons as the facts
gage in interstate air transportation of the situation warrant. Where only

306
Office of the Secretary, DOT § 302.208
notices are required, parties are en- or an administrative law judge’s deci-
couraged to serve copies of their actual sion is required because:
pleadings where feasible. In any pro- (1) Use of written procedures will
ceeding directly involving air transpor- prejudice a party;
tation to the Federated States of Mi- (2) Material issues of decisional fact
cronesia, the Marshall Islands or cannot adequately be resolved without
Palau, the Department and any party oral evidentiary hearing procedures; or
or participant in the proceeding shall (3) Assignment of an application for
serve all documents on the President oral evidentiary hearing procedures or
and the designated authorities of the an initial or recommended decision by
government(s) involved. an administrative law judge is other-
wise required by the public interest.
§ 302.204 Responsive documents. (b) The standards employed in decid-
(a) Any person may file an answer in ing cases under § 302.210(a)(1) or (5)
support of or in opposition to any ap- shall be the same as the standards ap-
plication. Answers shall set forth the plied in cases decided under
basis for the position taken, including § 302.210(a)(4). These are the standards
any economic data or other facts relied set forth in the Statute as interpreted
on. Except as otherwise provided in and expanded upon under that Statute.
§ 302.212(d), answers shall be filed with-
§ 302.208 Petitions for oral presen-
in twenty one (21) days of the original tation or judge’s decision.
or amended application and shall be
served in accordance with § 302.203. (a) Any person may file a petition for
(b) Replies to answers shall be filed oral evidentiary hearing, oral argu-
within fourteen (14) days after the fil- ment, an initial or recommended deci-
ing of the answer. sion, or any combination of these. Peti-
tions shall demonstrate that one or
(c) Persons having common interests
more of the criteria set forth in
shall, to the extent practicable, ar-
§ 302.207 are applicable to the issues for
range for the joint preparation of
which an oral presentation or judge’s
pleadings.
decision is requested. Such petitions
§ 302.205 Economic data and other shall be supported by a detailed expla-
facts. nation of the following:
(1) Why the evidence or argument to
Whenever economic data and other be presented cannot be submitted in
facts are provided in any pleading, such the form of written evidence or briefs;
information shall include enough de- (2) Which issues should be examined
tail so that final results can be ob- by an administrative law judge and
tained without further clarification. why such issues should not be pre-
Sources, bases, and methodology used sented directly to the DOT decision-
in constructing exhibits, including any maker for decision;
estimates or judgments, shall be pro- (3) An estimate of the time required
vided. for the oral presentation and the num-
ber of witnesses whom the petitioner
§ 302.206 Verification.
would present; and
Any pleading filed under this subpart (4) If cross-examination of any wit-
shall include a certification as pro- ness is desired, the name of the wit-
vided in § 302.4(b). ness, if known, the subject matter of
the desired cross-examination or the
DISPOSITION OF APPLICATIONS title or number of the exhibit to be
cross-examined, what the petitioner ex-
§ 302.207 Cases to be decided on writ- pects to establish by the cross-exam-
ten submissions.
ination, and an estimate of the time
(a) Applications under this subpart needed for it.
will be decided on the basis of written (b) Petitions for an oral hearing, oral
submissions unless the DOT decision- argument, or an administrative law
maker, on petition as provided in judge’s decision shall be filed no later
§ 302.208 or on his or her own initiative, than the due date for answers in pro-
determines that an oral presentation ceedings governed by §§ 302.211, 302.212

307
§ 302.209 14 CFR Ch. II (1–1–19 Edition)
and 302.213, and be accompanied with whether one or more attorneys from
the information specified in paragraphs the Office of the Assistant General
(a)(1) and (a)(2) of this section. Filing Counsel for Aviation Enforcement and
of the information required in para- Proceedings will participate as a party.
graphs (a)(3) and (a)(4) of this section All of the procedures set forth in
may be deferred until the DOT deci- §§ 302.214 through 302.218 will apply un-
sionmaker has decided to hold a formal less the DOT decisionmaker decides
proceeding. otherwise.
(c) Where a stipulation of disputed (5) Begin to make a determination
facts would eliminate the need for an with respect to the application under
oral presentation or an administrative simplified procedures without oral evi-
law judge’s decision, parties shall in- dentiary hearing. In this event, the
clude in their petitions an offer to DOT decisionmaker may indicate
withdraw the request should the stipu- which, if any, of the procedural steps
lation be made. set forth in §§ 302.215 through 302.219
will be employed. The DOT decision-
§ 302.209 Procedures for deferral of
applications. maker may also indicate that other non-
oral evidentiary hearing proce- dures
Within twenty-eight (28) days after will be employed.
the filing of an application under this (b) Additional evidence. An order es-
subpart, the DOT decisionmaker may tablishing further procedures under
defer further processing of the applica- paragraph (a)(1), (4) or (5) of this sec-
tion until all of the information nec- tion may provide for the filing of addi-
essary to process that application is tional evidence.
submitted. The time periods contained
(c) Petitions for reconsideration. Peti-
in this subpart with respect to the dis-
tions for reconsideration of an order
position of the application shall not
issued under this section will not be
begin to run until the application is
entertained except to the extent that
complete. In addition, the DOT deci-
the order dismissed or rejected all or
sionmaker may defer action on a for-
part of an application. If a petition for
eign air carrier permit application for
reconsideration results in the rein-
foreign policy reasons.
statement of all or part of an applica-
§ 302.210 Disposition of applications; tion, the deadline for final Department
orders establishing further proce- decision established in § 302.220 will be
dures. calculated from the date of the order
(a) General requirements. The DOT de- reinstating the application.
cisionmaker will take one of the fol-
§ 302.211 Procedures in certificate
lowing actions with respect to all or cases involving initial or continuing
any portion of each application: fitness.
(1) Issue an Order to Show Cause why
the application should not be granted, (a) Applicability. This section applies
denied or dismissed, in whole or in to cases involving certificate authority
part. under sections 41102 and 41103 of the
(2) Issue a Final Order granting the Statute, including applications for new
application if the DOT decisionmaker authority, renewals, amendments,
determines that there are no material modifications, suspensions, and trans-
issues of fact that warrant further pro- fers of such certificates, where the
cedures for their resolution. issues involve a determination of the
(3) Issue a Final Order dismissing or applicant’s fitness to operate. Where
rejecting the application for lack of such applications propose the oper-
prosecution or if the application does ation of scheduled service in limited
not comply with this subpart or is oth- entry international markets, the provi-
erwise materially deficient. sions of § 302.212 also apply.
(4) Issue an order setting the applica- (b) Order establishing further proce-
tion for oral evidentiary hearing. The dures. Within 90 days after a complete
order will establish the scope of the application is filed, the DOT decision-
issues to be considered and the proce- maker will take action as provided in
dures to be employed, and will indicate § 302.210.

308
Office of the Secretary, DOT § 302.215

§ 302.212 Procedures in certificate § 302.213 Procedures in foreign air

cases involving international carrier permit cases.
routes.
(a) Applicability. This section applies
(a) Applicability. This section applies to cases involving foreign air carrier
to cases involving certificates under permits under section 41302 of the Stat-
section 41102 of the Statute that in- ute, including applications for new au-
volve international routes, including
thority, renewals, amendments, modi-
applications to obtain, renew, amend,
fications, suspensions, and transfers of
transfer, or remove restrictions in such
certificates. such permits.
(b) Answers to applications. Answers (b) Executive departments. In addition
shall be filed within twenty one (21) to the standards set forth in § 302.207(b),
days after the filing of the original ap- the views of other executive agencies,
plication. such as the Department of State, and
(c) Conforming applications or motions the Federal Aviation Administration’s
to modify scope. Any person may file an evaluation of the applicant’s oper-
application for the same authority as ational fitness, may be sought in deter-
sought in an application to obtain, mining the appropriate action on appli-
renew, or amend a certificate filed cations filed under this section.
under paragraph (a) of this section. Re- (c) Order establishing further proce-
quests to modify the issues to be de- dures. As soon as possible after the date
cided and to consolidate applications that answers are due and all informa-
filed in other dockets shall be filed as tion needed to reach a decision is filed,
a ‘‘motion to modify scope.’’ Motions the DOT decisionmaker will issue an
and applications under this section order as provided in § 302.210.
shall include economic data, other
facts, and any argument in support of § 302.214 Oral evidentiary hearing.
the person’s position and must be filed
within twenty one (21) days after the If the DOT decisionmaker determines
original application is filed. Later-filed under § 302.210(a)(4) that an oral evi-
competing applications shall conform dentiary hearing should be held, the
to the base and forecast years used by application or applications will be set
the original applicant and need not for oral hearing before an administra-
contain traffic and financial data for tive law judge. The issues will be those
markets for which data have already set forth in the order establishing fur-
been submitted by another person. ther procedures. The procedures in
(d) Answers to conforming applications §§ 302.17 to 302.38 governing the conduct
or motions to modify scope. Answers to of oral evidentiary hearings will apply.
conforming applications and motions
to modify scope filed in accordance § 302.215 Briefs to the administrative
with paragraph (b) of this section shall law judge.
be filed within fourteen (14) days after Briefs to the administrative law
the filing of the conforming applica- judge shall be filed within the fol-
tion or motion. Answers may argue lowing periods, as applicable:
that an application should be dis- (a) Fourteen (14) days after the close
missed. Answers may also seek to con-
of the oral evidentiary hearing, unless
solidate an application filed in another
the administrative law judge deter-
docket if that application conforms to
the scope of the proceeding proposed in mines that, under the circumstances of
the motion to modify scope and in- the case, briefs are not necessary or
cludes the information prescribed in that the parties will require more time
§ 302.202. Answers and applications shall to prepare briefs; or
not, however, propose the consider- (b) Fourteen (14) days after the filing
ation of additional markets. of additional evidence called for in the
(e) Order establishing further proce- order establishing further procedures if
dures. Within 90 days after a complete no oral evidentiary hearing is called
application is filed, the DOT decision- for, unless the DOT decisionmaker de-
maker will issue an order as provided termines that some other period should
in § 302.210. be allowed.

309
§ 302.216 14 CFR Ch. II (1–1–19 Edition)

§ 302.216 Administrative law judge’s party may file exceptions to the deci-
initial or recommended decision. sion with the DOT decisionmaker.
(a) In a case that has been set for (b) If timely and adequate exceptions
oral evidentiary hearing under are filed, review of the initial or rec-
§ 302.210(a)(4), the administrative law ommended decision is automatic.
judge shall adopt and serve an initial (c) In all other respects, the provi-
or recommended decision within one sions of § 302.34 shall apply.
hundred thirty-six (136) days after the
issuance of the order establishing fur- § 302.218 Briefs to the DOT decision-
ther procedures unless: maker.
(1) The DOT decisionmaker, having (a) In a case in which an initial or
found extraordinary circumstances, recommended decision has been served
has by order delayed the initial or rec- and exceptions have been filed, any
ommended decision by a period of not party may file a brief in support of or
more than thirty (30) days; or in opposition to any exceptions. Such
(2) An applicant has failed to meet briefs shall be filed within fourteen (14)
the procedural schedule adopted by the days after service of the initial or rec-
judge or the DOT decisionmaker. In ommended decision.
this case, the administrative law judge (b) In a case in which no exceptions
may, by notice, extend the due date for have been filed, briefs shall not be filed
the issuance of an initial or rec- unless the DOT decisionmaker has
ommended decision for a period not to taken review of the initial or rec-
exceed the period of delay caused by ommended decision on his or her own
the applicant. initiative and has specifically provided
(b) In a case in which some of the for the filing of such briefs.
issues have not been set for oral hear- (c) In all other respect, the provisions
ing under § 302.210(a)(4), the administra- of § 302.35 shall apply.
tive law judge shall adopt and serve an
initial or recommended decision within § 302.219 Oral argument before the
the time established by the DOT deci- DOT decisionmaker.
sionmaker in the order establishing
If the order establishing further pro-
further procedures, except that that
cedures provides for an oral argument,
due date may be extended in accord-
or if the DOT decisionmaker otherwise
ance with paragraph (a)(2) of this sec-
decides to hear oral argument, all par-
tion.
ties will be notified of the date and
(c) The initial or recommended deci-
hour set for that argument and the
sion shall be issued by the administra-
amount of time allowed each party.
tive law judge fourteen (14) days after
The provisions of § 302.36(b) shall also
it is served. Unless exceptions are filed
apply.
under § 302.217 or the DOT decision-
maker issues an order to review on his § 302.220 Final decision of the Depart-
or her own initiative, an initial deci- ment.
sion shall become effective as the final
order of the Department the day it is In addition to the provisions of
issued. Where exceptions are timely § 302.38, the following provisions shall
filed or the DOT decisionmaker takes apply:
action to review on his or her own ini- (a) In the case of a certificate appli-
tiative, the effectiveness of the initial cation that has been set for oral evi-
decision is stayed until further order of dentiary hearing under § 302.210(a)(4),
the DOT decisionmaker. the Department will issue its final
(d) In all other respects, the provi- order within ninety (90) days after the
sions of § 302.31 shall apply. initial or recommended decision is
issued. If an application has failed to
§ 302.217 Exceptions to administrative meet the procedural schedule estab-
law judge’s initial or recommended lished by the Department, the DOT de-
decision. cisionmaker may, by notice, extend the
(a) Within seven (7) days after service date for a final decision for a period
of any initial or recommended decision equal to the period of delay caused by
of an administrative law judge, any the applicant.

310
Office of the Secretary, DOT § 302.302
(b) If the DOT decisionmaker does submitted to the U.S. Air Carrier Li-
not act in the time period established censing Division or the Foreign Air
in paragraph (a) of this section: Carrier Licensing Division (as appro-
(1) in the case of an application for a priate), Office of International Avia-
certificate to engage in foreign air tion, on OST Form 4536. However, that
transportation, the recommended deci- form may not be used for:
sion shall be transmitted to the Presi- (1) Applications filed under section
dent of the United States under 49 40109(g) of the Statute;
U.S.C. 41307; or
(2) Applications by persons who do
(2) in the case of an application not
subject to review by the President of not have either:
the United States, the initial decision (i) An effective air carrier certificate
shall become effective as the final or foreign air carrier permit from the
order of the Department. Department, or
(c) In the case of a certificate appli- (ii) A properly completed application
cation that has been processed under for such a certificate or permit, and an
§ 302.210(a)(1) or (5), the Department effective exemption from the Depart-
will issue its final order within one ment for operations similar to those
hundred eighty (180) days after the proposed;
order establishing further procedures. (3) Successive applications for the
If an applicant has failed to meet the same or similar authority that would
procedural schedule established by the total more than ten (10) flights; or
Department, the DOT decisionmaker (4) Any other application for which
may, by notice, extend the due date for the Department decides the require-
a final decision for a period equal to ments of §§ 302.3 and 302.4 are more ap-
the period of delay caused by the appli-
propriate. Upon a showing of good
cant.
cause, an application may be filed by
cablegram, telegram, facsimile, elec-
Subpart C—Rules Applicable to tronic mail (when available), or tele-
Exemption and Certain Other phone; all such telephonic requests
Proceedings must be confirmed by written applica-
tion within three (3) business days of
§ 302.301 Applicability.
the original request.
(a) This subpart sets forth the spe- (c) Applications for exemption from
cific rules applicable to proceedings for Chapter 415 of the Statute, from tariffs
exemptions under sections 40109 and (except for waivers filed under subpart
41714 of the Statute, including the Q of part 221 of this chapter), or from
granting of emergency exemptions, as Department regulations concerning
well as applications for frequency allo- tariffs may be submitted by letter.
cations and other limited authority Three copies of such applications shall
under international agreements. Ex-
be sent to Department of Transpor-
cept as modified by this subpart, the
tation Dockets. Upon a showing of
provisions of subpart A of this part
good cause, the application may also be
apply.
(b) Proceedings for the issuance of filed by cablegram, telegram, fac-
exemptions by regulation are subject simile, electronic mail (when avail-
to the provisions governing rule- able), or telephone; all such requests
making. must be confirmed by written applica-
tion within three (3) business days of
§ 302.302 Filing of applications. the original request.
(a) Except as provided in paragraphs (d) Applications filed under para-
(b) and (c) of this section, applications graph (a) of this section shall be dock-
for exemption shall conform to the re- eted and any additional documents
quirements of §§ 302.3 and 302.4. filed shall be identified by the assigned
(b) Applications for exemption from docket number.
section 41101 or 41301 of the Statute (in- (e) Applications filed under para-
cluding those that incorporate an ex- graph (b) or (c) of this section will nor-
emption from section 41504) that in- mally not be docketed. The Depart-
volve ten (10) or fewer flights may be ment may require such applications to

311
§ 302.303 14 CFR Ch. II (1–1–19 Edition)
be docketed if appropriate. The Depart- applicant’s homeland government
ment will publish a notice of such ap- grants U.S. carriers authority similar
plications in its Weekly List of Appli- to that requested. If so, the application
cations Filed. shall state whether the fact of reci-
procity has been established by the De-
§ 302.303 Contents of applications. partment and cite the pertinent find-
(a) Title. An application filed ing. If the fact of reciprocity has not
under been established by the Department,
§ 302.302(a) shall be entitled ‘‘Applica- the application shall include docu-
tion for . . .’’ (followed by the type of mentation to establish such reci-
authority request, e.g., exemption, fre- procity.
quency allocation) and, where applica- (d) Emergency cabotage. Applications
ble, shall state if the application in- under section 40109(g) of the Statute
volves renewal and/or amendment of
shall, in addition to the information
existing exemption authority.
required in paragraphs (b) and (c) of
(b) Factual statement. Each applica-
this section, contain evidence showing
tion shall state:
(1) The section(s) of the Statute or that:
the rule, regulation, term, condition, (1) Because of an emergency created
or limitation from which the exemp- by unusual circumstances not arising
tion is requested; in the normal course of business, traf-
(2) The proposed effective date and fic in the markets requested cannot be
duration of the exemption; accommodated by air carriers holding
(3) A description of how the applicant certificates under section 41102 of the
proposes to exercise the authority (for Statute;
example, applications for exemption (2) All possible efforts have been
from section 41101 or 41301 of the Stat- made to accommodate the traffic by
ute should include at least: places to be using the resources of such air carriers
served; equipment types, capacity and (including, for example, the use of for-
source; type and frequency or service; eign aircraft, or sections of foreign air-
and other operations that the proposed craft, under lease or charter to such air
service will connect with or support); carriers, and the use of such air car-
and riers’ reservation systems to the extent
(4) Any other facts the applicant re- practicable);
lies upon to establish that the proposed (3) The authority requested is nec-
service will be consistent with the pub-
essary to avoid unreasonable hardship
lic interest.
for the traffic in the market that can-
(c) Supporting evidence. (1) Each appli-
cation shall be accompanied by: not be accommodated by air carriers;
(i) A statement of economic data, or and
other matters or information that the (4) In any case where an inability to
applicant desires the Department to of- accommodate traffic in a market re-
ficially notice; sults from a labor dispute, the grant of
(ii) Affidavits, or statements under the requested exemption will not result
penalty of 18 U.S.C. 1001, establishing in an unreasonable advantage to any
any other facts the applicant wants the party in the dispute.
Department to rely upon; and (e) Renewal applications. An applica-
(iii) Information showing the appli- tion requesting renewal of an exemp-
cant is qualified to perform the pro- tion or other limited authority under
posed services. this subpart that is intended to invoke
(2) In addition to the information re- the automatic extension provisions of 5
quired by paragraph (c)(1) of this sec- U.S.C. 558(c) shall comply with, and
tion, an application for exemption contain the statements and informa-
from section 41101 or 41301 of the Stat- tion required by part 377 of this chap-
ute (except exemptions under section ter.
40109(g)) shall state whether the au- (f) Record of service. An application
thority sought is governed by a bilat-
shall list the parties served as required
eral agreement or by principles of com-
by § 302.304.
ity and reciprocity. Applications by
foreign carriers shall state whether the
312
Office of the Secretary, DOT § 302.307

§ 302.304 Service of documents. (4) Applicants for slot exemptions

under section 41714 of the Statute shall
(a) General requirements. (1) An appli-
serve:
cation for exemption and responsive
(i) All U.S. air carriers (including
pleadings shall be served as provided by
commuter air carriers) that publish
§ 302.7.
schedules in the Official Airline Guide or
(2) Applicants shall serve on the per- the Air Cargo Guide for the airport(s)
sons listed in paragraph (b) of this sec- specified in the application,
tion a complete copy of the application (ii) The manager of each of the af-
and any supporting documents. Re- fected airports,
sponsive pleadings shall be served on (iii) The mayor of the city that each
the same persons as applications. affected airport serves,
(b) Persons to be served. (1) Applicants (iv) The Governor of the State in
for scheduled interstate air transpor- which each affected airport is located,
tation authority shall serve: and
(i) All U.S. air carriers (including (v) Any other person who has filed a
commuter air carriers) that publish pleading in a related proceeding under
schedules in the Official Airline Guide or section 41714 of the Statute.
the Air Cargo Guide for the city-pair (5) Additional service. The Department
market(s) specified in the application, may, in its discretion, order additional
(ii) The airport authority of each service upon any other person.
U.S. airport that the applicant pro-
[Doc. No. OST–97–2090, 65 FR 6457, Feb. 9,
poses to serve, and
2000; 65 FR 7418, Feb. 14, 2000]
(iii) Any other person who has filed a
pleading in a related proceeding under § 302.305 Posting of applications.
section 41102, 41302, or 40109 of the Stat-
A copy of every docketed application
ute.
for exemption shall be posted in De-
(2) Applicants for scheduled foreign
partment of Transportation Dockets
air transportation authority shall
and listed in the Department’s Weekly
serve: List of Applications Filed. A copy of
(i) All U.S. air carriers (including every undocketed application shall be
commuter air carriers) that publish posted in the Licensing Division’s
schedules in the Official Airline Guide or lobby of the Office of International
in the Air Cargo Guide for the country- Aviation.
pair market(s) specified in the applica-
tion, § 302.306 Dismissal or rejection of in-
(ii) The airport authority of each U.S. complete applications.
airport that the applicant proposes to (a) Dismissal or rejection. The Depart-
serve, and ment may dismiss or reject any appli-
(iii) Any other person who has filed a cation for exemption that does not
pleading in a related proceeding under comply with the requirements of this
section 41102, 41302, or 40109 of the Stat- part.
ute. (b) Additional data. The Department
(3) Applicants for charter-only or may require the filing of additional
nonscheduled-only authority shall data with respect to any application
serve any person who has filed a plead- for exemption, answer, or reply.
ing in a related proceeding under sec-
tion 41102, 41302, or 40109 of the Statute. § 302.307 Answers to applications.
However, applicants that file fewer Within fifteen (15) days after the fil-
than sixteen (16) days prior to the pro- ing of an application for exemption,
posed start of service must also serve: any person may file an answer in sup-
(i) Those U.S. carriers (including port of or in opposition to the grant of
commuter carriers) that are known to a requested exemption. Such answer
be operating in the general market(s) shall set forth in detail the reasons
at issue and why the exemption should be granted
(ii) Those persons who may be pre- or denied. An answer shall include a
sumed to have an interest in the sub- statement of economic data or other
ject matter of the application. matters the Department is requested

313
§ 302.308 14 CFR Ch. II (1–1–19 Edition)
to officially notice, and shall be accom- mally be in writing and must state in
panied by affidavits establishing any detail the facts and evidence that sup-
other facts relied upon. port the application, the grounds for
the exemption, and the public interest
§ 302.308 Replies to answers. basis for the authority sought. In addi-
Within seven (7) days after the last tion, the application shall state spe-
day for filing an answer, any interested cific reasons that justify departure
party may file a reply to one or more from the normal exemption application
answers. procedures. The application shall also
identify those persons notified as re-
§ 302.309 Requests for hearing. quired by paragraph (c) of this section.
The Department will not normally The Department may require addi-
conduct oral evidentiary hearings con- tional information from any applicant
cerning applications for exemption. before acting on an application.
However, the Department may, in its (2) Oral requests. The Department will
discretion, order such a hearing on an consider oral requests, including tele-
application. Any applicant, or any per- phone requests, for emergency exemp-
son opposing an application, may re- tion authority under this section in
quest an oral evidentiary hearing. Such circumstances that do not permit the
a request shall set forth in detail the immediate filing of a written applica-
reasons why the filing of affidavits or tion. All oral requests must, however,
other written evidence will not permit provide the information required in
the fair and expeditious disposition of paragraph (b)(1) of this section, except
the application. A request relying on that actual evidence in support of the
factual assertions shall be accom- application need not be tendered when
panied by affidavits establishing such the request is made. All oral requests
facts. If the Department orders an oral must be confirmed by written applica-
evidentiary hearing, the procedures in tion, together with all supporting evi-
subpart A of this part shall apply. dence, within three (3) business days of
the original request.
§ 302.310 Exemptions on the Depart- (c) Notice. Except when the Depart-
ment’s initiative. ment decides that no notice need be
The Department may grant exemp- given, applicants for emergency exemp-
tions on its own initiative when it tion shall notify, as appropriate, those
finds that such exemptions are re- persons specified in § 302.304(b) of this
quired by the circumstances and con- subpart. Such notification shall be
sistent with the public interest. made in the same manner, contain the
same information, and be dispatched at
§ 302.311 Emergency exemptions. the same time, as the application made
to the Department.
(a) Shortened procedures. When re-
quired by the circumstances and con-
sistent with the public interest, the Subpart D—Rules Applicable to
Department may take action, without Enforcement Proceedings
notice, on exemption applications prior
to the expiration of the normal period § 302.401 Applicability.
for filing answers and replies. When re- This subpart contains the specific
quired in a particular proceeding, the rules that apply to Department pro-
Department may specify a lesser time ceedings to enforce the provisions of
for the filing of answers and replies, Subtitle VII of the Statute, and the
and notify interested persons of this rules, regulations, orders and other re-
time period. quirements issued by the Department,
(b)(1) Applications. Applications for as well as the filing of informal and
emergency exemption need not con- formal complaints. Except as modified
form to the requirements of this sub- by this subpart, the provisions of sub-
part or of subpart A of this part (except part A of this part apply.
as provided in this section and in
§ 302.303(d) concerning emergency cabo- § 302.402 Definitions.
tage requests). However, an application Assistant General Counsel, when used
for emergency exemption must nor- in this subpart, refers to the Assistant

314
Office of the Secretary, DOT § 302.405
General Counsel for Aviation Enforce- an enforcement proceeding, the com-
ment and Proceedings. plaint may be amended only on grant
Complainant refers to the person fil- of a motion filed under § 302.11.
ing a complaint. (c) Insufficiency of formal complaint. In
Parties, when used in this subpart, in- any case where the Assistant General
clude the Office of the Assistant Gen- Counsel is of the opinion that a com-
eral Counsel, the respondent, the com- plaint does not sufficiently set forth
plainant, and any other person per- matters required by any applicable
mitted to intervene under § 302.20. rule, regulation or order of the Depart-
Respondent refers to the person ment, or is otherwise insufficient, he or
against whom a complaint is filed. she may advise the complainant of the
deficiency and require that any addi-
§ 302.403 Informal complaints. tional information be supplied by
Any person may submit in writing to amendment.
the Assistant General Counsel an infor- (d) Joinder of complaints or complain-
mal complaint with respect to any- ants. Two or more grounds of com-
thing done or omitted to be done by plaints involving substantially the
any person in contravention of any same purposes, subject or state of facts
provision of the Statute or any require- may be included in one complaint even
ment established thereunder. Such in- though they involve more than one re-
formal complaints need not otherwise spondent. Two or more complainants
comply with the provisions of this may join in one complaint if their re-
part. Matters so presented may, if their spective causes of complaint are
nature warrants, be handled by cor- against the same party or parties and
respondence or conference with the ap- involve substantially the same pur-
propriate persons. Any matter not dis- poses, subject or state of facts. The As-
posed of informally may be made the sistant General Counsel may separate
subject of an enforcement proceeding or split complaints if he or she finds
pursuant to this subpart. The filing of that the joinder of complaints, com-
an informal complaint shall not bar plainants, or respondents will not be
the subsequent filing of a formal com- conducive to the proper dispatch of the
plaint. Department’s business or the ends of
justice.
§ 302.404 Formal complaints. (e) Service. A formal complaint, and
(a) Filing. Any person may make a any amendments thereto, shall be
formal complaint to the Assistant Gen- served by the person filing such docu-
eral Counsel about any violation of the ments upon each party complained of,
economic regulatory provisions of the upon the Deputy General Counsel, and
Statute or of the Department’s rules, upon the Assistant General Counsel.
regulations, orders, or other require-
ments. Every formal complaint shall § 302.405 Responsive documents.
conform to the requirements of §§ 302.3 (a) Answers. Within fifteen (15) days
and 302.4, concerning the form and fil- after the date of service of a formal
ing of documents. The filing of a com- complaint, each respondent shall file
plaint shall result in the institution of an answer in conformance with and
an enforcement proceeding only if the subject to the requirements of
Assistant General Counsel issues a no- § 302.408(b). Extensions of time for filing
tice instituting such a proceeding as to an answer may be granted by the As-
all or part of the complaint under sistant General Counsel for good cause
§ 302.406(a) or the Deputy General Coun- shown.
sel does so under § 302.406(c). (b) Offers to satisfy. A respondent in a
(b) Amendment. A formal complaint formal complaint may offer to satisfy
may be amended at any time before the complaint through submission of
service of an answer to the complaint. facts, offer of settlement or proposal of
After service of an answer but before adjustment. Such offer shall be in writ-
institution of an enforcement pro- ing and shall be served, within fifteen
ceeding, the complaint may be amend- (15) days after service of the complaint,
ed with the permission of the Assistant upon the same persons and in the same
General Counsel. After institution of manner as an answer. The submittal of

315
§ 302.406 14 CFR Ch. II (1–1–19 Edition)
an offer to satisfy the complaint shall lations is in the public interest, the As-
not excuse the filing of an answer. sistant General Counsel may issue a
(c) Motions to dismiss. Motions to dis- notice instituting an enforcement pro-
miss a formal complaint shall not be ceeding before an administrative law
filed prior to the filing of a notice in- judge.
stituting an enforcement proceeding (b) The notice shall incorporate by
with respect to such complaint or a reference the formal complaint sub-
portion thereof. mitted pursuant to § 302.404 or shall be
§ 302.406 Procedure for responding to accompanied by a complaint by an at-
formal complaints. torney from the Office of the Assistant
General Counsel. The notice and ac-
(a) Within a reasonable time after an
companying complaint, if any, shall be
answer to a formal complaint is filed,
formally served upon each respondent
the Assistant General Counsel shall ei-
ther: and each complainant.
(1) Issue a notice instituting a formal (c) The proceedings thus instituted
enforcement proceeding in accordance shall be processed in regular course in
with § 302.407 or accordance with this part. However,
(2) Issue an order dismissing the com- nothing in this part shall be construed
plaint in whole or in part, stating the to limit the authority of the Depart-
reasons for such dismissal. ment to institute or conduct any inves-
(b) An order dismissing a complaint tigation or inquiry within its jurisdic-
issued pursuant to paragraph (a)(2) of tion in any other manner or according
this section shall become effective as a to any other procedures that it may
final order of the Department thirty deem necessary or proper.
(30) days after service thereof. (d) Whenever the Assistant General
(c) Whenever the Assistant General Counsel seeks an assessment of civil
Counsel has failed to act on a formal penalties in an enforcement pro-
complaint within a reasonable time ceeding, he or she shall serve on all
after an answer is due, the following parties to the proceeding a notice of
motions may be addressed to the Dep- the violations alleged and the amount
uty General Counsel: of penalties for which the respondent
(1) By the complainant to institute may be liable. The notice may be in-
an enforcement proceeding by dock- cluded in the notice instituting a for-
eting the complaint upon a showing mal enforcement proceeding or in a
that it is in the public interest to do so; separate document.
and (e) In any proceeding in which civil
(2) By the respondent to dismiss the penalties are sought, any decisions
complaint upon a showing that it is in issued by the Department shall state
the public interest to do so. the amount of any civil penalties as-
(d) The Deputy General Counsel may sessed upon a finding of violation, and
grant, deny, or defer any of the mo- the time and manner in which payment
tions, in whole or in part, and take ap- shall be made to the United States.
propriate action to carry out his or her
decision. § 302.408 Answers and replies.
§ 302.407 Commencement of enforce- (a) Within fifteen (15) days after the
ment proceeding. date of service of a notice issued pursu-
(a) Whenever in the opinion of the ant to § 302.407, the respondent shall
Assistant General Counsel there are file an answer to the complaint at-
reasonable grounds to believe that any tached thereto or incorporated therein
economic regulatory provision of the unless an answer has already been filed
Statute, or any rule, regulation, order, in accordance with § 302.405. Any re-
limitation, condition, or other require- quests for extension of time for filing
ment established pursuant thereto, has of an answer to such complaint shall be
been or is being violated, that efforts filed in accordance with § 302.11.
to satisfy a complaint as provided by (b) All answers shall be served in ac-
§ 302.405 have failed, and that the inves- cordance with § 302.7 and shall fully and
tigation of any or all of the alleged vio- completely advise the parties and the

316
Office of the Secretary, DOT § 302.412
Department as to the nature of the de- ducive to the dispatch of business and
fense and shall admit or deny specifi- to the ends of justice and will not un-
cally and in detail each allegation of duly delay the proceedings.
the complaint unless the respondent is
without knowledge, in which case, his § 302.411 Motions to dismiss and for
or her answer shall so state and the summary judgment.
statement shall operate as a denial. Al- (a) At any time after an answer has
legations of fact not denied or con- been filed, any party may file with the
troverted shall be deemed admitted. DOT decisionmaker or the administra-
Matters alleged as affirmative defenses tive law judge a motion to dismiss or a
shall be separately stated and num- motion for summary judgment, includ-
bered and shall, in the absence of a ing supporting affidavits. The proce-
reply, be deemed to be controverted. dure on such motions shall be in ac-
Any answer to a complaint, or response cordance with the Federal Rules of
to a notice, proposing the assessment
Civil Procedure (28 U.S.C.), particu-
of civil penalties shall specifically
larly Rules 6(d), 7(b), 12, and 56, except
present any matters that the respond-
that answers and supporting papers to
ent intends to rely upon in opposition
a motion to dismiss or for summary
to, or in mitigation of, such civil pen-
judgment shall be filed within seven (7)
alties.
(c) The DOT decisionmaker or the ad- days after service of the motion.
ministrative law judge may, in his or (b) Parties may petition the DOT de-
her discretion, require or permit the cisionmaker to review any action by
filing of a reply in appropriate cases; the administrative law judge granting
otherwise, no reply may be filed. summary judgment or dismissing an
enforcement proceeding under the pro-
§ 302.409 Default. cedure established for review of an ini-
Failure of a respondent to file and tial decision in § 302.32.
serve an answer within the time and in
§ 302.412 Admissions as to facts and
the manner prescribed by § 302.408 shall documents.
be deemed to authorize the DOT deci-
sionmaker or administrative law judge, (a) At any time after an answer has
as a matter of discretion, to find the been filed, any party may file with the
facts alleged in the complaint incor- DOT decisionmaker or administrative
porated in or accompanying the notice law judge and serve upon the opposing
instituting a formal enforcement pro- side a written request for the admis-
ceeding to be true and to enter such or- sion of the genuineness and authen-
ders as may be appropriate without no- ticity of any relevant documents de-
tice or hearing, or, as a matter of dis- scribed in and exhibited with the re-
cretion, to proceed to take proof, with- quest or for the admission of the truth
out notice, of the allegations or of any relevant matters of fact stated
charges set forth in the complaint or in the request with respect to such doc-
order; Provided, that the DOT decision- uments.
maker or administrative law judge (b) Each of the matters of which an
may permit late filing of an answer for admission is requested shall be deemed
good cause shown. admitted unless within a period des-
ignated in the request, not less than
§ 302.410 Consolidation of proceedings. ten (10) days after service thereof, or
The DOT decisionmaker or Chief Ad- within such further time as the DOT
ministrative Law Judge may, upon his decisionmaker or the administrative
or her own initiative, or upon motion law judge may allow upon motion and
of any party, consolidate for hearing or notice, the party to whom the request
for other purposes, or may contempora- is directed serves upon the requesting
neously consider, two or more enforce- party a sworn statement either deny-
ment proceedings that involve substan- ing specifically the matters of which
tially the same parties or issues that an admission is requested or setting
are the same or closely related, if he or forth in detail the reasons why he or
she finds that such consolidation or she cannot truthfully either admit or
contemporaneous hearing will be con- deny such matters.

317
§ 302.413 14 CFR Ch. II (1–1–19 Edition)
(c) Service of such request and an- not otherwise examine witnesses and
swering statement shall be made as may not introduce evidence or other-
provided in § 302.7. Any admission made wise participate in the proceeding.
by a party pursuant to such request is However, such persons may present to
only for the purposes of the pending both the administrative law judge and
proceeding, or any proceeding or action the DOT decisionmaker an oral or writ-
instituted for the enforcement of any ten statement of their position on the
order entered therein, and shall not issues involved in the proceeding.
constitute an admission by him or her
for any other purpose or be used § 302.417 Settlement of proceedings.
against him or her in any other pro-
ceeding or action. (a) The Deputy General Counsel and
the respondent may agree to settle all
§ 302.413 Evidence of previous viola- or some of the issues in an enforcement
tions. proceeding at any time before a final
Evidence of previous violations by decision is issued by the DOT decision-
any person or of any provision of the maker. The Deputy General Counsel
Statute or any requirement thereunder shall serve a copy of any proposed set-
found by the Department or a court in tlement on each party and shall submit
any other proceeding or criminal or the proposed settlement to the admin-
civil action may, if relevant and mate- istrative law judge for approval. The
rial, be admitted in any enforcement submission of a proposed settlement
proceeding involving such person. shall not automatically delay the pro-
ceeding.
§ 302.414 Prehearing conference.
(b) Any party to the proceeding may
A prehearing conference may be held submit written comments supporting
in an enforcement proceeding whenever or opposing the proposed settlement
the administrative law judge believes within ten (10) days from the date of
that the fair and expeditious disposi- service.
tion of the proceeding requires one. If a (c) The administrative law judge
prehearing conference is held, it shall
shall approve the proposed settlement,
be conducted in accordance with
as submitted, if it appears to be in the
§ 302.22.
public interest, or otherwise shall dis-
§ 302.415 Hearing. approve it.
After the issues have been formu- (d) Information relating to settle-
lated, whether by the pleadings or oth- ment offers and negotiations will be
erwise, the administrative law judge withheld from public disclosure if the
shall give the parties reasonable writ- Deputy General Counsel determines
ten notice of the time and place of the that disclosure would interfere with
hearings. Except as may be modified by the likelihood of settlement of an en-
the provisions of this subpart, the pro- forcement proceeding.
cedures in §§ 302.17 to 302.38 governing
the conduct of oral evidentiary hear- § 302.418 Motions for immediate sus-
ings will apply. pension of operating authority
pendente lite.
§ 302.416 Appearances by persons not All motions for the suspension of the
parties. economic operating authority of an air
With consent of the administrative carrier during the pendency of pro-
law judge, appearances may be entered ceedings to revoke such authority shall
without request for or grant of permis- be filed with, and decided by, the DOT
sion to intervene by interested persons decisionmaker. Proceedings on the mo-
who are not parties to the proceeding. tion shall be in accordance with
Such persons may, with the consent of § 302.11. In addition, the DOT decision-
the administrative law judge, cross-ex- maker shall afford the parties an op-
amine a particular witness or suggest
portunity for oral argument on such
to any party or counsel therefor ques-
motion.
tions or interrogations to be asked wit-
nesses called by any party, but may

318
Office of the Secretary, DOT § 302.505

§ 302.419 Modification or dissolution of by this subpart, the provisions of sub-

enforcement actions. part A apply.
Whenever any party to a proceeding, § 302.502 Institution of proceedings.
in which an order of the Department
has been issued pursuant to section A proceeding to determine the law-
46101 of the Statute or an injunction or fulness of rates, fares, or charges for
other form of enforcement action has the foreign air transportation of per-
been issued by a court of competent ju- sons or property by aircraft, or the
risdiction pursuant to section 46106 of lawfulness of any classification, rule,
the Statute, believes that changed con- regulation, or practice affecting such
ditions of fact or law or the public in- rates, fares or charges, may be insti-
terest require that said order or judi- tuted by the filing of a petition or com-
cial action be modified or set aside, in plaint by any person, or by the
whole or in part, such party may file issuance of an order by the Depart-
with the Department a motion request- ment.
ing that the Department take such ad-
§ 302.503 Contents and service of peti-
ministrative action or join in applying tion or complaint.
to the appropriate court for such judi-
cial action, as the case may be. The (a) If a petition or complaint is filed
motion shall state the changes desired it shall state the reasons why the
and the changed circumstances war- rates, fares, or charges, or the classi-
ranting such action, and shall include fication, rule, regulation, or practice
the materials and argument in support complained of are unlawful and shall
thereof. The motion shall be served on support such reasons with a full factual
each party to the proceeding in which analysis.
the enforcement action was taken. (b) A petition or complaint shall be
Within thirty (30) days after the serv- served by the petitioner or complain-
ice of such motion, any party so served ant upon the air carrier against whose
may file an answer thereto. The De- tariff provision the petition or com-
partment shall dispose of the motion plaint is filed.
by such procedure as it deems appro- (c) Answers to complaints, other
priate. than those filed under § 302.506, shall be
filed within seven (7) working days
§ 302.420 Saving clause. after the complaint is filed.
Repeal, revision or amendment of § 302.504 Dismissal of petition or com-
any of the economic regulatory provi- plaint.
sions of the Statute or of the Depart-
ment’s rules, regulations, orders, or If the Department is of the opinion
other requirements shall not affect any that a petition or complaint does not
pending enforcement proceeding or any state facts that warrant an investiga-
enforcement proceeding initiated tion or action on its part, it may dis-
thereafter with respect to causes aris- miss such petition or complaint with-
ing or acts committed prior to said re- out hearing.
peal, revision or amendment, unless § 302.505 Order of investigation.
the act of repeal, revision or amend-
ment specifically so provides. The Department, on its own initia-
tive, or if it is of the opinion that the
facts stated in a petition or complaint
Subpart E—Rules Applicable to warrant it, may issue an order insti-
Proceedings With Respect to tuting an investigation of the lawful-
Rates, Fares and Charges for ness of any present or proposed rates,
Foreign Air Transportation fares, or charges for the foreign air
transportation of persons or property
§ 302.501 Applicability. by aircraft or the lawfulness of any
This subpart sets forth the special classification, rule, regulation, or prac-
rules applicable to proceedings with re- tice affecting such rates, fares, or
spect to rates, fares and charges in for- charges, and may assign the proceeding
eign air transportation under Chapter for hearing before an administrative
415 of the Statute. Except as modified law judge. If a hearing is held, except

319
§ 302.506 14 CFR Ch. II (1–1–19 Edition)
as modified by this subpart, the provi- tain a posting date, the first day pre-
sions of § 302.17 through § 302.38 of this ceding the effective date of the tariff
part shall apply. shall be the first day counted, and the
last day so counted shall be the last
§ 302.506 Complaints requesting sus- day for filing unless such day is a Sat-
pension of tariffs; answers to such urday, Sunday, or legal holiday for the
complaints. Department, in which event the period
(a) Formal complaints seeking sus- for filing shall be extended to the next
pension of tariffs pursuant to section successive day that is not a Saturday,
41509 of the Statute shall fully identify Sunday, or holiday. The computation
the tariff and include reference to: of the time for filing complaints as to
(1) The issued or posting date, tariffs containing a posting date shall
(2) The effective date, be governed by § 302.8.
(3) The name of the publishing car-
rier or agent, Subpart F—Rules Applicable to
(4) The Department number, and Proceedings Concerning Air-
(5) Specific items or particular provi- port Fees
sions protested or complained against.
The complaint should indicate in what § 302.601 Applicability.
respect the tariff is considered to be (a) This subpart contains the specific
unlawful, and state what complainant rules that apply to a complaint filed by
suggests by way of substitution. one or more air carriers or foreign air
(b) A complaint requesting suspen- carriers (‘‘carriers’’), pursuant to 49
sion of a tariff ordinarily will not be U.S.C. 47129(a), for a determination of
considered unless made in conformity the reasonableness of a fee increase or
with this section and filed no more a newly established fee for aero-
than ten (10) days after the issued date nautical uses that is imposed upon the
contained within such tariff. carrier by the owner or operator of an
(c) A complaint requesting suspen- airport. This subpart also applies to re-
sion, pursuant to section 41509 of the quests by the owner or operator of an
Statute, of an existing tariff for foreign airport for such a determination. An
air transportation may be filed at any airport owner or operator is considered
time. However, such a complaint must to have imposed a fee on a carrier when
be accompanied by a statement setting it has taken all steps necessary under
forth compelling reasons for not having its procedures to establish the fee,
requested suspension within the time whether or not the fee is being col-
limitations provided in paragraph (b) lected or carriers are currently re-
of this section. quired to pay it.
(d) In an emergency satisfactorily (b) This subpart does not apply to—
shown by the complainant, and within (1) A fee imposed pursuant to a writ-
the time limits herein provided, a com- ten agreement with a carrier using the
plaint may be sent by facsimile, tele- facilities of an airport;
gram, or electronic mail (when avail- (2) A fee imposed pursuant to a fi-
able) to the Department and to the car- nancing agreement or covenant entered
rier against whose tariff provision the into prior to August 23, 1994, or
complaint is made. Such complaint (3) Any other existing fee not in dis-
shall state the grounds relied upon, and pute as of August 23, 1994.
must be confirmed in writing within (c) Except as modified by this sub-
three (3) business days and filed and part, the provisions of subpart A of this
served in accordance with this part. part apply.
(e) Answers to complaints shall be
filed within six (6) working days after § 302.602 Complaint by a carrier; re-
the complaint is filed. quest for determination by an air-
port owner or operator.
§ 302.507 Computing time for filing (a) Any carrier may file a complaint
complaints. with the Secretary for a determination
In computing the time for filing for- as to the reasonableness of any fee im-
mal complaints pursuant to § 302.506, posed on the carrier by the owner or
with respect to tariffs that do not con- operator of an airport. Any airport

320
Office of the Secretary, DOT § 302.603
owner or operator may also request ties should submit three copies of each
such a determination with respect to a diskette to Department of Transpor-
fee it has imposed on one or more car- tation Dockets: one copy for the dock-
riers. The complaint or request for de- et, one copy for the Office of Hearings,
termination shall conform to the re- and one copy for the Office of Aviation
quirements of this subpart and §§ 302.3 Analysis. Filers should ensure that
and 302.4 concerning the form and fil- files on the diskettes are unalterably
ing of documents. locked.
(b) If a carrier has previously filed a (c) When a carrier files a complaint,
complaint with respect to the same air- it must also certify:
port fee or fees, any complaint by an-
(1) That it has served on the airport
other carrier and any airport request
owner or operator and all other car-
for determination shall be filed no
later than seven (7) calendar days fol- riers serving the airport the complaint,
lowing the initial complaint. In addi- brief, and all supporting testimony and
tion, all complaints or requests for de- exhibits, and that those parties have
termination must be filed on or before received or will receive these docu-
the sixtieth (60th) day after the carrier ments no later than the date the com-
receives written notice of the imposi- plaint is filed. Such service shall be by
tion of the new fee or the imposition of hand, by electronic transmission, or by
the increase in the fee. overnight express delivery. (Unless a
(c) To ensure an orderly disposition carrier has informed the complaining
of the matter, all complaints and any carrier that a different person should
request for determination filed with re- be served, service may be made on the
spect to the same airport fee or fees person responsible for communicating
will be considered in a consolidated with the airport on behalf of the car-
proceeding, as provided in § 302.606. rier about airport fees.);
(2) That the carrier has previously
§ 302.603 Contents of complaint or re-
quest for determination. attempted to resolve the dispute di-
rectly with the airport owner or oper-
(a) The complaint or request for de- ator;
termination shall set forth the entire (3) That when there is information on
grounds for requesting a determination
which the carrier intends to rely that
of the reasonableness of the airport fee.
is not included with the brief, exhibits,
The complaint or request shall include
or testimony, the information has been
a copy of the airport owner or opera-
tor’s written notice to the carrier of omitted because the airport owner or
the imposition of the fee, a statement operator has not made that informa-
of position with a brief, and all sup- tion available to the carrier. The cer-
porting testimony and exhibits on tification shall specify the date and
which the filing party intends to rely. form of the carrier’s request for infor-
In lieu of submitting duplicative exhib- mation from the airport owner or oper-
its or testimony, the filing party may ator; and
incorporate by reference testimony and (4) That any submission on computer
exhibits already filed in the same pro- diskette is a true copy of the data file
ceeding. used to prepare the printed versions of
(b) All exhibits and briefs prepared on the exhibits or briefs.
electronic spreadsheet or word proc- (d) When an airport owner or oper-
essing programs should be accom- ator files a request for determination,
panied by standard-format computer it must also certify:
diskettes containing those submis- (1) That it has served on all carriers
sions. The disk submission must be in serving the airport the request, brief,
one of the following formats, in the lat- and all supporting testimony and ex-
est two versions, or in such other for- hibits, and that those parties have re-
mat as may be specified by notice in
ceived or will receive these documents
the FEDERAL REGISTER: Microsoft Word
no later than the date the request is
(or RTF), Word Perfect, Ami Pro,
filed. Such service shall be in the same
Microsoft Excel, Lotus 123, Quattro
Pro, or ASCII tab-delineated files. Par- manner as provided in § 302.603(c)(1).

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§ 302.604 14 CFR Ch. II (1–1–19 Edition)
(2) That the airport owner or oper- (1) it has served the answer, brief,
ator has previously attempted to re- and all supporting testimony and ex-
solve the dispute directly with the car- hibits by hand, by electronic trans-
riers; and mission, or by overnight express deliv-
(3) That any submission on computer ery on the carrier filing the complaint
diskette is a true copy of the data file or the airport owner or operator re-
used to prepare the printed versions of questing the determination, and that
the exhibits or briefs. those parties have received or will re-
ceive these documents no later than
§ 302.604 Answers to a complaint or re-
quest for determination. the date the answer is filed; and
(2) that any submission on computer
(a)(1) When a carrier files a com-
diskette is a true copy of the data file
plaint under this subpart, the owner or
used to prepare the printed versions of
operator of the airport and any other
carrier serving the airport may file an the exhibits or briefs.
answer to the complaint as provided in § 302.605 Replies.
paragraphs (b) and (c) of this section.
(2) When the owner or operator of an (a) The carrier submitting a com-
airport files a request for determina- plaint may file a reply to any or all of
tion of the reasonableness of a fee it the answers to the complaint. The air-
has imposed, any carrier serving the port owner or operator submitting a re-
airport may file an answer to the re- quest for determination may file a
quest. reply to any or all of the answers to
(b) The answer to a complaint or re- the request for determination.
quest for determination shall set forth (b) The reply shall be limited to new
the answering party’s entire response. matters raised in the answers. It shall
When one or more additional com- constitute the replying party’s entire
plaints or a request for determination response to the answers. It shall be in
has been filed pursuant to § 302.602(b) the form of a reply brief and may in-
with respect to the same airport’s fee clude supporting testimony and exhib-
or fees, the answer shall set forth the its responsive to new matters raised in
answering party’s entire response to all the answers. In lieu of submitting du-
complaints and any such request for plicative exhibits or testimony, the re-
determination. The answer shall in- plying party may incorporate by ref-
clude a statement of position with a erence testimony and exhibits already
brief and any supporting testimony and filed in the same proceeding.
exhibits on which the answering party
(c) The reply shall be filed no later
intends to rely. In lieu of submitting
than two (2) calendar days after an-
duplicative exhibits or testimony, the
answering party may incorporate by swers are filed.
reference testimony and exhibits al- (d) All exhibits and briefs prepared on
ready filed in the same proceeding. electronic spreadsheet or word proc-
(c) Answers to a complaint shall be essing programs should be accom-
filed no later than fourteen (14) cal- panied by standard-format computer
endar days after the filing date of the diskettes containing those submissions
first complaint with respect to the fee as provided in § 302.603(b).
or fees in dispute at a particular air- (e) The carrier or airport owner or
port. Answers to a request for deter- operator submitting the reply must
mination shall be filed no later than certify that it has served the reply and
fourteen (14) calendar days after the all supporting testimony and exhibits
filing date of the request. on the party or parties submitting the
(d) All exhibits and briefs prepared on answer to which the reply is directed,
electronic spreadsheet or word proc- and that those parties have received or
essing programs should be accom- will receive these documents no later
panied by standard-format computer than the date the reply is filed, and
diskettes containing those submissions that any submission on computer disk-
as provided in § 302.603(b). ette is a true copy of the data file used
(e) The answering party must also to prepare the printed versions of the
certify that: exhibits or briefs.

322
Office of the Secretary, DOT § 302.609

§ 302.606 Review of complaints or re- (2) If the proceeding was instituted

quests for determination. by a request for determination, the
(a) Within thirty (30) days after a Secretary will either issue a final order
complaint or request for determination as provided in § 302.610 or set forth the
is filed under this subpart, the Sec- schedule for any additional procedures
retary will determine whether the com- required to complete the proceeding.
plaint or request meets the procedural § 302.607 Decision by administrative
requirements of this subpart and law judge.
whether a significant dispute exists,
The administrative law judge shall
and take appropriate action pursuant
issue a decision recommending a dis-
to paragraph (b), (c), or (d) of this sec-
position of a complaint or request for
tion. When both a complaint and a re-
determination within sixty (60) days
quest for determination have been filed
after the date of the instituting order,
with respect to the same airport fee or
unless a shorter period is specified by
fees, the Secretary will issue a deter-
the Secretary.
mination as to whether the complaint,
the request, or both meet the proce- § 302.608 Petitions for discretionary
dural requirements of this subpart and review.
whether a significant dispute exists
(a) Within five (5) calendar days after
within thirty (30) days after the com-
service of a decision by an administra-
plaint is filed.
tive law judge, any party may file with
(b) If the Secretary determines that a
the Secretary a petition for discre-
significant dispute exists, he or she
tionary review of the administrative
will issue an instituting order assign-
law judge’s decision.
ing the complaint or request for hear- (b) Petitions for discretionary review
ing before an administrative law judge. shall comply with § 302.32(a). The peti-
The instituting order will— tioner must also certify that it has
(1) Establish the scope of the issues served the petition by hand, by elec-
to be considered and the procedures to tronic transmission, or by overnight
be employed; express delivery on all parties to the
(2) Indicate the parties to participate proceeding and that those parties have
in the hearing; received or will receive the petition no
(3) Consolidate into a single pro- later than the date it is filed.
ceeding all complaints and any request (c) Any party may file an answer in
for determination with respect to the support of or in opposition to any peti-
fee or fees in dispute; and tion for discretionary review. The an-
(4) Include any special provisions for swer shall be filed within four (4) cal-
exchange or disclosure of information endar days after service of the petition
by the parties. for discretionary review. The answer
(c) If the Secretary determines that shall comply with the page limits spec-
the complaint or request does not meet ified in § 302.32(b).
the procedural requirements of this
subpart, the complaint or request for § 302.609 Completion of proceedings.
determination will be dismissed with- (a) When a complaint or a request for
out prejudice to filing a new com- determination with respect to an air-
plaint. The order of the Secretary will port fee or fees has been filed under
set forth the terms and conditions this subpart and has not been dis-
under which a revised complaint or re- missed, the Secretary will issue a de-
quest may be filed. termination as to whether the fee is
(d) If the Secretary finds that no sig- reasonable within 120 days after the
nificant dispute exists— complaint or request is filed.
(1) If the proceeding was instituted (b) When both a complaint and a re-
by a complaint, the Secretary will quest for determination have been filed
issue an order dismissing the com- with respect to the same airport fee or
plaint, which will contain a concise ex- fees and have not been dismissed, the
planation of the reasons for the deter- Secretary will issue a determination as
mination that the dispute is not sig- to whether the fee is reasonable within
nificant. 120 days after the complaint is filed.

323
§ 302.610 14 CFR Ch. II (1–1–19 Edition)

§ 302.610 Final order. issuance of an order by the DOT deci-

sionmaker.
(a) When a complaint or request for
determination stands submitted to the (b) The petition shall set forth the
Secretary for final decision on the mer- rate or rates sought to be established,
its, he or she may dispose of the issues a statement that they are believed to
presented by entering an appropriate be fair and reasonable, the reasons sup-
order, which will include a statement porting the request for a change in
of the reasons for his or her findings rates, and a detailed economic jus-
and conclusions. Such an order shall be tification sufficient to establish the
deemed a final order of the Secretary. reasonableness of the rate or rates pro-
(b) The final order of the Secretary posed.
shall include, where necessary, direc- (c) In any case where an air carrier is
tions regarding an appropriate refund operating under a final mail rate uni-
or credit of the fee increase or newly formly applicable to an entire rate-
established fee which is the subject of making unit as established by the DOT
the complaint or request for deter- decisionmaker, a petition must clearly
mination. and unequivocally challenge the rate
(c) If the Secretary has not issued a for such entire rate-making unit and
final order within 120 days after the fil- not only a part of such unit.
ing of a complaint by an air carrier or (d) All petitions, amended petitions,
foreign air carrier, the decision of the and documents relating thereto shall
administrative law judge shall be be served upon the U.S. Postal Service
deemed to be the final order of the Sec- by sending a copy to the Assistant Gen-
retary. eral Counsel, Transportation Division,
Washington, DC 20260–1124, by reg-
Subpart G—Rules Applicable to istered or certified mail, postpaid,
Mail Rate Proceedings and prior to the filing thereof with the De-
partment. Proof of service on the U.S.
Mail Contracts Postal Service shall consist of a state-
§ 302.701 Applicability. ment in the document that the person
filing it has served a copy as required
(a) This subpart sets forth the special
by this section.
rules applicable to proceedings for the
(e) Answers to petitions shall be filed
establishment of mail rates by the De-
within twenty (20) days after service of
partment for foreign air transportation
the petition.
and air transportation between points
in Alaska, and certain contractual ar- § 302.703 Order to show cause or insti-
rangements between the U.S. Postal tuting a hearing.
Service and certificated air carriers for
the carriage of mail in foreign air Whether the proceeding is com-
transportation entered into pursuant menced by the filing of a petition or
to 39 U.S.C. 5402(a), 84 Stat. 772. upon the Department’s own initiative,
(b) Such contracts must be for the the DOT decisionmaker may issue an
transportation of at least 750 pounds of order directing the respondent to show
mail per flight, and no more than five cause why it should not adopt such
(5) percent, based on weight, of the findings and conclusions and such final
international mail transported under rates as may be specified in the order
any such contract may consist of letter to show cause, or may issue an order
mail. setting the matter for hearing before
an administrative law judge.
FINAL MAIL RATE PROCEEDINGS
§ 302.704 Objections and answers to
§ 302.702 Institution of proceedings. order to show cause.
(a) Proceedings for the determination (a) Where an order to show cause is
of rates of compensation for the trans- issued, any person having objections to
portation of mail may be commenced the rates specified in such order shall
by the filing of a petition by an air car- file with the DOT decisionmaker an an-
rier whose rate is to be fixed, or the swer within forty-five (45) days after
U.S. Postal Service, or upon the the date of service of such order or

324
Office of the Secretary, DOT § 302.708
within such other period as the order persons other than parties may, within
may specify. the time fixed for filing an answer to
(b) An answer to an order to show an order to show cause as provided in
cause shall contain specific objections, § 302.704, submit a memorandum of op-
and shall set forth the findings and position to, or in support of, the posi-
conclusions, the rates, and the sup- tion taken in the petition or order.
porting exhibits that would be sub- Such memorandum shall not be re-
stituted for the corresponding items in ceived as evidence in the proceeding.
the findings and conclusions of the (c) All direct evidence shall be in
show cause order, if such objections writing and shall be filed in exhibit
were found valid. form within the times specified by the
(c) An answer filed by a person who is DOT decisionmaker or by the adminis-
neither a party nor a person ultimately trative law judge.
permitted to intervene in an oral evi- (d) Except as modified by this sub-
dentiary hearing if such proceeding is part, the provisions of §§ 302.17 through
established shall be treated as a memo- 302.38 of this part shall apply.
randum filed under § 302.706.
PROVISION FOR TEMPORARY RATE
§ 302.705 Further procedures.
(a) If no answer is filed within the § 302.707 Procedure for fixing tem-
designated time, or if a timely filed an- porary mail rates.
swer raises no material issue of fact, At any time during the pendency of a
the DOT decisionmaker may, upon the proceeding for the determination of
basis of the record in the proceeding, final mail rates, the DOT decision-
enter a final order fixing the rate or maker, upon his or her own initiative,
rates. or on petition by the air carrier whose
(b) If an answer raising a material rates are in issue or by the U.S. Postal
issue of fact is filed within the time Service, may fix temporary rates of
designated in the Department’s order, compensation for the transportation of
the DOT decisionmaker may then issue mail subject to downward or upward
an order authorizing additional plead- adjustment upon the determination of
ings and/or establishing further proce- final mail rates.
dural steps, including setting the mat-
ter for oral evidentiary hearing before INFORMAL MAIL RATE CONFERENCE
an administrative law judge. PROCEDURE

§ 302.706 Hearing. § 302.708 Invocation of procedure.

(a) If a hearing is ordered under (a) Conferences between DOT em-
§ 302.705, the issues at such hearing ployees, representatives of air carriers,
shall be formulated in accordance with the U.S. Postal Service and other in-
the instituting order, except that at a terested persons may be called by DOT
prehearing conference, the administra- employees for the purpose of consid-
tive law judge may permit the parties ering and clarifying issues and factual
to raise such additional issues as he or material in pending proceedings for the
she deems necessary to make a full de- establishment of rates for the transpor-
termination of a fair and reasonable tation of mail.
rate. (b) At the commencement of an infor-
(b)(1) The parties to the proceeding mal mail rate conference pursuant to
shall be the air carrier or carriers for this section, the authorized DOT em-
whom rates are to be fixed, the U.S. ployees conducting such conference
Postal Service, the Office of the Assist- shall issue to each person present at
ant General Counsel for Aviation En- such conference a written statement to
forcement and Proceedings and any the effect that such conference is being
other person whom the DOT decision- conducted pursuant to this section and
maker or administrative law judge per- stating the time of commencement of
mits to intervene in accordance with such conference; and at the termi-
§ 302.20. nation of such conference the DOT em-
(2) In addition to participation in ployees conducting such conference
hearings in accordance with § 302.19, shall note in writing on such statement

325
§ 302.709 14 CFR Ch. II (1–1–19 Edition)
the time of termination of such con- herself, his or her immediate family,
ference. members of his or her firm or company,
or as a trustee, in securities of the air
§ 302.709 Scope of conferences. carrier involved in the rate conference
The mail rate conferences shall be except that under exceptional cir-
limited to the discussion of, and pos- cumstances special permission may be
sible agreement on, particular issues obtained in advance from the DOT de-
and related factual material in accord- cisionmaker; and
ance with sound rate-making prin- (3) Shall adopt effective controls for
ciples. The duties and powers of DOT the confidential handling of such infor-
employees in rate conferences essen- mation and shall instruct personnel
tially will not be different, therefore, under his or her supervision, who by
from the duties and powers they have reason of their employment come into
in the processing of rate cases not in- possession of information obtained at
volving a rate conference. The employ- the conference, that such information
ees’ function in both instances is to is confidential and must not be dis-
present clearly to the DOT decision- closed to anyone except to the extent
maker the issues and the related mate- absolutely necessary in the course of
rial facts, together with recommenda- employment, and must not be misused.
tions. The DOT decisionmaker will (The term ‘‘information’’, as used in
make an independent determination of this section, shall refer only to infor-
the soundness of the employees’s anal- mation obtained at the conference re-
yses and recommendations. garding the future course of action or
§ 302.710 Participants in conferences. position of the Department or its em-
ployees with respect to the facts or
The persons entitled to be present in issues discussed at the conference.)
mail rate conferences will be the rep-
(b) Signed statement required. Every
resentatives of the carrier whose rates
representative of an air carrier actu-
are in issue, the staff of the U.S. Postal
ally present at any conference shall
Service, and the authorized DOT em-
sign a statement that he or she has
ployees. No other person will attend
read this entire instruction and prom-
unless the DOT employees deem his or
ises to abide by it and advise any other
her presence necessary in the interest
participant to whom he or she discloses
of one or more purposes to be accom-
any confidential information of the re-
plished, and in such case his or her par-
strictions imposed above. Every rep-
ticipation will be limited to such spe-
resentative of the U.S. Postal Service
cific purposes. No person, however,
shall have the duty to attend merely actually present at any conference
by reason of invitation by the author- shall, on his or her own behalf, sign a
ized DOT employees. statement to the same effect.
(c) Presumption of having conference
§ 302.711 Conditions upon participa- information. A director of any air car-
tion. rier that has had a representative at
(a) Nondisclosure of information. As a the conference, who deals either di-
condition to participation, every par- rectly or indirectly for himself or her-
ticipant, during the period of the con- self, his or her immediate family,
ference and for ninety (90) days after members of his or her firm or company,
its termination, or until the Depart- or as a trustee, in securities of the air
ment takes public action with respect carrier involved in the conference, dur-
to the facts and issues covered in the ing the restricted period set forth
conference, whichever is earlier: above, shall be presumed to have come
(1) Shall, except for necessary disclo- into possession of information obtained
sures in the course of employment in at the conference knowing that such
connection with conference business, information was subject to the restric-
hold the information obtained in con- tions imposed above; but such pre-
ference in absolute confidence and sumption can be rebutted.
trust; (d) Compliance report required. Within
(2) Shall not deal, directly or indi- ten (10) days after the expiration of the
rectly, for the account of himself or time specified for keeping conference

326
Office of the Secretary, DOT § 302.716
matters confidential, every partici- resolve the issues and facts in accord-
pant, as defined in paragraph (e) of this ance with sound ratemaking principles.
section, shall file a verified compliance
report with Department of Transpor- § 302.714 Availability of data to the
tation Dockets stating that he or she U.S. Postal Service.
has complied in every respect with the The representatives of the U.S. Post-
conditions of this section, or if he or al Service shall have access to all con-
she has not so complied, stating in de- ference data and, insofar as prac-
tail in what respects he or she has ticable, shall be furnished copies of all
failed to comply. pertinent data prepared by the DOT
(e) Persons subject to the provisions of employees and the air carrier, and a
this section. For the purposes of this reasonable time shall be allowed to re-
section, participants shall include: view the facts and issues and to make
(1) Any representative of any air car- any presentation deemed necessary;
rier and any representative of the U.S. Provided, That in cases other than
Postal Service actually present at the those involving an issue as to the serv-
conference; ice mail rates payable by the U.S.
(2) The directors and the officers of Postal Service pursuant to section
any air carrier that had a representa- 41901 of the Statute, representatives of
tive at the conference; the U.S. Postal Service shall be fur-
(3) The members of any firm of attor- nished with copies of data under this
neys or consultants that had a rep- provision only upon their written re-
resentative at the conference; and quest.
(4) The members of the U.S. Postal
Service staff who come into possession § 302.715 Post-conference procedure.
of information obtained at the con- No briefs, argument, or any formal
ference, knowing that such informa- steps will be entertained by the DOT
tion is subject to the restrictions im- decisionmaker after the rate con-
posed in this section. ferences. The form, content and time of
the staff’s presentation to the DOT de-
§ 302.712 Information to be requested cisionmaker are entirely matters of in-
from an air carrier. ternal procedure. Any party to the
When an air carrier is requested to mail rate proceeding may, through an
submit detailed estimates as to traffic, authorized DOT employee, request the
revenues and expenses by appropriate opportunity to submit a written or oral
periods and the investment that will be statement to the DOT decisionmaker
required to perform the operations for on any unresolved issue. The DOT deci-
a future period, full and adequate sup- sionmaker will grant such requests
port shall be presented for all esti- whenever he or she deems such action
mates, particularly where such esti- desirable in the interest of further clar-
mates deviate materially from the air ification and understanding of the
carrier’s experience. With respect to issues. The granting of an opportunity
the rate for a past period, essentially for such further presentation shall not,
the same procedure shall be followed. however, impair the rights that any
Other information or data likewise party might otherwise have under the
may be requested by the DOT employ- Statute and this part.
ees. All data submitted by the air car-
rier shall be certified by a responsible § 302.716 Effect of conference agree-
officer. ments.
No agreements or understandings
§ 302.713 DOT analysis of data for sub- reached in rate conferences as to facts
mission of answers thereto. or issues shall in any respect be bind-
After a careful analysis of these data, ing on the Department or any partici-
the DOT employees will, in most cases, pant. Any party to mail rate pro-
send the air carrier a statement of ex- ceedings will have the same rights to
ceptions showing areas of differences. file an answer and take other proce-
Where practicable, the air carrier may dural steps as though no rate con-
submit an answer to these exceptions. ference had been held. The fact, how-
Conferences will then be scheduled to ever, that a rate conference was held

327
§ 302.717 14 CFR Ch. II (1–1–19 Edition)
and certain agreements or under- § 302.719 Explanation and data sup-
standings may have been reached on porting the contract.
certain facts and issues renders it prop- Each contract filed pursuant to this
er to provide that, upon the filing of an subpart shall be accompanied by eco-
answer by any party to the rate pro- nomic data and such other information
ceeding, all issues going to the estab- in support of the contract upon which
lishment of a rate shall be open, except the filing air carrier intends that the
insofar as limited in prehearing con- Department rely, including, in cases
ference in accordance with § 302.22. where pertinent, estimates of the an-
nual volume of contract mail (weight
§ 302.717 Waiver of participant condi- and ton-miles) under the proposed con-
tions. tract, the nature of such mail (letter
After the termination of a mail rate mail, parcel post, third class, etc.), to-
conference hereunder, the air carrier gether with a statement as to the ex-
whose rates were in issue may petition tent to which this traffic is new or di-
the DOT decisionmaker for a release verted from existing classes of air and
from the obligations imposed upon it surface mail services and the priority
and all other persons by § 302.711. The assigned to this class of mail.
DOT decisionmaker will grant such pe-
tition only after a detailed and con- § 302.720 Service.
vincing showing is made in the petition A copy of each contract filed pursu-
and supporting exhibits and documents ant to § 302.718, and a copy of all mate-
that there is no reasonable possibility rial and data filed pursuant to § 302.719,
that any of the abuses sought to be pre- shall be served upon each of the fol-
vented will occur or that the Depart- lowing persons:
ment’s processes will in any way be (a) Each certificated and commuter
prejudiced. There will be no hearing or (as defined in § 298.2 of this chapter) air
oral argument on the petition and the carrier, other than the contracting car-
DOT decisionmaker will grant or deny rier, that is actually providing sched-
the request without being required to uled mail services between any pair of
assign reasons therefor. points between which mail is to be
transported pursuant to the contract;
PROCESSING CONTRACTS FOR THE CAR- and
RIAGE OF MAIL IN FOREIGN AIR TRANS- (b) The Assistant General Counsel,
PORTATION Transportation Division, U.S. Postal
Service, Washington, DC 20260–1124.
§ 302.718 Filing.
§ 302.721 Complaints.
Any air carrier that is a party to a
contract to which this subpart is appli- Within fifteen (15) days of the filing
cable shall file three (3) copies of the of a contract, any interested person
contract in the Office of Aviation Anal- may file with the Office of Aviation
ysis, X–50, Department of Transpor- Analysis, X–50, Department of Trans-
tation, Washington, DC 20590, not later portation, Washington, DC 20590, a
than ninety (90) days before the effec- complaint with respect to the contract
tive date of the contract. A copy of setting forth the basis for such com-
such contract shall be served upon the plaint and all pertinent information in
persons specified in § 302.720 and the support of same. A copy of the com-
certificate of service shall specify the plaint shall be served upon the air car-
persons upon whom service has been rier filing the contract and upon each
made. One copy of each contract filed of the persons served with such con-
shall bear the certification of the sec- tract pursuant to § 302.720.
retary or other duly authorized officer § 302.722 Answers to complaints.
of the filing air carrier to the effect
that such copy is a true and complete Answers to the complaint may be
copy of the original written instrument filed within ten (10) days of the filing of
executed by the parties. the complaint, with service being made
as provided in § 302.720.

328
Office of the Secretary, DOT Pt. 302, App. A

§ 302.723 Further procedures. § 302.724 Petitions for reconsideration.

(a) In any case where a complaint is Except in the case of a Department
filed, the DOT decisionmaker shall determination to disapprove a con-
issue an order dismissing the com- tract, no petitions for reconsideration
plaint, disapproving the contract, or of any Department determination pur-
taking such other action as may be ap- suant to this subpart shall be enter-
propriate. Any such order shall be tained.
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 per- APPENDIX A TO PART 302—INDEX TO
sons upon whom the contract was RULES OF PRACTICE
served indicating that the Department Appendix A shows the subjects covered by
does not intend to disapprove the con- part 302 and the section numbers used before
tract. and after the final rule revising part 302,
(c) Unless the DOT decisionmaker published in the FEDERAL REGISTER on Feb-
disapproves the contract not later than ruary 9, 2000 and became effective on March
ten (10) days prior to its effective date, 10, 2000.
the contract automatically becomes ef-
fective.
Subject Old rule New rule

ADMINISTRATIVE LAW JUDGES:

Actions after hearings ............................................................................................. § 302.27(b) § 302.31(a)
Actions during prehearing conference .................................................................... § 302.23(a) § 302.22(b)
Arguments before ................................................................................................... § 302.25 § 302.29
Briefs ....................................................................................................................... § 302.26 § 302.30
Licensing cases ........................................................................................ § 302.1752 § 302.215
Certification for decision ......................................................................................... § 302.22(d) § 302.31(b)
Definition ................................................................................................................. § 302.22(a) § 302.2
Delegation of authority ............................................................................................ § 302.27(a) § 307.17(a)(3)
Exceptions ................................................................................................ § 302.27(a) § 307.17(a)(3)
Interlocutory matters ................................................................................. § 302.27(a) § 307.17(a)(3)
Disqualification ........................................................................................................ § 302.22(b) § 302.17(b)
Exceptions ............................................................................................................... § 302.24(e) § 302.24(i)
Licensing cases ........................................................................................ § 302.1754 § 302.217
Hearings before ........................................................................................ § 302.24 § 302.23
Initial decision (see Initial Decision).
Powers ...................................................................................................... § 302.22(c) § 302.17(a)
Prehearing conference report ................................................................... § 302.23(b) § 302.22(c)
Recommended decision (see Recommended Decision).
Termination of authority ............................................................................ § 302.22(c) § 307.17(a)(4)
ADMISSIONS:
Enforcement proceeding ......................................................................................... § 302.212 § 302.412
Limitation on use ..................................................................................................... § 302.212 § 302.412(c)
AIRPORT FEES:
Administrative law judge decision ........................................................................... § 302.615 § 302.607
Complaints by U.S. or foreign air carriers .............................................................. § 302.603(a) § 302.602(a)
Answers .................................................................................................... § 302.607 § 302.604
Additional complaints ................................................................................ § 302.603(b) § 302.602(b)
Contents ................................................................................................... § 302.605 § 302.603
Format of exhibits and briefs .................................................................... § 302.605(b) § 302.603(b)
Service ...................................................................................................... § 302.605(c)(1) § 302.603(c)(1)
Replies ...................................................................................................... § 302.609 § 302.605
Consolidation of proceedings ................................................................................. § 302.603(c) § 302.602(c)
Dismissal ................................................................................................................. §§ 302.611(c), §§ 302.606(c),
(d) (d)
Final order ............................................................................................................... § 302.621 § 302.610
Timing ....................................................................................................... § 302.619 § 302.609
Instituting order ....................................................................................................... § 302.611(b) § 302.606(b)
Petitions for discretionary review ............................................................................ § 302.617 § 302.608
Answers .................................................................................................... § 302.617(c) § 302.608(c)
Request for determination by airport owner/operator ............................................. § 302.603(a) § 302.602(a)
Answers .................................................................................................... § 302.607 § 302.604
Contents ................................................................................................... § 302.605 § 302.603
Format of exhibits and briefs .................................................................... § 302.605(b) § 302.603(b)
Service ...................................................................................................... § 302.605(d)(1) § 302.603(d)(1)
Replies ...................................................................................................... § 302.609 § 302.605

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Subject Old rule New rule

Review procedures ................................................................................................. § 302.611 § 302.606

Significant dispute determination ............................................................................ § 302.611(b) § 302.606(b)
AMENDMENTS OF DOCUMENTS (see Documents)
ANSWERS (see also Replies):
Airport fees .............................................................................................................. § 302.607 § 302.604
Certificate applications:
Initial fitness .............................................................................................. § 302.1730(c) § 302.204
International route awards
Conforming applications ............................................................. § 302.1720(d) § 302.212(d)
Motions to modify scope ............................................................ § 302.1720(e) § 302.212(d)
New authority ............................................................................. § 302.1720(d) § 302.212(b)
Complaints
Air mail contracts ...................................................................................... § 302.1506 § 302.722
Airport fees ............................................................................................... § 302.607 § 302.604
Enforcement matters ................................................................................ § 302.204(b) § 302.405
Suspension of tariffs ................................................................................. § 302.505 § 302.506
Consolidation of proceedings ................................................................................. § 302.12(c) § 302.13(c)
Enforcement proceeding, notice instituting ............................................................. § 302.207 § 302.408
Exemption applications ........................................................................................... § 302.406 § 302.307
Foreign air carrier permit applications .................................................................... § 302.1740(c) § 302.204
Generally ................................................................................................................. § 302.6 § 302.6
Mail rate proceedings show cause orders .............................................................. § 302.305 § 302.704
Motions, generally ................................................................................................... § 302.18(c) § 302.11(c)
Motions to consolidate ............................................................................................ § 302.12(c) § 302.13(c)
Motions to dismiss and for summary judgment ...................................................... § 302.212 § 302.411
Motions for modification/dissolution of enforcement proceedings .......................... § 302.218 § 302.419
Petitions for discretionary review ............................................................................ § 302.28(b) § 302.32(b)
Petitions for final mail rates .................................................................................... § 302.303 § 302.702(e)
Petitions for intervention ......................................................................................... § 302.15(c)(3) § 302.20(c)(3)
Petitions for reconsideration ................................................................................... § 302.37a § 302.14
Requests for determination of airport fees ............................................................. § 302.607 § 302.607
APPEALS:
Administrative Law Judge’s ruling .......................................................................... § 302.18(f) § 302.11(h)
Enforcement complaints ......................................................................................... § 302.206(b) § 302.406(c)
APPEARANCES:
Generally ................................................................................................................. § 302.11 § 302.21
Application for admission to practice unnecessary .................................. § 302.11(a) § 302.21(b)
Copy of transcript ..................................................................................... § 302.11(c) § 302.27(b)
Retention of counsel ................................................................................. § 302.11(b) § 302.27(a)
Enforcement proceedings ....................................................................................... § 302.214 § 302.416
APPLICATIONS:
Admission to practice unnecessary ........................................................................ § 302.11(a) § 302.21(b)
Suspension from practicing before DOT .................................................. § 302.11(a) § 302.21(c)
Amendment ............................................................................................................. § 302.5 § 302.5
Certificates for international route awards .............................................................. §§ 302.1701– §§ 302.201–206
1713, 1720
Conforming applications ........................................................................... § 302.1720(c) § 302.212(c)
Certificates involving initial fitness .......................................................................... §§ 302.1701– §§ 302.201–206
1713, 1730
Consolidation .......................................................................................................... § 302.12 § 302.13
Exemptions ............................................................................................................. §§ 302.401–405 §§ 302.302–304
Exemptions, emergency ......................................................................................... §§ 302.410(b), § 302.311
(c)
Foreign Air Carrier Permits ..................................................................................... §§ 302.1701– §§ 302.201–206
1713, 1740
Licensing cases ...................................................................................................... §§ 302.1701– §§ 302.201–206
1790
ARGUMENT:
Before Administrative Law Judge ........................................................................... § 302.25 § 302.29
Oral (see Oral Arguments)
ATTENDANCE FEES AND MILEAGE .................................................................................. § 302.21 § 302.27(c)
BRIEFS:
Accompanying motions or answers ........................................................................ § 302.18(d) § 302.11(d)
Failure to restate objections ................................................................................... § 302.31(b) § 302.35(b)
Filing time ................................................................................................................ § 302.31(a) § 302.35(a)
Formal specifications .............................................................................................. § 302.31(c) § 302.35(c)
Incorporation by reference ...................................................................................... § 302.31(b) § 302.35(c)(2)
Licensing cases ...................................................................................................... §§ 302.302.1752, §§ 302.215, 218
1755
To Administrative Law Judge ................................................................................. § 302.26 § 302.30
Licensing cases ........................................................................................ § 302.1752 § 302.215
To DOT decisionmaker ........................................................................................... § 302.31 § 302.35
Licensing cases ........................................................................................ § 302.1755 § 302.218
CERTIFICATE CASES FOR U.S. AIR CARRIERS:

330
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Subject Old rule New rule

Application:
Answers to ................................................................................................ §§ 302.1720(d) § 302.204(a)
1730(d)
Contents of ............................................................................................... § 302.1704 § 302.202
Incomplete ................................................................................................ § 302.1713 § 302.209
Replies to answers ................................................................................... ............................ § 302.204(b)
Service of .................................................................................................. § 302.1705 § 302.203
Supporting evidence ................................................................................. § 302.1710 §§ 302.202(a),
205
Verification ................................................................................................ § 302.1707 § 302.206
Continuing Fitness .................................................................................................. § 302.1730 § 302.211
Non-hearing procedures ......................................................................................... § 302.1712(a) § 302.207
Generally ................................................................................................................. §§ 302.1701– §§ 302.201–220
1790
Initial Fitness ........................................................................................................... § 302.1730 § 302.211
International Route Awards .................................................................................... § 302.1720 § 302.212
Oral evidentiary hearing proceedings ..................................................................... §§ 302.1751– §§ 302.214–220
1757
Petition for ................................................................................................ § 302.1712(b) § 302.208
CERTIFICATION:
Documents .............................................................................................................. § 302.4(b) § 302.4(b)
Record ..................................................................................................................... §§ 302.22(d), 27, § 302.31(b)
29
CHARGES (see Rates, Fairs, and Charges; Airport Fees)
CITATION OF RULES .......................................................................................................... § 302.2 § 302.1(c)
CIVIL PENALTIES ................................................................................................................. § 302.206(a) §§ 302.407(d),
(e)
COMPLAINANTS, JOINDER ................................................................................................ § 302.13 § 302.404(d)
COMPLAINTS:
Airport fees .............................................................................................................. §§ 302.603–605 §§ 302.602–603
Contracts for transportation of mail ........................................................................ §§ 302.1505– § 302.721
1507
Enforcement proceedings ....................................................................................... §§ 302.200–204 §§ 302.403–404
Joinder .................................................................................................................... § 302.13 § 302.404(d)
Rates, fares, and charges ...................................................................................... §§ 302.501–508 §§ 302.501–507
Suspension of tariffs ............................................................................................... §§ 302.505–508 § 302.506
COMPUTATION OF TIME (see also Time) .......................................................................... § 302.16 § 302.8
CONSOLIDATION OF PROCEEDINGS ................................................................ § 302.12 § 302.13
Airport fees .............................................................................................................. § 302.603(c) § 302.602(c)
Answer to motion for ............................................................................................... § 302.12(c) § 302.13(c)
Enforcement proceedings ....................................................................................... § 302.210(a) § 302.410
Filing time ................................................................................................................ § 302.12(b) § 302.13(b)
Initiation of ............................................................................................................... § 302.12(a) § 302.13(a)
CONTINUING FITNESS CERTIFICATE CASES ................................................................. § 302.1701–1713 § 302.212
CONTRACTS (see Mail Contracts)
DECISIONS:
Final ........................................................................................................................ § 302.36 §§ 302.38, 220
Initial (see Administrative Law Judges)
Recommended (see Administrative Law Judges)
Tentative ................................................................................................................. § 302.29 § 302.33
Exceptions to ............................................................................................ § 302.30 § 302.34
DEFINITIONS ........................................................................................................................ NA §§ 302.2, 402
DELEGATION OF AUTHORITY ........................................................................................... § 302.27 §§ 302.17(a),
18(a)
DEPOSITIONS:
Application by party for ........................................................................................... § 302.20(b) § 302.26(b)
Criteria for order to issue ........................................................................................ § 302.20(a) § 302.26(a)
Evidential status ...................................................................................................... §§ 302.20(h) § 302.26(h)
Objections to questions or evidence ...................................................................... § 302.2(d) § 302.26(d)
Specifications .......................................................................................................... § 302.20(g) § 302.26(g)
Subscription by witness .......................................................................................... § 302.20(e) § 302.26(e)
Written interrogatories ............................................................................................. § 302.20(f) § 302.26(f)
DISCRETIONARY REVIEW:
Initial and Recommended decisions ....................................................................... § 302.28 § 302.32
Answers in opposition or support ............................................................. § 302.28(b) § 302.32(b)
Formal requirements ................................................................................ § 302.28(a)(3) §§ 302.32(a)(3),
(4)
Grounds for ............................................................................................... § 302.28(a)(2) § 302.32(a)(2)
Orders declining review ............................................................................ § 302.28(c) § 302.32(c)
Oral arguments ......................................................................................... § 302.28(a)(5) § 302.32(a)(5)
Petitions for ............................................................................................... § 302.28(a)(1) § 302.32(a)(1)
Review proceedings ................................................................................. § 302.28(d) § 302.32(d)
DISSOLUTION OF ENFORCEMENT ACTION .................................................................... § 302.218 § 302.419
DOCUMENTS:

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Subject Old rule New rule

Amendments ........................................................................................................... § 302.5 § 302.5

Leave of Department ................................................................................ § 302.5 § 302.5(a)
Timing of ................................................................................................... § 302.5 § 302.5(b)
Answers (see Answers)
Briefs (see Briefs)
Dismissal ................................................................................................................. § 302.5 § 302.3(d)
Electronic filing ........................................................................................................ NA § 302.3(c)
Exhibits .................................................................................................................... §§ 302.24(g) § 302.24(c)
Filing ........................................................................................................................ § 302.3 § 302.3
Address ..................................................................................................... § 302.3(a) § 302.3(a)
Date .......................................................................................................... § 302.3(a) § 302.3(a)
Improper filing ........................................................................................... § 302.4e § 302.3(d)
Formal specifications .............................................................................................. § 302.3(b) § 302.3(b)
General requirements ............................................................................................. § 302.4 § 302.4
Contents ................................................................................................... § 302.4(a) § 302.4(a)(2)
Designation of person to receive service ................................................. § 302.4(c) § 302.4(a)
Subscription .............................................................................................. § 302.4(b) § 302.4(b)
Memoranda of opposition or support ...................................................................... § 302.6(c) § 302.706(b)(2)
Number of copies .................................................................................................... § 302.3(c) § 302.3(c)
Objections to public disclosure ............................................................................... § 302.39(b) § 302.12
Official Notice of facts ............................................................................................. § 302.24(n) § 302.24(g)
Partial relevance of ................................................................................................. § 302.24(I) § 302.24(e)
Presented at oral argument .................................................................................... § 302.32(b) § 302.36(b)
Receipt after hearing .............................................................................................. § 302.24(k) § 302.24(h)
Responsive ............................................................................................................. § 302.6 § 302.6
Retention ................................................................................................................. § 302.7 § 302.3(f)
Service (see Service)
Table of contents/Index .......................................................................................... § 302.3(d) § 302.4(a)(3)
Unauthorized ........................................................................................................... § 302.4(f) § 302.6(c)
DOT DECISIONMAKER:
Briefs to ................................................................................................................... § 302.31 § 302.35
Licensing cases ........................................................................................ § 302.1755 § 302.218
Certification of record to ......................................................................................... § 302.22(d) § 302.31(b)
Definition ................................................................................................................. § 302.22a §§ 302.2, 18
Final decision .......................................................................................................... § 302.36 § 302.38
Licensing cases ........................................................................................ § 302.1757 § 302.220
Oral argument ......................................................................................................... § 302.32 § 302.36
Licensing cases ........................................................................................ § 302.1756 § 302.219
Petitions for reconsideration ................................................................................... § 302.37 § 302.14
Review of Administrative Law Judge decision ....................................................... § 302.38 § 302.32
Tentative decision ................................................................................................... § 302.29 § 302.33
Exceptions ................................................................................................ § 302.30 § 302.34
ENFORCEMENT PROCEEDINGS:
Admissions as to facts and documents .................................................................. § 302.212 § 302.412
Complaints:
Formal ....................................................................................................... § 302.201 § 302.404
Informal ..................................................................................................... § 302.200 § 302.403
Insufficiency of .......................................................................................... § 302.203 § 302.404(c)
Consolidation of proceedings ................................................................................. § 302.210a § 302.410
Evidence of previous violations .............................................................................. § 302.216 § 302.413
Generally ................................................................................................................. §§ 302.200–217 §§ 302.401–420
Hearings .................................................................................................................. § 302.213 § 302.415
Modification or dissolution of enforcement action .................................................. § 302.218 § 302.419
Motions to dismiss .................................................................................................. § 302.212 § 302.411
Motions for summary judgment .............................................................................. § 302.212 § 302.402
Settlement proceedings .......................................................................................... § 302.215 § 302.417
EVIDENCE:
Exhibits .................................................................................................................... §§ 302.24(g), (h) §§ 302.24(c), (d)
Generally ................................................................................................................. § 302.24(c) § 302.24(a)
Objections to ........................................................................................................... § 302.24(d) § 302.24(b)
Offers of proof ......................................................................................................... § 302.24(f) § 302.24(j)
Official notice of facts in certain documents ........................................................... § 302.24(n) § 302.24(g)
Partial relevance of ................................................................................................. § 302.24(I) § 302.24(e)
Previous violations .................................................................................................. § 302.216 § 302.413
Records in other proceedings ................................................................................. § 302.24(j) § 302.24(f)
EXAMINERS (see Administrative Law Judges)
EXCEPTIONS:
Administrative Law Judge’s rulings ........................................................................ § 302.24(e) § 302.24(i)
Initial decisions ........................................................................................................ § 302.30 § 302.31(c)
Licensing cases ...................................................................................................... § 302.1754 § 302.217
Recommended decisions ........................................................................................ § 302.30 § 302.31(c)
Request for oral argument ...................................................................................... § 302.32 § 302.36
Tentative decisions ................................................................................................. § 302.30 § 302.34
Waiver ..................................................................................................................... § 302.33 § 302.37

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Subject Old rule New rule

EXEMPTION PROCEEDINGS:
Application:
Answers to ................................................................................................ § 302.406 § 302.307
Contents of ............................................................................................... § 302.402 § 302.303
Filing of ..................................................................................................... § 302.401 § 302.302
Incomplete ................................................................................................ § 302.405 § 302.306
Posting of .................................................................................................. § 302.404 § 302.305
Service of .................................................................................................. § 302.403 § 302.304
Reply to answer ........................................................................................ § 302.407 § 302.308
Supporting evidence ................................................................................. § 302.402(c) § 302.302(c)
DOT’s initiative ........................................................................................................ § 302.409 § 302.310
Emergencies ........................................................................................................... § 302.410 § 302.311
Cabotage .................................................................................................. § 302.402(d) § 302.303(d)
Hearing request ...................................................................................................... § 302.408 § 302.309
EXHIBITS (see also Evidence):
Generally ................................................................................................................. § 302.24(g) §§ 302.24(c), (d)
FARES (see Rates, Fares, and Charges)
FEE (see Airport Fees)
FINAL MAIL RATE PROCEEDINGS (see Mail Rate Proceedings)
FINAL ORDERS (see Orders)
FITNESS CASES (see Certificate Cases)
FOREIGN AIR CARRIER PERMIT CASES:
Application:
Answers to ................................................................................................ § 302.1740(c) § 302.204(a)
Contents of ............................................................................................... § 302.1704 § 302.202
Incomplete ................................................................................................ § 302.1713 § 302.209
Replies to answers ................................................................................... ............................ § 302.204(b)
Service of .................................................................................................. § 302.1705 § 302.203
Supporting evidence ................................................................................. § 302.1710 §§ 302.202(a),
205
Verification ................................................................................................ § 302.1707 § 302.206
Non-hearing procedures ......................................................................................... § 302.1712(a) § 302.207
Generally ................................................................................................................. §§ 302.1701– §§ 302.201–220
1713, 1740–1790
Oral evidentiary hearing proceedings ..................................................................... § 302.1751–1757 §§ 302.214–220
Petition for ................................................................................................ § 302.1712(b) § 302.208
HEARINGS:
Airport fee dispute proceedings .............................................................................. § 302.611(b) § 302.606(b)
Argument before Administrative Law Judge ........................................................... § 302.25 § 302.29
Change in rates, fares, or charges ......................................................................... § 302.506 § 302.706
Consolidated (see Consolidation of Proceedings)
Documents of partial relevance .............................................................................. § 302.24(i) § 302.24(e)
Enforcement proceedings ....................................................................................... § 302.213 § 302.415
Evidence (see Evidence)
Expedition of ........................................................................................................... § 302.14(a) § 302.11(e)
Generally ................................................................................................................. § 302.24 § 302.23
Intervention ............................................................................................................. § 302.15 § 302.20
Licensing cases ...................................................................................................... § 302.1751 § 302.214
Notice ...................................................................................................................... § 302.24(b) § 302.23
Offers of proof ......................................................................................................... § 302.24(f) § 302.24(j)
Official notice of facts in certain documents ........................................................... § 302.24(n) § 302.24(g)
Participation by non parties .................................................................................... § 302.14(b) § 302.19
Receipt of documents after hearing ....................................................................... § 302.24(k) § 302.24(h)
Records in other proceedings ................................................................................. § 302.24(j) § 302.24(f)
Request for, on application for exemption .............................................................. § 302.408 § 302.309
Shortened procedure .............................................................................................. § 302.35 § 302.15
Transcripts .............................................................................................................. §§ 302.24(l), (m) § 302.28
INITIAL DECISION:
Answer in support or opposition ............................................................................. § 302.28(b) § 302.32(b)
Contents .................................................................................................................. § 302.27(b) § 302.31(c)
Effect of ................................................................................................................... § 302.27(c) § 302.31(d)
Licensing cases ...................................................................................................... § 302.1753 § 302.216
Exceptions to ............................................................................................ § 302.1754 § 302.217
Oral arguments ....................................................................................................... § 302.28(a)(5) § 302.32(a)(5)
Orders declining review .......................................................................................... § 302.28(c) § 302.32(c)
Petitions for discretionary review ............................................................................ § 302.28 § 302.32
Service .................................................................................................................... § 302.27(b) § 302.31(c)
Scope ...................................................................................................................... § 302.27(a) § 302.31(a)(1)
INITIAL FITNESS CERTIFICATE CASES (see Certificate Cases)
INSTITUTING ORDERS (see Orders)
INTERROGATORIES (see Depositions)
INTERVENTION:
Generally ................................................................................................................. § 302.15 § 302.20
JOINDER OF COMPLAINTS OR COMPLAINANTS ............................................................ § 302.13 § 302.404(d)

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Subject Old rule New rule

JOINT PLEADINGS:
Enforcement cases ................................................................................................. § 302.13 § 302.404(d)
Licensing cases ...................................................................................................... § 302.1708 § 302.204(c)
LAW JUDGE (see Administrative Law Judges)
LICENSING CASES (see Certificate Cases; Foreign Air Carrier Permit Cases
MAIL CONTRACTS:
Complaint against contract ..................................................................................... §§ 302.1505– §§ 302.721–723
1507
Data supporting contract ......................................................................................... § 302.1503 § 302.719
Explanation of contract ........................................................................................... § 302.1503 § 302.719
Filing of contract ..................................................................................................... § 302.1502 § 302.718
Petition for reconsideration ..................................................................................... § 302.1508 § 302.724
Service of contract .................................................................................................. § 302.1504 § 302.720
MAIL RATE CONFERENCES:
Availability of data to Postal Service ...................................................................... § 302.317 § 302.714
Conditions upon participation ................................................................................. § 302.314 § 302.711
Compliance report .................................................................................... § 302.314(d) § 302.711(d)
Non-disclosure of information ................................................................... § 302.314(a) § 302.711(a)
Signed statement required ....................................................................... § 302.314(b) § 302.711(b)
DOT analysis of data for submission of answers ................................................... § 302.316 § 302.713
Effect of conference agreements ............................................................................ § 302.319 § 302.716
Information to be requested from carrier ................................................................ § 302.315 § 302.712
Participants in conferences ..................................................................................... § 302.313 § 302.710
Post conference procedure ..................................................................................... § 302.318 § 302.715
Scope of conferences ............................................................................................. § 302.312 § 302.709
Time of commencing and terminating conference ................................................. § 302.321 § 302.708(b)
Waiver of participant conditions .............................................................................. § 302.320 § 302.717
MAIL RATE PROCEEDINGS:
Evidence ................................................................................................................. § 302.308 § 302.706(c)
Further procedures ................................................................................................. § 302.306, 307 § 302.705
Hearing .................................................................................................................... § 302.309 § 302.706
Institution of proceedings ........................................................................................ § 302.302 § 302.702
Objections and answers to show cause order ....................................................... § 302.305 § 302.704
Order to show cause .............................................................................................. § 302.303 § 302.703
Parties and persons other than parties .................................................................. § 302.301, 302 § 302.706(b)
MILEAGE FEES .................................................................................................................... § 302.21 § 302.27(c)
MODIFICATION OF ENFORCEMENT ACTION .................................................................. § 302.218 § 302.419
MOTIONS (see also Petitions):
Answers to .............................................................................................................. § 302.18(c) § 302.11(c)
Appeals from rulings of Administrative Law Judges .............................................. § 302.18(f) § 302.11(h)
Briefs ....................................................................................................................... § 302.18(d) § 302.11(d)
Consolidation of proceedings ................................................................................. § 302.12 § 302.13
Enforcement cases ................................................................................... § 302.210a § 302.410
Continuances and extension of time ...................................................................... § 302.17 § 302.9
Disposition of .......................................................................................................... § 302.18(e) § 302.11(g)
Effect of pendency .................................................................................................. § 302.18(g) § 302.11(f)
Expedition of case .................................................................................................. § 302.14(a) § 302.11(e)
For suspension of operating authority pendente lite .............................................. § 302.217 § 302.418
For modification or dissolution of orders ................................................................ § 302.218 § 302.419
Form and contents .................................................................................................. § 302.18(b) § 302.11(b)
Generally ................................................................................................................. § 302.18 § 302.11(a)
Oral arguments ....................................................................................................... § 302.18(d) § 302.11(d)
Substitution of parties ............................................................................................. § 302.10 § 302.10(b)
To correct transcripts .............................................................................................. § 302.24(m) § 302.28(f)
To dismiss and for summary judgment .................................................................. § 302.212 § 302.411
To dismiss formal complaint ................................................................................... § 302.204 § 302.405(c)
To file unauthorized documents ............................................................................. § 302.4(f) § 302.6(c)
To modify scope in Licensing cases ...................................................................... § 302.1720(c) § 302.212(b)
To quash or modify subpoena ................................................................................ § 302.19(f) § 302.25(f)
To whom motions addressed ................................................................................. § 302.18(a) § 302.11(a)
To withhold information from public disclosure ...................................................... §§ 302.39(b), (e), §§ 302.12(d), (e)
(f)
NON-HEARING PROCEDURES .......................................................................................... § 302.35 § 302.15
Licensing cases ........................................................................................ § 302.1712(a) § 302.207
OBJECTIONS (see also Answers):
To Public Disclosure of Information ........................................................................ § 302.39 § 302.12
OFFERS OF PROOF ............................................................................................................ § 302.24(f) § 302.24(j)
OFFICIAL NOTICE ................................................................................................................ § 302.24(n) § 302.24(g)
ORAL ARGUMENTS:
Before DOT decisionmakers ................................................................................... § 302.32 § 302.36
Request for leave ..................................................................................... § 302.32(a) § 302.36(a)
Rules on documentary evidence .............................................................. § 302.32(b) § 302.36(b)
Before Administrative Law Judges ......................................................................... § 302.25 § 302.29
Discretionary review ................................................................................................ § 302.28(a)(5) § 302.32(a)(5)

334
Office of the Secretary, DOT Pt. 302, App. A
Subject Old rule New rule

Licensing cases ...................................................................................................... § 302.1756 § 302.219

Waivers ................................................................................................................... § 302.33 § 302.37
ORAL EVIDENTIARY HEARINGS (see Hearings)
ORDERS:
Declining review of initial decisions ........................................................................ § 302.28(c) § 302.32(c)
Dismissal:
Airport fee dispute proceedings ............................................................... §§ 302.611(c), §§ 302.606(c),
(d) (d)
Enforcement complaints ........................................................................... § 302.205 § 302.406
Licensing cases ........................................................................................ § 302.1750(a)(2) § 302.210(a)(3)
Establishing further procedures (Licensing cases) ................................................. § 302.1750 § 302.210
Final ........................................................................................................................ § 302.36 § 302.38
Airport fee dispute proceedings ............................................................... § 302.621 § 302.610
Licensing cases ........................................................................................ § 302.1750 § 302.210
Mail contracts ........................................................................................... § 302.1507(a) § 302.723(a)
Mail rate proceedings ............................................................................... § 302.306 § 302.705
Instituting oral evidentiary hearing:
Airport fee dispute proceedings ............................................................... § 302.611(b) § 302.606(b)
Licensing cases ........................................................................................ § 302.1750(a)(1) § 302.210(a)(4)
Mail rate proceedings ............................................................................... §§ 302.307, 309 §§ 302.703,
705(b)
Instituting investigation of rates, fares, and charges .............................................. § 302.504 § 302.505
Show cause:
Licensing cases ........................................................................................ § 302.1730(d) § 302.210(a)(1)
Mail rate proceedings ............................................................................... § 302.304 § 302.703
PARTIES:
Appearances of ....................................................................................................... § 302.11 § 302.21(a)
Defined .................................................................................................................... § 302.9 § 302.2, 10(a)
Enforcement proceedings ....................................................................................... § 302.210 § 302.402
Licensing cases ...................................................................................................... § 302.1709 § 302.210(a)(4)
Mail rate proceedings ............................................................................................. § 302.301 § 302.706(b)
Participation by Air Carrier Associations ................................................................ § 302.10(a) § 302.10(c)
Persons other than parties ..................................................................................... § 302.14 § 302.19
Substitution of ......................................................................................................... § 302.10 § 302.10(b)
PETITIONS:
Determination of rates, fares, or charges ............................................................... § 302.502(a) § 302.502–503
Discretionary review (see Discretionary Review)
Filing Time .............................................................................................................. § 302.37(a) § 302.14(a)
Institution of mail rate proceedings ......................................................................... § 302.303 § 302.302
Intervention ............................................................................................................. § 302.15(c) § 302.20
Orders subject to reconsideration ........................................................................... § 302.37(a) § 302.14(a)
Repetitive ................................................................................................................ § 302.37(c) § 302.14(c)
Reconsideration ...................................................................................................... § 302.37 § 302.14
Rulemaking ............................................................................................................. § 302.38 § 302.16
PREHEARING CONFERENCE ............................................................................................ § 302.23 § 302.22
Actions during ......................................................................................................... § 302.23(a) § 302.22(b)
Enforcement proceeding ......................................................................................... § 302.211 § 302.414
Purposed § 302.23(a) .............................................................................................. § 302.23(a) § 302.22(a)
Report of ................................................................................................................. § 302.23(b) § 302.22(c)
Scope ...................................................................................................................... § 302.23(a) § 302.22(a)
PROCEEEDINGS:
Airport fee dispute proceedings .............................................................................. §§ 302.601–621 §§ 302.601–610
Consolidation of (see Consolidation)
Contemporaneous consideration (see Consolidation)
Enforcement ............................................................................................................ §§ 302.200–217 § 302.401–420
Exemption ............................................................................................................... §§ 302.400–410 § 302.301–311
Licensing cases ...................................................................................................... §§ 302.1701– § 302.201–220
1790
Mail rate .................................................................................................................. §§ 302.300–321 § 302.701–717
Rates, fares, and charges ...................................................................................... §§ 302.500–508 § 302.501–507
PUBLIC DISCLOSURE OF INFORMATION:
Documents .............................................................................................................. § 302.39(b) § 302.12(b)
Generally ................................................................................................................. § 302.39(a) § 302.12(a)
Objection to by government .................................................................................... § 302.39(d) § 302.12(f)
Oral testimony ......................................................................................................... § 302.39(c) § 302.12(c)
RATES, FARES, AND CHARGES—PROCEEDINGS (see also Mail Rate Proceedings;
Airport Fees):
Institution of ............................................................................................................. § 302.501 § 302.502
Order of investigation .............................................................................................. § 302.504 § 302.505
Petition .................................................................................................................... § 302.501 § 302.503
Contents ................................................................................................... § 302.502(a) § 302.503(a)
Dismissed ................................................................................................. §§ 302.503 § 302.504
Service ...................................................................................................... § 302.502(b) § 302.503(b)
Suspension of tariffs ............................................................................................... § 302.505 § 302.506

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Pt. 302, App. A 14 CFR Ch. II (1–1–19 Edition)
Subject Old rule New rule

Answers .................................................................................................... § 302.505 § 302.506(e)

Complaints ................................................................................................ § 302.505 § 302.506
Time for filing complaint ........................................................................... § 302.508 § 302.507
RECOMMENDED DECISIONS (see Decisions)
Answer in support or opposition ............................................................................. § 302.28(b) § 302.32(b)
Contents .................................................................................................................. § 302.27(b) § 302.31(c)
Effect of ................................................................................................................... § 302.27(c) § 302.31(d)
Licensing cases ...................................................................................................... § 302.1753 § 302.216
Exceptions to .......................................................................................................... § 302.1754 § 302.217
Oral arguments ....................................................................................................... § 302.28(a)(5) § 302.32(a)(5)
Orders declining review .......................................................................................... § 302.28(c) § 302.32(c)
Petitions for discretionary review ............................................................................ § 302.28 § 302.32
Service .................................................................................................................... § 302.27(b) § 302.31(c)
Scope ...................................................................................................................... § 302.27(a) § 302.31(a)(2)
RECONSIDERATION, REHEARING, REARGUMENT (see Petitions for Reconsideration):
RECORD, CERTIFICATION ................................................................................................. §§ 302.22(d), § 302.31(b)
27(a), 29(a)
REPLIES:
Airport fee dispute proceedings .............................................................................. § 302.609 § 302.605
Exemption cases ..................................................................................................... § 302.407 § 302.308
Generally ................................................................................................................. § 302.6(b) § 302.6(b)
Licensing cases ...................................................................................................... ............................ § 302.204(b)
Motions .................................................................................................................... § 302.18(c) § 302.11(c)
Enforcement proceedings ....................................................................................... § 302.209 § 302.408
RESPONSIVE DOCUMENTS (see Answers; Replies):
REVIEW (see Discretionary Review):
ROUTE PROCEEDINGS (see also Certificate Cases):
International route awards ...................................................................................... §§ 302.1701– § 302.201–220
1790
RULEMAKING PETITIONS ................................................................................................... § 302.38 § 302.16
SERVICE:
Airport fee dispute proceedings .............................................................................. §§ 302.605(c)(1), §§ 302.603(c)(1),
(d)(1) (d)(1)
By the Department .................................................................................................. § 302.8(a)(1) § 302.7(a)(1)
Date of .................................................................................................................... § 302.8(f) § 302.7(f)
Enforcement complaints ......................................................................................... § 302.204(a) § 302.404(e)
Exemption cases ..................................................................................................... § 302.403 § 302.304
Generally ................................................................................................................. § 302.8 § 302.7
Licensing cases ...................................................................................................... § 302.1705 § 302.203
Mail rate petitions .................................................................................................... § 302.303(c) § 302.702(d)
Persons eligible for service ..................................................................................... § 302.8(c) § 302.7(c), (g),
(h)
Procedures .............................................................................................................. § 302.8(b) § 302.7(b)
Proof of ................................................................................................................... § 302.8(e) § 302.7(e)
Rates, fares, and charges complaints .................................................................... § 302.502(b) § 302.503(b)
Where to be made .................................................................................................. § 302.8(d) § 302.7(d)
SETTLEMENT OFFERS:
Enforcement proceedings ....................................................................................... § 302.215 § 302.417
Public disclosure ..................................................................................................... § 302.215(d) § 302.417(d)
SHORTENED PROCEDURE ................................................................................................ § 302.35 § 302.15
SHOW CAUSE ORDERS (see Orders):
SUBPOENAS ........................................................................................................................ § 302.19 § 302.25
SUSPENSION OF PRACTICE BEFORE DOT ..................................................................... § 302.11(a) § 302.25(f)
TARIFFS:
Complaints requesting suspension ......................................................................... § 302.505 § 302.506
TEMPORARY RATE PROCEEDINGS ................................................................................. § 302.310 § 302.707
TENTATIVE DECISIONS (see Decisions):
TESTIMONY (see Witnesses):
TIME:
Computation of ........................................................................................................ § 302.16 § 302.8
Continuances of ...................................................................................................... § 302.17 § 302.9
Extensions of .......................................................................................................... § 302.17 § 302.9
Licensing cases ...................................................................................................... §§ 302.1706, § 302.209
1711
TRANSCRIPTS OF HEARINGS ........................................................................................... § 302.24(l) § 302.28
U.S. AIR CARRIER CERTIFICATION (see Certificate Cases):
VERIFICATION:
Licensing cases ...................................................................................................... § 302.1707 § 302.206
WAIVERS OF PROCEDURAL STEPS ................................................................................. § 302.33 § 302.37
WITNESSES:
Attendance fees and mileage ................................................................................. § 302.21 § 302.27(c)
Cross-examination by nonparties ........................................................................... § 302.14(b) § 302.19
Depositions ............................................................................................................. § 302.20 § 302.26
Objections to public disclosure of testimony .......................................................... § 302.39(c) § 302.12(c)

336
Office of the Secretary, DOT § 303.02
Subject Old rule New rule

Represented by counsel ......................................................................................... § 302.11(a) § 302.27(a)

Subpoenas .............................................................................................................. § 302.19 § 302.25
VIOLATIONS—EVIDENTIAL STATUS IN ENFORCEMENT PROCEEDINGS ................... § 302.216 § 302.413

PART 303—REVIEW OF AIR CARRIER governing proceedings to enforce these

AGREEMENTS provisions.
[Amdt. 303–2, 54 FR 33499, Aug. 15, 1989]
Subpart A—General Provisions
§ 303.02 Definitions.
Sec.
303.1 Purpose. (a) The term Act refers to the Federal
303.2 Definitions. Aviation Act of 1958, as amended. (49
303.3 Requirement to file application. U.S.C. 1301 et seq.)
303.4 General rules governing application (b) The term Assistant Secretary
content, procedure and conditions of ap-
means the Assistant Secretary for
proval.
303.5 Applications requesting antitrust im- Aviation and International Affairs, or
munity. as delegated. As provided in 49 CFR
303.6 Review of antitrust immunity. 1.43, the Secretary or Deputy Secretary
303.7 Transitional rule. may exercise any authority in lieu of
the Assistant Secretary under the pro-
Subpart B [Reserved] visions of this part.
303.10–303.19 [Reserved]
(c) The term documents means (1) all
written, recorded, transcribed or
Subpart C [Reserved] graphic matter including letters, tele-
grams, memoranda, reports, studies,
303.20–303.24 [Reserved] forecasts, lists, directives, tabulations,
logs, or minutes and records of meet-
Subpart D—Section 412 Applications ings, conferences, telephone or other
303.30 General provisions concerning con- conversations or communications; and
tents of applications. (2) all information contained in data
303.31 Justification for the application. processing equipment or materials. The
303.32 Service of the application. term does not include daily or weekly
303.33 Modifications and cancellations. statistical reports in whose place an
annual or monthly summary is sub-
Subpart E—Procedures Upon Application mitted.
or Review
(d) The term Documentary Services Di-
303.40 Determination of compliance. vision means the Documentary Services
303.41 Notice. Division of the Office of the Assistant
303.42 Comments on application. General Counsel for Regulation and
303.43 Action following the comment period. Enforcement.
303.44 Show cause proceedings. (e) The term hearing means either a
303.45 Evidentiary hearings.
show cause proceeding as provided in
303.46 Decision by the Assistant Secretary.
§ 303.44 of this part or a full evidentiary
AUTHORITY: 49 U.S.C. chapters 401, 413, 417. hearing as provided in § 303.45 of this
SOURCE: 50 FR 31142, July 31, 1985, unless part, whichever is determined by the
otherwise noted. Assistant Secretary to be appropriate.
(f)–(g) [Reserved]
Subpart A—General Provisions (h) The term Section 412 transaction
means any contract, agreement or dis-
§ 303.01 Purpose. cussion of a cooperative working ar-
These regulations set forth the proce- rangement within the scope of section
dures by which applications may be 412 of the Act. (49 U.S.C. 1382).
made to the Department of Transpor- (i) [Reserved]
tation under sections 412 and 414 of the [50 FR 31142, July 31, 1985, as amended by
Federal Aviation Act, as amended (49 Amdt. 303–2, 54 FR 33499, Aug. 15, 1989; Amdt.
U.S.C. 1382 and 1384) and procedures 1–261, 59 FR 10061, Mar. 3, 1994]

337
§ 303.03 14 CFR Ch. II (1–1–19 Edition)

§ 303.03 Requirement to file applica- responsible for the search explaining

tion. why they cannot be produced.
A person who seeks approval of a sec- (g) The Assistant Secretary or the
tion 412 transaction must file with the Administrative Law Judge may order
Documentary Services Division an ap- any applicant to submit information in
plication that conforms to the require- addition to that required by the appli-
ments set forth in §§ 303.04 and 303.05 of cable subpart.
this part. (h) An applicant may withhold a doc-
[Amdt. 303–2, 54 FR 33499, Aug. 15, 1989] ument required by this part on the
grounds that it is privileged, but each
§ 303.04 General rules governing appli- document so withheld shall be identi-
cation content, procedure and con- fied and the applicant shall supply a
ditions of approval. brief description of the nature of the
(a) Unless specifically exempted by document, a written statement indi-
these regulations or by an order of the cating the basis of the privilege
Assistant Secretary, a person filing an claimed, and the names of the pre-
application pursuant to § 303.03 of this parers and recipients of the document.
part shall prepare and file the applica- If any interested party contests the as-
tion in the manner specified in this sertion of privilege, the document shall
section. The application shall also con- be promptly submitted to the Assistant
tain the information required by sub- Secretary, or the Administrative Law
part D of this part. An application may Judge, if the matter has been assigned
be deemed incomplete if it is not in to a Judge. Where appropriate, an in
substantial compliance with these re- camera inspection may be ordered.
quirements. (i) The person submitting the appli-
(b) The parties to the transaction cation to the Department shall send a
may file either separate applications or complete copy of the application to the
one joint application so long as all the
Chief, Transportation Section, Anti-
information required herein is sub-
trust Division of the Department of
mitted for each party to the trans-
Justice, at the same time as it is filed
action. The Assistant Secretary or Ad-
ministrative Law Judge, if the matter with the Documentary Services Divi-
has been assigned to a judge, upon his sion.
or her initiative or upon application, (j) The applicant shall, if requested,
may order the target company or other be responsible for expeditiously pro-
persons to submit some or all of the in- viding the application to any inter-
formation required by this subpart, or ested person, whether or not a party.
other information under 14 CFR 302.25. (k) Unless otherwise specified in this
(c) Each page of the application and subpart, all applications shall conform
each document submitted with the ap- generally to the requirements set forth
plication shall be marked with the in 14 CFR part 302, subpart A.
name, initials, or some other identi- (l) In exceptional circumstances, the
fying symbol of the applicant. The ap- Assistant Secretary may waive or alter
plication shall also indicate the date of the procedural requirements of this
preparation and the name and cor- part to permit a transaction to proceed
porate position of the preparer. on an expedited basis.
(d) Where the required information is
in data processing equipment, on [50 FR 31142, July 31, 1985, as amended by
microfilm, or is otherwise not eye- Amdt. 302–2, 54 FR 33499, Aug. 15, 1989; 65 FR
readable, the applicant shall provide 6456, Feb. 9, 2000]
such information in eye-readable form.
(e) The information provided by the § 303.05 Applications requesting anti-
trust immunity.
applicant shall be updated in a timely
fashion throughout the period of con- (a) Each application must state ex-
sideration of the application. plicitly whether or not the applicant
(f) If any information or documents seeks antitrust immunity under the
required by the applicable subpart are provisions of section 414 of the Act. If
not available, the applicants shall file antitrust immunity is requested, the
an affidavit executed by the individual application should specify whether the

338
Office of the Secretary, DOT § 303.30
applicant seeks full immunity or im- §§ 303.20–303.24 [Reserved]
munity only from the provisions of sec-
tions 4, 4a and 4c of the Clayton Act, 15 Subpart D—Section 412
U.S.C. 15, 15a, 15c. Each application
seeking antitrust immunity shall con- Applications
tain a statement explaining why the
§ 303.30 General provisions concerning
applicant believes immunity is in the contents of applications.
public interest and necessary in order
for the transaction to proceed. A Section 412 application shall con-
(b) [Reserved] tain the following general information:
(c) Any material misrepresentation (a) The name, mailing address and
of fact in such an application shall be primary line of business of each party
grounds for rescission nunc pro tunc of to the contract, agreement or request
any antitrust immunity granted as a for authority to discuss a possible co-
result of the misrepresentation. operative working arrangement.
(d) A request for renewal of any im- (b) If the contract or agreement for
munity granted does not operate under which approval is sought is not evi-
section 558 of Administrative Proce- denced by a resolution of an air carrier
dure Act, 5 U.S.C. 558(c), to extend the association, the application shall con-
period of immunity conferred. tain a copy of the contract or agree-
[50 FR 31142, July 31, 1985, as amended by ment that is certified to be true and
Amdt. 303–2, 54 FR 33499, Aug. 15, 1989] complete by each party to the contract
of agreement. If the contract or agree-
§ 303.06 Review of antitrust immunity. ment is set forth in an exchange of cor-
The Assistant Secretary may initiate respondence, copies of all such cor-
a proceeding to review any antitrust respondence must be submitted and
immunity previously conferred by the must be certified as true and complete
Civil Aeronautics Board or the Depart- by all parties to the contract or agree-
ment in any section 412 transaction. ment. If the contract or agreement is
The Assistant Secretary may termi- oral, a memorandum fully describing
nate or modify such immunity if the the agreement must be submitted and
Assistant Secretary finds after notice must be certified as true and complete
and hearing that the previously con- by all parties to the contract or agree-
ferred immunity is not consistent with ment. If approval is sought for a re-
the provisions of section 414. In any quest for authority to discuss a pos-
proceeding to review such immunity,
sible cooperative working arrange-
the proponents of the immunity will
ment, the application shall contain a
have the burden of justifying the con-
complete description of the possible co-
tinuation of previously conferred im-
munity under the provisions of section operative working arrangement and all
414. matters to be discussed. The descrip-
tion shall be certified to be true and
[Amdt. 303–2, 54 FR 33499, Aug. 15, 1989] complete by each party to the proposed
discussion.
§ 303.07 Transitional rule.
(c) If the contract, agreement or re-
If a section 412 application or a re- quest for authority to discuss a cooper-
quest for antitrust immunity under ative working arrangement is evi-
section 414 is pending on the date this denced by a resolution or other action
part is amended, such application or of an air carrier association, the appli-
request shall be deemed made pursuant cation shall contain the resolution or
to the provisions of this part, as other action and a certification by an
amended. authorized employee of the association
[Amdt. 303–2, 54 FR 33499, Aug. 15, 1989] that the resolution or other action was
duly adopted on a certain date. The au-
Subpart B [Reserved] thorized employee shall also specify in
such certification the name of each air
§§ 303.10–303.19 [Reserved] carrier that concurred in such resolu-
tion or other action and the name of
Subpart C [Reserved] each air carrier member that did not

339
§ 303.31 14 CFR Ch. II (1–1–19 Edition)
concur. Contracts, agreements and re- ticipating in the agreement; the names
quests for authority to discuss coopera- of all persons served; and a notice that
tive working arrangements may be any party in interest may within 21
filed in this manner only if the Asso- days of the date of filing of the applica-
ciation has complied with 14 CFR part tion file comments with the Assistant
263. Secretary in support of or opposition
to the application. A request for a com-
§ 303.31 Justification for the applica- plete copy of the application can be
tion. made under the provisions of § 303.04(j).
A section 412 application shall ex-
plain the nature and purpose of the § 303.33 Modifications and cancella-
contract, agreement or request to dis- tions.
cuss a cooperative working arrange- This subpart also applies to all modi-
ment and describe how it changes any fications or cancellations of contracts
price, rule or practice existing under a or agreements or requests for author-
previously-approved application. The ity to discuss a possible cooperative
application also, consistent with De- working arrangement.
partment of Transportation and CAB
precedent, shall contain factual mate- Subpart E—Procedures Upon
rial, documentation and argument in Application or Review
support of the application. Economic
analyses, when required, shall include § 303.40 Determination of compliance.
full explanatory details, including data (a) Within 10 days after an applica-
sources and allocation methods. If the tion is filed pursuant to § 303.03, the As-
applicants intend to rely on public ben- sistant Secretary will determine
efits to justify approval they shall de- whether the application complies with
scribe these benefits, including foreign the requirements of §§ 303.04 and 303.05.
policy and comity considerations. (b) If the Assistant Secretary deter-
mines that the application is incom-
§ 303.32 Service of the application. plete, he or she may issue a notice dis-
(a) Except as provided in paragraph missing the application without preju-
(b) of this section, a section 412 appli- dice. If the application is dismissed,
cation described in § 303.30(c) of this and statutory time period for comple-
subpart and any related pleadings shall tion of proceedings will not begin to
be served on any person or organiza- run until a completed application is
tion that has previously advised the air filed.
carrier association of its desire for
service of such agreements. Each appli- § 303.41 Notice.
cation shall contain the names and ad- (a) The Documentary Service Divi-
dresses of all persons served and a no- sion shall compile a weekly list of all
tice that any party in interest may applications filed under §§ 303.04 and
within 21 days of the date of the appli- 303.05. The list shall include a descrip-
cation file comments with the Assist- tion of the application, the docket
ant Secretary in support or opposition number, date of filing, state that it
to the application. may be reviewed in the Documentary
(b) Service of IATA Traffic Con- Services Division, and indicate that in-
ference agreements and amendments terested parties may comment on the
thereto upon any person or organiza- application or request a hearing within
tion that previously has advised IATA 21 days of the date of filling or other
of its desire for service of agreements period as specified. The weekly list will
may be accomplished by sending a normally be prepared on the following
summary notice specifying the filing Monday, or as soon as possible, and
date; the IATA memorandum number; will be posted on a public bulletin
the particular Conferences involved; board in the Documentary Services Di-
the subject matter (e.g., cargo/pas- vision. The list also shall be submitted
senger, tariffs/agency matters/ proce- for publication in the FEDERAL REG-
dures); the proposed effective date(s); ISTER.
the markets or Conference areas af- (b) In appropriate case, particularly
fected; the names of the carriers par- when an application concerns a matter

340
Office of the Secretary, DOT § 303.45
of broad public significance, the Assist- why the tentative decision should not
ant Secretary may cause a notice of an be made final. Interested persons may
application and request for public com- respond to the order within the time
ment to be published separately in the specified in the order. Replies to such
FEDERAL REGISTER. responses shall be permitted within the
time specified in the order. Persons
§ 303.42 Comments on application. wishing to introduce additional facts
(a) Unless a different comment period into the record should incorporate such
is specified in the weekly list, or in a information in their responses or re-
notice of filing published in the FED- plies by affidavit. In the case of appli-
ERAL R EGISTER, any person may file cations, show cause orders may be
comments, responses to the applica- issued after the receipt of initial com-
tion, and/or a request for a hearing ments on the application.
within 21 days of the filing of an appli-
cation. § 303.45 Evidentiary hearings.
(b) Comments supporting or opposing (a) If the Assistant Secretary deter-
an application or proposing conditions mines that an application, or review of
and responses thereto shall state with a previous granted application, should
particularity the factual basis on be the subject of a full evidentiary
which the person commenting relies, hearing, he or she shall issue an order
and provide affidavits or other mate- so stating. The term ‘‘full evidentiary
rial in support of the factual basis, if hearing’’ includes any hybrid format
appropriate. set out in the instituting order. This
(c) Requests for a formal oral evi- order shall set forth the issues that are
dentiary hearing must set out with to be considered in such hearing.
specificity the material issues of fact (b) After the issuance of an order for
in dispute that cannot be resolved a full evidentiary hearing, the Chief
without such a hearing. Vague, unsup- Administrative Law Judge shall
ported allegations will not suffice. promptly appoint an Administrative
Law Judge to conduct such hearing in
§ 303.43 Action following the comment
period. accordance with section 7 of the Ad-
ministrative Procedure Act, 5 U.S.C.
(a) [Reserved] 556, and the Rules of Practice in part
(b) Section 412 applications. After the 302 of this chapter.
period for which comments, requests (c) The applicants and the Assistant
for a hearing or responses to an order General Counsel for Aviation Enforce-
to show cause are due concerning a sec- ment and Proceedings shall be parties
tion 412 application, the Assistant Sec- in any full evidentiary hearing held
retary may proceed by order requesting under these regulations. The Assistant
further information or justification or Attorney General, Antitrust, shall be a
by order of approval or disapproval or, party upon notice filed with the Ad-
in appropriate cases, may proceed by ministrative Law Judge. Other persons
order to show cause or by order insti- may intervene as parties as provided
tuting a full evidentiary hearing. by § 302.20 of this chapter.
(c) Notice to the public of any full (d) Within the time specified in the
evidentiary hearing or order to show order instituting the full evidentiary
cause concerning an application shall hearing, the Administrative Law Judge
be made by publication in the FEDERAL shall recommend to the Assistant Sec-
REGISTER. retary that the application be approved
[50 FR 31142, July 31, 1985, as amended by or denied or that the previously grant-
Amdt. 303–2, 54 FR 33500, Aug. 15, 1989] ed exemption approval or immunity
should be terminated or continued in
§ 303.44 Show cause proceedings. accordance with the standards of the
If the Assistant Secretary determines Act. The recommendation shall be in
that an application, or review of a pre- writing, shall be based solely on the
viously granted application, will be hearing record, and shall include a
considered in a show cause proceeding, statement of the Administrative Law
a tentative decision shall be issued in- Judge’s findings and conclusions, and
viting interested persons to show cause the reasons or basis therefore, or all

341
§ 303.46 14 CFR Ch. II (1–1–19 Edition)
material issues of fact, law or discre- General Counsel for Aviation Enforce-
tion presented on the record. Copies of ment and Proceedings with a view to
the recommendation shall be served on obtaining information from any per-
each party. son. While the Department seeks and
(e) Within 10 days after the date the encourages voluntary cooperation and
Administrative Law Judge serves his believes that it is in the best interest
or her recommendation, any party may of all parties concerned, it will utilize
file written exceptions to the rec- the procedures provided by this part to
ommendation for consideration by the compel the disclosure of information
Assistant Secretary. Within 21 days by any person where DOT wishes to de-
after the service date of the judge’s termine whether such person, or any
recommendation, any party may file a other person, has been or is violating
brief in support of or in opposition to any provisions of Title IV or sections
any exceptions. This period may be al- 101(3), 1002, 1003, or 1108(b) of the Act,
tered by order of the Assistant Sec- or any rule, regulation, order, certifi-
retary, who may also authorize the fil- cate, permit, or letter or registration
ing of reply briefs. issued pursuant thereto by DOT and
[50 FR 31142, July 31, 1985, as amended at 65
when the information appears to be rel-
FR 6456, Feb. 9, 2000] evant to the matter under investiga-
tion. This part shall not apply to em-
§ 303.46 Decision by the Assistant Sec- ployees or records of other agencies of
retary. the U.S. Government, the District of
The Assistant Secretary shall decide, Columbia, or the several States and
on the basis of the record and in ac- their political subdivisions.
cordance with the procedures pre- § 305.2 Definition.
scribed in part 302 of this chapter,
whether to grant or deny, in whole or For the purpose of, and as used in
in part, the application. A copy of the this part, the term investigation means
Assistant Secretary’s final decision a non-adjudicatory, informal nonpublic
shall be served on all parties. investigation for the purpose of deter-
mining whether formal enforcement
action should be instituted with re-
PART 305—RULES OF PRACTICE IN spect to alleged violations of law.
INFORMAL NONPUBLIC INVES-
TIGATIONS §§ 305.3–305.4 [Reserved]

Sec. § 305.5 Initiation of investigation.

305.1 Applicability. An investigation may be initiated by
305.2 Definition. order of the Department. Attorneys of
305.3–305.4 [Reserved]
the Office of the Assistant General
305.5 Initiation of investigation.
305.6 Appearance of witnesses. Counsel for Aviation Enforcement and
305.7 Issuance of investigation subpenas. Proceedings shall conduct such inves-
305.8 [Reserved] tigations pursuant to the provisions of
305.9 Rights of witnesses. this part and they shall be designated
305.10 Nonpublic character of proceedings. Investigation Attorneys. Investigation
305.11 Procedures after investigation. Attorneys, administrative law judges
305.12 Motions to quash or modify an inves- and the DOT decisionmaker are hereby
tigation subpena.
authorized to exercise and perform
AUTHORITY: 49 U.S.C. chapters 401, 417, 461; their duties and functions under this
5 U.S.C. 555, 556. part in accordance with the provisions
SOURCE: Docket No. 82, 50 FR 2421, Jan. 16, of the Act and the rules and regula-
1985, unless otherwise noted. tions of the Department.
§ 305.1 Applicability. § 305.6 Appearance of witnesses.
The provisions of this part shall gov- Witnesses may be required to appear
ern informal nonpublic investigations, before any administrative law judge for
as distinguished from formal investiga- the purpose of receiving their testi-
tions and adjudicatory proceedings, un- mony or receiving from them docu-
dertaken by the Office of the Assistant ments or other data relating to any

342
Office of the Secretary, DOT § 305.12
subject under investigation. Such testi- rapher. All orders initiating investiga-
mony shall be mechanically or steno- tions, motions to quash or modify in-
graphically recorded, and a transcript vestigation subpenas, orders disposing
thereof shall be made and incorporated of such motions, documents, and tran-
in the record of the investigation. scripts of testimony shall be part of
the record in the investigation. Unless
§ 305.7 Issuance of investigation sub- DOT determines otherwise, all orders
penas. initiating investigations which do not
(a) The Deputy General Counsel, the disclose the identity of the particular
DOT decisionmaker, the chief adminis- persons of firms under investigation
trative law judge or the administrative shall be published in the FEDERAL REG-
law judge designated to preside at the ISTER. Except as otherwise required by
reception of evidence, may issue a sub- law, the remainder of the record of
pena directing the person named there- such proceedings shall constitute inter-
in to appear before a designated admin- nal DOT documents which shall not be
istrative law judge at a designated available to the general public. The use
time and place to testify or to produce of such records in DOT proceedings
documentary evidence relating to any subject to part 302 of the Rules of Prac-
matter under investigation, or both. tice shall be governed by §§ 302.25(g) and
Each such subpena shall briefly advise 302.12 and by the law of evidence appli-
the person required to testify or sub- cable to DOT proceedings.
mit documentary evidence of the pur-
[Doc. No. 82, 50 FR 2421, Jan. 16, 1985, as
pose and scope of the investigation,
amended at 65 FR 6456, Feb. 9, 2000]
and a copy of the order initiating the
investigation shall be attached to the § 305.11 Procedures after investiga-
subpena. tion.
(b) Witnesses subpenaed to appear
shall be paid the fees and mileage pre- Upon completion of the investiga-
scribed in § 302.7 of the Rules of Prac- tion, where the Deputy General Coun-
tice (14 CFR 302.7). Service of such sub- sel, determines that no corrective ac-
penas shall be made in accordance with tion is warranted, the investigation
the provisions of § 302.27(c) of the Rules will be closed, and any documentary
of Practice (14 CFR 302.27(c)). evidence obtained in the investigation
will be returned to the persons who
[Doc. No. 82, 50 FR 2421, Jan. 16, 1985, as produced it. Where remedial action is
amended at 65 FR 6456, Feb. 9, 2000] indicated by the investigation, the
Deputy General Counsel will proceed
§ 305.8 [Reserved]
pursuant to subpart D of part 302 of the
§ 305.9 Rights of witnesses. Rules of Practice or will take such
other action as may be appropriate.
Any person required to testify or to
submit documentary evidence shall be [Doc. No. 82, 50 FR 2421, Jan. 16, 1985, as
entitled to procure, on payment of law- amended at 65 FR 6456, Feb. 9, 2000]
fully prescribed costs, a copy of any
document produced by such person and § 305.12 Motions to quash or modify an
of his or her own testimony as steno- investigation subpena.
graphically reported. Any person com- Any person upon whom an investiga-
pelled to testify or to produce docu- tion subpena is served may, within
mentary evidence may be accom- seven (7) days after such service or at
panied, represented, and advised by any time prior to the return date
counsel. thereof, whichever is earlier, file a mo-
tion to quash or modify such subpena
§ 305.10 Nonpublic character of pro- with the administrative law judge who
ceedings. issued such subpena, or in the event
Investigations shall be attended only the administrative law judge is not
by the witnesses and their counsel, the available, with the chief administra-
administrative law judge, the Inves- tive law judge for action by himself or
tigation Attorney, other DOT per- herself or by the DOT decisionmaker.
sonnel concerned with the conduct of Such motions shall be made in writing
the proceeding and the official stenog- in conformity with Rules 3 and 4 of the

343
Pt. 313 14 CFR Ch. II (1–1–19 Edition)
Rules of Practice (part 302 of this sub- § 313.1 Purpose, scope, and authority.
chapter); shall state with particularity
(a) Chapter 77 (Energy Conservation)
the grounds therefor and the relief
of Title 42 (The Public Health and Wel-
sought; shall be accompanied by the fare), authorizes and directs certain ac-
evidence relied upon and all such fac- tions to conserve energy supplies
tual matter shall be verified in accord- through energy conservation programs
ance with the provisions of Rule 4(b) of and where necessary, the regulation of
the aforesaid Rules of Practice. Writ- certain energy uses, and to provide for
ten memoranda or briefs may be filed improved energy efficiency of motor
with the motions, stating the points vehicles, major appliances, and certain
and authorities relied upon. No oral ar- other consumer products. In further-
gument will be heard on such motions ance of these purposes, 42 U.S.C. 6362
unless the chief administrative law requires several transportation regu-
judge, the administrative law judge or latory agencies, including DOT, to sub-
the DOT decisionmaker directs other- mit a number of reports to the Con-
wise. A subpena will be quashed or gress with respect to energy conserva-
modified if the evidence whose produc- tion and efficiency, and where prac-
tion is required is not reasonably rel- ticable and consistent with the exer-
evant to the matter under investiga- cise of DOT’s authority under other
tion, or the demand made does not de- law, to include in any major regulatory
scribe with sufficient particularity the action a statement of its probable im-
information sought, or the subpena is pact on energy efficiency and energy
unlawful or unduly burdensome. The conservation. 42 U.S.C. 6362(b) directs
filing of a motion to quash or modify DOT to define the term ‘‘major regu-
an investigation subpena shall stay the latory action’’ by rule.
return date of such subpena until such (b) Section 40113 of Subtitle VII of
motion is granted or denied. The DOT Title 49 of the United States Code
decisionmaker may at any time re- (Transportation)(‘‘the Statute’’), au-
view, upon his or her own initiative, thorizes DOT to establish such rules,
the ruling of an administrative law regulations, and procedures as are nec-
judge or the chief administrative law essary to the exercise of its functions
judge denying a motion to quash a sub- and are consistent with the purposes of
pena. In such cases, the DOT decision- the Statute.
maker may order that the return date (c) The purpose of these regulations
of a subpena which he or she has elect- is to establish procedures and guide-
ed to review be stayed pending DOT ac- lines for the implementation of DOT’s
tion thereon. responsibility under 42 U.S.C. 6362 to
[Doc. No. 82, 50 FR 2421, Jan. 16, 1985, as
include in any major regulatory action
amended at 65 FR 6457, Feb. 9, 2000] taken by DOT a statement of the prob-
able impact on energy efficiency and
energy conservation.
PART 313—IMPLEMENTATION OF (d) These regulations apply to all
THE ENERGY POLICY AND CON- proceedings before DOT, as provided
SERVATION ACT herein.
[Doc. No. 82, 50 FR 2425, Jan. 16, 1985, as
Sec. amended at 60 FR 43528, 43529, Aug. 22, 1995]
313.1 Purpose, scope, and authority.
313.2 Policy. § 313.2 Policy.
313.3 Definitions.
313.4 Major regulatory actions.
(a) General. It is the policy of DOT to
313.5 Energy information. view the conservation of energy and
313.6 Energy statements. the energy efficiency improvement
313.7 Integration with environmental proce- goals of Chapter 77 of Title 42 as part of
dures. DOT’s overall mandate, to be consid-
ered along with the several public in-
AUTHORITY: 42 U.S.C. 6362(b), 49 U.S.C. terest and public convenience and ne-
Chapter 401.
cessity factors enumerated in section
SOURCE: Docket No. 82, 50 FR 2425, Jan. 16, 40101 of the Statute. To the extent
1985, unless otherwise noted. practicable and consistent with DOT’s

344
Office of the Secretary, DOT § 313.4
authority under the Statute and other ergy statement pursuant to § 313.4 of
law, energy conservation and efficiency this part.
are to be weighed in the decision- (d) NEPA means the National Envi-
making process just as are DOT’s tradi- ronmental Policy Act of 1969.
tional policies and missions. (e) Statute means Subtitle VII of
(b) Implementation. Implementation of Title 49 of the United States Code
this policy is through the integration (Transportation).
of energy findings and conclusions into
decisions, opinions, or orders in pro- [Doc. No. 82, 50 FR 2425, Jan. 16, 1985, as
amended at 60 FR 43529, Aug. 22, 1995]
ceedings involving a major regulatory
action, as defined in this part. § 313.4 Major regulatory actions.
(c) Proceedings in progress. The provi-
sions of this part are intended pri- (a) Any initial, recommended, ten-
marily for prospective application. tative or final decision, opinion, order,
Proceedings in progress on the effec- or final rule is a major regulatory ac-
tive date of this part, in which an ap- tion requiring an energy statement, if
plication has been docketed but no it:
final decision made public, shall adhere (1) May cause a near-term net annual
to § 313.6(a) of this part, provided that change in aircraft fuel consumption of
the fair, efficient, and timely adminis- 10 million (10,000,000) gallons or more,
tration of DOT’s regulatory activities compared to the probable consumption
is not compromised thereby. Nothing of fuel were the action not to be taken;
herein shall imply a requirement for or
new or additional hearings, a reopening (2) Is specifically so designated by
of the record, or any other procedures DOT because of its precedential value,
which would tend to delay a timely de- substantial controversy with respect to
cision in proceedings in progress. energy conservation and efficiency, or
(d) Hearings. Public hearings will not other unusual circumstances.
normally be held for the purpose of im- (b) Notwithstanding paragraph (a)(1)
plementing 42 U.S.C. 6362, particularly of this section, the following types of
in connection with proposed actions actions shall not be deemed as major
which do not require notice and hear- regulatory actions requiring an energy
ing as a prerequisite to decision under statement:
the Statute. Hearings may be ordered (1) Tariff suspension orders under
in exceptional circumstances where the section 41509 of the Statute, emergency
proposed action is of great magnitude exemptions or temporary exemptions
or widespread public interest and, in not exceeding 24 months under section
addition, presents complex issues pecu- 40109 of the Statute and other pro-
liarly subject to resolution through ceedings in which timely action is of
evidentiary hearings and the process of the essence;
cross-examination. (2) Orders instituting or declining to
[Doc. No. 82, 50 FR 2425, Jan. 16, 1985, as institute investigations or rulemaking,
amended at 60 FR 43528, 43529, Aug. 22, 1995] setting or declining to set applications
for hearing, on reconsideration, or on
§ 313.3 Definitions. requests for stay;
As used in this part: (3) Other procedural or interlocutory
(a) Energy efficiency means the ratio orders;
of the useful output of services in air (4) Actions taken under delegated au-
transportation to the energy consump- thority; and
tion of such services. (5) Issuance of a certificate where no
(b) Energy statement is a statement of determination of public convenience
the probable impact of a major regu- and necessity is required.
latory action on energy efficiency and (c) Notwithstanding paragraph (a)(1)
energy conservation, contained in a de- of this section, DOT may provide that
cision, opinion, order, or rule. an energy statement shall not be pre-
(c) Major regulatory action is any deci- pared in a proceeding which may result
sion by the DOT decisionmaker or ad- in a major regulatory action, if it finds
ministrative law judge requiring an en- that:

345
§ 313.5 14 CFR Ch. II (1–1–19 Edition)
(1) The inclusion of an energy state- The administrative law judge or the
ment is not consistent with the exer- DOT decisionmaker, as the case may
cise of DOT’s authority under the Stat- be, shall normally make findings and
ute or other law; conclusions about:
(2) The inclusion of an energy state- (1) The net change in energy con-
ment is not practicable because of time sumption;
constraints, lack of information, or (2) The net change in energy effi-
other unusual circumstances; or ciency; and
(3) The action is taken under laws de- (3) The balance struck between en-
signed to protect the public health or ergy factors and other public interest
safety. and public convenience and necessity
[Doc. No. 82, 50 FR 2425, Jan. 16, 1985, as
factors in the decision.
amended at 60 FR 43529, Aug. 22, 1995] (b) Energy findings and conclusions
contained in any initial or rec-
§ 313.5 Energy information. ommended decision are a part of that
(a) It shall be the responsibility of decision and thus subject to discre-
applicants and other parties or partici- tionary review by DOT.
pants to a proceeding which may in- (c) In the case of orders to show
cause initiated by DOT, energy find-
volve a major regulatory action to sub-
mit sufficient information about the ings and conclusions may be omitted if
adequate information is not available.
energy consumption and energy effi-
In such instances, the energy state-
ciency consequences of their proposals
ment shall be integrated into the final
or positions in the proceeding to enable
decision.
the administrative law judge or the
DOT decisionmaker, as the case may § 313.7 Integration with environmental
be, to determine whether the pro- procedures.
ceeding will in fact involve a major
(a) In proceedings in which an envi-
regulatory action for purposes of this
ronmental impact statement or a find-
part, and if so, to consider the relevant
ing of no significant impact is prepared
energy factors in the decision and pre-
by a responsible official pursuant to
pare the energy statement.
DOT’s procedures implementing the
(b) In proceedings involving evi-
National Environmental Policy Act of
dentiary hearings, the energy informa-
1969 (NEPA), the energy information
tion shall be submitted at such hear-
called for by this part may be included
ings pursuant to DOT’s usual proce-
in that statement or declaration in
dural regulations and practices, under
order to yield a single, comprehensive
control of the administrative law judge
document. In such instances, the DOT’s
or other hearing officer.
NEPA procedures shall govern the sub-
(c) In proceedings not involving evi-
dentiary hearings, the energy informa- mission of the energy information.
However, it shall remain the responsi-
tion shall be submitted at such time as
bility of the administrative law judge
other materials in justification of an
or the DOT decisionmaker, as the case
application are submitted. Where an
may be, to make the findings and con-
application itself is intended as jus-
clusions required by § 313.6(a) of this
tification for DOT action, the energy
part.
information shall be submitted with
(b) A determination that a major reg-
the application. In rulemakings not in-
ulatory action within the meaning of
volving hearings, the energy informa-
42 U.S.C. 6362 and this part may be in-
tion shall normally be submitted along
volved in a proceeding is independent
with comments on the notice of pro-
from any determination that the pro-
posed rulemaking, or as directed in any
ceeding is a ‘‘major Federal action sig-
such notice or any advance notice.
nificantly affecting the quality of the
§ 313.6 Energy statements. human environment’’ within the mean-
ing of NEPA, and vice versa.
(a) Each major regulatory action
shall include, to the extent practicable, [Doc. No. 82, 50 FR 2425, Jan. 16, 1985, as
consideration of the probable impact of amended at 60 FR 43528, 43529, Aug. 22, 1995]
the action taken or to be taken upon
energy efficiency and conservation. PART 314 [RESERVED]

346
Office of the Secretary, DOT § 323.3

PART 323—TERMINATIONS, SUS- Eligible place means a place in the

PENSIONS, AND REDUCTIONS OF United States that—
(1) Was an eligible point under sec-
SERVICE tion 419 of the Federal Aviation Act of
1958 as in effect before October 1, 1988;
Sec.
323.1 Applicability.
(2) Received scheduled air transpor-
323.2 Definitions. tation at any time between January 1,
323.3 Who shall file notices. 1990, and November 4, 1990; and
323.4 Contents of notices. (3) Is not listed in Department of
323.5 Time for filing notices. Transportation Orders 89–9–37 and 89–
323.6 General requirements for notices. 12–52 as a place ineligible for com-
323.7 Service of notices. pensation under Subchapter II of Chap-
323.8 Exemptions. ter 417 of the Statute. (For availability
323.9 Objections to notices. of Department of Transportation Or-
323.10 Time for filing objections.
ders, see 49 CFR part 7, subpart E and
323.11 Answers to objections.
323.12 General requirements for objections appendix A.)
and answers. Essential air service is that air trans-
323.13 DOT actions. portation which the Department has
323.14 Temporary suspension authority for found to be essential under Subchapter
involuntary interruption of service. II of Chapter 417 of the Statute.
323.15 Report to be filed after strikes. FAA means the Federal Aviation Ad-
323.16 Listings in schedule publications. ministration, U.S. Department of
323.17 Delays in discontinuing service. Transportation.
323.18 Carriers’ obligations when termi-
FAA-designated hub means any air-
nating, suspending, or reducing air serv-
ice. port serving a small, medium, or large
323.19 Withdrawal notice by exemption car- air traffic hub listed in the Department
riers in certain limited-entry markets. of Transportation publication, Airport
Activity Statistics of Certificated Route
AUTHORITY: 49 U.S.C. Chapters 401, 411, 417.
Carriers.
SOURCE: Docket No. 82, 50 FR 2430, Jan. 16, Statute means Subtitle VII of Title 49
1985, unless otherwise noted. of the United States Code (Transpor-
tation).
§ 323.1 Applicability.
United States includes the several
This part applies to certificated air States, the District of Columbia, and
carriers who terminate or suspend the several territories and possessions
service to a point, or in a market, and of the United States. State includes any
to all air carriers who terminate, sus- of the individual entities comprising
pend, or reduce service below the level the United States.
of essential air service under 49 U.S.C.
[Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as
41731-41742.
amended by Doc. No. OST–96–1269, 61 FR
[Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as 19165, May 1, 1996]
amended by Doc. No. OST–96–1269, 61 FR
19165, May 1, 1996] § 323.3 Who shall file notices.
(a) Terminations, suspensions, or reduc-
§ 323.2 Definitions. tions by certificated carriers. The notice
As used in this part: described in § 323.4(a) shall be filed by
Certificated carrier means a direct air any certificated carrier that intends
carrier holding authority to provide air to:
transportation granted by the Depart- (1) Terminate or suspend all pas-
ment of Transportation (‘‘DOT’’) or the senger air transportation that it is pro-
former Civil Aeronautics Board (‘‘CAB’’) viding to any eligible place in the
in the form of a certificate of public United States when that termination
convenience and necessity under or suspension will leave no certificated
section 41102 of the Title 49 of the carriers serving that place. Service
United States Code (Transportation) shall be considered to be terminated or
(‘‘the Statute’’) or an all-cargo air suspended whenever it is operated less
transportation certificate to perform than 5 days per week, with three or
all-cargo air transportation under sec- more intermediate stops, or in one di-
tion 41103 of the Statute. rection only between the two places;

347
§ 323.4 14 CFR Ch. II (1–1–19 Edition)
(2) Reduce passenger air transpor- (2) Passenger air transportation to
tation so that any eligible place re- any eligible place for which DOT has
ceives less than the level of essential not determined the level of essential
air service determined by DOT; air service, other than a place in Alas-
(3) Terminate or suspend all pas- ka, so that there is no FAA-designated
senger air transportation that it is pro- hub from which the place receives at
viding to any eligible place in the least two round trip flights per day, 5
United States for which DOT has not days per week; or
issued an essential air service deter- (3) Passenger air transportation to
mination under either § 325.5 or § 325.7 any eligible place in Alaska, for which
of this chapter, when that termination DOT has not determined the level of es-
or suspension will leave only one cer- sential air service, so that the service
tificated carrier serving that place. between that place and every other
Service shall be considered to be termi- place served by a certificated carrier is
nated or suspended whenever it is oper- either:
ated less than 5 days per week, with (i) Less than two round trip flights
three or more intermediate stops, or in per week, or
one direction only between the two (ii) Less than the average number of
places; weekly round trip flights actually pro-
(4) Reduce passenger air transpor- vided during calendar year 1976, or
tation to any eligible place in Alaska (iii) Less than the number of flights
for which DOT has not determined the specified under an agreement between
level of essential air service so that the DOT and the State of Alaska.
service between that place and every (d) For the purpose of this section, in
other place served by a certificated ascertaining the level of air transpor-
carrier is either: tation being provided to a place or be-
(i) Less than two round trip flights tween two places, air transportation
per week, or that has been the subject of a notice
(ii) Less than the average weekly filed under this section shall be consid-
number of round trip flights actually ered not in operation for the duration
provided during calendar year 1976, or of the notice period.
(iii) Less than the number of flights (e) If a certificated carrier was, be-
specified under an agreement between fore October 24, 1978, granted authority
DOT and the State of Alaska; or to suspend air transportation, and that
(5) Terminate, suspend, or reduce authority ends on a stated date, the
passenger air transportation at an eli- carrier shall comply with the require-
gible place for which DOT has issued, ments of this part before continuing
or is required to issue, an essential air the suspension beyond that date.
service determination under section (f) If a certificated carrier was, before
41731 or section 41733 of the Statute so October 24, 1978, granted authority to
that the total available seats of all the terminate or suspend air transpor-
carriers linking that place to FAA-des- tation, but has not suspended service,
ignated hubs will be reduced by 33 per- the carrier shall comply with the re-
cent or more during a 90-day period. quirements of this part before termi-
Service to a hub shall be considered to nating or suspending service.
be terminated or suspended whenever [Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as
it is operated less than 5 days per amended by Doc. No. OST–96–1269, 61 FR
week, with three or more intermediate 19165, 19166, May 1, 1996]
stops, or in one direction only between
two places. § 323.4 Contents of notices.
(b) [Reserved] (a) The notice required under § 323.3
(c) Uncertificated carriers. The notice (a) and (c) shall contain:
described in § 323.4(a) shall be filed by (1) Identification of the carrier, in-
any uncertificated carrier that intends cluding address and telephone number.
to terminate, suspend, or reduce: (2) Statement whether the carrier is
(1) Air transportation so that any eli- a certificated carrier or an
gible place receives less than the level uncertificated carrier.
of essential air service determined by (3) Names of all other air carriers
the DOT; serving the point at the time of filing.

348
Office of the Secretary, DOT § 323.7
(4) Description of the service to be (2) 30 days before the intended termi-
terminated, suspended, or reduced, in- nation, suspension, or reduction, if it is
cluding: filed by an uncertificated carrier not
(i) Arrival and departure times at the receiving compensation under section
affected points of the flights to be dis- 419 of the Act for service to the place.
continued, (b) The notice required by § 323.3(a)(3)
(ii) Aircraft type used, shall be filed at least 30 days, and the
(iii) Routes of the flights to be dis- notice required by § 323.3(a)(1) shall be
continued, and a statement of which filed at least 60 days, before the in-
routes, if any, will be left without non- tended termination or suspension.
stop or single-plane service from a cer-
tificated carrier by the intended [Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as
amended by Doc. No. OST–96–1269, 61 FR
change, and
19165, 19166, May 1, 1996]
(iv) Date of intended termination,
suspension, or reduction of service. § 323.6 General requirements for no-
(5) A statement whether DOT has de- tices.
termined the level of essential air serv-
ice for the point, and (a) Each notice filed under this part
(i) If such a determination has been shall, unless otherwise specified, con-
made, a statement whether the in- form to the procedural rules of general
tended termination, suspension, or re- applicability in subpart A of part 302 of
duction will reduce air transportation this chapter.
to the place below the essential level; (b) Each notice filed under this part
or shall be titled to indicate the place(s)
(ii) If such a determination has not involved, and to indicate whether it is
been made, and the place is an eligible a 30-, 60-, or 90-day notice and whether
place, a statement whether the in- it involves a termination, a suspension,
tended termination, suspension, or re- or a reduction of air transportation.
duction reasonably appears to deprive [Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as
the place of essential air service, and amended by Doc. No. OST–96–1269, 61 FR
an explanation. 19166, May 1, 1996]
(6) If the place is an eligible place,
the calendar date when objections are § 323.7 Service of notices.
due under § 323.10. (a) A copy of each notice required by
(7) Proof of service upon all persons § 323.3 shall be served upon:
specified in § 323.7(a). The proof of serv- (1) The chief executive of the prin-
ice shall include the names of all car- cipal city or other unit of local govern-
riers served and the names and address- ment at the affected place. The prin-
es of all other persons served. cipal city is the one named, or pre-
(b) [Reserved] viously named, in the section 41102 cer-
(c) DOT may require any carrier fil- tificate by virtue of which the place
ing notice to supply additional infor- qualifies as an eligible place. For
mation. places in Alaska or Hawaii that are
(Approved by the Office of Management and designated as eligible places without
Budget under control number 3024–0030) having been listed on a section 41102
[Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as certificate, the principal city is the
amended by Doc. No. OST–96–1269, 61 FR most populous municipality at the
19165, 19166, May 1, 1996] place.
(2) [Reserved]
§ 323.5 Time for filing notices. (3) The State agency with jurisdic-
(a) Except as specified by paragraph tion over transportation by air in the
(b) of this section, a notice required by State containing any community re-
§ 323.3 shall be filed at least: quired to be served under paragraph
(1) 90 days before the intended termi- (a)(1) of this section. If there is no such
nation, suspension, or reduction, if it is State agency, the notice shall be sent
filed by a certificated carrier or by an to the governor of that State.
uncertificated carrier receiving com- (4) The manager of, or other indi-
pensation under 49 U.S.C. 41731-41742 for vidual with direct supervision over and
service to the place; responsibility for, the airport at any

349
§ 323.8 14 CFR Ch. II (1–1–19 Edition)
community required to be served under (5) [Reserved]
paragraph (a)(1) of this section. (6) A justification of the suggested
(5) The Postmaster General (marked level of essential air service.
for the attention of the Assistant Gen- (7) Proof of service on the carrier fil-
eral Counsel, Transportation), if the ing the notice objected to, on all air-
carrier filing the notice is authorized port managers and State and local gov-
to transport United States mail to or ernments on whom the notice was
from any community required to be filed, and any other person designated
served under paragraph (a)(1) of this by DOT. The proof of service shall in-
section. clude the names of all carriers served
(6) Each air carrier providing sched- and the names and addresses of all
uled service to a non-hub or FAA-des- other persons served.
ignated small hub that is directly af- (c) Objectors are strongly urged to
fected by the notice. include in their objections facts to sup-
(7) The DOT Regional Office for the port the suggested level of essential air
region in which the affected point is lo- service (e.g., traffic and enplanement
cated. data, other market studies, facts de-
(8) Any other person designated by scriptive of the place’s isolation or de-
DOT. pendence on air transportation).
(b) [Reserved]
(Approved by the Office of Management and
(c) Local communities, State agen- Budget under control number 3024–0030)
cies, and airport managers shall be
served personally or by registered or [Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as
amended by Doc. No. OST–96–1269, 61 FR
certificated mail. All other persons 19165, 19166, May 1, 1996]
may be served by ordinary mail.
[Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as § 323.10 Time for filing objections.
amended by Doc. No. OST–96–1269, 61 FR (a) Objections shall be filed not later
19166, May 1, 1996] than:
§ 323.8 Exemptions. (1) 12 days from the date of filing of
a 30-day notice;
Carriers are exempted from para- (2) 15 days from the date of filing of
graphs (a)(1), (a)(3), and (a)(5) of § 323.3 a 60-day notice; or
to the extent that those provisions re- (3) 20 days from the date of filing of
quire them to file a notice when termi- a 90-day notice.
nating or suspending the domestic leg (b) The Department may accept late-
of an international flight (fill-up serv- filed objections, upon motion, for good
ice). cause shown.
[Doc. No. OST–96–1269, 61 FR 19166, May 1, (c) Whenever a notice has been filed
1996] earlier than required under § 323.5, the
Department may extend the time for
§ 323.9 Objections to notices. filing an objection to that notice.
(a) Any person may file an objection
requesting DOT to prohibit any termi- § 323.11 Answers to objections.
nation, suspension, or reduction of air (a) Any person may file an answer to
transportation to an eligible place that an objection filed under this part.
is the subject of a notice filed under (b) An answer must be filed not later
this part. than 7 business days after the filing of
(b) Objections shall contain: the objection to which it responds.
(1) Identification of the objector, in- Late-filed answers may be allowed, and
cluding address and telephone number. extensions of filing time granted, by
(2) A statement of DOT action re- the Department for the same reasons
quested. as for objections.
(3) The schedules, routes, carriers, (c) An answer may contain the same
and aircraft types for all air transpor- type of facts and discussion permitted
tation to the affected place other than for objections under this part, and
that proposed to be terminated, sus- must contain:
pended, or reduced. (1) Proof of service on the objector,
(4) A suggested reasonable level of es- on all persons on whom the objection
sential air service to the affected place. was required to be served, and on any

350
Office of the Secretary, DOT § 323.16
other person designated by the Depart- construction work on airports, or dis-
ment. The proof of service shall include asters. However, the provisions of this
the names and addresses of all persons paragraph shall apply to interruptions
served. due to airport inadequacies only if the
(2) Identification of the answering carrier is unable to serve the place
party, including address and telephone through any airport convenient to the
number. place with the type of equipment last
(Approved by the Office of Management and regularly used to serve the place.
Budget under control number 3024–0030) (b) In the case of an interruption of
service caused by a strike, the carrier
§ 323.12 General requirements for ob- shall give immediate notice of the
jections and answers. interruption to DOT. Suspension au-
(a) Each objection and answer filed thority under this section due to a
under this part shall, unless otherwise strike shall expire 90 days after em-
specified, conform to the procedural ployees return to work.
rules of general applicability in sub- (c) If service to a place is interrupted
part A of part 302 of this chapter. for more than 3 consecutive days for
(b) Each objection shall be titled reasons beyond the carrier’s control
‘‘Objection to Termination, Suspen- other than a strike, the holder shall
sion, or Reduction of Air Service,’’ and give notice to DOT within 3 days fol-
shall identify the notice to which it re- lowing the date of first interruption,
sponds. Each answer shall be titled setting forth the date of first interrup-
‘‘Answer to Objection to Termination, tion and a full statement of the reasons
Suspension, or Reduction of Air Serv- for the interruption.
ice,’’ and shall identify the objection to (d) The notice required by paragraph
which it responds. (b) or (c) of this section shall be
marked for the attention of the Direc-
§ 323.13 DOT actions.
tor, Office of Aviation Analysis.
(a) If an objection has been filed
under this part, DOT will dispose of the (Approved by the Office of Management and
objection by order. Budget under control number 3024–0030)
(b) If no objection has been filed [Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as
within the time allowed by § 323.10(a), amended by Doc. No. OST–96–1269, 61 FR
DOT may: 19166, May 1, 1996]
(1) By order prohibit a termination,
suspension, or reduction that reason- § 323.15 Report to be filed after
ably appears to deprive any eligible strikes.
place of essential air transportation; (a) Within 15 days following resump-
(2) Issue a notice or a final order that tion of service after a strike, an air
it will take no action on a notice filed carrier shall file a report with DOT
under § 323.3; or containing a list of all flights that
(3) Take no action. were canceled, the date they were can-
[Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as celed, and the date service was re-
amended by Doc. No. OST–96–1269, 61 FR sumed.
19166, May 1, 1996] (b) The report shall be marked for
the attention of the Director, Office of
§ 323.14 Temporary suspension author- Aviation Analysis.
ity for involuntary interruption of
service. (Approved by the Office of Management and
Budget under control number 3024–0030)
(a) Any air carrier may temporarily
suspend service without filing a notice [Doc. No. 82, 50 FR 2430, Jan. 16, 1985, as
under § 323.3 for any interruption of amended by Doc. No. OST–96–1269, 61 FR
service that the carrier cannot reason- 19166, May 1, 1996]
ably be expected to foresee or control,
such as rules, standards, or other ac- § 323.16 Listings in schedule publica-
tions.
tion, or inaction, of the Administrator
of the Federal Aviation Administration Each air carrier filing a notice under
or of a foreign government, emergency § 323.3 (a)(2), (a)(4), (a)(5), or (c) shall
measures, strikes, weather conditions, continue to list the affected flights in

351
§ 323.17 14 CFR Ch. II (1–1–19 Edition)
all generally-distributed schedule pub- PART 325—ESSENTIAL AIR SERVICE
lications in which the flight was listed PROCEDURES
before the notice. The listings shall
continue until DOT permits the flights Sec.
to be discontinued. The listings may 325.1 Purpose.
include a notice stating that the 325.2 Applicability.
flights are ‘‘to be discontinued as of 325.3 Definitions.
325.4 State and local participation.
(date) subject to government ap- 325.5 Determinations and designations.
proval.’’ 325.6 Periodic reviews.
325.7–325.9 [Reserved]
§ 323.17 Delays in discontinuing serv- 325.10 Modification of the designated level
ice. of essential air service.
325.11 Form of documents.
If transportation that is the subject 325.12 Service of documents.
of a notice under this part is not dis- 325.13 Environmental evaluations and en-
continued within 90 days of the in- ergy information not required.
tended date stated in the notice, a new 325.14 Conformity with subpart A of part
notice must be filed before the service 302.
may be discontinued. However, if DOT AUTHORITY: 49 U.S.C. Chapters 401, 417.
requires the carrier to provide service SOURCE: Docket No. 82, 50 FR 2434, Jan. 16,
beyond the stated date, the carrier 1985, unless otherwise noted.
need not file a new notice if it discon-
tinues the service within 90 days after § 325.1 Purpose.
DOT permits it to do so. The purpose of this part is to estab-
lish procedures to be followed in desig-
§ 323.18 Carriers’ obligations when ter- nating eligible points and in deter-
minating, suspending, or reducing mining essential air transportation
air service.
levels for eligible points, and in the ap-
Any air carrier that terminates, sus- peals and periodic reviews of these de-
pends, or reduces air service, whether terminations, under section 419 of the
or not subject to the notice require- Act.
ments of this part, shall make reason-
able efforts to contact all passengers § 325.2 Applicability.
holding reservations on the affected This part applies to essential air
flights to inform them of the flights’ service determinations for commu-
cancellation. nities designated as eligible under sec-
tion 419(a) of the Act and to eligible
§ 323.19 Withdrawal notice by exemp- point designations and essential air
tion carriers in certain limited- service determinations for commu-
entry markets. nities that qualify under section 419(b)
As a condition on the exemption, an of the Act. It applies to the gathering
air carrier operating under exemption of data by the Department, and to the
authority in an international market participation of State, local, and other
which is the subject of a carrier selec- officials and other interested persons
tion proceeding shall file a notice with in the designation and determination
the Department at least ninety days processes.
before it terminates service in that NOTE: Criteria for designating eligible
market. Once such a notice has been points under section 419(b) are contained in
filed, the carrier may not terminate part 270 of this chapter. Guidelines for decid-
service in that market during the no- ing essential air service levels are contained
in part 398 of this chapter.
tice period unless the air carrier cho-
sen in the selection proceeding enters § 325.3 Definitions.
the market and the Department grants
the operating carrier permission to do As used in this part, eligible point
means:
so. The Department may allow earlier
(a) Any point in the United States,
termination for good cause when in the
the District of Columbia, and the sev-
public interest.
eral territories and possessions of the
[Doc. No. 43403, 51 FR 43188, Dec. 1, 1986] United States to which any direct air

352
Office of the Secretary, DOT § 325.6
carrier was authorized, under a certifi- point by filing in the Documentary
cate issued by CAB under section 401 of Services Division, five copies of a docu-
the Act, to provide air service on Octo- ment titled with the name of the point
ber 24, 1978, whether or not such service involved.
was actually provided; (d) As necessary, the DOT may re-
(b) Any point in the United States quest additional information to supple-
and the several territories and posses- ment the questionnaire.
sions of the United States that was de-
(Approved by the Office of Management and
leted from a section 401 certificate be-
Budget under control number 3024–0037)
tween July 1, 1968 and October 24, 1978,
inclusive, and that has been designated § 325.5 Determinations and designa-
as an eligible point under the Act; or tions.
(c) Any other point in Alaska or Ha-
(a) Not later than October 24, 1979,
waii that has been designated as an eli-
after reviewing all information sub-
gible point under the Act.
mitted, CAB issued determinations of
§ 325.4 State and local participation. the essential level of air service for eli-
gible points that, on October 24, 1978,
(a) DOT, on a periodic basis, will send
were served by not more than one di-
a questionnaire to each eligible point
rect air carrier holding a certificate
that is served by not more than one
under section 401 of the Act for sched-
certificated air carrier, or is designated
uled service to the point.
as an eligible point under section 419(b)
(b) DOT will issue a determination of
of the Act, or for which DOT is review-
the essential level of air service for a
ing its essential air service needs. The
point within 6 months after each of the
questionnaire will be addressed to:
following events:
(1) The chief executive of the prin-
(1) A notice is received that service
cipal city, or other unit of local gov-
ernment at the affected point, that is to an eligible point will be reduced to
named or has been previously named in only one carrier that holds a section
a qualifying section 401 certificate. For 401 certificate;
points in Alaska or Hawaii that are (2) A point is designated as an eligi-
named DOT as eligible points without ble point under section 419(b) of the
having been listed on a section 401 cer- Act and either paragraph (c) of this
tificate, the principal city is the most section, paragraph (d) of this section,
populous municipality at the point; or § 325.7(e); or
(2) The individual or entity with di- (3) A review was conducted of essen-
rect supervision over and responsibility tial air service of that point under
for the airport at the eligible point; § 325.6.
and (c) Not later than January 1, 1982,
(3) The State agency with jurisdic- CAB designated the communities de-
tion over air transportation in the scribed in § 270.2(a) and (b) as eligible
State containing the eligible point. If points or as ineligible.
there is no such State agency, the (d) After January 1, 1982, DOT may
questionnaire will be sent to the gov- designate communities in Alaska or
ernor of that State. Hawaii as eligible points if they apply
(b) Within 60 days after receipt of the for such designation.
questionnaire, five copies of the re-
§ 325.6 Periodic reviews.
sponse shall be filed in the Documen-
tary Services Division, unless the De- (a) The Department will start a peri-
partment specifies another date. If no odic review of essential air service
response is received within the period, within 1 year of the date of the pre-
essential air service for that eligible vious determination of essential air
point may temporarily be set at the service for eligible points receiving
minimum level prescribed in section subsidized service, within 2 years of the
419(f) of the Act. date of the previous determination for
(c) Any other interested person may, eligible points in Alaska, and within 3
during the 60-day response period, sub- years of the date of the previous deter-
mit information relevant to the essen- mination for eligible points without
tial air service level of that eligible subsidized air service.

353
§§ 325.7–325.9 14 CFR Ch. II (1–1–19 Edition)
(b) The review shall be conducted in § 325.12 Service of documents.
accordance with the procedures in
Any person, except one filing individ-
§§ 325.4, 325.5 and 325.7.
ually as a consumer, who files a docu-
(c) The Department may review the ment under this part, including re-
designation under section 419(b) of a sponses to the questionnaire, shall
community as an eligible point to de- serve that document upon those listed
termine whether that point continues in § 325.4(a) of this part and upon the
to meet the criteria in part 270 of this following:
chapter. (a) The governor of the State in
which the eligible point is located;
§§ 325.7–325.9 [Reserved]
(b) Each air carrier providing sched-
§ 325.10 Modification of the designated uled service to the affected eligible
level of essential air service. point;
(c) In the case of a responsive docu-
(a) Any person may file with DOT a
ment, the one who filed the document
petition titled ‘‘Petition for Modifica-
to which it responds; and
tion of Essential Air Service Level,’’
(d) The U.S. Postal Service, Assistant
asking to modify the essential air serv-
General Counsel, Transportation Divi-
ice level at a point.
sion, Law Department, Washington,
(b) The petition shall identify the D.C. 20260.
point affected, and specifically state
the reasons why the petitioner believes § 325.13 Environmental evaluations
the designated essential level is inad- and energy information not re-
equate. It should contain any facts and quired.
arguments that support its requests, Notwithstanding any provision of
and describe the level of essential air part 312 or part 313 of this chapter, a
service that should be substituted. person filing a petition or appeal under
(c) Any person may, within 30 days this part is not required to file an envi-
after the filing of a petition for modi- ronmental evaluation or energy infor-
fication, file an answer to that petition mation with the application.
titled ‘‘Answer to Petition for Modi-
fication.’’ § 325.14 Conformity with subpart A of
(d) After review, the Department part 302.
may seek more information and the Except where they are inconsistent,
procedures of §§ 325.5 and 325.7 will be the provisions of subpart A of part 302
followed. of this chapter shall apply to pro-
(Approved by the Office of Management and ceedings under this part.
Budget under control number 3024–0037)
PART 330—PROCEDURES FOR
§ 325.11 Form of documents. COMPENSATION OF AIR CARRIERS
All documents filed under this part
shall be filed in the Documentary Serv- Subpart A—General Provisions
ices Division, U.S. Department of
Sec.
Transportation, 1200 New Jersey Ave-
330.1 What is the purpose of this part?
nue, SE., Washington, D.C. 20590, and
330.3 What do the terms used in this part
on their front page state: mean?
(a) The title of the document; 330.5 What funds will the Department dis-
(b) The name of the affected commu- tribute under this part?
nity; 330.7 [Reserved]
(c) The name, address, and telephone 330.9 What are the limits on compensation
number of a person who can be con- to air carriers?
tacted for further information con- 330.11 Which carriers are eligible to apply
for compensation under this part?
cerning the subject of the document;
330.13 If an air carrier received compensa-
and tion under the Act previously, does it
(d) In the case of a responsive docu- have to submit a third-round applica-
ment, the docket number of the docu- tion?
ment to which it responds. 330.15–330.17 [Reserved]

354
Office of the Secretary, DOT § 330.5

Subpart B—Application Procedures tember 11 through December 31, 2001, as

the result of those attacks.
330.21 [Reserved]
330.23 To what address must air carriers § 330.3 What do the terms used in this
send their applications?
part mean?
330.25 What are the components of an air
carrier’s application for compensation? The following terms apply to this
330.27 What information must certificated part:
and commuter air carriers submit? Air carrier means any U.S. air carrier,
330.29 What information must air taxi oper-
as defined in 49 U.S.C. 40102.
ators submit on Form 330 (Final) and
Form 330–C? Air taxi operator means an air carrier,
330.31 What data must air carriers submit other than a commuter air carrier,
concerning ASMs or RTMs? that holds authority issued under 14
330.33 Must carriers certify the truth and CFR part 298 and 14 CFR part 121 or
accuracy of data they submit? part 135.
330.35 What records must carriers retain?
Available seat-miles (ASMs) means the
330.37 Are carriers which participate in this
program subject to audit? aircraft miles flown on each flight
330.39 What are examples of types of losses stage by an air carrier multiplied by
that the Department does not allow? the number of seats available for rev-
enue use on that stage.
Subpart C—Set-Aside for Certain Carriers Certificated air carrier means an air
3330.41 What funds is the Department set- carrier holding a certificate issued
ting aside for eligible classes of air car- under 49 U.S.C. 41102 or 41103.
riers? Commuter air carrier means an air car-
330.43 What classes of air carriers are eligi- rier as defined in 14 CFR 298.2(e) that
ble under the set-aside? holds a commuter air carrier author-
330.45 What is the basis on which air car-
riers will be compensated under the set-
ization issued under 49 U.S.C. 41738.
aside? Incremental loss means a loss incurred
APPENDIX A TO PART 330—FORMS FOR A LL by an air carrier in the period of Sep-
CARRIERS tember 11, 2001–December 31, 2001, as a
APPENDIX B TO PART 330 [RESERVED] result of the terrorist attacks on the
APPENDIX C TO PART 330—FORMS FOR AIR United States of September 11, 2001. It
TAXI O PERATORS does not include any loss that would
AUTHORITY: Pub. L. 107–42, 115 Stat. 230 (49 have been incurred if the terrorist at-
U.S.C. 40101 note); sec. 124(d), Pub. L. 107–71, tacks on the United States of Sep-
115 Stat. 631 (49 U.S.C. 40101 note). tember 11, 2001, had not occurred.
SOURCE: Docket No. DOT–OST–2001–10885, Regional air carrier means an air car-
67 FR 54066, Aug. 20, 2002, unless otherwise rier that operates at least one large
noted. aircraft and has annual operating reve-
nues of less than $100 million.
Subpart A—General Provisions Revenue ton-miles (RTMs) means the
aircraft miles flown on each flight
§ 330.1 What is the purpose of this part? stage by the air carrier multiplied by
The purpose of this part is to estab- the number of tons of revenue cargo
lish procedures to implement section transported on that stage. For purposes
101(a)(2) of the Air Transportation of this part, RTMs include only those
Safety and System Stabilization Act resulting from all-cargo flights.
(‘‘the Act’’), Public Law 107–42, 115
Stat. 230 (49 U.S.C. 40101 note). This § 330.5 What funds will the Depart-
statutory provision is intended to com- ment distribute under this part?
pensate air carriers for direct losses in- Under this part, the Department will
curred as a result of the Federal distribute up to the full amount of the
ground stop order issued by the Sec-
compensation it determines is payable
retary of Transportation, and any sub-
to air carriers under section 103(b) of
sequent orders, following the terrorist
attacks of September 11, 2001, and in- the Act, and up to the full amount of
cremental losses incurred from Sep- the set-aside provided for in subpart C
of this part to air carriers eligible for

355
§ 330.7 14 CFR Ch. II (1–1–19 Edition)
it. The Department may require addi- § 330.13 If an air carrier received com-
tional information to support pay- pensation under the Act previously,
ments to individual carriers in connec- does it have to submit a third-
tion with this final payment. round application?
Yes, if, as an air carrier, you pre-
§ 330.7 [Reserved] viously received compensation under
section 101(a)(2) of the Act, you must,
§ 330.9 What are the limits on com- in all cases, submit a complete Form
pensation to air carriers? 330 (Final) and other documents re-
(a) You are eligible to receive com- quired under this part. You must do so
pensation equaling the lesser of your even if you are not seeking additional
direct and incremental losses or the compensation.
amount calculated by the formula set
forth in section 103(b)(2) of the Act. §§ 330.15–330.17 [Reserved]
(b) If at any time we determine that
a carrier has been compensated in an Subpart B—Application
amount that exceeds the amount to Procedures
which it is entitled under section 103(b)
of the Act or the subpart C set-aside § 330.21 [Reserved]
program, the Department will notify § 330.23 To what address must air car-
the carrier of the basis for the deter- riers send their applications?
mination, the amount that must be re-
(a) You must submit your applica-
paid, and the procedures to follow for
tion, and all required supporting infor-
making a repayment. We will follow mation, in hard copy (not by fax or
collection procedures under the Fed- electronic means) to the following ad-
eral Claims Collection Act of 1966 (31 dress:
U.S.C. 3701 et seq.,) to the extent re-
quired by law, in recovering such over- U.S. Department of Transportation, Aviation
payments. This process will also apply Relief Desk (X–50), 1200 New Jersey Ave-
nue, SE., Washington, DC 20590.
to collection of overpayments by the
Department as a result of an audit by (b) If your complete application is
representatives of the Department, in- not sent to the address in paragraph (a)
cluding the Office of the Inspector Gen- of this section as required in this sec-
eral, or the Comptroller General under tion, the Department will not accept
section 103 of the Act, which may be it.
the subject of a separate collection ac-
§ 330.25 What are the components of
tion. an air carrier’s application for com-
pensation?
§ 330.11 Which carriers are eligible to
apply for compensation under this As an air carrier applying for com-
part? pensation under this part, you must
provide to the Department all mate-
(a) If you are a certificated air car-
rials described in §§ 330.27–330.33. The
rier, a commuter air carrier, an air Department will not accept your appli-
taxi, or an indirect air carrier, you are cation if it does not comply fully with
eligible to apply for compensation the requirements of this subpart.
under subpart B of this part.
(b) [Reserved] § 330.27 What information must certifi-
(c) If you are a foreign air carrier, cated and commuter air carriers
commercial operator, flying club, frac- submit?
tional owner, general aviation oper- (a) You must submit Form 330
ator, fixed base operator, flight school, (Final), found in appendix A to this
or ticket agent, you are not eligible to part. Data supplied on Form 330 (Final)
apply for compensation under this in appendix A to this part must be tied
part. only to the airline portion of their
businesses and must exclude non-air
transportation related expenses.
(b) [Reserved]

356
Office of the Secretary, DOT § 330.31
(c) Air carriers that operate both pas- ceeds from business recovery insurance
senger/combination aircraft and all- or other insurance payments. You
cargo aircraft and routinely report to must not report as losses insurance
the Department ASMs and RTMs sepa- premium increases that have been or
rately for both types of flights must will be compensated by the Govern-
submit two versions of Form 330 ment under the Act, or other losses
(Final) in appendix A to this part to that have been or will be compensated
seek compensation on both an ASM by other subsidies or assistance pro-
and RTM basis. Financial and oper- vided by Federal, state, or local gov-
ational data (both actual and fore- ernments.
casted) must be disaggregated and cor-
relate exclusively to one or the other § 330.29 What information must air
type of operation. taxi operators submit on Form 330
(d) You must include the following fi- (Final) and Form 330–C?
nancial information on Form 330 (Final) As an air taxi operator, you must
for the period September 11, 2001 complete Form 330 (Final) in accord-
through December 31, 2001: ance with the requirements in § 330.27.
(1) Your pre-September 11, 2001, prof- You must also complete pages 2, 5, and
it/loss forecast for the period beginning 6 (certifying pages 2 and 5) of Form 330–
September 11, 2001, and ending Decem- C as shown in appendix C to this part.
ber 31, 2001. This forecast must reflect Explanatory notes are included on that
seasonal reductions in capacity and the Form.
cost savings associated with such re-
ductions. Documentation verifying § 330.31 What data must air carriers
that the pre-September 11, 2001, fore- submit concerning ASMs or RTMs?
cast was, in fact, completed before that (a) Except as provided in paragraph
date must also be submitted with your (d) of this section, if you are applying
application. for compensation as a passenger or
(2) Your actual results for that same combination passenger/cargo carrier,
period reflecting any losses that were a you must have submitted your August
direct result of the terrorist attacks of 2001 total completed ASM report to the
September 11, 2001. These actual re- Department for your system-wide air
sults must incorporate all cost reduc- service (e.g., scheduled, non-scheduled,
tions associated with capacity reduc- foreign, and domestic).
tions and furloughs you made due to (b) Except as provided in paragraph
the reduced demand for air service (d) of this section, if you are applying
after the September 11th attacks (e.g., for compensation as an all-cargo car-
employee pay adjustments and fur- rier, you must have submitted your
loughs, changes in aircraft fleet in RTM reports to the Department for the
service, schedule and capacity changes, second calendar quarter of 2001.
etc.). (c) In calculating and submitting
(3) The difference between your fore- ASMs and RTMs under paragraphs (a)
cast profits/losses and actual results and (b) of this section, there are cer-
for that period (i.e., the difference be- tain things you must not do:
tween the figures in paragraphs (d) (1) (1) Except at the direction of the De-
and (2) of this section). partment, or to correct an error that
(4) The actual losses you report must you document to the Department, you
be net losses, before taxes, taking into must not alter the ASM or RTM re-
account savings from such items as re- ports you earlier submitted to the De-
ductions in passenger and cargo han- partment. Your ASMs or RTMs for pur-
dling costs, fuel consumption, landing poses of this part are as you have re-
fees, revenue/traffic-related expenses ported them to the Department accord-
(e.g., commissions, food and beverage, ing to existing standards, require-
booking fees, credit card fees), and sav- ments, and methodologies established
ings of other costs due to the ground by the Office of Airline Information
stop and subsequent schedule/capacity/ (Bureau of Transportation Statistics).
staff reductions (including savings (2) You must not include ASMs or
from layoffs of employees, adjusted for RTMs resulting from operations by
severance payments), as well as pro- your code-sharing or alliance partners.

357
§ 330.33 14 CFR Ch. II (1–1–19 Edition)
(d) If you have not previously re- § 330.33 Must carriers certify the truth
ported ASMs or RTMs as provided in and accuracy of data they submit?
paragraphs (a) and (b) of this section Yes, with respect to all information
for a given operation or operations, submitted or retained under §§ 330.27–
you may submit your calculation of 330.31 and 330.35, your Chief Executive
ASMs or RTMs to the Department with Officer (CEO), Chief Financial Officer
your application. You must certify the (CFO), or Chief Operating Officer (COO)
accuracy of this calculation and sub- or, if those titles are not used, the
mit with your application the data and equivalent officer, must certify that
assumptions on which the calculation the submitted information was pre-
is based. After reviewing your submis- pared under his or her supervision and
sion, the Department may modify or is true and accurate, under penalty of
reject your calculation. law.
(1) If you are a direct air carrier that
has operated your aircraft for a lessee § 330.35 What records must carriers re-
tain?
(i.e., a wet lease, or aircraft, crew,
maintenance, and insurance (ACMI) op- As an air carrier that applies for
eration), you may submit your calcula- compensation under this part, you
tion of ASMs or RTMs for these flights. must retain records as follows:
Your submission must include the fol- (a) You must retain all books,
lowing elements: records, and other source and summary
(i) Documentation that you other- documentation supporting your claims
wise qualify as an air carrier; for compensation of direct and incre-
(ii) Documentation that you are a mental losses pursuant to Sections 101,
103, and 106 of the Act. This require-
wet lessor, and an explanation of why
ment includes, but is not limited to,
you did not previously report ASMs or
the following:
RTMs for the operations in question;
(1) You must retain supporting evi-
(iii) Documentation of the identify of dence and documentation dem-
the wet lessees involved in these oper- onstrating the validity of the data you
ations; and provide under §§ 330.27–330.31.
(iv) Accurate and auditable records of (2) You must retain documentation
ASMs or RTMs actually flown during verifying that your pre-September 11,
the relevant time period for these oper- 2001, forecast was the most recent fore-
ations. cast available to that date.
(2) If you are an indirect air carrier, (3) You must also retain documenta-
you may submit your calculation of tion outlining the assumptions made
ASMs or RTMs for flights that direct for all forecasts and the source of the
air carriers have operated for you data and other inputs used in making
under contract or other arrangement. the forecasts.
Your submission must include the fol- (4) You must agree to have your inde-
lowing elements: pendent public accountant retain all
(i) Documentation that you other- reports, working papers, and sup-
wise qualify as an air carrier; porting documentation pertaining to
(ii) Documentation that you are an the agreed-upon procedures engage-
indirect air carrier, and an explanation ment conducted by your independent
of why you did not previously report public accountant under the require-
ASMs or RTMs for the operations in ments of this part for a period of five
question; years. The accountant must make this
information available for audit and ex-
(iii) Documentation of the identify of
amination by representatives of the
the direct air carriers involved in these
Department of Transportation (includ-
operations; and ing the Office of the Inspector Gen-
(iv) Accurate and auditable records of eral), the Comptroller General of the
ASMs or RTMs actually flown during United States, or other Federal agen-
the relevant time period for these oper- cies.
ations. (b) You must preserve and maintain
this documentation in a manner that

358
Office of the Secretary, DOT § 330.37
readily permits its audit and examina- (3) Determine that the methodology
tion by representatives of the Depart- for allocating revenue and expenses to
ment of Transportation (including the the periods September 1–10 and Sep-
Office of the Inspector General), the tember 11–30, from the forecasted and
Comptroller General of the United actual September results, was in ac-
States, or other Federal agencies. cordance with air carrier records and
(c) You must retain this documenta- analyses;
tion for five years. (4) Determine that the actual ex-
(d) You must make all requested data penses and revenues presented to the
available within one week from a re- Department are in accordance with the
quest by the Department of Transpor- official accounting records of the car-
tation (including the Office of the In- rier or the financial statements in-
spector General), the Comptroller Gen- cluded in the carrier’s Securities and
eral of the United States, or other Fed- Exchange Commission Form 10–Q (for
eral agencies. availability, see 17 CFR 249.0–1(b)), and
consistent with Generally Accepted Ac-
§ 330.37 Are carriers which participate counting Principles (GAAP), except to
in this program subject to audit? the extent that GAAP would require or
allow treatment that would be incon-
(a) All payments you receive from
sistent with the Act or this part;
the Department of Transportation
(5) Verify that the carrier provided
under this program are subject to
explanations supporting the allocation
audit. All information you submit with
methodology used if the forecasted and/
your applications and all records and
or actual results for the September 11–
documentation that you retain are also 30 period was different from allocating
subject to audit. 66.7 percent of the total amounts for
(b) Except as provided in paragraph September;
(d) of this section, before you are eligi- (6) Determine that the carrier pro-
ble to receive payment from the final vided full explanations for all material
installment of compensation under the differences between forecast and actual
Act, there must be an independent pub- results for the September 11–30, 2001 pe-
lic accountant’s report based on the riod and the October 1—December 31,
performance of procedures agreed upon 2001 period;
by the Department of Transportation (7) Determine that the amounts in-
with respect to the carrier’s forecasts cluded in management’s explanations
and actual results. The independent for such material differences were in
public accountant’s engagement must accordance with the carrier’s analysis
be performed in accordance with gen- of such fluctuations, and the amounts
erally accepted professional standards and explanations were traceable to sup-
applicable to agreed-upon procedures porting general ledger accounting
engagements. You must submit the re- records or analyses prepared by the
sults of the agreed-upon procedures en- carrier;
gagement to the Department with your (8) Determine that the amounts pre-
application for payment of the final in- sented to the Department in Form 330
stallment. (Final), pages 2–3, in appendix A to this
(c) The following are the core re- part that the carrier identified as ad-
quirements for the independent public justments to the difference between
accountant’s review: the pre-September 11 forecast and ac-
(1) Determine that the earnings fore- tual results for the period September 11
cast presented to the Department was through December 31, 2001, were in ac-
inclusive of the entity’s full operations cordance with the official accounting
as an air carrier and was the most cur- records of the carrier or the financial
rent forecast prepared prior to Sep- statements included in the carrier’s Se-
tember 11, 2001; curities and Exchange Commission
(2) Determine that, if forecasts pre- Form 10–Q, and consistent with GAAP,
sented to the Department for prior pe- except to the extent that GAAP would
riods had material variances from ac- require or allow treatment that would
tual results, the carrier provided expla- be inconsistent with the Act or this
nations to account for such variances; part;

359
§ 330.39 14 CFR Ch. II (1–1–19 Edition)
(9) Determine that the insurance re- (iii) That an expense was fully borne
coveries and government payments re- within the September 11—December 31,
ported by the air carrier and offsetting 2001, period and is permanent; and
income were in accordance with the air (iv) That the resulting additional
carrier’s general ledger accounting compensation would not be duplicative
records; of other allowances for compensation.
(10) Determine that the information (b) The Department generally does
presented in the air carrier’s Supple- not accept claims by air carriers that
mental Certification were in accord- cost savings should be excluded from
ance with the air carrier’s general ledg- the calculation of incurred losses. Con-
er accounting records; sequently, the Department will gen-
(11) Include in the auditor’s report erally not allow such claims to be used
full documentation for each exception in a way that has the effect of increas-
taken by the auditor; and ing the compensation for which an air
(12) Identify air carrier reports and carrier is eligible.
records utilized in performing the pro-
cedures in paragraphs (c)(1) through Subpart C—Set-Aside for Certain
(11) of this section. Carriers
(d) If you are a carrier that reported
fewer than 10 million ASMs for the § 330.41 What funds is the Department
month of August 2001 or fewer than two setting aside for eligible classes of
million RTMs for the quarter ending air carriers?
June 30, 2001, you are not required to The Department is setting aside a
report to the Department on the basis sum of up to $35 million to compensate
of an agreed-upon procedures engage- eligible classes of air carriers, for
ment by an independent public ac- which application of a distribution for-
countant. Instead, you may report on mula containing ASMs as a factor, as
the basis of simplified procedures ap- set forth in section 103(b)(2) of the Act,
proved by the Department. would inadequately reflect their share
of direct and incremental losses.
§ 330.39 What are examples of types of
losses that the Department does not § 330.43 What classes of air carriers
allow? are eligible under the set-aside?
(a)(1) The Department generally does There are two classes of eligible air
not allow air carriers to include in carriers:
their calculations aircraft impairment (a) You are a Class I air carrier if you
charges, charges or expenses attrib- are an air taxi, regional, commuter or
utable to lease buyouts, or other losses indirect air carrier and you reported
that are not actually and fully realized 75,000 or fewer ASMs to the Depart-
in the period between September 11, ment for the month of August, 2001.
2001 and December 31, 2001. (b) You are a Class II air carrier if
(2) The Department will consider re- you are an air taxi, regional, commuter
quests to accept adjustments for ex- or indirect air carrier and you reported
traordinary or non-recurring expenses between 75,001 and 10 million ASMs to
or revenues on a case-by-case basis. If, the Department for the month of Au-
as a carrier, you make such a request, gust 2001.
you must demonstrate the following to [Doc. No. DOT–OST–2001–10885, 67 FR 54066,
the satisfaction of the Department: Aug. 20, 2002, as amended at 68 FR 44458, July
(i) That the expense or revenue was 29, 2003]
(or was not, as appropriate) the direct
result of the terrorist attacks of Sep- § 330.45 What is the basis on which air
tember 11, 2001; carriers will be compensated under
(ii) That the revenue or expense was the set-aside?
reported in accordance with Generally (a) Except as provided in paragraph
Accepted Accounting Principles (c) of this section, as an air carrier eli-
(GAAP), except to the extent that the gible for compensation through the set-
GAAP would require or allow treat- aside, you will be compensated for an
ment that would be inconsistent with amount calculated as provided in para-
the Act or this part; graph (b) of this section.

360
Office of the Secretary, DOT § 330.45
(b)(1) As a Class I carrier, your com- ASM rate as provided in paragraph (b)
pensation will be calculated using a of this section, your compensation will
fixed ASM rate equivalent to the mean not be less than an amount equivalent
losses per ASM for all Class I carriers to 25 percent of the direct and incre-
applying for compensation. mental transportation-related losses
(2) As a Class II carrier, your com- you have demonstrated to the satisfac-
pensation will be calculated using a tion of the Department were incurred
graduated ASM rate equivalent to— as a direct result of the terrorist at-
(i) The mean loss per ASM for all tacks of September 11, 2001. Your com-
Class I carriers applying for compensa-
pensation will not be more than an
tion, for each of the first 75,000 ASMs
reported; and amount equivalent to the mean per-
(ii) The mean remaining loss per centage of compensation for losses re-
ASM for all Class II carriers applying ceived by passenger and combination
for compensation for each ASM in ex- air carriers that are not eligible for the
cess of 75,000. set-aside funds, unless you would have
(3) For purposes of this paragraph (b), been compensated for more than that
ASMs are those verified by the Depart- percentage of losses under the formula
ment for August 2001. set forth in section 103(b)(2) of the Act,
(4) Any compensation payments pre- in which case you will be compensated
viously made to air carriers eligible for under that formula.
the set-aside will be deducted from the
[Doc. No. DOT–OST–2001–10885, 67 FR 54066,
amount calculated as the carrier’s
Aug. 20, 2002, as amended at 68 FR 44458, July
total compensation under the set-aside 29, 2003]
formula.
(c) If you are an air carrier whose
compensation is calculated using an

361
Pt. 330, App. A 14 CFR Ch. II (1–1–19 Edition)
APPENDIX A TO PART 330—FORMS FOR ALL CARRIERS

362
Office of the Secretary, DOT Pt. 330, App. A

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Office of the Secretary, DOT Pt. 330, App. A

APPENDIX B TO PART 330 [RESERVED]

367
Pt. 330, App. C 14 CFR Ch. II (1–1–19 Edition)
APPENDIX C TO PART 330—FORMS FOR AIR TAXI O PERATORS

368
Office of the Secretary, DOT Pt. 330, App. C

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Office of the Secretary, DOT Pt. 330, App. C

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Office of the Secretary, DOT Pt. 330, App. C

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Pt. 330, App. C 14 CFR Ch. II (1–1–19 Edition)

PART 331 [RESERVED]

SUBCHAPTER C [RESERVED]

374
 SUBCHAPTER D—SPECIAL REGULATIONS

PART 372—OVERSEAS MILITARY of enabling them to provide overseas

PERSONNEL CHARTERS military personnel charters utilizing
aircraft chartered from such direct air
Subpart A—General Provisions carriers or foreign air carriers. Nothing
contained in this part shall be con-
Sec. strued as repealing or amending any
372.1 Applicability.
372.2 Definitions. provisions of any of the Department’s
372.3 Waiver. regulations, unless the context so re-
372.4 Enforcement. quires.
372.5 Suspension of revocation of authority.
[SPR–60, 37 FR 19122, Sept. 19, 1972, as
Subpart B—Exemption amended at 60 FR 43529, Aug. 22, 1995]

372.10 Exemption. § 372.2 Definitions.

Subpart C—Conditions and Limitations As used in this part, unless the con-
text otherwise requires:
372.20 Requirement of operating authoriza-
Charter means overseas military per-
tion.
372.21 Solicitation. sonnel charter.
372.22 Discrimination. Charter operator means overseas mili-
372.23 Methods of competition. tary personnel charter operator.
372.24 Surety bond, depository agreement, Charter participant means a member
escrow agreement.
372.25 Tariffs to be filed for charter trips. of the overseas military personnel
372.26 [Reserved] charter group.
372.27 Name of operator. Charter price means the total amount
372.28 Record retention. of money paid by the charter partici-
pant to the charter operator for air
Subpart D—Operating Authorization
transportation.
372.30 Application. Immediate family means only the fol-
372.31 Issuance. lowing persons: the spouse, children,
372.32 Effective period.
parents, parents of the spouse, children
372.33 Nontransferability.
of the parents, and children of the par-
APPENDIX A TO PART 372—OVERSEAS MILI-
TARY PERSONNEL CHARTER OPERATOR’S ents of the spouse of (1) military per-
SURETY B OND U NDER PART 372 OF THE sonnel on active duty with the United
SPECIAL REGULATIONS OF THE DEPART- States Armed Forces (including Coast
MENT OF TRANSPORTATION (14 CFR PART Guard) stationed outside the contig-
372) uous states of the United States and
AUTHORITY: 49 U.S.C. Chapters 401, 411, 413, the District of Columbia, and (2) civil-
417. ian employees of the Department of
SOURCE: SPR–54, 37 FR 11163, June 3, 1972, Defense who are citizens of the United
unless otherwise noted. States and are stationed in a foreign
country, or in a U.S. territory or pos-
Subpart A—General Provisions session, where U.S. military personnel
are stationed.
§ 372.1 Applicability. Overseas military personnel charter
This part establishes the terms and means a charter, either one-way or
conditions governing the furnishing of round-trip, limited to military per-
overseas military personnel charters in sonnel on active duty with the U.S.
air transportation by direct air car- Armed Forces (including the Coast
riers or foreign air carriers and by Guard), stationed outside the 48 contig-
overseas military charter operators. uous States of the United States and
This part also relieves charter opera- the District of Columbia, and/or civil-
tors from the provisions of section ian employees of the Department of
41102 of Title 49 of the United States Defense who are citizens of the United
Code (‘‘the Statute’’), for the purpose States and are stationed in a foreign

375
§ 372.3 14 CFR Ch. II (1–1–19 Edition)
country, or in a U.S. territory or pos- § 372.4 Enforcement.
session, where such U.S. military per-
In case of any violation of the provi-
sonnel are stationed, and/or the imme-
sions of the Statute, or this part, or
diate families of the foregoing persons,
any other rule, regulation, or order
where the following conditions are
issued under the Statute, the violator
met: (a) All military personnel and ci-
may be subject to a proceeding pursu-
vilian employees of the Department of
ant to section 46101 of the Statute be-
Defense participating in the charter
fore the Department, or sections 46106
are on official furlough, leave, pass, or
through 46108 of the Statute before a
other authorized absence from duty,
U.S. district court, as the case may be,
and (b) the transportation is between a
place in the 48 contiguous States of the to compel compliance therewith, to
United States or the District of Colum- civil penalties pursuant to the provi-
bia and a place in Alaska, Hawaii, or a sions of section 46301 of the Statute, or
territory or possession of the United in the case of willful violation, to
States, or a foreign country in which criminal penalties pursuant to the pro-
military personnel of the United States visions of section 46316 of the Statute;
are stationed: Provided, however, That or other lawful sanctions.
nothing contained herein shall pre- [SPR–54, 37 FR 11163, June 3, 1972, as amend-
clude an overseas military personnel ed at 60 FR 43529, Aug. 22, 1995]
charter operator from utilizing any un-
used space on an aircraft chartered by § 372.5 Suspension or revocation of au-
it pursuant to this part for the trans- thority.
portation, on a free or reduced-rate The Department reserves the power
basis, of such charter operator’s em- to suspend the authority of any charter
ployees, directors, and officers, and the operator, without hearing, if it finds
parents and immediate families of such that such action is necessary in order
persons, subject to the provisions of to protect the rights of the traveling
part 223 of this chapter. public, or to revoke such authority for
Overseas military personnel charter op- cause.
erator means any citizen of the United
States, as defined in section 40102(a)(15) Subpart B—Exemption
of the Statute authorized hereunder to
engage in the formation of overseas § 372.10 Exemption.
military personnel charter groups and
Charter operators are hereby relieved
who complies with the provisions of
from the provisions of section 41102 of
this part.
the Statute only if and so long as they
Person means any individual, firm,
comply with the provisions of this part
association, partnership, or corpora-
and the conditions imposed herein, and
tion.
to the extent necessary to permit them
Statute when used in this chapter
to organize and arrange overseas mili-
means Subtitle VII of Title 49 of the
tary personnel charters.
United States Code (Transportation).
[SPR–176, 46 FR 43960, Sept. 2, 1981, as
[SPR–54, 37 FR 11163, June 3, 1972, as amend-
amended at 60 FR 43529, Aug. 22, 1995]
ed by SPR–69, 38 FR 14164, May 30, 1973; SPR–
109, 41 FR 35158, Aug. 20, 1976; 60 FR 43529,
Aug. 22, 1995] Subpart C—Conditions and
Limitations
§ 372.3 Waiver.
A waiver of any of the provisions of § 372.20 Requirement of operating au-
this regulation may be granted by the thorization.
Department upon its own initiative, or No person shall engage in air trans-
upon the submission by a charter oper- portation as an overseas military per-
ator of a written request therefor: Pro- sonnel charter operator by organizing,
vided, That such a waiver is in the pub- providing, selling, or offering to sell,
lic interest and it appears to the De- soliciting, or advertising an overseas
partment that special or unusual cir- military personnel charter or charters
cumstances warrant a departure from unless there is in force an operating
the provisions set forth herein. authorization issued pursuant to

376
Office of the Secretary, DOT § 372.24
§ 372.31 authorizing such person to en- (1) The charter operator shall furnish
gage in such transportation. a surety bond in an amount not less
than the maximum fare held out for
[Doc. No. 47939, 57 FR 40105, Sept. 2, 1992]
charter flights proposed to be operated
§ 372.21 Solicitation. during each calendar month multiplied
by 90 percent of the number of avail-
Solicitation of charter participants able seats on such flights: Provided,
through advertising by charter opera- however, That the liability of the sur-
tors shall be restricted to the fol- ety to any charter participant shall
lowing: not exceed the charter operator’s appli-
(a) Radio and television stations op- cable tariff fare. Such bond shall be
erated by the U.S. Armed Forces; filed with the Department not less
(b) Newspapers, periodicals, or other than 45 days prior to the commence-
printed media disseminated and dis- ment of the calendar month covered by
tributed primarily among military per- the bond together with a list of flights
sonnel or civilian employees of the De- proposed to be operated during the
partment of Defense: Provided, however, month showing charter price, depar-
That any printed advertisement of a ture dates, equipment to be used for
charter operator shall include a state- each flight and the seating capacity:
ment explaining that eligibility for Provided, however, That the amount of
participation in such charters is lim- the bond shall be increased if addi-
ited to military servicemen who are tional charter flights are proposed or
stationed outside of the 48 contiguous may be reduced if proposed charter
States and the District of Columbia, flights are canceled, in which event a
and/or U.S. citizen civilian DOD em- substitute bond and amended list of
ployees who are stationed in a foreign proposed flights shall be filed with the
country, or a U.S. territory or posses- Department within 10 days of the date
sion, where U.S. military personnel are that the charter operator adds flights
stationed, and their respective imme- or cancels flights previously proposed,
diate families. but in no event later than 2 days prior
to the operation of any such additional
§ 372.22 Discrimination. charter flights; or
(2) The charter operator shall:
No charter operator shall make, give,
(i) Furnish and file with the Depart-
or cause any undue or unreasonable
ment a surety bond in the amount of
preference or advantage to any par-
$100,000 for the protection of the char-
ticular person, port, locality, or de-
ter participants: Provided, however,
scription of traffic in air transpor-
That the liability of the surety to any
tation in any respect whatsoever or
charter participant shall not exceed
subject any particular person, port, lo-
the charter operator’s applicable tariff
cality, or description of traffic in air
fare; and
transportation to any unjust discrimi-
(ii) Enter into an agreement with a
nation or any undue or unreasonable
bank, the terms of which shall include
prejudice or disadvantage in any re-
the following:
spect whatsoever.
(a) Each participant shall pay for his
§ 372.23 Methods of competition. deposit and subsequent payments com-
prising the charter participant’s tariff
No charter operator shall engage in fare only by check or money order pay-
unfair or deceptive practices or unfair able to such bank which shall maintain
methods of competition in air trans- a separate accounting for each flight:
portation or the sale thereof. Provided, however, That if the partici-
pant makes a cash deposit, the charter
§ 372.24 Surety bond, depository agree- operator who receives such cash de-
ment, escrow agreement. posit shall forthwith remit to the des-
(a) Before selling or offering to sell, ignated bank a check for the full
soliciting or advertising any charter amount of the deposit;
flight, a charter operator shall comply (b) The bank shall not pay the air
with one of the three following require- carrier or foreign air carrier the char-
ments: ter price for the transportation earlier

377
§ 372.24 14 CFR Ch. II (1–1–19 Edition)
than 60 days (including day of depar- (3) The charter operator shall:
ture) prior to the scheduled day of de- (i) Furnish and file with the Depart-
parture of the originating or returning ment a surety bond in the amount of
flight, upon certification of the depar- $100,000 for the protection of the char-
ture date and price by the charter oper- ter participants: Provided, however,
ator; That the liability of the surety to any
(c) The bank shall reimburse the charter participant shall not exceed
charter operator for refunds made by the charter operator’s applicable tariff
the latter to the participants upon fare; and
written notification from the charter (ii) Enter into an agreement with a
operator; bank, the terms of which shall include
(d) If the charter operator notifies the following:
the bank that a flight has been can- (a) Whenever the gross amount of
celed, the bank shall make the applica- customers’ deposits exceeds 25 percent
ble refunds directly to the participants; of the charter operator’s net worth, as
(e) Except as provided in paragraph computed under generally accepted ac-
(a)(2)(ii)(c) of this section, the bank counting principles, the charter oper-
shall not pay any funds from the ac- ator shall, on or before the 30th day of
count to the charter operator prior to 2 the succeeding month, place in escrow
banking days after completion of each or in trust with the bank cash in an
flight when the balance in the account amount at least equal to the amount
shall be paid to the charter operator by which such deposits exceed 25 per-
upon certification of the completion cent of its net worth: Provided, That
date by the charter operator and direct negotiable securities may be sub-
air carrier; stituted for cash, but the market value
(f) Notwithstanding any provisions thereof shall at all times be not less
above, the amount of total cash depos- than the amount of cash for which they
its required to be maintained in the de- are substituted;
pository account of the bank may be (b) The escrow agreement or the
reduced by one or both of the fol- trust agreement between the bank and
lowing: The amount of surety bond in the operator shall not be effective until
the form prescribed herein in excess of approved by the Department. Claims
the minimum bond required by para- against the escrow or trust may be
graph (a)(2)(i) of this section; an escrow made only with respect to the non-
with the designated bank of Federal, performance of air transportation.
State, or municipal bonds or other se- (b) As used in this section, the term
curities, consisting of certificates of bank means a bank insured by the Fed-
deposit issued by banks having a stated eral Deposit Insurance Corporation.
policy of redeeming such certificates (c) Any bond furnished under this
before maturity at the request of the section shall insure the financial re-
holder (subject only to such interest sponsibility of the charter operator and
penalties or other conditions as may be the supplying of the air transportation
required by law), or negotiable securi- in accordance with the contract be-
ties which are publicly traded on a se- tween the charter operator and the
curities exchange, all such securities to charter participants, and shall be in
be made payable to the escrow account: the form set forth as appendix A to this
Provided, That such other securities part. Such bond shall be issued by a
shall be substituted in an amount no bonding or surety company (1) whose
greater than 80 percent of the total surety bonds are accepted by the Inter-
market value of the escrow account at state Commerce Commission under 49
the time of such substitution: And pro- CFR 1084.6; or (2) which is listed in
vided, further, That should the market Best’s Insurance Reports (fire and cas-
value of such other securities subse- ualty) with a general policyholders’
quently decrease, from time to time, rating of ‘‘A’’ or better. The bonding or
then additional cash or securities surety company shall be one legally
qualified for investment hereunder authorized to issue bonds of that type
shall promptly be added to the escrow in the State in which the charter origi-
account, in an amount equal to the nates or in which the charter operator
amount of such decreased value; or is incorporated. For purposes of this

378
Office of the Secretary, DOT § 372.28
section, the term ‘‘State’’ includes any tions, practices, and services in connec-
territory or possession of the United tion with such transportation.
States, or the District of Columbia.
The bond shall be specifically identi- § 372.26 [Reserved]
fied by the issuing surety with a com-
pany bond numbering system so that § 372.27 Name of operator.
the Department may identify the bond It shall be an express condition upon
with the specific charter or charters to the exercise of the exemption herein
which it relates: Provided, however, granted and the operating authoriza-
That these data may be set forth in an tions issued hereunder, that the char-
addendum attached to the bond which ter operator concerned, in holding out
addendum must be signed by the char- to the public and performing air trans-
ter operator and the surety company. portation services, shall do so only in a
It shall be effective on or before the
name the use of which is authorized
date the operating authorization be-
under the provisions of part 215 of this
comes effective. If the bond does not
chapter.
comply with the requirements of this
section, or for any reason fails to pro- § 372.28 Record retention. 1
vide satisfactory or adequate protec-
tion for the public, the Department (a) Every charter operator con-
will notify the direct air carrier and ducting a charter pursuant to this part
the charter operator, by registered or shall retain for 2 years after comple-
certified mail, stating the deficiencies tion of the charter or series of charters
of the bond. Unless such deficiencies true copies of the following documents
are corrected within the time set forth at its principal or general office in the
in such notification, the subject char- United States:
ters shall in no event be operated. (1) All documents which evidence or
(d) Any bond furnished under this reflect deposits made by, and refunds
section shall provide that unless the made to, each charter participant;
charter participant files a claim with (2) All statements, invoices, bills, and
the charter operator, or, if he is un- receipts from suppliers or furnishers of
available, with the surety, within sixty goods and services in connection with
(60) days after termination of the char-
the charter or series of charters.
ter, the surety shall be released from
(b) Every charter operator shall
all liability under the bond to such
charter participant. The contract be- make the documents listed in this sec-
tween the charter operator and the tion available upon request by an au-
charter participants shall contain no- thorized representative of the Depart-
tice of this provision. ment and shall permit such representa-
tive to make such notes and copies
(Secs. 101(3), 204(a), 401, and 402 of the Fed- thereof as he deems appropriate.
eral Aviation Act of 1958, as amended, 72
Stat. 737, 743, 754, and 757, as amended, 49 [SPR–54, 37 FR 11163, June 3, 1972, as amend-
U.S.C. 1301, 1324, 1371 and 1372) ed by Doc. No. 47939, 57 FR 40105, Sept. 2,
[SPR–54, 37 FR 11163, June 3, 1972, as amend- 1992]
ed by SPR–60, 37 FR 19122, Sept. 19, 1972;
SPR–63, 37 FR 22849, Oct. 26, 1972; SPR–95, 40
FR 52355, Nov. 10, 1975; Doc. No. 47939, 57 FR 1 Whoever, in any matter within the juris-
40105, Sept. 2, 1992]
diction of any department or agency of the
§ 372.25 Tariffs to be filed for charter United States knowingly and willfully fal-
trips. sifies, conceals, or covers up by any trick,
scheme, or device, a material fact, or makes
Effective October 1, 1972, a charter any false, fictitious, or fraudulent state-
operator shall not operate or sell or ments or representations, or makes or uses
offer to sell, solicit or advertise, any any false writing of document knowing the
charter trips unless such operator shall same to contain any false, fictitious, or
have on file with the Department a fraudulent statement or entry, shall be fined
currently effective tariff showing all not more than $10,000 or imprisoned not more
rates, fares, and charges for such char- than 5 years, or both. Title 18, U.S.C. sec.
ter trips and showing the rules, regula- 1001.

379
§ 372.30 14 CFR Ch. II (1–1–19 Edition)

Subpart D—Operating or registration from the Civil Aero-

Authorization nautics Board or the Department of
Transportation and, if applicable, rea-
§ 372.30 Application. sons for revocation or other termi-
(a) Application. Any person desiring nation;
to operate as an overseas military per- (9) List of officers, owners, etc., of ap-
sonnel charter operator may apply to plicant who have at any time been em-
the Department for an appropriate op- ployed by or associated with any air
erating authorization. Contact the Of- carrier authorized to operate by the
fice of Aviation Analysis, Special Au- Civil Aeronautics Board or the Depart-
thorities Division, for filing instruc- ment of Transportation indicating
tions. The application shall be certified dates of employment and capacity in
by a responsible official of such person which employed;
and shall contain the following infor- (10) Any additional information in
mation: support of application;
(1) Date; (11) Balance sheet as of a date not
(2) Name of applicant, trade names, more than 3 months prior to applica-
and name in which authorization is to tion and profit and loss statement for
be issued; the full year ending as of date of bal-
(3) Address of principal office and ance sheet;
mailing address; (12) Brief account of any arrange-
(4) Form of organization (i.e., cor- ment by which applicant will have
poration, partnership, etc.), State available financial sources and facili-
under whose laws company is author- ties of other companies or individuals;
ized to operate and date company was (13) The charter operator’s surety
formed; bond and, where applicable, a copy of
(5) A list containing the names of the depository, escrow or trust agree-
each officer, director, partner, owner, ment with a bank as provided in
or member of applicant, and holder of § 372.24. 2
more than 5 percent of outstanding (b) Additional information. The appli-
stock if a corporation, or owner of cant shall also submit such other addi-
more than a 5-percent interest if other tional information pertinent to its pro-
than a corporation; an indication as to posed activities as may be requested by
whether or not 75 percent or more of the Department with respect to any in-
the voting interest is owned or con- dividual application.
trolled by citizens of the United States [SPR–54, 37 FR 11163, June 3, 1972, as amend-
or one of its possessions; if more than ed by Doc. No. 47939, 57 FR 40105, Sept. 2,
5 percent of applicant’s stock is held by 1992; 60 FR 43529, Aug. 22, 1995]
a corporation, an indication must be
made as to whether or not 75 percent or § 372.31 Issuance.
more of the voting interest in such cor- (a) If, after the filing of an applica-
poration is owned or controlled by citi- tion for an operating authorization, it
zens of the United States or one of its appears that the applicant is capable of
possessions; performing the air transportation au-
(6) A description of current business thorized by this part as an overseas
activities and of former business expe- military personnel charter operator
rience in, or related to, the transpor- and of conforming to the provisions of
tation field; the Act and all rules and requirements
(7) Description of operating authority thereunder, and that the conduct of
granted applicant by agencies of the such operations by the applicant will
U.S. Government (such as customs not be inconsistent with the public in-
broker, surface or air freight for- terest, the applicant will be notified by
warder, motor carrier, ocean freight letter. Such notification will advise
forwarder, etc.), and, if applicable, rea-
sons for revocation or other termi- 2 The surety bond and, where applicable, a
nation; copy of the depository escrow, or trust
(8) List of names of the officers, own- agreement with the bank should not be filed
ers, etc., of applicants who have at any with the Department until the applicant is
time applied for any type of authority notified by the Department to do so.

380
Office of the Secretary, DOT Pt. 372, App. A
the applicant that, upon the filing of a issued in the name of another person,
valid tariff pursuant to § 372.25, an op- for a maximum period of 6 months
erating authorization will be issued to from the effective date of succession,
the applicant. by giving written notice of such succes-
(b) If, after the filing of an applica- sion to the Department within 60 days
tion for an operating authorization, it after the succession:
appears that the applicant has not (1) Administrators or executors of de-
made a due showing of capability or ceased persons;
that the conduct of operations by the (2) Guardians of incapacitated per-
applicant might otherwise be incon- sons;
sistent with the public interest, the (3) Surviving partner or partners col-
Department shall by letter notify the lectively of dissolved partnerships; and
applicant of its findings to that effect. (4) Trustees, receivers, conservators,
The Department may dismiss any such assignees, or other such persons who
application unless within 30 days of the are authorized by law to collect and
date of the mailing of such letter, the preserve the property of financially
applicant has in writing requested re- disabled persons.
consideration and submitted such addi- (b) All operations by successors, as
tional information as it believes will above authorized, shall be performed in
make the necessary showing, or re- the name or names of the prior holder
quested that the application be as- of the operating authorization and the
signed for hearing, in which case the name of the successor, whose capacity
applicant shall outline the evidence to shall also be designated. Any successor
be presented at such hearing and shall desiring to continue operations after
show the need for hearing in order the expiration of the 6-month period
properly to present its case. above authorized must file an applica-
(c) In the event that reconsideration tion for a new operating authorization
or hearing is requested, the Depart- within 120 days after such succession.
ment may, without notice or hearing, If a timely application is filed, such
enter an order of approval or of dis- successor may continue operations
approval in accordance without notice until final disposition of the applica-
or hearing, enter an order of approval tion by the Department.
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
APPENDIX A TO PART 372—OVERSEAS
for hearing.
MILITARY PERSONNEL CHARTER OP-
§ 372.32 Effective period. ERATOR’S SURETY BOND UNDER
PART 372 OF THE SPECIAL REGULA-
Each operating authorization shall TIONS OF THE DEPARTMENT OF
be effective upon the date specified TRANSPORTATION (14 CFR PART 372)
therein, and shall continue in effect,
unless sooner suspended or revoked, Know all men by these presents, that we
during such period as the authority llllllll (name of charter operator) of
provided by this part shall remain in llllllll (address) as Principal herein-
effect, or if issued for a limited period after called ‘‘Principal’’), and llllllll
(name of surety) a corporation created and
of time, shall continue in effect until existing under the laws of the State of
the expiration thereof unless sooner llllllll (State) as Surety (herein-
suspended or revoked. after called ‘‘Surety’’) are held and firmly
bound unto the United States of America in
§ 372.33 Nontransferability. the sum of llllllll (see § 372.24(a), 14
(a) An operating authorization shall CFR Part 372) for which payment, well and
be nontransferable and shall be effec- truly to be made, we bind ourselves and our
heirs, executors, administrators, successors,
tive only with respect to the person
and assigns, jointly and severally firmly by
named therein or his successor by oper- these presents.
ation of law, subject to the provisions Whereas Principal is an overseas military
of this section. The following persons personnel charter operator pursuant to the
may temporarily continue operations provisions of Part 372 of the Department’s
under an operating authorization

381
Pt. 374 14 CFR Ch. II (1–1–19 Edition)
Special Regulations and other rules and reg- the address of Principal as stated herein and
ulations of the Department relating to secu- as hereinafter provided. Principal or Surety
rity for the protection of charter partici- may at any time terminate this bond by
pants, and has elected to file with the De- written notice to: Special Authorities Divi-
partment of Transportation such a bond as sion (X–57), Office of Aviation Analysis, U.S.
will insure financial responsibility with re- Department of Transportation, Washington,
spect to all monies received from charter DC 20590, such termination to become effec-
participants for services in connection with tive thirty (30) days after the actual receipt
overseas military personnel charters to be of said notice by the Department. Surety
operated subject to Part 372 of the Depart- shall not be liable hereunder for the payment
ment’s Special Regulations in accordance of any damages hereinbefore described which
with contracts, agreements, or arrangements arise as a result of any contracts, agree-
therefor, and ments, undertakings, or arrangements for
Whereas this bond is written to assure the supplying of transportation and other
compliance by Principal as an authorized services made by Principal after the termi-
charter operator with Part 372 of the Depart- nation of this bond as herein provided, but
ment’s Special Regulations, and other rules such termination shall not affect the liabil-
and regulations of the Department relating ity of the bond hereunder for the payment of
to security for the protection of charter par- any damages arising as a result of contracts,
ticipants, and shall inure to the benefit of agreements, or arrangements for the sup-
any and all charter participants to whom plying of transportation and other services
Principal may be held legally liable for any made by Principal prior to the date that
damages herein described. such termination becomes effective. Liabil-
Now, therefore, the condition of this obli- ity of Surety under this bond shall in all
gation is such that if Principal shall pay or events be limited only to a charter partici-
cause to be paid to charter participants any pant or charter participants who shall with-
sum or sums for which Principal may be held in sixty (60) days after the termination of
legally liable by reason of Principal’s failure the particular charter described herein give
faithfully to perform, fulfill and carry out written notice of claim to the charter oper-
all contracts, agreements, and arrangements ator or, if it is unavailable, to Surety, and
made by Principal while this bond is in ef- all liability on this bond shall automatically
fect with respect to the receipt of moneys terminate sixty (60) days after the termi-
from charter participants, and proper dis- nation date of each particular charter cov-
bursement thereof pursuant to and in ac- ered by this bond except for claims made in
cordance with the provisions of Part 372 of the time provided herein.
the Department’s Special Regulations, then In witness whereof, the said Principal and
this obligation shall be void, otherwise to re- Surety have executed this instrument on the
main in full force and effect. lll day of lllll, 199l.
The liability of Surety with respect to any
charter participant shall not exceed the PRINCIPAL
charter price paid by or on behalf of such Name llllllllllllllllllll
participant. By: Signature and title lllllllllll
The liability of Surety shall not be dis-
Witness lllllllllllllllllll
charged by any payment or succession of
payments hereunder, unless and until such SURETY
payment or payments shall amount in the
aggregate to the penalty (face amount) of Name llllllllllllllllllll
the bond, but in no event shall Surety’s obli- By: Signature and title lllllllllll
gation hereunder exceed the amount of said Witness lllllllllllllllllll
penalty. Only corporations may qualify to act as
Surety agrees to furnish written notice to surety and they must meet the requirements
the Office of Aviation Analysis, Department set forth in § 372.24(c) of Part 372.
of Transportation, forthwith of all suits or [Doc. No. 47939, 57 FR 40105, Sept. 2, 1992, as
claims made and judgments rendered, and amended at 60 FR 43529, Aug. 22, 1995]
payments made by Surety under this bond.
This bond shall cover the following Char-
ters: 1 PART 374—IMPLEMENTATION OF
Surety company’s bond No. lllllllll THE CONSUMER CREDIT PROTEC-
Date of flight departure lllllllllll
Place of flight departure llllllllll
TION ACT WITH RESPECT TO AIR
This bond is effective on the lll day of CARRIERS AND FOREIGN AIR
lllll, 199l, 12:01 a.m., standard time at CARRIERS
1 These data may be supplied in an adden- Sec.
dum attached to the bond; however, all pages 374.1 Purpose.
are to bear the Surety’s seal. 374.2 Applicability.

382
Office of the Secretary, DOT § 374a.2
374.3 Compliance with the Consumer Credit § 374.4 Enforcement procedure.
Protection Act and regulations.
374.4 Enforcement procedure. The statutes and regulations referred
AUTHORITY: 15 U.S.C. 1601–1693r; 49 U.S.C.
to in § 374.3 may be enforced by an en-
Subtitle VII; and 12 CFR parts 202 and 226. forcement procedure as set forth in
part 302 of this chapter or by the as-
SOURCE: SPR–175, 46 FR 43960, Sept. 2, 1981,
unless otherwise noted.
sessment of civil penalties under 49
U.S.C. 46301.
§ 374.1 Purpose. [62 FR 25842, May 12, 1997]
The purpose of this part is to state
the Department of Transportation’s re- PART 374a—EXTENSION OF CREDIT
sponsibility to enforce air carrier and
foreign air carrier compliance with BY AIRLINES TO FEDERAL POLIT-
Subchapters I, III, IV, V and VI of the ICAL CANDIDATES
Consumer Credit Protection Act and
Regulations B and Z of the Board of Sec.
Governors of the Federal Reserve Sys- 374a.1 Purpose.
tem. 374a.2 Applicability.
374a.3 Definitions.
[62 FR 25841, May 12, 1997] 374a.4 Conditions governing extension of
unsecured credit.
§ 374.2 Applicability. 374a.5 Exemption authority.
This part is applicable to all air car- 374a.6 Reporting requirements.
riers and foreign air carriers engaging 374a.7 Record retention requirements.
in consumer credit transactions. 374a.8 Prospective application of part.

§ 374.3 Compliance with the Consumer AUTHORITY: 49 U.S.C. chapters 401, 411, 415,
Credit Protection Act and regula- 417.
tions. SOURCE: SPR–53, 37 FR 9388, May 10, 1972,
(a) Each air carrier and foreign air unless otherwise noted.
carrier shall comply with the require-
ments of the Consumer Credit Protec- § 374a.1 Purpose.
tion Act, 15 U.S.C. 1601–1693r. Any vio- Section 401 of the Federal Election
lation of the following requirements of Campaign Act of 1971 (Pub. L. 92–225, 86
that Act will be a violation of 49 U.S.C. Stat. 19, 2 U.S.C. 451, enacted February
Subtitle VII, enforceable by the De- 7, 1972, and hereafter referred to as the
partment of Transportation: ‘‘Election Campaign Act’’) directs the
(1) The Truth in Lending Act, as sup- Civil Aeronautics Board to promulgate,
plemented by the Fair Credit Billing within 90 days after enactment, regula-
Act, 15 U.S.C. 1601–1667, requiring dis- tions with respect to the extension of
closure of credit terms to the consumer
unsecured credit by any person regu-
and prohibiting inaccurate or unfair
lated by the Board to any candidate for
credit billing and credit card practices.
Federal office, or to any person on be-
(2) The Fair Credit Reporting Act, 15
U.S.C. 1681–1681 setting forth require- half of such a candidate, for goods fur-
ments to be met by consumer credit re- nished or services rendered in connec-
porting agencies and persons who use tion with the campaign of such can-
consumer credit reports. didate for nomination for election, or
(b) Each air carrier and foreign air election, to such office. The purpose of
carrier shall comply with the require- this part is to issue rules pursuant to
ments of Regulation B, 12 CFR part 202, said section 401 of the Election Cam-
and Regulation Z, 12 CFR part 226, of paign Act in accordance with the Civil
the Board of Governors of the Federal Aeronautics Board’s responsibility
Reserve Board. Any violation of the re- thereunder.
quirements of those regulations will be
a violation of 49 U.S.C. Subtitle VII, § 374a.2 Applicability.
enforceable by the Department of This regulation shall be applicable to
Transportation. all air carriers as defined herein.
[62 FR 25841, May 12, 1997]

383
§ 374a.3 14 CFR Ch. II (1–1–19 Edition)

§ 374a.3 Definitions. for the nomination of persons for elec-

tion to Federal office.
Adequate security means (a) a bond,
Established credit limit means the dol-
issued by a surety meeting the stand-
ards prescribed for sureties in part 380 lar limit of credit established by the
carrier extending credit.
of this chapter, in an amount not less
Federal office means the office of
than one hundred and fifty percent
President or Vice President of the
(150%) of the credit limit established
United States, or of Senator or Rep-
by the air carrier for the candidate, or
resentative in, or Delegate or Resident
the person acting on behalf of the can-
Commissioner to, the Congress of the
didate, as the case may be, by the
United States.
terms of which bond the surety under-
Person acting on behalf of a candidate
takes to pay to the air carrier any and
means (a) a political committee acting
all amounts (not exceeding the face
on behalf of, or a person employed by
amount of the bond) for which the as-
such candidate or by such political
sured candidate or the assured person
committee to act on behalf of, such
acting on behalf of a candidate, as the
candidate in connection with such can-
case may be, is or may become legally
liable to the air carrier for transpor- didate’s campaign for nomination for
election, or election, to Federal office;
tation, as defined in this part; or (b)
collateral with a market value equal to (b) a person acting under a contract
one hundred and fifty percent (150%) of with, or as an agent of, such candidate
the established credit limit for such ac- or political committee to engage in ac-
count, which collateral must be depos- tivities in connection with such can-
ited in escrow and must consist of Fed- didate’s campaign for nomination for
eral, State, or municipal bonds or election, or election, to Federal office;
other negotiable securities which are or (c) a person for whom such can-
publicly traded on a securities ex- didate or political committee pays, di-
change. rectly or indirectly, for services pur-
Air carrier means any air carrier hold- chased by such person. The term in-
ing a certificate of public convenience cludes persons acting on behalf of more
and necessity issued under section 401 than one candidate.
of the Federal Aviation Act of 1958, as Payment in advance means payment
amended. by cash, check, money order, or by
Candidate means an individual who credit card (if the issuer of such card is
seeks nomination for election, or elec- not an air carrier or a subsidiary, par-
tion, to Federal office, whether or not ent, or affiliate thereof) prior to per-
such individual is elected. For purposes formance of such transportation by an
of this part, an individual shall be air carrier.
deemed to seek nomination for elec- Political committee means any com-
tion, or election, if he has (a) taken the mittee, association, corporation, or or-
action necessary under the law of a ganization which accepts contribu-
State to qualify himself for nomina- tions, or makes expenditures, for the
tion for election, or election, to Fed- purpose of supporting a candidate or
eral office; or (b) received contribu- candidates for nomination for election,
tions or made expenditures, or given or election, to Federal office.
his consent for any other person to re- Transportation means (a) the carriage
ceive contributions or make expendi- of persons or property (including serv-
tures, with a view to bringing about his ices connected therewith) for com-
nomination for election, or election, to pensation or hire to or from any place
such office. in the United States, or (b) the lease or
Election shall have reference to (a) a rental of aircraft, with or without
general, special, primary, or runoff crew.
election; (b) a convention or caucus of [SPR–53, 37 FR 9388, May 10, 1972, as amended
a political party held to nominate a by SPR–173, 45 FR 80099, Dec. 3, 1980]
candidate; (c) a primary election held
for the selection of delegates to a na- § 374a.4 Conditions governing exten-
tional nominating convention of a po- sion of unsecured credit.
litical party; or (d) a primary election (a) Unless adequate security is post-
held for the expression of a preference ed, or full payment in advance is made,

384
Office of the Secretary, DOT § 374a.6
no air carrier shall provide transpor- candidate to assume liability to the
tation to any person it knows, or has carrier for credit so extended.
reasons to know, is a candidate or a (ii) Within 7 days after indebtedness
person acting on behalf of such can- becomes overdue for any unsecured
didate, in connection with the cam- credit extended by an air carrier to a
paign of such candidate, except in ac- person acting on behalf of a candidate
cordance with, and subject to, the fol- in accordance with paragraph (a)(5)(i)
lowing conditions: of this section, the carrier shall notify
(1) At least once a month the air car- the candidate in writing of the amount
rier shall submit to each such can- of the overdue indebtedness, and, un-
didate or person a statement covering less paid in full within 25 days after the
all unsecured credit extended to such date of such notice, the overdue indebt-
candidate or person, as the case may be edness shall be deemed to be the over-
(whether in connection with the cam- due indebtedness of the candidate, for
paign of such candidate or otherwise.) the purposes of paragraph (b)(4)(i) of
(2) Such statements shall be mailed this section.
no later than the second business day (b) It shall be presumed that a can-
following the last day of the billing pe- didate or person acting on behalf of a
riod, covered by the statement. candidate intends to use transpor-
(3) The amount of indebtedness tation in connection with the cam-
shown on each such statement shall be paign of such candidate for nomination
payable in full no later than 25 days for election, or election, to Federal of-
after the last day of the billing period, fice.
after which time the indebtedness shall (Secs. 204, 407 of the Federal Aviation Act of
be overdue. 1958, as amended, 72 Stat. 743, 766; 49 U.S.C.
(4)(i) Unsecured credit shall not be 1324, 1377. Sec. 401 of the Federal Election
extended by an air carrier to a can- Campaign Act of 1971, 86 Stat. 19, 2 U.S.C.
didate, or to any person acting on his 451)
behalf in connection with the campaign [SPR–53, 37 FR 9388, May 10, 1972, as amended
of such candidate, so long as any over- by SPR–169, 45 FR 25796, Apr. 16, 1980; SPR–
due indebtedness of such candidate to 172, 45 FR 53454, Aug. 12, 1980]
such air carrier shall remain unpaid, in
whole or in part, or so long as such air § 374a.5 Exemption authority.
carrier shall know that any overdue in- Air carriers are exempt from the fol-
debtedness of such candidate to any lowing provisions of Title IV of the
other air carrier remains unpaid, in Federal Aviation Act of 1958, as amend-
whole or in part. ed: (a) Section 403, (b) section 404(b),
(ii) Unsecured credit shall not be ex- and any and all other provisions of
tended by an air carrier to a person Title IV of the Federal Aviation Act of
acting on behalf of a candidate, for 1958, as amended, to the extent nec-
transportation in connection with the essary to enable air carriers to comply
campaign of such candidate, so long as with the provisions of this part.
any overdue indebtedness of such per-
son to such carrier shall remain un- § 374a.6 Reporting requirements.
paid, in whole or in part, or so long as (a) Air carriers shall make monthly
such air carrier shall know that any reports to the Bureau of Transpor-
overdue indebtedness of such person to tation Statistics with respect to the
any other air carrier remains unpaid, credit for transportation furnished to
in whole or in part. candidates, or persons acting on behalf
(5)(i) With respect to transportation of candidates, during the period from 6
in connection with the campaign of months before nomination, if any, or
any candidate to be performed after from 6 months before election, until
June 1, 1972, unsecured credit shall not the date of election. After that 6-
be extended by an air carrier to any month period, air carriers shall file
person acting on behalf of such can- such a report with the Bureau of Trans-
didate unless the carrier is authorized portation Statistics not later than the
in writing by such candidate to extend 20th day following the end of the cal-
such credit. The foregoing sentence endar month in which the election or
shall not be construed as requiring the nomination takes place, and thereafter

385
§ 374a.7 14 CFR Ch. II (1–1–19 Edition)
when any change occurs in that report, Office of Airline Information not later
until a negative report is filed showing than the 20th day following the end of
that no debt for such extension of cred- the calendar month to which the report
it is owed to the carrier. pertains and shall include (1) the credit
(b)(1) A separate report shall be filed limitation established for such person;
for each candidate with an aggregate (2) the balance, if any, of the amount
indebtedness balance of over $5,000 on payable for transportation not paid for
the last day of the month to which the in advance; (3) any unpaid balance of
report pertains. The report shall cover the charges for such transportation as
all debts incurred by the candidate, of the last day of the month covered by
whether or not incurred in connection the report, and the length of time that
with his campaign, and all debts in- such balance has remained unpaid; and
curred by persons acting on his behalf (4) a description of the type and value
in connection with such campaign. The of any bond, collateral, or other secu-
indebtedness accounts reported shall be rity securing such unpaid balance.
those which the air carrier knows, or [SPR–53, 37 FR 9388, May 10, 1972, as amended
has reason to know, have been incurred by SPR–190, 47 FR 32414, July 27, 1982; 60 FR
by or on behalf of a candidate; and it 66726, Dec. 26, 1995]
shall be presumed that the transpor-
tation for which the indebtedness has § 374a.7 Record retention require-
been incurred is intended to be used in ments.
connection with the campaign of such (a) Every air carrier subject to the
candidate for nomination for election, part shall retain for 2 years after a
or election, to Federal office. Federal election true copies of the fol-
(2) The reports required by this para- lowing documents at its principal or
graph (b) shall be filed with the Office general office in the United States:
of Airline Information not later than (1) All documents which evidence or
the 20th day following the end of the reflect the furnishing of transportation
calendar month to which the report to a candidate for political office or a
pertains. They shall include the fol- person acting on his behalf;
lowing data: (i) Name of account; (ii) (2) All statements, invoices, bills, and
the credit limit established for such ac- receipts with respect to the furnishing
count; (iii) the balance, if any, of the of such transportation referred to in
amount payable for transportation not paragraph (a)(1) of this section.
paid for in advance; (iv) any unpaid (b) Every air carrier shall make the
balance of the charges for such trans- documents listed in this section avail-
portation as of the last day of the able in the United States upon request
month covered by the report, and the by an authorized representative of the
length of time that such balance has DOT and shall permit such representa-
remained unpaid; and (v) a description tive to make such notes and copies
of the type and value of any bond, col- thereof as he deems appropriate.
lateral, or other security securing such [SPR–53, 37 FR 9388, May 10, 1972, as amended
unpaid balance. at 60 FR 66726, Dec. 26, 1995]
(3) The report required by this para-
graph (b) shall be in the form attached § 374a.8 Prospective application of
hereto as appendix A. 1 part.
(c) A separate report shall be filed for The provisions of this part shall
each person acting on behalf of any apply only to the extension of credit by
candidate, if the aggregate indebted- an air carrier to a candidate, or to a
ness balance of such person to the re- person acting on his behalf, which is
porting air carrier (including all debts made subsequent to the effective date
incurred by such person, whether or of this part, and shall not be applicable
not incurred in connection with the to debts incurred prior to such date but
campaign of a candidate, as defined in which are unpaid as of the effective
this part) is over $5,000 on the last day date of this part. The provisions of this
of the month to which the report per- part will be applicable, however, to all
tains. The report shall be filed with the credit transactions which occur subse-
quent to the effective date of the part
1 Filed as part of the original document. even though the credit account in

386
Office of the Secretary, DOT § 375.1
which the transaction takes place was 375.45 Records and reports of occasional
opened prior to the effective date of planeload charters.
the part.
Subpart F—Transit Flights.
PART 375—NAVIGATION OF FOR- 375.50 Transit flights; scheduled inter-
EIGN CIVIL AIRCRAFT WITHIN THE national air service operations.
UNITED STATES
Subpart G—Penalties
Subpart A—General 375.60 Penalties.
Sec.
375.1 Definitions. Subpart H—Special Authorization
375.2 Applicability.
375.70 Special authorization.
375.3 [Reserved]
APPENDIX A TO PART 375—FORM 4509
Subpart B—Authorization AUTHORITY: 49 U.S.C. 40102, 40103, and 41703.
375.10 Certain foreign civil aircraft reg- SOURCE: OST Doc. No. 42547, 51 FR 7254,
istered in ICAO member states. Mar. 3, 1986, unless otherwise noted.
375.11 Other foreign civil aircraft.

Subpart C—Rules Generally Applicable Subpart A—General

375.19 Nature of privilege conferred. § 375.1 Definitions.
375.20 Airworthiness and registration cer-
tificates. As used in this part:
375.21 Airmen. Act means the Federal Aviation Act
375.22 Flight operations. of 1958, as amended;
375.23 Maximum allowable weights.
Air transportation means the carriage
375.24 Entry and clearance.
375.25 Unauthorized operations. by aircraft of persons or property as a
375.26 Waiver of sovereign immunity. common carrier for compensation or
hire or the carriage of mail by aircraft
Subpart D—Authorized Operations in interstate, overseas, or foreign com-
merce (see section 101 (10) and (23) of
375.30 Operations other than commercial air
the Federal Aviation Act, 49 U.S.C.
operations.
375.31 Demonstration flights of foreign air- 1301);
craft. Category shall indicate a classifica-
375.32 Flights incidental to agricultural and tion of aircraft such as airplane, heli-
industrial operations outside the United copter, glider, etc.;
States. Commercial air operations shall mean
375.33 Transit flights, irregular operations. operations by foreign civil aircraft en-
375.34 Indoctrination training.
375.35 Free transportation.
gaged in flights for the purpose of crop
375.36 Lease of foreign civil aircraft without dusting, pest control, pipeline patrol,
crew. mapping, surveying, banner towing,
375.37 Certain business aviation activities skywriting, or similar agricultural and
using U.S.-registered foreign civil air- industrial operations performed in the
craft. United States, and any operations for
375.38 Other foreign civil aircraft: Small un- remuneration or hire to, from or with-
manned aircraft operated exclusively as in the United States including air car-
model aircraft.
riage involving the discharging or tak-
Subpart E—Operations Requiring Specific ing on of passengers or cargo at one or
Preflight Authorization of Filing more points in the United States, in-
cluding carriage of cargo for the opera-
375.40 Permits for commercial air oper- tor’s own account if the cargo is to be
ations. resold or otherwise used in the further-
375.41 Agricultural and industrial oper- ance of a business other than the busi-
ations within the United States.
ness of providing carriage by aircraft,
375.42 Transport operations—occasional
planeload charters. but excluding operations pursuant to
375.43 Application for foreign aircraft per- foreign air carrier permits issued under
mit. 49 U.S.C. 41301, exemptions, and all
375.44 Issuance of permit. other operations in air transportation.

387
§ 375.2 14 CFR Ch. II (1–1–19 Edition)
Exemption means an exemption grant- § 375.3 [Reserved]
ed, under section 416(b) of the Act, au-
thorizing air transportation by a for- Subpart B—Authorization
eign air carrier;
Foreign air carrier permit means a per- § 375.10 Certain foreign civil aircraft
mit authorizing foreign air transpor- registered in ICAO member states.
tation by a foreign air carrier pursuant Subject to the observance of the ap-
to section 402 of the Act; plicable rules, conditions, and limita-
Foreign aircraft permit means a permit tions set forth in this part:
authorizing navigation of foreign civil (a) Foreign civil aircraft manufac-
aircraft in the United States pursuant tured in a State that at the time of
to section 1108(b) of the Act and this manufacture was a member of the
part; International Civil Aviation Organiza-
Foreign civil aircraft means (a) an air- tion (ICAO), and registered in a State
craft of foreign registry that is not that at the time of flight is a member
part of the armed forces of a foreign of ICAO, may be navigated in the
nation, or (b) a U.S.-registered aircraft United States;
owned, controlled or operated by per- (b) Foreign civil aircraft manufac-
sons who are not citizens or permanent tured in a State that at the time of
residents of the United States; manufacture was not a member of
Stop for non-traffic purposes means a ICAO, and registered in a State that at
landing for any purpose other than the time of flight is a member of ICAO,
taking on or discharging passengers, may be navigated in the United States,
cargo or mail, and does not include (1) If the State of registry has noti-
landings for embarking or dis- fied ICAO that the requirements under
embarking stopover passengers or which it issues or renders valid certifi-
transshipped cargo or mail, or for other cates of airworthiness are equal to or
than strictly operational purposes. above the minimum standards estab-
lished pursuant to the Chicago Conven-
Type means all aircraft of the same
tion, or
basic design including all modifica-
(2) If such notification has not been
tions thereto except those modifica-
made to ICAO at the time of flight,
tions that result in a change in han-
there is on file with the Department a
dling or flight characteristics. statement by the State of registry
[OST Doc. No. 42547, 51 FR 7254, Mar. 3, 1986, that, with regard to aircraft of the
as amended at 71 FR 15328, Mar. 28, 2006] type that is proposed to be operated
hereunder, the requirements under
§ 375.2 Applicability. which certificates of airworthiness are
The provisions of this part regulate issued or rendered valid are equal to or
the admission to, and navigation in, above the minimum standards estab-
the United States of foreign civil air- lished pursuant to the Chicago Conven-
tion.
craft other than aircraft operated
under authority contained in a foreign § 375.11 Other foreign civil aircraft.
air carrier permit or exemption. This
part also contains provisions that A foreign civil aircraft, including un-
specify the extent to which certain manned aircraft as defined in § 1.1 of
classes of flight operations by foreign this title, other than those referred to
civil aircraft may be conducted, and in § 375.10 may be navigated in the
United States only when:
the terms and conditions applicable to
such operations. Nothing in this part (a) The operation is authorized by
the Department under the provisions of
shall authorize any foreign civil air-
this part, and
craft to engage in air transportation
(b) The aircraft complies with any
nor be deemed to provide for such au-
applicable airworthiness standards of
thorization by the Department.
the Federal Aviation Administration
for its operation.
[80 FR 78648, Dec. 16, 2015]

388
Office of the Secretary, DOT § 375.26

Subpart C—Rules Generally to perform their assigned functions in

Applicable the aircraft and for the operation in-
volved issued or rendered valid by the
§ 375.19 Nature of privilege conferred. country of registry of the aircraft or by
The provisions of this part, and of the United States. No such flight crew
any permit issued hereunder, together members shall perform any flight duty
with section 1108(b) of the Act, are de- within the United States that they are
signed, among other purposes, to carry not currently authorized to perform in
out the international undertakings of the country issuing or validating the
the United States in the Chicago Con- certificate.
vention, in particular Article 5. That
article gives foreign aircraft the privi- § 375.22 Flight operations.
lege of ‘‘taking on or discharging pas- Flights of foreign civil aircraft in the
sengers, cargo or mail’’ subject to the United States shall be conducted in ac-
right of the State where such embar- cordance with the currently applicable
kation or discharge takes place to im-
rules of the Federal Aviation Adminis-
pose such regulations, conditions or
limitations as it may consider desir- tration.
able. The U.S. Congress by the 1953
§ 375.23 Maximum allowable weights.
amendment to section 6 of the Air
Commerce Act of 1926, now designated Foreign civil aircraft that are per-
as section 1108(b) of the Act, authorizes mitted to navigate in the United
the Department to permit such oper- States on the basis of foreign air-
ations only where conditions of reci- worthiness certificates must conform
procity and the interest of the public to the limitations on maximum certifi-
in the United States are met. Thus, the cated weights prescribed or authorized
operator of any foreign registered air- for the particular variation of the air-
craft is not entitled as a matter of craft type, and for the particular cat-
right to the issuance, renewal or free- egory of use, by the country of manu-
dom from modification or change in a facture of the aircraft type involved.
permit issuable pursuant to this au-
thority. Accordingly, any authority § 375.24 Entry and clearance.
conferred by this part may be withheld,
revoked, amended, modified, restricted, All U.S. entry and clearance require-
suspended, withdrawn, or canceled by ments for aircraft, passengers, crews,
the Department in the interest of the baggage and cargo shall be followed.
public of the United States, without
notice or hearing. § 375.25 Unauthorized operations.
No foreign civil aircraft shall be
§ 375.20 Airworthiness and registra- navigated in the United States unless
tion certificates.
authorized by this part. Commercial
Foreign civil aircraft shall carry cur- air operations (other than those au-
rently effective certificates of registra- thorized by § 375.36) shall not be under-
tion and airworthiness issued or ren- taken without a permit issued by the
dered valid by the country of registry
Department.
and shall display the nationality and
registration markings of that country. § 375.26 Waiver of sovereign immunity.
However, a foreign civil aircraft may
carry, in lieu of such certificate of air- Owners and operators of aircraft op-
worthiness, an effective special flight erated under this part that are engaged
authorization issued by the Federal in proprietary of commercial activities
Aviation Administration for the oper- waive any defense of sovereign immu-
ations being performed. nity from suit in any action or pro-
ceeding instituted against any of them
§ 375.21 Airmen. in any court or other tribunal in the
Members of the flight crew of a for- United States for any claim relating to
eign civil aircraft shall have in their that operation.
personal possession valid airman cer-
tificates or licenses authorizing them

389
§ 375.30 14 CFR Ch. II (1–1–19 Edition)

Subpart D—Authorized Operations § 375.34 Indoctrination training.

Foreign civil aircraft may be oper-
§ 375.30 Operations other than com- ated in the United States for the pur-
mercial air operations.
pose of giving indoctrination training
Foreign civil aircraft that are not en- in the operation of the aircraft con-
gaged in commercial air operations cerned to a buyer or a buyer’s employ-
into, out of, or within the United ees or designees. This section does not,
States may be operated in the United however, authorize foreign civil air-
States and may carry non-revenue traf- craft to be used within the United
fic to, from or between points in the States for the purpose of flight instruc-
United States. tion for remuneration or hire.
§ 375.31 Demonstration flights of for- § 375.35 Free transportation.
eign aircraft.
(a) Foreign civil aircraft may be
Flights of foreign civil aircraft with- navigated in the United States by a
in the United States may be made for foreign air carrier for the transpor-
the purpose of demonstration of the tation of persons and property specified
aircraft or any component thereof (in- in paragraph (b) of this section over
cluding demonstrations at airshows), the following non-traffic segments pro-
provided no persons, cargo or mail are vided such transportation is not for
carried for remuneration or hire. compensation or hire:
(1) Between two or more points in the
§ 375.32 Flights incidental to agricul-
tural and industrial operations out- United States;
side the United States. (2) Between a point in the United
States named in the carrier’s section
Foreign civil aircraft that are en- 402 permit or exemption, and a point
gaged in agricultural or industrial op- outside the United States not so
erations to be performed wholly out- named, when authorized in accordance
side the United States may be navi- with the provisions of part 216 of this
gated into, out of, and within the
chapter to carry blind sector traffic to
United States in connection with those
or from such unnamed foreign point;
operations provided that the aircraft is
and
not at the time engaged in the carriage
of passengers, cargo, or mail for remu- (3) Between a point in the United
neration or hire. States and a point outside thereof
when the carrier lands at the United
§ 375.33 Transit flights, irregular oper- States point for non-traffic purposes in
ations. exercise of the privilege granted under
the International Air Services Transit
Foreign civil aircraft carrying pas-
Agreement.
sengers, property or mail for remunera-
(b) Free transportation may be pro-
tion or hire, but not engaged in sched-
vided under this section for the fol-
uled international air services, are au-
thorized to navigate nonstop across the lowing categories of persons and prop-
territory of the United States and to erty:
make stops for non-traffic purposes. (1) Directors, officers and employees,
The navigation of foreign civil aircraft and their parents and immediate fami-
in the United States is not authorized lies, of the foreign air carrier operating
under this section when the elapsed the aircraft;
time between landing and takeoff at a (2) Directors, officers and employees,
stop in the United States exceeds 24 and their parents and immediate fami-
hours and passengers are permitted to lies, of an air carrier or another foreign
leave the airport or when passengers, air carrier traveling pursuant to a pass
property or mail are transferred to an- interchange arrangement;
other aircraft. Flights involving stops (3) Travel agents being transported
under such circumstances may, how- for the purpose of familiarizing them-
ever, be performed in the case of emer- selves with the carrier’s services, if the
gency relating to the safey of the air- agents are under no obligation to sell
craft, passengers, cargo or crew. the transporting carrier’s services;

390
Office of the Secretary, DOT § 375.37
(4) Witnesses and attorneys attending ations for a subsidiary or parent or a
any legal investigation in which any subsidiary of its parent on a fully-allo-
such foreign air carrier is involved; cated cost reimbursable basis; pro-
(5) Persons injured in aircraft acci- vided, that the operator of the U.S.-
dents and physicians and nurses at- registered foreign civil aircraft must
tending such persons; hold majority ownership in, be major-
(6) Any persons or property with the ity owned by, or have a common parent
object of providing relief in cases of with, the company for which it pro-
general epidemic, natural disaster or vides operations;
other catastrophe; (b) Interchange operations. A company
(7) Any person who has the duty of may lease a U.S.-registered foreign
guarding foreign government officials civil aircraft to another company in
travelling on official business; and exchange for equal time when needed
(8) Guests of a foreign air carrier (in- on the other company’s U.S. registered
cluding members of the press) on deliv- aircraft, where no charge, assessment,
ery flights of newly-acquired or newly- or fee is made, except that a charge
renovated aircraft. may be made not to exceed the dif-
(c) A charge reasonably related to ference between the cost of owning, op-
the value of meals and beverages fur- erating, and maintaining the two air-
nished enroute shall not be deemed to craft;
constitute compensation or hire for (c) Joint ownership operations. A com-
purposes of this section. pany that jointly owns a U.S.-reg-
istered foreign civil aircraft and fur-
§ 375.36 Lease of foreign civil aircraft nishes the flight crew for that aircraft
without crew. may collect from the other joint own-
Foreign civil aircraft that are leased ers of that aircraft a share of the ac-
without crew to an air carrier or cit- tual costs involved in the operation of
izen or permanent resident of the the aircraft; and
United States, and used by the lessee (d) Time-sharing operations. A com-
in otherwise authorized air transpor- pany may lease a U.S.-registered for-
tation or commercial air operations, eign civil aircraft, with crew, to an-
may be operated into, out of, and with- other company; provided, that the op-
in the United States in accordance erator may collect no charge for the
with any applicable regulations pre- operation of the aircraft except reim-
scribed by the Federal Aviation Admin- bursement for:
istration. (1) Fuel, oil, lubricants, and other ad-
ditives.
§ 375.37 Certain business aviation ac-
tivities using U.S.-registered foreign (2) Travel expenses of the crew, in-
civil aircraft. cluding food, lodging, and ground
transportation.
For purposes of this section, ‘‘com- (3) Hanger and tie-down costs away
pany’’ is defined as a person that oper- from the aircraft’s base of operations.
ates civil aircraft in furtherance of a (4) Insurance obtained for the specific
business other than air transportation.
flight.
U.S.-registered foreign civil aircraft
(5) Landing fees, airport taxes, and
that are not otherwise engaged in com-
similar assessments.
mercial air operations, or foreign air
(6) Customs, foreign permit, and
transportation, and which are operated
similar fees directly related to the
by a company in the furtherance of a
flight.
business other than transportation by
(7) In flight food and beverages.
air, when the carriage is within the
scope of, and incidental to, the busi- (8) Passenger ground transportation.
ness of the company (other than trans- (9) Flight planning and weather con-
portation by air), may be operated to, tract services.
from, and within the United States as (10) An additional charge equal to 100
follows: percent of the expenses for fuel, oil, lu-
(a) Intra-company operations. A com- bricants, and other additives.
pany operating a U.S.-registered for- [Doc. No. DOT–OST–2003–15511, 71 FR 15328,
eign civil aircraft may conduct oper- Mar. 28, 2006]

391
§ 375.38 14 CFR Ch. II (1–1–19 Edition)

§ 375.38 Other foreign civil aircraft: § 375.41 Agricultural and industrial

Small unmanned aircraft operated operations within the United
exclusively as model aircraft. States.
Foreign civil aircraft that are small Foreign civil aircraft shall not be
unmanned aircraft used exclusively as used for such commercial air oper-
model aircraft may be operated in the ations as crop dusting, pest control,
United States only when the indi- pipeline patrol, mapping, surveying,
vidual: banner towing, skywriting or similar
(a) Completes the registration proc- agricultural or industrial operations
ess in accordance with §§ 48.30, 48.100(b) within the United States, including its
and (c), 48.105, and 48.115 of this title; territorial waters and overlying air-
(b) Identifies the aircraft in accord- space, unless a permit has been issued
ance with the aircraft marking require- by the Department and the operation is
ments in §§ 48.200 and 48.205 of this title; conducted in accordance with all appli-
and cable State and local laws and regula-
(c) Complies with the requirements tions as well as the applicable provi-
of Sec. 336 of Pub. L. 112–95 (Feb. 14, sions of this part.
2012).
[80 FR 78648, Dec. 16, 2015] § 375.42 Transport operations—occa-
sional planeload charters.
Subpart E—Operations Requiring Occasional planeload charters may be
Specific Preflight Authorization authorized where, because of their lim-
of Filing ited nature and extent, special equip-
ment or facilities utilized, or other cir-
§ 375.40 Permits for commercial air op- cumstances pertaining to them, it ap-
erations. pears that they are not within the
(a) Permit required. Except for aircraft scope of the applicant’s normal holding
being operated under a foreign air car- out of transportation services to the
rier permit, an exemption, or as other- general public. Such charters are nor-
wise provided in subpart D or H of this mally limited to those in which the en-
part, foreign civil aircraft may engage tire capacity of the aircraft is engaged
in commercial air operations only if by a single charterer, and since they
there is carried on board the aircraft a are occasional in nature, should not ex-
permit issued by the Department in ac- ceed for any one applicant more than
cordance with this subpart authorizing six flights during a calendar year. This
the operations involved. part does not authorize operations that
(b) Aircraft are not authorized to en- involve solicitation of the general pub-
gage in air transportation under this lic such as is usually involved in the
section. Where an operation involves transportation of individually-ticketed
the carriage of persons, property or passengers or individually-waybilled
mail for compensation or hire, the De- cargo, or in which the charterer is a
partment will determine whether par- travel agent, a charter operator, a
ticular flights for which a permit is broker, an air freight forwarder or any
sought will be in common carriage, and other organization that holds itself out
therefore in air transportation, based to the general public to provide trans-
on all the facts and circumstances sur- portation services. Carriage of cargo
rounding the applicant’s entire oper- for the operator’s own account is gov-
ations. The burden rests upon the ap- erned by the provisions of this section
plicant in each instance to dem- if the cargo is to be resold or otherwise
onstrate by an appropriate factual used in the furtherance of a business
showing that the contemplated oper- other than the business of providing
ation will not constitute common car- carriage by aircraft.
riage from, to or within the United
States. In general, an applicant that § 375.43 Application for foreign air-
craft permit.
holds itself out to the public, or to a
particular class or segment, as willing (a) Applications for foreign aircraft
to furnish transportation for hire is a permits shall be submitted on OST
common carrier. Form 4509, (Appendix A), in duplicate,

392
Office of the Secretary, DOT § 375.45
addressed to the Chief, Discrete Oper- (e)(1) Unless otherwise ordered by the
ations Branch, Licensing Division, P– Department, each application and
45, Office of Aviation Operations. Upon memorandum filed in response shall be
a showing of good cause, applications available for public inspection at the
may be made by telegram or by tele- Licensing Division of the Office of
phone. Aviation Operations immediately upon
(b) Applications shall contain a prop- filing. Notice of the filing of all appli-
er identification (including citizenship) cations shall be published in the De-
of the applicant (the operator of the partment’s Weekly List of Applications
aircraft concerned) and of the owner Filed.
thereof (if different from the appli- (2) Any person objecting to public
cant), a description of the aircraft by disclosure of any information in an ap-
make, model, and registration marks; plication or memorandum must state
and a full description of the operations the grounds for the objection in writ-
for which authority is desired, indi- ing. If the Department finds that dis-
cating type and dates of operations and closure of all or part of the information
number of flights, and routing. In the should be withheld under applicable
case of cargo flights, the names of all provisions of law, and the public inter-
contractors, agents, if any, and the est does not require disclosure, it will
beneficial owner of the cargo, and a de-
order that the injurious information be
scription of the cargo and of the pro-
withheld.
posed operations shall be provided. In
the case of passenger flights, a full (Approved by the Office of Management and
identification and description of the Budget under control number 2106–0002)
group chartering the aircraft, and iden-
tification of the travel agent, if any, § 375.44 Issuance of permit.
shall be provided. Applications shall (a) The Department will issue a for-
also contain a statement as to whether eign aircraft permit if it finds that the
the applicant’s homeland allows opera- proposed operations meet the require-
tors of U.S.-registered aircraft to con- ments of this part and are in the public
duct similar operations. interest. Foreign aircraft permits may
(c) Applications shall be filed at least be conditioned or limited by the De-
15 days in advance of the proposed com- partment. Permits must be carried
mencement date of the operations. The aboard the applicant’s aircraft during
Department may direct the applicant flight over U.S. territory, and are not
to serve copies of its application on ad- transferable.
ditional persons. Late applications (b) In determining whether to grant a
may be considered by the Department particular application, the Department
upon a showing of good cause. will consider, among other factors, the
(d)(1) Any party in interest may file extent to which the country of the ap-
a memorandum supporting or opposing
plicant’s nationality deals with U.S.
an application. Two copies of each
civil aircraft operators on the basis of
memorandum shall be filed within 7
substantial reciprocity, and whether
business days after the application is
the operation is otherwise in the public
filed but no later than the proposed
interest.
commencement date of the operations.
Memoranda will be considered to the § 375.45 Records and reports of occa-
extent practicable; the Department sional planeload charters.
may act on an application without
waiting for supporting or opposing (a) Cargo documents. The holder of a
memoranda to be filed. permit for cargo operations shall issue
(2) Each memorandum shall set forth a manifest or shipping document to its
the reasons why the applications shipper with respect to each shipment.
should be granted or denied, accom- (b) [Reserved]
panied by whatever data, including af- (c) Contents of documents for passenger
fidavits, the Department is asked to flights. The holder of a permit for pas-
consider. senger charters originating or termi-
(3) A copy of each memorandum shall nating in the United States shall re-
be served on the applicant. quire each charterer to file with it

393
§ 375.50 14 CFR Ch. II (1–1–19 Edition)
prior to flight a list of names and ad- than the country of organization or
dresses of all passengers to be trans- citizenship, the nature and extent of
ported on each flight. such interest must be fully disclosed. If
(d) Reports of unused authority. All any officer or director of the operator
foreign operators of occasional plane- or carrier offering the services is a na-
load charters for which authority is tional of a country other than the
granted must notify the Department, country of organization or citizenship,
in writing, not later than 15 days after the position of duties of such officer or
the expiration of their permits, or their director, and the officer and director’s
failure to use this authority. The un-
relevant position in relation to other
used authority shall otherwise be
officers and directors must similarly be
deemed to have been exercised.
fully disclosed. If the information re-
quired in this subsection has been pre-
Subpart F—Transit Flights viously supplied to the Department,
§ 375.50 Transit flights; scheduled the applicant may incorporate it by
international air service operations. reference.
(a) Requirement of notice. Scheduled (2) The State of registration of the
international air services proposed to aircraft proposed to be operated.
be operated pursuant to the Inter- (3) A full description of the proposed
national Air Services Transit Agree- operations including the type of oper-
ment in transit across the United ations (passenger, property, mail, or
States may not be undertaken by for- combination), date of commencement,
eign civil aircraft unless the operator duration and frequency of flights, and
of such aircraft, and (if other than the routing (including each terminal and
operator) the carrier offering such intermediate point to be served).
service to the public, has, not less than (4) A statement as to whether or not
30 days prior to the date of commence- any advertisement or publication of
ment of such service, filed a Notice of the proposed operations has been made
Proposed Transit Flights Pursuant to in the United States. If there has been
the International Air Services Transit any advertisement or publication of
Agreement in accordance with the pro- the operations in the United States,
visions of paragraphs (b) and (c) of this copies of all such advertisements or
section. publications shall be included.
(b) Filing of the notice. An original
(5) Any change with respect to these
and two copies of the Notice shall be
matters (minor changes in schedules or
filed with the Chief, Discrete Oper-
ations Branch, Licensing Division, P– routing excepted) shall also be filed
45, Office of Aviation Operations. Cop- with the Department.
ies of the Notice shall be served upon (d) Authorized operations. If the oper-
the Department of State and the Ad- ator and the carrier offering services to
ministrator of the Federal Aviation the public (if different from the oper-
Administration. The filing date shall ator) have filed a ‘‘Notice of Proposed
be the date of actual receipt by the De- Transit Flights Pursuant to the Inter-
partment. national Air Services Transit Agree-
(c) Content of notice. A ‘‘Notice of ment,’’ at least 30 days before the date
Proposed Transit Flights Pursuant to of commencement of the proposed op-
the International Air Services Transit erations in accordance with paragraphs
Agreement’’ shall be clearly labeled as (a), (b), and (c) of this section, the de-
such, and as a minimum shall set forth, scribed operations may be commenced
with whatever detail may be necessary, and performed without further author-
the following information: ization from the Department, unless
(1) The name, country or organiza- and until the Department issues an
tion, and citizenship of the operator, order notifying the operator and/or the
and, if other than the operator, of the carrier offering the services to the pub-
carrier offering the services to the pub- lic that, considering the matters sub-
lic. If any interest (direct or indirect) mitted in the Notice, the Department
in the operator or offeror of services is is of the view that a question may exist
held by nationals of a country other as to whether:

394
Office of the Secretary, DOT § 375.60
(1) The proposed services are author- stitute air transportation within the
ized pursuant to the terms of the Inter- meaning of the Federal Aviation Act.
national Air Services Transit Agree- In addition, each operator and carrier
ment; has the burden of demonstrating that
(2) Substantial ownership and effec- the proposed operations are authorized
tive control are vested in nationals of a by the International Air Services Tran-
State party to the International Air sit Agreement, and that the appro-
Services Transit Agreement; priate authorization should not be
(3) The proposed operations will be in withheld pursuant to section 5 of Arti-
compliance with the laws of the United cle I thereof. Stopovers for the conven-
States, the Department’s rules, or the ience or pleasure of the passengers are
provisions of this section; or not authorized under this section and
(4) The operator or its government stops other than for strictly oper-
have performed their obligations under ational reasons shall not be made. The
the International Air Services Transit consolidation on the same aircraft of
Agreement. an operation under this section with a
(e) Prohibited operations. If the De- service authorized under section 402 or
partment issues an order of notifica-
416(b) of the Act is not authorized by
tion as described in paragraph (d) of
this section. Any authorization or per-
this section, neither the operator, nor
mit granted under this section is non-
the carrier offering the services to the
public, shall commence the proposed transferable, and may be withheld, re-
operations, or, except as may be other- voked, suspended, withdrawn, or can-
wise specified in the order, operate any celled by the Department, without no-
flights subsequent to receipt of the tice or hearing, if required by the pub-
order, unless and until the Department lic interest. Operators of aircraft reg-
issues a foreign aircraft permit pursu- istered in countries not parties to the
ant to the provisions of section 1108(b) International Air Services Transit
of the Act and this part specifically au- Agreement shall make special applica-
thorizing such operations. tion to the Department under § 375.70.
(f) Foreign aircraft permit—application
and procedures. If the Department Subpart G—Penalties
issues an Order of Notification as de-
scribed in paragraph (d) of this section, § 375.60 Penalties.
the carrier’s Notice of Proposed Tran- The operation of a foreign aircraft
sit Flights Pursuant to the Inter- within the United States or over adja-
national Air Services Transit Agree- cent territorial waters in violation of
ment shall be treated as an application
the provisions of this part constitutes
for the required foreign aircraft per-
a violation of the Federal Aviation Act
mit, and further procedures on such ap-
and of this chapter, and may, in addi-
plication shall be as directed by the
tion, constitute a violation of the rules
Department.
of the Federal Aviation Administra-
(g) Short notice filing. Nothing in this
section shall be construed as pre- tion. Such operation makes the person
cluding the filing of an application for or persons responsible for the violation
a foreign aircraft permit to perform or violations subject to a civil penalty
transit operations pursuant to the as provided in section 901 of the Act,
International Air Services Transit and to the alteration, amendment,
Agreement less than 30 days in advance modification, suspension or revocation
of the proposed operation. No such of any permit issued under this part
flights shall be operated, however, un- and of any U.S. certificate involved as
less or until a specific foreign aircraft provided in section 609 of the Act. En-
permit has been issued by the Depart- gaging in air transportation as defined
ment. in the Act by a foreign aircraft without
(h) Nature of privilege conferred. Air a foreign air carrier permit issued pur-
transportation is not authorized under suant to section 402 of the Act or an ex-
this section, and the burden rests upon emption, or in violation of the terms of
each operator and carrier to show that such authority constitutes not only a
the proposed operations will not con- violation of this part but of title IV of

395
§ 375.70 14 CFR Ch. II (1–1–19 Edition)
the Act as well, which entails a crimi- of flights. Such authorization may be
nal penalty as set forth in section 902 issued only if the Department finds
of the Act. that the proposed operation is fully
consistent with the applicable law,
Subpart H—Special Authorization that the applicant’s homeland grants a
similar privilege with respect to opera-
§ 375.70 Special authorization. tors of U.S.-registered aircraft, and
Any person desiring to navigate a that the proposed operation is in the
foreign civil aircraft within the United interest of the public of the United
States other than as specifically pro- States.
vided in this part may petition the De-
partment for a special authorization to
conduct the particular flight or series

396
Office of the Secretary, DOT Pt. 375, App. A
APPENDIX A TO PART 375—FORM 4509

397
Pt. 375, App. A 14 CFR Ch. II (1–1–19 Edition)

398
Office of the Secretary, DOT § 377.4

PART 377—CONTINUANCE OF EX- § 377.2 Applicability of part.

PIRED AUTHORIZATIONS BY OP- (a) This part implements the last
ERATION OF LAW PENDING sentence of 5 U.S.C. 558(c) with regard
FINAL DETERMINATION OF APPLI- to temporary authorizations granted
by the Board.
CATIONS FOR RENEWAL THERE-
OF NOTE: The last sentence of 5 U.S.C. 558(c)
provides: ‘‘When the licensee has made time-
ly and sufficient application for a renewal or
Subpart A—General Provisions a new license in accordance with agency
Sec. rules, a license with reference to an activity
of a continuing nature does not expire until
377.1 Definitions.
the application has been finally determined
377.2 Applicability of part. by the agency.’’
377.3 Authorizations not covered by 5 U.S.C.
558(c). (b) Nothing in this part prevents the
377.4 Certain authorizations with alter- Board from terminating at any time, in
native termination dates. accordance with law, any authorization
377.5 Procedure to obtain Board interpreta- or any extension of an authorization.
tion. (c) Nothing in this part constitutes a
determination that any given author-
Subpart B—Renewal Applications and ization is a ‘‘license with reference to
Procedure Thereon an activity of a continuing nature’’
within the meaning of 5 U.S.C. 558(c).
377.10 Requirements for, and effect of, re-
newal applications. [SPR–184, 47 FR 7212, Feb. 18, 1982]
377.11 Processing of defective renewal appli-
cations. § 377.3 Authorizations not covered by
5 U.S.C. 558(c).
AUTHORITY: 49 U.S.C. Chapters 401, 461; 5
U.S.C. 558, 559. The Board hereby determines that
the following authorizations are not li-
censes ‘‘with reference to an activity of
Subpart A—General Provisions a continuing nature’’ within the mean-
§ 377.1 Definitions. ing of 5 U.S.C. 558(c):
(a) Authorizations granted for a spec-
As used in this part: ified period of 180 days or less; and
Authorization means any agency cer- (b) Authorizations, other than those
tificate, approval, statutory exemption granted under section 401 of the Act,
or other form of permission granted that by their terms are subject to ter-
pursuant to sections 101(3), 401, 402, 408, mination at an uncertain date upon the
409, 412 and 416 of the Federal Aviation happening of an event, including ful-
Act of 1958, as amended. Where any op- fillment of a condition subsequent or
erating authorization creates more occurrence of a contingency.
than one separate route, each of these [SPR–184, 47 FR 7212, Feb. 18, 1982]
shall be deemed a separate authoriza-
tion for the purposes of this part. § 377.4 Certain authorizations with al-
Renewal application means any appli- ternative termination dates.
cation filed in conformity with the re- Unless granted under section 401 of
quirements of this part which requests the Act, an authorization that by its
either a renewal or a new license and is terms is subject to termination alter-
intended to invoke the provisions of natively, either at an uncertain date
the last sentence of 5 U.S.C. 558(c). upon the happening of an event or upon
Route means an authorization which the arrival of a specified date:
permits an air carrier to render unlim- (a) Will not be considered a ‘‘license
ited regularly scheduled service be- with reference to an activity of a con-
tinuing nature’’ within the meaning of
tween a specifically designated pair of
5 U.S.C. 558(c), if the event occurs be-
terminal points and intermediate
fore the specified date; and
points, if any.
(b) Ordinarily (subject to Board in-
[SPR–84, 40 FR 24998, June 12, 1975, as amend- terpretation under § 377.5) will be con-
ed by SPR–184, 47 FR 7212, Feb. 18, 1982] sidered such a license, if the event does

399
§ 377.5 14 CFR Ch. II (1–1–19 Edition)
not occur before the specified date and tain, as a minimum, a request for re-
that date is more than 180 days after newed authority to render route serv-
the effective date of the authorization. ice between the terminals named in
[SPR–184, 47 FR 7212, Feb. 18, 1982] each separate route for which renewal
is requested.
§ 377.5 Procedure to obtain Board in- (c) Timeliness. The application must
terpretation. be filed and served in compliance with
(a) The Board will determine upon applicable law and the Board’s regula-
written request by the holder of a tem- tions at least 60 days before the expira-
porary authorization or by any com- tion date of the outstanding temporary
petitively affected air carrier or for- authorization, except that:
eign air carrier, or upon its own initia- (1) For certificates issued under sec-
tive, whether the temporary authoriza- tion 401 of the Act with a specified ex-
tion is a ‘‘license with reference to an piration date, the deadline is 180 days
activity of a continuing nature’’ within before the expiration date;
the meaning of 5 U.S.C. 558(c). (2) For certificates issued under sec-
(b) A written request for such a tion 401 of the Act that terminate by
Board determination shall be filed at their terms upon the happening of an
least 60 days before the deadline set event that could not be foreseen, the
forth in § 377.10 for a timely renewal ap- deadline is 30 days after the time that
plication. the carrier has notice that the event
(c) The filing of such a written re- will occur or has occurred;
quest shall not affect the timeliness re- (3) For foreign air carrier permits
quirements for renewal applications issued under section 402 of the Act and
that are set forth in § 377.10 or any exemptions issued under section 416 to
other applicable Board rule or order. non-U.S. citizens, the deadline is the
[SPR–184, 47 FR 7212, Feb. 18, 1982] expiration date itself;
(4) For renewal by substantially
Subpart B—Renewal Applications equivalent certificate authority of
and Procedure Thereon fixed term route authorizations grant-
ed by exemption and for interim exten-
§ 377.10 Requirements for, and effect sion of the exemption, pursuant to
of, renewal applications. § 399.18 of this chapter, the deadline is
(a) Identification of authorization cov- 90 days before the expiration date; and
ered by renewal application. Each re- (5) Nothing in this part supersedes a
newal application shall identify the au- requirement for earlier filing contained
thorization or authorizations to which in any law, Board rule or order, or tem-
it is intended to relate. The application porary authorization.
shall indicate the applicant’s intention (d) Effect. In the case of authoriza-
to rely upon 5 U.S.C. 558(c) as imple- tions which constitute licenses with
mented by this part. In case of applica- reference to activities of a continuing
tions for renewal of an authorization nature within the meaning of 5 U.S.C.
for route service, the renewal applica- 558(c), the filing of an application com-
tion shall specifically identify the sep- plying in all respects with the require-
arate routes which the applicant pro- ments of paragraphs (a) through (c) of
poses to continue serving pursuant to this section shall extend the authoriza-
the expiring authorization, pending tion to which it relates as then out-
final determination of the renewal ap- standing in its entirety, together with
plication. all applicable terms, conditions and
(b) Contents of renewal application. limitations, until the application has
The application must contain all the been finally determined by the Board.
information required by law and the In the case of routes granted under sec-
Board’s regulations, and meet the re- tion 401 of the Act, the duty to render
quirements thereof as to form. The new adequate service continues to attach to
authorization sought need not be of the every point as provided in the expired
same duration as the expiring author- authorization which is extended pursu-
ization. If the application relates to re- ant to this provision. The date of final
newal of route authority, it must con- determination of the application shall

400
Office of the Secretary, DOT § 380.1
be the date when the final order deter- 380.31 General requirements for operator-
mining the application takes effect, or participant contracts.
when the applicable period for filing of 380.32 Specific requirements for operator-
participant contracts.
petitions for rehearing, reargument or 380.33 Major changes in itinerary or price;
reconsideration expires, or when a refunds.
timely filed petition therefor is denied, 380.33 a Operator’s option plan.
whichever occurs latest. 380.34 Security and depository agreements.
380.34a Substitution of direct air carrier’s
[SPR–84, 40 FR 24998, June 12, 1975, as amend- security or depository agreement.
ed by SPR–184, 47 FR 7212, Feb. 18, 1982; 65 FR 380.35 Disbursements from depository ac-
6457, Feb. 9, 2000] count.
380.36 Record retention.
§ 377.11 Processing of defective re-
newal applications. Subpart D—Requirements Applicable to
When the Board determines that a re- Direct Air Carriers
newal application does not comply
380.40 Charter not to be performed unless in
with the requirements of this part, or compliance with this part 380.
that it does not relate to a license with 380.41–380.42 [Reserved]
reference to an activity of a continuing 380.43 Cancellations by direct air carriers.
nature, it will so notify the applicant. 380.45 Suspension of exemption authority.
The applicant may amend his applica- 380.46 Charter trip reporting.
tion to cure the deficiency as a matter
of right at any time prior to the date Subpart E—Registration of Foreign Charter
when the application was due pursuant Operators
to § 377.10(c). 380.60 Purpose.
380.61 Operation by foreign charter opera-
[SPR–84, 40 FR 24998, June 12, 1975]
tors.
380.62 Registration applications.
PART 380—PUBLIC CHARTERS 380.63 Objections to registration applica-
tions.
Subpart A—General Provisions 380.64 Department action on a registration
application.
Sec. 380.65 Notification of change of operations
380.1 Applicability. or ownership.
380.2 Definitions. 380.66 Cancellation or conditioning of the
380.3 General provisions. registration.
380.4 Enforcement. 380.67 Waiver of sovereign immunity.
APPENDIX A TO PART 380—PUBLIC CHARTER
Subpart B—Conditions and Limitations OPERATOR’S S URETY B OND U NDER P ART
380 OF THE SPECIAL REGULATIONS OF THE
380.10 Public Charter requirements.
DEPARTMENT OF TRANSPORTATION (14 CFR
380.11 Payment to direct air carrier(s). PART 380)
380.12 Cancellation by charter operator and A PPENDIX B TO P ART 380—P UBLIC CHARTER
notice to participants. SURETY T RUST A GREEMENT
380.13 Prohibition on sale of round trips
with open returns. AUTHORITY: 49 U.S.C. 40101, 40102, 40109,
380.14 Unused space. 40113, 41101, 41103, 41301, 41504, 41702, 41708,
380.15 Substitution for charter participants. 41712, 46101.
380.17 Charters conducted by educational SOURCE: Docket No. OST–97–2356, 63 FR
institutions. 28241, May 22, 1998, unless otherwise noted.
Subpart C—Requirements Applicable to
Charter Operators Subpart A—General Provisions
380.20 Relief from the Statute. 380.21– § 380.1 Applicability.
380.23 [Reserved] This part applies to Public Charter
380.24 Suspension of exemption authority.
air transportation of passengers in
380.25 Prospectus filing and related require-
ments. interstate or foreign air transpor-
380.26 Discrimination. tation, whether furnished by direct air
380.27 Methods of competition. carriers or Public Charter operators.
380.28 Charter prospectus. This part also relieves such charter op-
380.29 Charter contract. erators from various provisions of sub-
380.30 Solicitation materials. title VII of Title 49 of the United

401
§ 380.2 14 CFR Ch. II (1–1–19 Edition)
States Code (statute), formerly Title Public Charter means a one-way or
IV of the Federal Aviation Act of 1958, round-trip charter flight to be per-
as amended, for the purpose of enabling formed by one or more direct air car-
them to provide Public Charters uti- riers that is arranged and sponsored by
lizing aircraft chartered from such di- a charter operator.
rect air carriers. It also declines juris- Public Charter operator means a U.S.
diction over foreign Public Charter op- or foreign Public Charter operator.
erators operating foreign-originating Security agreement means:
Public Charters. (1) A surety bond issued by a com-
pany—
§ 380.2 Definitions. (i) That is listed in the Best’s Insur-
For the purposes of this part: ance Reports (Fire and Casualty) with
Certificated air carrier means a U.S. a general policyholders’ rating of ‘‘A’’
direct air carrier holding a certificate or better, or
issued under the statute. (ii) That is listed in the U.S. Depart-
Charter flight means a flight operated ment of Treasury’s notice listing com-
under the terms of a charter contract panies holding Certificates of Author-
between a direct air carrier and its cus- ity as acceptable sureties on Federal
tomer. It does not include scheduled bonds and as acceptable reinsuring
air transportation, scheduled foreign companies, published in the FEDERAL
air transportation, or nonscheduled REGISTER in the first week in July; or
cargo air transportation, sold on an in- (2) A Surety trust agreement or a let-
dividually ticketed or individually ter-of-credit, issued by a Federal De-
waybilled basis. posit Insurance Corporation-insured fi-
Direct air carrier means a certificated nancial institution, which provides
commuter or foreign air carrier, or an substantially equivalent protection.
air taxi operator registered under part Statute means Subtitle VII of Title 49
298 of this chapter, or a Canadian char- of the United States Code (Transpor-
ter air taxi operator registered under tation).
part 294 of this chapter, that directly Sub-operator means a Public Charter
engages in the operation of aircraft operator that has contracted for its
under a certificate, authorization, per- charter seats from a Public Charter op-
mit or exemption issued by the Depart- erator that has contracted from one or
ment. more direct air carriers. A sub-operator
Educational institution means a school is itself an indirect air carrier, not an
that is operated as such on a year- agent of the Public Charter operator
round basis and is empowered to grant from which it has obtained its seat.
academic degrees or secondary school U.S. Public Charter operator means an
diplomas by any government in the indirect air carrier that is a citizen of
United States or by a foreign govern- the United States as defined in 49
ment. U.S.C. 40102(a) and that is authorized to
Foreign air carrier means a direct air engage in the formation of groups for
carrier that holds a foreign air carrier transportation on Public Charters in
permit issued under the statute or an accordance with this part.
exemption issued under the statute au- [Doc. No. OST–97–2356, 63 FR 28241, May 22,
thorizing direct foreign air transpor- 1998, as amended at 70 FR 25773, May 16, 2005]
tation.
Foreign Public Charter opertor means § 380.3 General provisions.
an indirect air carrier which is not a (a) Public Charters may be operated
citizen of the United States as defined on a one-way or round-trip basis, with
in the statute, that is authorized to en- no minimum group or contract size.
gage in the formation of groups for Public Charters may be sold on an air-
transportation on Public Charters in only basis, or with mandatory or op-
accordance with this part. tional land arrangements.
Indirect air carrier means any person (b) A U.S. Public Charter operator
who undertakes to engage indirectly in operating a Public Charter which origi-
air transportation operations and who nates in a foreign country shall not be
uses for such transportation the serv- subject to the requirements of §§ 380.25,
ices of a direct air carrier. 380.28, 380.30 and 380.35.

402
Office of the Secretary, DOT § 380.14
(c) The Department declines to exer- air carriers may provide air transpor-
cise jurisdiction over a foreign Public tation for operations in interstate air
Charter operator which operates a Pub- transportation.
lic Charter originating in a foreign
country, but reserves the right to exer- § 380.11 Payment to direct air car-
cise its jurisdiction over any foreign rier(s).
Public Charter operator at any time its Except for air taxi operators and
finds that such action is in the public commuter air carriers (which are gov-
interest. erned by 14 CFR 298.38) and Canadian
(d)(1) An educational institution op- charter air taxi operators (which are
erating a Public Charter need not com- governed by 14 CFR 294.32), the direct
ply with the financial security require- air carrier(s) shall be paid in full for
ments of § 380.34 if each student partici- the cost of the charter transportation
pant in the charter is enrolled in a for- (for both legs, if a round-trip charter)
mal academic course of study outside prior to the scheduled date of flight de-
the United States, sponsored by or in parture, as provided for in the basic
conjunction with that institution, that charter regulations applicable to the
is of at least four weeks’ duration. direct air carrier(s) under part 212 of
(2) The spouse, children, and parents
this chapter.
of a student participant may accom-
pany the participant on a charter oper- § 380.12 Cancellation by charter oper-
ated under this section. ator and notice to participants.
(e) The Department, upon application
or on its own initiative, may waive any (a) The charter operator may not
of the provision of this part if it finds cancel a charter for any reason (includ-
such action to be in the public interest. ing insufficient participation), except
for circumstances that make it phys-
§ 380.4 Enforcement. ically impossible to perform the char-
In the case of any violation of the ter trip, less than 10 days before the
provision of the Statute or of this part, scheduled date of departure of the out-
or any other rule, regulations, or order bound trip.
issued under the Statute, the violator (b) If the charter operator cancels 10
may be subject to a proceeding pursu- or more days before the scheduled date
ant to the Statute before the Depart- of departure, the operator must so no-
ment or a U.S district court, as the tify each participant in writing within
case may be, to compel compliance 7 days after the cancellation but in any
therewith; to civil penalties pursuant event not less than 10 days before the
to the provisions of the Statute, or to scheduled departure date of the out-
criminal penalties pursuant to the pro- bound trip. If a charter is canceled less
visions of the Statute, or other lawful than 10 days before scheduled depar-
sanctions. ture (i.e., for circumstances that make
it physically impossible to perform the
Subpart B—Conditions and charter trip), the operator must get the
Limitations message to each participant as soon as
possible.
§ 380.10 Public Charter requirements.
§ 380.13 Prohibition on sale of round
Public Charters under this part shall trips with open returns.
meet the following requirements:
(a)–(b) [Reserved] The charter operator shall not accept
(c) If the charter is on a round-trip any participant’s payment for return
basis, the departing flight and return- transportation unless the participant
ing need not be performed by the same has specified a particular return flight.
direct air carrier.
(d) The air transportation portion of § 380.14 Unused space.
the charter must be performed by di- Noting contained in this part shall
rect air carriers that hold authority preclude a charter operator from uti-
under Chapter 411 and 413 of the Stat- lizing any unused space on an aircraft
ute, or are operating under 14 CFR part by it for a Public Charter for the trans-
298, except that only U.S. citizen direct portation, on a free or reduced basis, of

403
§ 380.15 14 CFR Ch. II (1–1–19 Edition)
such charter operator’s employees, di- the provisions and the conditions im-
rectors, and officers, and parents and posed by this part:
immediate families of such persons. (1) Chapter 411.
(2) Chapter 413.
§ 380.15 Substitution for charter par- (3) Chapter 415.
ticipants. (4) Chapter 419.
Subsititues may be arranged for (5) If foreign charter operators re-
charter participants at any time pre- ceive interstate air transportation
ceding departure. Participants who rights, any other provision of the stat-
provide the charter operator or its ute that would otherwise prohibit them
sales agent with a substitute partici- from organizing and arranging Public
pant, or who are substituted for by a Charters in interstate air transpor-
participant found by the operator, tation.
shall receive a refund of all moneys (b) A charter operator who is a cit-
paid to the operator, except that the izen of the United States shall not be
operator may reserve the right to re- subject to the following requirements
tain an administrative fee not to ex- with respect to Public Charters that
ceed $25 for effecting the substitution. originate in a foreign country: §§ 380.25,
380.28, and 380.30 through 380.35.
§ 380.17 Charters conducted by edu-
cational institutions. §§ 380.21–380.23 [Reserved]

(a) This section shall apply only to § 380.24 Suspension of exemption au-
charters conducted by educational in- thority.
stitutions for charter groups comprised The Department reserves the power
of bona fide participants in a formal to deny the exemption authority of any
academic course of study abroad which charter operator, without hearing, if it
is of at least 4 weeks duration. The finds that such action is necessary in
charter group may also include a stu- the public interest or is otherwise nec-
dent participant’s immediate family essary in order to protect the rights of
(spouse, children, and parents). Except the traveling public.
as modified in this section, all terms
and conditions of this part applicable § 380.25 Prospectus filing and related
to the operation of Public Charters requirements.
shall apply to charters conducted by A charter operator may organize and
educational institutions. operate a Public Charter only in ac-
(b) An educational institution con- cordance with this part, and subject to
ducting such a charter shall submit to the following conditions:
the Office of Aviation Analysis, Special (a) No charter operator shall operate,
Authorities Division, a statement, sell, receive money from any prospec-
signed by its president, certifying that tive participant for, or offer to sell or
it meets the definition of ‘‘educational otherwise advertise a charter or series
institution’’ set forth in § 380.2. of charters until the Office of Aviation
(c) An educational institution con- Analysis, Special Authorities Division,
ducting such a charter need not comply has accepted a Public Charter pro-
with the requirements of §§ 380.25, spectus as described in § 380.28.
380.28, 380.34, and 380.35. (b) If within 10 days after the filing
the Department notifies the charter
operator that it has rejected the pro-
Subpart C—Requirements spectus for noncompliance with this
Applicable to Charter Operators part, the prohibitions set forth in para-
graph (a) of this section shall continue
§ 380.20 Relief from the Statute.
until the Department advises that it
(a) To the extent necessary to permit has accepted the prospectus.
them to organize and arrange public (c) The following amendments to a
charters, charter operators and foreign filed prospectus may be made:
charter operators are hereby relieved (1) The addition or cancellation of
from the following provisions of Sub- any flight;
title VII of Title 49 of the U.S. Code, (2) A change in any flight, date, ori-
only if and so long as they comply with gin city or destination city; and

404
Office of the Secretary, DOT § 380.28
(3) A change in or addition of any di- (iii) A statement that they have en-
rect air carrier, securer, or depository tered into a charter contract that cov-
bank. ers the proposed flight schedule, that
(d) The charter operator shall amend the contract complies with all applica-
the prospectus to reflect any change ble Department regulations, and that a
described in paragraph (c) of this sec- copy of the schedule has been sent to
tion. The amendment shall be filed in the depository bank (if any) and the
the manner and form used for the origi- operator’s securer. The schedule shall
nal prospectus. It shall become effec- be identified with a number assigned
tive upon filing unless the operator is by the charter operator that does not
otherwise notified. duplicate any schedule numbers as-
(e) The charter operator shall notify signed by the operator to other pro-
the depository bank (if any) and the se- posed flight schedules. The proposed
curer of any change described in para- flight schedule, tour itinerary (if any),
graph (c) of this section not later than and statement shall be filed on OST
when filing a prospectus amendment to Form 4532.
reflect the change. If the securer is un-
(2)(i) From the charter operator and
able to adjust the security agreement
the securer, a statement:
as required by the change, the Office of
Aviation Analysis, Special Authorities (A) That they have entered into a se-
Division shall be advised of this fact curity agreement covering the pro-
within 2 business days. posed flight schedule that complies
with § 380.34, including the amount of
(Approved by the Office of Management and the coverage, the number assigned to it
Budget under Control Number 2106–0005) by the securer, and the amount of any
§ 380.26 Discrimination. outstanding claims against it, and
(B) That the securer has received a
No charter operator shall make, give, copy of the proposed flight schedule.
or cause any undue or unreasonable The statement shall identify the pro-
preference or advantage to any par- posed flight schedule by the schedule
ticular person, port, locality, or de-
number assigned by the charter oper-
scription of traffic in air transpor-
ator in accordance with paragraph (a)
tation in any respect whatsoever, or
of this section. If there are any out-
subject any particular person, port, lo-
standing claims against the agreement,
cality, or description of traffic in air
the charter operator and securer shall
transportation to any unjust discrimi-
nation or any undue or unreasonable also state that they have executed a
prejudice or disadvantage in any re- rider or amendment increasing the cov-
spect whatsoever. erage by the amount of the claims, or
that the securer will separately pay
§ 380.27 Methods of competition. any claims for which it may be liable
without impairing the agreement or re-
No charter operator shall engage in
unfair or deceptive practices or unfair ducing the amount of its coverage.
methods of competition in air trans- (ii) These statements shall be filed an
portation or the sale thereof. OST Form 4533.
(3) If a depository agreement is used,
§ 380.28 Charter prospectus. a statement from the charter operator,
(a) The charter prospectus shall in- the direct air carrier, and the deposi-
clude an original and two copies of the tory bank:
following: (i) That they have entered into a de-
(1) From the charter operator and the pository agreement covering the pro-
direct air carrier: posed flight schedule that complies
(i) The proposed flight schedule, list- with § 380.34, and
ing the origin and destination cities, (ii) That the bank has received a
dates, type of aircraft, number of seats, copy of the proposed flight schedule by
and charter price for each flight; the schedule number assigned by the
(ii) The tour itinerary (if any) includ- charter operator in accordance with
ing hotels (name and length of stay at paragraph (a)(1) of this section. This
each), and other ground accommoda- statement shall be filed on OST Form
tions and services; and 4534.

405
§ 380.29 14 CFR Ch. II (1–1–19 Edition)
(b) Each of the statements described (e) In any solicitation material from
in paragraph (a) of this section shall a direct air carrier, indirect air carrier,
also include the names and addresses of or an agent of either, for a charter,
the parties to it, and the originals shall charter tour (i.e., a combination of air
be signed by those parties. transportation and ground accommoda-
(c) The prospectus may cover a series tions), or a charter tour component
of charters performed by one charter (e.g., a hotel stay), any price stated for
operator if the departure of the last such charter, tour, or component shall
charter is not more than one year after be the entire price to be paid by the
the departure of the first. participants to the air carrier, or
(d) If the prospectus covers a series of agent, for such charter, tour, or compo-
charters and the air transportation nent.
will be performed by more than one di-
rect air carrier, the prospectus shall in- § 380.31 General requirements for op-
clude separate statements in accord- erator-participant contracts.
ance with paragraphs (a)(1) and (a)(3) of (a) Except for telephone sales for
this section to cover the flights that which payment is made by credit card
will be performed by each direct car- as described in paragraph (b) of this
rier. section, the charter operator shall not
accept payment from or on behalf of a
(Approved by the Office of Management and
prospective participant unless the par-
Budget under Control Number 2106–0005)
ticipant has agreed to the conditions of
§ 380.29 Charter contract. the charter by signing an operator-par-
ticipant contract as described in
The charter contract between the § 380.32. If a member of a group that
charter operator or foreign charter op- will travel together pays for the group,
erator and the direct air carrier shall that member may sign the contract on
evidence a binding commitment on the behalf of the group.
part of the carrier to furnish the air (b) For telephone sales only, the
transportation required for the trip or charter operator may accept payment
trips covered by the contract. by credit card without the participant
having first signed an operator-partici-
§ 380.30 Solicitation materials.
pant contract provided that the char-
(a) All solicitation materials for a ter operator first advises the customer:
Public Charter shall include the name (1) That he or she has the right to re-
of the charter operator and the name of ceive the operator-participant contract
the direct air carrier. before making a booking;
(b) Any solicitation material that (2) That the operator-participant
states a price per passenger shall also contract will be mailed to the partici-
include one of the following: pant within 24 hours of accepting pay-
(1) A statement referring to the oper- ment by credit card; and
ator-participant contract for further (3) That the operator-participant
information about conditions applica- contract must be signed, and the
ble to the charter; or signed portion returned to the oper-
(2) The full text of the operator-par- ator, before travel.
ticipant contract. (4) A full refund must be made of any
(c) Except as set forth in § 380.33a for amounts charged to a credit card for
operator’s option plan contracts, if the any participant who cancels before the
charter prospectus names alternative operator-participant contract is signed.
dates or cities, any solicitation mate- (c) The contract form may include a
rial that states a price per passenger space that participants may check to
shall also state that the actual dates or authorize the charter operator to re-
cities have not yet been selected, if tain their money while attempting to
that is the case. make other arrangements for them if
(d) Any solicitation material that there is no space available on the flight
names a hotel but does not name every or on specific alternative flights they
hotel named in the operator-partici- have requested.
pant contract shall also state that sub- (d) If there is no space available on
stitutions may be made. the flight or specific alternative flights

406
Office of the Secretary, DOT § 380.32
requested by the participant the oper- aircraft to be used for the flight, and
ator shall return all the participant’s the conditions governing aircraft-
money within 7 days after receiving it equipment substitutions;
unless the participant, in accordance (c) The dates of the outbound and re-
with paragraph (c) of this section, has turn flights;
authorized the operator to retain the (d) The origin and destination cities
payments while the operator attempts of each flight leg;
to make other arrangements for the (e) The amount and schedule of pay-
participant. If the operator retains the
ments;
payments while attempting to make
(f) If a depository agreement as pro-
other arrangements for the partici-
pant, it shall notify the participant of vided in § 380.34(b) is used: That all
the fact within 7 days after receiving checks, money orders, and credit card
the payments, but in no event later drafts must be made payable to the es-
than the departure. For the purpose of crow account at the depository bank
the time periods in this paragraph, re- (identifying bank) 1 or, when the char-
ceipt of money by a travel agent on be- ter is sold to the participant by a retail
half of a charter operator will not be travel agent, checks and money orders
considered as receipt by the operator. may be made payable to the agent, who
(e) Except as set forth in § 380.33a for must in turn make his check payable
operator’s option plan contracts, the to the escrow account at the deposi-
operator-participant contract shall not tory bank;
specify alternative dates for the out- (g) The tour itinerary, if any, includ-
bound or return flights, or alternative ing the name and location of the ho-
origin or destination cities for any tels, length of stay at each, and other
flight leg. ground accommodations and services
(f) The contract form shall be printed that are part of the tour;
in 7-point or larger type. The state- (h) That the charter operator may
ments required by paragraph (a), (f), not cancel the charter less than 10 days
(h), (l), (r), (s), and (x) of § 380.32 shall before the scheduled departure date,
be printed so as to contrast with the
except for circumstances that make it
rest of the contract by the use of bold-
physically impossible to perform the
faced type, capital letters, or a type
charter tip;
size that is at least 50 percent larger
than that used for the rest of the con- (i) That if a charter is canceled 10 or
tract. more days before the scheduled depar-
(g) The contract form shall include a ture date, the operator will notify the
space that participants may check to participant in writing within 7 days
indicate that they wish to be furnished after the cancellation, but in any event
details of trip cancellation, health, and at least 10 days before the scheduled
accident insurance. departure;
(h) The contract form shall be de- (j) That is a charter is canceled less
signed so as to enable participants to than 10 days before departure (i.e., for
retain a copy of the general terms and circumstances that make it physically
conditions after signing it. The specific impossible to perform the charter trip),
information supplied by participants the operator will get the message to
(such as choices of dates, cities, or the participant as soon as possible;
other options) need not be retainable.
1 If the credit card merchant account is

§ 380.32 Specific requirements for op- separate from the depository account, it
erator-participant contracts. must be used solely as a conduit, i.e., all
Contracts between charter operators credit card payments toward Public Charter
and charter participants shall state: trips must be immediately remitted to the
(a) The name and complete mailing depository account in full, without holdback,
or retention of any portion of the partici-
address of the charter operator; pant’s payment. If the depository bank is not
(b) The name of the direct air carrier, the credit card merchant bank, the Depart-
the dollar amounts of that carrier’s li- ment must be satisfied that there are ade-
ability limitations for participant’s quate procedural safeguards for the protec-
baggage, the type and capacity of the tion of participants’ payments.

407
§ 380.32 14 CFR Ch. II (1–1–19 Edition)
(k) That if the charter is canceled, a other rights or remedies available
refund will be made to the participant under applicable law, although the op-
within 14 days after the cancellation; erator may condition a refund on the
(l) The right to refunds if the partici- participant’s waiver of additional rem-
pant changes plans is limited; edies;
(m) The right to refunds if the partic- (u) That trip cancellation, health,
ipant changes plans, including and accident insurance is available and
(1) The right to a full refund, for that the operator will furnish details of
sales made by credit card, until an op- the insurance to participants who
erator-participant contract is signed; check the space provided for this pur-
and pose on the contract form;
(2) That any participant who wishes
(v) The name and address of the sur-
to cancel will receive a full refund (less
any applicable administrative fee, not ety company or bank issuing the secu-
to exceed $25) upon providing a sub- rity agreement; and that unless the
stitute participant to the charter oper- charter participant files a claim with
ator or its sales agent, or upon being the charter operator or, if he is un-
substituted for by a participant found available, with the securer, within 60
by the charter operator; days after termination of the charter,
(n) The procedure for obtaining the the securer shall be released from all
refunds described in paragraph (m) of liability under the security agreement
this section, including that they will to that participant. Termination
be made within 14 days after the can- means the date of arrival (or in the
cellation or substitution; case of a canceled charter, the intended
(o) The meaning of ‘‘major change’’, date or arrival) of the return flight. If
as set forth in § 380.33(a); there is no return flight in a partici-
(p) That if the charter operator pant’s itinerary, termination means
knows of a major change 10 or more the date or intended date of departure
days before scheduled departure, the of the last flight in the participant’s
operator will notify the participant of itinerary;
the change within 7 days after first (w) For international flights only:
knowing of it, but in any event at least That additional restrictions may be
10 days before scheduled departure; imposed on the flight by the foreign
(q) That is the operator first knows government involved, and that if land-
of a major change less than 10 days be-
ing rights are denied by a foreign gov-
fore scheduled departure, the operator
ernment the flight will be canceled
will get the message to the participant
with a full refund to the participant.
as soon as possible;
This statement need not be included in
(r) That within 7 days after receiving
a pre-departure notification of a major the contract if—
change but in no event later than de- (1) The prospectus includes a certifi-
parture, the participant may cancel, cation by the charter operator and the
and that a full refund will be made to direct air carrier that landing rights
the participant within 14 days after have been obtained from all the foreign
canceling; governments involved, and
(s) That upon a post-departure notifi- (2) All the foreign governments in-
cation of a major change, the partici- volved have adopted country-of-origin
pant may reject the substituted hotel rules for charterworthiness;
or the changed date, origin, or destina- (x) That the charter operator is the
tion of a flight leg and be sent, within principal and is responsible to the par-
14 days after the return date named in ticipants for all services and accom-
the contract, a refund of the portion of modations offered in connection with
his payment allocable to the hotel ac- the charter. However, the contract
commodations or air transportation may expressly provide that the charter
not provided; operator, unless negligent, is not re-
(t) That the participants rights and sponsible for personal injury or prop-
remedies set forth in the contract, in- erty damage caused by any direct air
cluding the procedures for major carrier, hotel or other supplier of serv-
changes, shall be in addition to any ices in connection with the charter.

408
Office of the Secretary, DOT § 380.34

§ 380.33 Major changes in itinerary or § 380.33a Operator’s option plan.

price; refunds. (a) For the purposes of this part, an
(a) For the purposes of this section, operator’s option plan contract that
‘‘major change’’ means any of the fol- states alternative dates for the out-
lowing: bound or return flights, or alternative
(1) A change in the departure or re- origin or destination cities for any
turn date shown in the operator-partic- flight leg.
ipant contract, (or, if the contract (b) Operator’s option plan contracts
states alternative dates, the date des- shall state, in addition to the informa-
ignated to the participant by the char- tion required by § 380.32, that the selec-
ter operator in accordance with tion of the actual dates or cities, as ap-
§ 380.33a(b)), unless the change results plicable, is at the charter operator’s
from a flight delay. In any event, how- option and will not entitle the partici-
ever, a date change that the operator pant to a refund, and that the operator
knows of more than 2 days before the will notify the participant of the ac-
scheduled flight date, and any delay of tual dates or cities at least 10 days be-
more than 48 hours, will be considered fore the earliest of any alternative
a major change. dates for the outbound flight.
(2) A change in the origin or destina- (c) Contract forms for all operator’s
tion city shown in the operator-partici- option plan contracts shall be labeled
pant contract for any flight leg (or, if ‘‘OPERATOR’S OPTION PLAN’’ in bold-
the contract states alternative cities, faced capital letters at least 1⁄4 inch
the city designated to the participant high. The statement required by
by the operator in accordance with paragraph (b) of this section and the
§ 380.33a(b)), unless the change affects statement of alternative dates
only the order in which cities named in (§ 380.32(c)) or alternative cities
a tour package are visited. (§ 380.32(d)), as applicable, shall be
(3) A substitution of any hotel that is printed so as to contrast with the rest
not named in the operator-participant of the contract, as set forth in
contract; and § 380.31(f).
(4) A price increase to the participant (d) Any solicitation material that
that occurs 10 or more days before de- states a price per passenger for an op-
parture and results in an aggregate erator’s option plan contract shall
price increase of more than 10 percent. clearly and conspicuously—
(b) The charter operator shall not in- (1) Identify that price as being for the
crease the price to any participant less operator’s option plan,
than 10 days before departure. (2) Name all the possible dates or cit-
(c) The charter operator shall notify ies, as applicable, and
all participants of major changes, as (3) State that the selection of the ac-
required by the operator-participant tual dates or cities is at the charter op-
contracts. This notification shall in- erator’s option.
clude the participants’ rights to re- (e) Charter operators and their
funds required to be described in the agents shall not misrepresent to pro-
operator-participant contract. The op- spective participants, orally, in solici-
erator shall, if applicable, also notify tation materials, or otherwise, the
the participants that the acceptance of probability that any particular city or
a refund constitutes a waiver of their date will be selected from among the
legal rights. alternatives named in an operator’s op-
(d) Except as otherwise specified, no- tion plan contract.
tifications and refunds required by this (f) The charter operator shall notify
part are considered made at the time all participants with operator’s option
they are mailed or sent by an equiva- plan contracts of the actual dates or
lent method. cities, as applicable, as required by
(e) The charter operator shall make contracts.
all refunds required to be described in
the operator-participant contract with- § 380.34 Security and depository agree-
in the time limits set forth in para- ments.
graphs (k), (n), (r), and (s) of § 380.32, as (a) Except as provided in paragraph
applicable. (b) of this section, the charter operator

409
§ 380.34 14 CFR Ch. II (1–1–19 Edition)
or foreign charter operator shall fur- (i) On sales made to charter partici-
nish a security agreement in an pants by charter operators or foreign
amount for not less than the charter charter operators the participant shall
price for the air transportation, if only pay by check, money order, or credit
air transportation is involved, or, if the card draft payable to the bank; 2 on
charter involves land accommodations sales made to charter participants by
in addition to air transportation, a se- retail travel agents, the retail travel
curity agreement in one of the fol- agent may deduct his commission and
lowing amounts dependent upon the remit the balance to the designated
length of the charter or series of char- bank by check, money order, or elec-
ters: tronic transfer: Provided, That the
(1) For a charter or series of charters travel agent agrees in writing with the
of 14 days or less, security in an charter operator or foreign charter op-
amount of not less than the charter erator that if the charter is canceled
price for the air transportation to be the travel agent shall remit to the
furnished in connection with such bank the full amount of the commis-
sion previously deducted or received
charter or series of charters;
within 10 days after receipt of notifica-
(2) For a charter or series of charters
tion of cancellation of the charter; ex-
of more than 14 days but less than 28
cept for the credit card company’s
days security in an amount of not less usual commission (not to exceed 3 per-
than twice the charter price; and cent), the charter operator shall not
(3) For a charter or series of charters permit any portion of a charter partici-
of 28 days or more, security in an pant’s payments by credit cared to be
amount of not less than three times ‘‘held back’’ by the credit card mer-
the charter price: Provided, however, chant bank; 3
That the liability of the securer to any (ii) The bank shall pay the direct air
charter participant shall not exceed carrier the charter price for the trans-
amounts paid by that participant to portation not earlier than 60 days (in-
the charter operator with respect to cluding day of departure) prior to the
the charter. scheduled day of departure of the origi-
(b) The direct air carrier and the nating or returning flight, upon certifi-
charter operator or foreign charter op- cation of the departure date by the air
erator may elect, in lieu of furnishing carrier: Provided, That, in the case of a
a security agreement as provided under round trip charter contract to be per-
paragraph (a) of this section, to comply formed by one carrier, the total round
with the requirements of paragraphs trip charter price shall be paid to the
(b)(1) and (b)(2) of this section, as fol- carrier not earlier than 60 days prior to
lows: the scheduled day of departure of the
(1) The charter operator shall furnish originating flight;
a security agreement in an amount of (iii) The bank shall reimburse the
at least $10,000 times the number of charter operator or foreign charter op-
flights, except that the amount need erator for refunds made by the latter
not be more than $200,000. The liability to the charter participant upon written
of the securer to any charter partici- notification from the charter operator
pant shall not exceed the amount paid or foreign charter operator;
(iv) If the charter operator, foreign
by the participant to the charter oper-
charter operator or the direct air car-
ator for that charter.
rier notifies the bank that a charter
(2) The direct air carrier and charter has been canceled, the bank shall make
operator or foreign charter operator applicable refunds directly to the char-
shall enter into an agreement with a ter participants;
designated bank, the terms of which (v) After the charter price has been
shall provide that all payments by paid in full to the direct air carrier, the
charter participants paid to charter op-
erators or foreign charter operators 2 See also n.1, supra.
and their retail travel agents shall be 3‘‘Holdback’’ is an amount in excess of
deposited with and maintained by the usual commissions that a credit card mer-
bank subject to the following condi- chant bank sometimes retains to cover po-
tions: tential charge-backs or other charges.

410
Office of the Secretary, DOT § 380.34
bank shall pay funds from the account securities qualified for investment
directly to the hotels, sightseeing en- hereunder shall promptly be added to
terprises, or other persons or compa- the escrow account, in an amount
nies furnishing ground accommoda- equal to the amount of such decreased
tions and services, if any, in connec- value; and
tion with the charter or series of char- (ix) Except as provided in paragraph
ters upon presentation to the bank of (b)(2)(i), (iii), (iv), (v), and (viii) of this
vendors’ bills and upon certification by section, the bank shall not pay out any
the charter operator or foreign charter funds from the account prior to 2 bank-
operator of the amounts payable for ing days after completion of each char-
such ground accommodations and serv- ter, when the balance in the account
ices and the person or companies to shall be paid the charter operator or
whom payment is to be made: Pro- foreign charter operator, upon certifi-
vided, however, That the total amounts cation of the completion date by the
paid by the bank pursuant to para- direct air carrier: Provided, however,
graphs (b)(2) (ii) and (v) of this section That if the Charter involves air trans-
shall not exceed either the total cost of portation only and the bank has paid
the air transportation, or 80 percent of the direct air carrier(s) the charter
the total deposits received by the bank price for the originating flight, and the
less any refunds made to charter par- returning flight if any, and has paid all
ticipants pursuant to paragraphs (b)(2) refunds due to participants, as provided
(ii) and (iv) of this section, whichever in paragraph (b)(2)(ii) and (iii), respec-
is greater; tively, of this section, then the bank
(vi) As used in this section, the term may pay the balance in the account to
‘‘bank’’ means a bank insured by the the charter operator upon certification
Federal Deposit Insurance Corporation; by the direct air carrier performing the
(vii) The bank shall maintain a sepa- originating flight that such flight has
rate accounting for each charter group; in fact departed.
(viii) Notwithstanding any other pro- (c)(1) The security agreement re-
visions of this section, the amount of quired under paragraphs (a) and (b) of
total cash deposits required to be this section shall insure the financial
maintained in the depository account responsibility of the charter operator
of the bank may be reduced by one or or foreign charter operator and the
both of the following: The amount of supplying of the transportation and all
the security agreement in the form other accommodations, services, and
prescribed in this section in excess of facilities in accordance with the con-
the minimum coverage required by tract between the charter operator or
paragraph (b)(1) of this section; an es- foreign charter operator and the char-
crow with the designated bank of Fed- ter participants.
eral, State, or municipal bonds or (2) The security agreement may be
other securities, consisting of certifi- either:
cates of deposit issued by banks having (i) A surety bond in the form set
a stated policy of redeeming such cer- forth as appendix A to this part;
tificates before maturity at the request (ii) A surety trust agreement in the
of the holder (subject only to such in- form set forth as appendix B to this
terest penalties or other conditions as part; or
may be required by law), or negotiable (iii) An arrangement with a bank (for
securities which are publicly traded on instance, a standby letter of credit)
a securities exchange, all such securi- that provides protection of charter par-
ties to be made payable to the escrow ticipants’ funds equivalent to or great-
account: Provided, That such other se- er than that provided by the Bond in
curities shall be substituted in an appendix A. An arrangement that fur-
amount no greater than 80 percent of nishes a lesser degree of protection
the total market value of the escrow than would be provided under the bond
account at the time of such substi- shall be invalid to that extent, and in-
tution: And provided, further, That stead the bank, the charter operator or
should the market value of such other foreign charter operator, and the char-
securities subsequently decrease, from ter participants shall have the same
time to time, then additional cash or rights and liabilities as provided under

411
§ 380.34a 14 CFR Ch. II (1–1–19 Edition)
a bond in the form of appendix A. If the claim with the charter operator or for-
arrangement does not give as much eign charter operator, or, if it is un-
protection as a bond against the risk of available, with the securer, within 60
the charter operator’s bankruptcy, the days after termination of the charter,
bank shall be liable in the event of the securer shall be released from all
bankruptcy to the same extent as if it liability under the security agreement
had entered into a bond. to such charter participant. Termi-
(3) Any agreement under paragraph nations means the date of arrival (or in
(c)(2)(iii) of this section shall include a the case of a canceled charter, the in-
statement that, in the event that the tended date of arrival) of the return
other provisions of the agreement do flight. If there is no return flight in a
not provide protection to charter par- participant’s itinerary, termination
ticipants comparable to that provided means the date or intended date of de-
under a bond in the form of appendix A, parture of the last flight in the partici-
the bank shall assume, for the benefit pant’s itinerary.
of the charter participants, all the li-
abilities it would have if it entered into § 380.34a Substitution of direct air car-
the bond. rier’s security or depository agree-
(4) The security agreement shall be ment.
effective on or before the date the (a) A direct air carrier may sub-
charter prospectus is filed with the De- stitute its own security agreement and/
partment. or depository arrangements, as speci-
(5) The security agreement shall be fied in this section, for those required
specifically identified by the issuing of the charter operator under § 380.34,
securer with a numbering system so but only for charter trips in which all
that the Department can identify the the air transportation is provided by
security agreement with the specific one direct air carrier. Charter opera-
charter or charters to which it relates. tors are relieved from § 380.34 to the ex-
These data may be set forth in an ad- tent that the direct carrier substitutes
dendum attached to the security agree- its own arrangements.
ment, which addendum must be signed (b) The direct air carrier may sub-
by the charter operator or foreign stitute its security agreement for all of
charter operator and the securer. the arrangements required of the char-
(6) When security is provided by a ter operator under § 380.34 (a) or (b). Al-
surety bond, such bond shall be issued ternatively, it may substitute its de-
by a bonding or surety company that is pository agreement for the depository
listed in Best’s Insurance Reports (Fire agreement required of the charter oper-
and Casualty) with a general policy- ator under § 380.34(b)(2). If the direct
holders’ rating of ‘‘A’’ or better. The carrier substitutes its depository
bonding or surety company shall be agreement, it may also obtain and sub-
one legally authorized to issue bonds of stitute a security agreement for the
that type in the State in which the one otherwise required of the charter
charter originates. For purposes of this operator under § 380.34(b)(1). If the di-
section the term ‘‘State’’ includes any rect carrier substitutes its depository
territory or possession of the United agreement only, the charter operator
States, or the District of Columbia. must supply the security agreement re-
(7) When security is provided by a se- quired under § 380.34(b)(1).
curity agreement other than a bond, (c) If the direct carrier substitutes a
the agreement shall be issued by a na- security agreement for all the charter
tional bank complying with the provi- operator’s requirements under § 380.34,
sions of 12 CFR 7.7010(a), or by a State the charter operator shall include in
bank complying with applicable State the charter prospectus, in place of the
laws that give authority to issue such information in § 380.28(a)(2) regarding
agreements, and all such banks must the charter operator’s security agree-
be insured by the Federal Deposit In- ment:
surance Corporation. (1) A statement by the direct air car-
(d) The security agreement required rier on OST Form 4535 that it will take
by this section shall provide that un- responsibility for all charter partici-
less the charter participant files a pant payments (including those for

412
Office of the Secretary, DOT § 380.35
ground accommodations and services) (3) On sales made to participants by a
and for the fulfillment of all the char- person other than a retail travel agent,
ter operator’s contractual and regu- the participant shall pay by check,
latory obligations to the charter par- money order, or credit card draft pay-
ticipants. able to the bank. On sales made to par-
(2) A statement from the direct air ticipants by a retail travel agent, pay-
carrier and its securer (under § 212.12 of ments shall be made in the same man-
this chapter), OST Form 4533, that they ner unless the agent deducts its com-
have entered into a security agreement mission and remits the balance to the
assuring the direct air carrier’s respon- bank by check, money order, or elec-
sibilities to charter participants under tronic transfer. The agent may deduct
this section in an unlimited amount its commission only if it agrees in
(except that the liability of the securer writing with its principal (the charter
with respect to any charter participant operator or direct air carrier, as appli-
may be limited to the charter price cable) that, if the charter is canceled,
paid by or on behalf of such partici- the agent shall remit to the bank the
pant), and that the securer has re- full amount of the commission pre-
ceived a copy of the proposed flight viously deducted or received within 10
schedule identified by the schedule days after receipt of notification of the
number assigned by the charter oper- cancellation. The depository bank shall
ator under this part. pay refunds directly to participants ac-
(d) A substitute depository agree- cording to the terms of the operator-
ment under this section shall be signed participant contract and the terms of
by the direct air carrier, the charter this part.
operator, and the depository bank, and (e) If the direct carrier substitutes a
shall provide, in addition to existing security agreement in addition to sub-
requirements under § 212.8 of this chap- stituting a depository agreement, the
ter, that: charter prospectus information must
(1) Payments by or on behalf of char- include all the information required by
ter participants shall be allocated to paragraphs (c) and (d) of this section,
the flight accounts matching the par- except for the amount of the security
ticipant’s itinerary in the following agreement. That agreement shall be in
way: Each account shall have allocated an amount of at least $10,000 times the
to it the charter cost of the partici- number of flights, except that the
pant’s air transportation on that amount need not be more than $200,000.
flight. The portion of each payment (f) A copy of the depository agree-
not intended for air transportation ment under paragraph (d) of this sec-
services shall be allocated to the ac- tion shall be filed with the Depart-
count for the return flight in the par- ment, and it shall not be effective until
ticipant’s itinerary. If there is only one approved by the Department.
flight in the itinerary, the entire pay- (g) A copy of the security agreement
ment shall be allocated to that ac- under paragraph (c) or paragraph (e) of
count. this section shall be filed with the De-
(2) The bank shall pay funds from a partment. It shall insure the financial
flight account directly to the hotels, responsibility of the direct air carrier
sightseeing enterprises, or other per- for supplying the transportation and
sons or companies furnishing ground all other accommodations, services,
accommodations and services, if any, and facilities in accordance with the
in connection with the charter flight, contracts between the charter operator
upon presentation to the bank of ven- and the charter participants. Such se-
dor’s bills and upon certification by the curity agreement shall meet all the
person who contracted for the ground other requirements of § 380.34 (c) and
accommodations or services of the (d).
amounts payable and the persons or
companies to whom payment is to be § 380.35 Disbursements from deposi-
made, except that no disbursement tory account.
shall be made that would reduce the No charter operator or direct air car-
balance in the account below the char- rier shall cause its agents or the depos-
ter cost of the flight. itory bank to make disbursements or

413
§ 380.36 14 CFR Ch. II (1–1–19 Edition)
payments from deposits except in ac- finds that such action is necessary in
cordance with the provisions of this order to protect the rights of the trav-
part. eling public.
§ 380.36 Record retention. § 380.46 Charter trip reporting.
Every charter operator conducting a The direct air carrier shall promptly
charter pursuant to this part shall notify the Office of Aviation Analysis,
comply with the applicable record-re- Special Authorities Division, regarding
tention provisions of part 249 of this any charters covered by a prospectus
chapter. filed under § 380.28 that are later can-
celed.
Subpart D—Requirements
Applicable to Direct Air Carriers Subpart E—Registration of Foreign
§ 380.40 Charter not to be performed Charter Operators
unless in compliance with this part
380. § 380.60 Purpose.
(a) For all Public Charters other than This subpart establishes registration
foreign-originating charters organized procedures for foreign charter opera-
by foreign charter operators: A direct tors intending to engage in the forma-
air carrier shall not perform air trans- tion of groups for transportation on
portation in connection with such a Public Charters that originate in the
charter unless it has made a reasonable United States.
effort to verify that all provisions of
this part have been complied with and § 380.61 Operation by foreign charter
that the charter operator’s authority operators.
under this part has not been suspended
(a) Each foreign charter operator
by the Department.
shall be registered under this subpart
(b) For foreign-originating Public
Charters organized by foreign charter and file a prospectus under § 380.25 be-
operators: A direct air carrier shall not fore organizing groups for transpor-
perform air transportation in connec- tation on Public Charters that origi-
tion with such a charter unless— nate in the United States.
(1) The charter is conducted in ac- (b) Each foreign charter registered
cordance with subpart B of this part under this subpart shall comply with
and the other provisions of this part di-
(2) The charter operator conforms to rected to charter operators.
all requirements of this part that are
applicable to charter operators within § 380.62 Registration applications.
the Department’s jurisdiction, other (a) To be registered under this sub-
than §§ 380.25, 380.28, 380.30 through part, a foreign charter operator shall
380.36, and 380.50. file two copies of an application for
registration with the Office of Aviation
§§ 380.41–380.42 [Reserved]
Analysis, Special Authorities Division.
§ 380.43 Cancellations by direct air The Department will list the names
carriers. and nationalities of all persons apply-
The direct air carrier shall not cancel ing for registration in its Weekly Sum-
any charter under this part less than 10 mary of Filings.
days before the scheduled departure (b) The application shall be made on
date, except for circumstances that OST Form 4530, which can be obtained
make it physically impossible to per- from the Office of Aviation Analysis,
form the charter trip. Special Authorities Division.
(c) The applicant shall clearly indi-
§ 380.45 Suspension of exemption au- cate in its application for registration
thority.
whether it requests authority to en-
The Department reserves the power gage in foreign and/or interstate air
to suspend the exemption authority of transportation.
any air carrier, without hearing, if it

414
Office of the Secretary, DOT § 380.67

§ 380.63 Objections to registration ap- change by resubmitting OST Form

plications. 4530.
Any person objecting to the registra- (b) A foreign charter operator reg-
tion application of a foreign charter istered under this subpart shall apply
operator or to a proposed change in the for an amendment to that registration
name or ownership of that operator not later than 30 days after either of
shall file an objection with the Office the following events:
of Aviation Analysis, Special Authori- (1) A person listed on its existing reg-
ties Division, within 28 days after the istration as owning or holding bene-
Department receives the properly com- ficial interest in at least 10 percent of
pleted registration application. the operator or of the operator’s stock
reduces its holding to below 10 percent;
§ 380.64 Department action on a reg- (2) A person not listed on the existing
istration application. registration as owning or holding bene-
(a) After a registration is received, ficial interest in at least 10 percent of
one of the following actions will be the operator or of the operator’s stock
taken. becomes an owner or holder of 10 per-
(1) The application will be approved cent or more of the company or of its
by the stamping of the effective date of stock.
registration on OST Form 4530 and re- (c) An application for an amendment
turning the duplicate copy of the form shall be made by resubmitting OST
to the operator; Form 4530. The existing registration
(2) Additional information will be re- shall remain valid pending Department
quested for the applicant; action on the amendment.
(3) The applicant will be notified that
§ 380.66 Cancellation or conditioning
its application will require further of the registration.
analysis or procedures, or is being re-
ferred to the Department for formal ac- The registration of a foreign charter
tion; operator may be canceled or subjected
(4)The registration application will to additional terms, conditions, or lim-
be rejected if it does not comply with itations if any of the following occur:
the filing requirements of this subpart; (a) The operator files a written no-
(5) The application will be approved tice with the Department that it is dis-
subject to such terms, conditions, or continuing its charter operations;
limitations as may be required by the (b) A substantial ownership interest
public interest; or is acquired by persons who are not citi-
(6) The registration application will zens of the same country as the reg-
be rejected for reasons relating to the istrant; or
failure of effective reciprocity or if the (c) The Department finds, after no-
Department finds that it would be in tice and an opportunity for responses,
the public interest to do so. that it is in the public interest to do
(b) One of the actions described in so. In making this finding, the Depart-
paragraph (a) of this section will nor- ment will consider whether effective
mally be taken within 60 days after the reciprocity exists between the United
registration application is received. States and the government of the for-
The Department will also consider re- eign charter operator.
quests for faster action that include a
§ 380.67 Waiver of sovereign immunity.
full explanation of the need for expe-
dited action. By accepting an approved registra-
tion form under this subpart, an oper-
§ 380.65 Notification of change of oper- ator waives any right it may have to
ations or ownership. assert any defense of sovereign immu-
(a) Not later than 30 days before any nity from suit in any proceeding
change in its name or address or before against it, in any court or other tri-
a temporary or permanent cessation of bunal of the United States, that is
operations, each foreign charter oper- based upon a claim arising out of oper-
ator registered under this subpart shall ations by the operator under this part.
notify the Office of Aviation Analysis,
Special Authorities Division, of the

415
Pt. 380, App. A 14 CFR Ch. II (1–1–19 Edition)
APPENDIX A TO PART 380—PUBLIC CHAR- The liability of Surety with respect to any
TER OPERATOR’S SURETY BOND charter participant shall not exceed the
UNDER PART 380 OF THE SPECIAL charter price paid by or on behalf of such
participant.
REGULATIONS OF THE DEPARTMENT
The liability of Surety shall not be dis-
OF TRANSPORTATION (14 CFR PART
charged by any payment or succession of
380) payments hereunder, unless and until such
Know all men by these presents, that we payment or payments shall amount in the
llllllllll (name of charter oper- aggregate to the penalty of the bond, but in
ator) of llllllllll, (city) no event shall Surety’s obligation hereunder
llllllllll (state or country) as exceed the amount of said penalty.
Principal (hereinafter called Principal), Surety agrees to furnish written notice to
andllllllllll (name of surety) a the Office of Aviation Analysis, Department
corporation created and existing under the of Transportation, forthwith of all suits or
laws of the State of llllllllll claims filed and judgments rendered, and
(State) as Surety (hereinafter called Surety) payments made by Surety under this bond.
are held and firmly bound unto the United The bond shall cover the following char-
States of America in the sum of ters: 1
$llllllllll (see § 380.34(f) of Part Surety company’s bond No. lllllllll
380) for which payment, well and truly to be
Date of flight departure lllllllllll
made, we bind ourselves and our heirs, ex-
ecutors, administrators, successors, and as- Place of flight departure llllllllll
signs, jointly and severally, firmly by these This bond is effective on the lll day of
presents. llll, 12:01 a.m., standard time at the ad-
Whereas Principal intends to become a dress of Principal as stated herein and as
Public Charter operator pursuant to the pro- hereinafter provided. Principal or Surety
visions of part 380 of the Department’s Spe- may at any time terminate this bond by
cial Regulations and other rules and regula- written notice to: ‘‘Special Authorities Divi-
tions of the Department relating to insur- sion (P–57), Office of Aviation Analysis, U.S.
ance or other security for the protection of Department of Transportation, Washington,
charter participants, and has elected to file DC 20590,’’ such termination to become effec-
with the Department of Transportation such tive thirty (30) days after the actual receipt
a bond as will insure financial responsibility of said notice by the Department. Surety
with respect to all moneys received from shall not be liable hereunder for the payment
charter participants for services in connec- of any damages hereinbefore described which
tion with a Public Charter to be operated arise as a result of any contracts, agree-
subject to Part 380 of the Department’s Spe- ments, undertakings, or arrangements for
cial Regulations in accordance with con- the supplying of transportation and other
tracts, agreements, or arrangements there- services made by Principal after the termi-
for, and nation of this bond as herein provided, but
Whereas this bond is written to assure such termination shall not affect the liabil-
compliance by Principal as an authorized ity of the bond hereunder for the payment of
charter operator with Part 380 of the Depart- any damages arising as a result of contracts,
ment’s Special Regulations, and other rules agreements, or arrangements for the sup-
and regulations of the Department relating plying of transportation and other services
to insurance and other security for the pro- made by Principal prior to the date that
tection of charter participants, and shall such termination becomes effective. Liabil-
inure to the benefit of any and all charter ity of Surety under this bond shall in all
participants to whom Principal may be held events be limited only to a charter partici-
legally liable for any damages herein de- pant or charter participants who shall with-
scribed. in sixty (60) days after the termination of
Now, therefor, the condition of this obliga- the particular charter described herein give
tion is such that if Principal shall pay or written notice of claim to the charter oper-
cause to be paid to charter participants any ator or, if it is unavailable, to Surety, and
sum or sums for which Principal may be held all liability on this bond shall automatically
legally liable by reason of Principal’s failure terminate sixty (60) days after the termi-
faithfully to perform, fulfill and carry out nation date of each particular charter cov-
all contracts, agreements, and arrangements ered by this bond except for claims made in
made by Principal while this bond is in ef- the time provided herein.
fect with respect to the receipt of moneys In witness whereof, the said Principal and
from charter participants, and proper dis- Surety have executed this instrument on the
bursement thereof pursuant to and in ac- lll day of llllllll, llll.
cordance with the provisions of Part 380 of
the Department’s Special Regulations, then
this obligation shall be void, otherwise to re- 1 These data may be supplied in addendum

main in full force and effect. attached to the bond.

416
Office of the Secretary, DOT Pt. 380, App. B
Principal 1. Those for whom Operator or Operator’s
agent has received payment toward partici-
Name llllllllllllllllllll
pation in one or more charters operated by
By: Signature and title or proposed to be operated by Operator.
2. Who have legal claim or claims for
Surety
money damages against the Operator by rea-
Name llllllllllllllllllll son of the Operators’ failure faithfully to
By: Signature and title lllllllllll perform, fulfill, and carry out all contracts,
Only corporations may qualify to act as agreements, and arrangements made by the
surety and they must meet the requirements Operator while this trust is in respect to the
set forth in § 380.34(c)(6) of Part 380. receipt of moneys and proper disbursement
thereof pursuant to Part 380 of the Depart-
APPENDIX B TO PART 380—PUBLIC ment’s Special Regulations; and
CHARTER SURETY TRUST AGREEMENT 3. Who have given notice of such claim or
claims in accordance with this Trust Agree-
This Trust Agreement is entered into be- ment, but who have not been paid by the Op-
tween llllllllll (charter operator) erator.
incorporated under the law of The Operator shall convey to the Trustee
llllllllll with the principal place legal title to the trust corpus, which has a
of business being llllllllll (herein- value of $llllllll by the time of the
after referred to as the Operator), and execution of this Agreement.
llllllllll (Bank) with its principal Trustee shall assume the responsibilities of
place of business being llllllllll the Trustee over the said trust corpus and
(hereinafter referred to as the ‘‘Trustee’’), shall distribute from the trust corpus to any
for the purpose of creating a trust to become and all Beneficiaries to whom the Operator,
effective as of the lll day of in its capacity as a Public Charter operator,
llllllll, llll, which trust shall may be held legally liable by reason of the
continue until terminated as hereinafter Operator’s failure faithfully to perform, ful-
provided. fill, and carry out all contracts, agreements,
The Operator intends to become a Public and arrangements made by the Operator,
Charter operator pursuant to the provisions while this trust is in effect with respect to
of Part 380 of the Department’s Special Reg- the receipt of moneys and proper disburse-
ulations and other rules and regulations of ment thereof pursuant to Part 380 of the De-
the Department relating to insurance or partment’s Special Regulations in connec-
other security for the protection of charter tion with said charters, such damages as will
participants, and has elected to file with the discharge such liability while this trust is in
Department of Transportation such a Surety effect; Provided, however, That the liability
Trust Agreements as will insure financial re- of the trust to any Beneficiary shall not ex-
sponsibility with respect to all moneys re- ceed the charter price (as defined in Part 380
ceived from charter participants for services of the Department’s Special Regulations)
in connection with a Public Charter to be op- paid by or on behalf on any such Beneficiary;
erated subject to Part 380 of the Depart- Provided, further, That there shall be on ob-
ment’s Special Regulations in accordance ligation of the trust to any Beneficiary if the
with contracts, agreements, or arrangements Operator shall pay or cause to be paid to any
therefor. Beneficiary any sum or sums for which the
This Surety Trust Agreement is written to Operator may be held legally liable by rea-
assure compliance by the Operator with the sons of its failure faithfully to perform, ful-
provisions of Part 380 of the Department’s fill, and carry out all contracts, agreements,
Special Regulations and other rules and reg- and arrangements made by the Operator in
ulations of the Department relating to insur- its capacity as charter operator while this
ance or other security for the protection of trust is in effect with respect to the receipt
charter participants. of moneys and proper disbursement thereof
It shall inure to the benefit of any and all pursuant to Part 380 of the Department’s
charter participants to whom the Operator Special Regulations; And provided still fur-
may be held legally liable for any of the ther, That the liability of the trust as ad-
damages herein described. ministered by the Trustee shall not be dis-
It is mutually agreed by and between the charged by any payment or succession of
operator and Trustee that the Trustee shall payments hereunder, unless and until such
manage the corpus of the trust and carry out payment or payments, shall amount in the
the purposes of the trust as hereinafter set aggregate to $llllllll. Notwith-
forth during the term of the trust for the standing anything herein to the contrary, in
benefit of charter participants (who are here- no event shall the obligation of the trust or
inafter referred to as ‘‘Beneficiaries.’’) the Trustee hereunder exceed the aggregate
Beneficiaries of the trust created by this amount of $llllllll.
Agreement shall be limited to those charter The Trustee agrees to furnish written no-
participants who meet the following require- tice to the Office of Aviation Analysis, De-
ments: partment of Transportation, forthwith of all

417
Pt. 381 14 CFR Ch. II (1–1–19 Edition)
suits of claims filed and judgments rendered this trusteeship and shall have the powers
(of which it has knowledge), and of payments and obligations set forth in this Agreement.
made by the Trustee under the terms of this The trust created under this Agreement
trust. shall be operated and administered under the
The Trust shall not be liable hereunder for laws of the State of llllllll.
the payment of any damages hereinbefore de- IN WITNESS WHEREOF, the Operator and
scribed which arise as a result of any con- Trustee have executed this instrument on
tracts, agreements, undertakings, or ar- the lll day of llllllll, llll.
rangements for the supplying of transpor-
tation and other services made by the Oper- Trustee
ator after the termination of this trust as Name llllllllllllllllllll
herein provided, but such termination shall By: Signature and title
not affect the liability of the trust hereunder
for the payment of any damages arising as a Charter Operator
result of contracts, agreements, or arrange-
ments for the supplying of transportation Name llllllllllllllllllll
and other services made by the Operator By: Signature and title
prior to the date that such termination be-
comes effective. PART 381—SPECIAL EVENT TOURS
Liability of the trust shall in all events be
limited only to a Beneficiary or Bene-
Sec.
ficiaries who shall within sixty days after
381.1 Purpose.
the termination of the particular charter
381.3 Applicability.
give written notice of claim to the Operator
381.5 Definition.
or, if it is unavailable, to the Trustee, and
381.7 Advertising.
all liability of the trust with respect to par-
ticipants in a charter shall automatically 381.9 Sales.
terminate sixty days after the termination 381.11 Refunds.
date of each particular charter covered by 381.13 Price increases.
this trust except for claims filed in the time AUTHORITY: 49 U.S.C. 40113(a) and 41712.
provided herein. Sixty-one days after the
completion of the last charter covered by SOURCE: Docket No. 49385, 59 FR 61514, Nov.
this Trust Agreement, the trust shall auto- 30, 1994, unless otherwise noted.
matically terminate except for claims of any
Beneficiary or Beneficiaries previously made § 381.1 Purpose.
in accordance with this Agreement still The purpose of this part is ensure
pending on and after said sixty-first day. To that air travelers who have purchased
the extent of such claims, the trust shall
tours to special events will receive the
continue until those claims are discharged,
dismissed, dropped, or otherwise terminated; promised admission to the event. This
the remainder of the trust corpus shall be part expands the ‘‘Super Bowl rule’’ to
conveyed forthwith to the Operator. After all other events.
remaining claims which are covered by this
Trust Agreement pending on and after the § 381.3 Applicability.
said sixty-first day have been discharged, This part applies to Special Event
dismissed, dropped, or otherwise terminated,
the Trustee shall convey forthwith the re- Tours that are in interstate air trans-
mainder of the trust corpus, if any, to the portation, or in foreign air transpor-
Operator. tation originating at a point in the
Either the Operator or Trustee may at any United States. This part applies to U.S.
time terminate this trust by written notice and foreign operators of Special Event
to: ‘‘Special Authorities Division (P–57), Of- Tours, whether they be air carriers or
fice of Aviation Analysis, U.S. Department ticket agents. This part applies to
of Transportation, Washington, DC 20590,’’
scheduled, charter, and other air trans-
such termination to become effective thirty
days after the actual receipt of said notice portation.
by the Department.
In the event of any controversy or claim § 381.5 Definition.
arising hereunder, the Trustee shall not be Special Event Tour means a tour that
required to determine same or take any is organized for the purpose of attend-
other action with respect thereto, but may ing a sporting, social, religious, edu-
await the settlement of such controversy or
cational, cultural, political or other
claim by final appropriate legal proceedings,
and in such event shall not be liable for in- event of a special nature and limited
terest or damages of any kind. duration, which exists for reasons
Any Successor to the Trustee by merger, apart from the tour itself, and which is
consolidation, or otherwise, shall succeed to represented by the operator of the tour

418
Office of the Secretary, DOT § 381.11
as including admission to that event. receives an unsolicited booking for
Examples of such events include, but which the operator does not have phys-
are not limited to, college and profes- ical possession of or written contracts
sional sporting events, the Olympics, for a ticket for admission to the event,
concerts, the Passion Play in any payment accompanying that book-
Oberammergau, etc. ing must be returned within 3 business
days.
§ 381.7 Advertising.
(2) Upon acceptance of the money for
No operator of a Special Event Tour a sale, the operator must reserve one
or agent of such an operator shall con- event ticket for that individual. An op-
duct, or cause or allow to be conducted, erator may not sell more seats on the
any advertising, solicitation or other tour than it has event tickets in hand
promotion for a Special Event Tour un- or under contract. (An operator need
less: not continue to reserve an event ticket
(a) The operator is in physical posses- for an individual who withdraws from
sion of enough tickets for admission to the tour by providing notice to the op-
the event to provide such tickets for a erator or by being notified by the oper-
substantial number of seats on the ator that the individual’s participation
tour; or has been canceled due to failure to
(b) The operator has entered into a remit a required installment payment.)
written contract with an organization (b) An operator of a Special Event
that is the distributor of such tickets Tour may accept a booking and pay-
or an organization that receives such ment from an individual for whom the
tickets directly from the distributor operator does not have an event ticket
(e.g., a bowl committee; football con- in hand or under contract if that indi-
ference, league or team; concert pro- vidual agrees in writing that he or she
moter or arena; etc.), the terms of
understands that no event ticket has
which provide for that organization to
been reserved for him or her. This
furnish the operator enough admission
agreement shall specify whether the
tickets to provide such tickets for a
person has agreed to participate in the
substantial number of seats on the
tour without an event ticket and/or the
tour; or
operator has agreed to attempt to ac-
(c) The operator has entered into a
written contract with another person quire an event ticket for this person. If
or organization that has a written con- the two parties agree that the operator
tract or series of written contracts will attempt to acquire an event tick-
with the distributor of such tickets or et, the agreement shall specify any
with an organization that receives such penalties that will apply if the indi-
tickets directly from the distributor, vidual later cancels because an event
the terms of which provide for that or- ticket did not become available. If the
ganization (the organization with operator notifies this person that an
which the operator has contracted) to event ticket has become available, that
furnish the operator enough admission person shall enjoy all the other protec-
tickets to provide such tickets for a tions of this part from that time.
substantial number of seats on the
§ 381.11 Refunds.
tour.
If promised admission to the primary
§ 381.9 Sales. event for which a Special Event Tour
(a) Except as provided in paragraph was organized is not furnished by the
(b) of this section: tour operator, at the tour price agreed
(1) No operator of a Special Event to before departure (including any in-
Tour shall accept money for a seat on creases that the participant has ac-
a Special Event Tour, or authorize an cepted pursuant to § 381.13(a)), the oper-
agent to accept such money, unless the ator must provide each tour partici-
operator has physical possession of, or pant affected in this way a refund of
written contracts (in the manner de- the total tour price. This refund is to
scribed in § 381.7) for, a ticket for ad- be provided within 14 calendar days
mission to the event for that indi- after the scheduled return date of the
vidual. To the extent that the operator tour.

419
§ 381.13 14 CFR Ch. II (1–1–19 Edition)

§ 381.13 Price increases. tice in order to obtain certain specific

services in connection with a flight?
(a) Should the tour operator increase 382.29 May a carrier require a passenger
a participant’s tour price by more than with a disability to travel with a safety
10 percent (aggregate of all increases to assistant?
that participant), that participant 382.31 May carriers impose special charges
shall have the option of canceling his on passengers with a disability for pro-
viding services and accommodations re-
or her participation in the tour and re-
quired by this rule?
ceiving a full refund within 14 days 382.33 May carriers impose other restric-
after the cancellation. tions on passengers with a disability that
(b) The tour operator shall not in- they do not impose on other passengers?
crease the tour price to any participant 382.35 May carriers require passengers with
less than ten days before departure. a disability to sign waivers or releases?

Subpart C—Information for Passengers

PART 382—NONDISCRIMINATION
ON THE BASIS OF DISABILITY IN 382.41 What flight-related information must
carriers provide to qualified individuals
AIR TRAVEL with a disability?
382.43 Must information and reservation
Subpart A—General Provisions services of carriers be accessible to indi-
Sec. viduals with visual, hearing, and other
382.1 What is the purpose of this part? disabilities?
382.3 What do the terms in this rule mean? 382.45 Must carriers make copies of this
382.5 When are U.S. and foreign carriers re- part available to passengers?
quired to begin complying with the pro-
visions of this part? Subpart D—Accessibility of Airport
382.7 To whom do the provisions of this part Facilities
apply?
382.51 What requirements must carriers
382.9 What may foreign carriers do if they
meet concerning the accessibility of air-
believe a provision of a foreign nation’s
port facilities?
law conflicts with compliance with a pro-
382.53 What information must carriers give
vision of this part?
individuals with a vision or hearing im-
382.10 How does a carrier obtain a deter-
pairment at airports?
mination that it is providing an equiva-
382.55 May carriers impose security screen-
lent alternative to passengers with dis-
ing procedures for passengers with dis-
abilities?
abilities that go beyond TSA require-
ments or those of foreign governments?
Subpart B—Nondiscrimination and Access 382.57 What accessibility requirements
to Services and Information apply to automated airport kiosks?
382.11 What is the general nondiscrimina-
tion requirement of this part? Subpart E—Accessibility of Aircraft
382.13 Do carriers have to modify policies, 382.61 What are the requirements for mov-
practices, and facilities to ensure non- able aisle armrests?
discrimination? 382.63 What are the requirements for acces-
382.15 Do carriers have to make sure that sible lavatories?
contractors comply with the require- 382.65 What are the requirements con-
ments of this part? cerning on-board wheelchairs?
382.17 May carriers limit the number of pas- 382.67 What is the requirement for priority
sengers with a disability on a flight? space in the cabin to store passengers’
382.19 May carriers refuse to provide trans- wheelchairs?
portation on the basis of disability? 382.69 What requirements must carriers
382.21 May carriers limit access to transpor- meet concerning the accessibility of vid-
tation on the basis that a passenger has eos, DVDs, and other audio-visual pres-
a communicable disease or other medical entations shown on- aircraft to individ-
condition? uals who are deaf or hard-of-hearing?
382.23 May carriers require a passenger with 382.71 What other aircraft accessibility re-
a disability to provide a medical certifi- quirements apply to carriers?
cate?
382.25 May a carrier require a passenger Subpart F—Seating Accommodations
with a disability to provide advance no-
tice that he or she is traveling on a flight? 382.81 For which passengers must carriers
382.27 May a carrier require a passenger make seating accommodations?
with a disability to provide advance no- 382.83 Through what mechanisms do car-
riers make seating accommodations?

420
Office of the Secretary, DOT § 382.3
382.85 What seating accommodations must aids, and other assistive devices must be
carriers make to passengers in cir- disassembled for stowage?
cumstances not covered by § 382.81 (a) 382.131 Do baggage liability limits apply to
through (d)? mobility aids and other assistive devices?
382.87 What other requirements pertain to 382.133 What are the requirements con-
seating for passengers with a disability? cerning the evaluation and use of pas-
senger-supplied electronic devices that
Subpart G—Boarding, Deplaning, and assist passengers with respiration in the
Connecting Assistance cabin during flight?

382.91 What assistance must carriers pro- Subpart J—Training and Administrative
vide to passengers with a disability in Provisions
moving within the terminal?
382.93 Must carriers offer preboarding to 382.141 What training are carriers required
passengers with a disability? to provide for their personnel?
382.95 What are carriers’ general obligations 382.143 When must carriers complete train-
with respect to boarding and deplaning ing for their personnel?
assistance? 382.145 What records concerning training
382.97 To which aircraft does the require- must carriers retain?
ment to provide boarding and deplaning
assistance through the use of lifts apply? Subpart K—Complaints and Enforcement
382.99 What agreements must carriers have Procedures
with the airports they serve?
382.101 What other boarding and deplaning 382.151 What are the requirements for pro-
assistance must carriers provide? viding Complaints Resolution Officials?
382.103 May a carrier leave a passenger un- 382.153 What actions do CROs take on com-
attended in a wheelchair or other device? plaints?
382.105 What is the responsibility of carriers 382.155 How must carriers respond to writ-
at foreign airports at which airport oper- ten complaints?
ators have responsibility for enplaning, 382.157 What are carriers’ obligations for
deplaning, and connecting assistance? recordkeeping and reporting on dis- ability-
related complaints?
Subpart H—Services on Aircraft 382.159 How are complaints filed with DOT?
APPENDIX A TO PART 382—REPORT OF DIS-
382.111 What services must carriers provide ABILITY- RELATED C OMPLAINT D ATA
to passengers with a disability on board APPENDIX B TO PART 382—CROSS-REFERENCE
the aircraft? TABLE
382.113 What services are carriers not re-
quired to provide to passengers with a AUTHORITY: 49 U.S.C. 41705.
disability on board the aircraft? SOURCE: Doc. No. DOT–OST–2004–19482, 73
382.115 What requirements apply to on- FR 27665, May 13, 2008, unless otherwise
board safety briefings? noted.
382.117 Must carriers permit passengers
with a disability to travel with service
animals? Subpart A—General Provisions
382.119 What information must carriers give
individuals with vision or hearing im- § 382.1 What is the purpose of this part?
pairment on aircraft? The purpose of this part is to carry
out the Air Carrier Access Act of 1986,
Subpart I—Stowage of Wheelchairs, Other as amended. This rule prohibits both
Mobility Aids, and Other Assistive Devices U.S. and foreign carriers from discrimi-
382.121 What mobility aids and other assist- nating against passengers on the basis
ive devices may passengers with a dis- of disability; requires carriers to make
ability bring into the aircraft cabin? aircraft, other facilities, and services
382.123 What are the requirements con- accessible; and requires carriers to
cerning priority cabin stowage for wheel- take steps to accommodate passengers
chairs and other assistive devices? with a disability.
382.125 What procedures do carriers follow
when wheelchairs, other mobility aids, § 382.3 What do the terms in this rule
and other assistive devices must be mean?
stowed in the cargo compartment?
382.127 What procedures apply to stowage of In this regulation, the terms listed in
battery-powered mobility aids? this section have the following mean-
382.129 What other requirements apply when ings:
passengers’ wheelchairs, other mobility

421
§ 382.3 14 CFR Ch. II (1–1–19 Edition)
Air Carrier Access Act or ACAA means (1) The conforming version can be
the Air Carrier Access Act of 1986, as reached from the non-conforming page
amended, the statute that provides the via an accessibility-supported mecha-
principal authority for this part. nism; or
Air transportation means interstate or (2) The non-conforming version can
foreign air transportation or the trans- only be reached from the conforming
portation of mail by aircraft, as de- version; or
fined in 49 U.S.C. 40102. Generally this (3) The non-conforming version can
refers to transportation by aircraft only be reached from a conforming
within, to or from the United States. page that also provides a mechanism to
Assistive device means any piece of reach the conforming version.
equipment that assists a passenger CPAP machine means a continuous
with a disability to cope with the ef- positive airway pressure machine.
fects of his or her disability. Such de- Department or DOT means the United
vices are intended to assist a passenger States Department of Transportation.
with a disability to hear, see, commu-
Direct threat means a significant risk
nicate, maneuver, or perform other
to the health or safety of others that
functions of daily life, and may include
cannot be eliminated by a modification
medical devices and medications.
of policies, practices, or procedures, or
Automated airport kiosk means a self-
by the provision of auxiliary aids or
service transaction machine that a car-
services.
rier owns, leases, or controls and
makes available at a U.S. airport to en- Equivalent alternative means a policy,
able customers to independently obtain practice, or other accommodation that
flight-related services. provides substantially equivalent ac-
Battery-powered mobility aid means an cessibility to passengers with disabil-
assistive device that is used by individ- ities, compared to compliance with a
uals with mobility impairments such a provision of this Part.
wheelchair, a scooter, or a Segway Expected maximum flight duration
when it is used as a mobility device by means the carrier’s best estimate of
a person with a mobility-related dis- the total duration of the flight from
ability. departure gate to arrival gate, includ-
Carrier means a U.S. citizen (‘‘U.S. ing taxi time to and from the termi-
carrier’’) or foreign citizen (‘‘foreign nals, based on the scheduled flight time
carrier’’) that undertakes, directly or and factors such as (a) wind and other
indirectly, or by a lease or any other weather conditions forecast; (b) antici-
arrangement, to engage in air trans- pated traffic delays; (c) one instrument
portation. approach and possible missed approach
Commuter carrier means an air taxi at destination; and (d) any other condi-
operator as defined in 14 CFR part 298 tions that may delay arrival of the air-
that carries passengers on at least 5 craft at the destination gate.
round trips per week on at least one FAA means the Federal Aviation Ad-
route between two or more points ac- ministration, an operating administra-
cording to its published flight sched- tion of the Department of Transpor-
ules that specify the times, days of the tation.
week and places between which those Facility means a carrier’s aircraft and
flights are performed. any portion of an airport that a carrier
Conforming alternate version means a owns, leases, or controls (e.g., struc-
Web page that allows a corresponding tures, roads, walks, parking lots,
non-conforming Web page on the pri- ticketing areas, baggage drop-off and
mary Web site to be included within retrieval sites, gates, other boarding
the scope of conformance as long as it locations, loading bridges) normally
meets the WCAG 2.0 Level AA success used by passengers or other members of
criteria, is up-to-date and contains the the public.
same information and functionality in Flight-related services mean functions
the same language as the non-con- related to air travel including, but not
forming page. At least one of the fol- limited to, ticket purchase, rebooking
lowing applies to a conforming alter- cancelled flights, seat selection, and
native version: obtaining boarding passes or bag tags.

422
Office of the Secretary, DOT § 382.3
High-contrast captioning means cap- major life activities but that is treated
tioning that is at least as easy to read by an air carrier as constituting such a
as white letters on a consistent black limitation;
background. (2) Has a physical or mental impair-
Indirect carrier means a person not di- ment that substantially limits a major
rectly involved in the operation of an life activity only as a result of the atti-
aircraft who sells air transportation tudes of others toward such an impair-
services to the general public other ment; or
than as an authorized agent of a car- (3) Has none of the impairments set
rier. forth in this definition but is treated
Individual with a disability means any by an air carrier as having such an im-
individual who has a physical or men- pairment.
tal impairment that, on a permanent On-demand air taxi means an air taxi
or temporary basis, substantially lim- operator that carries passengers or
its one or more major life activities, property and is not a commuter carrier
has a record of such an impairment, or as defined in this section.
is regarded as having such an impair- PHMSA means the Pipeline and Haz-
ment. As used in this definition, the ardous Materials Safety Administra-
phrase: tion, an operating administration of
(a) Physical or mental impairment the Department of Transportation.
means: POC means portable oxygen concen-
(1) Any physiological disorder or con- trator.
dition, cosmetic disfigurement, or ana- Primary (or Main) Web site means the
tomical loss affecting one or more of Web site that is accessed upon entering
the following body systems: neuro- the uniform resource locator (e.g.,
logical, musculoskeletal, special sense www.carriername.com, www.airline des-
organs, respiratory including speech ignator code.com) in an Internet
organs, cardio-vascular, reproductive, browser from a standard desktop or
digestive, genito-urinary, hemic and laptop computer where the carrier ad-
lymphatic, skin, and endocrine; or vertises or sells air transportation to
(2) Any mental or psychological dis- the public.
order, such as mental retardation, or- Qualified individual with a disability
ganic brain syndrome, emotional or means an individual with a disability—
mental illness, and specific learning (a) Who, as a passenger (referred to
disabilities. as a ‘‘passenger with a disability’’),
The term physical or mental impair- (1) With respect to obtaining a ticket
ment includes, but is not limited to, for air transportation on a carrier, of-
such diseases and conditions as ortho- fers, or makes a good faith attempt to
pedic, visual, speech, and hearing im- offer, to purchase or otherwise validly
pairments; cerebral palsy, epilepsy, to obtain such a ticket;
muscular dystrophy, multiple sclerosis, (2) With respect to obtaining air
cancer, heart disease, diabetes, mental transportation, or other services or ac-
retardation, emotional illness, drug ad- commodations required by this Part,
diction, and alcoholism. (i) Buys or otherwise validly obtains,
(b) Major life activities means func- or makes a good faith effort to obtain,
tions such as caring for one’s self, per- a ticket for air transportation on a car-
forming manual tasks, walking, seeing, rier and presents himself or herself at
hearing, speaking, breathing, learning, the airport for the purpose of traveling
and working. on the flight to which the ticket per-
(c) Has a record of such impairment tains; and
means has a history of, or has been (ii) Meets reasonable, nondiscrim-
classified, or misclassified, as having a inatory contract of carriage require-
mental or physical impairment that ments applicable to all passengers; or
substantially limits one or more major (b) Who, with respect to accom-
life activities. panying or meeting a traveler, using
(d) Is regarded as having an impairment ground transportation, using terminal
means: facilities, or obtaining information
(1) Has a physical or mental impair- about schedules, fares, reservations, or
ment that does not substantially limit policies, takes those actions necessary

423
§ 382.5 14 CFR Ch. II (1–1–19 Edition)
to use facilities or services offered by Example 2 to paragraph (b): A passenger
an air carrier to the general public, books a journey on a foreign carrier from
with reasonable accommodations, as New York to Prague. The foreign carrier
flies nonstop to Frankfurt. The passenger
needed, provided by the carrier.
gets off the plane in Frankfurt and boards a
Scheduled service means any flight connecting flight (with a different flight
scheduled in the current edition of the number), on the same foreign carrier or a dif-
Official Airline Guide, the carrier’s ferent carrier, which goes to Prague. The
published schedule, or the computer New York-Frankfurt leg of the journey is a
reservation system used by the carrier. ‘‘flight’’ for purposes of this Part; the Frank-
Shared-use automated airport kiosk furt-Prague leg is not. On the reverse rout-
means a self-service transaction ma- ing, the Prague-Frankfurt leg is not a cov-
chine that is jointly owned, controlled ered flight for purposes of this Part, while
or leased by an airport operator and the Frankfurt-New York leg is.
carriers and/or an independent service Example 3 to paragraph (b): A passenger
books a journey on a foreign carrier from
provider and that provides carrier soft-
New York to Prague. The plane stops for re-
ware applications which enable cus- fueling and a crew change in Frankfurt. If,
tomers to independently access flight- after deplaning in Frankfurt, the passengers
related services. originating in New York reboard the aircraft
TSA means the Transportation Secu- (or a different aircraft, assuming the flight
rity Administration, an agency of the number remains the same) and continue to
Department of Homeland Security. Prague, they remain on a covered flight for
United States or U.S. means the purposes of this Part. This is because their
United States of America, including its transportation takes place on a direct flight
territories and possessions. between New York and Prague, even though
it had an interim stop in Frankfurt. This ex-
[Doc. No. DOT–OST–2004–19482, 73 FR 27665, ample would also apply in the opposite direc-
May 13, 2008, as amended at 78 FR 67914, Nov. tion (Prague to New York via Frankfurt).
12, 2013] Example 4 to paragraph (b): In Example 3,
the foreign carrier is not subject to coverage
§ 382.5 When are U.S. and foreign car- under this Part with respect to a Frankfurt-
riers required to begin complying originating passenger who boards the air-
with the provisions of this part? craft and goes to Prague, or a Prague-origi-
As a U.S. or foreign carrier, you are nating passenger who gets off the plane in
Frankfurt and does not continue to New
required to comply with the require-
York.
ments of this part on May 13, 2009, ex-
cept as otherwise provided in indi- (c) As a foreign carrier, you are not
vidual sections of this part. subject to the requirements of this part
with respect to flights between two for-
§ 382.7 To whom do the provisions of eign points, even with respect to
this part apply? flights involving code-sharing arrange-
(a) If you are a U.S. carrier, this Part ments with U.S. carriers. As a U.S. car-
applies to you with respect to all your rier that participates in a code-sharing
operations and aircraft, regardless of arrangement with a foreign carrier
where your operations take place, ex- with respect to flights between two for-
cept as otherwise provided in this part. eign points, you (as distinct from the
(b) If you are a foreign carrier, this foreign carrier) are responsible for en-
part applies to you only with respect to suring compliance with the service pro-
flights you operate that begin or end at visions of subparts A through C, F
a U.S. airport and to aircraft used for through H, and K with respect to pas-
these flights. For purposes of this part, sengers traveling under your code on
a ‘‘flight’’ means a continuous journey such a flight.
in the same aircraft or with one flight
number that begins or ends at a U.S. Example 1 to paragraph (c): A passenger
airport. The following are some exam- buys a ticket from a U.S. carrier for a jour-
ney from New York to Prague. The ticket
ples of the application of this term:
carries the U.S. carrier’s code and flight
Example 1 to paragraph (b): A passenger number throughout the entire journey.
books a nonstop flight on a foreign carrier There is a change of carrier and aircraft in
from New York to Frankfurt, or Frankfurt Frankfurt, and a foreign carrier operates the
to New York. Each of these is a ‘‘flight’’ for Frankfurt-Prague segment. The foreign car-
purposes of this Part. rier is not subject to the provisions of Part

424
Office of the Secretary, DOT § 382.9
382 for the Frankfurt-Prague segment. How- (3) A description of the alternative
ever, the U.S. carrier must ensure compli- means the carrier will use, if the waiv-
ance with the applicable provisions of Part er is granted, to effectively achieve the
382 on the Frankfurt-Prague segment with
objective of the provision of this part
respect to passengers flying under its code,
and the Department could take enforcement subject to the waiver or, if applicable,
action against the U.S. carrier for acts or a justification of why it would be im-
omissions by the foreign carrier. possible to achieve this objective in
any way.
(d) As a foreign carrier, if you oper- (d) The Department may grant the
ate a charter flight from a foreign air- waiver request, or grant the waiver re-
port to a U.S. airport, and return to a quest subject to conditions, if it deter-
foreign airport, and you do not pick up mines that the foreign law applies,
any passengers in the U.S., the charter that it does preclude compliance with a
flight is not a flight subject to the re- provision of this part, and that the car-
quirements of this part. rier has provided an effective alter-
(e) Unless a provision of this Part native means of achieving the objec-
specifies application to a U.S. carrier tive of the provisions of this part sub-
or a foreign carrier, the provision ap- ject to the waiver or have dem-
plies to both U.S. and foreign carriers. onstrated by clear and convincing evi-
(f) If you are an indirect carrier, dence that it would be impossible to
§§ 382.1 through 382.15 of this part apply achieve this objective in any way.
to you. §§ 382.17 through 382.157 of this (e)(1) If you submit a waiver request
part do not apply to you except insofar on or before September 10, 2008, the De-
as provided by § 382.11(b). partment will, to the maximum extent
(g) Notwithstanding any provisions feasible, respond to the request before
of this part, you must comply with all May 13, 2009. If the Department does
FAA safety regulations, TSA security not respond to the waiver request by
regulations, and foreign safety and se- May 13, 2009, you may continue to im-
curity regulations having legally man- plement the policy or practice that is
datory effect that apply to you. the subject of your request until the
[Doc. No. DOT–OST–2004–19482, 73 FR 27665, Department does respond. The Depart-
May 13, 2008, as amended at 74 FR 11471, Mar. ment will not take enforcement action
18, 2009; 75 FR 44887, July 30, 2010] with respect to your implementation of
the policy or practice during the time
§ 382.9 What may foreign carriers do if prior to the Department’s response.
they believe a provision of a foreign (2) If you submit a waiver request
nation’s law conflicts with compli- after September 10, 2008, the Depart-
ance with a provision of this part?
ment will, to the maximum extent fea-
(a) If you are a foreign carrier, and sible, respond to the request by May 13,
you believe that an applicable provi- 2009 or within 180 days of receiving it,
sion of the law of a foreign nation pre- whichever is later. If the Department
cludes you from complying with a pro- does not respond to the waiver request
vision of this part, you may request a by this date, you may continue to im-
waiver of the provision of this Part. plement the policy or practice that is
(b) You must send such a waiver re- the subject of your request until the
quest to the following address: Assist- Department does respond. However, the
ant General Counsel for Aviation En- Department may take enforcement ac-
forcement and Proceedings, C–70 U.S. tion with respect to your implementa-
Department of Transportation, 1200 tion of the policy or practice during
New Jersey Avenue, SE., Room W96– the time between May 13, 2009 and the
322, Washington, DC 20590. date of the Department’s response.
(c) Your waiver request must be in (3) If you submit a waiver request
English and include the following ele- after September 10, 2008, and the re-
ments: quest pertains to an applicable provi-
(1) A copy, in the English language, sion of the law of a foreign nation that
of the foreign law involved; did not exist on September 10, 2008, you
(2) A description of how the foreign may continue to implement the policy
law applies and how it precludes com- or practice that is the subject of your
pliance with a provision of this part; request until the Department responds

425
§ 382.10 14 CFR Ch. II (1–1–19 Edition)
to the request. The Department will, to vide substantially equivalent accessi-
the maximum extent feasible, respond bility to passengers with disabilities,
to such requests within 180 days of re- compared to compliance with the pro-
ceiving them. The Department will not vision of this part in question.
take enforcement action with respect (e) If your application is granted, you
to your implementation of the policy will be deemed to be in compliance
or practice during the time prior to the with this Part through implementing
Department’s response. the equivalent alternative. If your ap-
(f) Notwithstanding any other provi- plication is denied, you must imple-
sion of this section, the Department ment this part as written.
may commence enforcement action at (f)(1) If you submit your application
any time after May 13, 2009 with re- on or before September 10, 2008, the De-
spect to the policy or practice that is partment will respond to the request
the subject of the request if it finds the before May 13, 2009 to the maximum ex-
request to be frivolous or dilatory. tent feasible. If the Department does
(g) If you have not submitted a re- not respond to the application by May
quest for a waiver under this section 13, 2009, you may implement your pol-
with respect to a provision of this part, icy or practice that is the subject of
or such a request has been denied, you your application until the Department
cannot raise the alleged existence of does respond.
such a conflict as a defense to an en-
(2) With respect to an application you
forcement action.
make after September 10, 2008, you
§ 382.10 How does a U.S. or foreign must comply with the provisions of
carrier obtain a determination that this part without change from May 13,
it is providing an equivalent alter- 2009 until the Department responds to
native to passengers with disabil- your application.
ities?
(a) As a U.S. or foreign carrier, you Subpart B—Nondiscrimination and
may apply to the Department for a de- Access to Services and Infor-
termination that you are providing an
equivalent alternative to passengers
mation
with disabilities. § 382.11 What is the general non-
(b) You must send your application discrimination requirement of this
for an equivalent alternative deter- part?
mination to the following address: As-
sistant General Counsel for Aviation (a) As a carrier, you must not do any
Enforcement and Proceedings (C–70), of the following things, either directly
U.S. Department of Transportation, or through a contractual, licensing, or
1200 New Jersey Avenue, SE., Room other arrangement:
W96–322, Washington, DC 20590. (1) You must not discriminate
(c) Your application must be in against any qualified individual with a
English and include the following ele- disability, by reason of such disability,
ments: in the provision of air transportation;
(1) A citation to the specific provi- (2) You must not require a qualified
sion of this part concerning which you individual with a disability to accept
are proposing an equivalent alter- special services (including, but not lim-
native. ited to, preboarding) that the indi-
(2) A detailed description of the al- vidual does not request. However, you
ternative policy, practice, or other ac- may require preboarding as a condition
commodation you are proposing to use of receiving certain seating or in-cabin
in place of compliance with the provi- stowage accommodations, as specified
sion of this part that you cite, and an in §§ 382.83(c), 382.85(b), and 382.123(a) of
explanation of how it provides substan- this part.
tially equivalent accessibility to pas- (3) You must not exclude a qualified
sengers with disabilities. individual with a disability from or
(d) The Department may grant the deny the person the benefit of any air
application, or grant the application transportation or related services that
subject to conditions, if it determines are available to other persons, except
that the proposed facilitation does pro- where specifically permitted by this

426
Office of the Secretary, DOT § 382.19
Part. This is true even if there are sep- ance is a material breach of the con-
arate or different services available for tract on the contractor’s part.
individuals with a disability, except (1) This assurance must commit the
when specifically permitted by another contractor to compliance with all ap-
section of this Part; and plicable provisions of this Part in ac-
(4) You must not take any adverse tivities performed on behalf of the car-
action against an individual (e.g., re- rier.
fusing to provide transportation) be- (2) The assurance must also commit
cause the individual asserts, on his or the contractor to implementing direc-
her own behalf or through or on behalf tives issued by your CROs under
of others, rights protected by this part §§ 382.151 through 382.153.
or the Air Carrier Access Act. (c) As a U.S. carrier, you must also
(b) As an indirect carrier, you must include such an assurance of compli-
comply with §§ 382.17 through 382.157 of ance in your contracts or agreements
this part when providing facilities or of appointment with U.S. travel
services to passengers that would have agents. You are not required to include
otherwise been provided by a direct air such an assurance in contracts with
carrier. foreign travel agents.
(d) You remain responsible for your
[Doc. No. DOT–OST–2004–19482, 73 FR 27665, contractors’ compliance with this part
May 13, 2008, as amended at 75 FR 44887, July and for enforcing the assurances in
30, 2010]
your contracts with them.
(e) It is not a defense against an en-
§ 382.13 Do carriers have to modify
policies, practices, and facilities to forcement action by the Department
ensure nondiscrimination? under this part that your noncompli-
ance resulted from action or inaction
(a) As a carrier, you must modify by a contractor.
your policies, practices, and facilities
when needed to provide nondiscrim- § 382.17 May carriers limit the number
inatory service to a particular indi- of passengers with a disability on a
vidual with a disability, consistent flight?
with the standards of section 504 of the As a carrier, you must not limit the
Rehabilitation Act, as amended. number of passengers with a disability
(b) This requirement is part of your who travel on a flight. (See also
general nondiscrimination obligation, § 382.27(c)(6) of this part.)
and is in addition to your duty to make
[Doc. No. DOT–OST–2004–19482, 73 FR 27665,
the specific accommodations required May 13, 2008, as amended at 74 FR 11471, Mar.
by this part. 18, 2009]
(c) However, you are not required to
make modifications that would con- § 382.19 May carriers refuse to provide
stitute an undue burden or would fun- transportation on the basis of dis-
damentally alter your program. ability?
(a) As a carrier, you must not refuse
§ 382.15 Do carriers have to make sure to provide transportation to a pas-
that contractors comply with the senger with a disability on the basis of
requirements of this Part?
his or her disability, except as specifi-
(a) As a carrier, you must make sure cally permitted by this part.
that your contractors that provide (b) You must not refuse to provide
services to the public (including air- transportation to a passenger with a
ports where applicable) meet the re- disability because the person’s dis-
quirements of this part that would ability results in appearance or invol-
apply to you if you provided the serv- untary behavior that may offend,
ices yourself. annoy, or inconvenience crewmembers
(b) As a carrier, you must include an or other passengers.
assurance of compliance with this part (c) You may refuse to provide trans-
in your contracts with any contractors portation to any passenger on the basis
that provide services to the public that of safety, as provided in 49 U.S.C. 44902
are subject to the requirements of this or 14 CFR 121.533, or to any passenger
part. Noncompliance with this assur- whose carriage would violate FAA or

427
§ 382.21 14 CFR Ch. II (1–1–19 Edition)
TSA requirements or applicable re- § 382.21 May carriers limit access to
quirements of a foreign government. transportation on the basis that a
(1) You can determine that there is a passenger has a communicable dis-
disability-related safety basis for refus- ease or other medical condition?
ing to provide transportation to a pas- (a) You must not do any of the fol-
senger with a disability if you are able lowing things on the basis that a pas-
to demonstrate that the passenger senger has a communicable disease or
poses a direct threat (see definition in infection, unless you determine that
§ 382.3). In determining whether an indi- the passenger’s condition poses a direct
vidual poses a direct threat, you must threat:
(1) Refuse to provide transportation
make an individualized assessment,
to the passenger;
based on reasonable judgment that re-
(2) Delay the passenger’s transpor-
lies on current medical knowledge or tation (e.g., require the passenger to
on the best available objective evi- take a later flight);
dence, to ascertain: (3) Impose on the passenger any con-
(i) The nature, duration, and severity dition, restriction, or requirement not
of the risk; imposed on other passengers; or
(ii) The probability that the poten- (4) Require the passenger to provide a
tial harm to the health and safety of medical certificate.
others will actually occur; and (b) In assessing whether the pas-
(iii) Whether reasonable modifica- senger’s condition poses a direct
tions of policies, practices, or proce- threat, you must apply the provisions
dures will mitigate the risk. of § 382.19(c)(1)–(2) of this subpart.
(2) If you determine that the pas- (1) In making this assessment, you
senger does pose a direct threat, you may rely on directives issued by public
must select the least restrictive re- health authorities (e.g., the U.S. Cen-
sponse from the point of view of the ters for Disease Control or Public
passenger, consistent with protecting Health Service; comparable agencies in
other countries; the World Health Or-
the health and safety of others. For ex-
ganization).
ample, you must not refuse transpor-
(2) In making this assessment, you
tation to the passenger if you can pro-
must consider the significance of the
tect the health and safety of others by consequences of a communicable dis-
means short of a refusal. ease and the degree to which it can be
(3) In exercising this authority, you readily transmitted by casual contact
must not act inconsistently with the in an aircraft cabin environment.
provisions of this part.
Example 1 to paragraph (b)(2): The common
(4) If your actions are inconsistent
cold is readily transmissible in an aircraft
with any of the provisions of this part, cabin environment but does not have severe
you are subject to enforcement action health consequences. Someone with a cold
under Subpart K of this part. would not pose a direct threat.
(d) If you refuse to provide transpor- Example 2 to paragraph (b)(2): AIDS has
tation to a passenger on his or her very severe health consequences but is not
readily transmissible in an aircraft cabin en-
originally-scheduled flight on a basis vironment. Someone would not pose a direct
relating to the individual’s disability, threat because he or she is HIV-positive or
you must provide to the person a writ- has AIDS.
ten statement of the reason for the re- Example 3 to paragraph (b)(2): SARS may be
fusal. This statement must include the readily transmissible in an aircraft cabin en-
specific basis for the carrier’s opinion vironment and has severe health con-
sequences. Someone with SARS probably
that the refusal meets the standards of poses a direct threat.
paragraph (c) of this section or is oth-
erwise specifically permitted by this (c) If a passenger with a commu-
part. You must provide this written nicable disease meeting the direct
statement to the person within 10 cal- threat criteria of this section gives you
endar days of the refusal of transpor- a medical certificate of the kind out-
tation. lined in § 382.23(c)(2) describing meas-
ures for preventing transmission of the
disease during the normal course of the

428
Office of the Secretary, DOT § 382.25
flight, you must provide transportation (c)(1) You may also require a medical
to the passenger, unless you are unable certificate for a passenger if he or she
to carry out the measures. has a communicable disease or condi-
(d) If your action under this section tion that could pose a direct threat to
results in the postponement of a pas- the health or safety of others on the
senger’s travel, you must permit the flight.
passenger to travel at a later time (up (2) For purposes of this paragraph, a
to 90 days from the date of the post- medical certificate is a written state-
poned travel) at the fare that would ment from the passenger’s physician
have applied to the passenger’s origi- saying that the disease or infection
nally scheduled trip without penalty would not, under the present condi-
or, at the passenger’s discretion, pro- tions in the particular passenger’s
vide a refund for any unused flights, in- case, be communicable to other persons
cluding return flights. during the normal course of a flight.
(e) If you take any action under this The medical certificate must state any
section that restricts a passenger’s conditions or precautions that would
travel, you must, on the passenger’s re- have to be observed to prevent the
quest, provide a written explanation transmission of the disease or infection
within 10 days of the request. to other persons in the normal course
of a flight. A medical certificate under
§ 382.23 May carriers require a pas- this paragraph must be dated within 10
senger with a disability to provide days of the date of the flight for which
a medical certificate? it is presented.
(d) As a carrier, you may require that
(a) Except as provided in this section,
a passenger with a medical certificate
you must not require a passenger with
undergo additional medical review by
a disability to have a medical certifi-
you if there is a legitimate medical
cate as a condition for being provided
reason for believing that there has
transportation.
been a significant adverse change in
(b)(1) You may require a medical cer- the passenger’s condition since the
tificate for a passenger with a dis- issuance of the medical certificate or
ability— that the certificate significantly un-
(i) Who is traveling in a stretcher or derstates the passenger’s risk to the
incubator; health of other persons on the flight. If
(ii) Who needs medical oxygen during the results of this medical review dem-
a flight; or onstrate that the passenger, notwith-
(iii) Whose medical condition is such standing the medical certificate, is
that there is reasonable doubt that the likely to be unable to complete the
individual can complete the flight safe- flight without requiring extraordinary
ly, without requiring extraordinary medical assistance (e.g., the passenger
medical assistance during the flight. has apparent significant difficulty in
(2) For purposes of this paragraph, a breathing, appears to be in substantial
medical certificate is a written state- pain, etc.) or would pose a direct threat
ment from the passenger’s physician to the health or safety of other persons
saying that the passenger is capable of on the flight, you may take an action
completing the flight safely, without otherwise prohibited under § 382.21(a) of
requiring extraordinary medical assist- this part.
ance during the flight. [Doc. No. DOT–OST–2004–19482, 73 FR 27665,
(3) To be valid, a medical certificate May 13, 2008, as amended at 75 FR 44887, July
under this paragraph must be dated 30, 2010]
within 10 days of the scheduled date of
the passenger’s initial departing flight. § 382.25 May a carrier require a pas-
senger with a disability to provide
Example to paragraph (b)(3): A passenger advance notice that he or she is
who schedules a flight from New York to traveling on a flight?
London on January 15 with a return on April
15 would have to show a medical certificate As a carrier, you must not require a
dated January 5 or later. The passenger passenger with a disability to provide
would not have to show a second medical advance notice of the fact that he or
certificate dated April 5 or later. she is traveling on a flight.

429
§ 382.27 14 CFR Ch. II (1–1–19 Edition)

§ 382.27 May a carrier require a pas- (8) Transportation of an emotional

senger with a disability to provide support or psychiatric service animal
advance notice in order to obtain in the cabin;
certain specific services in connec- (9) Transportation of a service ani-
tion with a flight? mal on a flight segment scheduled to
(a) Except as provided in paragraph take 8 hours or more;
(b) of this section and § 382.133(e)(4) and (10) Accommodation of a passenger
(5) and (f)(5) and (6), as a carrier you who has both severe vision and hearing
must not require a passenger with a impairments (see § 382.29(b)(4)).
disability to provide advance notice in (d) If the passenger with a disability
order to obtain services or accommoda- provides the advance notice you re-
tions required by this part. quire, consistent with this section, for
(b) You may require a passenger with a service that you must provide (see
a disability to provide up to 72 hours’ paragraphs (c)(4) through (c)(10) of this
advance notice and check in one hour section) or choose to provide (see para-
before the check-in time for the gen- graphs (c)(1) through (c)(3) of this sec-
eral public to receive carrier-supplied tion), you must provide the requested
in-flight medical oxygen on inter- service or accommodation.
national flights, 48 hours’ advance no- (e) Your reservation and other ad-
tice and check-in one hour before the ministrative systems must ensure that
check-in time for the general public to when passengers provide the advance
receive carrier-supplied in-flight med- notice that you require, consistent
ical oxygen on domestic flights, and 48 with this section, for services and ac-
hours’ advance notice and check-in one commodations, the notice is commu-
hour before the check-in time for the nicated, clearly and on time, to the
general public to use his/her ventilator, people responsible for providing the re-
respirator, CPAP machine or POC. quested service or accommodation.
(c) You may require a passenger with (f) If a passenger with a disability
a disability to provide up to 48 hours’ provides the advance notice you re-
advance notice and check in one hour quire, consistent with this section, and
before the check-in time for the gen- the passenger is forced to change to an-
eral public to receive the following other flight (e.g., because of a flight
services and accommodations. The cancellation), you must, to the max-
services listed in paragraphs (c)(1) imum extent feasible, provide the ac-
through (c)(3) of this section are op- commodation on the new flight. If the
tional; you are not required to provide new flight is another carrier’s flight,
them, but you may choose to do so. you must provide the maximum fea-
(1) Carriage of an incubator; sible assistance to the other carrier in
(2) Hook-up for a respirator, venti- providing the accommodation the pas-
lator, CPAP machine or POC to the senger requested from you.
aircraft electrical power supply; (g) If a passenger does not meet ad-
(3) Accommodation for a passenger vance notice or check-in requirements
who must travel in a stretcher; you establish consistent with this sec-
(4) Transportation for an electric tion, you must still provide the service
wheelchair on an aircraft with fewer or accommodation if you can do so by
than 60 seats; making reasonable efforts, without de-
(5) Provision of hazardous materials laying the flight.
packaging for batteries or other assist- [Doc. No. DOT–OST–2004–19482, 73 FR 27665,
ive devices that are required to have May 13, 2008, as amended at 74 FR 11471, Mar.
such packaging; 18, 2009; 75 FR 44887, July 30, 2010; Doc. No.
(6) Accommodation for a group of ten FAA–2014–0554, 81 FR 33120, May 24, 2016]
or more qualified individuals with a
disability, who make reservations and § 382.29 May a carrier require a pas-
travel as a group; and senger with a disability to travel
(7) Provision of an on-board wheel- with a safety assistant?
chair on an aircraft with more than 60 (a) Except as provided in paragraph
seats that does not have an accessible (b) of this section, you must not re-
lavatory. quire that a passenger with a disability

430
Office of the Secretary, DOT § 382.29
travel with another person as a condi- to find or provide the safety assistant,
tion of being provided air transpor- however.
tation. (2) For purposes of paragraph (b)(4) of
(b) You may require a passenger with this section, you may require, contrary
a disability in one of the following cat- to the individual’s self-assessment,
egories to travel with a safety assist- that an individual with both severe
ant as a condition of being provided air hearing and vision impairments must
transportation, if you determine that a travel with a safety assistant if you de-
safety assistant is essential for safety: termine that—
(1) A passenger traveling in a stretch- (i) The means of communication that
er or incubator. The safety assistant the individual has explained to you
for such a person must be capable of at- does not adequately satisfy the objec-
tending to the passenger’s in-flight tives identified in paragraph (b)(4) of
medical needs; this section; or
(2) A passenger who, because of a (ii) The individual proposes to estab-
mental disability, is unable to com- lish communication by means of finger
prehend or respond appropriately to spelling and you cannot, within the
safety instructions from carrier per- time following the individual’s notifi-
sonnel, including the safety briefing re- cation, arrange for a flight crew mem-
quired by 14 CFR 121.571(a)(3) and (a)(4)
ber who can communicate using this
or 14 CFR 135.117(b) or the safety regu-
method to serve the passenger’s flight.
lations of a foreign carrier’s govern-
ment, as applicable; (3) If a passenger voluntarily chooses
to travel with a personal care attend-
(3) A passenger with a mobility im-
ant or safety assistant that you do not
pairment so severe that the person is
unable to physically assist in his or her require, you may charge for the trans-
own evacuation of the aircraft; portation of that person.
(4) A passenger who has both severe (d) If, because there is not a seat
hearing and severe vision impairments, available on a flight for a safety assist-
if the passenger cannot establish some ant whom the carrier has determined
means of communication with carrier to be necessary, a passenger with a dis-
personnel that is adequate both to per- ability holding a confirmed reservation
mit transmission of the safety briefing is unable to travel on the flight, you
required by 14 CFR 121.57(a)(3) and must compensate the passenger with a
(a)(4), 14 CFR 135,117(b) or the safety disability in an amount to be cal-
regulations of a foreign carrier’s gov- culated as provided for instances of in-
ernment, as applicable, and to enable voluntary denied boarding under 14
the passenger to assist in his or her CFR part 250, where part 250 applies.
own evacuation of the aircraft in the (e) For purposes of determining
event of an emergency. You may re- whether a seat is available for a safety
quire a passenger with severe hearing assistant, you must deem the safety as-
and vision impairment who wishes to sistant to have checked in at the same
travel without a safety assistant to no- time as the passenger with a disability.
tify you at least 48 hours in advance to (f) Concern that a passenger with a
provide this explanation. If the pas- disability may need personal care serv-
senger fails to meet this notice re- ices (e.g., assistance in using lavatory
quirement, however, you must still ac- facilities or with eating) is not a basis
commodate him or her to the extent for requiring the passenger to travel
practicable. with a safety assistant. You must ex-
(c)(1) If you determine that a person plain this clearly in training or infor-
meeting the criteria of paragraph mation you provide to your employees.
(b)(2), (b)(3) or (b)(4) of this section
You may advise passengers that your
must travel with a safety assistant,
personnel are not required to provide
contrary to the individual’s self-assess-
such services.
ment that he or she is capable of trav-
eling independently, you must not
charge for the transportation of the
safety assistant. You are not required

431
§ 382.31 14 CFR Ch. II (1–1–19 Edition)

§ 382.31 May carriers impose special § 382.35 May carriers require pas-
charges on passengers with a dis- sengers with a disability to sign
ability for providing services and waivers or releases?
accommodations required by this (a) As a carrier, you must not require
rule?
passengers with a disability to sign a
(a) Except as otherwise provided in release or waiver of liability in order to
this part you must not, as a carrier, receive transportation or to receive
impose charges for providing facilities, services or accommodations for a dis-
equipment, or services that this rule ability.
requires to be provided to passengers (b) You must not require passengers
with a disability. You may charge for with a disability to sign waivers of li-
services that this part does not require. ability for damage to or loss of wheel-
(b) You may charge a passenger for chairs or other assistive devices, or for
the use of more than one seat if the the loss of, death of, or injury to serv-
passenger’s size or condition (e.g., use ice animals. Carriers may note pre-ex-
of a stretcher) causes him or her to oc- isting damage to an assistive device to
cupy the space of more than one seat. the same extent that carriers do this
This is not considered a special charge with respect to other checked baggage.
under this section.
Subpart C—Information for
[Doc. No. DOT–OST–2004–19482, 73 FR 27665,
May 13, 2008, as amended at 78 FR 67914, Nov.
Passengers
12, 2013] § 382.41 What flight-related informa-
tion must carriers provide to quali-
§ 382.33 May carriers impose other re- fied individuals with a disability?
strictions on passengers with a dis-
ability that they do not impose on As a carrier, you must provide the
other passengers? following information, on request, to
qualified individuals with a disability
(a) As a carrier, you must not subject
or persons making inquiries on their
passengers with a disability to restric- behalf concerning the accessibility of
tions that do not apply to other pas- the aircraft expected to make a par-
sengers, except as otherwise permitted ticular flight. The information you
in this part (e.g., advance notice re- provide must be specific to the aircraft
quirements for certain services per- you expect to use for the flight unless
mitted by § 382.27). it is unfeasible for you to do so (e.g.,
(b) Restrictions you must not impose because unpredictable circumstances
on passengers with a disability include, such as weather or a mechanical prob-
but are not limited to, the following: lem require substitution of another air-
(1) Restricting passengers’’ move- craft that could affect the location or
ment within the terminal; availability of an accommodation). The
(2) Requiring passengers to remain in required information is:
a holding area or other location in (a) The specific location of seats, if
order to receive transportation, serv- any, with movable armrests (i.e., by
ices, or accommodations; row and seat number);
(3) Making passengers sit on blankets (b) The specific location of seats (i.e.,
on the aircraft; by row and seat number) that the car-
(4) Making passengers wear badges or rier, consistent with this part, does not
other special identification (e.g., simi- make available to passengers with a
disability (e.g., exit row seats);
lar to badges worn by unaccompanied
minors); or (c) Any aircraft-related, service-re-
lated or other limitations on the abil-
(5) Otherwise mandating separate
ity to accommodate passengers with a
treatment for passengers with a dis- disability, including limitations on the
ability, unless permitted or required by availability of level-entry boarding to
this part or other applicable Federal the aircraft at any airport involved
requirements. with the flight. You must provide this
information to any passenger who
states that he or she uses a wheelchair

432
Office of the Secretary, DOT § 382.43
for boarding, even if the passenger does (c) If you are a U.S. or foreign air
not explicitly request the information. carrier that operates at least one air-
(d) Any limitations on the avail- craft having a designed seating capac-
ability of storage facilities, in the ity of more than 60 passengers and
cabin or in the cargo bay, for mobility owns or controls a primary Web site
aids or other assistive devices com- that markets passenger air transpor-
monly used by passengers with a dis- tation, or a tour (i.e., a combination of
ability, including storage in the cabin air transportation and ground or cruise
of a passenger’s wheelchair as provided accommodations), or tour component
in §§ 382.67 and 382.123 of this part; (e.g., a hotel stay) that must be pur-
(e) Whether the aircraft has an acces- chased with air transportation, you
sible lavatory; and must ensure the public-facing Web
(f) The types of services to passengers pages on your primary Web site are ac-
with a disability that are or are not cessible to individuals with disabilities
available on the flight. as provided in paragraphs (c)(1)
through (4) of this section. Only Web
§ 382.43 Must information and reserva- sites that market air transportation to
tion services of carriers be acces- the general public in the United States
sible to individuals with visual, must be accessible to individuals with
hearing, and other disabilities?
disabilities. The following are among
(a) If, as a carrier, you provide tele- the characteristics of a primary Web
phone reservation and information site that markets to the general public
service to the public, you must make in the U.S.: the content can be viewed
this service available to individuals in English, the site advertises or sells
who use a text telephone (TTY), wheth- flights operating to, from, or within
er via your own TTY, voice relay, or the United States, and the site displays
other available technology, as follows: fares in U.S. dollars.
(1) You must provide access to TTY (1) Your primary Web site must con-
users during the same hours as the form to all Success Criteria and all
telephone service is available to the Conformance Requirements from the
general public. World Wide Web Consortium (W3C)
(2) You must ensure that the re- Recommendation 11 December 2008,
sponse time for answering calls and the Web site Content Accessibility Guide-
level of service provided to TTY users lines (WCAG) 2.0 for Level AA as fol-
is substantially equivalent to the re- lows:
sponse time and level of service pro- (i) Web pages associated with obtain-
vided to the general public (i.e., non- ing the following core air travel serv-
TTY users). ices and information that are offered
(3) You must not subject TTY users on your primary Web site are
to charges exceeding those that apply conformant by December 12, 2015:
to non-TTY users of telephone informa- (A) Booking or changing a reserva-
tion and reservation service. tion, including all flight amenities;
(4) In any medium in which you list (B) Checking in for a flight;
the telephone number of your informa- (C) Accessing a personal travel
tion and reservation service for the itinerary;
general public, you must also list your (D) Accessing the status of a flight;
TTY number if you have one. If you do (E) Accessing a personal frequent
not have a TTY number, you must flyer account;
state how TTY users can reach your in- (F) Accessing flight schedules; and
formation and reservation service (e.g., (G) Accessing carrier contact infor-
via a voice relay service). mation.
(5) If you are a foreign carrier, you (ii) All remaining Web pages on your
must meet this requirement by May 13, primary Web site are conformant by
2010. December 12, 2016.
(b) The requirements of paragraph (a) (2) Your primary Web site must be
do not apply to you in any country in tested in consultation with individuals
which the telecommunications infra- with disabilities or members of dis-
structure does not readily permit com- ability organization(s) who use or want
pliance. to use carrier Web sites to research or

433
§ 382.45 14 CFR Ch. II (1–1–19 Edition)
book air transportation in order to ob- clicks a link on your primary Web site
tain their feedback on the Web site’s to an external Web site or to third-
accessibility and usability before the party software informing the user that
dates specified in paragraph (c)(1) of the Web site or software may not fol-
this section. Collectively, such individ- low the same accessibility policies no
uals must be able to provide feedback later than December 12, 2016.
on the usability of the Web site by in-
[Doc. No. DOT–OST–2004–19482, 73 FR 27665,
dividuals with visual, auditory, tactile, May 13, 2008, as amended at 74 FR 11471, Mar.
and cognitive disabilities. Consultation 18, 2009; 78 FR 67914, Nov. 12, 2013]
is required to ensure that your Web
site is usable by individuals with dis- § 382.45 Must carriers make copies of
abilities by the date specified in para- this Part available to passengers?
graph (c)(1). (a) As a carrier, you must keep a cur-
(3) You are permitted to use a Level rent copy of this part at each airport
AA conforming alternate version only you serve. As a foreign carrier, you
when conforming a public-facing Web must keep a copy of this part at each
page to all WCAG 2.0 Level AA success airport serving a flight you operate
criteria would constitute an undue bur- that begins or ends at a U.S. airport.
den or fundamentally alter the infor- You must make this copy available for
mation or functionality provided by review by any member of the public on
that page. request.
(4) You must assist prospective pas- (b) If you have a Web site, it must
sengers who indicate that they are un- provide notice to consumers that they
able to use your Web site due to a dis- can obtain a copy of this part in an ac-
ability and contact you through other cessible format from the Department
channels (e.g., by telephone or at the of Transportation by any of the fol-
ticket counter) as follows: lowing means:
(i) Disclose Web-based discount fares (1) For calls made from within the
to the passenger if his or her itinerary
United States, by telephone via the Toll-
qualifies for the discounted fare.
Free Hotline for Air Travelers with
(ii) Provide Web-based amenities to
Disabilities at 1–800–778–4838 (voice) or
the passenger, such as waiving any fee
1–800–455–9880 (TTY),
applicable to making a reservation or
(2) By telephone to the Aviation Con-
purchasing a ticket using a method
sumer Protection Division at 202–366–
other than your Web site (e.g., by tele-
2220 (voice) or 202–366–0511 (TTY),
phone), unless the fee applies to other
(3) By mail to the Air Consumer Pro-
customers purchasing the same fare
tection Division, C–75, U.S. Depart-
online.
ment of Transportation, 1200 New Jer-
(d) As a carrier covered under para-
sey Ave., SE., West Building, Room
graph (c) of this section, you must pro-
W96–432, Washington, DC 20590, and
vide a mechanism on your primary Web
site for persons with disabilities to re- (4) On the Aviation Consumer Protec-
quest disability accommodation serv- tion Division’s Web site (http://
ices for future flights, including but airconsumer.ost.dot.gov).
not limited to wheelchair assistance,
seating accommodation, escort assist- Subpart D—Accessibility of Airport
ance for a visually impaired passenger, Facilities
and stowage of an assistive device no
later than December 12, 2015. You may § 382.51 What requirements must car-
require individuals who request accom- riers meet concerning the accessi-
modations using this mechanism to bility of airport facilities?
provide contact information (e.g., (a) As a carrier, you must comply
name, daytime phone, evening phone, with the following requirements with
and email address) for follow-up by respect to all terminal facilities you
your customer service department or own, lease, or control at a U.S. airport:
medical desk. (1) You must ensure that terminal fa-
(e) As a carrier covered under para- cilities providing access to air trans-
graph (c) of this section, you must pro- portation are readily accessible to and
vide a disclaimer activated when a user usable by individuals with disabilities,

434
Office of the Secretary, DOT § 382.53
including individuals who use wheel- not have high-contrast captioning ca-
chairs. You are deemed to comply with pability with equipment that does have
this obligation if the facilities meet re- such capability whenever such equip-
quirements applying to places of public ment is replaced in the normal course
accommodation under Department of of operations and/or whenever areas of
Justice (DOJ) regulations imple- the terminal in which such equipment
menting Title III of the Americans is located are undergoing substantial
with Disabilities Act (ADA). renovation or expansion.
(2) With respect to any situation in (8) If you newly acquire televisions
which boarding and deplaning by level- and other audio-visual displays for pas-
entry loading bridges or accessible pas- senger safety briefings, information, or
senger lounges to and from an aircraft entertainment on or after May 13, 2009,
is not available, you must ensure that such equipment must have high-con-
there is an accessible route between trast captioning capability.
the gate and the area from which air- (b) As a carrier, you must ensure that
craft are boarded (e.g., the tarmac in a passengers with a disability can readily
situation in which level-entry boarding use all terminal facilities you own,
is not available). An accessible route is lease, or control at a foreign airport. In
one meeting the requirements of the the case of foreign carriers, this re-
Americans with Disabilities Act Acces- quirement applies only to terminal fa-
sibility Guidelines (ADAAG), sections cilities that serve flights covered by
4.3.3 through 4.3.10. § 382.7 of this part.
(3) You must ensure that systems of (1) This means that passengers with a
intra- and inter-terminal transpor- disability must be able to move readily
tation, including, but not limited to, through such terminal facilities to get
moving sidewalks, shuttle vehicles and to or from the gate and any other area
people movers, comply with applicable from which passengers board the air-
requirements of the Department of craft you use for such flights (e.g., the
Transportation’s ADA rules (49 CFR tarmac in the case of flights that do
parts 37 and 38). not use level-entry boarding). This ob-
(4) Your contracts or leases with air- ligation is in addition to your obliga-
port operators concerning the use of tion to provide enplaning, deplaning,
airport facilities must set forth your and connecting assistance to pas-
airport accessibility responsibility sengers.
under this part and that of the airport (2) You may meet this obligation
operator under applicable section 504 through any combination of facility ac-
and ADA rules of the Department of cessibility, auxiliary aids, equipment,
Transportation and Department of Jus- the assistance of personnel, or other
tice. appropriate means consistent with the
(5) In cooperation with the airport safety and dignity of passengers with a
operator and in consultation with local disability.
service animal training organiza- (c) As a foreign carrier, you must
tion(s), you must provide animal relief meet the requirements of this section
areas for service animals that accom- by May 13, 2010, except as otherwise in-
pany passengers departing, connecting, dicated in paragraph (a). As a U.S. car-
or arriving at an airport on your rier, you must meet the requirements
flights. of paragraph (b) of this section by May
(6) You must enable captioning at all 13, 2010.
times on all televisions and other [Doc. No. DOT–OST–2004–19482, 73 FR 27665,
audio-visual displays that are capable May 13, 2008, as amended at 74 FR 11471, Mar.
of displaying captions and that are lo- 18, 2009; 75 FR 44887, July 30, 2010]
cated in any portion of the terminal to
which any passengers have access on § 382.53 What information must car-
May 13, 2009. The captioning must be riers give individuals with a vision
high-contrast insofar as is feasible. or hearing impairment at airports?
(7) You must replace any televisions (a)(1) As a U.S. carrier, you must en-
and other audio-visual displays pro- sure that passengers with a disability
viding passengers with safety briefings, who identify themselves as persons
information, or entertainment that do needing visual or hearing assistance

435
§ 382.55 14 CFR Ch. II (1–1–19 Edition)
have prompt access to the same infor- § 382.55 May carriers impose security
mation provided to other passengers at screening procedures for pas-
each gate, ticketing area, and cus- sengers with disabilities that go be-
tomer service desk that you own, lease, yond TSA requirements or those of
foreign governments?
or control at any U.S. or foreign air-
port, to the extent that this does not (a) All passengers, including those
interfere with employees’ safety and with disabilities, are subject to TSA se-
security duties as set forth in FAA, curity screening requirements at U.S.
TSA, and applicable foreign regula- airports. In addition, passengers at for-
tions. eign airports, including those with dis-
(2) As a foreign carrier, you must abilities, may be subject to security
make this information available at screening measures required by law of
each gate, ticketing area, and cus- the country in which the airport is lo-
tomer service desk that you own, lease, cated.
or control at any U.S. airport. At for- (b) If, as a carrier, you impose secu-
eign airports, you must make this in- rity screening procedures for pas-
formation available only at gates, sengers with disabilities that go be-
ticketing areas, or customer service yond those mandated by TSA (or, at a
foreign airport, beyond the law of the
desks that you own, lease, or control
country in which the airport is lo-
and only for flights that begin or end
cated), you must ensure that they meet
in the U.S.
the following requirements:
(3) As a U.S. or foreign carrier, at
(1) You must use the same criteria
any U.S. airport covered by this para- for applying security screening proce-
graph where the airport has effective dures to passengers with disabilities as
control over the covered gates, to other passengers.
ticketing areas, and customer service (2) You must not subject a passenger
desks, you and the airport are jointly with a disability to special screening
responsible for compliance. procedures because the person is trav-
(b) The information you must provide eling with a mobility aid or other as-
under paragraph (a) of this section in- sistive device if the person using the
cludes, but is not limited to, the fol- aid or device clears the security system
lowing: Information concerning flight without activating it.
safety, ticketing, flight check-in, flight (i) However, your security personnel
delays or cancellations, schedule may examine a mobility aid or assist-
changes, boarding information, connec- ive device which, in their judgment,
tions, gate assignments, checking bag- may conceal a weapon or other prohib-
gage, volunteer solicitation on oversold ited item.
flights (e.g., offers of compensation for (ii) You may conduct security
surrendering a reservation), individuals searches of qualified individuals with a
being paged by airlines, aircraft disability whose aids activate the secu-
changes that affect the travel of per- rity system in the same manner as for
sons with disabilities, and emergencies other passengers.
(e.g., fire, bomb threat). (3) You must not require private se-
(c) With respect to information on curity screenings of passengers with a
claiming baggage, you must provide disability to a greater extent, or for
the information to passengers who any different reason, than for other
identify themselves as persons needing passengers.
visual or hearing assistance no later (c) Except as provided in paragraph
than you provide this information to (d) of this section, if a passenger with
other passengers. a disability requests a private screen-
ing in a timely manner, you must pro-
[Doc. No. DOT–OST–2004–19482, 73 FR 27665, vide it in time for the passenger to en-
May 13, 2008, as amended at 74 FR 11471, Mar. plane.
18, 2009] (d) If you use technology that can
conduct an appropriate screening of a
passenger with a disability without ne-
cessitating a physical search of the

436
Office of the Secretary, DOT § 382.57
person, you are not required to provide any shared-use automated airport ki-
a private screening. osks you jointly own, lease, or control
[Doc. No. DOT–OST–2004–19482, 73 FR 27665,
at a U.S. airport with 10,000 or more
May 13, 2008, as amended at 74 FR 11471, Mar. enplanements per year.
18, 2009] (1) You must ensure that all shared-
use automated airport kiosks you
§ 382.57 What accessibility require- jointly own, lease, or control installed
ments apply to automated airport on or after December 12, 2016, meet the
kiosks? design specifications in paragraph (c)
(a) As a carrier, you must comply of this section until at least 25 percent
with the following requirements with of automated kiosks provided in each
respect to any automated airport kiosk location at the airport (i.e., each clus-
you own, lease, or control at a U.S. air- ter of kiosks and all stand-alone kiosks
port with 10,000 or more enplanements at an airport) meet this specification.
per year. (2) You must ensure that at least 25
(1) You must ensure that all auto- percent of shared-use automated ki-
mated airport kiosks installed on or osks you own, lease, or control in each
after December 12, 2016, are models location at the airport meet the design
that meet the design specifications set specifications in paragraph (c) of this
forth in paragraph (c) of this section section by December 12, 2022.
until at least 25 percent of automated (3) When shared-use automated ki-
kiosks provided in each location at the osks provided in a location at the air-
airport (i.e., each cluster of kiosks and port perform more than one function
all stand-alone kiosks at the airport) (e.g., print boarding passes/bag tags,
meets this specification. accept payment for flight amenities
(2) You must ensure that at least 25 such as seating upgrades/meals/WiFi
percent of automated kiosks you own, access, rebook tickets, etc.), you must
lease, or control in each location at a ensure that the accessible kiosks pro-
U.S. airport meet the design specifica- vide all the same functions as the inac-
tions in paragraph (c) of this section by cessible kiosks in that location.
December 12, 2022. (4) You must ensure that each auto-
(3) When the kiosks provided in a lo- mated airport kiosk that meets the de-
cation at the airport perform more sign specifications set forth in para-
than one function (e.g., print boarding graph (c) of this section is:
passes/bag tags, accept payment for (i) Visually and tactilely identifiable
flight amenities such as seating up- to users as accessible (e.g., an inter-
grades/meals/WiFi access, rebook tick- national symbol of accessibility affixed
ets, etc.), you must ensure that the ac- to the front of the device; and
cessible kiosks provide all the same (ii) Maintained in proper working
functions as the inaccessible kiosks in condition.
that location. (5) As a carrier, you are jointly and
(4) You must ensure that a passenger severally liable with airport operators
with a disability who requests an ac- and/or other participating carriers for
cessible automated kiosk is given pri- ensuring that shared-use automated
ority access to any available accessible airport kiosks are compliant with the
kiosk you own, lease, or control in that requirements of paragraphs (b) and (c)
location at the airport. of this section.
(5) You must ensure that each auto- (c) You must ensure that the auto-
mated airport kiosk that meets the de- mated airport kiosks provided in ac-
sign specifications in paragraph (c) of cordance with this section conform to
this section is: the following technical accessibility
(i) Visually and tactilely identifiable standards with respect to their phys-
to users as accessible (e.g., an inter- ical design and the functions they per-
national symbol of accessibility affixed form:
to the front of the device). (1) Self contained. Except for personal
(ii) Maintained in proper working headsets and audio loops, automated
condition. kiosks must be operable without re-
(b) As a carrier, you must comply quiring the user to attach assistive
with the following requirements for technology.

437
§ 382.57 14 CFR Ch. II (1–1–19 Edition)
(2) Clear floor or ground space. A clear human, or synthesized. Speech output
floor or ground space complying with must be coordinated with information
section 305 of the U.S. Department of displayed on the screen. Speech output
Justice’s 2010 ADA Standards for Ac- must comply with paragraphs
cessible Design, 28 CFR 35.104 (defining (c)(5)(i)(A) through (F) of this section.
the ‘‘2010 Standards’’ for title II as the (A) When asterisks or other masking
requirements set forth in appendices B characters are used to represent per-
and D to 36 CFR part 1191 and the re- sonal identification numbers or other
quirements contained in 28 CFR 35.151) visual output that is not displayed for
(hereinafter 2010 ADA Standards) must security purposes, the masking char-
be provided. acters must be spoken (‘‘*’’ spoken as
(3) Operable parts. Operable parts ‘‘asterisk’’) rather than presented as
must comply with section 309 of the beep tones or speech representing the
2010 ADA Standards, and the following concealed information.
requirements: (B) Advertisements and other similar
(i) Identification. Operable parts must information are not required to be au-
be tactilely discernible without activa- dible unless they convey information
tion; that can be used in the transaction
(ii) Timing. Where a timed response is being conducted.
required, the user must be alerted vis- (C) Speech for any single function
ually and by touch or sound and must must be automatically interrupted
be given the opportunity to indicate when a transaction is selected or navi-
that more time is required; gation controls are used. Speech must
(iii) Status indicators. Status indica- be capable of being repeated and
tors, including all locking or toggle paused by the user.
controls or keys (e.g., Caps Lock and
(D) Where receipts, tickets, or other
Num Lock keys), must be discernible
outputs are provided as a result of a
visually and by touch or sound; and
transaction, speech output must in-
(iv) Color. Color coding must not be
clude all information necessary to
used as the only means of conveying
complete or verify the transaction, ex-
information, indicating an action,
cept that—
prompting a response, or distin-
guishing a visual element. (1) Automated airport kiosk location,
(4) Privacy. Automated airport kiosks date and time of transaction, customer
must provide the opportunity for the account numbers, and the kiosk identi-
same degree of privacy of input and fier are not required to be audible;
output available to all individuals. (2) Information that duplicates infor-
However, if an option is provided to mation available on-screen and already
blank the screen in the speech output presented audibly is not required to be
mode, the screen must blank when ac- repeated; and
tivated by the user, not automatically. (3) Printed copies of a carrier’s con-
(5) Output. Automated airport kiosks tract of carriage, applicable fare rules,
must comply with paragraphs (c)(5)(i) itineraries and other similar supple-
through (iv) of this section. mental information that may be in-
(i) Speech output enabled. Automated cluded with a boarding pass are not re-
airport kiosks must provide an option quired to be audible.
for speech output. Operating instruc- (ii) Volume control. Automated kiosks
tions and orientation, visible trans- must provide volume control com-
action prompts, user input verification, plying with paragraphs (c)(5)(ii)(A) and
error messages, and all other visual in- (B) of this section.
formation for full use must be acces- (A) Private listening. Where speech re-
sible to and independently usable by quired by paragraph (c)(5)(i) of this sec-
individuals with vision impairments. tion is delivered through a mechanism
Speech output must be delivered for private listening, the automated
through a mechanism that is readily kiosk must provide a means for the
available to all users, including but not user to control the volume. A function
limited to, an industry standard con- must be provided to automatically
nector or a telephone handset. Speech reset the volume to the default level
output must be recorded or digitized after every use.

438
Office of the Secretary, DOT § 382.57
(B) Speaker volume. Where sound is surfaces must contrast visually from
delivered through speakers on the key surfaces. Visual contrast must be
automated kiosk, incremental volume either light-on-dark or dark-on-light.
control must be provided with output However, tactile symbols required by
amplification up to a level of at least (c)(6)(iv)(B) are not required to comply
65 dB SPL. Where the ambient noise with (c)(6)(iv)(A) of this section.
level of the environment is above 45 dB (B) Tactile symbols. Function key sur-
SPL, a volume gain of at least 20 dB faces must have tactile symbols as fol-
above the ambient level must be user lows: Enter or Proceed key: raised cir-
selectable. A function must be provided cle; Clear or Correct key: raised left
to automatically reset the volume to arrow; Cancel key: raised letter ex; Add
the default level after every use.
Value key: raised plus sign; Decrease
(iii) Captioning. Multimedia content
Value key: raised minus sign.
that contains speech or other audio in-
formation necessary for the com- (7) Display screen. The display screen
prehension of the content must be open must comply with paragraphs (c)(7)(i)
or closed captioned. Advertisements and (ii) of this section.
and other similar information are not (i) Visibility. The display screen must
required to be captioned unless they be visible from a point located 40
convey information that can be used in inches (1015 mm) above the center of
the transaction being conducted. the clear floor space in front of the
(iv) Tickets and boarding passes. Where automated kiosk.
tickets or boarding passes are provided, (ii) Characters. Characters displayed
tickets and boarding passes must have on the screen must be in a sans serif
an orientation that is tactilely discern- font. Characters must be 3/16 inch (4.8
ible if orientation is important to fur- mm) high minimum based on the up-
ther use of the ticket or boarding pass. percase letter ‘‘I.’’ Characters must
(6) Input. Input devices must comply contrast with their background with a
with paragraphs (c)(6)(i) through (iv) of minimum luminosity contrast ratio of
this section. 3:1.
(i) Input controls. At least one input (8) Braille instructions. Braille instruc-
control that is tactilely discernible
tions for initiating the speech mode
without activation must be provided
must be provided. Braille must comply
for each function. Where provided, key
with section 703.3 of the 2010 ADA
surfaces not on active areas of display
screens, must be raised above sur- Standards.
rounding surfaces. Where touch or (9) Biometrics. Biometrics must not be
membrane keys are the only method of the only means for user identification
input, each must be tactilely discern- or control, unless at least two biomet-
ible from surrounding surfaces and ad- ric options that use different biological
jacent keys. characteristics are provided.
(ii) Alphabetic keys. Alphabetic keys (d) You must provide equivalent serv-
must be arranged in a QWERTY key- ice upon request to passengers with a
board layout. The ‘‘F’’ and ‘‘J’’ keys disability who cannot readily use your
must be tactilely distinct from the automated airport kiosks (e.g., by di-
other keys. recting a passenger who is blind to an
(iii) Numeric keys. Numeric keys must accessible automated kiosk, assisting a
be arranged in a 12-key ascending or passenger in using an inaccessible
descending keypad layout or must be automated kiosk, assisting a passenger
arranged in a row above the alphabetic who due to his or her disability cannot
keys on a QWERTY keyboard. The ‘‘5’’ use an accessible automated kiosk by
key must be tactilely distinct from the allowing the passenger to come to the
other keys. front of the line at the check-in
(iv) Function keys. Function keys counter).
must comply with paragraphs
(c)(6)(iv)(A) and (B) of this section. [78 FR 67915, Nov. 12, 2013]
(A) Contrast. Function keys must
contrast visually from background sur-
faces. Characters and symbols on key

439
§ 382.61 14 CFR Ch. II (1–1–19 Edition)

Subpart E—Accessibility of Aircraft operate that were initially ordered

after April 5, 1990, or which are deliv-
§ 382.61 What are the requirements for ered after April 5, 1992. As a U.S. car-
movable aisle armrests? rier, paragraph (c) of this section ap-
(a) As a carrier, you must ensure that plies to you with respect to new air-
aircraft with 30 or more passenger craft you operate that were initially
seats on which passenger aisle seats ordered after May 13, 2009 or which
have armrests are equipped with mov- were delivered after May 13, 2010.
able aisle armrests on at least one-half (g) As a foreign carrier, you must
of the aisle seats in rows in which pas- comply with the requirements of para-
sengers with mobility impairments are graph (e) of this section with respect to
permitted to sit under FAA or applica- seats ordered after May 13, 2009.
ble foreign government safety rules.
(b) You are not required to provide § 382.63 What are the requirements for
movable armrests on aisle seats of rows accessible lavatories?
which a passenger with a mobility im- (a) As a carrier, you must ensure that
pairment is precluded from using by an aircraft with more than one aisle in
FAA safety rule. which lavatories are provided shall in-
(c) You must ensure that these mov- clude at least one accessible lavatory.
able aisle armrests are provided pro-
(1) The accessible lavatory must per-
portionately in all classes of service in
mit a qualified individual with a dis-
the cabin. For example, if 80 percent of
ability to enter, maneuver within as
the aisle seats in which passengers
necessary to use all lavatory facilities,
with mobility impairments may sit are
and leave, by means of the aircraft’s
in coach, and 20 percent are in first
on-board wheelchair.
class, then 80 percent of the movable
aisle armrests must be in coach, with (2) The accessible lavatory must af-
20 percent in first class. ford privacy to persons using the on-
(d) For aircraft equipped with mov- board wheelchair equivalent to that af-
able aisle armrests, you must configure forded ambulatory users.
cabins, or establish administrative sys- (3) The lavatory shall provide door
tems, to ensure that passengers with locks, accessible call buttons, grab
mobility impairments or other pas- bars, faucets and other controls, and
sengers with a disability can readily dispensers usable by qualified individ-
identify and obtain seating in rows uals with a disability, including wheel-
with movable aisle armrests. You must chair users and persons with manual
provide this information by specific impairments.
seat and row number. (b) With respect to aircraft with only
(e) You are not required to retrofit one aisle in which lavatories are pro-
cabin interiors of existing aircraft to vided, you may, but are not required
comply with the requirements of this to, provide an accessible lavatory.
section. However, if you replace any of (c) You are not required to retrofit
an aircraft’s aisle seats with newly cabin interiors of existing aircraft to
manufactured seats, the new seats comply with the requirements of this
must include movable aisle armrests as section. However, if you replace a lava-
required by this section. However, an tory on an aircraft with more than one
aircraft is never required to have mov- aisle, you must replace it with an ac-
able aisle armrests on more than one cessible lavatory.
half of the aisle seats. (d) As a foreign carrier, you must
(f) As a foreign carrier, you must comply with the requirements of para-
comply with the requirements of para- graph (a) of this section with respect to
graphs (a) through (d) of this section new aircraft you operate that were ini-
with respect to new aircraft you oper- tially ordered after May 13, 2009 or
ate that were initially ordered after which are delivered after May 13, 2010.
May 13, 2009 or which are delivered As a U.S. carrier, this requirement ap-
after May 13, 2010. As a U.S. carrier, plies to you with respect to new air-
the requirements of paragraphs (a), (b), craft you operate that were initially
(d), and (e) of this section applies to ordered after April 5, 1990, or which
you with respect to new aircraft you were delivered after April 5, 1992.

440
Office of the Secretary, DOT § 382.67
(e) As a foreign carrier, you must (d) As a foreign carrier, you must
comply with the requirements of para- meet this requirement as of May 13,
graph (c) of this section beginning May 2010. As a U.S. carrier, you must meet
13, 2009. As a U.S. carrier, these re- this requirement by May 13, 2009.
quirements apply to you with respect
to new aircraft you operate that were § 382.67 What is the requirement for
initially ordered after April 5, 1990, or priority space in the cabin to store
passengers’ wheelchairs?
which were delivered after April 5, 1992.
(a) As a carrier, you must ensure that
§ 382.65 What are the requirements there is priority space (i.e., a closet, or
concerning on-board wheelchairs? a row of seats where a wheelchair may
(a) As a carrier, you must equip air- be strapped using a strap kit that com-
craft that have more than 60 passenger plies with applicable Federal Aviation
seats, and that have an accessible lava- Administration or applicable foreign
tory (whether or not having such a lav- government regulations on the stowage
atory is required by § 382.63 of this of cargo in the cabin compartment) in
Part) with an on-board wheelchair. The the cabin of sufficient size to stow at
Aerospatiale/Aeritalia ATR–72 and the least one typical adult-sized folding,
British Aerospace Advanced Turboprop collapsible, or break-down manual pas-
(ATP), in configurations having be- senger wheelchair, the dimensions of
tween 60 and 70 passenger seats, are ex- which are 13 inches by 36 inches by 42
inches or less without having to re-
empt from this requirement.
move the wheels or otherwise dis-
(b) If a passenger asks you to provide
assemble it. This section applies to any
an on-board wheelchair on a particular
aircraft with 100 or more passenger
flight, you must provide it if the air- seats and this space must be other than
craft being used for the flight has more the overhead compartments and under-
than 60 passenger seats, even if the air- seat spaces routinely used for pas-
craft does not have an accessible lava- sengers’ carry-on items.
tory. (b) If you are a carrier that uses the
(1) The basis of the passenger’s re- seat-strapping method to stow a man-
quest must be that he or she can use an ual passenger wheelchair, you must en-
inaccessible lavatory but cannot reach sure that there is priority space for at
it from a seat without using an on- least two such wheelchairs, if stowing
board wheelchair. the second passenger wheelchair would
(2) You may require the passenger to not displace passengers.
provide the advance notice specified in (c) If you are a carrier that uses a
§ 382.27 to receive this service. closet as the priority space to stow a
(c) You must ensure that on-board manual passenger wheelchair, you
wheelchairs meet the following stand- must install a sign or placard promi-
ards: nently on the closet indicating that
(1) On-board wheelchairs must in- such wheelchairs and other assistive
clude footrests, armrests which are devices are to be stowed in this area
movable or removable, adequate occu- with priority over other items brought
pant restraint systems, a backrest onto the aircraft by other passengers
height that permits assistance to pas- or crew, including crew luggage, as set
sengers in transferring, structurally forth in § 382.123.
sound handles for maneuvering the oc- (d) If passengers holding confirmed
cupied chair, and wheel locks or an- reservations are not able to travel on a
other adequate means to prevent chair flight because their seats are being
movement during transfer or turbu- used to stow a passenger’s wheelchair
lence. as required by paragraph (a) of this sec-
(2) The chair must be designed to be tion, carriers must compensate those
compatible with the maneuvering passengers in an amount to be cal-
space, aisle width, and seat height of culated as provided for in instances of
the aircraft on which it is to be used, involuntary denied boarding under 14
and to be easily pushed, pulled, and CFR part 250, where part 250 applies.
turned in the cabin environment by (e) As a carrier, you must never re-
carrier personnel. quest or suggest that a passenger not

441
§ 382.69 14 CFR Ch. II (1–1–19 Edition)
stow his or her wheelchair in the cabin (d) The requirements of paragraph (a)
to accommodate other passengers (e.g., of this section go into effect with re-
informing a passenger that stowing his spect to informational displays on Jan-
or her wheelchair in the cabin will re- uary 8, 2010.
quire other passengers to be removed
from the flight), or for any other non- § 382.71 What other aircraft accessi-
safety related reason (e.g., that it is bility requirements apply to car-
riers?
easier for the carrier if the wheelchair
is stowed in the cargo compartment). (a) As a carrier, you must maintain
(f) As a carrier, you must offer pre- all aircraft accessibility features in
boarding to a passenger stowing his or proper working order.
her wheelchair in the cabin. (b) You must ensure that any re-
(g) As a foreign carrier, you must placement or refurbishing of the air-
meet the requirement of this section craft cabin or its elements does not re-
for new aircraft ordered after May 13, duce the accessibility of that element
2009, or delivered after May 13, 2010. As to a level below that specified for new
a U.S. carrier, this section applies to aircraft in this part.
you with respect to new aircraft you [Doc. No. DOT–OST–2004–19482, 73 FR 27665,
operate that were ordered after April 5, May 13, 2008, as amended at 74 FR 11471, Mar.
1990, or which were delivered after 18, 2009]
April 5, 1992.
[78 FR 67923, Nov. 12, 2013] Subpart F—Seating
Accommodations
§ 382.69 What requirements must car-
riers meet concerning the accessi- § 382.81 For which passengers must
bility of videos, DVDs, and other carriers make seating accommoda-
audio-visual presentations shown tions?
on-aircraft to individuals who are As a carrier, you must provide the
deaf or hard of hearing? following seating accommodations to
(a) As a carrier, you must ensure that the following passengers on request, if
all new videos, DVDs, and other audio- the passenger self-identifies to you as
visual displays played on aircraft for having a disability specified in this
safety purposes, and all such new section and the type of seating accom-
audio-visual displays played on aircraft modation in question exists on the par-
for informational purposes that were ticular aircraft. Once the passenger
created under your control, are high- self-identifies to you, you must ensure
contrast captioned. The captioning that the information is recorded and
must be in the predominant language properly transmitted to personnel re-
or languages in which you commu- sponsible for providing the accommo-
nicate with passengers on the flight. dation.
(b) The requirements of paragraph (a) (a) For a passenger who uses an aisle
of this section go into effect with re- chair to access the aircraft and who
spect to audio-visual displays used for cannot readily transfer over a fixed
safety purposes on November 10, 2009. aisle armrest, you must provide a seat
(c) Between May 13, 2009 and Novem- in a row with a movable aisle armrest.
ber 9, 2009, U.S. carriers must ensure You must ensure that your personnel
that all videos, DVDs, and other audio- are trained in the location and proper
visual displays played on aircraft for use of movable aisle armrests, includ-
safety purposes have open captioning ing appropriate transfer techniques.
or an inset for a sign language inter- You must ensure that aisle seats with
preter, unless such captioning or inset movable armrests are clearly identifi-
either would interfere with the video able.
presentation so as to render it ineffec- (b) You must provide an adjoining
tive or would not be large enough to be seat for a person assisting a passenger
readable, in which case these carriers with a disability in the following cir-
must use an equivalent non-video al- cumstances:
ternative for transmitting the briefing (1) When a passenger with a dis-
to passengers with hearing impair- ability is traveling with a personal
ments. care attendant who will be performing

442
Office of the Secretary, DOT § 382.83
a function for the individual during the must meet the passenger’s request to
flight that airline personnel are not re- the extent practicable, but you are not
quired to perform (e.g., assistance with required to reassign a seat assigned to
eating); another passenger in order to do so.
(2) When a passenger with a vision (2) You may designate an adequate
impairment is traveling with a reader/ number of the seats used to provide
assistant who will be performing func- seating accommodations required by
tions for the individual during the § 382.81 as ‘‘priority seats’’ for pas-
flight; sengers with a disability.
(3) When a passenger with a hearing (i) You must provide notice that all
impairment is traveling with an inter- passengers assigned these seats (other
preter who will be performing func- than passengers with a disability listed
tions for the individual during the in § 382.81 of this part) are subject to
flight; or being reassigned to another seat if nec-
(4) When you require a passenger to essary to provide a seating accommo-
travel with a safety assistant (see dation required by this section.
§ 382.29). (ii) You may provide this notice
(c) For a passenger with a disability through your computer reservation
traveling with a service animal, you system, verbal information provided by
must provide, as the passenger re- reservation personnel, ticket notices,
quests, either a bulkhead seat or a seat gate announcements, counter signs,
other than a bulkhead seat. seat cards or notices, frequent-flier lit-
(d) For a passenger with a fused or erature, or other appropriate means.
immobilized leg, you must provide a
(iii) You must assign a seat meeting
bulkhead seat or other seat that pro-
the requirements of this section to a
vides greater legroom than other seats,
passenger with a disability listed in
on the side of an aisle that better ac-
§ 382.81 of this part who requests the ac-
commodates the individual’s disability.
commodation at the time the pas-
§ 382.83 Through what mechanisms do senger makes the request. You may re-
carriers make seating accommoda- quire such a passenger to check in and
tions? request the seating accommodation at
(a) If you are a carrier that provides least one hour before the standard check-
advance seat assignments to pas- in time for the flight. If all des- ignated
sengers (i.e., offer seat assignments to priority seats that would ac- commodate
passengers before the day of the flight), the passenger have been as- signed to
you must comply with the require- other passengers, you must reassign the
ments of § 382.81 of this part by any of seats of the other pas- sengers as needed
the following methods: to provide the re- quested
(1) You may ‘‘block’’ an adequate accommodation.
number of the seats used to provide the (iv) If a passenger with a disability
seating accommodations required by listed in § 382.81 does not check in at
§ 382.81. least an hour before the standard check-
(i) You must not assign these seats to in time for the general public, you
passengers who do not meet the cri- must meet the individual’s request to
teria of § 382.81 until 24 hours before the the extent practicable, but you are not
scheduled departure of the flight. required to reassign a seat assigned to
(ii) At any time up until 24 hours be- another passenger in order to do so.
fore the scheduled departure of the (b) If you assign seats to passengers,
flight, you must assign a seat meeting but not until the date of the flight, you
the requirements of this section to a must use the ‘‘priority seating’’ ap-
passenger with a disability meeting proach of paragraph (a)(2) of this sec-
one or more of the requirements of tion.
§ 382.81 who requests it, at the time the (c) If you do not provide advance seat
passenger initially makes the request. assignments to passengers, you must
(iii) If a passenger with a disability allow passengers specified in § 382.81 to
specified in § 382.81 does not make a re- board the aircraft before other pas-
quest at least 24 hours before the sengers, including other ‘‘preboarded’’
scheduled departure of the flight, you passengers, so that the passengers

443
§ 382.85 14 CFR Ch. II (1–1–19 Edition)
needing seating accommodations can ment to the general passenger popu-
select seats that best meet their needs. lation at the time of the request. You
(d) As a carrier, if you wish to use a may require a passenger making such a
different method of providing seating request to check in one hour before the
assignment accommodations to pas- standard check-in time for the flight.
sengers with disabilities from those (ii) If such a passenger is assigned to
specified in this subpart, you must ob- a designated priority seat, he or she is
tain the written concurrence of the De- subject to being reassigned to another
partment of Transportation. Contact seat as provided in § 382.83(a)(2)(i) of
the Department at the address cited in this subpart.
§ 382.159 of this part. (b) On flights where advance seat as-
signments are not offered, you must
§ 382.85 What seating accommodations provide seating accommodations under
must carriers make to passengers this section by allowing passengers to
in circumstances not covered by board the aircraft before other pas-
§ 382.81 (a) through (d)?
sengers, including other ‘‘preboarded’’
As a carrier, you must provide the passengers, so that the individuals
following seating accommodations to a needing seating accommodations can
passenger who self-identifies as having select seats that best meet their needs.
a disability other than one in the four (c) If you assign seats to passengers,
categories listed in § 382.81 (a) through but not until the date of the flight, you
(d) of this part and as needing a seat must use the ‘‘priority seating’’ ap-
assignment accommodation in order to proach of section 382.83(a)(2).
readily access and use the carrier’s air
transportation services: § 382.87 What other requirements per-
(a) As a carrier that assigns seats in tain to seating for passengers with
advance, you must provide accom- a disability?
modations in the following ways: (a) As a carrier, you must not ex-
(1) If you use the ‘‘seat-blocking’’ clude any passenger with a disability
mechanism of § 382.83(a)(1) of this part, from any seat or require that a pas-
you must implement the requirements senger with a disability sit in any par-
of this section as follows: ticular seat, on the basis of disability,
(i) When a passenger with a disability except to comply with FAA or applica-
not described in § 382.81(a) through (d) ble foreign government safety require-
of this part makes a reservation more ments.
than 24 hours before the scheduled de- (b) In responding to requests from in-
parture time of the flight, you are not dividuals for accommodations under
required to offer the passenger one of this subpart, you must comply with
the seats blocked for the use of pas- FAA and applicable foreign govern-
sengers with a disability listed under ment safety requirements, including
§ 382.81. those pertaining to exit seating (see 14
(ii) However, you must assign to the CFR 121.585 and 135.129).
passenger any seat, not already as- (c) If a passenger’s disability results
signed to another passenger that ac- in involuntary active behavior that
commodates the passenger’s needs, would result in the person properly
even if that seat is not available for as- being refused transportation under
signment to the general passenger pop- § 382.19, and the passenger could be
ulation at the time of the request. transported safely if seated in another
(2) If you use the ‘‘designated pri- location, you must offer to let the pas-
ority seats’’ mechanism of § 382.83(a)(2) senger sit in that location as an alter-
of this part, you must implement the native to being refused transportation.
requirements of this section as follows: (d) If you have already provided a
(i) When a passenger with a disability seat to a passenger with a disability to
not described in § 382.81 makes a res- furnish an accommodation required by
ervation, you must assign to the pas- this subpart, you must not (except in
senger any seat, not already assigned the circumstance described in
to another passenger, that accommo- § 382.85(a)(2)(ii)) reassign that passenger
dates the passenger’s needs, even if to another seat in response to a subse-
that seat is not available for assign- quent request from another passenger

444
Office of the Secretary, DOT § 382.95
with a disability, without the first pas- (1) This requirement includes assist-
senger’s consent. ance in accessing key functional areas
(e) You must never deny transpor- of the terminal, such as ticket
tation to any passenger in order to pro- counters and baggage claim.
vide accommodations required by this (2) This requirement also includes a
subpart. brief stop upon the passenger’s request
(f) You are not required to furnish at the entrance to a rest room (includ-
more than one seat per ticket or to ing an accessible rest room when re-
provide a seat in a class of service quested). As a carrier, you are required
other than the one the passenger has to make such a stop only if the rest
purchased in order to provide an ac- room is available on the route to the
commodation required by this part. destination of the enplaning,
deplaning, or connecting assistance
Subpart G—Boarding, Deplaning, and you can make the stop without un-
and Connecting Assistance reasonable delay. To receive such as-
sistance, the passenger must self-iden-
§ 382.91 What assistance must carriers tify as being an individual with a dis-
provide to passengers with a dis- ability needing the assistance.
ability in moving within the ter- (c) As a carrier at a U.S. airport, you
minal? must, on request, in cooperation with
(a) As a carrier, you must provide or the airport operator, provide for es-
ensure the provision of assistance re- corting a passenger with a service ani-
quested by or on behalf of a passenger mal to an animal relief area provided
with a disability, or offered by carrier under § 382.51(a)(5) of this part.
or airport operator personnel and ac- (d) As part of your obligation to pro-
cepted by a passenger with a disability, vide or ensure the provision of assist-
in transportation between gates to ance to passengers with disabilities in
make a connection to another flight. If moving through the terminal (e.g., be-
the arriving flight and the departing tween the terminal entrance and the
connecting flight are operated by dif- gate, between gate and aircraft, from
ferent carriers, the carrier that oper- gate to a baggage claim area), you
ated the arriving flight (i.e., the one must assist passengers who are unable
that operates the first of the two to carry their luggage because of a dis-
flights that are connecting) is respon- ability with transporting their gate-
sible for providing or ensuring the pro- checked or carry-on luggage. You may
vision of this assistance, even if the request the credible verbal assurance
passenger holds a separate ticket for that a passenger cannot carry the lug-
the departing flight. It is permissible gage in question. If a passenger is un-
for the two carriers to mutually agree able to provide credible assurance, you
that the carrier operating the depart- may require the passenger to provide
ing connecting flight (i.e., the second documentation as a condition of pro-
flight of the two) will provide this as- viding this service.
sistance, but the carrier operating the
arriving flight remains responsible § 382.93 Must carriers offer
under this section for ensuring that the preboarding to passengers with a
assistance is provided. disability?
(b) You must also provide or ensure As a carrier, you must offer
the provision of assistance requested preboarding to passengers with a dis-
by or on behalf of a passenger with a ability who self-identify at the gate as
disability, or offered by carrier or air- needing additional time or assistance
port operator personnel and accepted to board, stow accessibility equipment,
by a passenger with a disability, in or be seated.
moving from the terminal entrance (or
a vehicle drop-off point adjacent to the § 382.95 What are carriers’ general ob-
entrance) through the airport to the ligations with respect to boarding
gate for a departing flight, or from the and deplaning assistance?
gate to the terminal entrance (or a ve- (a) As a carrier, you must promptly
hicle pick-up point adjacent to the en- provide or ensure the provision of as-
trance after an arriving flight). sistance requested by or on behalf of

445
§ 382.97 14 CFR Ch. II (1–1–19 Edition)
passengers with a disability, or offered § 382.99 What agreements must car-
by carrier or airport operator per- riers have with the airports they
sonnel and accepted by passengers with serve?
a disability, in enplaning and (a) As a carrier, you must negotiate
deplaning. This assistance must in- in good faith with the airport operator
clude, as needed, the services of per- of each U.S. airport described in
sonnel and the use of ground wheel- § 382.95(b) to ensure the provision of
chairs, accessible motorized carts, lifts for boarding and deplaning where
boarding wheelchairs, and/or on-board level-entry loading bridges are not
wheelchairs where provided in accord- available.
ance with this part, and ramps or me- (b) You must have a written, signed
chanical lifts. agreement with the airport operator
allocating responsibility for meeting
(b) As a carrier, you must, except as
the boarding and deplaning assistance
otherwise provided in this subpart, pro-
requirements of this subpart between
vide boarding and deplaning assistance
or among the parties. For foreign car-
through the use of lifts or ramps at any riers, with respect to all covered air-
U.S. commercial service airport with craft, this requirement becomes effec-
10,000 or more annual enplanements tive May 13, 2010.
where boarding and deplaning by level- (c) For foreign carriers, the agree-
entry loading bridges or accessible pas- ment with a U.S. airport must provide
senger lounges is not available. that all actions necessary to ensure ac-
cessible boarding and deplaning for
§ 382.97 To which aircraft does the re- passengers with a disability are com-
quirement to provide boarding and pleted as soon as practicable, but no
deplaning assistance through the later than May 13, 2011.
use of lifts apply?
(d) Under the agreement, you may, as
The requirement of section 382.95(b) a carrier, require that passengers wish-
of this part to provide boarding and ing to receive boarding and deplaning
deplaning assistance through the use of assistance requiring the use of a lift for
lifts applies with respect to all aircraft a flight check in for the flight one hour
with a passenger capacity of 19 or before the standard check-in time for
more, with the following exceptions: the flight. If the passenger checks in
(a) Float planes; after this time, you must nonetheless
(b) The following 19-seat capacity provide the boarding and deplaning as-
aircraft models: the Fairchild Metro, sistance by lift if you can do so by
the Jetstream 31 and 32, the Beech 1900 making a reasonable effort, without de-
laying the flight.
(C and D models), and the Embraer
(e) The agreement must ensure that
EMB–120;
all lifts and other accessibility equip-
(c) Any other aircraft model deter- ment are maintained in proper working
mined by the Department of Transpor- condition.
tation to be unsuitable for boarding (f) All carriers and airport operators
and deplaning assistance by lift, ramp, involved are jointly and severally re-
or other suitable device. sponsible for the timely and complete
The Department will make such a de- implementation of the agreement.
termination if it concludes that— (g) You must make a copy of this
(1) No existing boarding and agreement available, on request, to
deplaning assistance device on the representatives of the Department of
market will accommodate the aircraft Transportation.
without a significant risk of serious [Doc. No. DOT–OST–2004–19482, 73 FR 27665,
damage to the aircraft or injury to pas- May 13, 2008, as amended at 74 FR 11471, Mar.
sengers or employees, or 18, 2009]
(2) Internal barriers are present in
the aircraft that would preclude pas- § 382.101 What other boarding and
deplaning assistance must carriers
sengers who use a boarding or aisle provide?
chair from reaching a non-exit row
seat. When level-entry boarding and
deplaning assistance is not required to

446
Office of the Secretary, DOT § 382.111
be provided under this subpart, you § 382.105 What is the responsibility of
must, as a carrier, provide or ensure carriers at foreign airports at
the provision of boarding and deplaning which airport operators have re-
assistance by any available means to sponsibility for enplaning,
deplaning, and connecting assist-
which the passenger consents. How-
ance?
ever, you must never use hand-carrying
(i.e., directly picking up the pas- At a foreign airport at which enplan-
senger’s body in the arms of one or ing, deplaning, or connecting assist-
more carrier personnel to effect a level ance is provided by the airport oper-
change the passenger needs to enter or ator, rather than by carriers, as a car-
leave the aircraft), even if the pas- rier you may rely on the services pro-
senger consents, unless this is the only vided by the airport operator to meet
way of evacuating the individual in the the requirements of this subpart. If the
services provided by the airport oper-
event of an emergency. The situations
ator are not sufficient to meet the re-
in which level-entry boarding is not re-
quirements of this subpart, you must
quired but in which you must provide
supplement the airport operator’s serv-
this boarding and deplaning assistance ices to ensure that these requirements
include, but are not limited to, the fol- are met. If you believe you are pre-
lowing: cluded by law from supplementing the
(a) The boarding or deplaning process airport operator’s services, you may
occurs at a U.S. airport that is not a apply for a conflict of laws waiver
commercial service airport that has under § 382.9 of this part.
10,000 or more enplanements per year;
(b) The boarding or deplaning process Subpart H—Services on Aircraft
occurs at a foreign airport;
(c) You are using an aircraft subject § 382.111 What services must carriers
to an exception from the lift boarding provide to passengers with a dis-
and deplaning assistance requirements ability on board the aircraft?
under § 382.97 (a)–(c) of this subpart; As a carrier, you must provide serv-
(d) The deadlines established in ices within the aircraft cabin as re-
§ 382.99(c) have not yet passed; and quested by or on behalf of passengers
(e) Circumstances beyond your con- with a disability, or when offered by
trol (e.g., unusually severe weather; un- carrier personnel and accepted by pas-
expected mechanical problems) prevent sengers with a disability, as follows:
the use of a lift. (a) Assistance in moving to and from
seats, as part of the enplaning and
§ 382.103 May a carrier leave a pas- deplaning processes;
senger unattended in a wheelchair (b) Assistance in preparation for eat-
or other device? ing, such as opening packages and iden-
As a carrier, you must not leave a tifying food;
passenger who has requested assistance (c) If there is an on-board wheelchair
required by this subpart unattended by on the aircraft, assistance with the use
the personnel responsible for enplan- of the on-board wheelchair to enable
ing, deplaning, or connecting assist- the person to move to and from a lava-
ance in a ground wheelchair, boarding tory;
wheelchair, or other device, in which (d) Assistance to a semi-ambulatory
the passenger is not independently mo- person in moving to and from the lava-
bile, for more than 30 minutes. This re- tory, not involving lifting or carrying
quirement applies even if another per- the person; or
son (e.g., family member, personal care (e) Assistance in stowing and retriev-
attendant) is accompanying the pas- ing carry-on items, including mobility
senger, unless the passenger explicitly aids and other assistive devices stowed
waives the obligation. in the cabin (see also 382.91(d)). To re-
ceive such assistance, the passenger
must self-identify as being an indi-
vidual with a disability needing the as-
sistance.

447
§ 382.113 14 CFR Ch. II (1–1–19 Edition)
(f) Effective communication with disability, you must do so as incon-
passengers who have vision impair- spicuously and discreetly as possible.
ments or who are deaf or hard-of-hear- (e) The accessibility requirements for
ing, so that these passengers have onboard video safety presentations
prompt access to information the car- that carriers must meet are outlined in
rier provides to other passengers (e.g. section 382.69.
weather, on-board services, flight
delays, connecting gates at the next § 382.117 Must carriers permit pas-
airport). sengers with a disability to travel
with service animals?
[Doc. No. DOT–OST–2004–19482, 73 FR 27665,
May 13, 2008, as amended at 75 FR 44887, July (a) As a carrier, you must permit a
30, 2010] service animal to accompany a pas-
senger with a disability.
§ 382.113 What services are carriers (1) You must not deny transportation
not required to provide to pas- to a service animal on the basis that
sengers with a disability on board its carriage may offend or annoy car-
the aircraft?
rier personnel or persons traveling on
As a carrier, you are not required to the aircraft.
provide extensive special assistance to (2) On a flight segment scheduled to
qualified individuals with a disability. take 8 hours or more, you may, as a
For purposes of this section, extensive condition of permitting a service ani-
special assistance includes the fol- mal to travel in the cabin, require the
lowing activities: passenger using the service animal to
(a) Assistance in actual eating; provide documentation that the animal
(b) Assistance within the restroom or will not need to relieve itself on the
assistance at the passenger’s seat with flight or that the animal can relieve
elimination functions; and itself in a way that does not create a
(c) Provision of medical services. health or sanitation issue on the flight.
(b) You must permit the service ani-
§ 382.115 What requirements apply to mal to accompany the passenger with a
on-board safety briefings? disability at any seat in which the pas-
As a carrier, you must comply with senger sits, unless the animal obstructs
the following requirements with re- an aisle or other area that must re-
spect to on-board safety briefings: main unobstructed to facilitate an
(a) You must conduct an individual emergency evacuation.
safety briefing for any passenger where (c) If a service animal cannot be ac-
required by 14 CFR 121.571(a)(3) and commodated at the seat location of the
(a)(4), 14 CFR 135.117(b), or other FAA passenger with a disability who is
requirements. using the animal, you must offer the
(b) You may offer an individual brief- passenger the opportunity to move
ing to any other passenger, but you with the animal to another seat loca-
may not require an individual to have tion, if present on the aircraft, where
such a briefing except as provided in the animal can be accommodated.
paragraph (a) of this section. (d) As evidence that an animal is a
(c) You must not require any pas- service animal, you must accept identi-
senger with a disability to demonstrate fication cards, other written docu-
that he or she has listened to, read, or mentation, presence of harnesses, tags,
understood the information presented, or the credible verbal assurances of a
except to the extent that carrier per- qualified individual with a disability
sonnel impose such a requirement on using the animal.
all passengers with respect to the gen- (e) If a passenger seeks to travel with
eral safety briefing. You must not take an animal that is used as an emotional
any action adverse to a qualified indi- support or psychiatric service animal,
vidual with a disability on the basis you are not required to accept the ani-
that the person has not ‘‘accepted’’ the mal for transportation in the cabin un-
briefing. less the passenger provides you current
(d) When you conduct an individual documentation (i.e., no older than one
safety briefing for a passenger with a year from the date of the passenger’s

448
Office of the Secretary, DOT § 382.121
scheduled initial flight) on the letter- (h) You must promptly take all steps
head of a licensed mental health pro- necessary to comply with foreign regu-
fessional (e.g., psychiatrist, psycholo- lations (e.g., animal health regulations)
gist, licensed clinical social worker, in- needed to permit the legal transpor-
cluding a medical doctor specifically tation of a passenger’s service animal
treating the passenger’s mental or from the U.S. into a foreign airport.
emotional disability) stating the fol- (i) Guidance concerning the carriage
lowing: of service animals generally is found in
(1) The passenger has a mental or the preamble of this rule. Guidance on
emotional disability recognized in the the steps necessary to legally transport
Diagnostic and Statistical Manual of service animals on flights from the
Mental Disorders—Fourth Edition U.S. into the United Kingdom is found
(DSM IV); in 72 FR 8268–8277, (February 26, 2007).
(2) The passenger needs the emo- [Doc. No. DOT–OST–2004–19482, 73 FR 27665,
tional support or psychiatric service May 13, 2008, as amended at 74 FR 11471, Mar.
animal as an accommodation for air 18, 2009]
travel and/or for activity at the pas-
senger’s destination; § 382.119 What information must car-
(3) The individual providing the as- riers give individuals with vision or
hearing impairment on aircraft?
sessment is a licensed mental health
professional, and the passenger is (a) As a carrier, you must ensure that
under his or her professional care; and passengers with a disability who iden-
(4) The date and type of the mental tify themselves as needing visual or
health professional’s license and the hearing assistance have prompt access
state or other jurisdiction in which it to the same information provided to
was issued. other passengers on the aircraft as de-
(f) You are never required to accom- scribed in paragraph (b) of this section,
modate certain unusual service ani- to the extent that it does not interfere
mals (e.g., snakes, other reptiles, fer- with crewmembers’ safety duties as set
rets, rodents, and spiders) as service forth in FAA and applicable foreign
animals in the cabin. With respect to regulations.
all other animals, including unusual or (b) The covered information includes
exotic animals that are presented as but is not limited to the following: in-
service animals (e.g., miniature horses, formation concerning flight safety,
pigs, monkeys), as a carrier you must procedures for takeoff and landing,
determine whether any factors pre- flight delays, schedule or aircraft
clude their traveling in the cabin as changes that affect the travel of per-
service animals (e.g., whether the ani- sons with disabilities, diversion to a
mal is too large or heavy to be accom- different airport, scheduled departure
modated in the cabin, whether the ani- and arrival time, boarding information,
mal would pose a direct threat to the weather conditions at the flight’s des-
health or safety of others, whether it tination, beverage and menu informa-
would cause a significant disruption of tion, connecting gate assignments,
cabin service, whether it would be pro- baggage claim, individuals being paged
hibited from entering a foreign country by airlines, and emergencies (e.g., fire
that is the flight’s destination). If no or bomb threat).
such factors preclude the animal from
traveling in the cabin, you must per- Subpart I—Stowage of Wheel-
mit it to do so. However, as a foreign chairs, Other Mobility Aids,
carrier, you are not required to carry and Other Assistive Devices
service animals other than dogs.
(g) Whenever you decide not to ac- § 382.121 What mobility aids and other
cept an animal as a service animal, you assistive devices may passengers
must explain the reason for your deci- with a disability bring into the air-
sion to the passenger and document it craft cabin?
in writing. A copy of the explanation (a) As a carrier, you must permit pas-
must be provided to the passenger ei- sengers with a disability to bring the
ther at the airport, or within 10 cal- following kinds of items into the air-
endar days of the incident. craft cabin, provided that they can be

449
§ 382.123 14 CFR Ch. II (1–1–19 Edition)
stowed in designated priority storage stowage area before the passenger
areas or in overhead compartments or seeking to stow a wheelchair boarded
under seats, consistent with FAA, the aircraft (e.g., the items were placed
PHMSA, TSA, or applicable foreign there on a previous leg of the flight).
government requirements concerning (2) You must also ensure that a pas-
security, safety, and hazardous mate- senger with a disability who takes ad-
rials with respect to the stowage of vantage of the opportunity to preboard
carry-on items. the aircraft can stow other assistive
(1) Manual wheelchairs, including devices in this area, with priority over
folding or collapsible wheelchairs; other items (except wheelchairs)
(2) Other mobility aids, such as canes brought onto the aircraft by other pas-
(including those used by persons with sengers enplaning at the same airport
impaired vision), crutches, and walk-
consistent with FAA, PHMSA, TSA, or
ers; and
applicable foreign government require-
(3) Other assistive devices for stow-
ments concerning security, safety, and
age or use within the cabin (e.g., pre-
hazardous materials with respect to
scription medications and any medical
devices needed to administer them the stowage of carry-on items.
such as syringes or auto-injectors, vi- (3) You must ensure that a passenger
sion-enhancing devices, and POCs, ven- with a disability who does not take ad-
tilators and respirators that use non- vantage of the opportunity to preboard
spillable batteries, as long as they is able to use the area to stow his or
comply with applicable safety, security her wheelchair or other assistive de-
and hazardous materials rules). vice on a first-come, first-served basis
(b) In implementing your carry-on along with all other passengers seeking
baggage policies, you must not count to stow carry-on items in the area.
assistive devices (including the kinds (b) If a wheelchair exceeds the space
of items listed in paragraph (a) of this provided for in § 382.67 of this part
section) toward a limit on carry-on while fully assembled but will fit if
baggage. wheels or other components can be re-
moved without the use of tools, you
§ 382.123 What are the requirements must remove the applicable compo-
concerning priority cabin stowage
for wheelchairs and other assistive nents and stow the wheelchair in the
devices? designated space. In this case, you
must stow the removed components in
(a) The following rules apply to the
areas provided for stowage of carry-on
stowage of passengers’ wheelchairs or
other assistive devices in the priority luggage.
stowage area provided for in § 382.67 of [Doc. No. DOT–OST–2004–19482, 73 FR 27665,
this part: May 13, 2008, as amended at 78 FR 67924, Nov.
(1) You must ensure that a passenger 12, 2013]
with a disability who uses a wheelchair
and takes advantage of the opportunity § 382.125 What procedures do carriers
to preboard the aircraft can stow his or follow when wheelchairs, other mo-
her wheelchair in this area, with pri- bility aids, and other assistive de-
ority over other items brought onto vices must be stowed in the cargo
compartment?
the aircraft by other passengers or
crew enplaning at the same airport, (a) As a carrier, you must stow
consistent with FAA, PHMSA, TSA, or wheelchairs, other mobility aids, or
applicable foreign government require- other assistive devices in the baggage
ments concerning security, safety, and compartment if an approved stowage
hazardous materials with respect to area is not available in the cabin or the
the stowage of carry-on items. You items cannot be transported in the
must move items that you or your per- cabin consistent with FAA, PHMSA,
sonnel have placed in the priority TSA, or applicable foreign government
stowage area (e.g., crew luggage, an on- requirements concerning security,
board wheelchair) to make room for safety, and hazardous materials with
the passenger’s wheelchair, even if respect to the stowage of carry-on
these items were stowed in the priority items.

450
Office of the Secretary, DOT § 382.129
(b) You must give wheelchairs, other (b) You may require that passengers
mobility aids, and other assistive de- with a disability wishing to have bat-
vices priority for stowage in the bag- tery-powered wheelchairs or other
gage compartment over other cargo similar mobility devices transported
and baggage. Only items that fit into on a flight check in one hour before the
the baggage compartment and can be check-in time for the general public. If
transported consistent with FAA, the passenger checks in after this time,
PHMSA, TSA, or applicable foreign you must nonetheless carry the wheel-
government requirements concerning chair or other similar mobility device
security, safety, and hazardous mate- if you can do so by making a reason-
rials with respect to the stowage of able effort, without delaying the flight.
items in the baggage compartment (c) If the battery on the passenger’s
need be transported. Where this pri- wheelchair or other similar mobility
ority results in other passengers’ bag- device has been labeled by the manu-
gage being unable to be carried on the facturer as non-spillable as provided in
flight, you must make your best efforts 49 CFR 173.159(d)(2), or if a battery-
to ensure that the other baggage powered wheelchair with a spillable
reaches the passengers’ destination on battery can be loaded, stored, secured
the carrier’s next flight to the destina- and unloaded in an upright position,
tion. you must not require the battery to be
(c) You must provide for the check- removed and separately packaged. Not-
ing and timely return of passengers’ withstanding this requirement, you
wheelchairs, other mobility aids, and must remove and package separately
other assistive devices as close as pos- any battery that is inadequately se-
sible to the door of the aircraft, so that cured to a wheelchair or, for a spillable
passengers may use their own equip- battery, is contained in a wheelchair
ment to the extent possible, except that cannot be loaded, stowed, secured
(1) Where this practice would be in- and unloaded in an upright position, in
consistent with Federal regulations accordance with 49 CFR 175.10(a)(15)
governing transportation security or and (16). A damaged or leaking battery
the transportation of hazardous mate- should not be transported.
rials; or (d) When it is necessary to detach the
battery from the wheelchair, you must,
(2) When the passenger requests the
upon request, provide packaging for
return of the items at the baggage
the battery meeting the requirements
claim area instead of at the door of the
of 49 CFR 175.10(a)(15) and (16) and
aircraft.
package the battery. You may refuse
(d) In order to achieve the timely re- to use packaging materials or devices
turn of wheelchairs, you must ensure other than those you normally use for
that passengers’ wheelchairs, other this purpose.
mobility aids, and other assistive de- (e) You must not disconnect the bat-
vices are among the first items re- tery on wheelchairs or other mobility
trieved from the baggage compart- devices equipped with a non-spillable
ment. battery completely enclosed within a
case or compartment integral to the
§ 382.127 What procedures apply to
stowage of battery-powered mobil- design of the device unless an FAA or
ity aids? PHMSA safety regulation, or an appli-
cable foreign safety regulation having
(a) Whenever baggage compartment mandatory legal effect, requires you to
size and aircraft airworthiness consid- do so.
erations do not prohibit doing so, you (f) You must not drain batteries.
must, as a carrier, accept a passenger’s
battery-powered wheelchair or other § 382.129 What other requirements
similar mobility device, including the apply when passengers’ wheel-
battery, as checked baggage, con- chairs, other mobility aids, and
sistent with the requirements of 49 other assistive devices must be dis-
CFR 175.10(a)(15) and (16) and the provi- assembled for stowage?
sions of paragraphs (b) through (f) of (a) As a carrier, you must permit pas-
this section. sengers with a disability to provide

451
§ 382.131 14 CFR Ch. II (1–1–19 Edition)
written directions concerning the dis- lent to on-demand air taxi operations
assembly and reassembly of their by a U.S. carrier, as a foreign carrier
wheelchairs, other mobility aids, and conducting passenger service you must
other assistive devices. You must carry permit any individual with a disability
out these instructions to the greatest to use in the passenger cabin during air
extent feasible, consistent with FAA, transportation to, from or within the
PHMSA, TSA, or applicable foreign United States, an electronic assistive
government requirements concerning device specified in paragraph (d) of this
security, safety, and hazardous mate- section on all aircraft originally de-
rials with respect to the stowage of signed to have a maximum passenger
carry-on items. capacity of more than 19 seats unless:
(b) When wheelchairs, other mobility (1) The device does not meet require-
aids, or other assistive devices are dis- ments for medical portable electronic
assembled by the carrier for stowage, devices set by the foreign carrier’s gov-
you must reassemble them and ensure ernment if such requirements exist;
their prompt return to the passenger. (2) The device does not meet require-
You must return wheelchairs, other ments for medical portable electronic
mobility aids, and other assistive de- devices set by the FAA for U.S. car-
vices to the passenger in the condition riers in circumstances where require-
in which you received them. ments for medical portable electronic
devices have not been set by the for-
§ 382.131 Do baggage liability limits
apply to mobility aids and other as- eign carrier’s government and the for-
sistive devices? eign carrier elects to apply FAA re-
quirements for medical portable elec-
With respect to transportation to tronic devices; or
which 14 CFR part 254 applies, the lim- (3) The device cannot be stowed and
its to liability for loss, damage, or used in the passenger cabin consistent
delay concerning wheelchairs or other
with applicable TSA, FAA and PHMSA
assistive devices provided in part 254 do
regulations, and the safety or security
not apply. The basis for calculating the
regulations of the foreign carrier’s gov-
compensation for a lost, damaged, or
ernment.
destroyed wheelchair or other assistive
(c) Except as provided in paragraph
device shall be the original purchase
(a) of this section, as a covered U.S. air
price of the device.
carrier, you must accept the passenger
§ 382.133 What are the requirements supplied electronic assistive device in
concerning the evaluation and use this paragraph (c):
of passenger-supplied electronic de- (1) A portable oxygen concentrator
vices that assist passengers with (POC), a ventilator, a respirator or a
respiration in the cabin during continuous positive airway pressure
flight? machine that displays a manufactur-
(a) Except for on-demand air taxi op- er’s label that indicates the device
erators, as a U.S. carrier conducting meets FAA requirements; and
passenger service you must permit any (2) The following POC models wheth-
individual with a disability to use in er or not they are labeled:
the passenger cabin during air trans- (i) AirSep Focus;
portation an electronic assistive device (ii) AirSep FreeStyle;
specified in paragraph (c) of this sec- (iii) AirSep FreeStyle 5;
tion on all aircraft originally designed (iv) AirSep LifeStyle;
to have a maximum passenger capacity (v) Delphi RS–00400;
of more than 19 seats unless: (vi) DeVilbiss Healthcare iGo;
(1) The device does not meet applica- (vii) Inogen One;
ble FAA requirements for medical (viii) Inogen One G2;
portable electronic device; or (ix) Inogen One G3;
(2) The device cannot be stowed and (x) Inova Labs LifeChoice;
used in the passenger cabin consistent (xi) Inova Labs LifeChoice Activox;
with applicable TSA, FAA, and PHMSA (xii) International Biophysics
regulations. LifeChoice;
(b) Except for foreign carriers con- (xiii) Invacare Solo2;
ducting operations of a nature equiva- (xiv) Invacare XPO2;

452
Office of the Secretary, DOT § 382.133
(xv) Oxlife Independence Oxygen Con- tion process as indicated in paragraphs
centrator; (e)(1) through (6) of this section upon
(xvi) Oxus RS–00400; inquiry from an individual concerning
(xvii) Precision Medical EasyPulse; the use in the cabin during air trans-
(xviii) Respironics EverGo; portation of a ventilator, respirator,
(xix) Respironics SimplyGo; continuous positive airway machine, or
(xx) SeQual Eclipse; a POC. The information in this para-
(xxi) SeQual eQuinox Oxygen System graph (e) must be provided:
(model 4000); (1) Any applicable requirement for a
(xxii) SeQual Oxywell Oxygen Sys- manufacturer-affixed label to reflect
tem (model 4000); that the device has been tested to meet
(xxiii) SeQual SAROS; and applicable FAA requirements for med-
(xxiv) VBox Trooper Oxygen Concen- ical portable electronic devices;
trator. (2) The maximum weight and dimen-
(d) Except as provided in paragraph sions (length, width, height) of the de-
(b) of this section, as a covered foreign vice to be used by an individual that
air carrier, you must accept the sup- can be accommodated in the aircraft
plied electronic assistive devices in cabin consistent with FAA safety re-
this paragraph (d): quirements;
(1) A POC, a ventilator, a respirator (3) The requirement to bring an ade-
or a continuous positive airway pres- quate number of batteries as outlined
sure machine that displays a manufac- in paragraph (h)(2) of this section and
turer’s label according to FAA require- to ensure that extra batteries carried
ments in circumstances where require- onboard to power the device are pack-
ments for labeling these devices have aged and protected from short circuit
not been set by the foreign carrier’s and physical damage in accordance
government; and with applicable PHMSA regulations re-
(2) The following POC models wheth- garding spare batteries carried by pas-
er or not they are labeled: sengers in an aircraft cabin;
(i) AirSep Focus;
(4) Any requirement, if applicable,
(ii) AirSep FreeStyle;
that an individual contact the carrier
(iii) AirSep FreeStyle 5;
operating the flight 48 hours before
(iv) AirSep LifeStyle;
scheduled departure to learn the ex-
(v) Delphi RS–00400;
(vi) DeVilbiss Healthcare iGo; pected maximum duration of his/her
(vii) Inogen One; flight in order to determine the re-
(viii) Inogen One G2; quired number of batteries for his/her
(ix) Inogen One G3; particular ventilator, respirator, con-
(x) Inova Labs LifeChoice; tinuous positive airway pressure ma-
(xi) Inova Labs LifeChoice Activox; chine, or POC;
(xii) International Biophysics (5) Any requirement, if applicable, of
LifeChoice; the carrier operating the flight for an
(xiii) Invacare Solo2; individual planning to use such a de-
(xiv) Invacare XPO2; vice to check-in up to one hour before
(xv) Oxlife Independence Oxygen Con- that carrier’s general check-in dead-
centrator; line; and
(xvi) Oxus RS–00400; (6) For POCs, the requirement of
(xvii) Precision Medical EasyPulse; § 382.23(b)(1)(ii) to present to the oper-
(xviii) Respironics EverGo; ating carrier at the airport a physi-
(xix) Respironics SimplyGo; cian’s statement (medical certificate).
(xx) SeQual Eclipse; (f) As a foreign carrier operating
(xxi) SeQual eQuinox Oxygen System flights to, from or within the United
(model 4000); States, you must provide the informa-
(xxii) SeQual Oxywell Oxygen Sys- tion during the reservation process as
tem (model 4000); indicated in paragraphs (f)(1) through
(xxiii) SeQual SAROS; and (7) of this section upon inquiry from an
(xxiv) VBox Trooper Oxygen Concen- individual concerning the use in the
trator. cabin during air transportation on such
(e) As a U.S. carrier, you must pro- a flight of a ventilator, respirator, con-
vide information during the reserva- tinuous positive airway machine, or

453
§ 382.141 14 CFR Ch. II (1–1–19 Edition)
POC. The information in this para- the individual inquiring about using a
graph (f) must be provided: ventilator, respirator, CPAP machine
(1) Any applicable requirement for a or POC onboard an aircraft to contact
manufacturer-affixed label to reflect the carrier operating the flight for in-
that the device has been tested to meet formation about its requirements for
requirements for medical portable elec- use of such devices in the cabin, or pro-
tronic devices set by the foreign car- vide such information on behalf of the
rier’s government if such requirements codeshare carrier operating the flight.
exist; (h)(1) As a U.S. or foreign carrier sub-
(2) Any applicable requirement for a ject to paragraph (a) or (b) of this sec-
manufacturer-affixed label to reflect tion, you must inform any individual
that the device has been tested to meet who has advised you that he or she
requirements for medical portable elec- plans to operate his/her device in the
tronic devices set by the FAA for U.S. aircraft cabin, within 48 hours of his/
carriers if requirements for medical her making a reservation or 24 hours
portable electronic devices have not before the scheduled departure date of
been set by the foreign carrier’s gov- his/her flight, whichever date is earlier,
ernment and the foreign carrier elects of the expected maximum flight dura-
to apply FAA requirements for medical tion of each segment of his/her flight
portable electronic devices; itinerary.
(3) The maximum weight and dimen- (2) You may require an individual to
sions (length, width, height) of the de- bring an adequate number of fully
vice to be used by an individual that charged batteries onboard, based on
can be accommodated in the aircraft the battery manufacturer’s estimate of
cabin consistent with the safety regu- the hours of battery life while the de-
lations of the foreign carrier’s govern- vice is in use and the information pro-
ment; vided in the physician’s statement, to
(4) The requirement to bring an ade- power the device for not less than 150%
quate number of batteries as outlined of the expected maximum flight dura-
in paragraph (h)(2) of this section and tion.
to ensure that extra batteries carried (3) If an individual does not comply
onboard to power the device are pack- with the conditions for acceptance of a
aged in accordance with applicable medical portable electronic device as
government safety regulations; outlined in this section, you may deny
(5) Any requirement, if applicable, boarding to the individual in accord-
ance with § 382.19(c) and in that event
that an individual contact the carrier
you must provide a written expla-
operating the flight 48 hours before
nation to the individual in accordance
scheduled departure to learn the ex-
with § 382.19(d).
pected maximum duration of his/her
flight in order to determine the re- [Doc. No. FAA–2014–0554, 81 FR 33120, May 24,
quired number of batteries for his/her 2016]
particular ventilator, respirator, con-
tinuous positive airway pressure ma- Subpart J—Training and
chine, or POC; Administrative Provisions
(6) Any requirement, if applicable, of
the carrier operating the flight for an § 382.141 What training are carriers re-
individual planning to use such a de- quired to provide for their per-
vice to check-in up to one hour before sonnel?
that carrier’s general check-in dead- (a) As a carrier that operates aircraft
line; and with 19 or more passenger seats, you
(7) Any requirement, if applicable, must provide training, meeting the re-
that an individual who wishes to use a quirements of this paragraph, for all
POC onboard an aircraft present to the personnel who deal with the traveling
operating carrier at the airport a phy- public, as appropriate to the duties of
sician’s statement (medical certifi- each employee.
cate). (1) You must ensure training to pro-
(g) In the case of a codeshare ficiency concerning:
itinerary, the carrier whose code is (i) The requirements of this part and
used on the flight must either inform other applicable Federal regulations

454
Office of the Secretary, DOT § 382.143
affecting the provision of air travel to the matters covered by this section, as
passengers with a disability; appropriate to the duties of each em-
(ii) Your procedures, consistent with ployee, as needed to maintain pro-
this part, concerning the provision of ficiency. You must develop a program
air travel to passengers with a dis- that will result in each such employee
ability, including the proper and safe receiving refresher training at least
operation of any equipment used to ac- once every three years. The program
commodate passengers with a dis- must describe how employee pro-
ability; and ficiency will be maintained.
(iii) For those personnel involved in (6) You must provide, or ensure that
providing boarding and deplaning as- your contractors provide, training to
sistance, the use of the boarding and the contractors’ employees concerning
deplaning assistance equipment used travel by passengers with a disability.
by the carrier and appropriate boarding This training is required only for those
and deplaning assistance procedures contractor employees who deal directly
that safeguard the safety and dignity with the traveling public, and it must
of passengers. be tailored to the employees’ functions.
(2) You must also train such employ- Training for contractor employees
ees with respect to awareness and ap- must meet the requirements of para-
propriate responses to passengers with graphs (a)(1) through (a)(5) of this sec-
a disability, including persons with tion.
physical, sensory, mental, and emo- (7) The employees you designate as
tional disabilities, including how to CROs, for purposes of § 382.151 of this
distinguish among the differing abili- part, must receive training concerning
ties of individuals with a disability. the requirements of this part and the
(3) You must also train these employ- duties of a CRO.
ees to recognize requests for commu- (8) Personnel subject to training re-
nication accommodation from individ- quired under this part, who are already
uals whose hearing or vision is im- employed on May 13, 2009, must be
paired and to use the most common trained one time in the changes result-
methods for communicating with these ing from the reissuance of this part.
individuals that are readily available, (b) If you are a carrier that operates
such as writing notes or taking care to only aircraft with fewer than 19 pas-
enunciate clearly, for example. Train- senger seats, you must provide training
ing in sign language is not required. for flight crewmembers and appro-
You must also train these employees to priate personnel to ensure that they
recognize requests for communication are familiar with the matters listed in
accommodation from deaf-blind pas- paragraphs (a)(1) and (a)(2) of this sec-
sengers and to use established means of tion and that they comply with the re-
communicating with these passengers quirements of this part.
when they are available, such as pass-
ing out Braille cards if you have them, § 382.143 When must carriers complete
reading an information sheet that a training for their personnel?
passenger provides, or communicating (a) As a U.S. carrier, you must meet
with a passenger through an inter- the training requirements of § 382.141
preter, for example. by the following times.
(4) You must consult with organiza- (1) Employees designated as CROs
tions representing persons with disabil- shall receive training concerning the
ities in your home country when devel- requirements of this part and the du-
oping your training program and your ties of a CRO before assuming their du-
policies and procedures. If such organi- ties under § 382.151 (see § 382.141(a)(7)).
zations are not available in your home You must ensure that all employees
country, you must consult with indi- performing the CRO function receive
viduals with disabilities and/or inter- annual refresher training concerning
national organizations representing in- their duties and the provisions of this
dividuals with disabilities. regulation. The one-time training for
(5) You must ensure that all per- CROs about the changes to Part 382
sonnel who are required to receive must take place by May 13, 2009. For
training receive refresher training on employees who have already received

455
§ 382.145 14 CFR Ch. II (1–1–19 Edition)
CRO training, this training may be § 382.145 What records concerning
limited to changes from the previous training must carriers retain?
version of Part 382. (a) As a carrier that operates aircraft
(2) The one-time training for existing with 19 or more passenger seats, you
employees about changes to Part 382 must incorporate procedures imple-
(see § 382.141(a)(8)) must take place for menting the requirements of this part
each such employee no later than the in the manuals or other guidance or in-
next scheduled recurrent training tak- structional materials provided for the
ing place after May 13, 2009 or within carrier and contract personnel who
one year after May 13, 2009, whichever provide services to passengers, includ-
comes first. ing, but not limited to, pilots, flight
(3) For crewmembers subject to attendants, reservation and ticket
training requirements under 14 CFR counter personnel, gate agents, ramp
Part 121 or 135 whose employment in and baggage handling personnel, and
any given position commences after passenger service office personnel. You
May 13, 2009, before they assume their must retain these records for review by
duties; and the Department on the Department’s
(4) For other personnel whose em- request. If, upon such review, the De-
ployment in any given position com- partment determines that any portion
mences after May 13, 2009, within 60 of these materials must be changed in
days after the date on which they as- order to comply with this part, DOT
sume their duties. will direct you to make appropriate
(b) As a foreign carrier that operates changes. You must incorporate and im-
aircraft with 19 or more passenger plement these changes.
seats, you must provide training meet- (b) You must retain for three years
ing the requirements of § 382.141(a) for individual employee training records
all personnel who deal with the trav- demonstrating that all persons re-
eling public in connection with flights quired to receive initial and refresher
that begin or end at a U.S. airport, as training have done so.
appropriate to the duties of each em-
ployee. You must ensure that per- Subpart K—Complaints and
sonnel required to receive training Enforcement Procedures
complete the training by the following
times: § 382.151 What are the requirements
for providing Complaints Resolu-
(1) Employees designated as CROs tion Officials?
shall receive training in accordance
with paragraph (a)(1) of this section, by (a) As a carrier providing service
May 13, 2009. using aircraft with 19 or more pas-
(2) For crewmembers and other per- senger seats, you must designate one
sonnel who are employed on May 13, or more CROs.
2009, within one year after that date; (b) As a U.S. carrier, you must make
a CRO available at each airport you
(3) For crewmembers whose employ-
serve during all times you are oper-
ment commences after May 13, 2010, be-
ating at that airport. As a foreign car-
fore they assume their duties;
rier, you must make a CRO available
(4) For other personnel whose em- at each airport serving flights you op-
ployment in any given position com- erate that begin or end at a U.S. air-
mences after May 13, 2010, or within 60 port. You may make the CRO available
days after the date on which they as- in person at the airport or via tele-
sume their duties; and phone, at no cost to the passenger. If a
(5) For crewmembers and other per- telephone link to the CRO is used, TTY
sonnel whose employment in any given service or a similarly effective tech-
position commences after May 13, 2009, nology must be available so that per-
but before May 13, 2010, by May 13, 2010 sons with hearing impairments may
or a date 60 days after the date of their readily communicate with the CRO.
employment, whichever is later. You must make CRO service available
[Doc. No. DOT–OST–2004–19482, 73 FR 27665, in the language(s) in which you make
May 13, 2008, as amended at 74 FR 11472, Mar. your services available to the general
18, 2009] public.

456
Office of the Secretary, DOT § 382.155
(c) You must make passengers with a (a) If the complaint is made to a CRO
disability aware of the availability of a before the action or proposed action of
CRO and how to contact the CRO in the carrier personnel has resulted in a vio-
following circumstances: lation of a provision of this part, the
(1) In any situation in which any per- CRO must take, or direct other carrier
son complains or raises a concern with personnel to take, whatever action is
your personnel about discrimination, necessary to ensure compliance with
accommodations, or services with re- this part.
spect to passengers with a disability, (b) If an alleged violation of a provi-
and your personnel do not immediately sion of this part has already occurred,
resolve the issue to the customer’s sat- and the CRO agrees that a violation
isfaction or provide a requested accom- has occurred, the CRO must provide to
modation, your personnel must imme- the complainant a written statement
diately inform the passenger of the setting forth a summary of the facts
right to contact a CRO and then con- and what steps, if any, the carrier pro-
tact a CRO on the passenger’s behalf or poses to take in response to the viola-
provide the passenger a means to do so tion.
(e.g., a phone, a phone card plus the lo- (c) If the CRO determines that the
cation and/or phone number of the CRO carrier’s action does not violate a pro-
available at the airport). Your per- vision of this part, the CRO must pro-
sonnel must provide this information vide to the complainant a written
to the passenger in a format he or she statement including a summary of the
can use. facts and the reasons, under this part,
(2) Your reservation agents, contrac- for the determination.
tors, and Web sites must provide infor- (d) The statements required to be
mation equivalent to that required by provided under this section must in-
paragraph (c)(1) of this section to pas- form the complainant of his or her
sengers with a disability using those right to pursue DOT enforcement ac-
services who complain or raise a con- tion under this part. The CRO must
cern about a disability-related issue. provide the statement in person to the
(d) Each CRO must be thoroughly fa- complainant at the airport if possible;
miliar with the requirements of this otherwise, it must be forwarded to the
part and the carrier’s procedures with complainant within 30 calendar days of
respect to passengers with a disability. the complaint.
The CRO is intended to be the carrier’s
[Doc. No. DOT–OST–2004–19482, 73 FR 27665,
‘‘expert’’ in compliance with the re- May 13, 2008, as amended at 75 FR 44887, July
quirements of this part. 30, 2010]
(e) You must ensure that each of
your CROs has the authority to make § 382.155 How must carriers respond
dispositive resolution of complaints on to written complaints?
behalf of the carrier. This means that (a) As a carrier providing service
the CRO must have the power to over- using aircraft with 19 or more pas-
rule the decision of any other per- senger seats, you must respond to writ-
sonnel, except that the CRO is not re- ten complaints received by any means
quired to be given authority to coun- (e.g., letter, fax, e-mail, electronic in-
termand a decision of the pilot-in-com- stant message) concerning matters
mand of an aircraft based on safety. covered buy this part.
[Doc. No. DOT–OST–2004–19482, 73 FR 27665, (b) As a passenger making a written
May 13, 2008, as amended at 74 FR 11472, Mar. complaint, you must state whether you
18, 2009; 75 FR 44887, July 30, 2010] had contacted a CRO in the matter,
provide the name of the CRO and the
§ 382.153 What actions do CROs take date of the contact, if available, and
on complaints? enclose any written response you re-
When a complaint is made directly to ceived from the CRO.
a CRO for a carrier providing service (c) As a carrier, you are not required
using aircraft with 19 or more pas- to respond to a complaint postmarked
senger seats, the CRO must promptly or transmitted more than 45 days after
take dispositive action as follows: the date of the incident, except for

457
§ 382.157 14 CFR Ch. II (1–1–19 Edition)
complaints referred to you by the De- (e.g., food allergies, chemical sensi-
partment of Transportation. tivity), paraplegic, quadriplegic, other
(d) As a carrier, you must make a wheelchair, oxygen, stretcher, other
dispositive written response to a writ- assistive device (cane, respirator, etc.),
ten disability complaint within 30 days and other disability. Data concerning
of its receipt. The response must spe- the alleged discrimination or service
cifically admit or deny that a violation problem related to the disability must
of this part has occurred. be separately recorded in the following
(1) If you admit that a violation has areas: refusal to board, refusal to board
occurred, you must provide to the com- without an attendant, security issues
plainant a written statement setting concerning disability, aircraft not ac-
forth a summary of the facts and the cessible, airport not accessible, ad-
steps, if any, you will take in response vance notice dispute, seating accom-
to the violation. modation, failure to provide adequate
(2) If you deny that a violation has or timely assistance, damage to assist-
occurred, your response must include a ive device, storage and delay of assist-
summary of the facts and your reasons, ive device, service animal problem, un-
under this part, for the determination. satisfactory information, and other.
(3) Your response must also inform (d) You must submit an annual re-
the complainant of his or her right to port summarizing the disability-re-
pursue DOT enforcement action under lated complaints that you received dur-
this part. ing the prior calendar year using the
[Doc. No. DOT–OST–2004–19482, 73 FR 27665, form specified at the following internet
May 13, 2008, as amended at 75 FR 44887, July address: http://382reporting.ost.dot.gov.
30, 2010] You must submit this report by the
last Monday in January of each year
§ 382.157 What are carriers’ obligations
for recordkeeping and reporting on for complaints received during the
disability-related complaints? prior calendar year. You must make
submissions through the World Wide
(a) For the purposes of this section, a Web except for situations where you
disability-related complaint means a can demonstrate that you would suffer
specific written expression of dis- undue hardship if not permitted to sub-
satisfaction received from, or sub- mit the data via paper copies, disks, or
mitted on behalf, of an individual with e-mail, and DOT has approved an ex-
a disability concerning a difficulty as- ception. All fields in the form must be
sociated with the person’s disability,
completed; carriers are to enter ‘‘0’’
which the person experienced when
where there were no complaints in a
using or attempting to use an air car-
given category. Each annual report
rier’s or foreign carrier’s services.
must contain the following certifi-
(b) If you are a carrier covered by
cation signed by your authorized rep-
this part, conducting passenger oper-
resentative: ‘‘I, the undersigned, do
ations with at least one aircraft having
certify that this report has been pre-
a designed seating capacity of more
than 60 passengers, this section applies pared under my direction in accordance
to you. As a foreign carrier, you are with the regulations in 14 CFR Part
covered by this section only with re- 382. I affirm that, to the best of my
spect to disability-related complaints knowledge and belief, this is a true,
associated with any flight segment correct, and complete report.’’ Elec-
originating or terminating in the tronic signatures will be accepted.
United States. (e) You must retain correspondence
(c) You must categorize disability-re- and record of action taken on all dis-
lated complaints that you receive ac- ability-related complaints for three
cording to the type of disability and years after receipt of the complaint or
nature of complaint. Data concerning a creation of the record of action taken.
passenger’s disability must be recorded You must make these records available
separately in the following areas: vi- to Department of Transportation offi-
sion impaired, hearing impaired, vision cials at their request.
and hearing impaired, mentally im- (f)(1) As either carrier in a codeshare
paired, communicable disease, allergies relationship, you must comply with

458
Office of the Secretary, DOT § 382.159
paragraphs (c) through (e) of this sec- rizing the disability-related complaints
tion for— they received. The report shall be
(i) Disability-related complaints you mailed, by the date specified in para-
receive from or on behalf of passengers graph (d) of this section, to the fol-
with respect to difficulties encountered lowing address: U.S. Department of
in connection with service you provide; Transportation, Aviation Consumer
(ii) Disability-related complaints you Protection Division (C–75), 1200 New
receive from or on behalf of passengers Jersey Avenue, SE., West Building,
when you are unable to reach agree- Room W96–432, Washington, DC 20590.
ment with your codeshare partner as to
whether the complaint involves service § 382.159 How are complaints filed
you provide or service your codeshare with DOT?
partner provides; and (a) Any person believing that a car-
(iii) Disability-related complaints rier has violated any provision of this
forwarded by another carrier or gov- part may seek assistance or file an in-
ernmental agency with respect to dif- formal complaint at the Department of
ficulties encountered in connection Transportation no later than 6 months
with service you provide. after the date of the incident by either:
(2) As either carrier in a codeshare (1) Going to the web site of the De-
relationship, you must forward to your partment’s Aviation Consumer Protec-
codeshare partner disability-related tion Division at http://
complaints you receive from or on be- airconsumer.ost.dot.gov and selecting
half of passengers with respect to dif- ‘‘Air Travel Problems and Com-
ficulties encountered in connection plaints,’’ or
with service provided by your code- (2) Writing to Department of Trans-
sharing partner. portation, Aviation Consumer Protec-
(g) Each carrier, except for carriers tion Division (C–75), 1200 New Jersey
in codeshare situations, shall comply Avenue, SE., Washington, DC 20590.
with paragraphs (c) through (e) of this (b) Any person believing that a car-
section for disability-related com- rier has violated any provision of this
plaints it receives from or on behalf of part may also file a formal complaint
passengers as well as disability-related under the applicable procedures of 14
complaints forwarded by another car- CFR part 302.
rier or governmental agency with re- (c) You must file a formal complaint
spect to difficulties encountered in under this part within six months of
connection with service it provides. the incident on which the complaint is
(h) Carriers that do not submit their based in order to ensure that the De-
data via the Web shall use the dis- partment of Transportation will inves-
ability-related complaint data form tigate the matter.
specified in appendix A to this part
when filing their annual report summa-

459
Pt. 382, App. A 14 CFR Ch. II (1–1–19 Edition)
APPENDIX A TO PART 382—REPORT OF DISABILITY-RELATED COMPLAINT DATA

460
Office of the Secretary, DOT Pt. 382, App. A

461
Pt. 382, App. B 14 CFR Ch. II (1–1–19 Edition)
APPENDIX B TO PART 382—CROSS-REFERENCE TABLE
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.

SECTION NUMBERS: OLD AND NEW RULES

Old section New section Subject
(382.x) (382.x)

General provisions:
1 ........................................ 1 .............................................. Purpose.
3 ........................................ 7 .............................................. Applicability.
5 ........................................ 3 .............................................. Definitions.
7 ........................................ 11, 13 ...................................... Non-discrimination generally.
9 ........................................ 15 ............................................ Contractors.
Aircraft accessibility:
21(a)(1) ............................. 61 ............................................ Movable armrests.
21(a)(2) ............................. 67 ............................................ Stowage space in cabin for passenger wheelchair.
21(a)(3) ............................. 63 ............................................ Accessible lavatories.
21(a)(4) ............................. 65 ............................................ Carrier-supplied on-board wheelchair.
21(e) and (f) ...................... 71 ............................................ Aircraft accessibility: miscellaneous.
Airport accessibility:
23 ...................................... 51 ............................................ General.
(New) ................................. 53 ............................................ Vision/hearing impairments.
Services and information:
31 ...................................... 19 ............................................ Refusal of transportation.
31(c) .................................. 17 ............................................ Number limits.
33 ...................................... 25, 27 ...................................... Advance notice requirements.
35 ...................................... 29 ............................................ Safety assistants (formerly ‘‘attendants’’).
37 ...................................... 87(a) ........................................ Seat assignments.
38 ...................................... 81 through 87 .......................... Seating accommodations.
39(a) .................................. 91 through 105 ........................ Enplaning, deplaning and connecting assistance.
39(b) .................................. 111 through 119 ...................... Assistance in cabin.
40 and 40a ........................ 95, 99 ...................................... Mechanical lifts.
41 ...................................... 121 through 133 ...................... Stowage of assistive devices, POCs and other respiratory as-
sistive devices.
43(a) .................................. 129(b) ...................................... Timely return of assistive devices.
43(b) .................................. 131 .......................................... Liability limits.
43(c) .................................. 35 ............................................ Liability waivers.
45(a) .................................. 41 ............................................ Access to information (general).
45(b) .................................. 115 .......................................... Individual safety briefings.
45(c) .................................. 119 .......................................... Access to information in airport and aircraft.
45(d) .................................. 45 ............................................ Availability of copy of rule.
47(a) .................................. 43 ............................................ TTY’s and reservations systems.
47(b) .................................. 69 ............................................ Accessibility of videos on aircraft.
49 ...................................... 55 ............................................ Security screening.
51 ...................................... 21 ............................................ Communicable diseases.
53 ...................................... 23 ............................................ Medical certificates.
55(a) .................................. 117 .......................................... Service animals.
55(b) .................................. 33 ............................................ Sitting on blankets.
55(c) .................................. 33 ............................................ Restricting movement.
55 ...................................... 31 ............................................ Charges for accommodations.
Administrative provisions:
61 ...................................... 141, 143 .................................. Training.
63(c) and (d) ..................... 145 .......................................... Manuals; directed changes.
65(a) .................................. 151, 153 .................................. Complaints Resolution Officials.
65(b) .................................. 155, 157 .................................. Written complaints to carriers.
65(c) and (d) ..................... 159 .......................................... Complaints to DOT.

[Doc. No. DOT–OST–2004–19482, 73 FR 27665, May 13, 2008, as amended at 74 FR 11472, Mar. 18,
2009]

PART 383—CIVIL PENALTIES 2490; Pub. L. 101–410, 104 Stat. 890; Sec. 31001,
Pub. L. 104–134.
Sec. SOURCE: 83 FR 60743, Nov. 27, 2018, unless
383.1 Purpose and periodic adjustment. otherwise noted.
383.2 Amount of penalty.
AUTHORITY: Sec. 701, Pub. L. 114–74, 129
Stat. 584; Sec. 503, Pub. L. 108–176, 117 Stat.

462
Office of the Secretary, DOT § 383.2

§ 383.1 Purpose and periodic adjust- rules or orders issued under those pro-
ment. visions, other than those listed in para-
(a) Purpose. This part adjusts the graph (b) of this section, (see 49 U.S.C.
civil penalty liability amounts pre- 46301(a)(1));
(b) With respect to small businesses
scribed in 49 U.S.C. 46301(a) for infla-
and individuals, notwithstanding the
tion in accordance with the Act cited
general $1,466 civil penalty, the fol-
in paragraph (b) of this section.
lowing civil penalty limits apply:
(b) Periodic Adjustment. DOT will peri-
(1) A maximum civil penalty of
odically adjust the maximum civil pen- $13,333 applies for violations of most
alties set forth in 49 U.S.C. 46301 and provisions of Chapter 401, including the
this part as required by the Federal anti-discrimination provisions of sec-
Civil Penalties Inflation Adjustment tions 40127 (general provision), and
Act of 1990 as amended by the Federal 41705 (discrimination against the dis-
Civil Penalties Inflation Adjustment abled) and rules and orders issued pur-
Act Improvements Act of 2015. suant to those provisions (see 49 U.S.C.
§ 383.2 Amount of penalty. 46301(a)(5)(A));
(2) A maximum civil penalty of $6,666
Civil penalties payable to the U.S. applies for violations of section 41719
Government for violations of Title 49, and rules and orders issued pursuant to
Chapters 401 through 421, pursuant to that provision (see 49 U.S.C.
49 U.S.C. 46301(a), are as follows: 46301(a)(5)(C)); and
(a) A general civil penalty of not (3) A maximum civil penalty of $3,334
more than $33,333 (or $1,466 for individ- applies for violations of section 41712 or
uals or small businesses) applies to vio- consumer protection rules or orders
lations of statutory provisions and (see 49 U.S.C. 46301(a)(5)(D)).

463
 SUBCHAPTER E—ORGANIZATION

PART 385—STAFF ASSIGNMENTS Subpart A—General Provisions

AND REVIEW OF ACTION UNDER
ASSIGNMENTS § 385.1 Definitions.
Department means Department of
Subpart A—General Provisions Transportation.
Petition for review means a petition
Sec.
asking the appropriate Reviewing Offi-
385.1 Definitions.
cial to exercise his or her discretionary
385.2 Applicability.
right of review of staff action.
385.3 Scope of staff action.
385.4 Form of staff action. Precedent means applicable judicial
385.5 Procedures prescribed in other regula- decisions and decisions by the Depart-
tions. ment, or by the Board where consistent
385.6 Referral to the Reviewing Official. with Department policy.
385.7 Exercise of authority by superiors. Reviewing Official means the Assist-
385.8 Exercise of authority in ‘‘acting’’ ca- ant Secretary for Aviation and Inter-
pacity. national Affairs, the General Counsel,
or the Director of the Bureau of Trans-
Subpart B—Assignment of Functions to Staff portation Statistics, as appropriate to
Members the subject matter under review, but
not with regard to Deputy General
385.10 Authority of Chief Administrative
Law Judge, Office of Hearings. Counsel and Administrative Law Judge
385.11 Authority of the Administrative Law decisions made under this part.
Judges, Office of Hearings. Staff action means the exercise of a
385.12 Authority of the Director, Office of function under Subparts I, II and IV of
Aviation Analysis. Subtitle VII of Title 49 of the United
385.13 Authority of the Director, Office of States Code (Transportation) by a staff
International Aviation. member pursuant to assignment under
385.14 Authority of the General Counsel. this part.
385.15 Authority of the Deputy General Staff members means officers and em-
Counsel.
ployees of the Department who are as-
385.16 Heads of Offices and Assistant Gen-
eral Counsels.
signed authority under this part.
385.17 Authority of the Assistant General Statute means Subtitle VII of Title 49
Counsel for Regulation and Enforcement. of the United States Code (Transpor-
385.18 Authority of the Chief, Coordination tation).
Section, Documentary Services Division.
[Doc. No. T–1, 49 FR 50985, Dec. 31, 1984, as
385.19 Authority of the Director, Office of amended by Amdt. 1–261, 59 FR 10061, Mar. 3,
Aviation Information, Bureau of Trans- 1994; 60 FR 66726, Dec. 26, 1995; Doc. No. OST–
portation Statistics. 96–1268, 61 FR 19167, May 1, 1996]
385.20 Authority of the Inspector General.
385.21 Authority of the Chief, Accounting § 385.2 Applicability.
Division, Office of Budget and Policy,
Federal Transit Administration. This part describes the organization
of the Department insofar as, pursuant
Subpart C—Procedure on Review of Staff to authority conferred on it by section
Action 40113 of the Statute, the Department
has adopted rules herein or elsewhere
385.30 Persons who may petition for review.
which make continuing assignments of
385.31 Petitions for review.
authority with respect to any of its
385.32 Effective date of staff action.
functions of making orders or other de-
385.33 Review by the staff.
terminations, many of which are not
385.34 Decision by the Reviewing Official.
required to be made on an evidentiary
AUTHORITY: 49 U.S.C. 329 and chapters record upon notice and hearing or
40101, 41101, 41301, and 41701. which are not the subject of contest,
SOURCE: Docket No. T–1, 49 FR 50985, Dec. and Department personnel have been
31, 1984, unless otherwise noted. assigned to perform such functions.

464
Office of the Secretary, DOT § 385.5
Delegations by the Secretary of Trans- sonable conditions. Moreover, where
portation to Secretarial Officers and applicable, the authority to grant re-
the Director, Bureau of Transportation lief also includes authority to renew or
Statistics (BTS) of functions under extend an existing authorization.
Subparts I, II, and IV of the Statute ap-
pear in 49 CFR part 1. This part also [Doc. No. T–1, 49 FR 50985, Dec. 31, 1984;
sets forth the procedures governing dis- Amdt. 1, 50 FR 7170, Feb. 21, 1985]
cretionary review by the appropriate
§ 385.4 Form of staff action.
Reviewing Official of action taken
under such assignments. Nothing in Unless otherwise specified, staff ac-
this part shall be construed as pre- tion shall be by order or informal writ-
cluding the Department from issuing, ing (letters, telegrams, decision
by appropriate order, temporary dele- marked on copy of application form,
gations of authority with respect to etc.). Such orders or informal writings
any functions described in this part or shall contain a recital that action is
with respect to any other functions taken pursuant to authority assigned
which can be lawfully delegated. herein, shall, in cases where there are
[Doc. No. T–1, 49 FR 50985, Dec. 31, 1984, as ‘‘parties or interveners,’’ or where
amended at 60 FR 66726, Dec. 26, 1995; Doc. there may be an adverse effect upon a
No. OST–96–1268, 61 FR 19167, May 1, 1996] person with a substantial interest, con-
§ 385.3 Scope of staff action. tain a brief reference to the right of ag-
grieved parties to petition the Review-
Applications for relief which, pursu- ing Official for review pursuant to ap-
ant to this part, may be granted by plicable procedural rules, including a
staff members under assigned author-
statement of the time within which pe-
ity, and proceedings on such requests
titions must be filed (§ 385.51); shall
shall be governed by applicable rules in
state whether the filing of a petition
the same manner as if no assignment
had been made (see § 385.5). In such pro- shall preclude the action from becom-
ceedings, each staff member may deter- ing effective; and shall be in the name
mine any procedural matters which of the person exercising the assigned
may arise, including, inter alia, service function. They shall contain all find-
of documents on additional persons; fil- ings, determinations and conclusions
ing of otherwise unauthorized docu- which would be required or appropriate
ments; waivers of procedural require- if they were issued by the Secretary.
ments; requests for hearing; requests Upon request, the appropriate Depart-
for additional information; dismissal of ment Official shall attest as Depart-
applications upon the applicant’s re- mental action orders or informal
quest, moot applications, or incom- writings issued pursuant to this part
plete or otherwise defective applica- which have become the action of the
tions; and extensions of time. Such de- Department (§ 385.52).
terminations, except those which
would terminate the matter, shall be [Doc. No. T–1, 49 FR 50985, Dec. 31, 1984;
subject to review only in connection Amdt. 1, 50 FR 7170, Feb. 21, 1985]
with review of the staff member’s deci-
§ 385.5 Procedures prescribed in other
sion on the merits. The dismissal of in-
regulations.
complete or otherwise defective appli-
cations under authority set forth in Procedures set forth in this part do
this part shall be without prejudice ex- not supersede procedures applicable to
cept where under otherwise applicable matters on which decision has been as-
law the time for making application signed unless otherwise specifically
has run out or where the defect is not provided herein: Provided, however,
corrected within a reasonable time That any provisions in other regula-
fixed by the staff member. Under the tions which provide for reconsideration
authority assigned to the staff as set of nonhearing determinations are not
forth in this part to approve, dis- applicable to decisions made under au-
approve, grant, or deny, relief may be thority assigned herein or to decisions
granted or denied in part and grants made upon review thereof by the Re-
may be made subject to lawful and rea- viewing Official.

465
§ 385.6 14 CFR Ch. II (1–1–19 Edition)

§ 385.6 Referral to the Reviewing Offi- one proceeding cases involving the in-
cial. vestigation of a tariff or of complaints
When the staff member finds that the concerned with related tariffs.
public interest so requires, or that, (b) With respect to matters to be de-
with respect to other than matters re- cided after notice and hearing:
quiring immediate action as hereafter (1) Dismiss applications or com-
specified, there will be insufficient plaints (except those falling under sub-
time for discretionary review of his or part D of part 302 of this chapter (Pro-
her decision upon petition, the staff cedural Regulations)) when such dis-
member shall, in lieu of exercising the missal is requested or consented to by
authority, submit the matter to the the applicant or complainant, or where
Reviewing Official for decision. In any such party has failed to prosecute such
case in which the staff member finds application or complaint;
that immediate action is required with
(2) Dismiss proceedings upon his or
respect to any matter assigned herein,
her finding that the proceeding has be-
the disposition of which is governed by
prior precedent and policy, the staff come moot or that no further basis for
member may take appropriate action continuation exists; and
and specify that the filing of a petition (3) Dismiss an application subject to
for review shall not preclude such ac- dismissal as stale under part 302 of this
tion from becoming effective. chapter.

§ 385.7 Exercise of authority by superi- [49 FR 50985, Dec. 31, 1984, as amended at 55
ors. FR 20448, May 17, 1990; 65 FR 6457, Feb. 9,
2000]
Any assignment of authority to a
staff member other than the Chief Ad- § 385.11 Authority of the Administra-
ministrative Law Judge, the Adminis- tive Law Judges, Office of Hearings.
trative Law Judge, and the Deputy
The Administrative Law Judges, Of-
General Counsel, shall also be deemed
to be made, severally, to each such fice of Hearings, have authority to
staff member’s respective superiors. In take the following actions in matters
accordance with the Department’s to which they are respectively as-
principle of management responsi- signed:
bility, the superior may choose to exer- (a) Grant or deny intervention in for-
cise the assigned power personally. mal proceedings.
Moreover, the Secretary may at any (b) With respect to matters to be de-
time exercise any authority assigned cided after notice and hearing, dismiss
herein. applications or complaints (except
those falling under subpart D of part
§ 385.8 Exercise of authority in ‘‘act-
ing’’ capacity. 302 of this chapter (Procedural Regula-
tions)) when such dismissal is re-
Unless the assignment provides oth- quested or consented to by the appli-
erwise, staff members serving in an cant or complainant, or where such
‘‘acting’’ capacity may exercise the au- party has failed to prosecute such ap-
thority assigned to the staff members
plication or complaint.
for whom they are acting.
(c) Grant requests for consolidation
of applications for route authority
Subpart B—Assignment of within the scope of the proceeding be-
Functions to Staff Members fore him or her, and deny requests for
§ 385.10 Authority of Chief Administra- consolidation of applications for route
tive Law Judge, Office of Hearings. authority not within the scope of the
The Chief Administrative Law Judge proceeding.
has authority to: (d) Approve or disapprove proposed
(a) Consolidate, upon recommenda- settlements of enforcement pro-
tion of the Director, Office of Inter- ceedings submitted under § 302.215 of
national Aviation (or such staff mem- this chapter.
ber of the Office of International Avia- [Doc. No. T–1, 49 FR 50985, Dec. 31, 1984, as
tion as he or she may designate), into amended at 65 FR 6457, Feb. 9, 2000]

466
Office of the Secretary, DOT § 385.12

§ 385.12 Authority of the Director, Of- this section when the unsatisfactory
fice of Aviation Analysis. conditions that required issuance of
The Director, Office of Aviation the stay have been resolved; or
Analysis, has authority: (iv) To issue notices announcing the
(a) With respect to applications filed effective date of the certificate or com-
under section 41102 to engage in inter- muter air carrier authority.
state or foreign scheduled or charter (b) To approve or deny applications
air transportation, section 41103 to en- of air carriers:
gage in all-cargo air transportation, or (1) For exemptions from section 41102
section 41738 to engage in certain com- or 41103 of the Statute, and from orders
muter air transportation: issued thereunder, and from applicable
(1) To issue an order stating the De- regulations under this chapter where
partment’s intention to process the ap- the course of action is clear under cur-
plication through show-cause proce- rent policy or precedent.
dures or other expedited procedures, (2) For waivers of the Department’s
where that course of action is clear filing fee requirements under part 389
under current policy and precedent. of this chapter, in accordance with cur-
(2) To issue an order to show cause rent policy or precedent.
proposing to grant such application in (3) For relief under section 40109 of
those cases where no objections to the the Statute to hold out, arrange, and
application have been filed, and where coordinate the operation of air ambu-
the Department has already found the lance flights as indirect air carriers in
applicant to be fit, willing and able to accordance with established precedent.
provide service of the same basic scope (c) To waive the deadlines in
and character. § 377.10(c) of this chapter for filing ap-
(3) To issue an order, subject to any plications for the renewal of temporary
Presidential review required under sec- authorizations when, in the Director’s
tion 41307 of the Statute, making final judgment, the public interest would be
an order to show cause issued under served. The provisions of § 377.10(d) of
paragraph (a)(2) of this section, where this chapter shall apply in the same
no objections to the order to show manner as to a timely filed applica-
cause have been filed. tion.
(4) To issue an order dismissing an (d) With respect to air carrier names:
application: (1) To register names and trade
(i) When dismissal is requested or names of certificated and commuter
consented to by the applicant; air carriers pursuant to part 215 of this
(ii) For lack of prosecution; or chapter.
(iii) When the application has become (2) To reissue certificates issued
moot. under sections 41102 or 41103 of the
(5) To review Air Carrier Certificates Statute when revisions thereof are ne-
and Operations Specifications issued by cessitated by a change in the name of
the Federal Aviation Administration a carrier, provided that no issue of sub-
to carriers that have been granted cer- stance concerning the operating au-
tificate or commuter air carrier au- thority of the carrier is involved.
thority, and information concerning (e) To approve, deny, or cancel reg-
those carriers’ fitness to operate under istrations filed with the Department by
that authority that emerged following air taxi operators pursuant to part 298
the issuance of orders establishing of this chapter.
their fitness, and— (f) With respect to Canadian charter
(i) To amend orders issuing the cer- air taxi operations:
tificate or commuter air carrier au- (1) To approve applications for reg-
thority to advance the effective dates istration, or require that a registrant
of the authority if the review is satis- submit additional information, or re-
factory; ject an application for registration for
(ii) To stay the effectiveness of such failure to comply with part 294 of this
orders for up to 30 days if the review is chapter.
unsatisfactory; (2) To cancel, revoke, or suspend the
(iii) To lift the stay of effectiveness registration of any Canadian charter
imposed under paragraph (a)(5)(ii) of air taxi operator using small aircraft

467
§ 385.12 14 CFR Ch. II (1–1–19 Edition)
registered under part 294 of this chap- of this chapter, where grant or denial
ter that: of the request is in accordance with es-
(i) Filed with the Department a writ- tablished precedent.
ten notice that it is discontinuing op- (2) To approve or disapprove direct
erations; air carrier escrow agreements filed
(ii) No longer is designated by its pursuant to parts 207, 208, and 212 of
home government to operate the serv- this chapter.
ices contemplated by its registration; (3) To reject or accept Public Charter
(iii) Holds a foreign air carrier per- prospectuses filed under part 380 of this
mit under section 41302 to operate large chapter.
aircraft charters between the United (4) With respect to the procedures for
States and Canada; the registration of foreign charter op-
(iv) Fails to keep its filed certificate erators under subpart F of part 380 of
of insurance current; this chapter:
(v) No longer is substantially owned (i) To approve applications for reg-
or effectively controlled by persons istration, or require that a registrant
who are: submit additional information, or re-
(A) Citizens of Canada; ject an application for registration for
(B) The Government of Canada; or failure to comply with part 380 of this
(C) A combination of both; or chapter.
(vi) No longer holds current effective (ii) To notify the applicant that its
Operations Specifications issued by the application will require further anal-
FAA. ysis or procedures, or is being referred
(3) To grant or deny requests for a to the Assistant Secretary for Aviation
waiver of part 294 of this chapter, and International Affairs for formal ac-
where grant or denial of the request is tion.
in accordance with current policy or (iii) To cancel the registration of a
precedent. foreign charter operator if it files a
(g) To approve certificates of insur- written notice with the Department
ance filed with the Department on be- that it is discontinuing its charter op-
half of U.S. and foreign air carriers in erations.
accordance with the provisions of part (iv) To waive provisions of subpart F
205 of this chapter. of part 380 of this chapter.
(h) With respect to foreign air freight (j) With respect to mail rates:
forwarders: (1) To issue show-cause orders pro-
(1) To approve applications for reg- posing to make modifications of a
istration, or require that a registrant technical nature in the mail rate for-
submit additional information, or re- mula applicable to temporary or final
ject an application for registration for service mail rate orders.
failure to comply with part 297 of this (2) To issue final orders establishing
chapter. temporary and final service mail rates:
(2) To cancel the registration of any (i) In those cases where no objection
foreign air freight forwarder or foreign has been filed following release of the
cooperative shippers association that show-cause order, and where the rates
files a written notice with the Depart- established are the same as those pro-
ment indicating the discontinuance of posed in the show-cause order; and
common carrier activities. (ii) In those cases where it is nec-
(3) To exempt the registrant from the essary to make modifications of a tech-
requirement contained in § 297.20 of this nical nature in the rates proposed in
chapter that substantial ownership and the show-cause order.
effective control reside in citizens of (3) To issue final orders amending
the country that the applicant claims mail rate orders of air carriers to re-
as its country of citizenship, where the flect changes in the names of the car-
course of action is clear under current riers subject to the orders.
precedent or policies. (4) To issue a letter, in the case of air
(i) With respect to charter oper- mail contracts filed with the Depart-
ations: ment under part 302 of this chapter
(1) To grant or deny requests for against which no complaints have been
waiver of parts 207, 208, 212, 372, and 380 filed, stating that the contract will not

468
Office of the Secretary, DOT § 385.13
be disapproved by the Department and (9) With respect to provisions for ter-
may become effective immediately. minations, suspensions, or reductions
(k) With respect to essential air serv- of service under part 323 of this chap-
ice proceedings: ter:
(1) To establish procedural dates. (i) To require any person who files a
(2) To issue orders setting interim notice, objection, or answer to supply
rates of compensation for carriers re- additional information.
quired to provide essential air service. (ii) To require service of a notice, ob-
(3) To issue orders approving a car- jection, or answer upon any person.
rier’s alternate service pattern if: (iii) To accept late-filed objections or
(i) The resulting level of service at answers, upon motion, for good cause
the eligible place would be equal to or shown.
greater than the level of service earlier (iv) To extend the time for filing ob-
determined to be essential for that jections for answers, when the initial
place; notice has been filed earlier than re-
(ii) The community concerned does quired under § 323.5.
not object to the carrier’s implementa-
tion of the alternate service pattern; [Doc. No. OST–96–1268, 61 FR 19167, May 1,
1996, as amended at 70 FR 25773, May 16, 2005]
and
(iii) The carrier is not receiving a § 385.13 Authority of the Director, Of-
subsidy for the service or implementa- fice of International Aviation.
tion of the alternate service pattern
would not increase the carrier’s sub- The Director, Office of International
sidy. Aviation, has authority to:
(4) To issue orders adjusting the oper- (a) Approve or deny applications for
ational and/or financial unit rates of exemptions, where the course of action
the payout formula for a carrier receiv- is clear under current policy or prece-
ing subsidy under section 41732 of the dent:
Statute where the adjustment will not (1) For air carriers, from chapter 411
increase the total amount of compensa- of the Statute and from certificates
tion that the carrier will receive. and orders issued under that chapter;
(5) To renew, up to five times in suc- (2) For foreign air carriers, from sec-
cession, an order under section 41734 of tion 41301 and from permits and related
the Statute to an air carrier to con- orders issued under chapter 413;
tinue providing essential air service (3) For air carriers and foreign air
while the Department attempts to find carriers, from chapter 415 and from or-
a replacement carrier. ders issued and tariffs filed under that
(6) To request service and subsidy chapter; and
proposals from carriers interested in (4) From orders and applicable regu-
providing essential air service to an el- lations under this chapter.
igible place that is not receiving essen- (b) With respect to applications for
tial air service and for which no appeal certificates of public convenience and
of its essential air service determina- necessity under section 41102 and for-
tion is pending. eign air carrier permits under section
(7) To request service and subsidy 41302:
proposals from carriers interested in (1) Issue an order to show cause pro-
providing essential air service when no posing to grant such application in
proposals were filed in response to a those cases where no objections to the
previous request for proposals. application have been filed, and the ap-
(8) To issue final orders establishing plicant has already been found fit, will-
interim or final subsidy rates under ing, and able by the Department to
section 41732 or final adjustments of provide service of the same basic scope
compensation for continued service and character;
under section 41732 in those cases (2) Issue an order stating the Depart-
where no objection has been filed to a ment’s intention to process the appli-
show-cause order, and where the rates cation through show-cause procedures;
established are the same as or less than (3) Issue an order, subject to Presi-
those proposed in the approved show- dential review under section 41307, to
cause order. make final an order to show cause

469
§ 385.13 14 CFR Ch. II (1–1–19 Edition)
issued under the circumstances of para- deadline has been waived by the com-
graph (b)(1) of this section, where no plainant.
objections to the show-cause order (h) Grant or deny applications for
have been filed; and statements of authorization under
(4) Reissue certificates of public con- parts 207, 208, and 212 of this chapter,
venience and necessity and foreign air and requests for waivers of the require-
carrier permits when revisions are ne- ments of parts 207, 208, and 212 of this
cessitated by a change in the name of chapter, where grant or denial of the
the carrier or of points specified, pro- request is in accordance with current
vided that no issue of substance con- policy or precedent.
cerning the operating authority of a (i) Approve or disapprove charter
carrier is involved. trips by foreign air carriers, and those
(c) With respect to an application by air carriers that are predominantly
under section 41102 for a certificate to in foreign air transportation, when
engage in foreign scheduled air trans- prior authorization is required by:
portation, issue an order instituting an (1) Any provision of this chapter; or
investigation of the applicant’s fitness (2) An order of the Department.
and other issues related to the applica- (j) Approve or disapprove requests by
tion, where no person has already filed foreign air carriers for waivers of the
an objection to the application and the 30-day advance filing requirement for
investigation will be conducted by oral proposed schedules whose filing the De-
hearing procedures. partment has ordered under part 213 of
(d) Issue an order to show cause why this chapter.
a foreign air carrier permit should not (k) Approve, when no person dis-
be revoked under section 41304 when: closing a substantial interest objects,
or disapprove requests by foreign air
(1) The government of the permit
carriers for special authorizations pro-
holder’s home country represents that
vided for in part 216 of this chapter.
it does not object to revocation of the
(l) With respect to applications for
permit; and
statements of authorization to conduct
(2) The permit holder—
intermodal cargo services under part
(i) Has ceased operations; or 222 of this chapter:
(ii) No longer holds valid authority (1) Approve applications under part
from its own government to operate 222 of this chapter where no person
the services in its permit. with a substantial interest raises ob-
(e) Approve or disapprove requests by jections citing specific facts of nonreci-
foreign air carriers for authorizations procity or of restraints on competition
provided for, or waivers of restrictions by U.S. air carriers;
contained, in any agreement or in any (2) Reject applications under part 222
permit or order of the Department, of this chapter where there is no agree-
when no person disclosing a substantial ment by the United States permitting
interest objects or where the course of the proposed services; or
action is clear under current policy or (3) Require that an applicant under
precedent. part 222 of this chapter submit addi-
(f) Waive the deadlines in § 377.10(c) of tional information.
this chapter for filing applications for (m) Approve or disapprove issuance
renewal of unexpired temporary au- of foreign aircraft permits provided for
thorizations when, in the Director’s in part 375, subparts E and H, of this
judgment, the public interest would be chapter.
served. The provisions of § 377.10(d) of (n) Grant or deny applications of for-
this chapter shall apply in the same eign air carriers for renewal of emer-
manner as to a timely filed applica- gency exemptions granted under 49
tion. U.S.C. 40109(g).
(g) Extend the time allowed for ac- (o) Grant or deny applications by air
tion on a complaint of unfair or dis- carriers and foreign air carriers under
criminatory practices, filed under sec- part 389 of this chapter for waivers of
tion 41310, for an additional period or the Department’s filing fee require-
periods of 30 days each, not to exceed ments, in accordance with current pol-
the 180th day after filing unless that icy or precedent.

470
Office of the Secretary, DOT § 385.14
(p) Determine matters in proceedings under part 221, subpart P, of this chap-
under section 40109 and chapters 411, ter to make tariff changes upon less
413 and 415, that have not been set for than statutory notice.
oral evidentiary hearing, in addition to (u) Approve or disapprove applica-
those authorized under § 385.3, such tions for waiver of part 221 of this
matters to include, inter alia, filing chapter.
times, service of documents, submis- (v) Institute an investigation of, or
sions of additional information, filing institute an investigation and suspend
of otherwise unauthorized documents, the effectiveness of, a tariff or change
access to information for which con- in a tariff which:
fidential treatment has been requested, (1) Is substantially similar to a prior
rejection of incomplete or otherwise tariff under investigation or suspen-
defective applications, and solicitation sion; and
of applications for authority. (2) Is filed by or on behalf of one or
(q) Approve or disapprove applica- more of the parties to the prior tariff;
tions under part 223 of this chapter for and
permission to furnish free or reduced- (3) Is filed within 90 days after the ex-
rate foreign air transportation. piration, modification, or cancellation
(r) With respect to International Air of the prior tariff, or within 90 days
Transport Association (IATA) agree- after the effective date of an order re-
ments filed with the Department pur- quiring its cancellation or modifica-
suant to sections 41309 and 41308 of the tion.
Statute, or pursuant to Civil Aero- (w) In instances when an investiga-
nautics Board Order E–9305 of June 15, tion of a tariff is pending, or the tariff
1955: is under suspension, or when a com-
(1) Issue orders approving or dis- plaint requesting investigation or sus-
approving IATA agreements relating to pension of a tariff has been filed:
fare and rate matters under section (1) Permit cancellation of the tariff;
41309, and granting or denying anti- or
trust immunity under section 41308, (2) If the grounds for the investiga-
where the course of action is clear tion or complaint have been removed
under current policy and precedent. through cancellation, expiration or
(2) Issue orders describing filed agree- modification of the tariff, either dis-
ments, establishing procedural dates miss the investigation or complaint, or
for submission of justification, com- terminate the suspension.
ments and replies, which support or op- (x) Extend the period of suspension of
pose agreements, and prescribing the a tariff when the proceedings con-
particular types of data to be included cerning the lawfulness of such tariff
in such submission. cannot be concluded before the expira-
(s) Reject any tariff, supplement, or tion of the existing suspension period,
revised page that is filed by any U.S. provided that the aggregate of such ex-
air carrier or foreign air carrier, and tensions may not be for a longer period
that is subject to rejection because it than permitted under section 41509.
is not consistent with chapter 415 of
(y) Cancel the suspension of and/or
the Statute or with part 221 or 222 of
dismiss an investigation of a tariff re-
this chapter. Where a tariff, supple-
lating to service predominantly in for-
ment or loose-leaf page is filed on more
eign air transportation where the
than 60 days’ notice and is not rejected
course of action is clear under current
within the first 30 days (including the
policy and precedent.
filing date), it shall not be rejected
after such 30-day period under this au- [Doc. No. OST–96–1268, 61 FR 19169, May 1,
thority unless the issuing carrier is 1996]
given an opportunity to remove the
cause for rejection by the effective § 385.14 Authority of the General
date, by special tariff permission if Counsel.
necessary, and fails to take such cor- (a) The General Counsel has author-
rective action. ity to:
(t) Approve or disapprove any appli- (1) Issue proposed or final regulations
cation for special tariff permission for the purpose of making editorial

471
§ 385.15 14 CFR Ch. II (1–1–19 Edition)
changes or corrections in the Depart- (b) Issue orders initiating and termi-
ment’s rules and regulations to carry nating informal nonpublic investiga-
out Titles IV and X of the Act, with the tions under part 305 of this chapter
concurrence of the staff offices pri- (Procedural Regulations).
marily responsible for the parts or sec- (c) Issue orders requiring air carriers
tions involved: Provided, That any final to prepare and submit within a speci-
regulation so issued shall have an ef- fied reasonable period, special reports,
fective date not less than 20 days after copies of agreements, records, ac-
its date of publication in the FEDERAL counts, papers, documents, and specific
REGISTER, and shall include a brief ref- answers to questions upon which infor-
erence to the review procedures estab- mation is deemed necessary. Special
lished in subpart C of this part. reports shall be under oath whenever
(2) Where a petition for review is duly the Deputy General Counsel so re-
filed, reverse any rulemaking action quires.
taken by him or her pursuant to para- (d) Institute and prosecute in the
graph (a) of this section by with- proper court, as agent of the Depart-
drawing a proposed or final regulation ment, all necessary proceedings for the
issued thereunder, in which case the enforcement of the provisions of the
petition for review will not be sub- act or any rule, regulation, require-
mitted to the Reviewing Official in- ment, or order thereunder, or any
volved. (Such a withdrawal is not sub- term, condition, or limitation of any
ject to the review procedures of sub- certificate or permit, and for the pun-
part C of this part.) ishment of all violations thereof. Any
(3) Issue, upon request therefor, in- action taken by the Deputy General
terpretations of facts bearing upon dis- Counsel, pursuant to the authority of
qualifications of former members and this section shall not be subject to the
employees, and Department employees review procedures of this part.
under § 300.13 or § 300.14 of this chapter (e) Make findings regarding the rea-
(Procedural Regulations). sonable necessity for the application of
(4) Issue orders deferring action until the Department’s authority to obtain
after oral argument on motions sub- access to lands, buildings and equip-
mitted by parties subsequent to the ment, and to inspect, examine and
issuance of an Administrative Law make notes and copies of accounts,
Judge’s initial or recommended deci- records, memorandums, documents, pa-
sion. pers and correspondence of persons
(5) Reissue existing regulations for having control over, or affiliated with,
the purpose of incorporating prior any person subject to regulation under
amendments adopted by the Depart- Titles IV or X of the Act, through
ment. issuance of an appropriate order, letter
or other transmittal.
(b) To the extent that a hearing case
(f) Issue orders denying or granting
is involved, the authority assigned to
conditional or complete confidential
the General Counsel in paragraph (a) of
treatment of information supplied by
this section shall not be reassigned to
any person to the Office of Aviation
the Deputy General Counsel or exer-
Enforcement and Proceedings. Con-
cised by the Deputy General Counsel in
fidential treatment may only be grant-
the capacity of Acting General Coun-
ed upon a finding that, if the informa-
sel.
tion were in the Department’s posses-
[Doc. No. T–1, 49 FR 50985, Dec. 31, 1984; sion and a Freedom of Information Act
Amdt. 1, 50 FR 7170, Feb. 21, 1985. Redesig- (FOIA) request were made for the infor-
nated by Doc. No. OST–96–1268, 61 FR 19170, mation:
May 1, 1996] (1) At the time of the confidentiality
request, the FOIA request would be de-
§ 385.15 Authority of the Deputy Gen- nied on the basis of one or more of the
eral Counsel.
FOIA exemptions; and
The Deputy General Counsel has au- (2) At any later time, the FOIA re-
thority to: quest would also be denied, absent a
(a) Compromise any civil penalties material change in circumstances
being imposed in enforcement cases. (which may include a demonstration

472
Office of the Secretary, DOT § 385.19
that the asserted exemption does not periods following the issuance of final
apply). rules.
[Doc. No. T–1, 49 FR 50985, Dec. 31, 1984. Re- [Doc. No. T–1, 49 FR 50985, Dec. 31, 1984. Re-
designated by Doc. No. OST–96–1268, 61 FR designated by Doc. No. OST–96–1268, 61 FR
19170, May 1, 1996] 19170, May 1, 1996]

§ 385.16 Heads of Offices and Assistant § 385.18 Authority of the Chief, Coordi-
General Counsels. nation Section, Documentary Serv-
The heads of Offices and Assistant ices Division.
General Counsels have the authority The Chief, Coordination Section,
to: Documentary Services Division, has
(a) Grant requests for permission to the authority to coordinate and per-
withdraw petitions, applications, mo- form all administrative functions of
tions, complaints, or other pleadings or the Department provided for in sec-
documents which the respective Office tions 2, 3 and 5 of Executive Order 12597
has responsibility for processing where issued May 13, 1987, except that this
such authority has not otherwise been delegation shall not include the exer-
assigned in this regulation. cise of the authority delegated by the
(b) Grant extensions of time for filing President to the Secretary by sections
of documents or reports which are re- 2 and 5 of that Order to determine not
quired to be filed by regulation or De- to disapprove orders of the Department
partment order and which reports or in certain cases.
documents the respective Office has
the responsibility for processing. [Amdt. 385–3, 52 FR 18905, May 20, 1987. Re-
(c) Grant waivers of the environ- designated by Doc. No. OST–96–1268, 61 FR
19170, May 1, 1996]
mental procedures set by Department
order in any proceeding or portion of a § 385.19 Authority of the Director, Of-
proceeding dealing with environmental fice of Aviation Information, Bu-
matters. reau of Transportation Statistics.
(d) Establish procedures on a case-by-
case basis for environmental pro- The Director, Office of Aviation In-
ceedings to ensure compliance with ap- formation, Bureau of Transportation
plicable law. Statistics (BTS) has authority to:
(a) Conduct all rulemaking pro-
[Doc. No. T–1, 49 FR 50985, Dec. 31, 1984. Re- ceedings concerning accounting, re-
designated by Doc. No. OST–96–1268, 61 FR
porting, and record retention require-
19170, May 1, 1996]
ments for carrying out Subparts I, II,
§ 385.17 Authority of the Assistant and IV of the Statute, except the
General Counsel for Regulation and issuance of final rules and the disposi-
Enforcement. tion of petitions for reconsideration.
The Assistant General Counsel for (b) Interpret the accounting, report-
Regulation and Enforcement has au- ing, and record retention requirements
thority to: used to carry out Subparts I, II, and IV
(a) Call public meetings in pending of the Statute.
rulemaking proceedings, (c) Waive any of the accounting, re-
(b) Issue a notice suspending the ef- porting, and record retention require-
fective dates of final regulations issued ments upon a showing of the existence
by the General Counsel pending De- of such facts, circumstances or other
partmental determination of review grounds, and subject to such limita-
proceedings instituted thereon, wheth- tions or conditions as may be pre-
er by petition or upon order of the De- scribed for waivers in the applicable
partment. (Such a notice is not subject regulations, unless such authority is
to the review procedures of subpart C otherwise specifically assigned.
of this part.), and (d) Dismiss petitions for Department
(c) Approve or disapprove, for good or BTS action with respect to account-
cause shown, requests to extend the ing, reporting, and record retention
time for filing comments on all pro- matters when such dismissal is re-
posed or final new or amended regula- quested or consented to by the peti-
tions, and requests to extend comment tioner.

473
§ 385.20 14 CFR Ch. II (1–1–19 Edition)
(e) Require special reports, docu- (m) Grant or deny requests for use of
mentation, or modifications to reports international Origin and Destination
required by this chapter from any air Survey statistics in accordance with
carrier upon a determination that such the limitations on the availability of
reports or documentation or modifica- these data contained in § 241.19–7 of this
tions are necessary to meet temporary chapter.
information needs, assist in an evalua- (n) Grant or deny requests for indi-
tion of continued financial fitness, or vidual air carrier fuel data in accord-
comply with special information re- ance with the limitations on the avail-
quests by Congress, Department offi- ability of these data contained in para-
cials, or another agency or component graph (k) of the reporting instructions
of the Federal Government. for Schedule P–12(a), which are con-
(f) Grant or deny a request by an air tained in § 241.24 of this chapter.
carrier or foreign air carrier for an ex- (o) Grant or deny requests for indi-
tension of a filing date for reports re- vidual air carrier financial data in ac-
quired by subchapters A and D of this cordance with the limitation on the
chapter. availability of these data contained in
(g) Grant or deny requests by air car- paragraph (d) of the reporting instruc-
riers for substitution of their own tions for Schedule F–1, which are con-
forms, adaptation of Department tained in § 298.62 of this chapter.
forms, or use of ADP media to meet (p) Grant or deny requests for indi-
special needs where Department ap- vidual air carrier financial data as re-
proval of such forms or ADP media is ported on Schedule P–1(a) in accord-
required by subchapter A of this chap- ance with § 241.22(b)(3) of this chapter.
ter. [53 FR 51751, Dec. 23, 1988, as amended at 60
(h) Determine the data necessary to FR 66726, 66727, Dec. 26, 1995. Redesignated
complete the International Civil Avia- and amended by Doc. No. OST–96–1268, 61 FR
19170, May 1, 1996; 65 FR 6457, Feb. 9, 2000; 75
tion Organization reports required by
FR 41585, July 16, 2010]
U.S. Treaty; as provided in Order 81–3–
120, establish any necessary supple- § 385.20 Authority of the Inspector
mental reporting requirements; and General.
dispose of petitions for extensions of The Inspector General has authority
filing dates or waivers with respect to to:
the data required for such reports. (a) Require special reports, including
(i) Grant or deny motions filed under documentation, from any air carrier
§ 302.12 of this chapter requesting con- regarding audits and other examina-
fidential treatment of aviation eco- tions of carrier facilities, operations,
nomic information or reports filed with and accounting and statistical records.
BTS and place the decision in the mo- (b)(1) For accounting purpose, make
tion’s docket, which decision will be findings regarding the reasonable ne-
subject to review through a petition for cessity for the application of the De-
reconsideration filed within ten days of partment authority to obtain access to
issuance, to be acted upon by the Di- lands, buildings, and equipment, and to
rector, BTS. inspect, examine, and make notes and
(j) Grant or deny requests filed under copies of accounts, records, documents,
§ 241.22 of this chapter for confidential papers, and correspondence of persons
treatment of preliminary year-end fi- having control over, or affiliated with,
nancial reports. any person subject to regulation used
(k) Grant or deny requests filed to carry out titles IV and X of the Act
under § 248.5 of this chapter for con- through issuance of an appropriate
fidential treatment of individual air order, letter, or other transmittal;
carrier special reports. (2) Authorize one or more auditors or
(l) Grant or deny requests for use of special agents to conduct audits, in-
domestic and international service seg- spections, and examinations and to
ment and market data in accordance make notes and copies in accordance
with the limitations on the availability with such findings.
of these data contained in § 241.19–6 of (c) Release to the carrier that is the
this chapter and Order 81–12–9. subject of a financial audit the audit

474
Office of the Secretary, DOT § 385.31
report and other information developed terest which would be adversely af-
during the audit. fected by the respective staff action.
(d) Require submission by carriers of [Doc. No. T–1, 49 FR 50985, Dec. 31, 1984. Re-
special statements necessary to an ex- designated by Doc. No. OST–96–1268, 61 FR
planation of any carrier accounting 19171, May 1, 1996]
practice.
§ 385.31 Petitions for review.
[Doc. No. T–1, 49 FR 50985, Dec. 31, 1984. Re-
designated by Doc. No. OST–96–1268, 61 FR (a) Time for filing. Petitions for re-
19170, May 1, 1996] view shall be filed and served within
seven (7) days after the date of the staff
§ 385.21 Authority of the Chief, Ac- action to which they relate, but a dif-
counting Division, Office of Budget ferent period may be fixed in such staff
and Policy, Federal Transit Admin- action consistent with effective preser-
istration. vation of the right to petition for dis-
The Chief, Accounting Division, Of- cretionary review and the exigencies of
fice of Budget and Policy, Federal the situation.
Transit Administration, has authority (b) Contents. Petitions for review
to: shall demonstrate that (1) a finding of
material fact is clearly erroneous; (2) a
(a) Approve and order the payment of
legal conclusion is contrary to law, De-
refunds of filing fees paid under
partment rules, or precedent; (3) a sub-
§ 389.27(b) of this chapter when such re-
stantial and important question of pol-
funds have been authorized by either icy is involved; (4) a prejudicial proce-
the Director, Office of Aviation Anal- dural error has occurred; or (5) the
ysis, or the Director, Office of Inter- staff action is substantially deficient
national Aviation. on its face. The petition shall briefly
(b) Pay from appropriated funds all and specifically state the alleged
properly documented claims consistent grounds for review and the relief
with Treasury, OMB, GAO, and DOT sought. If persons who participated at
policies. the staff action level set forth any new
(c) Make minor or routine adjust- facts, arguments, or other new matter,
ments to payments based on audit re- an explanation must be furnished as to
ports prepared by the Inspector Gen- why said matter was not previously ad-
eral, and through routine internal ex- duced at the staff action level. In the
aminations of claims and vouchers. absence of a valid explanation, the De-
(d) Design air carrier subsidy claim partment may disregard such new mat-
forms for small community service ter.
under 49 U.S.C. 41737. (c) Form and filing. Petitions shall
comply with the form and filing re-
[Doc. No. T–1, 49 FR 50985, Dec. 31, 1984;
quirements of §§ 302.3 and 302.4 of this
Amdt. 1, 50 FR 7170, Feb. 21, 1985. Redesig-
nated and amended by Doc. No. OST–96–1268, chapter. (Rules of practice in Economic
61 FR 19170, May 1, 1996] Proceedings). Petitions shall not ex-
ceed 10 pages in length. A greater
length, however, may be specified in
Subpart C—Procedure on Review the staff action taken. The petitions
of Staff Action shall be accompanied by proof of re-
quired service. However, persons who
§ 385.30 Persons who may petition for seek review of a civil penalty proposed
review.
by the Assistant General Counsel for
Petitions for review may be filed by Aviation Enforcement and Proceedings
the applicant; by persons who have pursuant to § 385.15(a) may submit their
availed themselves of the opportunity, request therefor by letter to the De-
if any, to participate in the matter at partment with a copy to the Assistant
the staff action level; and by persons General Counsel for Aviation Enforce-
who have not had opportunity to so ment and Proceedings and need not
participate or show good and sufficient comply with the above form and filing
cause for not having participated: Pro- requirements.
vided, That such persons, other than (d) Service. A petition filed by a per-
the applicant, disclose a substantial in- son other than the applicant shall be

475
§ 385.32 14 CFR Ch. II (1–1–19 Edition)
served on the applicant. Petitions shall fore the effective date of the action
also be served on any persons who have shall be entertained and disposed of on
served documents on the petitioner at its merits as a petition for reconsider-
the staff action level; and on such ation.
other persons as may be directed by [Doc. No. T–1, 49 FR 50985, Dec. 31, 1984. Re-
the Department or the staff member designated by Doc. No. OST–96–1268, 61 FR
who took the action to be reviewed. 19171, May 1, 1996]
(e) Answers. The applicant and such
other persons as disclose a substantial § 385.33 Review by the staff.
interest which would be adversely af- Where a petition for review is duly
fected by the relief sought in the peti- filed, the staff member may, upon con-
tion may, within seven (7) days after sideration of all documents properly
filing the petition, file an answer filed, reverse his or her decision. Ex-
thereto. A different period for the fil- cept in the case of Administrative Law
ing of answers may be fixed in the staff Judges, action taken by a staff member
action. Such answers shall comply with other than an office head or Assistant
the form and filing requirements appli- General Counsel may be reversed by
cable to petitions and shall be served the respective office head or Assistant
on the applicant and any other person General Counsel who is in the super-
who has theretofore served a document visory chain of command with respect
in the matter on such respondent. to the staff member who took the ini-
[Doc. No. T–1, 49 FR 50985, Dec. 31, 1984. Re- tial action. If the initial action is re-
designated and amended by Doc. No. OST–96– versed, the petition for review will not
1268, 61 FR 19171, May 1, 1996; 65 FR 6457, Feb. be submitted to the Reviewing Official.
9, 2000] Staff action reversing the initial ac-
tion shall be subject to petition for De-
§ 385.32 Effective date of staff action. partment review as any other staff ac-
Unless, within the time provided by tion.
or pursuant to this regulation, a peti- [Doc. No. T–1, 49 FR 50985, Dec. 31, 1984. Re-
tion for review is filed or the Depart- designated by Doc. No. OST–96–1268, 61 FR
ment gives notice that it will review on 19171, May 1, 1996]
its own motion, staff action shall,
without further proceedings, be effec- § 385.34 Decision by the Reviewing Of-
tive and become the action of the De- ficial.
partment upon the expiration of such (a) Decline of right to review. If the Re-
period. A timely petition for review viewing Official declines the right to
filed in accordance with the provisions exercise discretionary review, the staff
of this section, or notice given by the action stayed by the petition for re-
Department of review on its own mo- view shall become effective on the sec-
tion, shall stay the staff action pending ond business day following the date of
disposition by the Department, unless service of the order, unless the order
the Department determines otherwise provides otherwise.
or unless the staff action provides oth- (b) Exercise of right to review. The Re-
erwise in accordance with subpart A of viewing Official will exercise his or her
this part. However, in cases where the discretionary right of review either
Department’s regulations provide that upon petition or on his or her own mo-
permissions or approvals are granted, tion. The Reviewing official may by
or that other legal effects result, with- order provide for interlocutory relief
in a stated period from the filing with pending his or her decision on the mer-
the Department of a prescribed docu- its and may limit the issues on review.
ment, unless the Department gives no- The Reviewing Official may affirm,
tice to the contrary or takes other ac- modify or set aside the staff action,
tion within said period, such notice may order the matter remanded, or
given or action taken by a staff mem- may order further submittals or other
ber under delegated authority shall toll proceedings before making a decison on
the running of such period. A timely the merits. In case the Reviewing Offi-
petition for review of staff action cial affirms the staff action, staff ac-
which is not stayed by its filing which tion stayed by the petition for review
is received after or not acted upon be- shall become effective on the second

476
Office of the Secretary, DOT § 389.14
business day following the date of serv- Board and prescribes the fees to be paid
ice of the Reviewing Official’s order, for these and various other services.
unless the order provides otherwise.
Decisions by the Reviewing Official Subpart B—Fees for Special
under this part are final and are not Services
subject to petitions for reconsider-
ation. § 389.10 Applicability of subpart.
[Doc. No. T–1, 49 FR 50985, Dec. 31, 1984; This subpart describes certain special
Amdt. 1, 50 FR 7170, Feb. 21, 1985. Redesig- services made available by the Board
nated by Doc. No. OST–96–1268, 61 FR 19171, and prescribes the fees and charges for
May 1, 1996]
these services.

PART 389—FEES AND CHARGES § 389.11 Services available.

FOR SPECIAL SERVICES Upon request and payment of fees as
provided in subsequent sections, there
Subpart A—General Provisions are available, with respect to docu-
Sec. ments subject to inspection, services as
389.1 Policy and scope. follows:
(a) Locating and copying records and
Subpart B—Fees for Special Services documents.
(b) Certification of copies of docu-
389.10 Applicability of subpart.
389.11 Services available. ments under seal of the Board.
389.12 Payment of fees and charges. (c) Subscriptions to publications of
389.13 Fees for services. the Board.
389.14 Locating and copying records and (d) Transcripts of hearings.
documents.
389.15 Certification of copies of documents. [OR–27, 33 FR 70, Jan. 4, 1968, as amended by
389.16 Board publications. OR–94, 40 FR 7242, Feb. 19, 1975]
389.17 Transcripts of proceedings.
§ 389.12 Payment of fees and charges.
Subpart C—Filing and Processing License The fees charged for special services
Fees may be paid by check, draft, or postal
389.20 Applicability of subpart.
money order, payable to the Civil Aero-
389.21 Payment of fees. nautics Board, except for charges for
389.22 Failure to make proper payment. reporting services which are performed
389.23 Application for waiver or modifica- under competitive bid contracts with
tion of fees. non-Government firms. Fees for report-
389.24 Foreign air carriers. ing are payable to the firms providing
389.25 Schedule of processing fees. the services.
389.26 Special rules for tariff page filings.
389.27 Refund of fee. § 389.13 Fees for services.
AUTHORITY: Sec. 204, 1002, Pub. L. 85–726, as Except for photocopy work, the basic
amended, 72 Stat. 743, 797; 49 U.S.C. 1324, 1502. fees set forth below provide for docu-
Act of August 31, 1951, ch. 376, 65 Stat. 268; 31
ments to be mailed with ordinary first
U.S.C. 483a.
class postage prepaid. If copy is to be
SOURCE: OR–27, 33 FR 70, Jan. 4, 1968, unless transmitted by registered, certified,
otherwise noted. air, or special delivery mail, postal fees
therefor will be added to the basic fee.
Subpart A—General Provisions Also, if special handling or packaging
is required, costs therefor will be added
§ 389.1 Policy and scope. to the basic fee. For photocopy work,
Pursuant to the provisions of Title V postage will be in addition to the fee
of the Independent Offices Appropria- for copying.
tion Act of 1952 (5 U.S.C. 140) as imple-
mented by Bureau of Budget Circular § 389.14 Locating and copying records
A–25, dated September 23, 1959, the and documents.
Board sets forth in this regulation the Public records and documents on file
special services made available by the with the Civil Aeronautics Board will

477
§ 389.15 14 CFR Ch. II (1–1–19 Edition)
be located and copied upon request and (e) Applications for waivers or modi-
payment of fees as set forth below: fications of any fees required to be paid
(a) There shall be no charge in con- to the Board under this section may be
nection with searches for records or filed in accordance with the following:
documents under this chapter. (1) Each applicant shall set forth
(b) Photocopies of records or docu- briefly and succinctly the relief that it
ments shall be made using the Board’s seeks and the reasons why such relief
facilities or by contractors. should be granted. Waivers or modi-
(1) The fee for photocopying will be 15 fications of stated fees shall be granted
cents per page. only where it is demonstrated that
(2) The fee for copying by contractors such action is in the public interest be-
will be that established in the con- cause furnishing of the information re-
tracts with the Board and will be billed quested can be considered as primarily
directly by those contractors. benefiting the general public.
(c) Copies of board data on magnetic (2) Applications requesting waivers
tapes, or extractions of data from or modifications of fees under this sec-
Board data tapes, will be made by the tion shall be addressed to the Man-
National Archives and Records Service aging Director, who has been delegated
(NARS) of the General Services Admin- authority by the Board to decide such
istration or by computer service bu- applications in § 385.12 of this chapter,
reaus. and shall accompany the request for
(1) The Director, Bureau of Accounts service under this section.
and Statistics, furnishes many public (3) The Managing Director shall ei-
records and documents contained on ther rule on the application or, at his
magnetic tape to NARS. Initial re- discretion, pass the matter on to the
quests for data should be made directly Board for its determination. In acting
to the Machine Readable Archives Di- upon such applications the Managing
vision, National Archives and Records Director and the Board, where applica-
Services, General Services Administra- ble, shall be guided by the procedures
tion, Washington, D.C. 20408, with the and requirements of § 310.9(d) of this
applicant directly reimbursing NARS chapter.
for its copying or data extraction (4) A decision by either the Managing
charges. When NARS does not have the Director or the Board pursuant to
requested data, the Director, Bureau of paragraph (d)(3) of this section is final
Accounts and Statistics, upon written and will not be subject to petitions for
request, will furnish the tapes for a reconsideration.
reasonable length of time to a com- [OR–94, 40 FR 7242, Feb. 19, 1975, as amended
puter service bureau chosen by the ap- by OR–131, 43 FR 38574, Aug. 29, 1978]
plicant subject to the Director’s ap-
proval. The computer service bureau § 389.15 Certification of copies of docu-
shall assume the liability for the cost ments.
of replacing any tape that may be dam- The Secretary of the Board will pro-
aged or destroyed by it. vide, on request, certifications or vali-
(2) The fee for data copying by NARS dation (with the Civil Aeronautics
will be determined by NARS. Board seal) of documents filed with or
(3) The fee for data copying by a com- issued by the Board. Copies of tariffs
puter service bureau shall be estab- filed with the Board will be certified
lished by agreement between the re- only when such copies have been made
questing party and the computer serv- under the Board’s supervision upon re-
ice bureau. quest of the applicant. Charges for this
(d) Where the Board’s fee for service service are as follows:
requested will exceed $100, the service (a) Certification of the Secretary, $2.
will not be performed until payment This fee includes clerical services in-
has been received. In such cases, the re- volved in checking the authenticity of
quester will be notified promptly of the records to be certified. If copying of
amount of the fee, and the requested the documents to be certified is re-
service will be performed as expedi- quired, the copying charges provided
tiously as practicable following receipt for in § 389.14 will be in addition to the
of payment. charges specified in this section.

478
Office of the Secretary, DOT § 389.21
(b) [Reserved] Subpart C—Filing and Processing
[OR–27, 33 FR 70, Jan. 4, 1968, as amended by License Fees
OR–35, 34 FR 5598, Mar. 25, 1969]
§ 389.20 Applicability of subpart.
§ 389.16 Board publications.
(a) This subpart applies to the filing
(a) Charges for publications. Charges of certain documents and records of the
have been established by the Super- Department by non-government par-
intendent of Documents for subscrip- ties, and prescribes fees for their proc-
tions to certain Board publications. A
essing.
list of these publications together with
information on how they can be or- (b) For the purpose of this subpart,
dered is contained in the ‘‘List of Pub- record means those electronic tariff
lications’’, which is available on re- records submitted to the Department
quest from the Board’s Publications under subpart W of 14 CFR part 221, and
Services Division, B–22, Washington, contains that set of information which
D.C., 20428. describes one (1) tariff fare, or that set
(b) Free services. No charge will be of information which describes one (1)
made by the Board for notices, deci- related element associated with such
sions, orders, etc., required by law to tariff fare.
be served on a party to any proceeding
[Amdt. 389–37, 54 FR 2099, Jan. 19, 1989]
or matter before the Board. No charge
will be made for single copies of Board
§ 389.21 Payment of fees.
publications individually requested in
person or by mail, except where a (a) Any document or record for which
charge is specifically fixed for a publi- a filing fee is requried by § 389.25 shall
cation at the time of its issuance. be accompanied by either (1) a check,
(c) Reciprocal services. Arrangements draft, or postal money order, payable
may be made with the Board’s Bureau to the Civil Aeronautics Board, in the
of International Aviation for fur- amount prescribed herein, or (2) a re-
nishing publications to a foreign coun- quest for waiver or modification of the
try or to an international organization filing fee.
on a reciprocal basis. (b) [Reserved]
[OR–178, 46 FR 8445, Jan. 27, 1981] (c) Where a document seeks author-
ity or relief in the alternative and
§ 389.17 Transcripts of proceedings. therefore would otherwise be subject to
Transcripts of testimony and oral ar- more than one filing fee, only the high-
gument are furnished to the Board by a est fee shall be required.
non-Government contractor for any (d) Where a document relating to a
proceeding in which the presiding offi- single transaction or matter seeks
cer has determined that such tran- multiple authorities or relief and
script should be made, and copies therefore would otherwise be subject to
thereof may be purchased directly from more than one filing fee, only the high-
the reporting firm, at prices and upon est fee shall be required. Where a docu-
other terms and conditions specified in ment relating to more than one trans-
the contract made between the Board
action or matter seeks multiple au-
and the reporting firm, and currently
thorities or relief, the requried filing
in effect, pursuant to section 11 of the
fee shall be determiend by combining
Federal Advisory Committee Act (Pub.
L. 92–463, 86 Stat. 770, 5 U.S.C. App. I). the highest fees for each transaction or
Any person may obtain from the Direc- matter. For purposes of this paragraph,
tor, Office of Facilities and Operations, a specific number of charters or inclu-
the name and address of the reporting sive tours described in one application
firm with which the Board currently will be regarded as a single transaction
has such contract, as well as the con- or matter.
tract prices then in effect for the var- (e) No fee shall be returned after the
ious types of transcript and copying document has been filed with the
services covered by such contract.
[OR–84, 39 FR 22417, June 24, 1974]

479
§ 389.22 14 CFR Ch. II (1–1–19 Edition)
Board, except as provided in §§ 389.23 modified the staff decision. If the
and 389.27. amount due is not paid, the document
[OR–27, 33 FR 70, Jan. 4, 1968, as amended by
(except a tariff publication) shall be re-
OR–27A, 33 FR 3633, Mar. 1, 1968; OR–50, 35 FR turned to the filing party along with
15986, Oct. 10, 1970; 48 FR 642, Jan. 6, 1983; the fee tendered, and such document
Amdt. 389–37, 54 FR 2099, Jan. 19, 1989] shall be deemed to have been dismissed
or withdrawn.
§ 389.22 Failure to make proper pay-
ment. [OR–27, 33 FR 70, Jan. 4, 1968, as amended by
OR–96, 40 FR 20613, May 12, 1975; Amdt. 389–
(a)(1) Except as provided in § 389.23, 37, 54 FR 2099, Jan. 19, 1989]
documents (except tariff publications)
which are not accompanied by filing § 389.23 Application for waiver or
fees shall be returned to the filing modification of fees.
party, and such documents shall not be (a) Applications may be filed asking
considered as filed by the Board. for waiver or modification of any fee
(2) Except as provided in § 389.23, paid under this subpart. Each applicant
records which are not accompanied by shall set forth the reasons why a waiv-
the appropriate filing fees shall be re- er or modification should be granted,
tained and considered filed with the and by what legal authority.
Department. The Department will no- (b) Applications asking for a waiver
tify the filer concerning the non- or modification of fees shall be sent to
payment or underpayment of the filing the Managing Director of the Board,
fees, and will also notify the filer that and shall accompany the document
the records will not be processed until filed. Applicants may appeal the deci-
the fees are paid. sion of the Managing Director to the
(b) The filing fee tendered by a filing Board under § 385.50 of this chapter.
party shall be accepted by the Board When no petition for review is filed
office to whom payment is made, sub- with the Board, or when the Board re-
ject to post audit by the Chief of the views the Managing Director’s deci-
Board’s Finance Division and notifica- sion, if the amount found due is not
tion to the filing party within 30 days paid within 10 days after receipt of no-
of any additional amount due. Not tification of the final determination,
more than 5 days after receipt of the the document shall be returned to the
notification, the determination of the filing party.
Chief, Finance Division, may be ap-
pealed to the Managing Director of the (Approved by the Office of Management and
Board, who has been delegated author- Budget under control number 3024–0071)
ity by the Board to decide such appeals [48 FR 642, Jan. 6, 1983, as amended by OR–
in § 385.12 of this chapter. The filing 215, 49 FR 6884, Feb. 24, 1984]
party may submit to the Board a peti-
tion for review of the Managing Direc- § 389.24 Foreign air carriers.
tor’s decision pursuant to § 385.50 of A foreign air carrier, or such car-
this chapter, and proceedings thereon riers, if from the same country, acting
will be governed by part 385, subpart C, jointly, may apply for a waiver of the
of this chapter. requirements of this part based on reci-
(c) The amount found due by the procity for U.S. air carriers contained
Chief, Finance Division, shall be paid in the requirement of their home gov-
within 10 days of notification except ernments, or as provided in a treaty or
that (1) if that decision is appealed to agreement with the United States. To
the Managing Director, the amount apply for a waiver under this section,
due shall be paid within 10 days after foreign air carriers shall send waiver
the Managing Director notifies the fil- requests to the Director, Bureau of
ing party that he has affirmed or modi- International Aviation. The request
fied the decision of the Chief, Finance should include applicable official gov-
Division; and (2) if the decision of the ernment rules, decisions, statements of
Managing Director is appealed to the policy, or comparable evidence con-
Board, the amount due shall be paid cerning filing fees for U.S. air carriers,
within 10 days after the Board notifies or for all carriers serving that country.
the filing party that it has affirmed or Once a waiver has been granted for a

480
Office of the Secretary, DOT § 389.26
specific country, no further waiver ap- Code Document
plications need be filed for that coun-
42 Waiver of Charter Regulations .............................. 39
try. Tariffs:
43 Pages .........................................................................2
(Approved by the Office of Management and 44 Special Tariff Permission ....................................... 12
Budget under control number 3024–0071) 45 Waiver of Tariff Regulations .................................. 12
46 Approval of Interlocking Relationships ................... 415
[OR–209, 48 FR 10628, Mar. 14, 1983, as amend-
47 Merger or Acquisition of Control ........................... 1080
ed by OR–215, 49 FR 6884, Feb. 24, 1984] 47a Exemption request ................................................... 371
Agreements filed under section 412:
§ 389.25 Schedule of processing fees. 48 Prior Approval (docketed) .................................. 1080
49 Routine (nondocketed) ........................................... 64
(a) Document-filing fees. 50 Application for free and reduced-rate trans-
portation .................................................................. 16
Code Document
1 Additional.
Interstate and Overseas Air Transportation
Certificate of Public Convenience and Ne- (b) Electronic Tariff Filing Fees. The
cessity: filing fee for one (1) or more trans-
Application under sec. 401: actions proposed in any existing
1 Charter ............................................................... 850
2 Scheduled Service .................................. 850 record, or for any new or canceled
3 Dormant Authority ................................... 290 records, shall be 5 cents per record;
4 All-Cargo under sec. 418 ........................... 670 Provided: That no fee shall be assessed
5
6
Transfer ......................................................
Air Taxi Registration ......................................
290
8
for those records submitted to the De-
7 Commuter Air Carrier Authorization .............. 670 partment pursuant to § 221.500(b)(1) of
8 Change of Name (registration of trade name this subpart.
or reissuance of certificate) .................................... 56
9 Exemption Request (General): [48 FR 643, Jan. 6, 1983, as amended by OR–
10 Section 403 ................................................................. 53 206, 48 FR 1941, Jan. 17, 1983; OR–210, 48 FR
11 Section 401 (domestic)............................................. 280 15615, Apr. 12, 1983; 53 FR 17924, May 19, 1988;
12 Section 419 ............................................................... 120 Amdt. 389–37, 54 FR 2099, Jan. 19, 1989; 70 FR
13 Service Mail Rate Petition ........................................ 420
FOREIGN AIR TRANSPORTATION (U.S. AND AIR CARRIERS)
25773, May 16, 2005]
Certificate of Public Convenience and Ne-
cessity (sec. 401): § 389.26 Special rules for tariff page
14 Scheduled Service ................................................ 900 filings.
15 Amendment to application ................................ 425 (a) Tariffs issued by carriers. The filing
16 Charter Service ..................................................... 600
17 Amendment to application ................................ 200 fee for tariff pages filed by U.S. air car-
18 Transfer.................................................................. 255 riers will be charged even if the tariff
19 Change of Name (registration of trade name includes matters involving partici-
or reissuance of certificate) .................................... 56
Foreign Air Carrier Permit (sec. 402): pating foreign air carriers. It will also
20 Initial ....................................................................... 760 be charged if the tariff is issued by a
21 Amendment/Renewal of permit ............................ 475 foreign air carrier and includes matters
22 Amendment to application for a permit ............... 215
Exemption:
involving participating U.S. air car-
23 Section 403.............................................................. 53 riers, unless the foreign air carrier has
Section 401/402: obtained a waiver under § 389.24. The
24 10 or fewer flights ................................................ 77 fee will not be charged for a blank
25 More than 10 flights .......................................... 360
26 Filed less than 10 days before effective looseleaf page unless it cancels matter
date requested 1 17 in the preceding issue of the page.
27 Other (U.S. and foreign air carriers) .................... 360 (b) Tariffs issued by publishing agents.
28 Emergency cabotage (sec. 416(b)(7))................. 360 (1) If the tariff is issued for one or more
29 Relief for U.S. (sec. 101) and foreign (sec.
416) indirect air carriers........................................ 370 air carriers exclusively, the fee will be
Undocketed Items: charged for each page.
30 Canadian Charter Air Taxi Registration ..... 30 (2) If the tariff is issued for one or
31
32
Foreign Freight Forwarder Registration .....
Foreign Tour Operator Registration ...........
11
10
more air carriers and one or more for-
33 Foreign Aircraft Permit (part 375) .............. 25 eign air carriers, the fee will be
34 Special Authorization (part 375) ................ 12 charged for each page, except for those
35 Charter Statement of Authorization ........... 8 pages that the issuing agent states
36 Intermodal Statement of Authorization ...... 10
37 Special Authority (part 216) ....................... 37 contain only:
38 Items 33–37 if filed less than time required (i) Matters pertaining exclusively to
before effective date .................................. 1 11
foreign air carriers that have been
39 IATA resolutions ............................................
OTHER (U.S. AND FOREIGN AIR CARRIERS)
61
granted a waiver, or
Charters:
(ii) Changes in matters pertaining to
40 Public Charter Prospectus ..... 39 foreign air carriers that have been
41 OMPC Operation Authorization ........................... 665 granted a waiver and that are included

481
§ 389.27 14 CFR Ch. II (1–1–19 Edition)
on the same page with other matters § 389.27 Refund of fee.
that are reissued without change. (a) Any fee charged under this part
(3) The fee will not be charged for a may be refunded in full or in part upon
blank looseleaf page unless it cancels request if the document for which it is
matters in the preceding page. charged is withdrawn before final ac-
(4) No fee will be charged when two tion is taken. Such requests shall be
pages are published back-to-back, one filed in accordance with § 389.23.
page is not subject to the fee under (b) Any person may file an applica-
paragraph (b)(2), and the page on the tion for refund of a fee paid since April
reverse is issued without substantive 28, 1977, on the grounds that such fee
change. exceeded the Board’s cost in providing
(5) The fee will be charged for two the service. The application shall be
looseleaf pages containing a correction filed with the Board’s Comptroller and
number check sheet unless all other shall contain: the amount paid, the
pages of the tariff are exempt from the date paid, and the category of service.
fee. (Approved by the Office of Management and
Budget under control number 3024–0071)
[48 FR 643, Jan. 6, 1983]
[48 FR 643, Jan. 6, 1983, as amended by OR–
215, 49 FR 6884, Feb. 24, 1984; 49 FR 32564, Aug.
15, 1984]

482
 SUBCHAPTER F—POLICY STATEMENTS

PART 398—GUIDELINES FOR INDI- partment may instead require service

VIDUAL DETERMINATIONS OF to a small hub or nonhub.
BASIC ESSENTIAL AIR SERVICE (3) In some cases, the Department
may require service to two hubs, of
which at least one will be a large or
Sec.
398.1 Purpose. medium hub. The Department will re-
398.2 Number and designation of hubs. quire service to two hubs if an eligible
398.3 Specific airports. place has close commercial, geo-
398.4 Equipment. graphic, and political ties to both hubs
398.5 Frequency of flights. and if there is sufficient traffic from
398.6 Seat guarantees. the eligible place to support two round
398.7 Timing of flights. trips a day to both hubs. If traffic is
398.8 Number of intermediate stops. not sufficient, the Department may re-
398.9 Load factor standards. quire one round trip a day to both hubs
398.10 Overflights. if the community requests such serv-
398.11 Funding reductions. ice.
AUTHORITY: 49 U.S.C. Chapters 401, 417; Air- (4) In no event will essential air serv-
port and Airway Safety and Capacity Expan- ice consist of service to more than two
sion Act of 1987 (Pub. L. 100–223, Dec. 30, hubs.
1987). (c) Which hub? (1) In designating
SOURCE: Docket No. OST–95–397, 60 FR hubs, the Department will weigh all of
43529, Aug. 22, 1995, unless otherwise noted. the following factors:
(i) The extent to which candidate
§ 398.1 Purpose. hubs provide access to the national air
The purpose of this part is to estab- transportation system;
lish general guidelines for the deter- (ii) The commercial, geographic, and
mination of basic essential air service political ties of candidate hubs to the
for each eligible place under 49 U.S.C. eligible place;
41731 and 41732. Procedures for the de- (iii) The traffic levels to candidate
termination of the essential air service hubs, as shown by traffic studies and
level for a place are contained in part origin and designation data;
325 of this chapter. (iv) The distance of candidate hubs
from the eligible place; and
§ 398.2 Number and designation of (v) The size of candidate hubs. Large
hubs. size will be a positive factor, but prin-
(a) What is a hub? The Department cipally as substantiating the access
considers hubs as belonging to any one and community-ties factors.
of three classifications: (2) For Alaska, rather than requiring
(1) A large hub is a place accounting service to a hub, the Department may
for at least 1.00 percent of the total instead require that service from an el-
enplanements in the United States; igible place be provided to a nearby
(2) A medium hub is a place account- focal point for traffic which, in turn,
ing for at least 0.25 percent but less has service to a hub.
than 1.00 percent of the total
enplanements in the United States; and § 398.3 Specific airports.
(3) A small hub is a place accounting (a) At an eligible place, essential air
for at least 0.05 percent but less than service may be specified as service to a
0.25 percent of the total enplanements particular airport. In the case of hy-
in the United States. phenated places, essential air service
(b) How many hubs? (1) As a general will be specified as service to more
matter, the Department will require than one airport only if clearly nec-
service to one large or medium hub. essary and if the multi-airport service
(2) In Alaska or when the nearest is economically feasible and justified
large or medium hub is more than 400 on the basis of traffic levels at those
miles from the eligible place, the De- airports.

483
§ 398.4 14 CFR Ch. II (1–1–19 Edition)
(b) At a hub, essential air service is (2) More flights are needed because
not usually specified as service to a the capacity available to the eligible
particular airport. place is being shared with traffic des-
tined for an intermediate stop or for a
§ 398.4 Equipment. place beyond the eligible place;
(a) Except in Alaska, service will be (3) More flights are needed to accom-
provided by aircraft offering at least 15 modate passengers because smaller air-
passenger seats, unless: craft are being used at the place;
(1) Average daily enplanements at (4) More flights are needed in order to
the place did not exceed 11 passengers ensure adequate connecting opportuni-
for any fiscal year from 1976 through ties as provided for by § 398.7; or
1986; (5) For Alaska, the appropriate state
(2) The requirement would neces- agency agrees that more frequent serv-
sitate the payment of compensation in ice is needed to accommodate cargo
a fiscal year for service at the place traffic with the aircraft used at the eli-
when compensation would otherwise gible place.
not be necessary; or (d) For eligible places where traffic
(3) The affected community agrees in levels vary substantially with the sea-
writing to the use of smaller aircraft to son, a two-tier level of essential air
provide service at the place. service may be established with re-
(b) The aircraft must have at least quired flight frequencies changing ac-
two engines and use two pilots, unless cordingly.
scheduled air transportation has not
been provided to the place in aircraft § 398.6 Seat guarantees.
with at least two engines and using two (a) The number of seats guaranteed
pilots for at least 60 consecutive oper- at the eligible place will be sufficient
ating days at any time since October to accommodate the estimated pas-
31, 1978. senger traffic at an average load factor
(c) The aircraft must be pressurized of 60 percent, except that an average
when the service regularly involves load factor of 50 percent will be used
flights above 8,000 feet in altitude. when service is provided with aircraft
(d) All aircraft must meet the appli- having fewer than 15 passenger seats.
cable safety standards of the Federal (b) Only under unusual cir-
Aviation Administration. cumstances will an eligible place’s es-
(e) The aircraft must be conveniently sential air service level be set at a
accessible to passengers by stairs rath- number of flights that will accommo-
er than over the wing. date more than 40 passengers a day in
each direction (a total of 80 inbound
§ 398.5 Frequency of flights. and outbound passengers). Generally,
(a) Except in Alaska, at least two 40 passengers can be accommodated by
round trips each weekday and two guaranteeing 67 seats a day in each di-
round trips each weekend. rection (a total of 134 inbound and out-
(b) In Alaska, a level of service at bound seats).
least equal to that provided in 1976, or (c) The Department may guarantee
two round trips each week, whichever an eligible place more than 67 seats a
is greater, except that the Department day if:
and the appropriate State authority of (1) The number of stops between or
Alaska may agree to a different level beyond the eligible place and the hub
of service after consulting with the af- results in available aircraft capacity
fected community. being shared with passengers at those
(c) An essential air service level may other places;
be set at more than that stated in (2) The distance between the eligible
paragraphs (a) and (b) of this section if: place and the designated hub requires
(1) Historical traffic data and studies the use of large aircraft;
of traffic-generating potential for the (3) The eligible place has suffered an
place indicate that more frequent serv- abrupt and significant reduction in its
ice is needed to accommodate pas- service that warrants a temporary in-
sengers and accompanying baggage crease in the maximum guaranteed ca-
with the aircraft used at that place; pacity; or

484
Office of the Secretary, DOT § 398.11
(4) Other unusual circumstances war- (b) It would be in the interest of the
rant guaranteeing the eligible place community, the carrier, or the general
more than 67 seats a day. public to raise the load factor standard
for that place.
§ 398.7 Timing of flights.
To qualify as essential air service, § 398.10 Overflights.
flights must depart at reasonable The Department considers it a viola-
times, considering the needs of pas- tion of 49 U.S.C. 41732 and the air serv-
sengers with connecting flights at the ice guarantees provided under this part
hub. It is the policy of the Department for an air carrier providing essential
to consider the reasonableness of the air service to an eligible place to
time in view of the purpose for which overfly that place, except under one or
the local passengers are traveling. If more of the following circumstances:
travel is primarily to connect with (a) The carrier is not compensated
other flights at the hub, local flight for serving that place and another car-
times should be designed to link with rier is providing by its flights the serv-
those flights. If travel is primarily ice required by the Department’s essen-
local (i.e., to and from the hub), there tial air service determination for that
should be at least one morning flight in place;
each direction and one late-afternoon
(b) Circumstances beyond the car-
or evening flight in each direction.
rier’s control prevent it from landing
§ 398.8 Number of intermediate stops. at the eligible place;
(c) The flight involved is not in a
(a) Except in Alaska, no more than market where the Department has de-
one intermediate stop is permitted in termined air service to be essential; or
providing essential air service between
(d) The eligible place is a place in
the eligible place and its hub, unless
Alaska for which the Department’s es-
otherwise agreed to with the commu-
nity. In cases where an eligible place sential air service determination per-
receives service to two hubs, however, mits the overflight.
more than one intermediate stop is
§ 398.11 Funding reductions.
permitted between that place and its
secondary hub. (a) If, in any fiscal year, appropria-
(b) In Alaska, more than one inter- tions for payments to air carriers re-
mediate stop is permitted if required main at or below the amounts esti-
by low traffic levels at the eligible mated as necessary to maintain sub-
place or by the long distance between sidy-supported essential air service at
the eligible place and its hub. the places receiving such service, and
(c) The Department may specify non- Congress provides no statutory direc-
stop service when necessary to make tion to the contrary, appropriations
the service viable. shall not be available for essential air
(d) Where an eligible place normally service to otherwise eligible places
is an intermediate stop that shares within the 48 contiguous States and
available capacity with another place, Puerto Rico that have a rate of subsidy
it is the policy of the Department ei- per passenger in excess of $200.00, or are
ther to require additional capacity located:
(more flights or larger aircraft) be- (1) Less than 70 highway miles from
tween the eligible place and its hub or the nearest large or medium hub air-
to specify some turnaround operations port;
on that route segment. (2) Less than 55 miles from the near-
est small hub airport; or
§ 398.9 Load factor standards. (3) Less than 45 highway miles from
The load factor standards used in the nearest nonhub airport that has en-
this part may be raised for individual planed, on certificated or commuter
eligible places under either of the fol- carriers, 100 or more passengers per day
lowing circumstances: in the most recent year for which the
(a) The place is served by the carrier Department has obtained complete
as part of a linear route; or data.

485
Pt. 399 14 CFR Ch. II (1–1–19 Edition)
(b) The rate of subsidy per passenger Subpart E—Policies Relating to Hearing
shall be calculated by dividing the an- Matters
nual subsidy in effect as of July 1 of
399.60 Standards for determining priorities
the prior fiscal year by the total ori-
of hearing.
gin-and-destination traffic during the
399.61 Presentations of public and civic bod-
most recent year for which the Depart- ies in route proceedings.
ment has obtained complete data. 399.62 Target dates in hearing cases.
399.63 Role of staff in route proceedings.
PART 399—STATEMENTS OF
GENERAL POLICY Subpart F—Policies Relating to Rulemaking
Proceedings
Subpart A—Applicability and Effects of 399.70 Cross-references to the Office of the
Policy Statements Secretary’s Rulemaking Procedures.
399.73 Definition of small business for Regu-
Sec.
latory Flexibility Act.
399.1 Applicability.
399.2 Exclusions. Subpart G—Policies Relating to
399.3 Statements in other Board documents. Enforcement
399.4 Nature and effect of policy state-
ments. 399.80 Unfair and deceptive practices of
399.5 Arrangement of policy statements. ticket agents.
399.81 Unrealistic or deceptive scheduling.
Subpart B—Policies Relating to Operating 399.82 Passing off of carrier identity by af-
Authority filiation between carriers.
399.83 Unfair or deceptive practice of air
399.10–399.11 [Reserved] carrier, foreign air carrier, or ticket
399.12 Negotiation by air carriers for land- agent in orally confirming to prospective
ing rights in foreign countries. passenger reserved space on scheduled
399.13–399.17 [Reserved] flights.
399.18 Maximum duration of fixed-term 399.84 Price advertising and opt-out provi-
route authorization granted by exemp- sions.
tion; renewal of such authority. 399.85 Notice of baggage fees and other fees.
399.19 [Reserved] 399.86 Payments for non-air transportation
399.21 Charter exemptions (except military). services for air cargo.
399.87 Baggage allowances and fees.
Subpart C—Policies Relating to Rates and 399.88 Prohibition on post-purchase price in-
Tariffs crease.
399.89 Disclosure of potential for price in-
399.30 Definitions.
crease before payment.
399.31 Standard industry fare level.
399.32 Zone of limited suspension for domes- Subpart H—Other Policies Relating to Inter-
tic passenger fares. ests, Activities, and Relationships of Air
399.33 Additional fare flexibility.
Carriers
399.34 Intra-Hawaii and Intra-Puerto Rico/
Virgin Islands fare flexibility. 399.91 Air carrier participation in programs
399.35 Special tariff permission. of technical assistance to airlines of less
399.36 Unreasonable discrimination. developed countries.
399.37 Joint fares.
399.39 Equipment purchase deposits. Subpart I—Policies Relating to Disclosure of
399.40 Tariffs for domestic air transpor- Information
tation on or after January 1, 1983.
399.41 Zones of limited suspension for inter- 399.101 Public release of Board decisions in
national cargo rates. cases where the action of the Board is
subject to the review or approval of the
399.42 Flight equipment depreciation and
President.
residual values.
399.43 Treatment of leased aircraft.
Subpart J—Policies Relating to Federal
399.44 Treatment of deferred Federal in-
come taxes for rate purposes. Preemption of State Economic Regulations
EXAMPLE OF SIFL A DJUSTMENT 399.111 All operations of federally author-
ized carriers to be regulated by the
Subpart D [Reserved] Board.

486
Office of the Secretary, DOT § 399.12
Subpart K—Policies Relating to Certificate not be considered statements of policy,
Duration except to the extent that it is specifi-
cally stated that such denial or failure
399.120 Duration of certificates in limited-
entry markets. is based upon a policy thereafter to be
followed.
AUTHORITY: 49 U.S.C. 41712
SOURCE: PS–21, 29 FR 1446, Jan. 29, 1964, un- § 399.4 Nature and effect of policy
less otherwise noted. statements.
Policy statements published in this
Subpart A—Applicability and part will be observed by the Board
Effects of Policy Statements until rescinded, but any policy may be
amended from time to time as experi-
§ 399.1 Applicability. ence or changing conditions may re-
All statements of general policy quire. Changes in policy may be made
adopted by the Board for the guidance with or without advance notice to the
of the public will be published in this public and will become effective upon
part, except as provided in § 399.2. publication in the FEDERAL REGISTER
unless otherwise provided. If it appears
§ 399.2 Exclusions. to the Board, in its consideration of
The following types of policies are any matter before it, that the applica-
generally not included in this part: tion of a policy published in this part
(a) Policies relating solely to the in- would run counter to an express provi-
ternal management of the Board; sion of law or policy enunciated by
(b) Policies requiring secrecy in the Congress in the Act, the published pol-
public interest or in the interest of na- icy shall not be applicable to such mat-
tional defense; ter.
(c) Policies that are repetitive of sec-
tion 102 of the Act; § 399.5 Arrangement of policy state-
(d) Policies that are fully expressed ments.
in a procedural or substantive rule of The statements of general policy re-
the Board, or in any opinion, decision, lating to the various duties and func-
order, certificate, permit, exemption, tions of the Board are grouped accord-
or waiver of the Board; ing to subject matter in the following
(e) Expressions of encouragement or subparts; the titles of the subparts in-
admonition to industry to follow a cer- dicate the general subject matter in-
tain course of action; cluded therein.
(f) Positions on legislative items and
on other matters that are outside the
scope of the Board’s current statutory Subpart B—Policies Relating to
powers and duties. Operating Authority
[PS–21, 29 FR 1446, Jan. 29, 1964, as amended §§ 399.10–399.11 [Reserved]
by PS–63, 40 FR 6643, Feb. 13, 1975]
§ 399.12 Negotiation by air carriers for
§ 399.3 Statements in other Board doc- landing rights in foreign countries.
uments.
No statement contained in any Board (a) It is the policy of the Board
opinion, decision, order, certificate, (jointly with the Department of State)
permit, exemption, or waiver shall be that, as a general rule, landing rights
considered a statement of policy within abroad for United States flag air car-
the meaning of this part, even though riers will be acquired through negotia-
such statements may constitute a tion by the U.S. Government with for-
precedent in future cases or declare fu- eign governments rather than by direct
ture policy to be followed in like cases. negotiation between an air carrier and
Similarly, a denial by the Board or re- a foreign government.
lief sought, or statements of the (b) It is corollary to the foregoing
Board’s reasons for failure to issue a policy that no United States air carrier
rule upon which rulemaking pro- may avail itself of representations by
ceedings have been commenced shall one foreign government to further its

487
§§ 399.13–399.17 14 CFR Ch. II (1–1–19 Edition)
interest with another foreign govern- the Domestic Passenger Fares Inves-
ment, especially with respect to land- tigation (Docket 21866–9).
ing rights, except insofar as such rep- SIFL means the standard industry
resentations have been specifically au- fare level, as set forth in § 399.31.
thorized by the U.S. Government. [PS–92, 45 FR 24118, Apr. 9, 1980]
§§ 399.13–399.17 [Reserved] § 399.31 Standard industry fare level.
§ 399.18 Maximum duration of fixed- (a) Generally. Except as set forth in
term route authorization granted paragraph (d) of this section, the stand-
by exemption; renewal of such au- ard industry fare level (‘‘SIFL’’) for
thority. coach/standard service in a market is
It is the policy of the Board to limit equal to the predominant fare in effect
the duration of exemptions which au- in that market on July 1, 1977, as ad-
thorize fixed-term route service to a justed by the Board for cost increases.
maximum period of two years, and to (b) Predominant fare. For each mar-
entertain requests for renewal of such ket, the predominant fare in effect on
authority only when incorporated in a July 1, 1977, is presumed to be as set
duly filed application for substantially forth below. The presumption may be
equivalent certificate authority under rebutted, however, by showing that
section 401 of the Act. (See § 377.10(c) of more passengers used a higher fare.
this chapter (Special Regulations).) (1) For U.S. Mainland-Puerto Rico/
Virgin Islands markets where the
[PS–21, 29 FR 1446, Jan. 29, 1964, as amended
at 65 FR 6457, Feb. 9, 2000] Board has specified day-of-week fare
differentials: the peak-season midweek
§ 399.19 [Reserved] fare appearing in tariffs in effect on
July 1, 1977.
§ 399.21 Charter exemptions (except (2) For U.S. Mainland-Puerto Rico/
military). Virgin Islands markets where the
In deciding applications for exemp- Board has specified only seasonal fare
tions from section 41102 of Title 49 of differentials: the off-peak-season fare
the United States Code by air carriers appearing in tariffs in effect on July 1,
seeking to perform charter service in 1977.
air transportation, we will give pri- (3) For U.S. Mainland-Hawaii mar-
mary weight to the chartering public’s kets: the peak-season second class fare
own assessment of the air carrier serv- appearing in tariffs in effect on July 1,
ices that best meet its transportation 1977.
needs. Therefore, we will not, as a gen- (4) For all other interstate and over-
eral rule, consider as relevant to our seas markets: the lowest unrestricted
decision on such applications, objec- fare in effect on July 1, 1977.
tions based upon (1) offers by the objec- (c) Adjustments for cost increases. The
tors to perform the charter service, Board adjusts the SIFL at least once
and/or (2) estimates of revenue or traf- every 6 months by the percentage
fic diversion, unless in the latter case change, since the previous adjustment,
the objectors demonstrate that the di- in the actual operating cost per avail-
version resulting from grant of the ex- able seat-mile for interstate and over-
emption would threaten their ability seas transportation combined. The
to fulfill their certificate obligations. method of adjustment is illustrated in
the example set out at the end of this
[PS–78, 43 FR 31886, July 24, 1978, as amended subpart.
at 60 FR 43531, Aug. 22, 1995]
(d) Intrastate markets in California,
Florida, and Texas. For each of these
Subpart C—Policies Relating to markets, the SIFL is equal to the level
Rates and Tariffs that it would be if the market were an
interstate one whose predominant fare
§ 399.30 Definitions. on July 1, 1977, was the DPFI formula
As used in this subpart: fare.
DPFI formula fare means the trunk (e) Intra-Hawaii markets. For intra-
coach formula fare on July 1, 1977, as Hawaii markets, the Board’s flexibility
established by the Board in Phase 9 of zones are based not on the SIFL, but on

488
Office of the Secretary, DOT § 399.33
the standard Hawaiian fare level with § 399.31(c), it will adjust the $14
(‘‘SHFL’’), which is equal to 110 per- figure by the same percentage rounded
cent of the first class fare in effect on to the nearest whole dollar. The Board
July 1, 1977, as adjusted by the Board order announcing the adjustment will
for cost increases. be published in the FEDERAL REGISTER
[PS–92, 45 FR 24118, Apr. 9, 1980, as amended and served on all certificated carriers,
by PS–95, 45 FR 42255, June 24, 1980; PS–96, 45 and copies will be available through
FR 48604, July 21, 1980] the Domestic Fares and Rates Division,
Bureau of Domestic Aviation, Civil
§ 399.32 Zone of limited suspension for Aeronautics Board, Washington, D.C.
domestic passenger fares.
20428.
(a) Applicability. This section sets (2) For service between the Mainland
forth the Board’s policy on passenger and Puerto Rico, the Virgin Islands,
fares for scheduled service by certifi- Hawaii, or Alaska: Up to 30 percent
cated air carriers in the following above the SIFL.
areas, except to the extent that greater
(e) Fares above the zone. Tariff filings
flexibility is set forth in § 399.33:
(1) Within the 48 contiguous States that state fares above the applicable
and the District of Columbia (‘‘the zone must include the data and infor-
Mainland’’); and mation set forth in § 221.165 of this
(2) Between the Mainland and Puerto chapter. For peak fares, this must in-
Rico, the Virgin Islands, Hawaii, or clude a description of the carrier’s off-
Alaska. peak fares that are available in the
(b) Downward flexibility. Each carrier market. The Board will suspend a fare
may set fares in each market at any above the zone that it finds not to be
amount below the SIFL. The Board justified by cost or competitive fac-
will not suspend such a fare on the tors.
ground that its level is unreasonable,
[PS–94, 45 FR 40973, June 17, 1980, as amended
except in the following extraordinary
by PS–96, 45 FR 48604, July 21, 1980; PS–101, 46
circumstances: FR 11809, Feb. 11, 1981]
(1) There is a high probability that
the fare would be found to be unlawful § 399.33 Additional fare flexibility.
after investigation;
(2) There is a substantial likelihood For scheduled service in the areas set
that the fare is predatory so that there forth in § 399.32(a), certificated air car-
would be an immediate and irreparable riers have the following fare flexibility
harm to competition if the fare were in addition to that set forth in § 399.32:
allowed to go into effect; (a) First class. Carriers may without
(3) The harm to competition is great- restriction set the level of first class
er than the injury to the traveling pub- fares.
lic if the proposed fare were unavail- (b) Small aircraft. Carriers may with-
able; and out restriction set the level of fares for
(4) The suspension is in the public in- service with aircraft designed to have a
terest. maximum passenger capacity of 60 or
(c) [Reserved] fewer seats.
(d) Upward flexibility. Each carrier (c) Through service and on-line con-
may set fares above the SIFL as fol- necting service. For through service and
lows, and where they are so set, the on-line connecting service, carriers
Board will not suspend them on the may set their fares up to the sum of
grounds that their level is unreason-
the local fares minus one tax-rounded
able except upon a clear showing of
coach ceiling terminal charge for each
abuse of market power that the Board
does not expect to be corrected through local fare after the first, if that level is
marketplace forces: higher than the ceiling set forth in
(1) For service on the Mainland: Up § 399.32(d). The Board will not suspend
to 30 percent above the sum of the such a fare on the ground that its level
SIFL plus $14. Each time after January is unreasonable except upon a clear
13, 1981, that the Board adjusts the showing of abuse of market power that
SIFL for cost increases in accordance

489
§ 399.34 14 CFR Ch. II (1–1–19 Edition)
the Board does not expect to be cor- carriers have the fare flexibility set
rected through marketplace forces. forth in §§ 399.32 and 399.33, except that:
[PS–92, 45 FR 24119, Apr. 9, 1980, as amended (a) Instead of the limits set forth in
by PS–94, 45 FR 40974, June 17, 1980; PS–96, 45 § 399.32(d), the upper limit of the zone
FR 48604, July 21, 1980] for Puerto Rico/Virgin Islands is 30 per-
cent above the SIFL, and for Hawaii is
§ 399.34 Intra-Hawaii and Intra-Puerto 30 percent above the SHFL; and
Rico/Virgin Islands fare flexibility.
(b) The fare flexibility set forth in
For scheduled service within Hawaii, § 399.33(a) (first class) does not apply to
and within and between Puerto Rico service within Hawaii.
and the Virgin Islands, certificated air
APPENDIX A TO § 399.34—UNITED STATES-PUERTO RICO ENTITY
[Normal fares in selected markets—comparison with SIFL]

July 1977 normal fare level May 1980 normal fare level
Rate- DPFI DPFI
mak- formula Peak Offpeak formula Peak Offpeak
Market ing
mile- fare July May
1977 Mid Week Mid Week 1980 Mid Week Mid Week
age week end week end week end week end

San Juan:
Atlanta .................................... 1,547 $130.81 ........ ......... ........ ......... $203.53 ........ ......... ........ .........
Eastern ............................ ......... .............. $113 $113 $107 $107 .............. $176 $176 $166 $166
Boston .................................... 1,674 139.04 ........ ......... ........ ......... 216.33 ........ ......... ........ .........
American ......................... ......... .............. ........ ......... ........ ......... .............. 209 218 199 209
Eastern ............................ ......... .............. 122 128 116 122 .............. 209 218 198 209
Chicago .................................. 2,072 164.83 ........ ......... ........ ......... 256.45 ........ ......... ........ .........
American ......................... ......... .............. 149 149 143 143 .............. 232 232 222 222
Eastern ............................ ......... .............. 149 149 143 143 .............. 232 232 222 222
Miami ...................................... 1,045 97.09 ........ ......... ........ ......... 151.06 ........ ......... ........ .........
American ......................... ......... .............. ........ ......... ........ ......... .............. 121 131 113 121
Delta ................................ ......... .............. ........ ......... ........ ......... .............. 121 131 113 121
Eastern ............................ ......... .............. 78 84 72 78 .............. 121 131 112 121
Pan Am (National) ........... ......... .............. 78 84 72 78 .............. 122 122 122 122
New York ................................ 1,597 134.05 ........ ......... ........ ......... 208.57 ........ ......... ........ .........
American ......................... ......... .............. 108 114 102 108 .............. 175 196 175 196
Eastern ............................ ......... .............. 108 114 102 108 .............. 175 196 175 196
Pan Am ........................... ......... .............. ........ ......... ........ ......... .............. 147 147 147 147
Phildelaphia ............................ 1,576 132.69 ........ ......... ........ ......... 206.45 ........ ......... ........ .........
American ......................... ......... .............. 115 121 109 115 .............. 197 208 187 197
Eastern ............................ ......... .............. 115 121 109 115 .............. 175 196 175 196
Washington ............................. 1,565 131.97 ........ ......... ........ ......... 205.34 ........ ......... ........ .........
American ......................... ......... .............. 114 120 108 114 .............. 187 197 176 187
Eastern ............................ ......... .............. 114 120 108 114 .............. 195 206 184 195
Pan Am (National) ........... ......... .............. ........ ......... ........ ......... .............. 147 147 147 147

APPENDIX B TO § 399.34—SELECTED FARE AND SERVICE DATA FOR SEATTLE-ALASKA MARKETS

Y fare as of June O. & D.
Rate- Actual DPFI SIFL 1980 2 pas-
formula formula Carriers providing
Market making July sengers single plane serv-
mile- 1977 Y fare May fare May Y/E
Alaska Wien ice June 1980 4
age fare 1980 1 1980 10 Aug. 30,
Airlines Alaska 1979 3

Seattle:
Anchorage ............................. 1,448 $119.00 $193.52 $185.14 $159 $159 196,630 AS/NW/WA/WC
Cordova ................................. 1,293 118.62 176.85 184.55 178 ............ 4,330 AS
Fairbanks .............................. 1,533 131.00 201.85 203.81 204 204 44,910 AS/NW/WC
Gustavus (Via JNU) .............. 950 109.62 140.74 170.55 138 ............ 1,340 AS
Juneau .................................. 909 90.62 137.04 140.99 141 141 40,110 AS/WC
Ketchikan .............................. 680 71.62 112.96 111.43 112 112 34,970 AS/WC
Petersburg (Via KTN) ........... 790 89.22 124.07 138.81 138 ............ 6,870 AS
Sitka ...................................... 862 85.62 131.48 133 133.21 ............ 17,240 AS
Wrangell (Via KTN) ............... 762 89.22 121.30 138.81 138 ............ 4,120 AS
Yakutat .................................. 1,092 117.62 155.56 182.99 175 ............ 1,500 AS
Kenai 5 ................................... 1,468 124.28 198.37 193.35 ............ 159 2,470 WC
King Salmon 6 ....................... 1,603 167.94 209.26 261.28 ............ 200 4,090 WC
Prudhoe Bay 7 ....................... 1,802 190.74 229.63 296.75 ............ 273 960 WC
Kodiak 8 ................................. 1,439 119.00 192.59 185.14 ............ 155 11,140 WC

490
Office of the Secretary, DOT § 399.35
APPENDIX B TO § 399.34—SELECTED FARE AND SERVICE DATA FOR SEATTLE-ALASKA MARKETS—
Continued
Y fare as of June O. & D.
Rate- Actual DPFI SIFL 1980 2 pas-
formula formula Carriers providing
Market making July sengers single plane serv-
mile- 1977 Y fare May fare May Y/E
Alaska Wien ice June 1980 4
age fare 1980 1 1980 10 Aug. 30,
Airlines Alaska 1979 3

Homer 9 ................................. 1,449 143.40 193.52 223.10 ............ 159 1,250 WC

1 $25.14 plus 13.75¢ per mile (0–500); 10.49¢ per mile (501–1500); 10.08¢ per mile (1501 and over). See Order 80–4–211.
2 Domestic Tariffs.
3 O. & D. Origin Destination Survey of Airline Passenger Traffic, Table 8, 12 months ended September 30, 1979.
4 AS = Alaska Airlines; NW = Northwest Orient Airlines; WA = Western Airlines; WC = Wien Air Alaska.
5 Via Anchorage ($15.28).
6 Via Anchorage ($48.94).
7 Via Fairbanks ($59.74).
8 Local WA Fare.
9 Via Kodiak ($24.40).
10 July 1977 fare increased by cumulative adjustment factor of 1.5558% per Order 80–4–211.

APPENDIX C TO § 399.34—ADJUSTMENT OF THE INTRA-HAWAIIAN FARE LEVEL JULY 1, 1977, TO

REFLECT COST AT 12.35 PERCENT RETURN
Regulatory actual Y.E. March 1977 Cost inflation adjusted to July 1, 1977 July 1,
1977, at
12.35 pct
Aloha Hawaiian Total Aloha Hawaiian Total
R.O.I.

RPM’s (000) .............................. 321,578 404,793 726,371 321,578 404,793 726,371 726,371
ASM’s (000) .............................. 489,128 638,050 1,127,178 489,128 638,050 1,127,178 1,127,178
Load Factor (percent) ............... 65.75 63.44 64.44 65.75 63.44 64.44 64.4
Yield (dollars) 2 .......................... $0.1427 $0.1453 $0.1441 $0.1427 $0.1453 $0.1441 $0.1589
Operating Revenue—Total ....... $47,648 $71,599 $119,247 .................... .................... .................... ..................
Passenger Related Revenue .... $46,301 $59,942 $106,243 $46,301 $59,942 $106,243 $116,966
Operating Expense—Total ........ $45,195 $68,836 $114,031 .................... .................... .................... ..................
Passenger Related Expenses .. $43,858 $57,501 $101,359 1 $45,937 $59,013 1 $104,950 $104,950
Operating Profit—Passenger .... $2,443 $2,441 $4,884 $364 $929 $1,293 $12,016
Interest Expense ....................... $741 $2,583 $3,324 $741 $2,583 $3,324 $3,324
Earnings Before Tax ................. $1,702 $(142) $1,560 $(377) $(1,654) $(2,031) $8,692
Tax at 48 Percent ..................... $817 $68 $749 $181 $794 $975 $4,172

Net Income ................................ $885 $(74) $811 $(196) $(860) $(1,056) $4,520
Return Element ......................... $1,626 $2,509 $4,135 $545 $1,723 $2,268 $7,844
Investment ................................. $16,192 $47,326 $63,518 $16,192 $47,326 $63,518 $63,518
Return on Investment (percent) 10.04 5.30 6.51 3.37 3.64 3.57 12.35
Increase Factor 3 ....................... ................ ................ .................. .................... .................... .................... 10.27
1 Cost inflation to July 1, 1977; 1.047 percent for Aloha, 1.026 for Hawaiian. The differing rates for the two carriers, having
equivalent aircraft and duplicate route structures, is due primarily to a shift by Hawaiian to larger DC–9–50 aircraft starting in the
fourth quarter of 1976.
2 Passenger revenue divided by RPM’s.
3 Passenger yield at 12.35 percent return divided by actual passenger yield for the year ended March 1977.

[PS–96, 45 FR 48604, July 21, 1980]

§ 399.35 Special tariff permission. (1) The Board will not grant STP to
match a tariff filed on statutory no-
(a) Definition. As used in this section,
tice; and
to grant STP means to approve a car-
(2) The Board will not grant STP if
rier’s application for Special Tariff
the proposed fares, rates, charges, or
Permission to file a tariff on less than
rules raise significant questions of law-
the statutory notice set forth in
§ 221.160(a) of this chapter. fulness, that is, could reasonably be ex-
pected to be found unjust or unreason-
(b) Lower fares, rates, and charges. It
able, unjustly discriminatory, unduly
is the policy of the Board to grant STP
preferential, unduly prejudicial, or
for tariffs that state lower fares, rates,
predatory, under current statutory or
or charges and any rules affecting only
Board guidelines. In these situations, if
those lower fares, rates, or charges, ex-
the carrier files the tariff on statutory
cept that:
notice and at the same time applies for

491
§ 399.36 14 CFR Ch. II (1–1–19 Edition)
STP to advance the tariff’s effective contiguous 48 states and the District of
date, the Board will use its best efforts Columbia as follows:
to act within 15 days to grant or deny (a) Level. The level shall not exceed
STP. the sum of the maximum local fares
(c) Higher fares or rates. For tariffs permitted by this subpart minus one
that state higher fares or rates, and tax-rounded coach ceiling terminal
any rules affecting only those fares or charge for each interline connection,
rates, the Board’s policy on STP is, ex- and in any event shall not exceed the
cept in unusual or emergency cir- sum of the actual local fares.
cumstances: (b) Division. Joint fares shall be di-
(1) To grant STP if the resulting
vided according to the relative costs of
fares or rates are within a statutory or
the mileage flown by each carrier par-
Board-established zone of fare or rate
flexibility; and ticipating in the interline movement.
(2) Otherwise, to deny STP. However, where a joint fare is equal to
the sum of the actual local fares, each
[PS–94, 45 FR 40974, June 17, 1980, as amended carrier shall get the local fare as its
by PS–109, 48 FR 4279, Jan. 31, 1983]
share.
§ 399.36 Unreasonable discrimination. [PS–92, 45 FR 24119, Apr. 9, 1980, as amended
(a) As used in this section: by PS–95, 45 FR 42255, June 24, 1980]
(1) Unreasonable discrimination means
unjust discrimination or unreasonable § 399.39 Equipment purchase deposits.
preference or prejudice; and Equipment purchase deposits are ad-
(2) Rate means rate, fare, or charge. vance payments made by air carriers to
(b) Except in unusual circumstances manufacturers for the purchase of
or as provided in paragraph (c) of this equipment to be delivered in the fu-
section, the Board will find a rate for ture, or funds segregated by air car-
domestic air transportation to con- riers for this purpose. It is the policy of
stitute unreasonable discrimination the Board not to recognize equipment
only if: purchase deposits in an air carrier’s in-
(1) There is a reasonable probability vestment base for ratemaking pur-
that the rate will result in significant poses. When equipment is acquired by
long-run economic injury to passengers
an air carrier and placed in air-trans-
or shippers;
port service, the Board will recognize
(2) The rate is in fact discriminatory
in the air carrier’s investment base in-
according to a reasonable cost alloca-
tion or other rational basis; terest on purchase deposits on such
(3) The rate does not provide trans- equipment capitalized and amortized in
portation or other statutorily recog- accordance with the Uniform System
nized benefits that justify the discrimi- of Accounts and Reports for Certifi-
nation; and cated Air Carriers (part 241 of this
(4) Actual and potential competitive chapter).
forces cannot reliably be expected to [PS–32, 32 FR 5370, Mar. 30, 1967]
eliminate the undesirable effects of the
discrimination within a reasonable pe- § 399.40 Tariffs for domestic air trans-
riod. portation on or after January 1,
(c) A rate that discriminates on the 1983.
basis of the status of the traffic carried
The Board will not approve or accept
will not be presumed to be unreason-
any tariff filings for interstate of over-
ably discriminatory, unless the use of
the status categories in question is seas air transportation to be performed
contrary to established national anti- on or after January 1, 1983. Any tariffs
discrimination policy. for such transportation that do not
specify an earlier expiration date shall
[PS–93, 45 FR 36062, May 29, 1980] expire at midnight on December 31,
§ 399.37 Joint fares. 1982.
There should be joint fares in all [PS–107, 47 FR 14893, Apr. 7, 1982]
markets over all routings within the

492
Office of the Secretary, DOT § 399.41

§ 399.41 Zones of limited suspension with respect to rate proposals of an air

for international cargo rates. carrier, or
(a) Applicability. This section states (2) All of the following extraordinary
the Board’s policy for suspending rate circumstances are present:
changes for the transportation of prop- (i) It is highly probable that the fare
erty in foreign air transportation. It would be found unreasonable after in-
does not affect the Board’s authority vestigation;
to suspend any rate as unjustly dis- (ii) There is a substantial likelihood
criminatory, unduly preferential, or of immediate and irreparable harm to
unduly prejudicial. This section applies the public if the rate is allowed to go
to rate changes by all direct air car- into effect; and
riers and direct foreign air carriers. (iii) The suspension is required by the
(b) Standard foreign rate levels. For public interest.
each market in foreign air transpor- (e) Burden of proof. Persons request-
tation, the standard foreign rate level ing tariff suspension under paragraph
for the carriage of property shall be the (d) of this section shall have the burden
bulk general commodity rates in effect of producing convincing evidence that
in that market on April 1, 1982, as ad- the conditions of that paragraph are
justed in accordance with paragraph (f) present.
of this section. However, the general (f) Standard foreign rate level adjust-
commodity rate for shipments larger ments. (1) The Board will periodically
than 500 kg. shall be deemed to be the adjust the standard foreign rate levels
same as the 500 kg. rate for the pur- to reflect the percentage change in av-
poses of this paragraph, regardless of erage operating costs per available ton-
any different rate in effect in the mar- mile since the previous adjustment.
ket. (2) Costs will be averaged for three
(c) Ceilings of limited rate suspension. regions—the Atlantic, the Pacific, and
Except as provided in paragraph (d) of Western Hemisphere—and applied
this section, the Board will not suspend equally among all markets in each re-
as unreasonable any proposed rate for gion.
foreign air transportation of property (3) Cost computations will be based
equal to or less than the following lev- on scheduled freighter and combination
els: service by U.S. air carriers.
(1) For all bulk rates (GCR’s and (4) Adjustments will be made on
SCR’s) in the Atlantic region, 20 per- April 1 and October 1 of each year, or
cent above the standard foreign rate more frequently as the Board finds ap-
level. propriate.
(2) For all bulk rates (GCR’s and (5) In computing costs under this sec-
SCR’s) in the Pacific region, 15 percent tion, the Board will make no adjust-
above the standard foreign rate level. ments for load factors, aircraft utiliza-
(3) For all bulk rates (GCR’s and tion, or other matters due to oper-
SCR’s) in the Western Hemisphere re- ational decisions made solely by car-
gion (except Mexico and Canada), 5 per- rier management. However, the Board
cent above the standard foreign rate retains the discretion to normalize
level. costs for strikes, mandatory aircraft
(4) For all bulk rates (GCR’s and groundings, and other occurrences not
SCR’s) in Canada/Mexico transborder solely due to management decisions.
markets, 10 percent above the standard (g) Definitions. For the purpose of this
foreign rate level for the Western section:
Hemisphere. (1) GCR means general commodity
(5) For all container rates, no max- rate.
imum level. (2) SCR means specific commodity
rate.
(d) Extraordinary circumstances. The
Board may suspend any tariff if it finds (3) Container rate means any rate spe-
that: cifically applicable to property ten-
dered to the carrier in a unit load de-
(1) The suspension is in the public in-
vise.
terest because of unreasonable regu-
latory action by a foreign government [PS–109, 48 FR 4279, Jan. 31, 1983]

493
§ 399.42 14 CFR Ch. II (1–1–19 Edition)

§ 399.42 Flight equipment depreciation aggregate of the domestic trunklines

and residual values. and local service carriers (computed on
For rate-making purposes, for air the same basis), a reasonable profit ele-
carriers receiving subsidy under sec- ment may be added which shall reflect
tion 406 of the Act, it is the policy of the additional risks of operations with
the Board that flight equipment depre- the leased aircraft, to the extent that
ciation will be based on the conven- such risks are not compensated by the
tional straight-line method of accrual, return on investment. Such profit ele-
employing the service lives and resid- ment would be determined by applying
ual values set forth below: the standard rate of return, less 6 per-
[In percent] centage points, to the value of the
leased aircraft, on a constructive de-
Service
life in Residual value as preciated basis, to the extent the ratio
percent of cost
years of such value to depreciated cost of
Turbofan equipment: owned aircraft plus the value of leased
4-engine ............................. 14 2 aircraft exceeds the average for the do-
3-engine ............................. 14 2 mestic air carriers. Rental cost plus al-
2-engine ............................. 14 2
Turbojet equipment: lowable profit, if any, will not be recog-
4-engine ............................. 10 5 nized in amounts exceeding deprecia-
2-engine ............................. 10 5 tion plus return on investment com-
Turboprop equipment:
4-engine ............................. 12 5 puted as if the aircraft had been pur-
2-engine ............................. 10 15 chased by the carrier.
Wide-body equipment:
4-engine ............................. 16 10 [PS–44, 36 FR 7229, Apr. 16, 1971]
3-engine ............................. 16 10
§ 399.44 Treatment of deferred Federal
[PS–54, 38 FR 24643, Sept. 10, 1973, as amended income taxes for rate purposes.
by PS–99, 45 FR 82625, Dec. 16, 1980]
For rate-making purposes other than
§ 399.43 Treatment of leased aircraft. the determination of subsidy under sec-
tion 406(b), it is the policy of the Board
In determining the appropriate treat- that Federal income tax expense
ment of leased aircraft for ratemaking should be based on the normal taxes
purposes, it is the Board’s policy to that would be paid under the deprecia-
recognize actual rental expenses. In un- tion standards used for rate making,
usual circumstances where the leased
and that accumulated reserves for de-
aircraft value (determined on a con-
ferred taxes should be excluded from
structive depreciated basis) in relation
the recognized capitalization for rate-
to net book value of owned aircraft op-
base purposes.
erated by the same air carrier is sig-
nificantly in excess of the ratio for the [PS–46, 36 FR 7232, Apr. 16, 1971]

EXAMPLE OF SIFL ADJUSTMENT

[Methodology for determining change in operating expense per available seat-mile]
[See footnotes at end of table]

Total pas-
Year ended September 1979 Trunks Locals Trunks plus senger/
locals cargo 16

Total operating expense 1 (millions) ...................................................... $16,455 $2,522 $18,977 $19,384

Less:
All-cargo expenses 2 ...................................................................... 269 .................... 269 269
Belly offset 3 ................................................................................... 952 153 1,105 1,153
Nonscheduled 4 .............................................................................. 141 46 187 205
Transport related 5 ......................................................................... 379 31 410 416
Plus: Capitalized lease adjustment 10 ................................................... 119 2 121 121
Passenger operating expense .............................................................. 14,833 2,294 17,127 17,462
Passenger fuel cost 11 ........................................................................... .................... .................... 4,103 N.A.
Scheduled service ASM’s (mils.) .......................................................... 281,671 33,051 314,722 318,459

Passenger nonfuel operating expense per ASM (dollars) .................... .................... .................... .04138 N.A.
Passenger fuel expense per ASM (dollars) .......................................... .................... .................... .01304 N.A.

494
Office of the Secretary, DOT Pt. 399, Subpt. C, Example
[Methodology for determining change in operating expense per available seat-mile]
[See footnotes at end of table]

Total pas-
Year ended September 1979 Trunks Locals Trunks plus senger/
locals cargo 16

Total passenger expense per ASM (dollars) .......................... .................... .................... .05442 .05483

Year ended September 1978

Total operating expense 1 (millions) ...................................................... 14,081 2,033 16,114 16,448

Less:
All-cargo expenses 2 ...................................................................... 282 .................... 282 282
Belly offset 3 ................................................................................... 869 152 1,021 1,065
Nonscheduled 4 .............................................................................. 193 53 246 256
Transport related 5 ......................................................................... 419 30 449 454
Plus: Capitalized lease adjustment 10 ................................................... 78 1 79 79
Passenger operating expense .............................................................. 12,396 1,799 14,195 14,470
Passenger fuel cost 11 ........................................................................... .................... .................... 3,129 N.A.
Scheduled service ASM’s (mils.) .......................................................... 262,068 27,067 289,135 292,255

Passenger nonfuel operating expense per ASM (dollars) .................... .................... .................... .03827 N.A.
Passenger fuel expense per ASM (dollars) .......................................... .................... .................... .01082 N.A.

Total passenger expense per ASM (dollars) .......................... .................... .................... .04909 .04951
Percent change in nonfuel operating expense per ASM (percent) ...... .................... .................... 8.13 N.A.
Projected change in nonfuel expense from April 1, 1979 to April 1,
1980 6 ................................................................................................. .................... .................... 8.13 N.A.
Estimated change in fuel cost, year ended September 1979 average
to April 1, 1980 14 .............................................................................. .................... .................... 73.06 N.A.

Nonfuel operating expense per ASM at April 1, 1980 7 (dollars) ......... .................... .................... .04474 N.A.
Fuel expense per ASM at April 1, 1980 7 (dollars) ............................... .................... .................... .02257 N.A.

Total expense per ASM at April 1, 1980 7 (dollars) ............... .................... .................... .06731 15 .06782

Year ended March 1977

Total operating expense 1 (millions) ...................................................... $11,726 $1,520 $13,316 $13,601

Less:
All-cargo expense 2 ........................................................................ 238 .................... 238 238
Belly offset 3 ................................................................................... 729 96 825 865
Nonscheduled 4 .............................................................................. 220 35 225 266
Transport related 5 ......................................................................... 427 111 538 554
Passenger operating expense .............................................................. 10,112 1,348 11,460 11,678
Passenger fuel cost .............................................................................. 2,190 230 2,420 N.A.
Scheduled service ASM’s (mils.) .......................................................... 239,593 23,428 263,021 265,837
Operating expense per ASM (dollars) .................................................. .04221 .05754 .04357 .04393
Projected expense per ASM (dollars) as at July 1, 1977 13 ................. .................... .................... .................... .04593
Projected operating expense per ASM as at April 1, 1980 (page 1)
(dollars) .............................................................................................. .................... .................... .................... .06782
Ceiling adjustment factor 8 (percent) ..................................................... .................... .................... .................... 47.66

D.P.F.I. formula effective July 15, 1977 12:

Terminal charge ............................................................................... $16.16
Plus ........................................................................................... .0884/mile (0–500 miles).
Plus ........................................................................................... .0674/mile (501–1,500 miles).
Plus ........................................................................................... .0648/mile (over 1,500 miles).
Ceiling formula through April 30, 1980 9:
Terminal charge ............................................................................... $23.86
Plus ........................................................................................... .1305/mile (0–500 miles).
Plus ........................................................................................... .0995/mile (501–1,500 miles).
Plus ........................................................................................... .0957/mile (over 1,500 miles).

1 Total operating expense for all operations and service (in millions).
2 Scheduled all-cargo operations expense.
3 Total scheduled-service cargo revenue, less scheduled all-cargo operations revenue, carried as a by-product in aircraft belly
compartments. Includes freight, express, priority and non-priority U.S. mail, and excess baggage.
4 Total non-scheduled revenues times 0.95, assuming charter operations would only be conducted at a profit.
5 Total transport-related expense, less any excess of expense over total transport-related revenues.
6 We here project costs from April 1, 1979 (the midpoint of the data year ended September 1979) to April 1, 1980 the resultant

increase factor effective through April 30, 1980.

7 Operating expense per ASM for year-ended September, 1979, times projected change.
8 Projected operating expense per ASM on April 1, 1980 divided by the operating expense as at July 1, 1977.
9 Adjustment results in a 2.5 percent increase in level over current January 1, 1980 factor.
10 Additional rental expense that would have been incurred had leases not been capitalized under FASB–13, less actual amor-
tization of capitalized lease expense.
11 Total fuel cost, scheduled service, times complement of rate of All-Cargo expense to total Operating Expense.
12 Order 77–7–26.

495
§ 399.60 14 CFR Ch. II (1–1–19 Edition)
13 Year ended March, 1977 cost per ASM, times cost escalation factor of 1.04543 (to July 5, 1977). See DPFI workpapers,

Y.E. March, 1977.

14 Estimated average cost per gallon for the trunk plus local service carriers at April 1, 1980, divided by the average for the

year ended September, 1979 (48.33¢).

15 Change in Trunks plus Locals cost per ASM as at April 1, 1980, to year ended September, 1979 times total Psgr/Cargo cost

for the year ended September, 1979.

16 Includes Alaskan, Hawaiian and other regional carriers.

[PS–92, 45 FR 24119, Apr. 9, 1980]

Subpart D [Reserved] (iii) The volume of traffic that might

be affected by the grant or denial of
the proposal;
Subpart E—Policies Relating to (iv) The period that has elapsed since
Hearing Matters the Board considered the service needs
of the places or areas involved; and
§ 399.60 Standards for determining
priorities of hearing. (v) The relative availability of nec-
essary staff members of the carriers,
(a) General. This policy statement de- communities and the Board, in the
scribes the general standards which light of other proceedings already in
will be used by the Board in deter- progress, to handle the processing of
mining the order in which it will des- the case.
ignate for hearing those matters on its
docket which are to be decided after Interested persons may urge upon the
notice and hearing. Among such mat- Board such considerations as they be-
ters are applications for certificates of lieve should lead it to accord a par-
public convenience and necessity or for ticular application a priority different
foreign air carrier permits; applica- from that which the Board has given it.
tions under section 408 of the Act for § 399.61 Presentations of public and
approval of consolidations or acquisi- civic bodies in route proceedings.
tions of control; complaint cases; and
For the purpose of implementing the
various rate-making proceedings.
Board’s policy to provide for the exclu-
(b) Standards. Matters will be as-
sion of irrelevant, immaterial, or un-
signed for hearing in accordance with
duly repetitious evidence and other-
the degree of relative priority which
wise to expedite route proceedings, and
each matter is entitled to on the basis
in light of experience, the following
of the comparative public interest in-
guidelines are hereby established:
volved therein. Among other things, (a) Public and civic bodies which rep-
the Board will take into account: resent the same geographic area or
(1) Statutory requirements for pref- community should consolidate their
erence or statutory limitations on the presentation of evidence, briefs or oral
time within which the Board shall act; argument to the examiner and the
(2) The impact of delay on the public Board;
or particular persons; (b) A public body or a civic organiza-
(3) The need for promptly securing tion, or several such bodies or organi-
compliance with the provisions of the zations whose presentation of evidence
Act; is consolidated, should keep to a min-
(4) The time for which the matter has imum the number of witnesses used to
already been pending and which would present the factual evidence in support
be required to dispose of it; of the community’s position;
(5) Whether the application requests (c) Exhibits offered in evidence by a
renewal of an existing temporary au- public body or civic organization
thorization; and should be limited to evidence of the
(6) In matters relating to operating economic characteristics of the com-
authority: munity and area involved, data as to
(i) Whether a proposal might reduce community of interest and traffic, evi-
subsidy or increase economy of oper- dence with respect to the sufficiency of
ations; existing service, and airport data, and
(ii) Whether an application proposes should not include data relating to
new service; number of electricity, water and gas

496
Office of the Secretary, DOT § 399.63
meters, telephones, schools, freight car terest, is to assure that essential evi-
loadings, building permits, sewer con- dence is introduced to resolve the pub-
nections, or volume of bank deposits in lic interest issues; that the evidence
the community. submitted by the parties is subject to
adversary testing, and that decisional
§ 399.62 Target dates in hearing cases.
options are developed with the public
(a) Applicability. This section applies interest in mind. In route cases des-
to initial and recommended decisions ignated by the Board that offer the op-
of administrative law judges, final de- portunity for developing new policies
cisions, and decisions on petitions for to adapt to the administration of the
review or reconsideration in cases in Federal Aviation Act or that raise un-
which the Board has ordered a trial-
usual evidentiary issues, a prehearing
type hearing before an administrative
presentation by staff of decisional op-
law judge.
(b) Issuance of target dates. In cases to tions will contribute to a better trial
which this section applies, the Board or record, be consistent with traditional
the administrative law judge, as the notions of fundamental fairness, better
situation calls for, shall issue a notice serve the Board’s decisionmaking needs
of the target date for the completion of and ultimately serve the public inter-
the initial or recommended decision, est. In any route case where the Board
final decision, or decision on a petition has not required the staff to partici-
for review or reconsideration. The pate by making a prehearing presen-
Board or the administrative law judge tation, the staff shall present a pre-
shall endeavor to render the pending hearing presentation of decisional op-
decision not later than the target date. tions if the administrative law judge
(c) Time for promulgating target dates. finds that there exists unusual policy
(1) In the case of initial, recommended, or evidentiary issues which clearly re-
or final decisions, notice of target quire such a presentation. We believe it
dates shall be issued, served, and filed is not desirable for the staff to advo-
within 20 days of the submission of cate the adoption of a single decisional
closing briefs, or the conclusion of oral
option at the outset of a case. Accord-
argument to the administrative law
ingly,
judge or the Board, as may be appro-
priate. (1) In route cases designated by the
(2) In the case of petitions for review Board that offer the opportunity for
or for reconsideration, notices of target developing new policies, the staff shall
dates shall be issued, served, and filed make a prehearing presentation of the
within 20 days of the date for the filing decisional options available, and de-
of answers: Provided, That, in the case scribe the kinds of evidence needed or
of petitions for reconsideration of available to develop each option. The
Board decisions awarding new route staff need not and should not be re-
authority, the Board shall, in lieu of quired to develop evidence on each op-
issuing individual target dates, endeav- tion. In every case, after the close of
or to render its decision no later than the hearing, however, the staff shall
the day preceding the effective date of advocate a position based upon one or
the new authority awarded. more of the decisional options identi-
[PS–71, 41 FR 41407, Sept. 22, 1976, as amended fied in its prehearing presentation or
by PS–73, 42 FR 21611, Apr. 28, 1977] developed at trial.
(2) In any route case in which the ad-
§ 399.63 Role of staff in route pro- ministrative law judge finds that there
ceedings. exists unusual policy or evidentiary
(a) General. This policy statement es- issues clearly requiring a prehearing
tablishes the standards applicable to presentation, the staff shall submit a
staff participation in oral hearing cases prehearing statement of the decisional
involving award of route authority. options available.
(b) Standards. The staff’s role during (3) To the extent possible, the Board,
such hearings, primarily because it in its instituting orders, will identify
acts in the broad public interest, and
or designate the cases which involve
not for a particular private or local in-

497
§ 399.70 14 CFR Ch. II (1–1–19 Edition)
the development of new policies or un- (a) Misrepresentations 1 which may
usual evidentiary issues that will re- induce members of the public to be-
quire the type of staff participation de- lieve that the ticket agent is an air
scribed in § 399.63(b)(1). carrier.
[PS–76, 43 FR 19354, May 5, 1978]
(b) Using or displaying or permitting
or suffering to be used or displayed the
name, trade name, slogan or any abbre-
Subpart F—Policies Relating to viation thereof, of the ticket agent, in
Rulemaking Proceedings advertisements, on or in places of busi-
ness, or on aircraft in connection with
§ 399.70 Cross-references to the Office the name of an air carrier with whom
of the Secretary’s Rulemaking Pro-
cedures. it does business, in such manner that it
may mislead or confuse the traveling
The rules and policies relating to the public with respect to the agency sta-
disposition of rulemaking petitions by tus of the ticket agent.
the Department of Transportation Of- (c) Misrepresentations as to the qual-
fice of the Secretary are located in its ity or kind of service, type or size of
rulemaking procedures contained in 49 aircraft, time of departure or arrival,
CFR part 5. The criteria for identifying points served, route to be flown, stops
significant rules and determining to be made, or total trip-time from
whether a regulatory analysis will be point of departure to destination.
performed are set forth in the Depart- (d) Misrepresentation as to qualifica-
ment’s Regulatory Policies and Proce- tions of pilots or safety record or cer-
dures, 44 FR 11034, February 26, 1979, tification of pilots, aircraft or air car-
and Executive Order 12866. riers.
[Doc. No. OST–96–1429, 61 FR 29019, June 7, (e) Misrepresentations that pas-
1996] sengers are directly insured when they
are not so insured; for example, where
§ 399.73 Definition of small business the only insurance in force is that pro-
for Regulatory Flexibility Act. tecting the air carrier in event of li-
For the purposes of the Department’s ability.
implementation of chapter 6 of title 5, (f) Misrepresentations as to fares and
United States Code (Regulatory Flexi- charges for air transportation or serv-
bility Act), a direct air carrier or for- ices in connection therewith.
eign air carrier is a small business if it (g) Misrepresentation that special
provides air transportation only with discounts or reductions are available,
small aircraft as defined in § 298.3 of when such discounts or reductions are
this chapter (up to 60 seats/18,000 pound not specific in the lawful tariffs of the
payload capacity). air carrier which is to perform the
[Doc. No. OST–96–1429, 61 FR 29019, June 7, transportation.
1996] (h) [Reserved]
(i) Misrepresentations that special
priorities for reservations are available
Subpart G—Policies Relating to when such special considerations are
Enforcement not in fact granted to members of the
§ 399.80 Unfair and deceptive practices public generally.
of ticket agents. (j) Selling air transportation to per-
sons on a reservation or charter basis
It is the policy of the Department to
for specified space, flight, or time, or
regard as an unfair or deceptive prac-
representing that such definite reserva-
tice or unfair method of competition
tion or charter is or will be available or
the practices enumerated in para-
has been arranged, without a binding
graphs (a) through (m) of this section
by a ticket agent of any size and the
1 The word ‘‘misrepresentation’’ used in
practice enumerated in paragraph (s)
by a ticket agent that sells air trans- this list includes any statement or represen-
tation made in advertising or made orally to
portation online and is not considered members of the public which is false, fraudu-
a small business under the Small Busi- lent, deceptive or misleading, or which has
ness Administration’s size standards the tendency or capacity to deceive or mis-
set forth in 13 CFR 121.201: lead.

498
Office of the Secretary, DOT § 399.82
commitment with an air carrier for the od of competition to use any figures
furnishing of such definite reservation purporting to reflect schedule or on-
or charter as represented or sold. time performance without indicating
(k) Selling or issuing tickets or other the basis of the calculation, the time
documents to passengers to be ex- period involved, and the pairs of points
changed or used for air transportation or the percentage of system-wide oper-
knowing or having reason to know or ations thereby represented and wheth-
believe that such tickets or other docu- er the figures include all scheduled
ments will not be or cannot be legally flights or only scheduled flights actu-
honored by air carriers for air trans- ally performed.
portation. (c) Chronically delayed flights. (1) This
(l) Failing or refusing to make proper section applies to any air carrier that
refunds promptly when service cannot is a ‘‘reporting carrier’’ as defined in
be performed as contracted or rep- Part 234 of Department regulations (14
resenting that such refunds are obtain- CFR Part 234).
able only at some other point, thus de- (2) For the purposes of this section, a
priving persons of the immediate use of chronically delayed flight means any
the money to arrange other transpor- domestic flight that is operated at
tation, or forcing them to suffer unnec- least 10 times a month, and arrives
essary inconveniences and delays or re- more than 30 minutes late (including
quiring them to accept transportation cancelled flights) more than 50 percent
at higher cost, or under less desirable of the time during that month.
circumstances, or on less desirable air- (3) For purposes of this paragraph,
craft than that represented at the time the Department considers all of a car-
of sale. rier’s flights that are operated in a
(m) Misrepresentations regarding the given city-pair market whose sched-
handling, forwarding or routing of bag- uled departure times are within 30 min-
gage or other property, or the loss or utes of the most frequently occurring
tracing thereof, or failing or refusing scheduled departure time to be one sin-
to honor proper claims for loss of or gle flight.
damage to baggage or other property. (4) The holding out of a chronically
(n) Misrepresentation as to the re- delayed flight for more than four con-
quirements that must be met by per- secutive one-month periods represents
sons or organizations in order to qual- one form of unrealistic scheduling and
ify for charter or group fare flights. is an unfair or deceptive practice and
(o)–(r) [Reserved] an unfair method of competition with-
(s) Failing to disclose and offer Web- in the meaning of 49 U.S.C. 41712.
based discount fares on or after June [Doc. No. DOT–OST–2007–0022, 74 FR 69003,
10, 2014, to prospective passengers who Dec. 30, 2009]
contact the agent through other chan-
nels (e.g., by telephone or in the § 399.82 Passing off of carrier identity
agent’s place of business) and indicate by affiliation between carriers.
they are unable to use the agent’s Web (a) Applicability. This policy shall
site due to a disability. apply to proceedings in which the
[PS–21, 29 FR 1446, Jan. 29, 1964, as amended Board, in exercising its regulatory
at 78 FR 67916, Nov. 12, 2013; Docket No. powers with respect to air carriers and
DOT–OST–2014–0056, 81 FR 76829, Nov. 3, 2016] foreign air carriers, is required to de-
termine whether carriers have engaged
§ 399.81 Unrealistic or deceptive in unfair or deceptive practices, or un-
scheduling. fair methods of competition. The
(a) The unrealistic scheduling of standards herein shall not be construed
flights by any air carrier providing to supersede any action previously
scheduled passenger air transportation taken by the Board in a particular pro-
is an unfair or deceptive practice and ceeding dealing with the subject mat-
an unfair method of competition with- ter of this statement, but to the extent
in the meaning of 49 U.S.C. 41712. not inconsistent therewith shall pro-
(b) With respect to the advertising of vide standards which supplement, or
schedule performance, it is an unfair or implement such specific Board action.
deceptive practice and an unfair meth- The limitation of this policy statement

499
§ 399.82 14 CFR Ch. II (1–1–19 Edition)
to certain affiliated carriers should not tend to pass off the services of one car-
be construed as an indication that the rier as the services of the other carrier
Board will permit other carriers to or as part of a unified system of which
pass off by means of activities which each is a part;
are inconsistent with the minimum (2) Where one affiliated carrier pro-
safeguards set forth in paragraph (c) of vides general agency services for the
this section. In such cases the Board other carrier, at points served by both
may determine in an adjudicatory pro- carriers, it shall specifically identify
ceeding that the activities engaged in all flights of the other carrier as flights
have a tendency to pass off and con- of that carrier without reference to
stitute an unfair or deceptive practice any relationship to the carrier per-
or an unfair method of competition. forming the agency services;
(b) Definition. For the purpose of this (3) All forms of display (including
statement, the term affiliation, as be- aircraft insignia), scheduled publica-
tween an air carrier and a foreign air tions, advertising, or printed matter
carrier, shall mean that one of the car- employed by affiliated carriers shall
riers directly or indirectly has one of not state or imply that the services of
the following relationships to the either carrier are performed in com-
other: mon with the other carrier or as part
(1) Owns or controls 10 percent or of a single system. In cases where it is
more of the securities of the other, necessary to indicate that any agency
with or without an accompanying service is performed by one affiliated
power to vote; carrier for the other, the references to
(2) Is in control of the other within the carrier performing the agency
the meaning of section 408 of the Act; should be sufficiently subordinated to
(3) Has any of the interlocking rela- the name of the other carrier as to em-
tionships described in section 409 of the phasize the limited role of the agent;
Act; (4) Telephone facilities at points
(4) Is jointly controlled with the served by both carriers should preserve
other carrier, directly or indirectly by the identity of the individual carriers;
a third person; (5) Where joint traffic or sales facili-
(5) Provides general agency services ties are maintained by affiliated car-
for the other carrier. riers, the separate identity of each car-
For the purpose of this statement, gen- rier should be maintained by reason-
eral agency services shall mean services ably comparable use of display adver-
performed under an agreement between tising, desk-space, personnel uniforms,
an air carrier and a foreign air carrier and other facilities and activities;
which provides for the general rep- (6) Where one carrier sells time pay-
resentation of one by the other in a ment tickets for travel over the other
specified area or point, in relation to carrier (except interline travel), the
services such as the following: Solicita- application form should identify the
tion and sale of passenger, express, and carrier performing the transportation;
cargo transportation; airport transpor- (7) The respective personnel of the af-
tation and hotel accommodations; filiated carriers shall preserve the indi-
local advertising and publicity, local vidual identity of the respective car-
sales offices; passenger services; local riers in all public dealings.
government representation; purchase, (d) Unfair and deceptive practice. It is
lease or other acquisition of equip- the policy of the Board to regard any
ment; or aircraft and transit services, joint activity of an affiliated air car-
aircraft inspection, aircraft dispatch. rier and a foreign air carrier as an un-
(c) Minimum safeguards. The min- fair or deceptive practice or unfair
imum safeguards which the Board will method of competition where such
consider as adequate to foreclose pass- joint activity does not satisfy the min-
ing off by affiliated carriers are as fol- imum safeguards enumerated in the
lows: preceding subsection.
(1) An air carrier and any affiliated (e) Exceptions. Exceptions to a safe-
foreign air carrier shall not engage in guard set forth in paragraph (c) of this
joint public relations activities at section may be recognized for activi-
points served by both carriers which ties in a foreign country if the Board

500
Office of the Secretary, DOT § 399.85
finds that special circumstances per- same or larger size as the total price,
taining to the country render the safe- and must provide cost information on a
guard inappropriate. Exceptions on per passenger basis that accurately re-
other grounds may be recognized pur- flects the cost of the item covered by
suant to § 399.4. the charge.
[PS–29, 30 FR 13781, Oct. 29, 1965]
(b) The Department considers any ad-
vertising by the entities listed in para-
§ 399.83 Unfair or deceptive practice of graph (a) of this section of an each-way
air carrier, foreign air carrier, or airfare that is available only when pur-
ticket agent in orally confirming to chased for round-trip travel to be an
prospective passenger reserved unfair and deceptive practice in viola-
space on scheduled flights. tion of 49 U.S.C. 41712, unless such air-
It is the policy of the Board to con- fare is advertised as ‘‘each way’’ and in
sider the practice of an air carrier, for- such a manner so that the disclosure of
eign air carrier, or ticket agent, of the round-trip purchase requirement is
stating to a prospective passenger by clearly and conspicuously noted in the
telephone or other means of commu- advertisement and is stated promi-
nication that a reservation of space on nently and proximately to the each-
a scheduled flight in air transportation way fare amount. The Department con-
is confirmed before a passenger has re- siders it to be an unfair and deceptive
ceived a ticket specifying thereon his practice to advertise each-way fares
confirmed reserved space, to be an un- contingent on a round-trip purchase re-
fair or deceptive practice and an unfair quirement as ‘‘one-way’’ fares, even if
method of competition in air transpor- accompanied by prominent and proxi-
tation or the sale thereof within the mate disclosure of the round trip pur-
meaning of section 411 of the Act, un- chase requirement.
less the tariff of the particular air car- (c) When offering a ticket for pur-
rier or foreign air carrier provides for chase by a consumer, for passenger air
confirmation of reserved space by the transportation or for a tour (i.e., a
means so used. combination of air transportation and
ground or cruise accommodations) or
[PS–58, 39 FR 38096, Oct. 29, 1974]
tour component (e.g., a hotel stay) that
§ 399.84 Price advertising and opt-out must be purchased with air transpor-
provisions. tation, a direct air carrier, indirect air
carrier, an agent of either, or a ticket
(a) The Department considers any ad-
agent, may not offer additional op-
vertising or solicitation by a direct air
tional services in connection with air
carrier, indirect air carrier, an agent of
transportation, a tour, or tour compo-
either, or a ticket agent, for passenger
nent whereby the optional service is
air transportation, a tour (i.e., a com-
automatically added to the consumer’s
bination of air transportation and
purchase if the consumer takes no
ground or cruise accommodations) or
other action, i.e., if the consumer does
tour component (e.g., a hotel stay) that
not opt out. The consumer must af-
must be purchased with air transpor-
firmatively ‘‘opt in’’ (i.e., agree) to
tation that states a price for such air
such a service and the fee for it before
transportation, tour, or tour compo-
that fee is added to the total price for
nent to be an unfair and deceptive
the air transportation-related pur-
practice in violation of 49 U.S.C. 41712,
chase. The Department considers the
unless the price stated is the entire
use of ‘‘opt-out’’ provisions to be an
price to be paid by the customer to the
unfair and deceptive practice in viola-
carrier, or agent, for such air transpor-
tion of 49 U.S.C. 41712.
tation, tour, or tour component. Al-
though charges included within the [76 FR 23166, Apr. 25, 2011]
single total price listed (e.g., govern-
ment taxes) may be stated separately § 399.85 Notice of baggage fees and
or through links or ‘‘pop ups’’ on other fees.
websites that display the total price, (a) If a U. S. or foreign air carrier has
such charges may not be false or mis- a website accessible for ticket pur-
leading, may not be displayed promi- chases by the general public in the
nently, may not be presented in the U.S., the carrier must promptly and

501
§ 399.85 14 CFR Ch. II (1–1–19 Edition)
prominently disclose any increase in early purchase, and so forth) that af-
its fee for carry-on or first and second fect those charges.
checked bags and any change in the (d) If a U.S. or foreign air carrier has
first and second checked bags or carry- a website marketed to U.S. consumers
on allowance for a passenger on the where it advertises or sells air trans-
homepage of that website (e.g., provide portation, the carrier must promi-
a link that says ‘‘changed bag rules’’ or nently disclose on its website informa-
similarly descriptive language and tion on fees for all optional services
takes the consumer from the homepage that are available to a passenger pur-
directly to a pop-up or a place on an- chasing air transportation. Such dis-
other webpage that details the change closure must be clear, with a con-
in baggage allowance or fees and the spicuous link from the carrier’s home-
effective dates of such changes). Such page directly to a page or a place on a
notice must remain on the homepage page where all such optional services
and related fees are disclosed. For pur-
for at least three months after the
poses of this section, the term ‘‘op-
change becomes effective.
tional services’’ is defined as any serv-
(b) If a U.S. carrier, a foreign air car- ice the airline provides, for a fee, be-
rier, an agent of either, or a ticket yond passenger air transportation.
agent has a website accessible for tick- Such fees include, but are not limited
et purchases by the general public in to, charges for checked or carry-on
the U.S., the carrier or agent must baggage, advance seat selection, in-
clearly and prominently disclose on the flight beverages, snacks and meals, pil-
first screen in which the agent or car- lows and blankets and seat upgrades.
rier offers a fare quotation for a spe- In general, fees for particular services
cific itinerary selected by a consumer may be expressed as a range; however,
that additional airline fees for baggage baggage fees must be expressed as spe-
may apply and where consumers can cific charges taking into account any
see these baggage fees. An agent may factors (e.g., frequent flyer status,
refer consumers to the airline websites early purchase, and so forth) that af-
where specific baggage fee information fect those charges.
may be obtained or to its own site if it (e) For air transportation within, to
displays airlines’ baggage fees. or from the United States, a carrier
(c) On all e-ticket confirmations for marketing a flight under its identity
air transportation within, to or from that is operated by a different carrier,
the United States, including the sum- otherwise known as a code-share flight,
mary page at the completion of an on- must through its website disclose to
line purchase and a post-purchase consumers booked on a code-share
email confirmation, a U.S. carrier, a flight any differences between its op-
foreign air carrier, an agent of either, tional services and related fees and
or a ticket agent that advertises or those of the carrier operating the
sells air transportation in the United flight. This disclosure may be made
States must include information re- through a conspicuous notice of the ex-
garding the passenger’s free baggage istence of such differences on the mar-
allowance and/or the applicable fee for keting carrier’s website or a con-
a carry-on bag and the first and second spicuous hyperlink taking the reader
checked bag. Carriers must provide directly to the operating carrier’s fee
this information in text form in the e- listing or to a page on the marketing
ticket confirmation. Agents may pro- carrier’s website that lists the dif-
vide this information in text form in ferences in policies among code-share
the e-ticket confirmations or through a partners.
hyperlink to the specific location on (f) The Department considers the
airline websites or their own website failure to give the appropriate notice
where this information is displayed. described in paragraphs (a) through (e)
The fee information provided for a of this section to be an unfair and de-
carry-on bag and the first and second ceptive practice within the meaning of
checked bag must be expressed as spe- 49 U.S.C. 41712.
cific charges taking into account any [Doc. No. DOT–OST–2010–0140, 76 FR 23166,
factors (e.g., frequent flyer status, Apr. 25, 2011]

502
Office of the Secretary, DOT § 399.89

§ 399.86 Payments for non-air trans- States or a tour (i.e., a combination of

portation services for air cargo. air transportation and ground or cruise
The Board considers that payments accommodations), or tour component
by air carriers and foreign air carriers (e.g., a hotel stay) that includes sched-
to shippers, indirect air carriers, or for- uled air transportation within, to or
eign indirect air carriers for non-air from the United States, must notify a
transportation preparation of air cargo consumer of the potential for a post-
shipments are for services ancillary to purchase price increase due to an in-
the air transportation, and are not pro- crease in a government-imposed tax or
hibited under section 403 of the Act. fee and must obtain the consumer’s
[PS–86, 44 FR 45609, Aug. 3, 1979] written consent to the potential for
such an increase prior to purchase of
§ 399.87 Baggage allowances and fees. the scheduled air transportation, tour
For passengers whose ultimate or tour component that includes sched-
ticketed origin or destination is a U.S. uled air transportation. Imposition of
point, U.S. and foreign carriers must any such increase without providing
apply the baggage allowances and fees the consumer the appropriate notice
that apply at the beginning of a pas- and without obtaining his or her writ-
senger’s itinerary throughout his or ten consent of the potential increase
her entire itinerary. In the case of constitutes an unfair and deceptive
code-share flights that form part of an practice within the meaning of 49
itinerary whose ultimate ticketed ori- U.S.C. 41712.
gin or destination is a U.S. point, U.S.
and foreign carriers must apply the [Doc. No. DOT–OST–2010–0140, 76 FR 23167,
Apr. 25, 2011]
baggage allowances and fees of the
marketing carrier throughout the § 399.89 Disclosure of potential for
itinerary to the extent that they differ price increase before payment.
from those of any operating carrier.
Any seller of scheduled air transpor-
[Doc. No. DOT–OST–2010–0140, 76 FR 23167,
tation within, to or from the United
Apr. 25, 2011]
States, or of a tour (i.e., a combination
§ 399.88 Prohibition on post-purchase of air transportation and ground or
price increase. cruise accommodations), or tour com-
(a) It is an unfair and deceptive prac- ponent (e.g., a hotel stay) that includes
tice within the meaning of 49 U.S.C. scheduled air transportation within, to
41712 for any seller of scheduled air or from the United States, must notify
transportation within, to or from the a consumer of the potential for a price
United States, or of a tour (i.e., a com- increase that could take place prior to
bination of air transportation and the time that the full amount agreed
ground or cruise accommodations), or upon has been paid by the consumer,
tour component (e.g., a hotel stay) that including but not limited to an in-
includes scheduled air transportation crease in the price of the seat, an in-
within, to or from the United States, crease in the price for the carriage of
to increase the price of that air trans- passenger baggage, an increase in an
portation, tour or tour component to a applicable fuel surcharge, or an in-
consumer, including but not limited to crease in a government-imposed tax or
an increase in the price of the seat, an fee and must obtain the consumer’s
increase in the price for the carriage of written consent to the potential for
passenger baggage, or an increase in an such an increase prior to accepting any
applicable fuel surcharge, after the air payment for the scheduled air trans-
transportation has been purchased by
portation, or tour or tour component
the consumer, except in the case of an
that includes scheduled air transpor-
increase in a government-imposed tax
tation. Imposition of any such increase
or fee. A purchase is deemed to have
occurred when the full amount agreed without providing the consumer the
upon has been paid by the consumer. appropriate notice and obtaining his or
(b) A seller of scheduled air transpor-
tation within, to or from the United

503
§ 399.91 14 CFR Ch. II (1–1–19 Edition)
her written consent to the potential in- national interest objective of the
crease constitutes an unfair and decep- United States, weight should be given
tive practice within the meaning of 49 to any evidence that an award of the
U.S.C. 41712. contract to the route carrier as op-
[Doc. No. DOT–OST–2010–0140, 76 FR 23167, posed to any other U.S. carrier would
Apr. 25, 2011] be held to achieve this objective.
(3) An air carrier performing a tech-
nical assistance contract will nec-
Subpart H—Other Policies Relating essarily occupy a close special rela-
to Interests, Activities, and Re- tionship with the airline and govern-
lationships of Air Carriers ment of the recipient country. Over
§ 399.91 Air carrier participation in and above the terms of any specific
programs of technical assistance to contract, there is latent in such rela-
airlines of less developed countries. tionship the possibility of a relative
preference for such carrier over a com-
(a) Applicability. This policy shall
peting U.S. air carrier in matters of
apply to proceedings under sections
408, 409, and 412 of the Act in which the interline traffic, governmental restric-
Board is required to make any deter- tions, etc. Accordingly, where more
mination as to the public interest or than one U.S. route carrier is certifi-
consistency with the Act of any agree- cated to serve the recipient country
ment or relationship sought to be en- and more than one such carrier wishes
tered into by an air carrier, or officer to perform the technical assistance,
or director thereof, with a foreign air- none of such carriers should be award-
line in connection with the perform- ed the contract over the objection of
ance of some activity pursuant to a any other except under very unusual
technical assistance contract financed circumstances.
by an agency of the U.S. Government. (4) Technical assistance contracts
(b) Policy. It is the policy of the should contain realistic objectives and
Board that all U.S. air carriers inter- require competent performance at rea-
ested in performing contracts for avia- sonable cost and within a reasonable
tion technical assistance to foreign air- period of time consistent with the abil-
lines should have equal access to infor- ity of the foreign airline to become
mation necessary to bid on such con- self-sufficient.
tracts, and should be given equal con- (5) Technical assistance contracts
sideration thereafter in the award of should not be awarded to a U.S. route
such contracts based upon customary carrier with major economic interests
contracting criteria and subject to the hostile to those of the U.S. route car-
considerations set forth below: rier serving the country.
(1) The air carrier selected should (6) Technical assistance contracts
possess the necessary technical and should not be awarded to subsidized
managerial skills and economic carriers except under special cir-
strength to perform the assigned task cumstances. Such circumstances
in the recipient country to the credit should include at least a showing (i)
of the United States. Where familiarity that the subsidized carrier has special
with the particular language and cul- qualifications, the utilization of which
ture of the recipient country are im- is required in the national interest by
portant to the success of the project, the circumstances of a particular pro-
weight should be given to the capabili- gram, and (ii) that performance of the
ties of all interested carriers in this re- contract will not interfere with the pri-
gard, including particularly those mary business of the subsidized carrier
which a route carrier may have ac- which is to provide air transportation
quired through service to the country in the United States. In the latter con-
or area. nection, it is to be recognized that par-
(2) Where a single U.S. route carrier ticipation with maximum effectiveness
is serving or is certificated to serve the in a technical assistance program
recipient country or the region in would not only divert the attention of
which it is located, and where initi- top management from certificated
ation or continued operation of the services but might also involve the as-
route by such carrier is an important signment of the most competent senior

504
Office of the Secretary, DOT § 399.111
operational and technical personnel, tion in accordance with Board proce-
the diversion of funds at least on a dures. Where the Board is required to
short-term basis, and the possible withhold portions of the text of its de-
transfer from certificated services of cision it shall make public those por-
aircraft and related equipment. Nor- tions of its decision which may be pub-
mally, therefore, unless substantial licly released. Where the Board is re-
evidence and arguments are produced quired to withhold public release of its
to the contrary, participation by sub- decision in its entirety it shall none-
sidized carriers in technical assistance theless publicly indicate that its deci-
programs will be considered incon- sion has been transmitted to the Presi-
sistent with the public interest. dent. The Board shall not publicly indi-
[PS–22, 29 FR 5788, May 1, 1964] cate that its decision has been trans-
mitted to the President in those cases
in which the Assistant to the President
Subpart I—Policies Relating to for National Security Affairs or his
Disclosure of Information designee determines that classification
§ 399.101 Public release of Board deci- of the existence of the decision is ap-
sions in cases where the action of propriate and so informs the Board.
the Board is subject to the review The provisions are also applicable to
or approval of the President. decisions submitted to the President
(a) By Executive Order 11920, 41 FR for review pursuant to section 801(b) of
23665 (June 11, 1976), effective July 11, the Act.
1976, the President has authorized the [PS–72, 41 FR 46291, Oct. 20, 1976]
issuance for public inspection of deci-
sions by the Board in cases where the
action of the Board is subject to the re-
Subpart J—Policies Relating to
view or approval of the President in ac- Federal Preemption of State
cordance with section 801 of the Fed- Economic Regulations
eral Aviation Act. In the interest of na-
tional security, and in order to allow AUTHORITY: Secs. 102, 105, 204, 401, 403, and
for consideration of appropriate action 416 of the Federal Aviation Act of 1958, as
under Executive Order 11652, Executive amended; 72 Stat. 740, 743, 754, 758, 771; 49
Order 11920 provides that decisions U.S.C. 1302, 1305, 1324, 1371, 1373, and 1386.
shall be withheld from public disclo- SOURCE: PS–83, 44 FR 9951, Feb. 15, 1979, un-
sure for five days after submission to less otherwise noted.
the President but may be released on
or after the sixth day following receipt § 399.111 All operations of federally
by the President as to all unclassified authorized carriers to be regulated
by the Board.
portions of the text if the Board is not
notified by the Assistant to the Presi- (a) All operations of Federally au-
dent for National Security Affairs or thorized carriers are subject to the re-
his designee that all or part of the deci- quirements of Title IV of the Act, in-
sion shall be withheld from public dis- cluding certification and tariff-filing
closure. requirements, unless otherwise ex-
(b) It is the policy of the Board to re- empted from one or more of those re-
lease to the public all decisions by the quirements by Board order or regula-
Board in section 801 cases as promptly tion.
as possible following submission of (b) When any intrastate air carrier
such decision to the President. Upon that in August 1, 1977, was operating
receipt of notice by the Assistant to primarily in intrastate air transpor-
the President for National Security Af- tation regulated by a State receives
fairs as required by the Executive the authority to provide interstate air
Order, the Board shall promptly pro- transportation, any authority received
vide one copy for public inspection in from such State shall be considered to
the Docket Section and one copy for be part of its authority to provide air
public inspection and copying in the transportation received from the Board
Public Reference Room, and shall under Title IV of the Act, until sus-
promptly thereafter print and process pended, amended, or terminated as pro-
the decision for more general distribu- vided under such title.

505
§ 399.120 14 CFR Ch. II (1–1–19 Edition)

Subpart K—Policies Relating to awarded in the form of experimental

Certificate Duration certificates of five years’ duration pur-
suant to section 401(d)(8) of the Federal
§ 399.120 Duration of certificates in Aviation Act. This provision does not
limited-entry markets. alter or amend permanent certificates
All certificate authority that the De- issued prior to January 1, 1985.
partment grants to U.S. air carriers in [Doc. No. 43403, 51 FR 43188, Dec. 1, 1986]
carrier selection proceedings will be

506
 CHAPTER III—COMMERCIAL SPACE
TRANSPORTATION, FEDERAL AVIATION
ADMINISTRATION, DEPARTMENT OF
TRANSPORTATION

SUBCHAPTER A—GENERAL

Part Page
400 Basis and scope ........................................................................ 509
401 Organization and definitions .................................... 509
SUBCHAPTER B—PROCEDURE

404 Petition and rulemaking procedures ....................... 515

405 Compliance and enforcement .................................. 516
406 Investigations, enforcement, and administrative
review ................................................................... 517
SUBCHAPTER C—LICENSING

411 [Reserved]
413 License application procedures ............................... 540
414 Safety approvals ..................................................... 544
415 Launch license ........................................................ 550
417 Launch safety .......................................................... 567
418–419 [Reserved]
420 License to operate a launch site ............................. 823
421–430 [Reserved]
431 Launch and reentry of a reusable launch vehicle
(RLV) ................................................................... 876
432 [Reserved]
433 License to operate a reentry site ............................ 889
434 [Reserved]
435 Reentry of a reentry vehicle other than a reusable
launch vehicle (RLV) ........................................... 889
436 [Reserved]
437 Experimental permits ............................................. 892
438–439 [Reserved]
440 Financial responsibility .......................................... 900
507
 14 CFR Ch. III (1–1–19 Edition)

Part Page
441–459 [Reserved]
460 Human space flight requirements ................................................933
461–1199 [Reserved]

508
 SUBCHAPTER A—GENERAL

PART 400—BASIS AND SCOPE (ii) Have a minimum safety factor of

3.0 for yield stress and 5.0 for ultimate
Sec. stress.
400.1 Basis. (iii) Constrain the launch vehicle
400.2 Scope. within 75 feet above ground level as
measured from the ground to the at-
AUTHORITY: 51 U.S.C. 50901–50923.
tachment point of the vehicle to the
SOURCE: Docket No. 43810, 53 FR 11013, Apr. tether.
4, 1988, unless otherwise noted.
(iv) Display no damage prior to the
§ 400.1 Basis. launch.
(v) Be insulated or located such that
The basis for the regulations in this it will not experience thermal damage
chapter is the Commercial Space due to the launch vehicle’s exhaust.
Launch Act of 1984, and applicable (3) Separation distances. The launch
treaties and international agreements
operator must separate its launch from
to which the United States is party.
the public and the property of the pub-
§ 400.2 Scope. lic by a distance no less than that pro-
vided for each quantity of propellant
The regulations in this chapter set listed in Table A of this section.
forth the procedures and requirements
applicable to the authorization and su- TABLE A—SEPARATION DISTANCES FOR
pervision under 51 U.S.C. subtitle V, TETHERED LAUNCHES
chapter 509, of commercial space trans-
portation activities conducted in the Distance (ft.)
of the public
United States or by a U.S. citizen. The Propellant carried and property
regulations in this chapter do not (lbs.) of the public
from the
apply to— launch point
(a) Space activities carried out by
the United States Government on be- 1–500 ............................................................. 900
501–1,000 ...................................................... 1,200
half of the United States Government; 1001–1,500 .................................................... 1,350
(b) The launch of an amateur rocket 1,501–2,000 ................................................... 1,450
as defined in § 1.1 of chapter I of this 2,001–2,500 ................................................... 1,550
title; or 2,501–3,000 ................................................... 1,600
(c) A launch of a tethered launch ve- 3,001–3,500 ................................................... 1,650
3,501–4,000 ................................................... 1,700
hicle that meets all the following cri- 4,001–4,500 ................................................... 1,750
teria: 4,501–5,000 ................................................... 1,800
(1) Launch vehicle. The launch vehicle
must—
[Doc. No. FAA–2012–0045, 80 FR 31834, June 4,
(i) Be unmanned; 2015]
(ii) Be powered by a liquid or hybrid
rocket motor;
(iii) Not use any of the toxic propel-
PART 401—ORGANIZATION AND
lants of Table I417–2 and Table I417–3 in DEFINITIONS
Appendix I of part 417 of this chapter;
and Sec.
(iv) Carry no more than 5,000 pounds 401.1 The Office of Commercial Space
Transportation.
of propellant.
401.3 The Associate Administrator for Com-
(2) Tether system. The tether system mercial Space Transportation.
must— 401.5 Definitions.
(i) Not yield or fail under—
(A) The maximum dynamic load on AUTHORITY: 51 U.S.C. 50101–50923.
the system; or SOURCE: Docket No. 43810, 53 FR 11013, Apr.
(B) A load equivalent to two times 4, 1988, unless otherwise noted.
the maximum potential engine thrust.

509
§ 401.1 14 CFR Ch. III (1–1–19 Edition)

§ 401.1 The Office of Commercial tivities in the course of that employ-

Space Transportation. ment or contract directly relating to
The Office of Commercial Space the launch, reentry, or other operation
Transportation, referred to in these of or in a launch vehicle or reentry ve-
regulations as the ‘‘Office,’’ is a line of hicle that carries human beings. A
business within the Federal Aviation crew consists of flight crew and any re-
Administration and is located in the mote operator.
Federal Aviation Administration Head- Emergency abort means cessation of
quarters, 800 Independence Avenue, vehicle flight during ascent or descent
SW., Room 331, Washington, DC 20591. in a manner that minimizes risk to
public health and safety and the safety
[Amdt. 401–3, 68 FR 35289, June 13, 2003]
of property. Emergency abort involves
§ 401.3 The Associate Administrator failure of a vehicle, safety-critical sys-
for Commercial Space Transpor- tem, or flight safety system such that
tation. contingency abort is not possible.
The Office is headed by an Associate Equivalent level of safety means an
Administrator to exercise the Sec- approximately equal level of safety as
retary’s authority to license or permit determined by qualitative or quan-
and otherwise regulate commercial titative means.
space transportation and to discharge Expendable launch vehicle means a
the Secretary’s responsibility to en- launch vehicle whose propulsive stages
courage, facilitate, and promote com- are flown only once.
mercial space transportation by the Experimental permit or permit means
United States private sector. an authorization by the FAA to a per-
son to launch or reenter a reusable sub-
[Doc. No. FAA–2006–24197, 72 FR 17016, Apr. 6,
orbital rocket.
2007]
Federal launch range means a launch
§ 401.5 Definitions. site, from which launches routinely
take place, that is owned and operated
As used in this chapter—
by the government of the United
Act means 51 U.S.C Subtitle V, Pro-
States.
grams Targeting Commercial Opportu-
nities, chapter 509—Commercial Space Flight crew means crew that is on
Launch Activities, 51 U.S.C. 50901–50923. board a vehicle during a launch or re-
Associate Administrator means the As- entry.
sociate Administrator for Commercial Flight safety system means a system
Space Transportation, Federal Avia- designed to limit or restrict the haz-
tion Administration, or any person des- ards to public health and safety and
ignated by the Associate Adminis- the safety of property presented by a
trator to exercise the authority or dis- launch vehicle or reentry vehicle while
charge the responsibilities of the Asso- in flight by initiating and accom-
ciate Administrator. plishing a controlled ending to vehicle
Casualty means serious injury or flight. A flight safety system may be
death. destructive resulting in intentional
Contingency abort means cessation of break up of a vehicle or non-
vehicle flight during ascent or descent destructive, such as engine thrust ter-
in a manner that does not jeopardize mination enabling vehicle landing or
public health and safety and the safety safe abort capability.
of property, in accordance with mission Hazardous materials means hazardous
rules and procedures. Contingency materials as defined in 49 CFR 172.101.
abort includes landing at an alter- Human space flight incident means an
native location that has been des- unplanned event that poses a high risk
ignated as a contingency abort loca- of causing a serious or fatal injury to a
tion in advance of vehicle flight. space flight participant or crew.
Crew means any employee or inde- Instantaneous impact point means an
pendent contractor of a licensee, trans- impact point, following thrust termi-
feree, or permittee, or of a contractor nation of a launch vehicle, calculated
or subcontractor of a licensee, trans- in the absence of atmospheric drag ef-
feree, or permittee, who performs ac- fects.

510
Commercial Space Transportation, FAA, DOT § 401.5
Launch means to place or try to cle, its payload or any component
place a launch vehicle or reentry vehi- thereof:
cle and any payload from Earth in a (i) For an expendable launch vehicle,
suborbital trajectory, in Earth orbit in outside designated impact limit lines;
outer space, or otherwise in outer and
space, and includes preparing a launch (ii) For a reusable launch vehicle,
vehicle for flight at a launch site in the outside a designated landing site.
United States. Launch includes the (4) For a launch that takes place
flight of a launch vehicle and includes with a person on board, a fatality or se-
pre- and post-flight ground operations rious injury to a space flight partici-
as follows: pant or crew member.
(1) Beginning of launch. (i) Under a li- Launch incident means an unplanned
cense, launch begins with the arrival of event during the flight of a launch ve-
a launch vehicle or payload at a U.S. hicle, other than a launch accident, in-
launch site. volving a malfunction of a flight safety
(ii) Under a permit, launch begins system or safety-critical system, or a
when any pre-flight ground operation failure of the licensee’s or permittee’s
at a U.S. launch site meets all of the safety organization, design, or oper-
following criteria: ations.
(A) Is closely proximate in time to
Launch operator means a person who
flight,
conducts or who will conduct the
(B) Entails critical steps preparatory
launch of a launch vehicle and any pay-
to initiating flight,
load.
(C) Is unique to space launch, and
(D) Is inherently so hazardous as to Launch site means the location on
warrant the FAA’s regulatory over- Earth from which a launch takes place
sight. (as defined in a license the Secretary
(2) End of launch. (i) For launch of an issues or transfers under this chapter)
orbital expendable launch vehicle and necessary facilities at that loca-
(ELV), launch ends after the licensee’s tion.
last exercise of control over its launch Launch site safety assessment means
vehicle. an FAA assessment of a Federal launch
(ii) For launch of an orbital reusable range to determine if the range meets
launch vehicle (RLV) with a payload, FAA safety requirements. A difference
launch ends after deployment of the between range practice and FAA re-
payload. For any other orbital RLV, quirements is documented in the
launch ends upon completion of the LSSA.
first sustained, steady-state orbit of an Launch vehicle means a vehicle built
RLV at its intended location. to operate in, or place a payload in,
(iii) For a suborbital ELV or RLV outer space or a suborbital rocket.
launch, launch ends after reaching apo- Mishap means a launch or reentry ac-
gee if the flight includes a reentry, or cident, launch or reentry incident,
otherwise after vehicle landing or im- launch site accident, failure to com-
pact on Earth, and after activities nec- plete a launch or reentry as planned, or
essary to return the vehicle to a safe an unplanned event or series of events
condition on the ground. resulting in a fatality or serious injury
Launch accident means (as defined in 49 CFR 830.2), or result-
(1) An event that causes a fatality or ing in greater than $25,000 worth of
serious injury (as defined in 49 CFR damage to a payload, a launch or re-
830.2) to any person who is not associ- entry vehicle, a launch or reentry sup-
ated with the flight; port facility or government property
(2) An event that causes damage esti- located on the launch or reentry site.
mated to exceed $25,000 to property not Nominal means, in reference to
associated with the flight that is not launch vehicle performance, trajec-
located at the launch site or designated tory, or stage impact point, a launch
recovery area; vehicle flight where all vehicle aero-
(3) An unplanned event occurring dynamic parameters are as expected,
during the flight of a launch vehicle re- all vehicle internal and external sys-
sulting in the impact of a launch vehi- tems perform exactly as planned, and

511
§ 401.5 14 CFR Ch. III (1–1–19 Edition)
there are no external perturbing influ- orbit or outer space to determine re-
ences other than atmospheric drag and entry readiness and that are critical to
gravity. ensuring public health and safety and
Operation of a launch site means the the safety of property during reentry
conduct of approved safety operations flight. The term ‘‘reenter; reentry’’
at a permanent site to support the also includes activities conducted on
launching of vehicles and payloads. the ground after vehicle landing on
Operation of a reentry site means the Earth to ensure the reentry vehicle
conduct of safety operations at a per- does not pose a threat to public health
manent site on Earth at which a re- and safety or the safety of property.
entry vehicle and its payload, if any, is Reentry accident means
intended to land. (1) Any unplanned event occurring
Operator means a holder of a license during the reentry of a reentry vehicle
or permit under 51 U.S.C. Subtitle V, resulting in the impact of the reentry
chapter 509.
vehicle, its payload, or any component
Payload means an object that a per-
thereof, outside a designated reentry
son undertakes to place in outer space
site;
by means of a launch vehicle, including
components of the vehicle specifically (2) An event that causes a fatality or
designed or adapted for that object. serious injury (as defined in 49 CFR
Person means an individual or an en- 830.2) to any person who is not associ-
tity organized or existing under the ated with the reentry;
laws of a state or country. (3) An event that causes damage esti-
Physical electronic storage means a mated to exceed $25,000 to property not
physical device that can store elec- associated with the reentry and not lo-
tronic documents and files including cated within a designated reentry site;
but not limited to an optical disc, a and
memory card, a USB flash drive, or an (4) For a reentry that takes place
external hard drive. with a person on board, a fatality or se-
Populated area means— rious injury to a space flight partici-
(1) An outdoor location, structure, or pant or crew member.
cluster of structures that may be occu- Reentry incident means any un-
pied by people; planned event occurring during the re-
(2) Sections of roadways and water- entry of a reentry vehicle, other than a
ways that are frequented by auto- reentry accident, involving a malfunc-
mobile and boat traffic; or tion of a reentry safety-critical system
(3) Agricultural lands, if routinely or failure of the licensee’s or permit-
occupied by field workers. tee’s safety organization, procedures,
Pilot means a flight crew member or operations.
who has the ability to control, in real Reentry operator means a person re-
time, a launch or reentry vehicle’s sponsible for conducting the reentry of
flight path. a reentry vehicle as specified in a li-
Public safety means, for a particular cense issued by the FAA.
licensed launch, the safety of people
Reentry site means the location on
and property that are not involved in
Earth where a reentry vehicle is in-
supporting the launch and includes
tended to return. It includes the area
those people and property that may be
within three standard deviations of the
located within the boundary of a
launch site, such as visitors, individ- intended landing point (the predicted
uals providing goods or services not re- three-sigma footprint).
lated to launch processing or flight, Reentry vehicle means a vehicle de-
and any other launch operator and its signed to return from Earth orbit or
personnel. outer space to Earth substantially in-
Reenter; reentry means to return or tact. A reusable launch vehicle that is
attempt to return, purposefully, a re- designed to return from Earth orbit or
entry vehicle and its payload, if any, outer space to Earth substantially in-
from Earth orbit or from outer space to tact is a reentry vehicle.
Earth. The term ‘‘reenter; reentry’’ in- Remote operator means a crew mem-
cludes activities conducted in Earth ber who

512
Commercial Space Transportation, FAA, DOT § 401.5
(1) Has the ability to control, in real laws of the United States or any State;
time, a launch or reentry vehicle’s and
flight path, and (3) Any corporation, partnership,
(2) Is not on board the controlled ve- joint venture, association, or other en-
hicle. tity which is organized or exists under
Reusable launch vehicle (RLV) means the laws of a foreign nation, if the con-
a launch vehicle that is designed to re- trolling interest in such entity is held
turn to Earth substantially intact and by an individual or entity described in
therefore may be launched more than paragraph (1) or (2) of this definition.
one time or that contains vehicle Controlling interest means ownership of
stages that may be recovered by a an amount of equity in such entity suf-
launch operator for future use in the ficient to direct management of the en-
operation of a substantially similar tity or to void transactions entered
launch vehicle. into by management. Ownership of at
Risk means a measure that accounts least fifty-one percent of the equity in
for both the probability of occurrence an entity by persons described in para-
of a hazardous event and the con- graph (1) or (2) of this definition cre-
sequence of that event to persons or ates a rebuttable presumption that
property.
such interest is controlling.
Safety critical means essential to safe
Suborbital rocket means a vehicle,
performance or operation. A safety
rocket-propelled in whole or in part,
critical system, subsystem, component,
condition, event, operation, process, or intended for flight on a suborbital tra-
item is one whose proper recognition, jectory, and the thrust of which is
control, performance, or tolerance is greater than its lift for the majority of
essential to ensuring public safety. the rocket-powered portion of its as-
Something that is safety critical item cent.
creates a safety hazard or provide pro- Suborbital trajectory means the inten-
tection from a safety hazard. tional flight path of a launch vehicle,
Sigma means a single standard devi- reentry vehicle, or any portion thereof,
ation from a fixed value, such as a whose vacuum instantaneous impact
mean. point does not leave the surface of the
Space flight participant means an indi- Earth.
vidual, who is not crew, carried aboard Validation means an evaluation to de-
a launch vehicle or reentry vehicle. termine that each safety measure de-
State and United States means, when rived from a system safety process is
used in a geographical sense, the sev- correct, complete, consistent, unam-
eral States, the District of Columbia, biguous, verifiable, and technically fea-
the Commonwealth of Puerto Rico, sible. Validation ensures that the right
American Samoa, the United States safety measure is implemented, and
Virgin Islands, Guam, and any other that the safety measure is well under-
commonwealth, territory, or posses- stood.
sion of the United States; and Vehicle safety operations personnel
Tether system means a device that means those persons whose job per-
contains launch vehicle hazards by formance is critical to public health
physically constraining a launch vehi- and safety or the safety of property
cle in flight to a specified range from during RLV or reentry operations.
its launch point. A tether system in- Verification means an evaluation to
cludes all components, from the teth-
determine that safety measures derived
er’s point of attachment to the vehicle
to a solid base, that experience load
during a tethered launch.
United States citizen means:
(1) Any individual who is a citizen of
the United States;
(2) Any corporation, partnership,
joint venture, association, or other en-
tity organized or existing under the

513
§ 401.5 14 CFR Ch. III (1–1–19 Edition)
from a system safety process are effec- able evidence that a safety measure re-
tive and have been properly imple- duces risk to acceptable levels.
mented. Verification provides measur- [Doc. No. FAA–1999–5535, 65 FR 56656, Sept.
19, 2000, as amended by Amdt. 401–2, 65 FR
62861, Oct. 19, 2000; Amdt. 401–4, 71 FR 50530,
Aug. 25, 2006; 71 FR 75631, Dec. 15, 2006; Amdt.
401–5, 72 FR 17016, Apr. 6, 2007; Amdt. 401–6, 73
FR 73782, Dec. 4, 2008; Amdt. 401–7, 77 FR
20532, Apr. 5, 2012; 80 FR 30151, May 27, 2015;
Amdt. 401–8, 80 FR 31834, June 4, 2015]

514
 SUBCHAPTER B—PROCEDURE

PART 404— PETITION AND (2) For paper submission, send one
RULEMAKING PROCEDURES copy of the petition to the Office of
Commercial Space Transportation,
Sec. Federal Aviation Administration, 800
404.1 Scope. Independence Avenue SW, Room 331,
404.3 General. Washington, DC 20591.
404.5 Filing a petition for waiver. (d) Each petition filed under this sec-
404.7 Action on a petition for waiver. tion must include the petitioner’s
404.9 Filing a petition for rulemaking. name, mailing address, telephone num-
404.11 General.
ber and any other contact information,
404.13 Petitions for extension of time to
comment. such as an email address or a fax num-
404.15 [Reserved] ber.
404.17 Additional rulemaking proceedings. (e) Notification. When the Associate
404.19 Hearings. Administrator determines that a peti-
AUTHORITY: 51 U.S.C. 50901–50923. tion should be granted or denied, the
Associate Administrator notifies the
SOURCE: Docket No. 43810, 53 FR 11013, Apr. petitioner of the Associate Administra-
4, 1988, unless otherwise noted.
tor’s action and the reasons supporting
§ 404.1 Scope. the action.
(f) Reconsideration. Any person may
This part establishes procedures for petition the FAA to reconsider a denial
issuing regulations and for filing a pe- of a petition the person filed. The peti-
tition for waiver or petition for rule- tioner must send a request for recon-
making to the Associate Administrator sideration within 60 days after being
for Commercial Space Transportation. notified of the denial to the same ad-
[Doc. No. FAA–2016–6761, Amdt. No. 404–6, 83 dress to which the original petition
FR 28534, June 20, 2018] was filed. For the FAA to accept the
reconsideration request, the petitioner
§ 404.3 General. must show—
(a) Any person may petition the As- (1) There is a significant additional
sociate Administrator to: fact and the reason it was not included
(1) Issue, amend, or repeal a regula- in the original petition;
tion to eliminate as a requirement for (2) The FAA made an important fac-
a license or permit any requirement of tual error in its denial of the original
Federal law applicable to commercial petition; or
space launch and reentry activities and (3) The denial is not in accordance
the operation of launch and reentry with the applicable law and regula-
sites; tions.
(2) Waive any such requirement in (g) Public hearing. No public hearing,
the context of a specific application for argument or other proceeding is held
a license or permit; or on a petition before its disposition
(3) Waive the requirement for a li- under this section.
cense, except as provided in § 404.7(b).
(b) A petition filed under this section [Doc. No. FAA–2005–21234, 71 FR 51971, Aug.
may request, under § 413.9 of this chap- 31, 2006, as amended at 72 FR 68475, Dec. 5,
ter, that the Associate Administrator 2007; Doc. No. FAA–2016–6761; Amdt. No. 404–
withhold certain trade secrets or pro- 6, 83 FR 28534, June 20, 2018]
prietary commercial or financial data
§ 404.5 Filing a petition for waiver.
from public disclosure.
(c) Each petitioner filing under this A petition for waiver must be sub-
section must: mitted at least 60 days before the pro-
(1) For electronic submission, send posed effective date of the waiver un-
one copy of the petition by email to less the petitioner shows good cause for
the Office of Commercial Space Trans- later submission in the petition, and
portation at [email protected]; or the petition for waiver must—

515
§ 404.7 14 CFR Ch. III (1–1–19 Edition)
(a) Include the specific section or sec- § 404.13 Rulemaking.
tions of 14 CFR chapter III from which
(a) The FAA’s rulemaking procedures
the petitioner seeks relief;
are located in subpart A of part 11 of
(b) Include the extent of the relief
this title, under the General, Written
sought and the reason the relief is
Comments, and Public Meetings and
being sought;
Other Proceedings headings.
(c) Include any facts, views, and data
available to the petitioner to support (b) In addition to the rulemaking
the waiver request; and procedures referenced in paragraph (a)
(d) Show why granting the request of this section, the provisions of
for relief is in the public interest and §§ 404.17 and 404.19 also apply.
will not jeopardize the public health [Doc. No. FAA–2016–6761, Amdt. No. 404–6, 83
and safety, safety of property, and na- FR 28534, June 20, 2018]
tional security and foreign policy in-
terests of the United States. § 404.15 [Reserved]
[Doc. No. FAA–2016–6761, Amdt. No. 404–6, 83 § 404.17 Additional rulemaking pro-
FR 28534, June 20, 2018] ceedings.
§ 404.7 Action on a petition for waiver. The FAA may initiate other rule-
making proceedings, if necessary or de-
(a) Grant of waiver. The Associate Ad-
sirable. For example, it may invite in-
ministrator may grant a waiver, except
terested people to present oral argu-
as provided in paragraph (b) of this sec-
ments, participate in conferences, ap-
tion, if the Associate Administrator de-
pear at informal hearings, or partici-
termines that the waiver is in the pub-
pate in any other proceedings.
lic interest and will not jeopardize pub-
lic health and safety, the safety of [Doc. No. FAA–2006–24197, 72 FR 17016, Apr. 6,
property, or any national security or 2007]
foreign policy interest of the United
States. § 404.19 Hearings.
(b) Waiver ineligibility. The FAA may (a) Sections 556 and 557 of Title 5,
not grant a waiver that would permit United States Code, do not apply to
the launch or reentry of a launch vehi- hearings held under this part. As a fact-
cle or a reentry vehicle without a li- finding forum, each hearing held under
cense or permit if a human being will this part is nonadversarial and there
be on board. are no formal pleadings or ad- verse
(c) Denial of waiver. If the Associate parties. Any rule issued in a pro-
Administrator determines that the pe- ceeding in which a hearing is held is
tition does not justify granting a waiv- not based exclusively on the record of
er, the Associate Administrator denies the hearing, but on the entire record of
the petition. the rulemaking proceeding.
[Doc. No. FAA–2016–6761, Amdt. No. 404–6, 83 (b) The Associate Administrator des-
FR 28534, June 20, 2018] ignates a representative to conduct
any hearing held under this part. The
§ 404.9 Filing a petition for rule- FAA Chief Counsel designates a legal
making. officer for the hearing.
A petition for rulemaking filed under [53 FR 11013, Apr. 4, 1988, as amended by
this part must be made in accordance Amdt. 404–2, 68 FR 35289, June 13, 2003]
with 14 CFR 11.71.
[Doc. No. FAA–2016–6761, Amdt. No. 404–6, 83 PART 405—COMPLIANCE AND
FR 28534, June 20, 2018] ENFORCEMENT
§ 404.11 Action on a petition for rule-
making. Sec.
405.1 Monitoring of licensed, permitted, and
The FAA will process petitions for other activities.
rulemaking under this part in accord- 405.3 Authority to modify, suspend or re-
ance with 14 CFR 11.73. voke.
405.5 Emergency orders.
[Doc. No. FAA–2016–6761, Amdt. No. 404–6, 83
FR 28534, June 20, 2018] AUTHORITY: 51 U.S.C. 50901–50923.

516
Commercial Space Transportation, FAA, DOT Pt. 406
SOURCE: Docket No. 43810, 53 FR 11014, Apr. (2) Continues in effect during any re-
4, 1988, unless otherwise noted. view of such action under Part 406 of
this chapter.
§ 405.1 Monitoring of licensed, per-
mitted, and other activities. (d) Whenever the FAA takes any ac-
tion under this section, the FAA imme-
Each licensee or permittee must diately notifies the licensee or per-
allow access by and cooperate with mittee in writing of the FAA’s finding
Federal officers or employees or other and the action, which the FAA has
individuals authorized by the Associate taken or proposes to take regarding
Administrator to observe licensed fa- such finding.
cilities and activities, including launch
sites and reentry sites, as well as man- [Doc. No. 43810, 53 FR 11014, Apr. 4, 1988, as
ufacturing, production, testing, and amended by Amdt. 405–3, 72 FR 17016, Apr. 6,
training facilities, or assembly sites 2007]
used by any contractor, licensee, or
§ 405.5 Emergency orders.
permittee to produce, assemble, or test
a launch or reentry vehicle and to inte- The Associate Administrator may
grate a payload with its launch or re- immediately terminate, prohibit, or
entry vehicle. Observations are con- suspend a licensed or permitted launch,
ducted to monitor the activities of the reentry, or operation of a launch or re-
licensee, permittee, or contractor at entry site if the Associate Adminis-
such time and to such extent as the As- trator determines that—
sociate Administrator considers rea- (a) The licensed or permitted launch,
sonable and necessary to determine reentry, or operation of a launch or re-
compliance with the license or permit entry site is detrimental to public
or to perform the Associate Adminis- health and safety, the safety of prop-
trator’s responsibilities pertaining to erty, or any national security or for-
payloads for which no Federal license, eign policy interest of the United
authorization, or permit is required. States; and
[Doc. No. FAA–2006–24197, 72 FR 17016, Apr. 6, (b) The detriment cannot be elimi-
2007] nated effectively through the exercise
of other authority of the Office.
§ 405.3 Authority to modify, suspend or
[53 FR 11014, Apr. 4, 1988, as amended by
revoke.
Amdt. 405–1, 65 FR 56657, Sept. 19, 2000; Amdt.
(a) The FAA may modify a license or 405–3, 72 FR 17017, Apr. 6, 2007]
permit issued under this chapter upon
application by the licensee or per- PART 406—INVESTIGATIONS, EN-
mittee or upon the FAA’s own initia-
tive, if the FAA finds that the modi-
FORCEMENT, AND ADMINISTRA-
fication is consistent with the require- TIVE REVIEW
ments of the Act.
(b) The FAA may suspend or revoke Subpart A—Investigations and
any license or permit issued to such li- Enforcement
censee or permittee under this chapter Sec.
if the FAA finds that a licensee or per- 406.1 Hearings in license, permit, and pay-
mittee has substantially failed to com- load actions.
ply with any requirement of the Act, 406.3 Submissions; oral presentation in li-
any regulation issued under the Act, cense, permit, and payload actions.
the terms and conditions of a license or 406.5 Administrative law judge’s rec-
permit, or any other applicable re- ommended decision in license, permit,
quirement; or that public health and and payload actions.
safety, the safety of property, or any 406.7 [Reserved]
national security or foreign policy in- 406.9 Civil penalties. 406.10–
406.100 [Reserved]
terest of the United States so require.
(c) Unless otherwise specified by the Subpart B—Rules of Practice in FAA Space
Office, any modification, suspension or Transportation Adjudications
revocation made by the Office under
this section: 406.101 Applicability.
(1) Takes effect immediately; and 406.103 Definitions that apply in part 406.

517
§ 406.1 14 CFR Ch. III (1–1–19 Edition)
406.105 Separation of functions for pros- license with conditions or to deny the
ecuting civil penalties and advising the issuance or transfer of such license;
FAA decisionmaker. (2) An owner or operator of a payload
406.107 Appearances of parties, and attor-
regarding any decision to prevent the
neys and representatives.
406.109 Administrative law judges—powers launch or reentry of the payload;
and limitations. (3) A licensee regarding any decision
406.111 Signing documents. to suspend, modify, or revoke a license
406.113 Filing of documents with the Docket or to terminate, prohibit, or suspend
Management System (DMS) and sending any licensed activity;
documents to the administrative law (4) An applicant for a permit regard-
judge and Assistant Chief Counsel for ing an FAA decision to issue a permit
Litigation.
406.115 Serving documents on other parties. with conditions or to deny the issuance
406.117 Confidential information. of the permit; and
406.119 Computation of time. (5) A permittee regarding any deci-
406.121 Extension of time. sion to suspend, modify, or revoke a
406.123 Waivers. permit or to terminate, prohibit, or
406.127 Complaint and answer in civil pen- suspend any permitted activity.
alty adjudications. (b) An administrative law judge will
406.133 Amendment of pleadings.
406.135 Withdrawal of complaint or request be designated to preside over any hear-
for hearing. ing held under this part.
406.137 Intervention. [Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
406.139 Joint procedural or discovery sched- 2001, as amended by Amdt. 406–4, 72 FR 17017,
ule. Apr. 6, 2007; Amdt. 406–7, 77 FR 20532, Apr. 5,
406.141 Motions. 2012]
406.143 Discovery.
406.147 Notice of hearing.
406.149 Evidence.
§ 406.3 Submissions; oral presentation
406.151 Standard of proof.
in license, permit, and payload ac-
406.153 Burden of proof. tions.
406.155 Offer of proof. (a) The FAA will make decisions
406.157 Expert or opinion witnesses. about license, permit, and payload ac-
406.159 Subpoenas. tions under this subpart based on writ-
406.161 Witness fees.
406.163 Record. ten submissions unless the administra-
406.165 Argument before the administrative tive law judge requires an oral presen-
law judge. tation.
406.167 Initial decision. (b) Submissions must include a de-
406.173 Interlocutory appeals. tailed exposition of the evidence or ar-
406.175 Appeal from initial decision. guments supporting the petition.
406.177 Petition to reconsider or modify a Where an applicant must demonstrate
final decision and order of the FAA deci-
an equivalent level of safety or fidel-
sionmaker on appeal.
406.179 Judicial review of a final decision ity, the applicant must make a clear
and order. and convincing demonstration.
(c) Petitions shall be filed as soon as
AUTHORITY: 51 U.S.C. 50901–50923.
practicable, but in no event more than
SOURCE: Docket No. FAA–2001–8607, 66 FR 30 days after issuance of decision or
2180, Jan. 10, 2001, unless otherwise noted. finding under § 406.1.
[Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
Subpart A—Investigations and 2001, as amended by Amdt. 406–3, 71 FR 50530,
Enforcement Aug. 25, 2006; Amdt. 406–4, 72 FR 17017, Apr. 6,
2007]
§ 406.1 Hearings in license, permit, and
payload actions. § 406.5 Administrative law judge’s rec-
(a) Pursuant to 51 U.S.C. 50912, the ommended decision in license, per-
following are entitled to a determina- mit, and payload actions.
tion on the record after an opportunity (a) The Associate Administrator, who
for a hearing in accordance with 5 shall make the final decision on the
U.S.C. 554. matter at issue, shall review the rec-
(1) An applicant for a license and a ommended decision of the administra-
proposed transferee of a license regard- tive law judge. The Associate Adminis-
ing any decision to issue or transfer a trator shall make such final decision

518
Commercial Space Transportation, FAA, DOT § 406.9
within thirty days of issuance of the of the proposed penalty, is not war-
recommended decision. ranted by the circumstances.
(b) The authority and responsibility (ii) A written request to reduce the
to review and decide rests solely with proposed civil penalty, the amount of
the Associate Administrator and may reduction, and the reasons and any
not be delegated. document supporting a reduction of the
proposed civil penalty, including
§ 406.7 [Reserved] records indicating a financial inability
to pay or records showing that pay-
§ 406.9 Civil penalties. ment of the proposed civil penalty
(a) Civil penalty liability. Under would prevent the person from con-
51 tinuing in business.
U.S.C. 50917(c), a person found by the (iii) A written request for an infor-
FAA to have violated a requirement of mal conference to discuss the matter
the Act, a regulation issued under the with the agency attorney and to sub-
Act, or any term or condition of a li- mit relevant information.
cense or permit issued or transferred (3) Request that a final notice of pro-
under the Act, is liable to the United posed civil penalty be issued so that
States for a civil penalty of not more the respondent may request a hearing
than $234,247 for each violation. A sepa- in accordance with paragraph (g) of
rate violation occurs for each day the this section.
violation continues. (d) Final notice of proposed civil pen-
(b) Delegations. The authority to im- alty. A final notice of proposed civil
pose civil penalties is exercised by an penalty (final notice) provides the last
agency attorney as described in opportunity for the respondent to re-
§ 406.105. quest a hearing.
(c) Notice of proposed civil penalty. A (1) The agency attorney issues a final
civil penalty action is initiated when notice if one of the following occurs:
the agency attorney advises a person, (i) The respondent fails to respond to
referred to as the respondent, of the the notice of proposed civil penalty not
charges or other reasons upon which later than 30 days after the date the re-
the FAA bases the proposed action and spondent received the notice of pro-
allows the respondent to answer the posed civil penalty.
charges and to be heard as to why the (ii) The parties have not agreed to a
civil penalty should not be imposed. A resolution of the action after partici-
notice of proposed civil penalty states pating in informal procedures under
the facts alleged; any requirement of paragraph (c)(2) of this section.
the Act, a regulation issued under the (iii) The respondent requests the
Act, or any term or condition of a li- issuance of a final notice in accordance
cense or permit issued or transferred with paragraph (c)(3) of this section.
under the Act allegedly violated by the (2) Not later than 15 days after the
respondent; and the amount of the pro- date the respondent received the final
posed civil penalty. Not later than 30 notice of proposed civil penalty, the re-
days after receipt of the notice of pro- spondent shall do one of the following:
posed civil penalty the respondent may (i) Submit the amount of the pro-
elect to proceed by one or more of the posed civil penalty or an agreed-upon
following: amount, in which case the agency at-
(1) Pay the amount of the proposed torney issues either an order imposing
civil penalty or an agreed upon civil penalty or a compromise order in
amount, in which case the agency at- that amount.
torney will issue either an order impos- (ii) Request a hearing in accordance
ing civil penalty or a compromise order with paragraph (g) of this section.
in that amount. (e) Order imposing civil penalty. An
(2) Submit to the agency attorney order imposing civil penalty is the
one of the following: final order of the Secretary imposing a
(i) Written information, including civil penalty. An order imposing civil
documents and witnesses statements, penalty is issued for a violation de-
demonstrating that a violation did not scribed in paragraph (a) of this section
occur or that a penalty, or the amount
519
§ 406.9 14 CFR Ch. III (1–1–19 Edition)
after notice and an opportunity for a (2) The FAA makes no finding of a
hearing. violation.
(1) The agency attorney either issues (3) The compromise order may not be
an order imposing civil penalty, or an- used as evidence of a prior violation in
other document becomes an order im- any subsequent civil penalty action, li-
posing civil penalty, as described cense, or permit action.
below. (g) Request for hearing. Any respond-
(i) The agency attorney issues an ent who has been issued a final notice
order imposing civil penalty if, in re- of proposed civil penalty may, not later
sponse to a notice of proposed civil than 15 days after the date the respond-
penalty or a final notice of proposed ent received the final notice, request a
civil penalty, the respondent pays or hearing under subpart B of this part.
agrees to pay a civil penalty in the (1) The respondent must file a writ-
amount proposed or an agreed upon ten request for hearing with the Fed-
amount (other than an agreement for a eral Docket Management System (U.S.
compromise order under paragraph (f) Department of Transportation, Docket
of this section). Operations, West Building Ground
(ii) Unless the respondent requests a Floor, Room W12–140, 1200 New Jersey
hearing not later than 15 days after the Avenue, SE., Washington, DC 20590) and
date the respondent received a final no- must serve a copy of the request on the
tice of proposed civil penalty, the final agency attorney. Sections 406.113 and
notice of proposed civil penalty be- 406.115 state how filing and service
comes an order imposing civil penalty. must be done.
(iii) Unless an appeal is filed with the (2) The request for hearing must be
FAA decisionmaker in accordance with dated and signed.
§ 406.175, if the administrative law (h) Method of payment. A respondent
judge finds that a violation occurred must pay a civil penalty by check or
and determines that a civil penalty, in money order, payable to the Federal
an amount found appropriate by the Aviation Administration.
administrative law judge, is warranted, (i) Collection of civil penalties. If a re-
an initial decision of an administrative spondent does not pay a civil penalty
law judge under subpart B of this part imposed by an order imposing civil
becomes an order imposing civil pen- penalty or a compromise order within
alty. 60 days after service of the final order,
(iv) Unless a complaint is filed with a the FAA may refer the order to the
United States district court in accord- United States Department of Treasury
ance with § 406.176, if the FAA decision- or Department of Justice to collect the
maker finds that a violation occurred civil penalty.
and determines that a civil penalty, in (j) Exhaustion of administrative rem-
an amount found appropriate by the edies. A respondent may seek judicial
FAA decisionmaker, is warranted, a review of a final decision and order of
final decision and order of the FAA de- the FAA decisionmaker as provided in
cisionmaker under subpart B of this § 406.179. A respondent has not ex-
part becomes an order imposing civil hausted administrative remedies for
penalty. If a person seeks judicial re- purposes of judicial review if the final
view not later than 60 days after the order is one of the following:
final decision and order has been served (1) An order imposing civil penalty
on the respondent, the final decision issued by an agency attorney under
and order is stayed. paragraph (e)(1)(i) of this section.
(2) [Reserved] (2) A final notice of proposed civil
(f) Compromise order. The agency at- penalty that becomes an order impos-
torney at any time may agree to com- ing civil penalty under paragraph
promise any civil penalty with no find- (e)(1)(ii) of this section.
ing of violation. Under such agreement, (3) An initial decision of an adminis-
the agency attorney issues a com- trative law judge that was not appealed
promise order stating: to the FAA decisionmaker.
(1) The respondent agrees to pay a (4) A compromise order under para-
civil penalty. graph (f) of this section.

520
Commercial Space Transportation, FAA, DOT § 406.105
(k) Compromise. The FAA may com- Party means the respondent or the
promise or remit a civil penalty that complainant.
has been proposed or imposed under Personal delivery includes hand-deliv-
this section. ery or use of a same-day messenger
service. ‘‘Personal delivery’’ does not
[Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
2001, as amended by Amdt. 406–4, 72 FR 17017, include the use of Government inter-
Apr. 6, 2007; 72 FR 68475, Dec. 5, 2007; 75 FR office mail service.
30693, June 2, 2010; Amdt. 406–7, 77 FR 20532, Properly addressed means using an ad-
Apr. 5, 2012; 79 FR 61992, Oct. 16, 2014; Amdt. dress contained in agency records; a
406–10, 81 FR 43469, July 5, 2016; Doc. No. residential, business, or other address
FAA–2016–7004, Amdt. 406–11, 82 FR 17101, used by a person on any document sub-
Apr. 10, 2017; 83 FR 60743, Nov. 27, 2018] mitted under this part; or any other
address determined by other reasonable
§§ 406.10–406.100 [Reserved]
and available means.
Respondent means a person who has
Subpart B—Rules of Practice in been charged with a violation.
FAA Space Transportation Ad-
judications § 406.105 Separation of functions for
prosecuting civil penalties and ad-
§ 406.101 Applicability. vising the FAA decisionmaker.
(a) Adjudications to which these rules (a) Agency attorney. The authority to
apply. These rules apply to the fol- prosecute civil penalties within the
lowing adjudications: FAA is exercised by an agency attor-
ney in accordance with § 406.9.
(1) A civil penalty action in which
(1) The following officials have the
the respondent has requested a hearing
authority to act as the agency attor-
under § 406.9.
ney under this part: The Deputy Chief
(2) [Reserved]
Counsel; the Assistant Chief Counsel
(b) [Reserved] for Enforcement; the Assistant Chief
§ 406.103 Definitions that apply in part Counsel for Regulations; the Assistant
406. Chief Counsel for Europe, Africa, and
Middle East Area Office; each Regional
For the purpose of this part: Counsel; and each Center Counsel. This
Administrative law judge means an ad- authority may be delegated further.
ministrative law judge appointed pur- (2) An agency attorney may not in-
suant to the provisions of 5 U.S.C. 3105. clude:
Attorney means a person licensed by a (i) The Chief Counsel or the Assistant
state, the District of Columbia, or a Chief Counsel for Litigation;
territory of the United States to prac- (ii) Any attorney on the staff of the
tice law or appear before the courts of Assistant Chief Counsel for Litigation
that state or territory. who advises the FAA decisionmaker re-
Complainant in a civil penalty action garding an initial decision or any ap-
means the proponent of the civil pen- peal to the FAA decisionmaker; or
alty in the FAA. (iii) Any attorney who is supervised
FAA decisionmaker means the Asso- in a civil penalty action by a person
ciate Administrator for Commercial who provides such advice to the FAA
Space Transportation, or the Adminis- decisionmaker in that action or a fac-
trator of the Federal Aviation Admin- tually-related action.
istration, acting in the capacity of the (b) Advisors to the FAA decisionmaker.
decisionmaker on appeal; or a person (1) The Chief Counsel, the Assistant
who has been delegated the authority Chief Counsel for Litigation or an at-
to act for the FAA decisionmaker. As torney on the staff of the Assistant
used in this part, the FAA decision- Chief Counsel for Litigation, will ad-
maker is the official authorized to vise the FAA decisionmaker regarding
issue a final decision and order of the an initial decision or any appeal of an
Secretary in an action. action to the FAA decisionmaker.
Mail means U.S. first class mail, U.S. (2) An agency employee engaged in
certified mail, U.S. registered mail, or the performance of investigative or
an express courier service. prosecutorial functions must not, in

521
§ 406.107 14 CFR Ch. III (1–1–19 Edition)
that case or a factually-related case, (9) Make findings of fact and conclu-
participate or give advice in a decision sions of law, and issue an initial deci-
by the administrative law judge or by sion.
the FAA decisionmaker on appeal, ex- (b) Duties to maintain the record. (1)
cept as counsel or a witness in the pub- The administrative law judge must file
lic proceedings. with the FDMS, or instruct the party
to file with the FDMS, a copy of each
§ 406.107 Appearances of parties, and document that is submitted to the ad-
attorneys and representatives. ministrative law judge that has not bee
(a) Any party may appear and be filed with FDMS, except the portions of
heard in person. those documents that contain con-
(b) Any party may be accompanied, fidential information.
represented, or advised by an attorney (2) The administrative law judge
or representative designated by the must file with the FDMS a copy of
party. each ruling and order issued by the ad-
(1) An attorney or representative who ministrative law judge, except those
represents a party must file a notice of portions that contain confidential in-
appearance in the action with the formation.
Docket Management System and must (3) The administrative law judge
serve a copy of the notice of appear- must file with the FDMS, or instruct
ance on each other party before par- the court reporter to file with the
ticipating in any proceeding governed FDMS, a copy of each transcript and
by this subpart. exhibit, except those portions that con-
(2) The attorney or representative tain confidential information.
must include his or her name, address, (4) The administrative law judge
and telephone number in the notice of must maintain any confidential infor-
appearance. mation filed in accordance with
(3) That attorney or representative in § 406.117 and deliver it to the Assistant
any proceeding governed by this sub- Chief Counsel for Litigation when the
part may examine the party. administrative law judge no longer
(4) Service of a document on the par- needs it.
ty’s attorney or representative is con- (c) Limitations on the power of the ad-
sidered to be service on the party. ministrative law judge. The administra-
(c) An agency attorney represents tive law judge may not issue an order
the complainant. of contempt, award costs to any party,
or impose any sanction not specified in
§ 406.109 Administrative law judges— this subpart. If the administrative law
powers and limitations. judge imposes any sanction not speci-
(a) Powers of an administrative law fied in this subpart, a party may file an
judge. In accordance with the rules of interlocutory appeal of right pursuant
this subpart, an administrative law to § 406.173(c). This section does not
judge may: preclude an administrative law judge
(1) Give notice of, and hold, pre- from issuing an order that bars a per-
hearing conferences and hearings; son from a specific proceeding based on
(2) Administer oaths and affirma- a finding of obstreperous or disruptive
tions; behavior in that specific proceeding.
(3) Issue subpoenas authorized by law (d) Disqualification. The administra-
and requested by the parties; tive law judge may disqualify himself
(4) Rule on offers of proof; or herself at any time. A party may file
(5) Receive relevant and material evi- a motion, pursuant to § 406.141(f)(8), re-
dence; questing that an administrative law
(6) Regulate the course of the hearing judge be disqualified from the pro-
in accordance with the rules of this ceedings.
subpart; [Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
(7) Hold conferences to settle or to 2001, as amended at 72 FR 68475, Dec. 5, 2007]
simplify the issues by consent of the
parties; § 406.111 Signing documents.
(8) Dispose of procedural motions and (a) Signature required. The party, or
requests; and the party’s attorney or representative,

522
Commercial Space Transportation, FAA, DOT § 406.113
must sign each document tendered for tronic docket and an index is made of
filing or served on each party. all documents that have been filed so
(b) Effect of signing a document. By that any person may view the index
signing a document, the party, or the and documents as provided in para-
party’s attorney or representative, cer- graph (f) of this section.
tifies that he or she has read the docu- (2) A party is not required to file
ment and, based on reasonable inquiry written interrogatories and responses,
and to the best of that individual’s requests for production of documents
knowledge, information, and belief, the or tangible items and responses, and
document is— requests for admission and responses
(1) Consistent with these rules; with the Federal Docket Management
(2) Warranted by existing law or that System or submit them to administra-
a good faith argument exists for exten- tive law judge, except as provided in
sion, modification, or reversal of exist- 406.143.
ing law; and (b) Method of filing. A person filing a
(3) Not unreasonable or unduly bur- document must mail or personally de-
densome or expensive, not made to har- liver the signed original and one copy
ass any person, not made to cause un- of each document to the FDMS at the
necessary delay, not made to cause U.S. Department of Transportation,
needless increase in the cost of the pro- Docket Operations, West Building
ceedings, or for any other improper Ground Floor, Room W12–140, 1200 New
purpose. Jersey Avenue, SE., Washington, DC
(c) Sanctions. If an individual signs a 20590. A person must serve a copy of
document in violation of this section, each document on each party in ac-
the administrative law judge or the cordance with 406.115.
FAA decisionmaker must: (c) Date of filing. The date of filing is
(1) Strike the pleading signed in vio- the date of personal delivery, or if
lation of this section; mailed, the mailing date shown on any
(2) Strike the request for discovery or certificate of service, the date shown
the discovery response signed in viola- on the postmark if there is no certifi-
tion of this section and preclude fur- cate of service, or other mailing data
ther discovery by the party; shown by other evidence if there is no
(3) Deny the motion or request signed
certificate of service or postmark. The
in violation of this section; date shown in the FDMS index is not
(4) Exclude the document signed in
necessarily the date of service. It is the
violation of this section from the
date the FDMS received the document.
record;
(d) Form. FDMS scans the document
(5) Dismiss the interlocutory appeal
into its electronic docket. To ensure
and preclude further appeal on that
that FDMS can scan the document and
issue by the party who filed the appeal
correctly identify it in the index, each
until an initial decision has been en-
person filing a document must comply
tered on the record; or
(6) Dismiss the appeal of the adminis- with the following:
trative law judge’s initial decision to (1) Each document must be legible. It
the FAA decisionmaker. may be handwritten, typewritten, or
printed from a computer.
§ 406.113 Filing documents with the (2) Each document must have a cap-
Docket Management System (DMS) tion on its first page, clearly visible,
and sending documents to the ad- with the following information:
ministrative law judge and Assist- (i) ‘‘FAA Space Adjudication.’’
ant Chief Counsel for Litigation. (ii) Case name, such as ‘‘In the mat-
(a) The Federal Docket Management ter of X Corporation.’’
System (FDMS). (1) Documents filed in a (iii) FAA Case Number and FDMS
civil penalty adjudication are kept in docket number, if assigned.
the Federal Docket Management Sys- (iv) Name of the document being
tem (FDMS), except for documents filed, including the party filing the
that contain confidential information document, such as ‘‘Respondent’s Mo-
in accordance with 406.117. The FDMS tion to Dismiss.’’
is an electronic docket. Documents (v) ‘‘Confidential information filed
that are filed are scanned into the elec- with administrative law judge’’ or

523
§ 406.115 14 CFR Ch. III (1–1–19 Edition)
‘‘Confidential information filed with (3) By requesting it from the FDMS
Assistant Chief Counsel for Litigation’’ and paying reasonable costs.
if the party is filing confidential infor- [Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
mation under 406.117. 2001, as amended at 72 FR 68476, Dec. 5, 2007]
(3) The document must be capable of
being scanned and be easy to read both § 406.115 Serving documents on other
in paper form and as scanned into the parties.
electronic docket. A document that (a) Service required. A person must
meets the following specifications is serve on each other party at the time
capable of being scanned using auto- of filing a copy of any document filed
matic feeders and is easy to read both with the Federal Docket Management
in paper form and as scanned into the System. Service on a party’s attorney
electronic docket. Documents that do or representative of record is adequate
not meet these specifications may not service on the party.
be legible. (b) Method of service. A person must
(i) On white paper. serve documents by personal delivery
(ii) On paper not larger than 81⁄2 by 11 or by mail.
inches. (c) Certificate of service. A person may
(iii) In black ink. attach a certificate of service to a doc-
(iv) Text double-spaced. Footnotes ument filed with the FDMS. Any cer-
and long quotes may be single spaced. tificate of service must include a state-
(v) At least 12 point type. ment, dated and signed by the indi-
(vi) Margins at least 1 inch on each vidual filing the document, that the
side. document was served on each party,
(vii) The original not bound or hole- the method of service, and the date of
punched, only held together with re- service.
movable metal clips or the like. The (d) Date of service. The date of service
copy that is filed or sent to the admin- is the date of personal delivery; or if
istrative law judge or Assistant Chief mailed, the mailing date shown on the
Counsel for Litigation, and the copy certificate of service, the date shown
served on another party, need not meet on the postmark if there is no certifi-
this specification. cate of service, or other mailing date
(viii) The original has no tabs. The shown by other evidence if there is no
copy that is filed or sent to the admin- certificate of service or postmark. The
istrative law judge or Assistant Chief date shown in the FDMS index is not
Counsel for Litigation, and the copy necessarily the date of service. It is the
served on another party, need not meet date the FDMS received the document.
this specification. (e) Additional time after service by mail.
(e) Sending documents to the adminis- Whenever a party has a right or a duty
trative law judge or Assistant Chief Coun- to act or to make any response within
sel for Litigation. Sending the document a prescribed period after service by
directly to the administrative law mail, or on a specified date after serv-
judge or to the Assistant Chief Counsel ice by mail, 5 days is added to the pre-
for Litigation is not a substitute for scribed period.
filing the original with the FDMS, ex- (f) Service by the administrative law
cept for confidential information under judge. The administrative law judge
406.117. must serve a copy of each document in-
(f) Viewing and copying the record. cluding, but not limited to, notices of
Any person may view and copy the pre-hearing conferences and hearings,
record, except for confidential informa- rulings on motions, decisions, and or-
tion, as follows: ders, upon each party to the pro-
(1) During regular business hours at ceedings by personal delivery or by
the U.S. Department of Transpor- mail.
tation, Docket Operations, West Build- (g) Service made. A document is
ing Ground Floor, Room W12–140, 1200 deemed served in accordance with this
New Jersey Avenue, SE., Washington, subpart if it was properly addressed;
DC 20590. was sent in accordance with this sub-
(2) Through the Internet at http:// part; and was returned, not claimed, or
www.regulations.gov. refused. Service is considered valid as

524
Commercial Space Transportation, FAA, DOT § 406.117
of the date and the time that the docu- public, the party must file a motion for
ment was mailed, or personal delivery a confidentiality order.
of the document was refused. (1) The party must state the specific
(h) Presumption of service. There is a grounds for withholding the informa-
presumption of service where a party tion from the public.
or a person, who customarily receives (2) If the party claims that the infor-
mail, or receives it in the ordinary mation is protected under 51 U.S.C.
course of business, at either the per- 50916, and if both the complainant and
son’s residence or the person’s prin- the respondent agree that the informa-
cipal place of business, acknowledges tion is protected under that section,
receipt of the document. the administrative law judge must
[Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10, grant the motion. If one party does not
2001, as amended at 72 FR 68476, Dec. 5, 2007] agree that the information is protected
under 51 U.S.C. 50916 the administra-
§ 406.117 Confidential information. tive law judge must decide. Either
(a) Filing confidential information. If a party may file an interlocutory appeal
party wants certain information that of right under § 406.173(c).
the party is filing not made available (3) If the party claims that the infor-
to the public, the party must do the mation should be protected on grounds
following: other than those provided by 51 U.S.C.
(1) Place the information in a sepa- 50916 the administrative law judge
rate sealed envelope and clearly mark must grant the motion if, based on the
the envelope ‘‘CONFIDENTIAL.’’ At motion and any response to the mo-
least the first page of the document in tion, the administrative law judge de-
the envelope also must be marked termines that disclosure would be det-
‘‘CONFIDENTIAL.’’ rimental to safety, disclosure would
(2) Attach to this envelope a cover not be in the public interest, or that
document marked ‘‘Confidential infor- the information is not otherwise re-
mation filed with administrative law quired to be made available to the pub-
judge’’ or ‘‘Confidential information lic.
filed with Assistant Chief Counsel for (4) If the administrative law judge de-
Litigation.’’ The cover document must termines that the information is not
include, at the least, a short statement necessary to decide the case or would
of what is being filed, such as ‘‘Re- not otherwise lead to the discovery of
spondent’s motion for confidentiality relevant material, the administrative
order.’’ law judge must preclude any inquiry
(3) Unless such a motion has already into the matter by any party.
been granted, enclose a motion for con- (5) If the administrative law judge de-
fidentiality order in accordance with termines that the requested material
paragraph (c) of this section. The mo- may be disclosed during discovery, the
tion must be in the sealed envelope if it administrative law judge may order
contains confidential information; oth- that the material may be discovered
erwise the motion must be outside of and disclosed under limited conditions
the sealed envelope. or may be used only under certain
(b) Marked information not made pub- terms and conditions.
lic. If a party files a document in a (6) If the administrative law judge de-
sealed envelope clearly marked ‘‘CON- termines that the requested material is
FIDENTIAL’’ the document may not necessary to decide the case, or would
be made available to the public unless otherwise lead to the discovery of rel-
and until the administrative law judge evant material, and that a confiden-
or the FAA decisionmaker decides it tiality order is warranted, the adminis-
may be made available to the public in trative law judge must—
accordance with 51 U.S.C. 50916. (i) Provide an opportunity for review
(c) Motion for confidentiality order. If a of the document by the attorneys of
party is filing, is requested to provide record off the record.
in discovery, or intends to offer at the (ii) Provide procedures for excluding
hearing, information that the party the information from the record, or
does not wish to be available to the order that portion of the record that

525
§ 406.119 14 CFR Ch. III (1–1–19 Edition)
includes confidential information be (a) Extension of time by agreement of
closed. the parties. The parties may agree to
(iii) Order that the parties must not extend for a reasonable period of time
disclose the information in any manner for filing a document under this sub-
and the parties must not use the infor- part with the agreement of the admin-
mation in any other proceeding. istrative law judge. The party seeking
(7) If an administrative law judge or- the extension of time must submit a
ders a record closed, in whole or in draft order to the administrative law
part: judge for signature, file it with the
(i) The closed record is not available Federal Docket Management System,
to the public. and serve it on each party.
(ii) The closed record is available to (b) Motion for extension of time. If the
the parties’ attorneys of record. parties do not agree to an extension of
(iii) The administrative law judge time for filing a document, a party de-
may determine whether the closed siring an extension may file with the
record is available to the parties, the Federal Docket Management System
parties’ representatives, or other per- and serve a written motion for an ex-
sons such as witnesses for a party. tension of time not later than 7 days
(iv) No party, attorney of record, rep- before the document is due unless good
resentative of record, or person who re- cause for the late filing is shown. The
ceives information from such persons, administrative law judge may grant
may disclose information that has been the extension of time if good cause for
protected under this section except to the extension is shown.
a person authorized by this section or (c) Failure to rule. If the administra-
the administrative law judge to receive tive law judge fails to rule on a written
it. motion for an extension of time by the
(v) If a person other than one author- date the document is due, the motion
ized by this section desires to view or for an extension of time is granted for
copy a closed record, the person must no more than 20 days after the original
file a motion to open the record. date the document was to be filed.
[Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
[Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
2001, as amended by Amdt. 406–7, 77 FR 20532,
2001, as amended at 72 FR 68476, Dec. 5, 2007]
Apr. 5, 2012]

§ 406.119 Computation of time. § 406.123 Waivers.

(a) This section applies to any period Waivers of any rights provided by
of time prescribed or allowed by this statute or regulation must be in writ-
subpart, by notice or order of the ad- ing or by stipulation made at a hearing
ministrative law judge or the FAA de- and entered into the record. The par-
cisionmaker, or by any applicable stat- ties must set forth the precise terms of
ute. the waiver and any conditions.
(b) The date of an act, event, or de-
fault, after which a designated time pe- § 406.127 Complaint and answer in
civil penalty adjudications.
riod begins to run, is not included in a
computation of time under this sub- (a) Complaint—(1) Filing. The com-
part. plainant must file the original and one
(c) The last day of a time period is in- copy of the complaint with the Federal
cluded in a computation of time unless Docket Management System, or may
it is a Saturday, Sunday, or a legal hol- file a written motion pursuant to
iday. If the last day of the time period 406.141(f)(1) instead of filling a com-
is a Saturday, Sunday, or legal holi- plaint, not later than 20 days after re-
day, the time period runs until the end ceipt by the complainant of a request
of the next day that is not a Saturday, for hearing. The complainant should
Sunday, or legal holiday. suggest a location for the hearing when
filing the complaint.
§ 406.121 Extension of time. (2) Service. The complainant must
Before an appeal is filed with the personally deliver or mail a copy of the
FAA decisionmaker, the parties may complaint to the respondent, or the re-
seek an extension of time as follows: spondent’s attorney or representative

526
Commercial Space Transportation, FAA, DOT § 406.137
who has filed a notice of appearance in the truth of each allegation contained
accordance with § 406.107. in the complaint.
(3) Contents of complaint. The final no-
[Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
tice of proposed civil penalty issued 2001, as amended by Amdt. 406–4, 72 FR 17017,
under § 406.9(d) may be filed as the com- Apr. 6, 2007; 72 FR 68476, Dec. 5, 2007]
plaint. A complaint must set forth the
following in sufficient detail to provide § 406.133 Amendment of pleadings.
notice:
(i) The facts alleged. (a) Time. A party must file with the
(ii) Any requirement of the Act, a Federal Docket Management System
regulation issued under the Act, or any and serve on each other party any
term or condition of a license or permit amendment to a complaint or an an-
issued or transferred under the Act al- swer as follows:
legedly violated by the respondent. (1) Not later than 15 days before the
(iii) The proposed civil penalty. scheduled date of a hearing, a party
(b) Answer—(1) Time for filing. The re- may amend a complaint or an answer
spondent must file an answer to the without the consent of the administra-
complaint, or may file a written mo- tive law judge.
tion pursuant to § 406.141(f)(2) instead of (2) Less than 15 days before the
filing an answer, not later than 30 days scheduled date of a hearing, the admin-
after service of the complaint. istrative law judge may allow amend-
(2) Form. The answer must be in writ- ment of a complaint or an answer only
ing. The answer may be in the form of for good cause shown in a motion to
a letter but must be dated and signed amend.
by the person responding to the com- (b) Responses. The administrative law
plaint. The answer must be legible, and judge must allow a reasonable time,
may be handwritten, typed, or printed but not more than 20 days from the
from a computer. date of filing, for other parties to re-
(3) Filing and service. A respondent spond to an amendment to a complaint
must file the answer with the Federal or answer.
Docket Management System and serve
[Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
a copy of the answer on the agency at- 2001, as amended at 72 FR 68477, Dec. 5, 2007]
torney who filed the complaint.
(4) Contents of answer—(i) Specific de- § 406.135 Withdrawal of complaint or
nial of allegations required. The respond- request for hearing.
ent must admit, deny, or state that the
respondent is without sufficient knowl- At any time before or during a hear-
edge or information to admit or deny, ing, the complainant may withdraw a
each numbered paragraph of the com- complaint or a party may withdraw a
plaint. Any statement or allegation request for a hearing without the con-
contained in the complaint that is not sent of the administrative law judge. If
specifically denied in the answer con- the complainant withdraws the com-
stitutes an admission of the truth of plaint or a party withdraws the request
that allegation. An administrative law for a hearing and the answer, the ad-
judge shall treat a general denial of the ministrative law judge must dismiss
complaint as a failure to file an an- the proceedings under this subpart
swer. with prejudice.
(ii) Affirmative defenses. The answer § 406.137 Intervention.
must specifically state any affirmative
defense that the respondent asserts. (a) A person may file with the Fed-
(iii) Request for relief. The answer eral Docket Management System and
may include a brief statement of any serve on each other party a motion for
relief requested. leave to intervene as party in an adju-
(iv) Hearing location. The respondent dication. Except for good cause shown,
should suggest a location for the hear- a motion for leave to intervene must be
ing when filing the answer. filed not later than 10 days before the
(5) Failure to file answer. A respond- hearing.
ent’s failure to file an answer without (b) The administrative law judge may
good cause constitutes an admission of grant a motion for leave to intervene if

527
§ 406.139 14 CFR Ch. III (1–1–19 Edition)
the administrative law judge finds (e) Disputes. The administrative law
that— judge must resolve any dispute regard-
(1) Intervention will not unduly ing discovery or regarding compliance
broaden the issues or delay the pro- with the joint schedule as soon as pos-
ceedings, and sible so that the parties may continue
(2) The intervener will be bound by to comply with the joint schedule.
any order or decision entered in the ac- (f) Sanctions for failure to comply with
tion or the intervener has a property, joint schedule. If a party fails to comply
financial, or other legitimate interest with the order establishing a joint
that may not be addressed adequately schedule, the administrative law judge
by the parties. may direct that party to comply with a
(c) The administrative law judge may motion to compel discovery; or, lim-
determine the extent to which an in- ited to the extent of the party’s failure
tervener may participate in the pro- to comply with a motion or discovery
ceedings. request, the administrative law judge
may:
[Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
2001, as amended at 72 FR 68477, Dec. 5, 2007]
(1) Strike that portion of a party’s
pleadings;
§ 406.139 Joint procedural or dis- (2) Preclude prehearing or discovery
covery schedule. motions by that party;
(a) General. The parties may agree to (3) Preclude admission of that por-
submit a schedule for filing all pre- tion of a party’s evidence at the hear-
ing; or
hearing motions or for conducting dis-
(4) Preclude that portion of the testi-
covery or both.
(b) Form and content of schedule. If the mony of that party’s witnesses at the
parties agree to a joint procedural or hearing.
discovery schedule, one of the parties [Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
must file with the Federal Docket 2001, as amended at 72 FR 68477, Dec. 5, 2007]
Management System and serve the
joint schedule, setting forth the dates § 406.141 Motions.
to which the parties have agreed. One (a) General. A party applying for an
of the parties must draft an order es- order or ruling not specifically pro-
tablishing a joint schedule for the ad- vided in this subpart must do so by mo-
ministrative law judge. tion. A party must comply with the re-
(1) The joint schedule may include, quirements of this section when filing
but need not be limited to, times for a motion for consideration by the ad-
requests for discovery, any objections ministrative law judge or the FAA de-
to discovery requests, responses to dis- cisionmaker on appeal.
covery requests, submission of pre- (b) Contents. A party must state the
hearing motions, responses to pre- relief sought by the motion and the
hearing motions, exchange of exhibits particular grounds supporting that re-
to be introduced at the hearing, and lief. If a party has evidence in support
lists of witnesses that may be called at of a motion, the party must attach any
the hearing. evidence, including affidavits, to the
(2) Each party must sign the original motion.
joint schedule. (c) Form and time. Except for oral mo-
(c) Time. The parties may agree to tions heard on the record, a motion
submit all prehearing motions and re- made prior to the hearing must be in
sponses and may agree to close dis- writing. Unless otherwise agreed by the
covery in the proceedings under the parties or for good cause shown, a
joint schedule within a reasonable time party must file any prehearing motion
before the date of the hearing, but not with the Federal Docket Management
later than 15 days before the hearing. System and serve each other party not
(d) Order establishing joint schedule. later than 30 days before the hearing.
The administrative law judge must ap- (d) Answers to motions. Any party may
prove the joint schedule filed by the file and serve an answer, with affida-
parties by signing the joint schedule vits or other evidence in support of the
and filing it with the Federal Docket answer, not later than 10 days after
Management System. service of a written motion on that

528
Commercial Space Transportation, FAA, DOT § 406.141
party. When a motion is made during a later than 10 days after service of the
hearing, the answer may be made at denial of the motion.
the hearing on the record, orally or in (i) Respondent’s motion to dismiss com-
writing, within a reasonable time de- plaint for failure to state a claim for
termined by the administrative law which a civil penalty may be imposed. A
judge. respondent may file a motion to dis-
(e) Rulings on motions. The adminis- miss the complaint for failure to state
trative law judge must rule on all mo- a claim for which a civil penalty may
tions as follows: be imposed instead of filing an answer.
(1) Discovery motions. The administra- The motion must show that the com-
tive law judge must resolve all pending plaint fails to state a violation of the
discovery motions not later than 10 Act, a regulation issued under the Act,
days before the hearing. or any term or condition of a license
(2) Prehearing motions. The adminis- issued or transferred under the Act.
trative law judge must resolve all (ii) Respondent’s motion to dismiss alle-
pending prehearing motions not later gations or complaint for staleness. In-
than 7 days before the hearing. If the stead of filing an answer to the com-
administrative law judge issues a rul- plaint, a respondent may move to dis-
ing or order orally, the administrative miss the complaint, or that part of the
law judge must serve a written copy of complaint that alleges a violation that
the ruling or order, within 3 days, on occurred more than 5 years before an
each party. In all other cases, the ad- agency attorney issued a notice of pro-
ministrative law judge must issue rul- posed civil penalty to the respondent,
ings and orders in writing and must as provided by 28 U.S.C. 2462.
serve a copy of the ruling or order on (iii) Respondent’s motion for more defi-
each party. nite statement. A respondent may file a
(3) Motions made during the hearing. motion requesting a more definite
The administrative law judge may statement of the allegations contained
issue rulings and orders on motions in the complaint instead of filing an
made during the hearing orally. Oral answer. The respondent must set forth,
rulings or orders on motions must be in detail, the indefinite or uncertain
made on the record. allegations contained in a complaint or
(f) Specific motions—(1) Complainant’s response to any pleading and must sub-
motion to dismiss a request for a hearing mit the details that the party believes
as prematurely filed. The complainant would make the allegation or response
may file a motion to dismiss a request definite and certain. If the administra-
for a hearing as prematurely filed in- tive law judge grants the motion, the
stead of filing a complaint. If the mo- complainant must supply a more defi-
tion is not granted, the complainant nite statement not later than 15 days
must file the complaint and must serve after service of the ruling granting the
a copy of the complaint on each party motion. If the complainant fails to sup-
not later than 10 days after service of ply a more definite statement, the ad-
the administrative law judge’s ruling ministrative law judge must strike the
or order on the motion to dismiss. If allegations in the complaint to which
the motion to dismiss is granted and the motion is directed. If the adminis-
the proceedings are terminated with- trative law judge denies the motion,
out a hearing, the respondent may file the respondent must file an answer and
an appeal in accordance with § 406.175. must serve a copy of the answer on
If required by the decision on appeal, each party not later than 10 days after
the complainant must file a complaint service of the order of denial.
and must serve a copy of the complaint (3) Other motions to dismiss. A party
on each party not later than 10 days may file a motion to dismiss, speci-
after service of the decision on appeal. fying the grounds for dismissal.
(2) Respondent’s motions instead of an (4) Complainant’s motion for more defi-
answer. A respondent may file one or nite statement. The complainant may
more of the following motions instead file a motion requesting a more defi-
of filing an answer. If the administra- nite statement if an answer fails to re-
tive law judge denies the motion, the spond clearly to the allegations in the
respondent must file an answer not complaint. The complainant must set

529
§ 406.143 14 CFR Ch. III (1–1–19 Edition)
forth, in detail, the indefinite or uncer- issue of material fact disputed by the
tain allegations contained in the an- parties.
swer and must submit the details that (8) Motion for disqualification. A party
the complainant believes would make may file a motion for disqualification.
the allegation or response definite and A party may file the motion at any
certain. If the administrative law judge time after the administrative law
grants the motion, the respondent judge has been assigned to the pro-
must supply a more definite statement ceedings but must make the motion be-
not later than 15 days after service of fore the administrative law judge files
the ruling on the motion. If the re- an initial decision in the proceedings.
spondent fails to supply a more definite (i) Motion and supporting affidavit. A
statement, the administrative law party must state the grounds for dis-
judge must strike those statements in qualification, including, but not lim-
the answer to which the motion is di- ited to, personal bias, pecuniary inter-
rected. An administrative law judge est, or other factors showing reason for
shall treat a respondent’s failure to disqualification, in the motion for dis-
supply a more definite statement as an qualification. A party must submit an
admission of unanswered allegations in affidavit with the motion for disquali-
the complaint. fication that sets forth, in detail, the
(5) Other motions for more definite matters alleged to constitute grounds
statement. A party may file a motion for disqualification.
for more definite statement of any (ii) Answer. A party may respond to
pleading that requires or permits a re- the motion for disqualification not
sponse under this subpart. A party later than 5 days after service of the
must set forth, in detail, each indefi- motion for disqualification.
nite or uncertain allegation contained (iii) Decision on motion for disqualifica-
in a pleading or response and must sub- tion. The administrative law judge
mit the details that would make each must issue a decision on the motion for
allegation definite and certain. disqualification not later than 15 days
(6) Motion to strike. Any party may after the motion has been filed. If the
make a motion to strike any insuffi- administrative law judge finds that the
cient allegation or defense, or any re- motion for disqualification and sup-
dundant, immaterial, or irrelevant porting affidavit show a basis for dis-
matter in a pleading. A party must file qualification, the administrative law
a motion to strike and must serve a judge must withdraw from the pro-
copy on each party before a response to ceedings immediately. If the adminis-
that pleading is required under this trative law judge finds that disquali-
subpart or, if a response is not re- fication is not warranted, the adminis-
quired, not later than 10 days after trative law judge must deny the mo-
service of the pleading. tion and state the grounds for the de-
nial on the record. If the administra-
(7) Motion for decision. A party may
tive law judge fails to rule on a party’s
make a motion for decision, regarding
motion for disqualification within 15
all or any part of the proceedings, at
days after the motion has been filed,
any time before the administrative law
the motion is granted.
judge has issued an initial decision in
the proceedings. The administrative [Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
law judge must grant a party’s motion 2001, as amended at 72 FR 68477, Dec. 5, 2007]
for decision if the pleadings, deposi-
tions, answers to interrogatories, ad- § 406.143 Discovery.
missions, matters that the administra- (a) Initiation of discovery. Any party
tive law judge has officially noticed, or may initiate discovery described in
evidence introduced during the hearing this section, without the consent or ap-
show that there is no genuine issue of proval of the administrative law judge,
material fact and that the party mak- at any time after a complaint has been
ing the motion is entitled to a decision filed.
as a matter of law. The party making (b) Methods of discovery. The fol-
the motion for decision has the burden lowing methods of discovery are per-
of showing that there is no genuine mitted under this section: depositions

530
Commercial Space Transportation, FAA, DOT § 406.143
on oral examination or written ques- (1) The information requested is cu-
tions of any person; written interrog- mulative or repetitious;
atories directed to a party; requests for (2) The information requested can be
production of documents or tangible obtained from another less burdensome
items to any person; and requests for and more convenient source;
admission by a party. A party is not re- (3) The party requesting the informa-
quired to file written interrogatories tion has had ample opportunity to ob-
and responses, requests for production tain the information through other dis-
of documents or tangible items and re- covery methods permitted under this
sponses, and requests for admission and section; or
responses with the Federal Docket (4) The method or scope of discovery
Management System or submit any of requested by the party is unduly bur-
them to the administrative law judge. densome or expensive.
In the event of a discovery dispute, a (g) Confidentiality order. A party or
party must attach a copy of these doc- person who has received a discovery re-
uments in support of a motion filed quest for information that is related to
under this section. a trade secret, confidential or sensitive
(c) Service on the agency. A party material, competitive or commercial
must serve each discovery request di- information, proprietary data, or infor-
rected to the agency or any agency em- mation on research and development,
ployee with the agency attorney. may file and serve a motion for a con-
(d) Time for response to discovery re- fidentiality order in accordance with
quest. Unless otherwise directed by this § 406.117.
subpart or agreed by the parties, a (h) Protective order. A party or a per-
party must respond to a request for son who has received a request for dis-
discovery, including filing objections covery may file a motion for protective
order and must serve a copy of the mo-
to a request for discovery, not later
tion for protective order on each party.
than 30 days after service of the re-
The party or person making the mo-
quest.
tion must show that the protective
(e) Scope of discovery. Subject to the order is necessary to protect the party
limits on discovery set forth in para- or the person from annoyance, embar-
graph (f) of this section, a party may rassment, oppression, or undue burden
discover any matter that is not privi- or expense. As part of the protective
leged and that is relevant to the sub- order, the administrative law judge
ject matter of the proceeding. A party may:
may discover information that relates (1) Deny the discovery request;
to the claim or defense of any party in- (2) Order that discovery be conducted
cluding the existence, description, na- only on specified terms and conditions,
ture, custody, condition, and location including a designation of the time or
of any document or other tangible item place for discovery or a determination
and the identity and location of any of the method of discovery; or
person having knowledge of discover- (3) Limit the scope of discovery or
able matter. A party may discover preclude any inquiry into certain mat-
facts known, or opinions held, by an ters during discovery.
expert who any other party expects to (i) Duty to supplement or amend re-
call to testify at the hearing. A party sponse. A party who has responded to a
has no ground to object to a discovery discovery request has a duty to supple-
request on the basis that the informa- ment or amend the response, as soon as
tion sought would not be admissible at the information is known, as follows:
the hearing if the information sought (1) A party must supplement or
during discovery is reasonably cal- amend any response to a question re-
culated to lead to the discovery of ad- questing the identity and location of
missible evidence. any person having knowledge of discov-
(f) Limiting discovery. The administra- erable matters.
tive law judge must limit the fre- (2) A party must supplement or
quency and extent of discovery per- amend any response to a question re-
mitted by this section if a party shows questing the identity of each person
that— who will be called to testify at the

531
§ 406.143 14 CFR Ch. III (1–1–19 Edition)
hearing as an expert witness and the to each other party. Each subpart of an
subject matter and substance of that interrogatory must be counted as a
witness’ testimony. separate interrogatory.
(3) A party must supplement or (2) A party must file a motion for
amend any response that was incorrect leave to serve more than 30 interrog-
when made or any response that was atories on a party before serving addi-
correct when made but is no longer tional interrogatories on a party. The
correct, accurate, or complete. administrative law judge must grant
(j) Depositions. The following rules the motion only if the party shows
apply to all depositions taken pursuant good cause for the party’s failure to in-
to this section: quire about the information previously
(1) Form. A deposition must be taken and that the information cannot rea-
on the record and reduced to writing. sonably be obtained using less burden-
The person being deposed must sign the some discovery methods or be obtained
deposition unless the parties agree to from other sources.
waive the requirement of a signature. (3) A party must answer each inter-
(2) Administration of oaths. Within the rogatory separately and completely in
United States, or a territory or posses- writing.
sion subject to the jurisdiction of the (4) A party, or the party’s attorney or
United States, a party must take a representative of record, must sign the
deposition before a person authorized party’s responses to interrogatories.
to administer oaths by the laws of the (5) If a party objects to an interrog-
United States or authorized by the law atory, the party must state the objec-
of the place where the examination is tion and the reasons for the objection.
held. In a foreign country, a party (6) An opposing party may offer into
must take a deposition in any manner evidence any part or all of a party’s re-
allowed by the Federal Rules of Civil sponses to interrogatories at a hearing
Procedure. under this subpart to the extent that
(3) Notice of deposition. A party must the response is relevant, material, and
serve a notice of deposition, stating the not repetitious.
time and place of the deposition and (l) Requests for admission. A party
the name and address of each person to may serve a written request for admis-
be examined, on the person to be de- sion of the truth of any matter within
posed, must submit the notice to the the scope of discovery under this sec-
administrative law judge, and must file tion or the authenticity of any docu-
the notice with the Federal Docket ment described in the request. A party
Management System, and must serve must set forth each request for admis-
the notice on each party, not later sion separately. A party must serve a
than 7 days before the deposition. A copy of each document referenced in
party may serve a notice of deposition the request for admission unless the
less than 7 days before the deposition document has been provided or is rea-
only with consent of the administra- sonably available for inspection and
tive law judge. If a subpoena duces copying.
tecum is to be served on the person to (1) Time. A party’s failure to respond
be examined, the party must attach to to a request for admission is not later
the notice of deposition a copy of the than 30 days after service of the re-
subpoena duces tecum that describes quest constitutes an admission of the
the materials to be produced at the truth of the statement or statements
deposition. contained in the request for admission.
(4) Use of depositions. A party may use The administrative law judge may de-
any part or all of a deposition at a termine that a failure to respond to a
hearing authorized under this subpart request for admission does not con-
only upon a showing of good cause. The stitute an admission of the truth if a
deposition may be used against any party shows that the failure was due to
party who was present or represented circumstances beyond the control of
at the deposition or who had reason- the party or the party’s attorney or
able notice of the deposition. representative.
(k) Interrogatories. (1) A party may (2) Response. A party may object to a
not serve more than 30 interrogatories request for admission. The objection

532
Commercial Space Transportation, FAA, DOT § 406.149
must be in writing and signed by the (4) Preclude that portion of the testi-
party or the party’s attorney or rep- mony of that party’s witnesses at the
resentative of record, and must state hearing.
the reasons for objection. A party may [Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
specifically deny the truth of the mat- 2001, as amended at 72 FR 68477, Dec. 5, 2007]
ter or describe the reasons why the
party is unable to truthfully deny or § 406.147 Notice of hearing.
admit the matter. If a party is unable (a) Notice. The administrative law
to deny or admit the truth of the mat- judge must give each party at least 60
ter, the party must show that the days notice of the date, time, and loca-
party has made reasonable inquiry into tion of the hearing.
the matter or that the information (b) Date, time, and location of the hear-
known to, or readily obtainable by, the ing. The administrative law judge must
party is insufficient to enable the set a reasonable date, time, and loca-
party to admit or deny the matter. A tion for the hearing within the United
party may admit or deny any part of States. The administrative law judge
the request for admission. If an admin- must consider the need for discovery
istrative law judge determines that a and any joint procedural or discovery
response does not comply with the re- schedule submitted by the parties when
quirements of this rule or that the re- determining the hearing date. The ad-
sponse is insufficient, the matter is ad- ministrative law judge must give due
mitted. regard to the convenience of the par-
(3) Effect of admission. Any matter ad- ties, the location where the majority of
mitted or treated as admitted under the witnesses reside or work, and
this section is conclusively established whether a scheduled air carrier serves
for the purpose of the hearing and ap- the location.
peal. (c) Earlier hearing. With the consent
of the administrative law judge, the
(m) Motion to compel discovery. A
parties may agree to hold the hearing
party may make a motion to compel
on an earlier date than the date speci-
discovery if a person refuses to answer fied in the notice of hearing.
a question during a deposition, a party
(d) Space hearing consolidated with
fails or refuses to answer an interrog-
aviation hearing under 14 CFR part 13
atory, a person gives an evasive or in- subpart G. With the consent of the ad-
complete answer during a deposition or ministrative law judge, the parties
when responding to an interrogatory, may agree to hold the hearing, or parts
or a party fails or refuses to produce of the hearing, together with a hearing
documents or tangible items. During a under 14 CFR part 13 subpart G if the
deposition, the proponent of a question cases involve some common issues of
may complete the deposition or may fact. If the hearings are consolidated,
adjourn the examination before mak- the administrative law judge may issue
ing a motion to compel if a person re- a consolidated initial decision covering
fuses to answer. both cases. The Administrator will
(n) Failure to comply with a discovery serve as the FAA decisionmaker on ap-
order or order to compel. If a party fails peal for both cases and will issue a con-
to comply with a discovery order or an solidated decision, with the Associate
order to compel, the administrative Administrator for Commercial Space
law judge, limited to the extent of the Transportation serving as an advisor to
party’s failure to comply with the dis- the FAA decisionmaker.
covery order or motion to compel,
may: § 406.149 Evidence.
(1) Strike that portion of a party’s (a) General. A party is entitled to
pleadings; present the party’s case or defense by
(2) Preclude prehearing or discovery oral, documentary, or demonstrative
motions by that party; evidence, to submit rebuttal evidence,
(3) Preclude admission of that por- and to conduct any cross-examination
tion of a party’s evidence at the hear- that may be required for a full and true
ing; or disclosure of the facts.

533
§ 406.151 14 CFR Ch. III (1–1–19 Edition)
(b) Admissibility. A party may intro- § 406.159 Subpoenas.
duce any oral, documentary, or demon-
(a) Request for subpoena. A party may
strative evidence in support of the par-
obtain from the administrative law
ty’s case or defense. The administra-
judge a subpoena to compel the attend-
tive law judge must admit any oral,
ance of a witness at a deposition or
documentary, or demonstrative evi-
dence introduced by a party but must hearing or to require the production of
exclude irrelevant, immaterial, or un- documents or tangible items. The ad-
duly repetitious evidence. ministrative law judge must deliver
(c) Hearsay evidence. Hearsay evi- the subpoena, signed by the adminis-
dence is admissible in proceedings gov- trative law judge but otherwise in
erned by this subpart. The fact that blank, to the party. The party must
evidence submitted by a party is hear- complete the subpoena, stating the
say goes only to the weight of the evi- title of the action and the date and
dence and does not affect its admissi- time for the witness’ attendance or
bility. production of documents or items. The
party who obtained the subpoena must
§ 406.151 Standard of proof. serve the subpoena on the witness.
The administrative law judge must (b) Motion to quash or modify the sub-
issue an initial decision or must rule in poena. A party, or any person upon
a party’s favor only if the decision or whom a subpoena has been served, may
ruling is supported by, and in accord- file a motion to quash or modify the
ance with, the reliable, probative, and subpoena at or before the time speci-
substantial evidence contained in the fied in the subpoena for compliance.
record. In order to prevail, the party The applicant must describe, in detail,
with the burden of proof must prove the basis for the motion to quash or
the party’s case or defense by a prepon- modify the subpoena including, but not
derance of reliable, probative, and sub- limited to, a statement that the testi-
stantial evidence. mony, document, or tangible evidence
is not relevant to the proceeding, that
§ 406.153 Burden of proof. the subpoena is not reasonably tailored
(a) Except in the case of an affirma- to the scope of the proceeding, or that
tive defense, in a civil penalty adju- the subpoena is unreasonable and op-
dication the burden of proof is on the pressive. A motion to quash or modify
complainant. the subpoena will stay the effect of the
(b) Except as otherwise provided by subpoena pending a decision by the ad-
statute or rule, the proponent of a mo- ministrative law judge on the motion.
tion, request, or order has the burden (c) Enforcement of subpoena. Upon a
of proof. showing that a person has failed or re-
(c) A party who has asserted an af- fused to comply with a subpoena, the
firmative defense has the burden of Secretary may apply to the appro-
proving the affirmative defense. priate district court of the United
States to seek enforcement of the sub-
§ 406.155 Offer of proof. poena in accordance with 51 U.S.C.
A party whose evidence has been ex- 50917(c). A party may request the Sec-
cluded by a ruling of the administra- retary to seek such enforcement.
tive law judge may offer the evidence [Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
for the record on appeal. 2001, as amended by Amdt. 406–7, 77 FR 20533,
Apr. 5, 2012]
§ 406.157 Expert or opinion witnesses.
An employee of the FAA may not be § 406.161 Witness fees.
called as an expert or opinion witness (a) General. Unless otherwise author-
for any party other than the agency, in ized by the administrative law judge,
any proceeding governed by this part. the party who applies for a subpoena to
An employee of a respondent may not compel the attendance of a witness at
be called as an expert or opinion wit- a deposition or hearing, or the party at
ness for the complainant in any pro- whose request a witness appears at a
ceeding governed by this part to which deposition or hearing, must pay the
the respondent is a party. witness fees described in this section.

534
Commercial Space Transportation, FAA, DOT § 406.173
(b) Amount. Except for an employee written post-hearing brief, the party
of the agency who appears at the direc- must include proposed findings of fact
tion of the agency, a witness who ap- and conclusions of law, exceptions to
pears at a deposition or hearing is enti- rulings of the administrative law
tled to the same fees and mileage ex- judge, and supporting arguments for
penses as are paid to a witness in a the findings, conclusions, or excep-
court of the United States in com- tions. The administrative law judge
parable circumstances. must give the parties a reasonable op-
portunity, not more than 30 days after
§ 406.163 Record. receipt of the transcript, to prepare
(a) Exclusive record. The transcript of and submit the briefs.
all testimony in the hearing; all exhib-
its received into evidence; the com- § 406.167 Initial decision.
plaint, answer, and amendments there- (a) Contents. The administrative law
to; all motions, applications, and re- judge must issue an initial decision at
quests, and responses thereto; and all the conclusion of the hearing. In each
rulings constitute the exclusive record oral or written decision, the adminis-
for decision of the proceedings and the trative law judge must include findings
basis for the issuance of any orders in of fact and conclusions of law, and the
the proceeding. grounds supporting those findings and
(b) A person may keep the original conclusions, upon all material issues of
document, data, or other evidence, fact, the credibility of witnesses, the
with the consent of the administrative applicable law, any exercise of the ad-
law judge, by substituting a legible ministrative law judge’s discretion, the
copy for the record. amount of any civil penalty found ap-
propriate by the administrative law
§ 406.165 Argument before the admin- judge, and a discussion of the basis for
istrative law judge. any order issued in the proceedings.
(a) Argument during the hearing. Dur- The administrative law judge is not re-
ing the hearing, the administrative law quired to provide a written explanation
judge must give the parties a reason- for rulings on objections, procedural
able opportunity to present arguments motions, and other matters not di-
on the record supporting or opposing rectly relevant to the substance of the
motions, objections, and rulings if the initial decision. If the administrative
parties request an opportunity for ar- law judge refers to any previous unre-
gument. The administrative law judge ported or unpublished initial decision,
may request written arguments during the administrative law judge must
the hearing if the administrative law make copies of that initial decision
judge finds that submission of written available to all parties and the FAA de-
arguments would be reasonable. cisionmaker.
(b) Final oral argument. At the conclu- (b) Oral decision. Except as provided
sion of the hearing and before the ad- in paragraph (c) of this section, at the
ministrative law judge issues an initial conclusion of the hearing, the adminis-
decision in the proceedings, the parties trative law judge must issue the initial
are entitled to submit oral proposed decision and order orally on the record.
findings of fact and conclusions of law, (c) Written decision. The administra-
exceptions to rulings of the adminis- tive law judge may issue a written ini-
trative law judge, and supporting argu- tial decision not later than 30 days
ments for the findings, conclusions, or after the conclusion of the hearing or
exceptions. At the conclusion of the submission of the last posthearing brief
hearing, a party may waive final oral if the administrative law judge finds
argument. that issuing a written initial decision
(c) Post-hearing briefs. The adminis- is reasonable. The administrative law
trative law judge may request written judge must serve a copy of any written
post-hearing briefs before the adminis- initial decision on each party.
trative law judge issues an initial deci-
sion if the administrative law judge § 406.173 Interlocutory appeals.
finds that submission of written briefs (a) General. Unless otherwise pro-
would be reasonable. If a party files a vided in this subpart, a party may not

535
§ 406.175 14 CFR Ch. III (1–1–19 Edition)
appeal a ruling or decision of the ad- later than 10 days after the administra-
ministrative law judge to the FAA de- tive law judge’s decision granting an
cisionmaker until the initial decision interlocutory appeal for cause. A party
has been entered on the record. A deci- must file with the Federal Docket
sion or order of the FAA decisionmaker Management System a reply brief, if
on an interlocutory appeal does not any, and serve a copy of the reply brief
constitute a final order of the Sec- on each party, not later than 10 days
retary for the purposes of judicial re- after service of the appeal brief. The
view under 5 U.S.C. chapter 7. FAA decisionmaker must render a de-
(b) Interlocutory appeal for cause. If a cision on the interlocutory appeal, on
party files a written request for an in- the record and as a part of the decision
terlocutory appeal for cause, or orally in the proceedings, within a reasonable
requests an interlocutory appeal for time after receipt of the interlocutory
cause, the proceedings are stayed until appeal.
the administrative law judge issues a (e) Rejection of interlocutory appeal.
decision on the request. If the adminis- The FAA decisionmaker may reject
trative law judge grants the request, frivolous, repetitive, or dilatory ap-
the proceedings are stayed until the peals, and may issue an order pre-
FAA decisionmaker issues a decision cluding one or more parties from mak-
on the interlocutory appeal. The ad- ing further interlocutory appeals in a
ministrative law judge must grant an proceeding in which there have been
interlocutory appeal for cause if a frivolous, repetitive, or dilatory inter-
party shows that delay of the inter- locutory appeals.
locutory appeal would be detrimental [Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
to the public interest or would result 2001, as amended at 72 FR 68477, Dec. 5, 2007;
in undue prejudice to any party. Amdt. 406–7, 77 FR 20533, Apr. 5, 2012]
(c) Interlocutory appeals of right. If a
party notifies the administrative law § 406.175 Appeal from initial decision.
judge of an interlocutory appeal of (a) Notice of appeal. A party may ap-
right, the proceedings are stayed until peal the initial decision, and any deci-
the FAA decisionmaker issues a deci- sion not previously appealed pursuant
sion on the interlocutory appeal. A to 406.173, by filing with the Federal
party may file an interlocutory appeal, Docket Management System and serv-
without the consent of the administra- ing on each party a notice of appeal. A
tive law judge, before an initial deci- party must file the notice of appeal not
sion has been entered in the case of: later than 10 days after entry of the
(1) A ruling or order by the adminis- oral initial decision on the record or
trative law judge barring a party, or a service of the written initial decision
party’s attorney or representative, on the parties.
from the proceedings. (b) Issues on appeal. A party may ap-
(2) A ruling or order by the adminis- peal only the following issues:
trative law judge allegedly in violation (1) Whether each finding of fact is
of the limitations on the administra- supported by a preponderance of reli-
tive law judge under § 406.109(c). able, probative, and substantial evi-
(3) Failure of the administrative law dence;
judge to grant a motion for a confiden- (2) Whether each conclusion of law is
tiality order based on 51 U.S.C. 50916, made in accordance with applicable
under § 406.117(c)(2). law, precedent, and public policy; and
(4) Failure of the administrative law (3) Whether the administrative law
judge to dismiss the proceedings in ac- judge committed any prejudicial errors
cordance with § 406.135. during the hearing that support the ap-
(d) Procedure. A party must file with peal.
the Federal Docket Management Sys- (c) Perfecting an appeal. Unless other-
tem and serve each other party a no- wise agreed by the parties, a party
tice of interlocutory appeal, with sup- must perfect an appeal, not later than
porting documents, not later than 10 50 days after entry of the oral initial
days after the administrative law decision on the record or service of the
judge’s decision forming the basis of an written initial decision on the party,
interlocutory appeal of right or not by filing an appeal brief.

536
Commercial Space Transportation, FAA, DOT § 406.175
(1) Extension of time by agreement of filing a reply brief, a party desiring an
the parties. The parties may agree to extension of time may file and serve a
extend the time for perfecting the ap- motion for an extension and must serve
peal with the consent of the FAA deci- a copy of the motion on each party.
sionmaker, who serves a letter con- The FAA decisionmaker may grant an
firming the extension of time on each extension if good cause for the exten-
party. sion is shown in the motion.
(2) Motion for extension. If the parties (f) Other briefs. The FAA decision-
do not agree to an extension of time for maker may allow any person to submit
perfecting an appeal, a party desiring an amicus curiae brief in an appeal of
an extension of time may file a motion an initial decision. A party may not
for an extension and must serve a copy file more than one appeal brief or reply
of the motion on each party. The FAA brief without permission of the FAA
decisionmaker may grant an extension decisionmaker. A party may file with
if good cause for the extension is shown the Federal Docket Management Sys-
in the motion. tem a motion for permission to file an
(d) Appeal briefs. A party must file additional brief and must serve a copy
the appeal brief with the Federal Dock- of the motion on each other party. The
et Management System and serve each party may not file the additional brief
party. with the motion. The FAA decision-
(1) A party must set forth, in detail, maker may grant permission to file an
the party’s specific objections to the additional brief if the party dem-
initial decision or rulings in the appeal onstrates good cause for allowing addi-
brief. A party also must set forth, in tional argument on the appeal. The
detail, the basis for the appeal, the rea- FAA decisionmaker will allow a rea-
sons supporting the appeal, and the re- sonable time for the party to file the
lief requested in the appeal. If the additional brief.
party relies on evidence contained in (g) Number of copies. A party must file
the record for the appeal, the party the original brief and two copies of the
must specifically refer to the pertinent brief with the Federal Docket Manage-
evidence contained in the record in the ment System and serve one copy on
appeal brief. each other party.
(2) The FAA decisionmaker may dis- (h) Oral argument. The FAA decision-
miss an appeal, on the FAA decision- maker has sole discretion to permit
maker’s own initiative or upon motion oral argument on the appeal. On the
of any other party, where a party has FAA decisionmaker’s own initiative or
filed a notice of appeal but fails to per- upon written motion by any party, the
fect the appeal by timely filing an ap- FAA decisionmaker may find that oral
peal brief. argument will contribute substantially
(e) Reply brief. Unless otherwise to the development of the issues on ap-
agreed by the parties, any party may peal and may grant the parties an op-
file a reply brief with the Federal portunity for oral argument.
Docket Management System and serve (i) Waiver of objections on appeal. If a
on each other party not later than 35 party fails to object to any alleged
days after the appeal brief has been error regarding the proceedings in an
served on that party. If the party relies appeal or a reply brief, the party
on evidence contained in the record for waives any objection to the alleged
the reply, the party must specifically error. The FAA decisionmaker is not
refer to the pertinent evidence con- required to consider any objection or
tained in the record in the reply brief. argument in a brief if the party does
(1) Extension of time by agreement of not specifically refer in the brief to the
the parties. The parties may agree to pertinent evidence from the record.
extend the time for filing a reply brief (j) FAA decisionmaker’s decision on ap-
with the consent of the FAA decision- peal. The FAA decisionmaker will re-
maker, who will serve a letter con- view the record, the briefs on appeal,
firming the extension of time on each and the oral argument, if any, to deter-
party. mine if the administrative law judge
(2) Motion for extension. If the parties committed prejudicial error in the pro-
do not agree to an extension of time for ceedings or that the initial decision

537
§ 406.177 14 CFR Ch. III (1–1–19 Edition)
should be affirmed, modified, or re- after service of the FAA decision-
versed. The FAA decisionmaker may maker’s final decision and order on ap-
affirm, modify, or reverse the initial peal and must serve a copy of the peti-
decision, make any necessary findings, tion on each party. The FAA decision-
or may remand the case for any pro- maker will not reconsider or modify an
ceedings that the FAA decisionmaker initial decision and order issued by an
determines may be necessary. administrative law judge that has not
(1) The FAA decisionmaker may raise been appealed by any party to the FAA
any issue, on the FAA decisionmaker’s decisionmaker.
own initiative, that is required for (b) Contents. A party must state
proper disposition of the proceedings. briefly and specifically the alleged er-
The FAA decisionmaker will give the rors in the final decision and order on
parties a reasonable opportunity to appeal, the relief sought by the party,
submit arguments on the new issues and the grounds that support, the peti-
before making a decision on appeal. If tion to reconsider or modify.
an issue raised by the FAA decision- (1) If the petition is based, in whole
maker requires the consideration of ad- or in part, on allegations regarding the
ditional testimony or evidence, the consequences of the FAA decision-
FAA decisionmaker will remand the maker’s decision, the party must de-
case to the administrative law judge
scribe these allegations and must de-
for further proceedings and an initial
scribe, and support, the basis for the
decision related to that issue. If an
allegations.
issue raised by the FAA decisionmaker
is solely an issue of law or the issue (2) If the petition is based, in whole
was addressed at the hearing but was or in part, on new material not pre-
not raised by a party in the briefs on viously raised in the proceedings, the
appeal, a remand of the case to the ad- party must set forth the new material
ministrative law judge for further pro- and include affidavits of prospective
ceedings is not required but may be witnesses and authenticated docu-
provided in the discretion of the FAA ments that would be introduced in sup-
decisionmaker. port of the new material. The party
(2) The FAA decisionmaker will issue must explain, in detail, why the new
the final decision and order of the Ad- material was not discovered through
ministrator on appeal in writing and due diligence prior to the hearing.
will serve a copy of the decision and (c) Repetitious and frivolous petition.
order on each party. The FAA decisionmaker will not con-
(3) A final decision and order of the sider a repetitious or frivolous peti-
FAA decisionmaker is precedent in any tion. The FAA decisionmaker may
other civil penalty action under this summarily dismiss any repetitious or
part. Any issue, finding or conclusion, frivolous petition to reconsider or mod-
order, ruling, or initial decision of an ify.
administrative law judge that has not (d) Reply to petition. Any other party
been appealed to the FAA decision- may reply to a petition to reconsider
maker is not precedent in any other or modify, not later than 10 days after
civil penalty action. service of the petition on that party,
by filing a reply. A party must serve a
[Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
2001, as amended at 72 FR 68477, Dec. 5, 2007] copy of the reply on each party.
(e) Effect of filing petition. Unless oth-
§ 406.177 Petition to reconsider or erwise ordered by the FAA decision-
modify a final decision and order of maker, filing a petition under this sec-
the FAA decisionmaker on appeal. tion stays the effective date of the
(a) General. Any party may petition FAA decisionmaker’s final decision
the FAA decisionmaker to reconsider and order on appeal, and tolls the time
or modify a final decision and order allowed for judicial review.
issued by the FAA decisionmaker on (f) FAA decisionmaker’s decision on pe-
appeal from an initial decision. A party tition. The FAA decisionmaker may af-
must file a petition to reconsider or firm, modify, or reverse the final deci-
modify with the Federal Docket Man- sion and order on appeal, or may re-
agement System not later than 30 days mand the case for any proceedings that

538
Commercial Space Transportation, FAA, DOT § 406.179
the FAA decisionmaker determines (b) In accordance with § 406.9(e)(iv), if
may be necessary. a person seeks judicial review not later
than 60 days after the final decision
[Doc. No. FAA–2001–8607, 66 FR 2180, Jan. 10,
and order has been served on the re-
2001, as amended at 72 FR 68477, Dec. 5, 2007]
spondent, the final decision and order
§ 406.179 Judicial review of a final de- is stayed.
cision and order. (c) In accordance with § 406.9(i), if a
respondent does not pay a civil penalty
(a) A person may seek judicial review and does not file an appeal with the
of a final decision and order of the FAA United States district court within 60
decisionmaker as provided in 5 U.S.C. days after service of the final decision
chapter 7 and 28 U.S.C. 1331. A party and order, the FAA may refer the order
seeking judicial review must file with a to the United States Department of
United States district court. Treasury or Department of Justice to
collect the civil penalty.

539
 SUBCHAPTER C—LICENSING

PART 411 [RESERVED] (3) Reenter a reentry vehicle in the

United States; or
PART 413—LICENSE APPLICATION (4) Operate a reentry site within the
United States.
PROCEDURES
(c) A person who is a U.S. citizen or
Sec. an entity organized under the laws of
413.1 Scope of this part. the United States or any State must
413.3 Who must obtain a license or permit. obtain a license to—
413.5 Pre-application consultation. (1) Launch a launch vehicle outside
413.7 Application. the United States;
413.9 Confidentiality. (2) Operate a launch site outside the
413.11 Acceptance of an application.
413.13 Complete application. United States;
413.15 Review period. (3) Reenter a reentry vehicle outside
413.17 Continuing accuracy of application; the United States; or
supplemental information; amendment. (4) Operate a reentry site outside the
413.19 Issuing a license or permit. United States.
413.21 Denial of a license application.
413.23 License or permit renewal. (d) A foreign entity in which a United
States citizen has a controlling inter-
AUTHORITY: 51 U.S.C. 50901–50923. est must obtain a license to launch a
SOURCE: Amdt. 413–03, 64 FR 19614, Apr. 21, launch vehicle from or to operate a
1999, unless otherwise noted. launch site in—
(1) Any place that is outside the ter-
§ 413.1 Scope of this part. ritory or territorial waters of any na-
(a) This part explains how to apply tion, unless there is an agreement in
for a license or experimental permit. force between the United States and a
These procedures apply to all applica- foreign nation providing that such for-
tions for issuing a license or permit, eign nation has jurisdiction over the
transferring a license, and renewing a launch or the operation of the launch
license or permit. site; or
(b) Use the following table to locate (2) The territory of any foreign na-
specific requirements: tion, including its territorial waters, if
Subject Part there is an agreement in force between
the United States and that foreign na-
(1) Obtaining a Launch License ................................ 415 tion providing that the United States
(2) License to Operate a Launch Site ....................... 420
(3) Launch and Reentry of a Reusable Launch Ve- has jurisdiction over the launch or the
hicle (RLV) ............................................................. 431 operation of the launch site.
(4) License to Operate a Reentry Site ...................... 433 (e) A foreign entity in which a U.S.
(5) Reentry of a Reentry Vehicle other than a Reus-
able Launch Vehicle (RLV) .................................... 435 citizen has a controlling interest must
(6) Experimental Permits ........................................... 437 obtain a license to reenter a reentry
vehicle or to operate a reentry site in—
[Doc. No. FAA–2006–24197, 72 FR 17017, Apr. 6, (1) Any place that is outside the ter-
2007] ritory or territorial waters of any na-
tion, unless there is an agreement in
§ 413.3 Who must obtain a license or force between the United States and a
permit. foreign nation providing that such for-
(a) A person must obtain a license in eign nation has jurisdiction over the
accordance with this section, unless el- reentry or the operation of the reentry
igible for an experimental permit site; or
under paragraph (f) of this section. (2) The territory of any foreign na-
(b) A person must obtain a license tion if there is an agreement in force
to— between the United States and that
(1) Launch a launch vehicle from the foreign nation providing that the
United States; United States has jurisdiction over the
(2) Operate a launch site within the reentry or the operation of the reentry
United States; site.

540
Commercial Space Transportation, FAA, DOT § 413.7
(f) A person, individual, or foreign en- (ii) The cover letter must identify
tity otherwise requiring a license each document that is included on the
under this section may instead obtain physical electronic storage; and
an experimental permit to launch or (iii) The physical electronic storage
reenter a reusable suborbital rocket must be in a format such that its con-
under part 437 of this chapter. tents cannot be altered.
(3) For an application submitted by
[Doc. No. FAA–2006–24197, 72 FR 17017, Apr. 6,
email, an applicant must send the ap-
2007]
plication as an email attachment to
§ 413.5 Pre-application consultation. [email protected]. The applica-
tion and the email to which the appli-
A prospective applicant must consult cation is attached must also satisfy the
with the FAA before submitting an ap- following criteria:
plication to discuss the application (i) The email to which the applica-
process and possible issues relevant to tion is attached must be sent from an
the FAA’s licensing or permitting deci- email address controlled by the person
sion. Early consultation helps an appli- who signed the application or by an au-
cant to identify possible regulatory thorized representative of the appli-
issues at the planning stage when cant; and
changes to an application or to pro- (ii) The application must be in a for-
posed licensed or permitted activities mat that cannot be altered.
are less likely to result in significant (b) Administrative information. An ap-
delay or costs to the applicant. plication must identify the following:
(1) The name and address of the ap-
[Doc. No. FAA–2006–24197, 72 FR 17018, Apr. 6,
plicant;
2007]
(2) The name, address, and telephone
§ 413.7 Application. number of any person to whom inquir-
ies and correspondence should be di-
(a) An applicant must make an appli- rected; and
cation in writing and in English. The (3) The type of license or permit for
applicant must file the application which the applicant is applying.
with the Federal Aviation Administra- (c) Signature and certification of accu-
tion either by paper, by use of physical racy. An application must be legibly
electronic storage, or by email in the signed, dated, and certified as true,
following manner: complete, and accurate by one of the
(1) For applications submitted on following:
paper, an applicant must send two cop- (1) For a corporation: An officer or
ies of the application to the Federal other individual authorized to act for
Aviation Administration, Associate the corporation in licensing or permit-
Administrator for Commercial Space ting matters.
Transportation, Room 331, 800 Inde- (2) For a partnership or a sole propri-
pendence Avenue SW., Washington, DC etorship: A general partner or propri-
20591. Attention: Application Review. etor, respectively.
(2) For an application submitted by (3) For a joint venture, association,
use of physical electronic storage, the or other entity: An officer or other in-
applicant must either mail the applica- dividual authorized to act for the joint
tion to the address specified in para- venture, association, or other entity in
graph (a)(1) of this section or hand-de- licensing or permitting matters.
liver the application to an authorized (d) Safety approval. If the applicant
FAA representative. The application proposes to include a safety element
and the physical electronic storage for which the FAA issued a safety ap-
containing the application must also proval under part 414 in the proposed
satisfy all of the following criteria: license activity, the applicant must—
(i) The application must include a (1) Identify the safety approval in the
cover letter that is printed on paper application and explain the proposed
and signed by the person who signed use of the approved safety element.
the application or by an authorized (2) Show that the proposed use of the
representative of the applicant; approved safety element is consistent

541
§ 413.9 14 CFR Ch. III (1–1–19 Edition)
with the designated scope specified in § 413.11 Acceptance of an application.
the safety approval. The FAA will initially screen an ap-
(3) Certify that the safety element plication to determine whether it is
will be used according to any terms complete enough for the FAA to start
and conditions of the issued safety ap- its review. After completing the initial
proval. screening, the FAA will notify the ap-
(e) Measurement system consistency. plicant in writing of one of the fol-
For each analysis, an applicant must lowing:
employ a consistent measurements sys- (a) The FAA accepts the application
tem, whether English or metric, in its and will initiate the reviews required
application and licensing information. to make a decision about the license or
permit; or
[Amdt. 413–03, 64 FR 19614, Apr. 21, 1999, as (b) The application is so incomplete
amended by Amdt. 413–6, 71 FR 46852, Aug. 15, or indefinite that the FAA cannot start
2006; Amdt. 413–8, 71 FR 51972, Aug. 31, 2006;
to evaluate it. The FAA will reject it
Amdt. 413–7, 71 FR 56005, Sept. 26, 2006; Amdt.
and notify the applicant, stating each
413–9, 72 FR 17018, Apr. 6, 2007; Amdt. 413–11,
80 FR 30151, May 27, 2015] reason for rejecting it and what action
the applicant must take for the FAA to
§ 413.9 Confidentiality. accept the application. The FAA may
return a rejected application to the ap-
(a) Any person furnishing informa- plicant or may hold it until the appli-
tion or data to the FAA may request in cant takes the required actions.
writing that trade secrets or propri-
[Doc. No. FAA–2006–24197, 72 FR 17018, Apr. 6,
etary commercial or financial data be
2007]
treated as confidential. The request
must be made at the time the informa- § 413.13 Complete application.
tion or data is submitted, and state the
The FAA’s acceptance of an applica-
period of time for which confidential tion does not mean it has determined
treatment is desired. that the application is complete. If, in
(b) Information or data for which any addition to the information required by
person or agency requests confiden- this chapter, the FAA requires other
tiality must be clearly marked with an information necessary for a determina-
identifying legend, such as ‘‘Propri- tion that public health and safety,
etary Information,’’ ‘‘Proprietary Com- safety of property, and national secu-
mercial Information,’’ ‘‘Trade Secret,’’ rity and foreign policy interests of the
or ‘‘Confidential Treatment Re- United States are protected during the
quested.’’ Where this marking proves conduct of a licensed or permitted ac-
impracticable, a cover sheet containing tivity, an applicant must submit the
the identifying legend must be securely additional information.
attached to the compilation of infor-
[Doc. No. FAA–2006–24197, 72 FR 17018, Apr. 6,
mation or data for which confidential 2007]
treatment is requested.
(c) If a person requests that pre- § 413.15 Review period.
viously submitted information or data (a) Review period duration. Unless oth-
be treated confidentially, the FAA will erwise specified in this chapter, the
do so to the extent practicable in light FAA reviews and makes a decision on
of any prior distribution of the infor- an application within 180 days of re-
mation or data. ceiving an accepted license application
(d) Information or data for which or within 120 days of receiving an ac-
confidential treatment has been re- cepted permit application.
quested or information or data that (b) Review period tolled. If an accepted
qualifies for exemption under section application does not provide sufficient
552(b)(4) of Title 5, United States Code, information to continue or complete
will not be disclosed to the public un- the reviews or evaluations required by
less the Associate Administrator deter- this chapter for a licensing or permit-
mines that the withholding of the in- ting determination, or an issue exists
formation or data is contrary to the that would affect a determination, the
public or national interest. FAA notifies the applicant, in writing,

542
Commercial Space Transportation, FAA, DOT § 413.23
and informs the applicant of any infor- this chapter, the FAA issues a license
mation required to complete the appli- or permit to the applicant.
cation. If the FAA cannot review an ac- [Doc. No. FAA–2006–24197, 72 FR 17019, Apr. 6,
cepted application because of lack of 2007]
information or for any other reason,
the FAA will toll the 180-day or 120-day § 413.21 Denial of a license application.
review period until the FAA receives
(a) The FAA informs an applicant, in
the information it needs or the appli-
writing, if it denies an application and
cant resolves the issue.
states the reasons for denial.
(c) Notice. If the FAA does not make
(b) If the FAA has denied an applica-
a decision within 120 days of receiving
tion, the applicant may either:
an accepted license application or
(1) Attempt to correct any defi-
within 90 days of receiving an accepted
ciencies identified and ask the FAA to
permit application, the FAA informs
reconsider the revised application. The
the applicant, in writing, of any out-
FAA has 60 days or the number of days
standing information needed to com-
remaining in the review period, which-
plete the review, or of any issues that
ever is greater, within which to recon-
would affect the decision.
sider the decision; or
[Doc. No. FAA–2006–24197, 72 FR 17018, Apr. 6, (2) Request a hearing in accordance
2007] with part 406 of this chapter, for the
purpose of showing why the application
§ 413.17 Continuing accuracy of appli- should not be denied.
cation; supplemental information; (c) An applicant whose license appli-
amendment.
cation is denied after reconsideration
(a) An applicant must ensure the con- under paragraph (b)(1) of this section
tinuing accuracy and completeness of may request a hearing in accordance
information furnished to the FAA as with paragraph (b)(2) of this section.
part of a pending license or permit ap-
[Amdt. 413–03, 64 FR 19614, Apr. 21, 1999, as
plication. If at any time the informa-
amended by Amdt. 413–9, 72 FR 17019, Apr. 6,
tion an applicant provides is no longer 2007]
accurate and complete in all material
respects, the applicant must submit § 413.23 License or permit renewal.
new or corrected information. As part
(a) Eligibility. A licensee or permittee
of this submission, the applicant must
may apply to renew its license or per-
recertify the accuracy and complete-
mit by submitting to the FAA a writ-
ness of the application under § 413.7. If
ten application for renewal at least 90
an applicant does not comply with any
days before the license expires or at
of the requirements set forth in this
least 60 days before the permit expires.
paragraph, the FAA can deny the li-
(b) Application. (1) A license or permit
cense or permit application.
renewal application must satisfy the
(b) An applicant may amend or sup-
requirements set forth in this part and
plement a license or permit application
any other applicable part of this chap-
at any time before the FAA issues or
ter.
transfers the license or permit.
(2) The application may incorporate
(c) Willful false statements made in
by reference information provided as
any application or document relating
part of the application for the expiring
to an application, license, or permit
license or permit, including any modi-
are punishable by fine and imprison-
fications to the license or permit.
ment under section 1001 of Title 18,
(3) An applicant must describe any
United States Code, and by administra-
proposed changes in its conduct of li-
tive sanctions in accordance with part
censed or permitted activities and pro-
405 of this chapter.
vide any additional clarifying informa-
[Doc. No. FAA–2006–24197, 72 FR 17018, Apr. 6, tion required by the FAA.
2007] (c) Review of application. The FAA re-
views the application to determine
§ 413.19 Issuing a license or permit. whether to renew the license or permit
After the FAA completes its reviews for an additional term. The FAA may
and makes the decisions required by incorporate by reference any findings

543
Pt. 414 14 CFR Ch. III (1–1–19 Edition)
that are part of the record for the ex- Subpart D—Appeal Procedures
piring license or permit.
414.37 Hearings in safety approval actions.
(d) Renewal of license or permit. After 414.39 Submissions; oral presentations in
the FAA finishes its reviews, the FAA safety approval actions.
issues an order modifying the expira- 414.41 Administrative law judge’s rec-
tion date of the license or permit. The ommended decision in safety approval
FAA may impose additional or revised actions.
terms and conditions necessary to pro- AUTHORITY: 51 U.S.C. 50901–50923.
tect public health and safety and the
SOURCE: Docket No. FAA–2005–21332, 71 FR
safety of property and to protect U.S. 46853, Aug. 15, 2006, unless otherwise noted.
national security and foreign policy in-
terests.
(e) Denial of license or permit renewal. Subpart A—General
The FAA informs a licensee or per- § 414.1 Scope.
mittee, in writing, if the FAA denies
the application for renewal and states This part establishes procedures for
the reasons for denial. If the FAA de- obtaining a safety approval and renew-
nies an application, the licensee or per- ing and transferring an existing safety
mittee may follow the procedures of approval. Safety approvals issued
§ 413.21 of this part. under this part may be used to support
the application review for one or more
[Doc. No. FAA–2006–24197, 72 FR 17019, Apr. 6, launch or reentry license requests
2007] under other parts of this chapter.

PART 414—SAFETY APPROVALS § 414.3 Definitions.

Safety approval. For purposes of this
Subpart A—General part, a safety approval is an FAA docu-
ment containing the FAA determina-
Sec.
414.1 Scope.
tion that one or more of the safety ele-
414.3 Definitions. ments listed in paragraphs (1) and (2) of
414.5 Applicability. this definition, when used or employed
414.7 Eligibility. within a defined envelope, parameter,
or situation, will not jeopardize public
Subpart B—Application Procedures health and safety or safety of property.
A safety approval may be issued inde-
414.9 Pre-application consultation. pendent of a license, and it does not
414.11 Application.
confer any authority to conduct activi-
414.13 Confidentially.
414.15 Processing the initial application.
ties for which a license is required
414.17 Maintaining the continued accuracy under 14 CFR chapter III. A safety ap-
of the initial application. proval does not relieve its holder of the
duty to comply with all applicable re-
Subpart C—Safety Approval Review and quirements of law or regulation that
Issuance may apply to the holder’s activities.
(1) Launch vehicle, reentry vehicle,
414.19 Technical criteria for reviewing a
safety system, process, service, or any
safety approval application.
414.21 Terms and conditions for issuing a
identified component thereof; or
safety approval; duration of a safety ap- (2) Qualified and trained personnel,
proval. performing a process or function re-
414.23 Maintaining the continued accuracy lated to licensed launch activities or
of the safety approval application. vehicles.
414.25 Safety approval records. Safety element. For purposes of this
414.27 Safety approval renewal. part, a safety element is any one of the
414.29 Safety approval transfer. items or persons (personnel) listed in
414.31 Monitoring compliance with the paragraphs (1) and (2) of the definition
terms and conditions of a safety ap-
of ‘‘safety approval’’ in this section.
proval.
414.33 Modification, suspension, or revoca- § 414.5 Applicability.
tion of a safety approval.
414.35 Public notification of the criteria by This part applies to an applicant that
which a safety approval was issued. wants to obtain a safety approval for

544
Commercial Space Transportation, FAA, DOT § 414.11
any of the safety elements defined (2) For an application submitted by
under this part and to persons granted use of physical electronic storage, the
a safety approval under this part. Any applicant must either mail the applica-
person eligible under this part may tion to the address specified in para-
apply to become the holder of a safety graph (a)(1) of this section or hand-de-
approval. liver the application to an authorized
FAA representative. The application
§ 414.7 Eligibility. and the physical electronic storage
(a) There is no citizenship require- containing the application must also
ment to obtain a safety approval. satisfy all of the following criteria:
(b) You may be eligible for a safety (i) The application must include a
approval if you are— cover letter that is printed on paper
(1) A manufacturer or designer of a and signed by the person who signed
launch or reentry vehicle or component the application or by an authorized
thereof; representative of the applicant;
(2) The designer or developer of a (ii) The cover letter must identify
safety system or process; or each document that is included on the
(3) Personnel who perform safety physical electronic storage; and
critical functions in conducting a li- (iii) The physical electronic storage
censed launch or reentry. must be in a format such that its con-
(c) A safety approval applicant must tents cannot be altered.
have sufficient knowledge and exper-
(3) For an application submitted by
tise to show that the design and oper-
email, an applicant must send the ap-
ation of the safety element for which
safety approval is sought qualify for a plication as an email attachment to
safety approval. [email protected]. The applica-
(d) Only the safety elements defined tion and the email to which the appli-
under this part are eligible for a safety cation is attached must also satisfy the
approval. following criteria:
(i) The email to which the applica-
tion is attached must be sent from an
Subpart B—Application email address controlled by the person
Procedures who signed the application or by an au-
§ 414.9 Pre-application consultation. thorized representative of the appli-
cant; and
The applicant must consult with the (ii) The application must be in a for-
FAA before submitting an application. mat that cannot be altered.
Unless the applicant or the FAA re-
(b) The application must identify the
quests another form of consultation,
following basic information:
consultation is oral discussion with the
FAA about the application process and (1) Name and address of the appli-
the potential issues relevant to the cant.
FAA’s safety approval decision. (2) Name, address, and telephone
number of any person to whom inquir-
§ 414.11 Application. ies and correspondence should be di-
(a) An applicant must make an appli- rected.
cation in writing and in English. The (3) Safety element (i.e., launch vehi-
applicant must file the application cle, reentry vehicle, safety system,
with the Federal Aviation Administra- process, service, or any identified com-
tion either by paper, by use of physical ponent thereof; or personnel) for which
electronic storage, or by email in the the applicant seeks a safety approval.
following manner: (c) The application must contain the
(1) For an application submitted on following technical information:
paper, an applicant must send two cop- (1) A Statement of Conformance let-
ies of the application to the Federal ter, describing the specific criteria the
Aviation Administration, Associate applicant used to show the adequacy of
Administrator for Commercial Space the safety element for which a safety
Transportation, Room 331, 800 Inde- approval is sought, and showing how
pendence Avenue SW., Washington, DC the safety element complies with the
20591. Attention: Application Review. specific criteria.

545
§ 414.13 14 CFR Ch. III (1–1–19 Edition)
(2) The specific operating limits for formation,’’ ‘‘Proprietary Commercial
which the safety approval is sought. Information,’’ ‘‘Trade Secret,’’ or
(3) The following as applicable: ‘‘Confidential Treatment Requested.’’
(i) Information and analyses required Where this marking proves impracti-
under this chapter that may be appli- cable, attach a cover sheet that con-
cable to demonstrating safe perform- tains the identifying legend to the data
ance of the safety element for which or information for which confidential
the safety approval is sought. treatment is sought.
(ii) Engineering design and analyses (b) If the applicant requests confiden-
that show the adequacy of the proposed tial treatment for previously sub-
safety element for its intended use, mitted data or information, the FAA
such that the use in a licensed launch will honor that request to the extent
or reentry will not jeopardize public practicable in case of any prior dis-
health or safety or the safety of prop- tribution of the data or information.
erty. (c) Data or information for which
(iii) Relevant manufacturing proc- confidential treatment is requested or
esses. data or information that qualifies for
(iv) Test and evaluation procedures. exemption under section 552(b)(4) of
(v) Test results. Title 5, U.S.C., will not be disclosed to
(vi) Maintenance procedures. the public unless the Associate Admin-
(vii) Personnel qualifications and istrator determines that withholding
training procedures. the data or information is contrary to
(d) The application must be in the public or national interest.
English, legibly signed, dated, and cer- (d) If the proposed criteria for evalu-
tified as true, complete, and accurate ating a safety approval is secret, as
by one of the following: classified by the U.S. Government, or
(1) For a corporation, an officer or the applicant wants it to remain pro-
other individual authorized to act for prietary or confidential, it cannot be
the corporation in licensing or safety used as a basis for issuance of a safety
approval matters. approval.
(2) For a partnership or a sole propri-
etorship, a general partner or propri- § 414.15 Processing the initial applica-
etor, respectively. tion.
(3) For a joint venture, association, (a) The FAA will initially screen an
or other entity, an officer or other in- application to determine if the applica-
dividual duly authorized to act for the tion is sufficiently complete to enable
joint venture, association, or other en- the FAA to initiate the reviews or
tity in licensing matters. evaluations required under this part.
(e) Failure to comply with any of the (b) After completing the initial
requirements set forth in this section screening, the FAA will inform the ap-
is sufficient basis for denial of a safety plicant in writing of one of the fol-
approval application. lowing:
[Doc. No. FAA–2005–21332, 71 FR 46853, Aug. (1) The FAA accepts the application
15, 2006, as amended by Amdt. 414–3, 80 FR and will begin the reviews or evalua-
30151, May 27, 2015] tions required for a safety approval de-
termination under this part.
§ 414.13 Confidentiality. (2) The FAA rejects the application
(a) To ensure confidentiality of data because it is incomplete or indefinite
or information in the application, the making initiation of the reviews or
applicant must— evaluations required for a safety ap-
(1) Send a written request with the proval determination under this part
application that trade secrets or pro- inappropriate.
prietary commercial or financial data (c) The written notice will state the
be treated as confidential, and include reason(s) for rejection and corrective
in the request the specific time frame actions necessary for the application to
confidential treatment is required. be accepted. The FAA may return a re-
(2) Mark data or information that re- jected application to the applicant or
quire confidentiality with an identi- may hold it until the applicant pro-
fying legend, such as ‘‘Proprietary In- vides more information.

546
Commercial Space Transportation, FAA, DOT § 414.23
(d) The applicant may withdraw, (iii) Production acceptance test spec-
amend, or supplement an application ifications; and
anytime before the FAA makes a final (iv) Continued operational safety
determination on the safety approval monitoring system characteristics.
application by making a written re- (b) The applicant must allow the
quest to the Associate Administrator. FAA to make its proposed safety ap-
If the applicant amends or supplements proval criteria available to the public
the initial application, the revised ap- as part of the approval process.
plication must meet all the applicable
requirements under this part. § 414.21 Terms and conditions for
issuing a safety approval; duration
§ 414.17 Maintaining the continued ac- of a safety approval.
curacy of the initial application. (a) The FAA will issue a safety ap-
The applicant is responsible for the proval to an applicant that meets all
continuing accuracy and completeness the requirements under this part.
of information provided to the FAA as (b) The scope of the safety approval
part of the safety approval application. will be limited by the scope of the safe-
If at any time after submitting the ap- ty demonstration contained in the ap-
plication, circumstances occur that plication on which the FAA based the
cause the information to no longer be decision to grant the safety approval.
accurate and complete in any material (c) The FAA will determine specific
respect, the applicant must submit a terms and conditions of a safety ap-
written statement to the Associate Ad- proval individually, limiting the safety
ministrator explaining the cir- approval to the scope for which the
cumstances and providing the new or safety-approved launch or reentry ele-
corrected information. The revised ap- ment was approved. The terms and con-
plication must meet all requirements ditions will include reporting require-
under § 414.11. ments tailored to the individual safety
approval.
Subpart C—Safety Approval (d) A safety approval is valid for five
Review and Issuance years and may be renewed.
(e) If the FAA denies the application,
§ 414.19 Technical criteria for review- the applicant may correct any defi-
ing a safety approval application. ciency the FAA identified and request
(a) The FAA will determine whether a reconsideration of the revised appli-
a safety element is eligible for and may cation. The applicant also has the right
be issued a safety approval. We will to appeal a denial as set forth in sub-
base our determination on perform- part D of this part.
ance-based criteria, against which we
may assess the effect on public health § 414.23 Maintaining the continued ac-
and safety and on safety of property, in curacy of the safety approval appli-
cation.
the following hierarchy:
(1) FAA or other appropriate Federal (a) The holder of a safety approval
regulations. must ensure the continued accuracy
(2) Government-developed or adopted and completeness of representations
standards. contained in the safety approval appli-
(3) Industry consensus performance- cation, on which the approval was
based criteria or standard. issued, for the entire term of the safety
(4) Applicant-developed criteria. Ap- approval.
plicant-developed criteria are perform- (b) If any representation contained in
ance standards customized by the man- the application that is material to pub-
ufacturer that intends to produce the lic health and safety or safety of prop-
system, system component, or part. erty ceases to be accurate and com-
The applicant-developed criteria must plete, the safety approval holder must
define— prepare and submit a revised applica-
(i) Design and minimum perform- tion according to § 414.11 under this
ance; part. The safety approval holder must
(ii) Quality assurance system re- point out any part of the safety ap-
quirements; proval or the associated application

547
§ 414.25 14 CFR Ch. III (1–1–19 Edition)
that would be changed or affected by a health and safety and the safety of
proposed modification. The FAA will property.
review and make a determination on (e) Written notice. The FAA will pro-
the revised application under the terms vide written notice to the applicant of
of this part. our determination on the safety ap-
(c) If the FAA approves the revised proval renewal request.
application, the FAA will provide writ- (f) Denial of a safety approval renewal.
ten notice to the holder, stating the If the FAA denies the renewal applica-
terms and conditions to which the ap- tion, the applicant may correct any de-
proval is subject.
ficiency the FAA identified and request
§ 414.25 Safety approval records. a reconsideration of the revised appli-
cation. The applicant also has the right
The holder of a safety approval must
to appeal a denial as set forth in sub-
maintain all records necessary to
part D of this part.
verify that the holder’s activities are
consistent with the representations § 414.29 Safety approval transfer.
contained in the application for which
the approval was issued for the dura- (a) Only the FAA may approve a
tion of the safety approval plus one transfer of a safety approval.
year. (b) Either the holder of a safety ap-
proval or the prospective transferee
§ 414.27 Safety approval renewal. may request a safety approval transfer.
(a) Eligibility. A holder of a safety ap- (c) Both the holder and prospective
proval may apply to renew it by send- transferee must agree to the transfer.
ing the FAA a written application at (d) The person requesting the trans-
least 90 days before the expiration date fer must submit a safety approval ap-
of the approval. plication according to § 414.11, must
(b) Application. (1) A safety approval meet the applicable requirements of
renewal application must meet all the this part, and may incorporate by ref-
requirements under § 414.11. erence relevant portions of the initial
(2) The application may incorporate
application.
by reference information provided as
(e) The FAA will approve a transfer
part of the application for the expiring
safety approval or any modification to of a safety approval only after all the
that approval. approvals and determinations required
(3) Any proposed changes in the con- under this chapter for a safety ap-
duct of a safety element for which the proval have been met. In conducting
FAA has issued a safety approval must reviews and issuing approvals and de-
be described and must include any terminations, the FAA may incor-
added information necessary to support porate by reference any findings made
the fitness of the proposed changes to part of the record to support the initial
meet the criteria upon which the FAA safety approval determination. The
evaluated the safety approval applica- FAA may modify the terms and condi-
tion. tions of a safety approval to reflect any
(c) Review of application. The FAA changes necessary because of a safety
conducts the reviews required under approval transfer.
this part to determine whether the (f) The FAA will provide written no-
safety approval may be renewed. We tice to the person requesting the safety
may incorporate by reference any find- approval transfer of our determination.
ings that are part of the record for the (g) If the FAA denies a transfer re-
expiring safety approval. quest, the applicant may correct any
(d) Grant of safety approval renewal. If
deficiency the FAA identified and re-
the FAA makes a favorable safety ap-
quest a reconsideration of the revised
proval determination, the FAA issues
application. The applicant also has the
an order that amends the expiration
date of the safety approval or issues a right to appeal a denial as set forth in
new safety approval. The FAA may im- subpart D of this part.
pose added or revised terms and condi-
tions necessary to protect public

548
Commercial Space Transportation, FAA, DOT § 414.41

§ 414.31 Monitoring compliance with disagrees with the FAA’s determina-

the terms and conditions of a safety tion, the holder may correct any defi-
approval. ciency the FAA identified and request
Each holder of a safety approval a reconsideration of the determination.
must allow access by, and cooperate The applicant also has the right to ap-
with, Federal officers or employees or peal the determination as set forth in
other individuals authorized by the As- subpart D of this part.
sociate Administrator to inspect manu-
facturing, production, testing, or as- § 414.35 Public notification of the cri-
teria by which a safety approval
sembly performed by a holder of a safe- was issued.
ty approval or its contractor. The FAA
may also inspect a safety approval For each grant of a safety approval,
process or service, including training the FAA will publish in the FEDERAL
programs and personnel qualifications. REGISTER a notice of the criteria that
were used to evaluate the safety ap-
§ 414.33 Modification, suspension, or proval application, and a description of
revocation of a safety approval. the criteria.
(a) The safety approval holder. The
safety approval holder may submit an Subpart D—Appeal Procedures
application to the FAA to modify the
terms and conditions of the holder’s § 414.37 Hearings in safety approval
safety approval. The application must actions.
meet all the applicable requirements (a) The FAA will give the safety ap-
under this part. The FAA will review proval applicant or holder, as appro-
and make a determination on the ap- priate, written notice stating the rea-
plication using the same procedures son for issuing a denial or for modi-
under this part applicable to an initial fying, suspending, or revoking a safety
safety approval application. If the FAA approval under this part.
denies the request to modify a safety (b) A safety approval applicant or
approval, the holder may correct any holder is entitled to a determination
deficiency the FAA identified and re- on the record after an opportunity for
quest reconsideration. The holder also a hearing.
has the right to appeal a denial as set
(c) An administrative law judge will
forth in subpart D of this part.
be designated to preside over any hear-
(b) The FAA. If the FAA finds it is in
ing held under this part.
the interest of public health and safe-
ty, safety of property, or if the safety § 414.39 Submissions; oral presen-
approval holder fails to comply with tations in safety approval actions.
any applicable requirements of this
part, any terms and conditions of the (a) Determinations in safety approval
safety approval, or any other applica- actions under this part will be made on
ble requirement, the FAA may— the basis of written submissions unless
(1) Modify the terms and conditions the administrative law judge, on peti-
of the safety approval; or tion or on his or her own initiative, de-
(2) Suspend or revoke the safety ap- termines that an oral presentation is
proval. required.
(c) Effective Date. Unless otherwise (b) Submissions must include a de-
stated by the FAA, any modification, tailed exposition of the evidence or ar-
suspension, or revocation of a safety guments supporting the petition.
approval under paragraph (b)— (c) Petitions must be filed as soon as
(1) Takes effect immediately; and practicable, but in no event more than
(2) Continues in effect during any re- 30 days after issuance of decision or
consideration or appeal of such action finding under § 414.37.
under this part.
(d) Notification and Right to Appeal. If § 414.41 Administrative law judge’s
the FAA determines it is necessary to recommended decision in safety ap-
proval actions.
modify, suspend, or revoke a safety ap-
proval, we will notify the safety ap- (a) The Associate Administrator, who
proval holder in writing. If the holder will make the final decision on the

549
Pt. 415 14 CFR Ch. III (1–1–19 Edition)
matter at issue, will review the rec- Subpart E [Reserved]
ommended decision of the administra-
tive law judge. The Associate Adminis- Subpart F—Safety Review and Approval for
trator will make such final decision Launch of an Expendable Launch Ve-
within 30 days of issuance of the rec- hicle From a Non-Federal Launch Site
ommended decision. 415.91–415.100 [Reserved]
(b) The authority and responsibility 415.101 Scope and applicability.
to review and decide rests solely with 415.102 Definitions.
the Associate Administrator and may 415.103 General.
not be delegated. 415.105 Pre-application consultation.
415.107 Safety review document.
415.109 Launch description.
PART 415—LAUNCH LICENSE 415.111 Launch operator organization.
415.113 Launch personnel certification pro-
Subpart A—General gram.
415.115 Flight safety.
Sec. 415.117 Ground safety.
415.1 Scope. 415.119 Launch plans.
415.3 Types of launch licenses. 415.121 Launch schedule.
415.5 Policy and safety approvals. 415.123 Computing systems and software.
415.7 Payload determination. 415.125 Unique safety policies, requirements
415.8 Human space flight. and practices.
415.127 Flight safety system design and op-
415.9 Issuance of a launch license.
eration data.
415.11 Additional license terms and condi-
415.129 Flight safety system test data.
tions. 415.131 Flight safety system crew data.
415.13 Transfer of a launch license. 415.133 Safety at end of launch.
415.15 Rights not conferred by launch li- 415.135 Denial of safety approval. 415.136–
cense. 415.200 [Reserved]
415.16–415.20 [Reserved]
Subpart G—Environmental Review
Subpart B—Policy Review and Approval
415.201 General.
415.21 General. 415.203 Environmental information.
415.23 Policy review. 415.204–415.400 [Reserved]
415.25 Application requirements for policy APPENDIX A TO PART 415—FAA/
review. USSPACECOM LAUNCH NOTIFICATION
415.27 Denial of policy approval. 415.28– FORM
415.30 [Reserved] APPENDIX B TO PART 415—SAFETY REVIEW
DOCUMENT OUTLINE
Subpart C—Safety Review and Approval
AUTHORITY: 51 U.S.C. 50901–50923.
for Launch From a Federal Launch Range
SOURCE: Amdt. 415–03, 64 FR 19616, Apr. 21,
415.31 General. 1999, unless otherwise noted.
415.33 Safety organization.
415.35 Acceptable flight risk.
415.37 Flight readiness and communications Subpart A—General
plan.
415.39 Safety at end of launch.
§ 415.1 Scope.
415.41 Accident investigation plan. This part prescribes requirements for
415.43 Denial of safety approval. 415.44– obtaining a license to launch a launch
415.50 [Reserved] vehicle, other than a reusable launch
vehicle (RLV), and post-licensing re-
Subpart D—Payload Review and quirements with which a licensee must
Determination comply to remain licensed. Require-
415.51 General. ments for preparing a license applica-
415.53 Payloads not subject to review. tion are in part 413 of this subchapter.
415.55 Classes of payloads. [Doc. No. FAA–2006–24197, 72 FR 17019, Apr. 6,
415.57 Payload review. 2007]
415.59 Information requirements for payload
review. § 415.3 Types of launch licenses.
415.61 Issuance of payload determination.
415.63 Incorporation of payload determina- (a) Launch-specific license. A launch-
tion in license application. specific license authorizes a licensee to
415.64–415.70 [Reserved] conduct one or more launches, having

550
Commercial Space Transportation, FAA, DOT § 415.15
the same launch parameters, of one 460.13, 460.15, 460.17, 460.51 and 460.53 of
type of launch vehicle from one launch this subchapter.
site. The license identifies, by name or
[Doc. No. FAA–2005–23449, 71 FR 75632, Dec.
mission, each launch authorized under 15, 2006]
the license. A licensee’s authorization
to launch terminates upon completion § 415.9 Issuance of a launch license.
of all launches authorized by the li-
(a) The FAA issues a launch license
cense or the expiration date stated in
to an applicant who has obtained all
the license, whichever occurs first.
approvals and determinations required
(b) Launch operator license. A launch under this chapter for a license.
operator license authorizes a licensee (b) A launch license authorizes a li-
to conduct launches from one launch censee to conduct a launch or launches
site, within a range of launch param- in accordance with the representations
eters, of launch vehicles from the same contained in the licensee’s application,
family of vehicles transporting speci- subject to the licensee’s compliance
fied classes of payloads. A launch oper- with terms and conditions contained in
ator license remains in effect for five license orders accompanying the li-
years from the date of issuance. cense, including financial responsi-
bility requirements, and part 417 of
§ 415.5 Policy and safety approvals. this chapter.
To obtain a launch license, an appli- [Amdt. 415–03, 64 FR 19616, Apr. 21, 1999, as
cant must obtain policy and safety ap- amended by Amdt. 415–4, 71 FR 50531, Aug. 25,
provals from the FAA. Requirements 2006]
for obtaining these approvals are con-
tained in subparts B, C and F of this § 415.11 Additional license terms and
part. Only a launch license applicant conditions.
may apply for the approvals, and may The FAA may modify a launch li-
apply for either approval separately cense at any time by modifying or add-
and in advance of submitting a com- ing license terms and conditions to en-
plete license application, using the ap- sure compliance with the Act and regu-
plication procedures contained in part lations.
413 of this subchapter.
§ 415.13 Transfer of a launch license.
§ 415.7 Payload determination. (a) Only the FAA may transfer a
A payload determination is required launch license.
for a launch license unless the proposed (b) An applicant for transfer of a
payload is exempt from payload review launch license shall submit a license
under § 415.53 of this part. The FAA application in accordance with part 413
conducts a payload review, as described of this subchapter and shall meet the
in subpart D of this part, to make the requirements of part 415 of this sub-
determination. Either a launch license chapter. The FAA will transfer a li-
applicant or a payload owner or oper- cense to an applicant who has obtained
ator may request a review of its pro- all of the approvals and determinations
posed payload using the application required under this chapter for a li-
procedures contained in part 413 of this cense. In conducting its reviews and
subchapter. Upon receipt of an applica- issuing approvals and determinations,
the FAA may incorporate by reference
tion, the FAA may conduct a payload
any findings made part of the record to
review independently of a launch li-
support the initial licensing deter-
cense application.
mination. The FAA may modify a li-
§ 415.8 Human space flight. cense to reflect any changes necessary
as a result of a license transfer.
To obtain a launch license, an appli-
cant proposing to conduct a launch § 415.15 Rights not conferred by
with flight crew or a space flight par- launch license.
ticipant on board must demonstrate Issuance of a launch license does not
compliance with §§ 460.5, 460.7, 460.11, relieve a licensee of its obligation to

551
§§ 415.16–415.20 14 CFR Ch. III (1–1–19 Edition)
comply with all applicable require- (a) Identify the model and configura-
ments of law or regulation that may tion of any launch vehicle proposed for
apply to its activities, nor does launch by the applicant.
issuance confer any proprietary, prop- (b) Identify structural, pneumatic,
erty or exclusive right in the use of propellant, propulsion, electrical and
any federal launch range or related fa- avionics systems used in the launch ve-
cilities, airspace, or outer space. hicle and all propellants.
(c) Identify foreign ownership of the
§§ 415.16–415.20 [Reserved] applicant as follows:
(1) For a sole proprietorship or part-
Subpart B—Policy Review and nership, identify all foreign ownership;
Approval (2) For a corporation, identify any
foreign ownership interests of 10% or
§ 415.21 General. more; and
The FAA issues a policy approval to (3) For a joint venture, association,
a license applicant unless the FAA de- or other entity, identify any partici-
termines that a proposed launch would pating foreign entities.
jeopardize U.S. national security or (d) Identify proposed launch vehicle
foreign policy interests, or inter- flight profile(s), including:
national obligations of the United (1) Launch site;
States. A policy approval is part of the (2) Flight azimuths, trajectories, and
licensing record on which the FAA’s li- associated ground tracks and instanta-
censing determination is based. neous impact points;
(3) Sequence of planned events or ma-
§ 415.23 Policy review. neuvers during flight;
(a) The FAA reviews a license appli- (4) Range of nominal impact areas for
cation to determine whether it pre- all spent motors and other discarded
sents any issues affecting U.S. national mission hardware, within three stand-
security or foreign policy interests, or ard deviations of the mean impact
international obligations of the United point (a 3-sigma footprint); and
States. (5) For each orbital mission, the
(b) Interagency consultation. (1) The range of intermediate and final orbits
FAA consults with the Department of of each vehicle upper stage, and their
Defense to determine whether a license estimated orbital lifetimes.
application presents any issues affect-
§ 415.27 Denial of policy approval.
ing U.S. national security.
(2) The FAA consults with the De- The FAA notifies an applicant, in
partment of State to determine wheth- writing, if it has denied policy approval
er a license application presents any for a license application. The notice
issues affecting U.S. foreign policy in- states the reasons for the FAA’s deter-
terests or international obligations. mination. The applicant may respond
(3) The FAA consults with other fed- to the reasons for the determination
eral agencies, including the National and request reconsideration.
Aeronautics and Space Administration,
§§ 415.28–415.30 [Reserved]
authorized to address issues identified
under paragraph (a) of this section, as-
sociated with an applicant’s launch Subpart C—Safety Review and
proposal. Approval for Launch From a
(c) The FAA advises an applicant, in Federal Launch Range
writing, of any issue raised during a
policy review that would impede § 415.31 General.
issuance of a policy approval. The ap- (a) The FAA conducts a safety review
plicant may respond, in writing, or re- to determine whether an applicant is
vise its license application. capable of launching a launch vehicle
and its payload without jeopardizing
§ 415.25 Application requirements for public health and safety and safety of
policy review. property. The FAA issues a safety ap-
In its launch license application, an proval to a license applicant proposing
applicant shall— to launch from a Federal launch range

552
Commercial Space Transportation, FAA, DOT § 415.37
if the applicant satisfies the require- § 415.35 Acceptable flight risk.
ments of this subpart and has con- (a) Flight risk through orbital insertion
tracted with the Federal launch range or impact. Acceptable flight risk
for the provision of safety-related through orbital insertion for an orbital
launch services and property, as long launch vehicle, and through impact for
as an FAA launch site safety assess- a suborbital launch vehicle, is meas-
ment shows that the range’s launch ured in terms of the expected average
services and launch property satisfy number of casualties (Ec) to the collec-
part 417 of this chapter. The FAA eval- tive members of the public exposed to
uates on an individual basis all other debris hazards from any one launch. To
safety-related launch services and obtain safety approval, an applicant
property associated with an applicant’s must demonstrate that the risk level
proposal, in accordance with part 417 of associated with debris from an appli-
this chapter. A safety approval is part cant’s proposed launch meets the pub-
of the licensing record on which the lic risk criteria of § 417.107(b)(1) of this
FAA’s licensing determination is chapter for impacting inert and im-
based. pacting explosive debris.
(b) The FAA advises an applicant, in (b) Hazard identification and risk as-
writing, of any issue raised during a sessment. To demonstrate compliance
safety review that would impede with paragraph (a) of this section, an
issuance of a safety approval. The ap- applicant must file an analysis that
plicant may respond, in writing, or re- identifies hazards and assesses risks to
vise its license application. public health and safety and safety of
property associated with nominal and
[Amdt. 415–03, 64 FR 19616, Apr. 21, 1999, as non-nominal flight of its proposed
amended by Amdt. 415–4, 71 FR 50531, Aug. 25,
launch.
2006]
(c) Design. A launch vehicle must be
§ 415.33 Safety organization. designed to ensure that flight risks
meet the criteria of paragraph (a) of
(a) An applicant shall maintain a this section. An applicant must iden-
safety organization and document it by tify and describe the following:
identifying lines of communication and (1) Launch vehicle structure, includ-
approval authority for all launch safe- ing physical dimensions and weight;
ty decisions. Lines of communication, (2) Hazardous and safety critical sys-
both within the applicant’s organiza- tems, including propulsion systems;
tion and between the applicant and any and
federal launch range providing launch (3) Drawings and schematics for each
services, shall be employed to ensure system identified under paragraph
that personnel perform launch safety (c)(2) of this section.
operations in accordance with range (d) Operation. A launch vehicle must
safety requirements and with plans and be operated in a manner that ensures
procedures required by this subpart. that flight risks meet the criteria of
Approval authority shall be employed paragraph (a) of this section. An appli-
to ensure compliance with range safety cant must identify all launch oper-
requirements and with plans and proce- ations and procedures that must be
dures required by this subpart. performed to ensure acceptable flight
(b) Safety official. An applicant shall risk.
identify by name, title, and qualifica- [Doc. No. FAA–2000–7953, 71 FR 50531, Aug. 25,
tions, a qualified safety official author- 2006, as amended by Amdt. No. 415–6, 81 FR
ized to examine all aspects of the appli- 59439, Aug. 30, 2016]
cant’s launch safety operations and to
monitor independently personnel com- § 415.37 Flight readiness and commu-
pliance with the applicant’s safety nications plan.
policies and procedures. The safety of- (a) Flight readiness requirements. An
ficial shall report directly to the per- applicant must designate an individual
son responsible for an applicant’s li- responsible for flight readiness. The ap-
censed launches, who shall ensure that plicant must file the following proce-
all of the safety official’s concerns are dures for verifying readiness for safe
addressed prior to launch. flight:

553
§ 415.39 14 CFR Ch. III (1–1–19 Edition)
(1) Launch readiness review proce- § 417.111(h) of this chapter, and contains
dures involving the applicant’s flight the applicant’s procedures for report-
safety personnel and Federal launch ing and responding to launch accidents,
range personnel involved in the launch, launch incidents, or other mishaps, as
as required by § 417.117(b)(3) of this defined by § 401.5 of this chapter.
chapter.
[Doc. No. FAA–2000–7953, 71 FR 50531, Aug. 25,
(2) Procedures that ensure mission 2006, as amended by Amdt. No. 415–6, 81 FR
constraints, rules and abort procedures 59439, Aug. 30, 2016]
are listed and consolidated in a safety
directive or notebook approved by li- § 415.43 Denial of safety approval.
censee flight safety and Federal launch
range personnel. The FAA notifies an applicant, in
(3) Procedures that ensure currency writing, if it has denied safety approval
and consistency of licensee and Federal for a license application. The notice
launch range countdown checklists. states the reasons for the FAA’s deter-
(4) Dress rehearsal procedures that— mination. The applicant may respond
(i) Ensure crew readiness under nomi- to the reasons for the determination
nal and non-nominal flight conditions; and request reconsideration.
(ii) Contain criteria for determining §§ 415.44–415.50 [Reserved]
whether to dispense with one or more
dress rehearsals; and
(iii) Verify currency and consistency Subpart D—Payload Review and
of licensee and Federal launch range Determination
countdown checklists.
(5) Procedures for ensuring the li- § 415.51 General.
censee’s flight safety personnel adhere The FAA reviews a payload proposed
to the crew rest rules of § 417.113(f) of for launch to determine whether a li-
this chapter. cense applicant or payload owner or op-
(b) Communications plan requirements. erator has obtained all required li-
An applicant must file a communica- censes, authorization, and permits, un-
tions plan that meets § 417.111(k) of this less the payload is exempt from review
chapter, and that provides licensee and under § 415.53 of this subpart. If not oth-
Federal launch range personnel com- erwise exempt, the FAA reviews a pay-
munications procedures during count- load proposed for launch to determine
down and flight. whether its launch would jeopardize
(c) An applicant must file procedures public health and safety, safety of
that ensure that licensee and Federal property, U.S. national security or for-
launch range personnel receive a copy eign policy interests, or international
of the communications plan required obligations of the United States. A
by paragraph (b) of this section, and payload determination is part of the li-
that the Federal launch range concurs censing record on which the FAA’s li-
in the communications plan. censing determination is based. The
[Doc. No. FAA–2000–7953, 71 FR 50531, Aug. 25, safety requirements of subpart C and F
2006, as amended by Amdt. No. 415–6, 81 FR of this part and of part 417 of this chap-
59439, Aug. 30, 2016] ter apply to all payloads, whether or
not the payload is otherwise exempt.
§ 415.39 Safety at end of launch.
[Amdt. 415–03, 64 FR 19616, Apr. 21, 1999, as
To obtain safety approval, an appli- amended by Amdt. 415–4, 71 FR 50531, Aug. 25,
cant must demonstrate compliance 2006]
with § 417.129 of this chapter, for any
proposed launch of a launch vehicle § 415.53 Payloads not subject to re-
with a stage or component that will view.
reach Earth orbit. The FAA does not review payloads
[Doc. No. FAA–2000–7953, 71 FR 50531, Aug. 25, that are—
2006] (a) Subject to regulation by the Fed-
eral Communications Commission
§ 415.41 Accident investigation plan. (FCC) or the Department of Commerce,
An applicant must file an accident National Oceanic and Atmospheric Ad-
investigation plan (AIP), that satisfies ministration (NOAA); or

554
Commercial Space Transportation, FAA, DOT § 415.63
(b) Owned or operated by the U.S. ing, of any issue raised during a pay-
Government. load review that would impede issuance
of a license to launch that payload or
§ 415.55 Classes of payloads. payload class. The person requesting
The FAA may review and issue find- payload review may respond, in writ-
ings regarding a proposed class of pay- ing, or revise its application.
load, e.g., communications, remote
sensing or navigation. However, each § 415.59 Information requirements for
payload is subject to compliance moni- payload review.
toring by the FAA before launch to de- (a) A person requesting review of a
termine whether its launch would jeop- particular payload or payload class
ardize public health and safety, safety shall identify the following:
of property, U.S. national security or (1) Payload name;
foreign policy interests, or inter- (2) Payload class;
national obligations of the United (3) Physical dimensions and weight of
States. The licensee is responsible for the payload;
providing current information, in ac- (4) Payload owner and operator, if
cordance with § 417.17(b)(2), regarding a different from the person requesting
payload proposed for launch not later payload review;
than 60 days before a scheduled launch. (5) Orbital parameters for parking,
[Amdt. 415–03, 64 FR 19616, Apr. 21, 1999, as transfer and final orbits;
amended by Amdt. No. 415–6, 81 FR 59439, (6) Hazardous materials, as defined in
Aug. 30, 2016] § 401.5 of this chapter, and radioactive
materials, and the amounts of each;
§ 415.57 Payload review. (7) Intended payload operations dur-
(a) Timing. A payload review may be ing the life of the payload; and
conducted as part of a license applica- (8) Delivery point in flight at which
tion review or may be requested by a the payload will no longer be under the
payload owner or operator in advance licensee’s control.
of or apart from a license application. (b) [Reserved]
(b) Interagency consultation. The FAA
consults with other agencies to deter- § 415.61 Issuance of payload deter-
mine whether launch of a proposed mination.
payload or payload class would present (a) The FAA issues a favorable pay-
any issues affecting public health and load determination unless it deter-
safety, safety of property, U.S. na- mines that launch of the proposed pay-
tional security or foreign policy inter- load would jeopardize public health and
ests, or international obligations of the safety, safety of property, U.S. na-
United States. tional security or foreign policy inter-
(1) The FAA consults with the De- ests, or international obligations of the
partment of Defense to determine United States. The FAA advises any
whether launch of a proposed payload person who has requested a payload re-
or payload class would present any view of its determination, in writing.
issues affecting U.S. national security. The notice states the reasons for the
(2) The FAA consults with the De- determination in the event of an unfa-
partment of State to determine wheth- vorable determination.
er launch of a proposed payload or pay- (b) Any person issued an unfavorable
load class would present any issues af- payload determination may respond to
fecting U.S. foreign policy interests or the reasons for the determination and
international obligations. request reconsideration.
(3) The FAA consults with other fed-
eral agencies, including the National § 415.63 Incorporation of payload de-
Aeronautics and Space Administration, termination in license application.
authorized to address issues identified A favorable payload determination
under paragraph (b) of this section as- issued for a payload or class of payload
sociated with an applicant’s launch may be included by a license applicant
proposal. as part of its application. However, any
(c) The FAA advises a person request- change in information provided under
ing a payload determination, in writ- section 415.59 of this subpart must be

555
§§ 415.64–415.70 14 CFR Ch. III (1–1–19 Edition)
reported in accordance with section § 415.103 General.
413.17 of this chapter. The FAA deter- (a) The FAA conducts a safety review
mines whether a favorable payload de- to determine whether an applicant is
termination remains valid in light of capable of conducting launch proc-
reported changes and may conduct an essing and flight without jeopardizing
additional payload review. public health and safety and safety of
§§ 415.64–415.70 [Reserved] property. The FAA issues a safety ap-
proval to a license applicant if the ap-
plicant satisfies the requirements of
Subpart E [Reserved] this subpart and demonstrates that it
will meet the safety responsibilities
Subpart F—Safety Review and Ap- and requirements of part 417 of this
proval for Launch of an Ex- chapter.
pendable Launch Vehicle (b) The FAA advises an applicant, in
From a Non-Federal Launch writing, of any issue raised during a
safety review that would impede
Site issuance of a safety approval. The ap-
plicant may respond, in writing, or
SOURCE: Docket No. FAA–2000–7953, 71 FR amend its license application as re-
50532, Aug. 25, 2006, unless otherwise noted. quired by § 413.17 of this chapter.
(c) An applicant must make available
§§ 415.91–415.100 [Reserved]
to the FAA upon request a copy of any
§ 415.101 Scope and applicability. information incorporated into a license
application by reference.
(a) This subpart F contains require- (d) A safety approval is part of the li-
ments that an applicant must meet to censing record on which the FAA bases
obtain a safety approval when applying its licensing determination.
for a license to launch an expendable
launch vehicle from a non-Federal § 415.105 Pre-application consultation.
launch site. This subpart also contains (a) An applicant must participate in
administrative requirements for a safe- a pre-application consultation meet-
ty review, such as when and how an ap- ing, as required by § 413.5 of this chap-
plicant files the required information, ter, prior to an applicant’s preparation
and the requirements for the form and of the initial flight safety analysis re-
content of each submission. quired by § 415.115.
(b) The requirements of this subpart (b) At a pre-application consultation
apply to both orbital and suborbital ex- meeting, an applicant must provide as
pendable launch vehicles. complete a description of the planned
(c) An applicant must demonstrate, launch or series of launches as avail-
through the material filed with the able at the time. An applicant must
FAA, its ability to comply with the re- provide the FAA the following informa-
quirements of part 417 of this chapter. tion:
To facilitate production of the infor- (1) Launch vehicle. Description of:
mation required by this subpart, an ap- (i) Launch vehicle;
plicant should become familiar with (ii) Any flight termination system;
the requirements of part 417 of this and
chapter. (iii) All hazards associated with the
(d) For a launch from an exclusive launch vehicle and any payload, includ-
use launch site, where there is no li- ing the type and amounts of all propel-
censed launch site operator, a launch lants, explosives, toxic materials and
operator must satisfy the requirements any radionuclides.
of this part and the public safety appli- (2) Proposed mission. (i) For an appli-
cation requirements of part 420 of this cant applying for a launch specific li-
chapter. cense under § 415.3(a), the apogee, per-
igee, and inclination of any orbital ob-
§ 415.102 Definitions. jects and each impact location of any
For the purposes of this subpart, the stage or other component.
definitions of § § 417.3 and 401.5 of this (ii) For an applicant applying for a
chapter apply. launch operator license under § 415.3(b),

556
Commercial Space Transportation, FAA, DOT § 415.109
the planned range of trajectories and (d) If a safety review document sec-
flight azimuths, and the range of apo- tion required by appendix B of this part
gees, perigees, and inclinations of any does not apply to an applicant’s pro-
orbital objects and each impact loca- posed launch, an applicant must iden-
tion of any stage or other component. tify the sections in the application by
(3) Potential launch site. (i) Name and the words ‘‘not applicable’’ preceding
location of the proposed launch site, the title of the section. In the first
including latitude and longitude of the paragraph of the section, an applicant
proposed launch point; must describe and justify why the sec-
(ii) Identity of any launch site oper- tion does not apply.
ator of that site; and (e) An applicant may reference docu-
(iii) Identification of any facilities at mentation previously filed with the
the launch site that will be used for FAA.
launch processing and flight.
§ 415.109 Launch description.
§ 415.107 Safety review document.
An applicant’s safety review docu-
(a) An applicant must file a safety re- ment must contain the following infor-
view document that contains all the in- mation:
formation required by §§ 415.109— (a) Launch site description. An appli-
415.133. An applicant must file the in- cant must identify the proposed launch
formation for a safety review document site and include the following:
as required by the outline in appendix (1) Boundaries of the launch site;
B of this part. An applicant must file a (2) Launch point location, including
sufficiently complete safety review latitude and longitude;
document, except for the ground safety (3) Identity of any launch site oper-
analysis report, no later than six ator of that proposed site; and
months before the applicant brings any (4) Identification of any facilities at
launch vehicle to the proposed launch
the launch site that will be used for
site.
launch processing and flight.
(b) A launch operator’s safety review
(b) Launch vehicle description. An ap-
document must:
plicant must provide the following:
(1) Contain a glossary of unique
(1) A written description of the
terms and acronyms used in alphabet-
ical order; launch vehicle. The description must
(2) Contain a listing of all referenced include a table specifying the type and
standards, codes, and publications; quantities of all hazardous materials
(3) Be logically organized, with a on the launch vehicle and must include
clear and consistent page numbering propellants, explosives, and toxic ma-
system and must identify cross-ref- terials; and
erenced topics; (2) A drawing of the launch vehicle
(4) Use equations and mathematical that identifies:
relationships derived from or ref- (i) Each stage, including strap-on mo-
erenced to a recognized standard or tors;
text, and must define all algebraic pa- (ii) Physical dimensions and weight;
rameters; (iii) Location of all safety critical
(5) Include the units of all numerical systems, including any flight termi-
values provided; and nation hardware, tracking aids, or te-
(6) Include a legend or key that iden- lemetry systems;
tifies all symbols used for any sche- (iv) Location of all major launch ve-
matic diagrams. hicle control systems, propulsion sys-
(c) An applicant’s safety review docu- tems, pressure vessels, and any other
ment may include sections not re- hardware that contains potential haz-
quired by appendix B of this part. An ardous energy or hazardous material;
applicant must identify each added sec- and
tion by using the word ‘‘added’’ in front (v) For an unguided suborbital
of the title of the section. In the first launch vehicle, the location of the
paragraph of the section, an applicant rocket’s center of pressure in relation
must explain any addition to the out- to its center of gravity for the entire
line in appendix B of this part. flight profile.

557
§ 415.111 14 CFR Ch. III (1–1–19 Edition)
(c) Payload description. An applicant contracted to provide safety-related
must include or reference documenta- goods or services for the launch of the
tion previously filed with the FAA that launch vehicle.
contains the payload information re-
quired by § 415.59 for any payload or § 415.113 Launch personnel certifi-
class of payload. cation program.
(d) Trajectory. An applicant must pro- (a) A safety review document must
vide two drawings depicting trajectory describe how the applicant will satisfy
information. An applicant must file ad- the personnel certification program re-
ditional trajectory information as part quirements of § 417.105 of this chapter
of the flight safety analysis data re- and identify by position those individ-
quired by § 415.115.
uals who implement the program.
(1) One drawing must depict the pro-
posed nominal flight profile with (b) An applicant’s safety review docu-
downrange depicted on the abscissa and ment must contain a copy of its docu-
altitude depicted on the ordinate axis. mentation that demonstrates how the
The nominal flight profile must be la- launch operator implements the per-
beled to show each planned staging sonnel certification program.
event and its time after liftoff from (c) An applicant’s safety review docu-
launch through orbital insertion or ment must contain a table listing each
final impact; and hazardous operation or safety critical
(2) The second drawing must depict task that certified personnel must per-
instantaneous impact point ground form. For each task, the table must
traces for each of the nominal trajec- identify by position the individual who
tory, the three-sigma left lateral tra- reviews personnel qualifications and
jectory and the three-sigma right lat- certifies personnel for performing the
eral trajectory determined under task.
§ 417.207 of this chapter. The trajec-
tories must be depicted on a latitude/ § 415.115 Flight safety.
longitude grid, and the grid must in-
(a) Flight safety analysis. An appli-
clude the outlines of any continents
cant’s safety review document must de-
and islands.
scribe each analysis method employed
(e) Staging events. An applicant must
to meet the flight safety analysis re-
provide a table of nominal and three-
quirements of part 417, subpart C, of
sigma times for each major staging
this chapter. An applicant’s safety re-
event and must describe each event, in-
cluding the predicted impact point and view document must demonstrate how
dispersion of each spent stage. each analysis method satisfies the
(f) Vehicle performance graphs. An ap- flight safety analysis requirements of
plicant must provide graphs of the part 417, subpart C, of this chapter. An
nominal and three-sigma values as a applicant’s safety review document
function of time after liftoff for the fol- must contain analysis products and
lowing launch vehicle performance pa- other data that demonstrate the appli-
rameters: thrust, altitude, velocity, in- cant’s ability to meet the public risk
stantaneous impact point arc-range criteria of § 417.107 of this chapter and
measured from the launch point, and to establish launch safety rules as re-
present position arc-range measured quired by § 417.113 of this chapter. An
from the launch point. applicant’s flight safety analysis must
satisfy the following requirements:
§ 415.111 Launch operator organiza- (1) An applicant must file the pro-
tion. posed flight safety analysis method-
An applicant’s safety review docu- ology and the preliminary flight safety
ment must contain organizational analysis products no later than 18
charts and a description that shows months for any orbital or guided sub-
that the launch operator’s organization orbital launch vehicle, and nine
satisfies the requirements of § 417.103 of months for any unguided suborbital
this chapter. An applicant’s safety re- launch vehicle, prior to bringing any
view document must also identify all launch vehicle to the proposed launch
persons with whom the applicant has site.

558
Commercial Space Transportation, FAA, DOT § 415.117
(2) For a launch operator license, an the launch is consistent with public
applicant must file flight safety anal- health and safety.
ysis products that account for the (c) Flight safety plan. An applicant’s
range of launch vehicles and flight tra- safety review document must contain a
jectories applied for, or the worst case flight safety plan that satisfies
vehicle and trajectory under which § 417.111(b) of this chapter. The plan
flight will be attempted, no later than need not be restricted to public safety
6 months before the applicant brings related issues and may combine other
any launch vehicle to the proposed flight safety issues as well, such as em-
launch site. For a launch specific li- ployee safety, so as to be all-inclusive.
cense, an applicant must file flight (d) Natural and triggered lightning. For
safety analysis products that account any orbital or guided suborbital ex-
for the actual flight conditions, no pendable launch vehicle, an applicant
later than 6 months before the appli- must demonstrate that it will satisfy
cant brings any launch vehicle to the the flight commit criteria of § 417.113(c)
proposed launch site. of this chapter and appendix G of part
417 of this chapter for natural and trig-
(3) The flight safety analysis per-
gered lightning. If an applicant’s safety
formed by an applicant must be com-
review document states that any flight
pleted as required by subpart C of part
commit criterion that is otherwise re-
417 of this chapter. An applicant may
quired by appendix G of part 417 of this
identify those portions of the analysis
chapter does not apply to a proposed
that it expects to refine as the first
launch or series of launches, the appli-
proposed flight date approaches. An ap-
cant’s safety review document must
plicant must identify any analysis
demonstrate that the criterion does
product subject to change, describe not apply.
what needs to be done to finalize the
product, and identify when before § 415.117 Ground safety.
flight it will be finalized. If a license
(a) General. An applicant’s safety re-
allows more than one launch, an appli-
view document must include a ground
cant must demonstrate the applica-
safety analysis report, and a ground
bility of the analysis methods to each
safety plan for its launch processing
of the proposed launches and identify
and post-flight operations as required
any expected differences in the flight by this section, § 417.109 of this chapter,
safety analysis methods among the and subpart E of part 417 of this chap-
proposed launches. Once licensed, a ter when launching from a launch
launch operator must perform a flight point in the United States. Launch
safety analysis for each launch using processing and post-launch operations
final launch vehicle performance and at a launch point outside the United
other data as required by subpart C of States may be subject to the require-
part 417 of this chapter and using the ments of the governing jurisdiction.
analysis methods approved by the FAA (b) Ground safety analysis. A ground
through the licensing process. safety analysis must review each sys-
(b) Radionuclides. An applicant’s safe- tem and operation used in launch proc-
ty review document must identify the essing and post-flight operations as re-
type and quantity of any radionuclide quired by § 417.109 of this chapter, and
on a launch vehicle or payload. For subpart E of part 417 of this chapter.
each radionuclide, an applicant must (1) An applicant must file an initial
include a reference list of all docu- ground safety analysis report no later
mentation addressing the safety of its than 12 months for any orbital or guid-
intended use and describe all approvals ed suborbital launch vehicle, and nine
by the Nuclear Regulatory Commission months for an unguided suborbital
for launch processing. An applicant launch vehicle, before the applicant
must provide radionuclide information brings any launch vehicle to the pro-
to the FAA at the pre-application con- posed launch site. An initial ground
sultation as required by § 415.105. The safety analysis report must be in a pro-
FAA will evaluate launch of any radio- posed final or near final form and iden-
nuclide on a case-by-case basis, and tify any incomplete items. An appli-
issue an approval if the FAA finds that cant must document any incomplete

559
§ 415.119 14 CFR Ch. III (1–1–19 Edition)
items and track them to completion. § 415.121 Launch schedule.
An applicant must resolve any FAA
An applicant’s safety review docu-
comments on the initial report and file
ment must contain a generic launch
a complete ground safety analysis re-
processing schedule that identifies
port, no later than two months before
each review, rehearsal, and safety crit-
the applicant brings any launch vehicle
ical preflight operation to be con-
to the proposed launch site. Further-
ducted as required by §§ 417.117, 417.119,
more, an applicant must keep its
and 417.121 of this chapter. The launch
ground safety analysis report current.
schedule must also identify day of
Any late developing change to a ground
flight activities. The launch processing
safety analysis report must be coordi-
schedule must show each of these ac-
nated with the FAA as an application
tivities referenced to liftoff, such as
amendment as required by § 413.17 of
liftoff minus three days.
this chapter as soon as the applicant
identifies the need for a change. § 415.123 Computing systems and soft-
(2) An applicant must file a ground ware.
safety analysis report that satisfies the
(a) An applicant’s safety review docu-
ground safety analysis requirements of
ment must describe all computing sys-
§ 417.109 of this chapter, and subpart E
tems and software that perform a safe-
of part 417 of this chapter.
ty-critical computer system function
(3) The person designated under for any operation performed during
§ 417.103(b)(1) of this chapter and the launch processing or flight that could
person designated under § 417.103(b)(2) have a hazardous effect on the public
of this chapter must approve and sign
as required by § 417.123 of this chapter.
the ground safety analysis report.
(b) An applicant’s safety review docu-
(c) Ground safety plan. An applicant’s
ment must list and describe all safety-
safety review document must contain a
critical computer system functions in-
ground safety plan that satisfies volved in a proposed launch, including
§ 417.111(c) of this chapter. The appli- associated hardware and software
cant must file this plan with the FAA interfaces. For each system with a
no later than six months prior to
safety-critical computer system func-
bringing the launch vehicle to the pro-
tion, an applicant’s safety review docu-
posed launch site. This ground safety
ment must:
plan must describe implementation of
(1) Describe all safety-critical com-
the hazard controls identified by an ap-
puter system functions, including each
plicant’s ground safety analysis and
safety-critical interface with any other
implementation of the ground safety
system;
requirements of subpart E of part 417 of
(2) Describe all systems, including all
this chapter. A ground safety plan
hardware and software, and the layout
must address all public safety related
of each operator console and display;
issues and may include other ground
(3) Provide flow charts or diagrams
safety issues if an applicant intends it
that show all hardware data busses,
to have a broader scope.
hardware interfaces, software inter-
§ 415.119 Launch plans. faces, data flow, and power systems,
and all operations of each safety-crit-
An applicant’s safety review docu- ical computer system function;
ment must contain the plans required
(4) Provide all logic diagrams and
by § 417.111 of this chapter, except for
software designs;
the countdown plan of § 417.111(l) of this
(5) List all operator user manuals and
chapter. An applicant’s launch plans do
documentation by title and date;
not have to be separate documents, and
(6) Describe the computing system
may be part of other applicant docu-
and software system safety process as
mentation. An applicant must incor-
required by § 417.123(a).
porate each launch safety rule estab-
lished under § 417.113 of this chapter (7) Provide all results of computing
into a related launch safety plan. system and software hazard analyses as
required by § 417.123(c).

560
Commercial Space Transportation, FAA, DOT § 415.127
(8) Provide all plans and results of fied in the block diagram required by
computing systems and software vali- paragraph (c) of this section:
dation and verification as required by (1) Subsystem description. A physical
§ 417.123(d). description of each subsystem and its
(9) Provide all plans for software de- components, its operation, and inter-
velopment as required by § 417.123(e). faces with other systems or sub-
systems.
§ 415.125 Unique safety policies, re- (2) Subsystem diagram. A physical and
quirements and practices. functional diagram of each subsystem,
An applicant’s safety review docu- including interfaces with other sys-
ment must identify any public safety- tems and subsystems.
related policy, requirement, or practice (3) Component location. Drawings
that is unique to the proposed launch, showing the location of all subsystem
or series of launches, as required by components, and the details of the
§ 417.127 of this chapter. An applicant’s mounting arrangements, as installed
safety review document must describe on the vehicle, and at the launch site.
how each unique safety policy, require- (4) Electronic components. A physical
ment, or practice ensures the safety of description of each subsystem elec-
the public. tronic component, including operating
parameters and functions at the sys-
§ 415.127 Flight safety system design tem and piece-part level. An applicant
and operation data. must also provide the name of the
(a) General. This part applies to an manufacturer and any model number of
applicant launching an orbital or guid- each component and identify whether
ed sub-orbital expendable launch vehi- the component is custom designed and
cle that uses a flight safety system to built or off-the-shelf-equipment.
protect public safety as required by (5) Mechanical components. An illus-
§ 417.107(a) of this chapter. An appli- trated parts breakdown of all mechani-
cant’s safety review document must cally operated components for each
contain the flight safety system data subsystem, including the name of the
identified by this section. The appli- manufacturer and any model number.
cant must file all data required by this (6) Subsystem compatibility. A dem-
section no later than 18 months before onstration of the compatibility of the
bringing any launch vehicle to a pro- onboard launch vehicle flight termi-
posed launch site. nation system with the command con-
(b) Flight safety system description. A trol system.
safety review document must describe (7) Flight termination system component
an applicant’s flight safety system and storage, operating, and service life. A list-
its operation. Part 417, subpart D of ing of all flight termination system
this chapter and appendices D, E, and F components that have a critical stor-
of part 417 of this chapter contain the age, operating, or service life and a
flight safety system and subsystems summary of the applicant’s procedures
design and operational requirements. for ensuring that each component does
(c) Flight safety system diagram. An not exceed its storage, operating, or
applicant’s safety review document service life before flight.
must contain a block diagram that (8) Flight termination system element lo-
identifies all flight safety system sub- cation. For a flight termination sys-
systems. The diagram must include the tem, a description of where each sub-
following subsystems defined in part system element is located, where ca-
417, subpart D of this chapter: flight bles are routed, and identification of
termination system; command control mounting attach points and access
system; tracking; telemetry; commu- points.
nications; flight safety data processing, (9) Flight termination system electrical
display, and recording system; and connectors and connections and wiring
flight safety official console. diagrams and schematics. For a flight
(d) Subsystem design information. An termination system, a description of
applicant’s safety review document all subsystem electrical connectors and
must contain all of the following data connections, and any electrical isola-
that applies to each subsystem identi- tion. The safety review document must

561
§ 415.129 14 CFR Ch. III (1–1–19 Edition)
also contain flight termination system applicant must demonstrate, in accord-
wiring diagrams and schematics and ance with section 406.3(b), the non-ap-
identify the test points used for inte- plicability of that requirement as an
grated testing and checkout. attachment to the matrix; or
(10) Flight termination system batteries. (3) ‘‘Equivalent level of safety’’ in
A description of each flight termi- each case where the applicant proposes
nation system battery and cell, the to show that its system provides an
name of the battery or cell manufac- equivalent level of safety through some
turer, and any model numbers. means other than that required by part
(11) Controls and displays. For a flight 417 of this chapter. For each such case,
safety official console, a description of an applicant must clearly and convinc-
all controls, displays, and charts de- ingly demonstrate, as required by
picting how real time vehicle data and § 406.3(b), through a technical rationale
flight safety limits are displayed. The within the matrix, or as an attach-
description must identify the scales ment, that the proposed alternative
used for displays and charts. provides a level of safety equivalent to
(e) System analyses. An applicant satisfying the requirement that it
must perform the reliability and other would replace.
system analyses for a flight termi- (h) Flight termination system installa-
nation system and command control tion procedures. An applicant’s safety
system of § 417.309 of this chapter. An review document must contain a list of
applicant’s safety review document the flight termination system installa-
must contain the results of each anal- tion procedures and a synopsis of the
ysis. procedures that demonstrates how each
(f) Environmental design. An applicant of those procedures meet the require-
must determine the flight termination ments of section D417.15 of appendix D
system maximum predicted environ- of part 417 of this chapter. The list
ment levels required by section D417.7 must reference each procedure by title,
of appendix D of part 417 of this chap- any document number, and date.
ter, and the design environments and (i) Tracking validation procedures. An
design margins of section D417.3 of ap- applicant’s safety review document
pendix D of part 417 of this chapter. An must contain the procedures identified
applicant’s safety review document by § 417.121(h) of this chapter for vali-
must summarize the analyses and dating the accuracy of the launch vehi-
measurements used to derive the max- cle tracking data supplied to the flight
imum predicted environment levels. safety crew.
The safety review document must con-
tain a matrix that identifies the max- § 415.129 Flight safety system test
imum predicted environment levels data.
and the design environments. (a) General. An applicant’s safety re-
(g) Flight safety system compliance ma- view document must contain the flight
trix. An applicant’s safety review docu- safety system test data required by
ment must contain a compliance ma- this section for the launch of an orbital
trix of the function, reliability, sys- and guided suborbital expendable
tem, subsystem, and component re- launch vehicle that uses a flight safety
quirements of part 417 of this chapter system to protect public safety as re-
and appendix D of part 417 of this chap- quired by § 417.107(a) of this chapter.
ter. This matrix must identify each re- This section applies to all testing re-
quirement and indicate compliance as quired by part 417, subpart D of this
follows: chapter and its appendices, including
(1) ‘‘Yes’’ if the applicant’s system qualification, acceptance, age surveil-
meets the requirement of part 417 of lance, and preflight testing of a flight
this chapter. The matrix must ref- safety system and its subsystems and
erence documentation that dem- individual components. An applicant
onstrates compliance; must file all required test data, no
(2) ‘‘Not applicable’’ if the applicant’s later than 12 months before the appli-
system design and operational environ- cant brings any launch vehicle to the
ment are such that the requirement proposed launch site. An applicant may
does not apply. For each such case, the file test data earlier to allow greater

562
Commercial Space Transportation, FAA, DOT § 415.129
time for addressing issues that the (c) Test program overview and schedule.
FAA may identify to avoid possible im- A safety review document must con-
pact on the proposed launch date. tain a summary of the applicant’s
Flight safety system testing need not flight safety system test program that
be completed before the FAA issues a identifies the location of the testing
launch license. Prior to flight, a li- and the personnel who ensure the va-
censee must successfully complete all lidity of the results. A safety review
required flight safety system testing document must contain a schedule for
and file the completed test reports or successfully completing each test be-
the test report summaries required by fore flight. The applicant must ref-
§ 417.305(d) of this chapter and section erence the schedule to the time of lift-
E417.1(i) of appendix E of part 417 of off for the first proposed flight at-
this chapter. tempt.
(b) Testing compliance matrix. An ap- (d) Flight safety system test plans and
plicant’s safety review document must procedures. An applicant’s safety review
contain a compliance matrix of all the document must contain test plans that
flight safety system, subsystem, and satisfy the flight safety system testing
component testing requirements of requirements of subpart D of part 417 of
part 417 of this chapter and appendix E this chapter and appendix E of part 417
to part 417 of this chapter. This matrix of this chapter. An applicant’s safety
must identify each test requirement review document must contain a list of
and indicate compliance as follows: all flight termination system test pro-
(1) ‘‘Yes’’ if the applicant performs cedures and a synopsis of the proce-
the system or component testing re- dures that demonstrates how they
quired by part 417 of this chapter. The meet the test requirements of part 417
matrix must reference documentation of this chapter. The list must reference
that demonstrates compliance; each procedure by title, any document
number, and date.
(2) ‘‘Not applicable’’ if the applicant’s
(e) Test reports. An applicant’s safety
system design and operational environ-
review document must contain either
ment are such that the test require-
the test reports, or a summary of the
ment does not apply. For each such test report which captures the overall
case, an applicant must demonstrate,
test results, including all test discrep-
as required by § 406.3(b), of the non-ap- ancies and their resolution, prepared as
plicability of that requirement as an required by § 417.305(d) of this chapter
attachment to the matrix; and section E417.1(i) of appendix E of
(3) ‘‘Similarity’’ if the test require- part 417 of this chapter, for each flight
ment applies to a component whose de- safety system test completed at the
sign is similar to a previously qualified time of license application. An appli-
component. For each such case, an ap- cant must file any remaining test re-
plicant must demonstrate similarity ports or summaries before flight as re-
by performing the analysis required by quired by § 417.305(d) and section
appendix E of part 417 of this chapter. E417.1(i) of appendix E of part 417 of
The matrix, or an attachment, must this chapter. Upon request, the launch
contain the results of each analysis; or operator must file the complete test
(4) ‘‘Equivalent level of safety’’ in report with the FAA for review, if the
each case where the applicant proposes launch operator previously filed test
to show that its test program provides report summaries with the FAA.
an equivalent level of safety through (f) Reuse of flight termination system
some means other than that required components. An applicant’s safety re-
by part 417 of this chapter. For each view document must contain a reuse
such case, an applicant must clearly qualification test, refurbishment plan,
and convincingly demonstrate through and acceptance test plan for the use of
a technical rationale, within the ma- any flight termination system compo-
trix or as an attachment, that the al- nent on more than one flight. This test
ternative provides a level of safety plan must define the applicant’s proc-
equivalent to satisfying the require- ess for demonstrating that the compo-
ment that it replaces, as required by nent can satisfy all its performance
§ 406.3(c). specifications when subjected to the

563
§ 415.131 14 CFR Ch. III (1–1–19 Edition)
qualification test environmental levels ated with a proposed launch. The infor-
plus the total number of exposures to mation provided by an applicant must
the maximum expected environmental be sufficient to enable the FAA to com-
levels for each of the flights to be ply with the requirements of the Na-
flown. tional Environment Policy Act, 42
U.S.C. 4321 et seq. (NEPA), the Council
§ 415.131 Flight safety system crew on Environmental Quality Regulations
data. for Implementing the Procedural Pro-
(a) An applicant’s safety review docu- visions of NEPA, 40 CFR parts 1500–
ment must identify each flight safety 1508, and the FAA’s Procedures for Con-
system crew position and the role of sidering Environmental Impacts, FAA
that crewmember during launch proc- Order 1050.1D.
essing and flight of a launch vehicle. [Amdt. 415–03, 64 FR 19616, Apr. 21, 1999. Re-
(b) An applicant’s safety review docu- designated by Amdt. 415–4, 71 FR 50532, Aug.
ment must describe the certification 25, 2006]
program for flight safety system crew-
members established to ensure compli- § 415.203 Environmental information.
ance with §§ 417.105 and 417.311 of this An applicant shall submit environ-
chapter. mental information concerning:
(a) A proposed launch site not cov-
§ 415.133 Safety at end of launch.
ered by existing environmental docu-
An applicant must demonstrate com- mentation;
pliance with § 417.129 of this chapter, (b) A proposed launch vehicle with
for any proposed launch of a launch ve- characteristics falling measurably out-
hicle with a stage or component that side the parameters of existing envi-
will reach Earth orbit. ronmental documentation;
(c) A proposed launch from an estab-
§ 415.135 Denial of safety approval. lished launch site involving a vehicle
The FAA notifies an applicant, in with characteristics falling measurably
writing, if it has denied safety approval outside the parameters of any existing
for a license application. The notice environmental impact statement that
states the reasons for the FAA’s deter- applies to that site;
mination. The applicant may respond (d) A proposed payload that may
to the reasons for the determination have significant environmental im-
and request reconsideration. pacts in the event of a mishap; and
(e) Other factors as determined by
§§ 415.136–415.200 [Reserved] the FAA.
[Amdt. 415–03, 64 FR 19616, Apr. 21, 1999. Re-
Subpart G—Environmental Review designated by Amdt. 415–4, 71 FR 50532, Aug.
25, 2006]
§ 415.201 General.
An applicant shall provide the FAA §§ 415.204–415.400 [Reserved]
with information for the FAA to ana-
lyze the environmental impacts associ-

564
Commercial Space Transportation, FAA, DOT Pt. 415, App. A
APPENDIX A TO PART 415—FAA/USSPACECOM LAUNCH NOTIFICATION FORM

565
Pt. 415, App. A 14 CFR Ch. III (1–1–19 Edition)

566
Commercial Space Transportation, FAA, DOT Pt. 417

APPENDIX B TO PART 415—SAFETY 6.7 Hazard Area Surveillance and Clearance

REVIEW DOCUMENT OUTLINE Plan
6.8 Communications Plan
This appendix contains the format and 7.1 Launch Schedule (§ 415.121)
numbering scheme for a safety review docu- 7.2 Launch Processing Schedule
ment to be filed as part of an application for 8.1 Computing Systems and Software
a launch license as required by subpart F of (§ 415.123)
part 415. The applicable sections of parts 413, 8.2 Hardware and Software Descriptions
415, and 417 of this chapter are referenced in 8.3 Flow Charts and Diagrams
the outline below. 8.4 Logic Diagrams and Software Design
Descriptions
SAFETY REVIEW DOCUMENT 8.5 Operator User Manuals and Documenta-
1.1 Launch Description (§ 415.109) tion
1.2 Launch Site Description 8.6 Software Hazard Analyses
1.3 Launch Vehicle Description 8.7 Software Test Plans, Test Procedures,
1.4 Payload Description and Test Results
1.5 Trajectory 8.8 Software Development Plan
1.6 Staging Events 9.0 Unique Safety Policies, Requirements
1.7 Vehicle Performance Graphs and Practices (§ 415.125)
2.1 Launch Operator Organization (§ 415.111) 10.1 Flight Safety System Design and Oper-
2.2 Launch Operator Organization (§ 415.111 ation Data (§ 415.127)
and § 417.103 of this chapter) 10.2 Flight Safety System Description
2.1.1 Organization Summary 10.3 Flight Safety System Diagram
2.1.3 Organization Charts 10.4 Flight Safety System Subsystem De-
2.1.4 Office Descriptions and Safety Func- sign Information
tions 10.5 Flight Safety System Analyses
3.1 Launch Personnel Certification Program 10.6 Flight Termination System Environ-
(§ 415.113 and § 417.105 of this chapter) mental Design
3.2 Program Summary 10.7 Flight Safety System Compliance Ma-
3.3 Program Implementation Document(s) trix
3.4 Table of Safety Critical Tasks Per- 10.8 Flight Termination System Installa-
formed by Certified Personnel tion Procedures
4.1 Flight Safety (§ 415.115) 10.9 Tracking System Validation Proce-
4.2 Initial Flight Safety Analysis dures
4.2.1 Flight Safety Sub-Analyses, Methods, 11.1 Flight Safety System Test Data
and Assumptions (§ 415.129)
4.2.2 Sample Calculation and Products 11.2 Testing Compliance Matrix
4.2.3 Launch Specific Updates and Final 11.3 Test Program Overview and Schedule
Flight Safety Analysis Data 11.4 Flight Safety System Test Plans and
4.2 Radionuclide Data (where applicable) Procedures
4.3 Flight Safety Plan 11.5 Test Reports
4.3.1 Flight Safety Personnel 11.6 Reuse of Flight Termination System
4.3.2 Flight Safety Rules Components
4.3.3 Flight Safety System Summary and 12.1 Flight Safety System Crew Data
Preflight Tests (§ 415.131)
4.3.4 Trajectory and Debris Dispersion Data 12.2 Position Descriptions
4.3.5 Flight Hazard Areas and Safety Clear 12.3 Certification and Training Program De-
Zones scription
4.3.6 Support Systems and Services 13.0 Safety at End of Launch (§ 415.133)
4.3.7 Flight Safety Operations
[Doc. No. FAA–2000–7953, 71 FR 50536, Aug. 25,
4.3.8 Unguided Suborbital Launch Vehicles
2006]
(where applicable)
5.1 Ground Safety (§ 415.117)
5.2 Ground Safety Analysis Report PART 417—LAUNCH SAFETY
5.3 Ground Safety Plan
6.0 Launch Plans (§ 415.119 and § 417.111 of Subpart A—General and License Terms
this chapter) and Conditions
6.1 Launch Support Equipment and Instru-
mentation Plan Sec.
6.2 Configuration Management and Control 417.1 General information.
Plan 417.3 Definitions and acronyms.
6.3 Frequency Management Plan 417.5 [Reserved]
6.4 Flight Termination System Electronic 417.7 Public safety responsibility.
Piece Parts Program Plan 417.9 Launch site responsibility.
6.5 Accident Investigation Plan 417.11 Continuing accuracy of license appli-
6.6 Local Agreements and Public Coordina- cation; application for modification of li-
tion Plan cense.

567
§ 417.1 14 CFR Ch. III (1–1–19 Edition)
417.13 Agreement with Federal launch 417.311 Flight safety system crew roles and
range. qualifications.
417.15 Records.
417.17 Launch reporting requirements and Subpart E—Ground Safety
launch specific updates.
417.19 Registration of space objects. 417.401 Scope.
417.21 Financial responsibility require- 417.402 Compliance.
ments. 417.403 General.
417.23 Compliance monitoring. 417.405 Ground safety analysis.
417.25 Post launch report. 417.26– 417.407 Hazard control implementation.
417.100 [Reserved] 417.409 System hazard controls.
417.411 Safety clear zones for hazardous op-
Subpart B—Launch Safety Responsibilities erations.
417.101 Scope. 417.413 Hazard areas.
417.103 Safety organization. 417.415 Post-launch and post-flight-attempt
417.105 Launch personnel qualifications and hazard controls.
certification. 417.417 Propellants and explosives.
417.107 Flight safety. APPENDIX A TO PART 417—FLIGHT SAFETY
417.109 Ground safety. ANALYSIS METHODOLOGIES AND PRODUCTS
417.111 Launch plans. FOR A LAUNCH VEHICLE FLOWN WITH A
417.113 Launch safety rules. FLIGHT S AFETY S YSTEM
417.115 Tests. APPENDIX B TO PART 417—FLIGHT HAZARD
417.117 Reviews. AREA ANALYSIS FOR AIRCRAFT AND SHIP
417.119 Rehearsals. PROTECTION
417.121 Safety critical preflight operations. APPENDIX C TO P ART 417—FLIGHT SAFETY
417.123 Computing systems and software. ANALYSIS METHODOLOGIES AND PRODUCTS
417.125 Launch of an unguided suborbital FOR AN U NGUIDED S UBORBITAL LAUNCH
launch vehicle. VEHICLE FLOWN WITH A WIND WEIGHTING
417.127 Unique safety policies, require- SAFETY S YSTEM
ments, and practices. APPENDIX D TO PART 417—FLIGHT TERMI-
417.129 Safety at end of launch. 417.130– NATION S YSTEMS, C OMPONENTS, INSTALLA-
417.200 [Reserved] TION, AND MONITORING
A PPENDIX E TO P ART 417—F LIGHT TERMI-
Subpart C—Flight Safety Analysis NATION S YSTEM TESTING AND ANALYSIS
417.201 Scope and applicability. APPENDIX F TO PART 417 [RESERVED]
417.203 Compliance APPENDIX G TO PART 417—NATURAL AND TRIG-
417.205 General. GERED LIGHTNING F LIGHT C OMMIT C RI-
417.207 Trajectory analysis. TERIA
417.209 Malfunction turn analysis. APPENDIX H TO P ART 417 [RESERVED]
417.211 Debris analysis. APPENDIX I TO P ART 417—METHODOLOGIES FOR
417.213 Flight safety limits analysis. TOXIC RELEASE H AZARD A NALYSIS AND
417.215 Straight-up time analysis. OPERATIONAL P ROCEDURES
417.217 Overflight gate analysis. APPENDIX J TO PART 417—GROUND SAFETY
417.218 Hold-and-resume gate analysis. ANALYSIS REPORT
417.219 Data loss flight time and planned
AUTHORITY: 51 U.S.C. 50901–50923.
safe flight state analyses.
417.221 Time delay analysis. SOURCE: Docket No. FAA–2000–7953, 71 FR
417.223 Flight hazard area analysis. 50537, Aug. 25, 2006, unless otherwise noted.
417.224 Probability of failure analysis.
417.225 Debris risk analysis.
417.227 Toxic release hazard analysis. Subpart A—General and License
417.229 Far-field overpressure blast effects Terms and Conditions
analysis.
417.231 Collision avoidance analysis. § 417.1 General information.
417.233 Analysis for an unguided suborbital
(a) Scope. This part sets forth—
launch vehicle flown with a wind
weighting safety system. (1) The responsibilities of a launch
operator conducting a licensed launch
Subpart D—Flight Safety System of an expendable launch vehicle; and
(2) The requirements for maintaining
417.301 General.
a launch license obtained under part
417.303 Command control system require-
ments.
415 of this chapter. Parts 413 and 415 of
417.305 Command control system testing. this chapter contain requirements for
417.307 Support systems. preparing a license application to con-
417.309 Flight safety system analysis. duct a launch, including information

568
Commercial Space Transportation, FAA, DOT § 417.3
reviewed by the FAA to conduct a pol- (6) Operation approval.
icy, safety, payload, and environmental (e) Grandfathering. For a licensed
review., and a payload determination. launch from a Federal launch range, a
(b) Applicability. (1) The administra- requirement of this part does not apply
tive requirements for filing material to the launch if the Federal launch
with the FAA in subpart A of this part range’s grandfathering criteria allow
apply to all licensed launches from a noncompliance with the requirement
Federal launch range or a non-Federal for that launch. See paragraph (f) of
launch site, except where noted. this section for exceptions to this pro-
(2) The safety requirements of sub- vision.
parts B through E of this part apply to (f) Exceptions to Federal launch range
all licensed launches of expendable meets intent certifications, waivers, and
launch vehicles. See paragraphs (d) and grandfathering. Even if a licensed
(e) of this section for exceptions to this launch from a Federal launch range
provision. satisfies paragraph (c), (d), or (e) of this
(c) ‘‘Meets intent’’ certification. For a section for a requirement of this part,
licensed launch from a Federal launch the requirement applies and a launch
range, a launch operator need not dem- operator must satisfy the requirement,
onstrate to the FAA that an alter- obtain FAA approval of any alter-
native means of satisfying a require- native, or obtain FAA approval for any
ment of this part provides an equiva- further noncompliance if—
lent level of safety for a launch if writ- (1) The launch operator modifies the
ten evidence demonstrates that a Fed- launch vehicle’s operation or safety
eral launch range has, by the effective characteristics;
date of this part, granted a ‘‘meets in- (2) The launch operator uses the
tent certification,’’ including through launch vehicle, component, system, or
‘‘tailoring,’’ that applies to the re- subsystem in a new application;
quirement and that launch. See para- (3) The FAA or the launch operator
graph (f) of this section for exceptions determines that a previously unfore-
to this provision. Written evidence in- seen or newly discovered safety hazard
cludes: exists that is a source of significant
(1) Range flight plan approval, risk to public safety; or
(2) Missile system pre-launch safety (4) The Federal launch range pre-
package, viously accepted a component, system,
(3) Preliminary and final flight data or subsystem, but did not then identify
packages, a noncompliance to a Federal launch
(4) A tailored version of EWR 127–1, range requirement.
(5) Range email to the FAA stating (g) Equivalent level of safety. The re-
that the MIC was approved, or quirements of this part apply to a
(6) Operation approval. launch operator and the launch opera-
(d) Waiver. For a licensed launch tor’s launch unless the launch operator
from a Federal launch range, a require- clearly and convincingly demonstrates
ment of this part does not apply to a that an alternative approach provides
launch if written evidence dem- an equivalent level of safety.
onstrates that a Federal launch range
has, by the effective date of this part, § 417.3 Definitions and acronyms.
granted a waiver that allows non- For the purpose of this part,
compliance with the requirement for Command control system means the
that launch. See paragraph (f) of this portion of a flight safety system that
section for exceptions to this provision. includes all components needed to send
Written evidence includes: a flight termination control signal to
(1) Range flight plan approval, an onboard vehicle flight termination
(2) Missile system pre-launch safety system. A command control system
package, starts with any flight termination acti-
(3) Preliminary and final flight data vation switch at a flight safety crew
packages, console and ends at each command-
(4) A tailored version of EWR 127–1, transmitting antenna. It includes all
(5) Range email to the FAA stating intermediate equipment, linkages, and
that the waiver was approved, or software and any auxiliary transmitter

569
§ 417.3 14 CFR Ch. III (1–1–19 Edition)
stations that ensure a command signal flown with a flight safety system in a
will reach the onboard vehicle flight way that destroys the launch vehicle
termination system from liftoff until and disperses or expends all remaining
the launch vehicle achieves orbit or propellant and renders remaining en-
can no longer reach a populated or ergy sources non-propulsive before the
other protected area. launch vehicle or any launch vehicle
Command destruct system means a por- component or payload impacts the
tion of a flight termination system Earth’s surface.
that includes all components on board Downrange means the distance meas-
a launch vehicle that receive a flight ured along a line whose direction is
termination control signal and achieve parallel to the projection of a launch
destruction of the launch vehicle. A vehicle’s planned nominal velocity vec-
command destruct system includes all tor azimuth into a horizontal plane
receiving antennas, receiver decoders, tangent to the ellipsoidal Earth model
explosive initiating and transmission at the launch vehicle sub-vehicle point.
devices, safe and arm devices and ord- The term downrange may also be used
nance necessary to achieving destruc- to indicate direction.
tion of the launch vehicle upon receipt Drag impact point means a launch ve-
of a destruct command. hicle instantaneous impact point cor-
Conjunction on launch means the ap- rected for atmospheric drag.
proach of a launch vehicle or any Dwell time means—
launch vehicle component or payload (1) The period during which a launch
within 200 kilometers of a manned or vehicle instantaneous impact point is
mannable orbiting object— over a populated or other protected
(1) During the flight of an unguided area; or
suborbital rocket; or (2) The period during which an object
(2) For an orbital launch vehicle dur- is subjected to a test condition.
ing—
Explosive debris means solid propel-
(i) The ascent to initial orbital inser-
lant fragments or other pieces of a
tion and through at least one complete
launch vehicle or payload that result
orbit; and
from break up of the launch vehicle
(ii) Each subsequent orbital maneu-
during flight and that explode upon im-
ver or burn from initial park orbit, or
pact with the Earth’s surface and cause
direct ascent to a higher or interplan-
overpressure.
etary orbit.
Countdown means the timed sequence Fail-over means a method of ensuring
of events that must take place to ini- continuous or near continuous oper-
tiate flight of a launch vehicle. ation of a command transmitter sys-
Crossrange means the distance meas- tem by automatically switching from a
ured along a line whose direction is ei- primary transmitter to a secondary
ther 90 degrees clockwise (right transmitter when a condition exists
crossrange) or counter-clockwise (left that indicates potential failure of the
crossrange) to the projection of a primary transmitter.
launch vehicle’s planned nominal ve- Family performance data means—
locity vector azimuth onto a horizontal (1) Results of launch vehicle compo-
plane tangent to the ellipsoidal Earth nent and system tests that represent
model at the launch vehicle’s sub-vehi- similar characteristics for a launch ve-
cle point. The terms right crossrange hicle component or system; and
and left crossrange may also be used to (2) Data that is continuously updated
indicate direction. as additional samples of a given com-
Data loss flight time means the short- ponent or system are tested.
est elapsed thrusting time during Flight safety limit means criteria to
which a launch vehicle flown with a ensure a set of impact limit lines es-
flight safety system can move from its tablished for the flight of a launch ve-
normal trajectory to a condition where hicle flown with a flight safety system
it is possible for the launch vehicle to bound the area where debris with a bal-
endanger the public. listic coefficient of three or more is al-
Destruct means the act of termi- lowed to impact when a flight safety
nating the flight of a launch vehicle system functions.

570
Commercial Space Transportation, FAA, DOT § 417.3
Flight safety system means the system launch vehicle, integration of the pay-
that provides a means of control during load, and fueling.
flight for preventing a hazard from a Launch wait means a relatively short
launch vehicle, including any payload period of time when launch is not per-
hazard, from reaching any populated or mitted in order to avoid a conjunction
other protected area in the event of a on launch or to safely accommodate
launch vehicle failure. A flight safety temporary intrusion into a flight haz-
system includes: ard area. A launch wait can occur with-
(1) All hardware and software used to in a launch window, can delay the start
protect the public in the event of a of a launch window, or terminate a
launch vehicle failure; and launch window early.
(2) The functions of any flight safety Launch window means a period of
crew. time during which the flight of a
Flight safety crew means the per- launch vehicle may be initiated.
sonnel, designated by a launch oper- ‘‘Meets intent’’ certification means a
ator, who operate flight safety system decision by a Federal launch range to
hardware and software to monitor the accept a substitute means of satisfying
flight of a launch vehicle and make a a safety requirement where the sub-
flight termination decision. stitute provides an equivalent level of
Flight termination system means all safety to that of the original require-
components, onboard a launch vehicle, ment.
that provide the ability to end a launch Normal flight means the flight of a
vehicle’s flight in a controlled manner. properly performing launch vehicle
A flight termination system consists of whose real-time instantaneous impact
all command destruct systems, inad- point does not deviate from the nomi-
vertent separation destruct systems, or nal instantaneous impact point by
other systems or components that are more than the sum of the wind effects
onboard a launch vehicle and used to and the three-sigma guidance and per-
terminate flight. formance deviations in the uprange,
Gate means the portion of a flight downrange, left-crossrange, or right-
safety limit boundary through which crossrange directions.
the tracking icon of a launch vehicle Normal trajectory means a trajectory
flown with a flight safety system may that describes normal flight.
pass without flight termination. Non-operating environment means an
In-family means a launch vehicle environment that a launch vehicle
component or system test result that component experiences before flight
indicates that the component or sys- and when not otherwise being sub-
tem’s performance conforms to the jected to acceptance tests. Non-oper-
family performance data that was es- ating environments include, but need
tablished by previous test results. not be limited to, storage, transpor-
Inadvertent separation destruct system tation, and installation.
means an automatic destruct system Operating environment means an envi-
that uses mechanical means to trigger ronment that a launch vehicle compo-
the destruction of a launch vehicle nent will experience during acceptance
stage. testing, launch countdown, and flight.
Launch azimuth means the horizontal Operating environments include shock,
angular direction initially taken by a vibration, thermal cycle, acceleration,
launch vehicle at liftoff, measured humidity, and thermal vacuum.
clockwise in degrees from true north. Operating life means, for a flight safe-
Launch crew means all personnel who ty system component, the period of
control the countdown and flight of a time beginning with activation of the
launch vehicle or who make irrev- component or installation of the com-
ocable operational decisions that have ponent on a launch vehicle, whichever
the potential for impacting public safe- is earlier, for which the component is
ty. A launch crew includes members of capable of satisfying all its perform-
the flight safety crew. ance specifications through the end of
Launch processing means all preflight flight.
preparation of a launch vehicle at a Operation hazard means a hazard de-
launch site, including buildup of the rived from an unsafe condition created

571
§ 417.5 14 CFR Ch. III (1–1–19 Edition)
by a system or operating environment System hazard means a hazard associ-
or by an unsafe act. ated with a system and generally exists
Out-of-family means a component or even when no operation is occurring.
system test result where the compo- Tracking icon means the representa-
nent or system’s performance does not tion of a launch vehicle’s instanta-
conform to the family performance neous impact point, debris footprint, or
data that was established by previous other vehicle performance metric that
test results and is an indication of a is displayed to a flight safety crew dur-
potential problem with the component ing real-time tracking of the launch
or system requiring further investiga- vehicle’s flight.
tion and possible corrective action. Uprange means the distance meas-
Passive component means a flight ter- ured along a line that is 180 degrees to
mination system component that does the downrange direction. The term
not contain active electronic piece uprange may also be used to indicate
parts. direction.
Performance specification means a Waiver means a decision that allows a
statement prescribing the particulars launch operator to continue with a
of how a component or part is expected launch despite not satisfying a specific
to perform in relation to the system safety requirement and where the
that contains the component or part. A launch operator is not able to dem-
performance specification includes spe- onstrate an equivalent level of safety.
cific values for the range of operation,
§ 417.5 [Reserved]
input, output, or other parameters that
define the component’s or part’s ex- § 417.7 Public safety responsibility.
pected performance.
A launch operator is responsible for
Protected area means an area of land
ensuring the safe conduct of a licensed
not controlled by a launch operator
launch and for ensuring public safety
that:
and safety of property at all times dur-
(1) Is a populated area;
ing the conduct of a licensed launch.
(2) Is environmentally sensitive; or
(3) Contains a vital national asset. § 417.9 Launch site responsibility.
Safety-critical computer system function (a) A launch operator must ensure
means any computer system function that launch processing at a launch site
that, if not performed, if performed out in the United States satisfies the re-
of sequence, or if performed incor- quirements of this part. Launch proc-
rectly, may directly or indirectly cause essing at a launch site outside the
a public safety hazard. United States may be subject to the re-
Service life means, for a flight termi- quirements of the governing jurisdic-
nation system component, the sum tion.
total of the component’s storage life (b) For a launch from a launch site li-
and operating life. censed under part 420 of this chapter, a
Storage life means, for a flight termi- launch operator must—
nation system component, the period (1) Conduct its operations as required
of time after manufacturing of the by any agreements that the launch site
component is complete until the com- operator has with any Federal and
ponent is activated or installed on a local authorities under part 420 of this
launch vehicle, whichever is earlier, chapter; and
during which the component may be (2) Coordinate with the launch site
subjected to storage environments and operator and provide any information
must remain capable of satisfying all on its activities and potential hazards
its performance specifications. necessary for the launch site operator
Sub-vehicle point means the location to determine how to protect any other
on an ellipsoidal Earth model where launch operator, person, or property at
the normal to the ellipsoid passes the launch site as required by the
through the launch vehicle’s center of launch site operator’s obligations
gravity. The term is the same as the under § 420.55 of this chapter.
weapon system term ‘‘sub-missile (c) For a launch from an exclusive-
point.’’ use site, where there is no licensed

572
Commercial Space Transportation, FAA, DOT § 417.15
launch site operator, a launch operator ther a written approval or a license
must satisfy the requirements of this order modifying the license if a stated
part and the public safety require- term or condition of the license is
ments of part 420 of this chapter. This changed, added or deleted. A written
subpart does not apply to licensed approval has the full force and effect of
launches occurring from Federal a license order and is part of the licens-
launch ranges. ing record.
§ 417.11 Continuing accuracy of li- § 417.13 Agreement with Federal
cense application; application for launch range.
modification of license.
(a) A launch operator must ensure Before conducting a licensed launch
from a Federal launch range, a launch
the representations contained in its ap-
plication are accurate for the entire operator must—
term of the license. A launch operator (a) Enter into an agreement with a
must conduct a licensed launch and Federal launch range to provide access
carry out launch safety procedures in to and use of U.S. Government prop-
accordance with its application. erty and services required to support a
(b) After the FAA issues a launch li- licensed launch from the facility and
cense, a launch operator must apply to for public safety related operations and
the FAA for modification of a launch support. The agreement must be in ef-
license if— fect for the conduct of any licensed
(1) A launch operator proposes to launch; and
conduct a launch or carry out a launch (b) Comply with any requirements of
safety procedure or operation in a man- the agreement with the Federal launch
ner that is not authorized by the li- range that may affect public safety and
cense; or safety of property during the conduct
(2) Any representation contained in of a licensed launch, including flight
the license application that is material safety procedures and requirements.
to public health and safety or safety of
property would no longer be accurate § 417.15 Records.
and complete or would not reflect the
launch operator’s procedures governing (a) A launch operator must maintain
the actual conduct of a launch. A rep- all records necessary to verify that it
resentation is material to public health conducts licensed launches according
and safety or safety of property if it al- to representations contained in the li-
ters or affects the launch operator’s censee’s application. A launch operator
launch plans or procedures, class of must retain records for three years
payload, orbital destination, type of after completion of all launches con-
launch vehicle, flight path, launch site, ducted under the license.
launch point, or any safety system, (b) If a launch accident or launch in-
policy, procedure, requirement, cri- cident occurs, as defined by § 401.5 of
teria or standard. this chapter, a launch operator must
(c) A launch operator must prepare preserve all records related to the
and file an application to modify a event until completion of any Federal
launch license under part 413 of this investigation and the FAA advises the
chapter. The launch operator must licensee not to retain the records. The
identify any part of its license or li- launch operator must make available
cense application that a proposed to Federal officials for inspection and
modification would change or affect. copying all records that these regula-
(d) The FAA reviews all approvals tions require the launch operator to
and determinations required by this maintain.
chapter to determine whether they re-
main valid in light of a proposed modi- [Docket No. FAA–2000–7953, 71 FR 50537, Aug.
fication. The FAA approves a modifica- 25, 2006, as amended by Amdt. No. 417–5, 81
tion that satisfies the requirements of FR 59439, Aug. 30, 2016]
this part.
(e) Upon approval of a modification,
the FAA issues to a launch operator ei-

573
§ 417.17 14 CFR Ch. III (1–1–19 Edition)

§ 417.17 Launch reporting require- flown with a flight safety system, a

ments and launch specific updates. launch operator must file an updated
(a) General. A launch operator must flight safety system test schedule and
satisfy the launch reporting require- points of contact no later than six
ments and launch specific updates re- months before flight. A launch oper-
quired by this section and by the terms ator must immediately file any later
of the launch operator’s license. A change to ensure that the FAA has the
launch operator must file any change most current data.
to the information in the license appli- (2) Launch plans. A launch operator
cation, not identified by this section, must file any changes or additions to
with the FAA as a request for license its launch plans required by § 417.111 to
modification as required by § 417.11. the FAA no later than 15 days before
(b) Launch reporting requirements for a the associated activity is to take place.
launch from a Federal launch range or a A launch operator must file the count-
non-Federal launch site. (1) Launch down plan with the FAA no later than
schedule and point of contact. For each 15 days before the countdown is to take
launch, a launch operator must file a place. If a change involves the addition
launch schedule that identifies each re- of a new public hazard or the elimi-
view, rehearsal, and safety critical nation of any control for a previously
launch processing. A launch operator identified public hazard, a launch oper-
must file a point of contact for the ator must request a license modifica-
schedule. The launch schedule must be tion under § 417.11.
filed and updated in time to allow FAA (3) Thirty-day flight safety analysis up-
personnel to participate in the reviews, date. A launch operator must file up-
rehearsals, and safety critical launch dated flight safety analysis products,
processing. using previously approved methodolo-
(2) Sixty-day report. Not later than 60 gies, for each launch no later than 30
days before each flight conducted days before flight.
under a launch operator license, a (i) The launch operator:
launch operator must provide the FAA (A) Must account for vehicle and mis-
the following launch-specific informa- sion specific input data;
tion: (B) May reference previously ap-
(i) Payload information required by proved analysis products and data that
§ 415.59 of this chapter; and
are applicable to the launch or data
(ii) Flight information, including the
that is applicable to a series of launches;
launch vehicle, planned flight path,
(C) Must account for potential vari-
staging and impact locations, and any
ations in input data that may affect
on-orbit activity of the launch vehicle,
any analysis product within the final
including each payload delivery point.
(3) U.S. Space Command Launch Notifi- 30 days before flight;
cation. Not later than noon, EST, 15 (D) Must file the analysis products
days before each licensed flight, a using the same format and organiza-
launch operator must file a completed tion used in its license application; and
Federal Aviation Administration/U.S. (E) May not change an analysis prod-
Space Command (FAA/USSPACECOM) uct within the final 30 days before
Launch Notification Form (OMB No. flight unless the launch operator iden-
2120–0608) with the FAA. tified a process for making a change in
(c) Launch specific updates for a that period as part of the launch opera-
launch from a non-Federal launch site. A tor’s flight safety analysis process and
launch operator must file a launch spe- the FAA approved the process by grant
cific update, required by this part, and of a license to the launch operator.
any required by the terms of the (ii) A launch operator need not file
launch license, for every substantive the 30-day analysis if the launch oper-
change to the information outlined in ator:
this part. For each launch, a launch op- (A) Demonstrates that the analysis
erator must file the following launch filed during the license application
specific updates: process satisfies all the requirements
(1) Flight safety system test schedule. of this subpart; and
For each launch of a launch vehicle

574
Commercial Space Transportation, FAA, DOT § 417.23
(B) Demonstrates the analysis does public safety or the elimination of a
not need to be updated to account for previously identified hazard control for
launch specific factors. a hazard that still exists.
(4) Flight termination system qualifica-
tion test reports. For the launch of a § 417.19 Registration of space objects.
launch vehicle flown with a flight safe- (a) To assist the U.S. Government in
ty system, a launch operator must file implementing Article IV of the 1975
all flight termination system qualifica- Convention on Registration of Objects
tion test reports, or test report sum- Launched into Outer Space, each
maries, as required by section E417.1(i) launch operator must provide to the
of appendix E of this part, with the FAA the information required by para-
FAA no later than six months before graph (b) of this section for all objects
the first flight attempt . The summary placed in space by a licensed launch,
must identify when and where the tests including a launch vehicle and any
were performed and provide the results. components, except:
Complete qualification test reports (1) Any object owned and registered
must be made available to the FAA by the U.S. Government; and
upon request. (2) Any object owned by a foreign en-
(5) Flight termination system accept- tity.
ance and age surveillance test report sum- (b) For each object that must be reg-
maries. For the launch of a launch vehi- istered in accordance with this section,
cle flown with a flight safety system, a not later than 30 days following the
launch operator must file a summary conduct of a licensed launch, an oper-
of the results of each flight termi- ator must file the following informa-
nation system acceptance and age sur- tion:
veillance test, or the complete test re- (1) The international designator of
port, as required by section E417.1(i) of the space object(s);
appendix E of this part, no later than (2) Date and location of launch;
30 days before the first flight attempt (3) General function of the space ob-
for each launch . The summary must ject; and
identify when and where the tests were (4) Final orbital parameters, includ-
performed and provide the results. ing:
Complete acceptance and age surveil- (i) Nodal period;
lance test reports must be made avail- (ii) Inclination;
able to the FAA upon request. (iii) Apogee; and
(6) Command control system acceptance (iv) Perigee.
test reports. For the launch of a launch
vehicle flown with a flight safety sys- § 417.21 Financial responsibility re-
tem, a launch operator must file all quirements.
command control system acceptance A launch operator must comply with
test reports, or test report summaries, financial responsibility requirements
as required by § 417.305(d), with the as required by part 440 of this chapter
FAA no later than 30 days before the and as specified in a license or license
first flight attempt. The summary order.
must identify when and where the tests
were performed and provide the results. § 417.23 Compliance monitoring.
Complete acceptance test reports must (a) A launch operator must allow ac-
be made available to the FAA upon re- cess by, and cooperate with, Federal of-
quest. ficers or employees or other individ-
(7) Ground safety analysis report up- uals authorized by the FAA to observe
dates. A launch operator must file any of its activities, or of its contrac-
ground safety analysis report updates tors or subcontractors, associated with
with the FAA as soon as the need for the conduct of a licensed launch.
the change is identified and at least 30 (b) For each licensed launch, a
days before the associated activity launch operator must provide the FAA
takes place. A launch operator must with a console for monitoring the
file a license modification request with progress of the countdown and commu-
the FAA for each change that involves nication on all channels of the count-
the addition of a hazard that can affect down communications network. A

575
§ 417.25 14 CFR Ch. III (1–1–19 Edition)
launch operator must also provide the has assessed the Federal launch range,
FAA with the capability to commu- through its launch site safety assess-
nicate with the person designated by ment, and found that an applicable
§ 417.103(b)(1). range safety-related launch service or
property satisfies the requirements of
§ 417.25 Post launch report. this subpart, then the FAA will treat
(a) For a launch operator launching the Federal launch range’s launch serv-
from a Federal launch range, a launch ice or property as that of a launch op-
operator must file a post launch report erator without need for further dem-
with the FAA no later than 90 days onstration of compliance to the FAA if:
after the launch, unless an FAA launch (a) A launch operator has contracted
site safety assessment shows that the with a Federal launch range for the
Federal launch range creates a post provision of the safety-related launch
launch report that contains the infor- service or property; and
mation required by this section. (b) The FAA has assessed the Federal
(b) For a launch operator launching launch range, through its launch site
from a non-Federal launch site, a safety assessment, and found that the
launch operator must file a post launch Federal launch range’s safety-related
report with the FAA no later than 90 launch service or property satisfy the
days after the launch. requirements of this subpart. In this
(c) The post launch report must: case, the FAA will treat the Federal
(1) Identify any discrepancy or anom- launch range’s process as that of a
aly that occurred during the launch launch operator.
countdown and flight;
(2) Identify any deviation from any § 417.103 Safety organization.
term of the license or any event other- (a) A launch operator must maintain
wise material to public safety, and and document a safety organization. A
each corrective action to be imple- launch operator must identify lines of
mented before any future flight; communication and approval authority
(3) For the launch of launch vehicle for all public safety decisions, includ-
flown with a flight safety system, iden- ing those regarding design, operations,
tify any flight environment not con- and analysis. A launch operator must
sistent with the maximum predicted describe its lines of communication,
environment as required by D 417.7(b) both within the launch operator’s orga-
and any measured wind profiles not nization and between the launch oper-
consistent with the predictions used ator and any federal launch range or
for the launch, as required by other launch site operator providing
§ 417.7(g)(3); and launch services, in writing. Docu-
(4) For the launch of an unguided mented approval authority shall also
suborbital launch vehicle, identify the be employed by the launch operator
actual impact location of all impacting throughout the life of the launch sys-
stages and any impacting components, tem to ensure public safety and com-
and provide a comparison of actual and pliance with this part.
predicted nominal performance. (b) A launch operator’s safety organi-
[Doc. No. FAA–2000–7953, 71 FR 50537, Aug. 25, zation must include, but need not be
2006, as amended by Amdt. 417, 73 FR 63630, limited to, the following launch man-
Oct. 27, 2008] agement positions:
(1) An employee of the launch oper-
§§ 417.26–417.100 [Reserved] ator who has the launch operator’s
final approval authority for launch.
Subpart B—Launch Safety This employee, referred to as the
Responsibilities launch director in this part, must en-
sure compliance with this part.
§ 417.101 Scope. (2) An employee of the launch oper-
This subpart contains public safety ator who is authorized to examine all
requirements that apply to the launch aspects of the launch operator’s launch
of an orbital or suborbital expendable safety operations and to monitor inde-
launch vehicle from a Federal launch pendently personnel compliance with
range or other launch site. If the FAA the launch operator’s safety policies

576
Commercial Space Transportation, FAA, DOT § 417.107
and procedures. This employee, re- the public satisfies the following public
ferred to as the safety official in this risk criteria:
part, shall have direct access to the (1) A launch operator may initiate
launch director, who shall ensure that the flight of a launch vehicle only if
all of the safety official’s concerns are the total risk associated with the
addressed prior to launch. launch to all members of the public,
excluding persons in water-borne ves-
§ 417.105 Launch personnel qualifica- sels and aircraft, does not exceed an ex-
tions and certification. pected number of 1  10¥ 4 casualties.
(a) General. A launch operator must The total risk consists of risk posed by
employ a personnel certification pro- impacting inert and explosive debris,
gram that documents the qualifica- toxic release, and far field blast over-
tions, including education, experience, pressure. The FAA will determine
and training, for each member of the whether to approve public risk due to
launch crew. any other hazard associated with the
(b) Personnel certification program. A proposed flight of a launch vehicle on a
launch operator’s personnel certifi- case-by-case basis. The Ec criterion ap-
cation program must: plies to each launch from lift-off
(1) Conduct an annual personnel through orbital insertion for an orbital
qualifications review and issue indi- launch, and through final impact for a
vidual certifications to perform safety suborbital launch.
related tasks. (2) A launch operator may initiate
(2) Revoke individual certifications flight only if the risk to any individual
for negligence or failure to satisfy cer- member of the public does not exceed a
tification requirements. casualty expectation of 1 10¥ 6 per
launch for each hazard.
§ 417.107 Flight safety. (3) A launch operator must establish
any water borne vessel hazard areas
(a) Flight safety system. For each necessary to ensure the probability of
launch vehicle, vehicle component, and impact (Pi) with debris capable of caus-
payload, a launch operator must use a ing a casualty for water borne vessels
flight safety system that satisfies sub- does not exceed 1 10¥ 5.
part D of this part as follows, unless (4) A launch operator must establish
§ 417.125 applies. any aircraft hazard areas necessary to
(1) In the vicinity of the launch site. ensure the probability of impact (Pi)
For each launch vehicle, vehicle com- with debris capable of causing a cas-
ponent, and payload, a launch operator ualty for aircraft does not exceed 1 
must use a flight safety system in the 10¥ 6.
vicinity of the launch site if the fol- (c) Debris thresholds. A launch opera-
lowing exist: tor’s flight safety analysis, performed
(i) Any hazard from a launch vehicle, as required by paragraph (f) of this sec-
vehicle component, or payload can tion, must account for any inert debris
reach any protected area at any time impact with a mean expected kinetic
during flight; or energy at impact greater than or equal
(ii) A failure of the launch vehicle to 11 ft-lbs and, except for the far field
would have a high consequence to the blast overpressure effects analysis of
public. § 417.229, a peak incident overpressure
(2) In the downrange area. For each greater than or equal to 1.0 psi due to
launch vehicle, vehicle component, and any explosive debris impact.
payload, a launch operator must pro- (1) When using the 11 ft-lbs threshold
vide a flight safety system downrange to determine potential casualties due
if the absence of a flight safety system to blunt trauma from inert debris im-
would significantly increase the accu- pacts, the analysis must:
mulated risk from debris impacts. (i) Incorporate a probabilistic model
(b) Public risk criteria. A launch oper- that accounts for the probability of
ator may initiate the flight of a launch casualty due to any debris expected to
vehicle only if flight safety analysis impact with kinetic energy of 11 ft-lbs
performed under paragraph (f) of this or greater and satisfy paragraph (d) of
section demonstrates that any risk to this section; or

577
§ 417.109 14 CFR Ch. III (1–1–19 Edition)
(ii) Count each expected impact with all manned or mannable objects,
kinetic energy of 11 ft-lbs or greater to whichever occurs first.
a person as a casualty. (2) A launch operator must obtain a
(2) When applying the 1.0 psi thresh- collision avoidance analysis for each
old to determine potential casualties launch from United States Strategic
due to blast overpressure effects, the Command or from a Federal range hav-
analysis must: ing an approved launch site safety as-
(i) Incorporate a probabilistic model sessment. United States Strategic
that accounts for the probability of Command calls this analysis a conjunc-
casualty due to any blast overpressures tion on launch assessment. Sections
of 1.0 psi or greater and satisfy para- 417.231 and A417.31 of appendix A of this
graph (d) of this section; or part contain the requirements for ob-
(ii) Count each person within the 1.0 taining a collision avoidance analysis.
psi overpressure radius of the source A launch operator must use the results
explosion as a casualty. When using of the collision avoidance analysis to
this approach, the analysis must com- develop flight commit criteria for colli-
pute the peak incident overpressure sion avoidance as required by
using the Kingery-Bulmash relation- § 417.113(c).
ship and may not take into account (f) Flight safety analysis. A launch op-
sheltering, reflections, or atmospheric erator must perform and document a
effects. For persons located in build- flight safety analysis as required by
ings, the analysis must compute the subpart C of this part. A launch oper-
peak incident overpressure for the ator must not initiate flight unless the
shortest distance between the building flight safety analysis demonstrates
and the blast source. The analysis that any risk to the public satisfies the
must count each person located any- public risk criteria of paragraph (b) of
where in a building subjected to peak this section. For a licensed launch that
incident overpressure equal to or great- involves a Federal launch range, the
er than 1.0 psi as a casualty. FAA will treat an analysis performed
and documented by the Federal range,
(d) Casualty modeling. A probabilistic
and which has an FAA approved launch
casualty model must be based on accu-
site safety assessment, as that of the
rate data and scientific principles and
launch operator as provided in
must be statistically valid. A launch
§ 417.203(d) of subpart C of this part. A
operator must obtain FAA approval of
launch operator must use the flight
any probabilistic casualty model that
safety analysis products to develop
is used in the flight safety analysis. If
flight safety rules that govern a
the launch takes place from a Federal
launch. Section 417.113 contains the re-
launch range, the analysis may employ
quirements for flight safety rules.
any probabilistic casualty model that
the FAA accepts as part of the FAA’s [Docket No. FAA–2000–7953, 71 FR 50537, Aug.
launch site safety assessment of the 25, 2006, as amended by Amdt. No. 417–5, 81
Federal launch range’s safety process. FR 59439, Aug. 30, 2016; Docket No. FAA–2014–
0418, Amdt. No. 417–4, 81 FR 47026, July 20,
(e) Collision avoidance. (1) A launch 2016]
operator must ensure that a launch ve-
hicle, any jettisoned components, and § 417.109 Ground safety.
its payload do not pass closer than 200 (a) Ground safety requirements apply
kilometers to a manned or mannable
to launch processing and post-launch
orbital object—
operations at a launch site in the
(i) Throughout a sub-orbital launch; United States.
or (b) A launch operator must protect
(ii) For an orbital launch: the public from adverse effects of haz-
(A) During ascent to initial orbital ardous operations and systems associ-
insertion and through at least one ated with preparing a launch vehicle
complete orbit; and for flight at a launch site.
(B) During each subsequent orbital (c) §§ 417.111(c), 417.113(b), and
maneuver or burn from initial park 417.115(c), and subpart E of this part
orbit, or direct ascent to a higher or provide launch operator ground safety
interplanetary orbit or until clear of requirements.

578
Commercial Space Transportation, FAA, DOT § 417.111

§ 417.111 Launch plans. services that are part of ensuring flight

(a) General. A launch operator must safety, including any aircraft or ship
implement written launch plans that that a launch operator will use during
define how launch processing and flight flight.
of a launch vehicle will be conducted (7) Flight safety operations. A descrip-
without adversely affecting public safe- tion of the flight safety related tests,
ty and how to respond to a launch mis- reviews, rehearsals, and other flight
hap. A launch operator’s launch plans safety operations that a launch oper-
must include those required by this ator will conduct under §§ 417.115
section. A launch operator’s launch through 417.121. A flight safety plan
plans do not have to be separate docu- must contain or incorporate by ref-
ments, and may be part of other appli- erence written procedures for accom-
cant documentation. A launch operator plishing all flight safety operations.
must incorporate each launch safety (8) Unguided suborbital launch vehicles.
rule established under § 417.113 into a A launch operator’s flight safety plan
related launch safety plan. The launch for the launch of an unguided sub-
operator must follow each launch plan. orbital rocket must meet the require-
(b) Flight Safety Plan. A launch oper- ments of paragraph (b) of this section
ator must implement a plan that in- and provide the following data:
cludes the following: (i) Launch angle limits, as required
(1) Flight safety personnel. Identifica- by § 417.125(c)(3); and
tion of personnel by position who: (ii) All procedures for measurement
(i) Approve and implement each part of launch day winds and for performing
of the flight safety plan and any modi- wind weighting as required by §§ 417.125
fications to the plan; and and 417.233.
(ii) Perform the flight safety analysis (c) Ground safety plan. A launch oper-
and ensure that the results, including ator must implement a ground safety
the flight safety rules and establish- plan that describes implementation of
ment of flight hazard areas, are incor- the hazard controls identified by a
porated into the flight safety plan. launch operator’s ground safety anal-
(2) Flight safety rules. All flight safety ysis and implementation of the ground
rules required by § 417.113. safety requirements of subpart E of
(3) Flight safety system. A description this part. A ground safety plan must
of any flight safety system and its op- address all public safety related issues
eration, including any preflight safety and may include other ground safety
tests that a launch operator will per- issues if a launch operator intends it to
form. have a broader scope. A ground safety
(4) Trajectory and debris dispersion plan must include the following:
data. A description of the launch tra- (1) A description of the launch vehi-
jectory. For an orbital expendable cle and any payload, or class of pay-
launch vehicle, the description must load, identifying each hazard, includ-
include each planned orbital param- ing explosives, propellants, toxics and
eter, stage burnout time and state vec- other hazardous materials, radiation
tor, and all planned stage impact sources, and pressurized systems. A
times, locations, and downrange and ground safety plan must include fig-
crossrange dispersions. For a guided or ures that show the location of each
unguided suborbital launch vehicle, the hazard on the launch vehicle, and indi-
description must include each planned cate where at the launch site a launch
stage impact time, location, and operator performs hazardous oper-
downrange and crossrange dispersion. ations during launch processing.
(5) Flight hazard areas. Identification (2) Propellant and explosive informa-
and location of each flight hazard area tion including:
established for each launch as required (i) Total net explosive weight of each
by § 417.223, and identification of proce- of the launch operator’s liquid and
dures for surveillance and clearance of solid propellants and other explosives
these areas and zones as required by for each explosive hazard facility as de-
paragraph (j) of this section. fined by part 420 of this chapter.
(6) Support systems and services. Iden- (ii) For each toxic propellant, any
tification of any support systems and hazard controls and process constraints

579
§ 417.111 14 CFR Ch. III (1–1–19 Edition)
determined under the launch operator’s (10) A summary of the means of pro-
toxic release hazard analysis for launch hibiting access to each safety clear
processing performed as required by zone, and implementing access control
§ 417.229 and appendix I of this part. to each hazard area, including any pro-
(iii) The explosive and occupancy cedures for prohibiting or allowing
limits for each explosive hazard facil- public access to such areas.
ity. (11) A description of the process for
(iv) Individual explosive item infor- ensuring that all safety precautions
mation, including configuration (such and verifications are in place before,
as, solid motor, motor segment, or liq- during, and after hazardous operations.
uid propellant container), explosive This includes the process for
material, net explosive weight, storage verification that an area can be re-
hazard classification and compatibility turned to a non-hazardous work status.
group as defined by part 420 of this (12) Description of each hazard con-
chapter. trol required by the ground safety
(3) A graphic depiction of the layout analysis for each task that creates a
of a launch operator’s launch complex public or launch location hazard. The
and other launch processing facilities hazard control must satisfy § 417.407(b).
at the launch site. The depiction must (13) A procedure for the use of any
show separation distances and any in- safety equipment that protects the
tervening barriers between explosive public, for each task that creates a
items that affect the total net explo- public hazard or a launch location haz-
sive weight that each facility is sited ard.
to accommodate. A launch operator
(14) The requirement and procedure
must identify any proposed facility
for coordinating with any launch site
modifications or operational changes
operator and local authorities, for each
that may affect a launch site opera-
task creating a public or launch loca-
tor’s explosive site plan.
tion hazard.
(4) A description of the process for
(15) Generic emergency procedures
ensuring that the person designated
that apply to all emergencies and the
under § 417.103(b)(2) reviews and ap-
proves any procedures and procedure emergency procedures that apply to
changes for safety implications. each specific task that may create a
public hazard, including any task that
(5) Procedures that launch personnel
involves hazardous material, as re-
will follow when reporting a hazard or
mishap to a launch operator’s safety quired by § 417.407.
organization. (16) A listing of the ground safety
(6) Procedures for ensuring that per- plan references, by title and date, such
sonnel have the qualifications and cer- as the ground safety analysis report,
tifications needed to perform a task in- explosive quantity-distance site plan
volving a hazard that could affect pub- and other ground safety related docu-
lic safety. mentation.
(7) A flow chart of launch processing (d) Launch support equipment and in-
activities, including a list of all major strumentation plan. A launch operator
tasks. The flow chart must include all must implement a plan that ensures
hazardous tasks and identify where and the reliability of the equipment and in-
when, with respect to liftoff, each haz- strumentation involved in protecting
ardous task will take place. public safety during launch processing
(8) Identification of each safety clear and flight. A launch support equipment
zone and hazard area established as re- and instrumentation plan must:
quired by §§ 417.411 and 417.413, respec- (1) List and describe support equip-
tively. ment and instrumentation;
(9) A summary of the means for an- (2) Identify all certified personnel, by
nouncing when any hazardous oper- position, as required by § 417.105, who
ation is taking place, the means for operate and maintain the support
making emergency announcements and equipment and instrumentation;
alarms, and identification of the recipi- (3) Contain, or incorporate by ref-
ents of each type of announcement. erence, written procedures for support

580
Commercial Space Transportation, FAA, DOT § 417.111
equipment and instrumentation oper- physical analysis for electronic piece
ation, test, and maintenance that will parts;
be implemented for each launch; (4) Identify all personnel, by position,
(4) Identify equipment and instru- who conduct the piece part tests;
mentation reliability; and (5) Identify the pass/fail criteria for
(5) Identify any contingencies that each test for each piece part;
protect the public in the event of a (6) Identify the levels to which each
malfunction. piece part specification will be derated;
(e) Configuration management and con- and
trol plan. A launch operator must im- (7) Contain, or incorporate by ref-
plement a plan that: erence, test procedures for each piece
(1) Defines the launch operator’s part.
process for managing and controlling (h) Accident investigation plan (AIP). A
any change to a safety critical system launch operator must implement a
to ensure its reliability; plan containing the launch operator’s
(2) Identifies, for each system, each procedures for reporting and respond-
person by position who has authority ing to launch accidents, launch inci-
to approve design changes and the per- dents, or other mishaps, as defined by
sonnel, by position, who maintain doc- § 401.5 of this chapter. An individual,
umentation of the most current ap- authorized to sign and certify the ap-
proved design; and plication as required by § 413.7(c) of this
(3) Contains, or incorporates by ref- chapter, and the person designated
erence, all configuration management under § 417.103(b)(2) must sign the AIP.
and control procedures that apply to (1) Reporting requirements. An AIP
the launch vehicle and each support must provide for—
system. (i) Immediate notification to the
(f) Frequency management plan. A Federal Aviation Administration (FAA)
launch operator must implement a Washington Operations Center in case
plan that: of a launch accident, a launch incident or
(1) Identifies each frequency, all al- a mishap that involves a fa- tality or
lowable frequency tolerances, and each serious injury (as defined by 49 CFR
frequency’s intended use, operating 830.2).
power, and source; (ii) Notification within 24 hours to
(2) Provides for the monitoring of fre- the Associate Administrator for Com-
quency usage and enforcement of fre- mercial Space Transportation or the
quency allocations; and Federal Aviation Administration (FAA)
(3) Identifies agreements and proce- Washington Operations Center in the
dures for coordinating use of radio fre- event of a mishap, other than those in §
quencies with any launch site operator 415.41 (b) (1) of this chapter, that does
and any local and Federal authorities, not involve a fatality or seri- ous injury
including the Federal Communications (as defined in 49 CFR 830.2).
Commission. (iii) Submission of a written prelimi-
(g) Flight termination system electronic nary report to the FAA, Associate Ad-
piece parts program plan. A launch oper- ministrator for Commercial Space
ator must implement a plan that de- Transportation, in the event of a
scribes the launch operator’s program launch accident or launch incident, as
for selecting and testing all electronic defined by § 401.5 of this chapter, within
piece parts used in any flight termi- five days of the event. The report must
nation system to ensure their reli- identify the event as either a launch
ability. This plan must— accident or launch incident, and must
(1) Demonstrate compliance with the include the following information:
requirements of § 417.309(b)(2); (A) Date and time of occurrence;
(2) Describe the program for selecting (B) Description of event;
piece parts for use in a flight termi- (C) Location of launch;
nation system; (D) Launch vehicle;
(3) Identify performance of any derat- (E) Any payload;
ing, qualification, screening, lot ac- (F) Vehicle impact points outside
ceptance testing, and lot destructive designated impact lines, if applicable;

581
§ 417.111 14 CFR Ch. III (1–1–19 Edition)
(G) Number and general description (2) For a launch from an exclusive-
of any injuries; use site, where there is no licensed
(H) Property damage, if any, and an launch site operator, a launch operator
estimate of its value; must develop and implement any
(I) Identification of hazardous mate- agreements and plans with local au-
rials, as defined by § 401.5 of this chap- thorities at or near the launch site
ter, involved in the event, whether on whose support is needed to ensure pub-
the launch vehicle, payload, or on the lic safety during all launch processing
ground; and flight, as required by part 420 of
(J) Action taken by any person to this chapter.
contain the consequences of the event; (3) A launch operator must imple-
and ment a schedule and procedures for the
(K) Weather conditions at the time of release of launch information before
the event. flight, after flight, and in the event of
(2) Response plan. An AIP must— an mishap.
(i) Contain procedures that ensure (4) A launch operator must develop
and implement procedures for public
the containment and minimization of
access to any launch viewing areas
the consequences of a launch accident,
that are under a launch operator’s con-
launch incident or other mishap;
trol.
(ii) Contain procedures that ensure
(5) A launch operator must describe
the preservation of the data and phys-
its procedures for and accomplish the
ical evidence;
following for each launch—
(3) Investigation plan. An AIP must (i) Inform local authorities of each
contain— designated hazard areas near the
(i) Procedures for investigating the launch site associated with a launch
cause of a launch accident, launch inci- vehicle’s planned trajectory and any
dent or other mishap; planned impacts of launch vehicle com-
(ii) Procedures for reporting inves- ponents and debris as defined by the
tigation results to the FAA; and flight safety analysis required by sub-
(iii) Delineated responsibilities, in- part C of this part;
cluding reporting responsibilities for (ii) Provide any hazard area informa-
personnel assigned to conduct inves- tion prepared as required by § 417.225 or
tigations and for any one retained by § 417.235 to the local United States
the licensee to conduct or participate Coast Guard or equivalent local au-
in investigations. thority for issuance of the notices to
(4) Cooperation with FAA and NTSB. mariners;
An AIP must contain procedures that (iii) Provide hazard area information
require the licensee to report to and prepared as required by § 417.223 or
cooperate with FAA and National § 417.233 for each aircraft hazard area
Transportation Safety Board (NTSB) within a flight corridor to the FAA Air
investigations and designate one or Traffic Control (ATC) office or equiva-
more points of contact for the FAA and lent local authority having jurisdiction
NTSB. over the airspace through which the
(5) Preventive measure. An AIP must launch will take place for the issuance
contain procedures that require the li- of notices to airmen;
censee to identify and adopt preventive (iv) Communicate with the local
measures for avoiding recurrence of the Coast Guard and the FAA ATC office or
event. equivalent local authorities, either di-
(i) Local agreements and public coordi- rectly or through any launch site oper-
nation plans. (1) Where there is a li- ator, to ensure that notices to airmen
censed launch site operator, a launch and mariners are issued and in effect at
operator must implement and satisfy the time of flight; and
the launch site operator’s local agree- (v) Coordinate with any other local
ments and plans with local authorities agency that supports the launch, such
at or near a launch site whose support as local law enforcement agencies,
is needed to ensure public safety during emergency response agencies, fire de-
all launch processing and flight, as re- partments, National Park Service, and
quired by part 420 of this chapter. Mineral Management Service.

582
Commercial Space Transportation, FAA, DOT § 417.111
(j) Hazard area surveillance and clear- (1) Describe the authority of licensee
ance plan. A launch operator must im- personnel and any Federal launch
plement a plan that defines the process range personnel by individual or posi-
for ensuring that any unauthorized tion title, to issue these commands;
persons, ships, trains, aircraft or other (2) Ensure the assignment of commu-
vehicles are not within any hazard nication networks, so that personnel
areas identified by the flight safety identified under this paragraph have
analysis or the ground safety analysis. direct access to real-time safety-crit-
In the plan, the launch operator must— ical information required for issuing
(1) List each hazard area that re- hold/resume, go/no go, and abort deci-
quires surveillance under §§ 417.107 and sions and commands;
417.223; (3) Ensure personnel, identified under
(2) Describe how the launch operator this paragraph, monitor each common
will provide for day-of-flight surveil- intercom channel during countdown
lance of the flight hazard area to en- and flight; and
sure that the presence of any member (4) Ensure the implementation of a
of the public in or near a flight hazard protocol for using defined radio tele-
area is consistent with flight commit phone communications terminology.
criteria developed for each launch as
(l) Countdown plan. A launch oper-
required by § 417.113;
ator must develop and implement a
(3) Verify the accuracy of any radar
countdown plan that verifies that each
or other equipment used for hazard
launch safety rule and launch commit
area surveillance and account for any
criterion is satisfied, verifies that per-
inaccuracies in the surveillance system
sonnel can communicate during the
when enforcing the flight commit cri-
countdown and that the communica-
teria;
tion is available after the flight; and
(4) Identify the number of security
verifies that a launch operator will be
and surveillance personnel employed
able to recover from a launch abort or
for each launch and the qualifications
delay. A countdown plan must:
and training each must have;
(1) Cover the period of time when any
(5) Identify the location of road-
launch support personnel are to be at
blocks and other security checkpoints,
their designated stations through initi-
the times that each station must be
ation of flight.
manned, and any surveillance equip-
ment used; and (2) Include procedures for handling
(6) Contain, or incorporate by ref- anomalies that occur during a count-
erence, all procedures for launch per- down and events and conditions that
sonnel control, handling of intruders, may result in a constraint to initiation
communications and coordination with of flight.
launch personnel and other launch sup- (3) Include procedures for delaying or
port entities, and implementation of holding a launch when necessary to
any agreements with local authorities allow for corrective actions, to await
and any launch site operator. improved conditions, or to accommo-
(k) Communications plan. A launch op- date a launch wait.
erator must implement a plan pro- (4) Describe a process for resolving
viding licensee personnel and Federal issues that arise during a countdown
launch range personnel, if applicable, and identify each person, by position,
communications procedures during who approves corrective actions.
countdown and flight. Effective (5) Include a written countdown
issuance and communication of safety- checklist that provides a formal deci-
critical information during countdown sion process leading to flight initi-
must include hold/resume, go/no go, ation. A countdown checklist must in-
and abort commands by licensee per- clude the flight day preflight tests of a
sonnel and any Federal launch range flight safety system required by sub-
personnel, during countdown. For all part D of this part and must contain:
launches from Federal launch ranges, (i) Identification of operations and
the Federal launch range must concur specific actions completed, verification
with the communications plan. The that there are no constraints to flight,
communications plan must: and verification that a launch operator

583
§ 417.113 14 CFR Ch. III (1–1–19 Edition)
satisfied all launch safety rules and (c) Flight-commit criteria. The launch
launch commit criteria; safety rules must include flight-com-
(ii) Time of each event; mit criteria that identify each condi-
(iii) Identification of personnel, by tion that must be met in order to ini-
position, who perform each operation tiate flight.
or specific action, including reporting (1) The flight-commit criteria must
to the person designated under implement the flight safety analysis of
§ 417.103(b)(3); subpart C of this part. These must in-
(iv) Identification of each commu- clude criteria for:
nication channel that a launch oper- (i) Surveillance of any region of land,
ator uses for reporting each event; sea, or air necessary to ensure the
(v) Identification of all communica- number and location of members of the
tion and event reporting protocols; public are consistent with the inputs
(vi) Polling of personnel, by position, used for the flight safety analysis of
who oversee all safety critical systems subpart C of this part;
and operations, to verify that the sys- (ii) Monitoring of any meteorological
tems and the operations are ready to condition and implementing any flight
proceed with the launch; and constraint developed using appendix G
(vii) Record of all critical commu- of this part. The launch operator must
nications network channels that are have clear and convincing evidence
used for voice, video, or data trans- that the lightning flight commit cri-
mission that support the flight safety teria of appendix G, which apply to the
system, during each countdown. conditions present at the time of lift-
(6) In case of a launch abort or delay: off, are not violated. If any other haz-
(i) Identify each condition that must ardous conditions exist, other than
exist in order to make another launch those identified by appendix G, the
attempt; launch weather team will report the
(ii) Include a schedule depicting the hazardous condition to the official des-
flow of tasks and events in relation to ignated under § 417.103(b)(1), who will
when the abort or delay occurred and determine whether initiating flight
the new planned launch time; and would expose the launch vehicle to a
(iii) Identify each interface and sup- lightning hazard and not initiate flight
porting entity needed to support recov- in the presence of the hazard; and
ery operations. (iii) Implementation of any launch
wait in the launch window for the pur-
§ 417.113 Launch safety rules. pose of collision avoidance.
(a) General. For each launch, a launch (2) For a launch that uses a flight
operator must satisfy written launch safety system, the flight-commit cri-
safety rules that govern the conduct of teria must ensure that the flight safety
the launch. system is ready for flight. This must
(1) The launch safety rules must include criteria for ensuring that:
identify the meteorological conditions (i) The flight safety system is oper-
and the status of the launch vehicle, ating to ensure the launch vehicle will
launch support equipment, and per- launch within all flight safety limits;
sonnel under which launch processing (ii) Any command transmitter sys-
and flight may be conducted without tem required by section D417.9 has suf-
adversely affecting public safety. ficient coverage from lift-off to the
(2) The launch safety rules must sat- point in flight where the flight safety
isfy the requirements of this section. system is no longer required by
(3) A launch operator must follow all § 417.107(a);
the launch safety rules. (iii) The launch vehicle tracking sys-
(b) Ground safety rules. The launch tem has no less than two tracking
safety rules must include ground safety sources prior to lift-off. The launch ve-
rules that govern each preflight ground hicle tracking system has no less than
operation at a launch site that has the one verified tracking source at all
potential to adversely affect public times from lift-off to orbit insertion
safety. The ground safety rules must for an orbital launch, to the end of
implement the ground safety analysis powered flight for a suborbital launch;
of subpart E of this part. and

584
Commercial Space Transportation, FAA, DOT § 417.113
(iv) The launch operator will employ the data-loss flight time for the point
its flight safety system as designed in in flight that the data was lost.
accordance with this part. (5) For any gate established under
(3) For each launch, a launch oper- § 417.217, both of the following apply:
ator must document the actual condi- (i) The flight safety system must ter-
tions used for the flight-commit cri- minate flight if the launch vehicle is
teria at the time of lift-off and verify performing erratically immediately
whether the flight-commit criteria are prior to entering the gate.
satisfied.
(ii) The flight termination rules may
(d) Flight termination rules. For a
permit the instantaneous impact point
launch that uses a flight safety system,
or other tracking icon to cross the gate
the launch safety rules must identify
the conditions under which the flight only if there is no indication that the
safety system, including the functions launch vehicle’s performance has be-
of the flight safety system crew, must come erratic and the launch vehicle is
terminate flight to ensure public safe- either flying parallel to the nominal
ty. These flight termination rules must trajectory or converging to the nomi-
implement the flight safety analysis of nal trajectory.
subpart C of this part and include each (6) For any hold-and-resume gate es-
of the following: tablished under § 417.218;
(1) The flight safety system must ter- (i) The flight safety system must ter-
minate flight when valid, real-time minate flight if the launch vehicle is
data indicate the launch vehicle has performing erratically immediately
violated any flight safety limit of prior to entering a hold gate.
§ 417.213; (ii) The flight termination rules may
(2) The flight safety system must ter- permit the instantaneous impact point
minate flight at the straight-up-time or other tracking icon to cross a hold
required by § 417.215 if the launch vehi- gate only if there is no indication that
cle continues to fly a straight up tra- the launch vehicle’s performance has
jectory and, therefore, does not turn become erratic and the vehicle is ei-
downrange when it should;
ther flying parallel to the nominal tra-
(3) The flight safety system must ter-
jectory or converging to the nominal
minate flight when all of the following
trajectory.
conditions exist:
(i) Real-time data indicate that the (iii) The flight termination rules of
performance of the launch vehicle is paragraphs (d)(1), (d)(3), and (d)(4) of
erratic; this section apply after the instanta-
(ii) The potential exists for the loss neous impact point or other tracking
of flight safety system control of the icon exits a resume gate.
launch vehicle and further flight has (e) Flight safety system safing. For a
the potential to endanger the public. launch that uses a flight safety system,
(4) The flight termination rules must the launch safety rules must ensure
incorporate the data-loss flight times that any safing of the flight safety sys-
and planned safe flight state of tem occurs on or after the point in
§ 417.219, including each of the fol- flight where the flight safety system is
lowing: no longer required by § 417.107(b).
(i) The flight safety system must ter- (f) Launch crew work shift and rest
minate flight no later than the first rules. For any operation with the po-
data-loss flight time if, by that time, tential to have an adverse effect on
tracking of the launch vehicle is not public safety, the launch safety rules
established and vehicle position and must ensure the launch crew is phys-
status is unknown; and ically and mentally capable of per-
(ii) Once launch vehicle tracking is
forming all assigned tasks. These rules
established and there is a subsequent
must govern the length, number, and
loss of verified tracking data before the
frequency of work shifts, including the
planned safe flight state and verified
tracking data is not received again, the rest afforded the launch crew between
flight safety system must terminate shifts.
flight no later than the expiration of

585
§ 417.115 14 CFR Ch. III (1–1–19 Edition)

§ 417.115 Tests. review must determine a launch opera-

(a) General. All flight, communica- tor’s readiness to perform the oper-
tion, and ground systems and equip- ation and ensure that safety provisions
ment that a launch operator uses to are in place. The review must deter-
protect the public from any adverse ef- mine the readiness status of safety sys-
fects of a launch, must undergo testing tems and equipment and verify that
as required by this part, and any cor- the personnel involved satisfy certifi-
rective action and re-testing necessary cation and training requirements.
to ensure reliable operation. A launch (2) Launch safety review. For each
operator must— launch, a launch operator must con-
(1) Coordinate test plans and all asso- duct a launch safety review no later
ciated test procedures with any launch than 15 days before the planned day of
site operator or local authorities, as re- flight, or as agreed to by the FAA dur-
quired by local agreements, associated ing the application process. This re-
with the operation; and view must determine the readiness of
(2) Make test results, test failure re- ground and flight safety systems, safe-
ports, information on any corrective ty equipment, and safety personnel to
actions implemented and the results of support a flight attempt. Successful
re-test available to the FAA upon re- completion of a launch safety review
quest. must ensure satisfaction of the fol-
(b) Flight safety system testing. A lowing criteria:
launch operator must only use a flight (i) A launch operator must verify
safety system and all flight safety sys- that all safety requirements have been
tem components, including any on- or will be satisfied before flight. The
board launch vehicle flight termi- launch operator must resolve all safety
nation system, command control sys- related action items.
tem, and support system that satisfy (ii) A launch operator must assign
the test requirements of subpart D of and certify flight safety personnel as
this part.
required by § 417.105.
(c) Ground system testing. A launch op-
(iii) The flight safety rules and flight
erator must only use a system or
equipment used to support hazardous safety plan must incorporate a final
ground operations identified by the flight safety analysis as required by
ground safety analysis required by subpart C of this part.
§ 417.405 that satisfies the test require- (iv) A launch operator must verify, at
ments of paragraph (a) of this section. the time of the review, that the ground
safety systems and personnel satisfy or
§ 417.117 Reviews. will satisfy all requirements of the
(a) General. A launch operator ground safety plan for support of
must— flight.
(1) Review the status of operations, (v) A launch operator must accom-
systems, equipment, and personnel re- plish the safety related coordination
quired by part 417; with any launch site operator or local
(2) Maintain and implement docu- authorities as required by local agree-
mented criteria for successful comple- ments.
tion of each review; (vi) A launch operator must verify
(3) Track to completion and docu- the filing of all safety related informa-
ment any corrective actions or issues tion for a specific launch with the
identified during a review; and FAA, as required by FAA regulations
(4) Ensure that launch operator per- and any special terms of a license. A
sonnel who oversee a review attest to launch operator must verify that infor-
successful completion of the review’s mation filed with the FAA reflects the
criteria in writing. current status of safety-related sys-
(b) A launch operator must conduct tems and processes for each specific
the following reviews: launch.
(1) Hazardous operations safety readi- (3) Launch readiness review for flight.
ness reviews. A launch operator must A launch operator must conduct a
conduct a review before performing any launch readiness review for flight as re-
hazardous operation with the potential quired by this section within 48 hours
to adversely affect public safety. The
586
Commercial Space Transportation, FAA, DOT § 417.119
of flight. A person, identified as re- correct any anomaly that is material
quired by § 417.103(b)(1), must review all to public safety.
preflight testing and launch processing (2) A launch operator must inform
conducted up to the time of the review; the FAA of any public safety related
and review the status of systems and anomalies and related changes in oper-
support personnel to determine readi- ations performed during launch proc-
ness to proceed with launch processing essing or flight resulting from a re-
and the launch countdown. A decision hearsal.
to proceed must be in writing and (3) For each launch, each person with
signed by the person identified as re- a public safety critical role who will
quired by § 417.103(b)(1), and any launch participate in the launch processing or
site operator or Federal launch range. flight of a launch vehicle must partici-
A launch operator, during the launch pate in at least one related rehearsal
readiness review, must poll the FAA to that exercises his or her role during
verify that the FAA has identified no nominal and non-nominal conditions so
issues related to the launch operator’s that the launch vehicle will not harm
license. During a launch readiness re- the public.
view, the launch operator must ac- (4) A launch operator must conduct
count for the following information: the rehearsals identified in this section
(i) Readiness of launch vehicle and for each launch.
payload. (5) At least one rehearsal must simu-
(ii) Readiness of any flight safety late normal and abnormal preflight and
system and personnel and the results of flight conditions to exercise the launch
flight safety system testing. operator’s launch plans.
(iii) Readiness of safety-related (6) A launch operator may conduct
launch property and services to be pro- rehearsals at the same time if joint re-
vided by a Federal launch range. hearsals do not create hazardous condi-
(iv) Readiness of all other safety-re- tions, such as changing a hardware
lated equipment and services. configuration that affects public safe-
(v) Readiness of launch safety rules ty, during the rehearsal.
and launch constraints. (b) Countdown rehearsal. A launch op-
(vi) Status of launch weather fore- erator must conduct a rehearsal using
casts. the countdown plan, procedures, and
checklist required by § 417.111(l). A
(vii) Readiness of abort, hold and re-
countdown rehearsal must familiarize
cycle procedures.
launch personnel with all countdown
(viii) Results of rehearsals conducted
activities, demonstrate that the
as required by § 417.119.
planned sequence of events is correct,
(ix) Unresolved safety issues as of the and demonstrate that there is adequate
time of the launch readiness review time allotted for each event. A launch
and plans for their resolution. operator must hold a countdown re-
(x) Additional safety information hearsal after the assembly of the
that may be required to assess readi- launch vehicle and any launch support
ness for flight. systems into their final configuration
(xi) To review launch failure initial for flight and before the launch readi-
response actions and investigation ness review required by § 417.117.
roles and responsibilities. (c) Emergency response rehearsal. A
launch operator must conduct a re-
§ 417.119 Rehearsals.
hearsal of the emergency response sec-
(a) General. A launch operator must tion of the accident investigation plan
rehearse its launch crew and systems required by § 417.111(h)(2). A launch op-
to identify corrective actions needed to erator must conduct an emergency re-
ensure public safety. The launch oper- sponse rehearsal for a first launch of a
ator must conduct all rehearsals as fol- new vehicle, for any additional launch
lows: that involves a new safety hazard, or
(1) A launch operator must assess any for any launch where more than a year
anomalies identified by a rehearsal, has passed since the last rehearsal.
and must incorporate any changes to (d) Communications rehearsal. A
launch processing and flight needed to launch operator must rehearse each

587
§ 417.121 14 CFR Ch. III (1–1–19 Edition)
part of the communications plan re- (h) Launch vehicle tracking data
quired by § 417.111(k), either as part of verification. For each launch, a launch
another rehearsal or during a commu- operator must implement written pro-
nications rehearsal. cedures for verifying the accuracy of
any launch vehicle tracking data pro-
§ 417.121 Safety critical preflight oper- vided. For a launch vehicle flown with
ations. a flight safety system, any source of
(a) General. A launch operator must tracking data must satisfy the require-
perform safety critical preflight oper- ments of § 417.307(b).
ations that protect the public from the (i) Unguided suborbital rocket preflight
adverse effects of hazards associated operations. For the launch of an
with launch processing and flight of a unguided suborbital rocket, in addition
launch vehicle. The launch operator to meeting the other requirements of
must identify all safety critical pre- this section, a launch operator must
flight operations in the launch sched- perform the preflight wind weighting
ule required by § 417.17(b)(1). Safety and other preflight safety operations
critical preflight operations must in- required by §§ 417.125, 417.233, and ap-
clude those defined in this section. pendix C of this part.
(b) Countdown. A launch operator
must implement its countdown plan, of [Docket No. FAA–2000–7953, 71 FR 50537, Aug.
§ 417.111(l), for each launch. A launch 25, 2006, as amended by Amdt. No. 417–5, 81
operator must disseminate a count- FR 59439, Aug. 30, 2016]
down plan to all personnel responsible
§ 417.123 Computing systems and soft-
for the countdown and flight of a ware.
launch vehicle, and each person must
follow that plan. (a) A launch operator must document
(c) Collision avoidance. A launch oper- a system safety process that identifies
ator must coordinate with United the hazards and assesses the risks to
States Strategic Command to obtain a public health and safety and the safety
collision avoidance analysis, also re- of property related to computing sys-
ferred to as a conjunction on launch as- tems and software.
sessment, as required by § 417.231. A (b) A launch operator must identify
launch operator must implement flight all safety-critical functions associated
commit criteria as required by with its computing systems and soft-
§ 417.113(c) to ensure that each launch ware. Safety-critical computing sys-
meets all the criteria of § 417.107(e). tem and software functions must in-
(d) Meteorological data. A launch oper- clude the following:
ator must conduct operations and co- (1) Software used to control or mon-
ordinate with weather organizations, itor safety-critical systems.
as needed, to obtain accurate meteoro- (2) Software that transmits safety-
logical data to support the flight safety critical data, including time-critical
analysis required by subpart C of this data and data about hazardous condi-
part and to ensure compliance with the tions.
flight commit criteria required by (3) Software used for fault detection
§ 417.113. in safety-critical computer hardware or
(e) Local notification. A launch oper- software.
ator must implement its local agree-
(4) Software that responds to the de-
ments and public coordination plan of
tection of a safety-critical fault.
§ 417.111(i).
(f) Hazard area surveillance. A launch (5) Software used in a flight safety
operator must implement its hazard system.
area surveillance and clearance plan, of (6) Processor-interrupt software asso-
§ 417.111(j), to meet the public safety ciated with previously designated safe-
criteria of § 417.107(b) for each launch. ty-critical computer system functions.
(g) Flight safety system preflight tests. (7) Software that computes safety-
A launch operator must conduct pre- critical data.
flight tests of any flight safety system (8) Software that accesses safety-crit-
as required by section E417.41 of appen- ical data.
dix E of this part. (9) Software used for wind weighting.

588
Commercial Space Transportation, FAA, DOT § 417.125
(c) A launch operator must conduct (2) The launcher azimuth and ele-
computing system and software hazard vation settings must be wind weighted
analyses for the integrated system. to correct for the effects of wind condi-
(d) A launch operator must develop tions at the time of flight to provide a
and implement computing system and safe impact location. A launch oper-
software validation and verification ator must conduct the launch in ac-
plans. cordance with the wind weighting anal-
(e) A launch operator must develop ysis requirements and methods of
and implement software development § 417.233 and appendix C of this part.
plans, including descriptions of the fol- (3) A launch operator must use a
lowing: launcher elevation angle setting that
(1) Coding standards used; ensures the rocket will not fly uprange.
(2) Configuration control; A launch operator must set the launch-
(3) Programmable logic controllers; er elevation angle in accordance with
(4) Policy on use of any commercial- the following:
off-the-shelf software; and (i) The nominal launcher elevation
(5) Policy on software reuse. angle must not exceed 85. The wind
corrected launcher elevation setting
§ 417.125 Launch of an unguided sub-
orbital launch vehicle. must not exceed 86.
(ii) For an unproven unguided sub-
(a) Applicability. This section applies
orbital launch vehicle, the nominal
only to a launch operator conducting a
launcher elevation angle must not ex-
launch of an unguided suborbital
ceed 80. The wind corrected launcher
launch vehicle.
elevation setting must not exceed 84.
(b) Need for flight safety system. A
A proven unguided suborbital launch
launch operator must launch an
vehicle is one that has demonstrated,
unguided suborbital launch vehicle
by two or more launches, that flight
with a flight safety system in accord-
performance errors are within all the
ance with § 417.107 (a) and subpart D of
three-sigma dispersion parameters
this part unless one of the following ex-
modeled in the wind weighting safety
ceptions applies:
system.
(1) The unguided suborbital launch
vehicle, including any component or (d) Public risk criteria. A launch oper-
payload, does not have sufficient en- ator must conduct the launch of an
ergy to reach any populated area in unguided suborbital launch vehicle in
any direction from the launch point; or accordance with the public risk cri-
(2) A launch operator demonstrates teria of § 417.107(b). The risk to the pub-
through the licensing process that the lic determined prior to the day of flight
launch will be conducted using a wind must satisfy the public risk criteria for
weighting safety system that meets the area defined by the range of nomi-
the requirements of paragraph (c) of nal launch azimuths. A launch oper-
this section. ator must not initiate flight until a
(c) Wind weighting safety system. A launch operator has verified that the
launch operator’s wind weighting safe- wind drifted impacts of all planned im-
ty system must consist of equipment, pacts and their five-sigma dispersion
procedures, analysis and personnel areas satisfy the public risk criteria
functions used to determine the after wind weighting on the day of
launcher elevation and azimuth set- flight.
tings that correct for the windcocking (e) Stability. An unguided suborbital
and wind drift that an unguided sub- launch vehicle, in all configurations,
orbital launch vehicle will experience must be stable in flexible body to 1.5
during flight due to wind effects. The calibers and rigid body to 2.0 calibers
launch of an unguided suborbital throughout each stage of powered
launch vehicle that uses a wind flight. A caliber, for a rocket configu-
weighting safety system must meet the ration, is defined as the distance be-
following requirements: tween the center of pressure and the
(1) The unguided suborbital launch center of gravity divided by the largest
vehicle must not contain a guidance or frontal diameter of the rocket configu-
directional control system. ration.

589
§ 417.127 14 CFR Ch. III (1–1–19 Edition)
(f) Tracking. A launch operator must § 417.129 Safety at end of launch.
track the flight of an unguided sub- A launch operator must ensure for
orbital launch vehicle. The tracking any proposed launch that for all launch
system must provide data to determine vehicle stages or components that
the actual impact locations of all reach Earth orbit—
stages and components, to verify the (a) There is no unplanned physical
effectiveness of a launch operator’s contact between the vehicle or any of
wind weighting safety system, and to its components and the payload after
obtain rocket performance data for payload separation;
comparison with the preflight perform- (b) Debris generation does not result
ance predictions. from the conversion of energy sources
(g) Post-launch review. A launch oper- into energy that fragments the vehicle
ator must ensure that the post-launch or its components. Energy sources in-
report required by § 417.25 includes: clude chemical, pressure, and kinetic
(1) Actual impact location of all im- energy; and
pacting stages and each impacting (c) Stored energy is removed by de-
pleting residual fuel and leaving all
component.
fuel line valves open, venting any pres-
(2) A comparison of actual and pre- surized system, leaving all batteries in
dicted nominal performance. a permanent discharge state, and re-
(3) Investigation results of any moving any remaining source of stored
launch anomaly. If flight performance energy.
deviates by more than a three-sigma
dispersion from the nominal trajec- §§ 417.130–417.200 [Reserved]
tory, a launch operator must conduct
an investigation to determine the Subpart C—Flight Safety Analysis
cause of the rocket’s deviation from
normal flight and take corrective ac- § 417.201 Scope and applicability.
tion before the next launch. A launch (a) This subpart contains require-
operator must file any corrective ac- ments for performing the flight safety
tions with the FAA as a request for li- analysis required by § 417.107(f).
cense modification before the next (b) The flight safety analysis require-
launch in accordance with § 417.11. ments of this subpart apply to the
flight of any launch vehicle that must
§ 417.127 Unique safety policies, re- use a flight safety system as required
quirements and practices. by § 417.107(a), except as permitted by
paragraph (d) of this section.
For each launch, a launch operator (c) The flight safety analysis require-
must review operations, system de- ments of §§ 417.203, 417.205, 417.207,
signs, analysis, and testing, and iden- 417.211, 417.223, 417.224, 417.225, 417.227,
tify any unique hazards not otherwise 417.229, 417.231, and 417.233 apply to the
addressed by this part. A launch oper- flight of any unguided suborbital
ator must implement any unique safe- launch vehicle that uses a wind-
ty policy, requirement, or practice weighting safety system. Appendices B,
needed to protect the public from the C, and I of this part also apply.
unique hazard. A launch operator must (d) For any alternative flight safety
demonstrate through the licensing system approved by the FAA under
process that any unique safety policy, § 417.301(b), the FAA will determine
requirement, or practice ensures the during the licensing process which of
safety of the public. For any change to the analyses required by this subpart
a unique safety policy, requirement, or apply.
practice, with the exception of a
launch specific update, the launch op- § 417.203 Compliance.
erator must file a request for license (a) General. A launch operator’s flight
modification as required by § 417.11. safety analysis must satisfy the per-
The FAA may identify and impose a formance requirements of this subpart.
unique safety policy, requirement, or The flight safety analysis must also
practice as needed to protect the pub- meet the requirements for methods of
lic. analysis contained in appendices A and

590
Commercial Space Transportation, FAA, DOT § 417.205
B of this part for a launch vehicle need for further demonstration of com-
flown with a flight safety system and pliance to the FAA, if:
appendices B and C of this part for an (1) A launch operator has contracted
unguided suborbital launch vehicle with a Federal launch range for the
that uses a wind-weighting safety sys- provision of flight safety analysis; and
tem except as otherwise permitted by (2) The FAA has assessed the Federal
this section. A flight safety analysis launch range, through its launch site
for a launch may rely on an earlier safety assessment, and found that the
analysis from an identical or similar range’s analysis methods satisfy the
launch if the analysis still applies to requirements of this subpart. In this
the later launch. case, the FAA will treat the Federal
(b) Method of analysis. (1) For each launch range’s analysis as that of a
launch, a launch operator’s flight safe- launch operator.
ty analysis must use— (e) Analysis products. For a licensed
(i) A method approved by the FAA launch that does not satisfy paragraph
during the licensing process; (d) of this section, a launch operator
(ii) A method approved as a license must demonstrate to the FAA compli-
modification by the FAA; or, ance with the requirements of this sub-
(iii) If the launch takes place from a part, and must include in its dem-
Federal launch range, a method ap- onstration the analysis products re-
proved as part of the FAA’s launch site quired by part 415 subpart F of this
safety assessment of the Federal chapter, part 417 subpart A, and appen-
range’s processes. dices A, B, C, and I of this part, depend-
(2) Appendix A of this part contains ing on whether the launch vehicle uses
requirements that apply to all methods a flight safety system or a wind-
of flight safety analysis. A licensee weighting safety system.
must notify the FAA for any change to
the flight safety analysis method. A li- § 417.205 General.
censee must file any material change (a) Public risk management. A flight
with the FAA as a request for license safety analysis must demonstrate that
modification before the launch to a launch operator will, for each launch,
which the proposed change would control the risk to the public from haz-
apply. Section 417.11 contains require- ards associated with normal and mal-
ments governing a license modifica- functioning launch vehicle flight. The
tion. analysis must employ risk assessment,
(c) Alternate analysis method. The hazard isolation, or a combination of
FAA will approve an alternate flight risk assessment and partial isolation of
safety analysis method if a launch op- the hazards, to demonstrate control of
erator demonstrates, in accordance the risk to the public.
with § 406.3(b), that its proposed anal-
(1) Risk assessment. When dem-
ysis method provides an equivalent
onstrating control of risk through risk
level of fidelity to that required by this
assessment, the analysis must dem-
subpart. A launch operator must dem-
onstrate that any risk to the public
onstrate that an alternate flight safety
satisfies the public risk criteria of
analysis method is based on accurate
data and scientific principles and is § 417.107(b). The analysis must account
statistically valid. The FAA will not for the variability associated with:
find a launch operator’s application for (i) Each source of a hazard during
a license or license modification suffi- flight;
ciently complete to begin review under (ii) Normal flight and each failure re-
§ 413.11 of this chapter until the FAA sponse mode of the launch vehicle;
approves the alternate flight safety (iii) Each external and launch vehicle
analysis method. flight environment;
(d) Analyses performed by a Federal (iv) Populations potentially exposed
launch range. This provision applies to to the flight; and
all sections of this subpart. The FAA (v) The performance of any flight
will accept a flight safety analysis used safety system, including time delays
by a Federal launch range without associated with the system.

591
§ 417.205 14 CFR Ch. III (1–1–19 Edition)
(2) Hazard isolation. When dem- public under paragraph (a)(2) of this
onstrating control of risk through haz- section satisfies the public risk criteria
ard isolation, the analysis must estab- of § 417.107(b).
lish the geographical areas from which (b) Dependent analyses. Because some
the public must be excluded during analyses required by this subpart are
flight and any operational controls inherently dependent on one another,
needed to isolate all hazards from the the data output of any one analysis
public. must be compatible in form and con-
(3) Combination of risk assessment and tent with the data input requirements
partial isolation of hazards. When dem- of any other analysis that depends on
onstrating control of risk through a that output. Figure 417.205–1 illustrates
combination of risk assessment and the flight safety analyses that might
partial isolation of the hazards from be performed for a launch flown with a
the public, the analysis must dem- flight safety system and the typical de-
onstrate that the residual public risk pendencies that might exist among the
due to any hazard not isolated from the analyses.

592
Commercial Space Transportation, FAA, DOT § 417.205

593
§ 417.207 14 CFR Ch. III (1–1–19 Edition)

§ 417.207 Trajectory analysis. that are sufficient to establish flight

(a) General. A flight safety analysis safety limits and hazard areas that are
must include a trajectory analysis that smooth and continuous.
establishes: (3) The relative probability of occur-
(1) For any time after lift-off, the rence of each malfunction turn of
limits of a launch vehicle’s normal which the launch vehicle is capable.
flight, as defined by the nominal tra- (4) The time, as a single value or a
jectory and potential three-sigma tra- probability time distribution, when
jectory dispersions about the nominal each malfunction turn will terminate
trajectory. due to vehicle breakup.
(2) A fuel exhaustion trajectory that (5) What terminates each malfunc-
produces instantaneous impact points tion turn, such as, aerodynamic break-
with the greatest range for any given up or inertial breakup.
time after liftoff for any stage that has (6) The launch vehicle’s turning be-
the potential to impact the Earth and havior from the time when a malfunc-
does not burn to propellant depletion tion begins to cause a turn until aero-
before a programmed thrust termi- dynamic breakup, inertial breakup, or
nation. ground impact. The analysis must ac-
(3) For launch vehicles flown with a count for trajectory time intervals dur-
flight safety system, a straight-up tra- ing the malfunction turn that are suffi-
jectory for any time after lift-off until cient to establish turn curves that are
the straight-up time that would result smooth and continuous.
if the launch vehicle malfunctioned (7) For each malfunction turn, the
and flew in a vertical or near vertical launch vehicle velocity vector turn
direction above the launch point. angle from the nominal launch vehicle
(b) Trajectory model. A final trajec- velocity vector.
tory analysis must use a six-degree of (8) For each malfunction turn, the
freedom trajectory model to satisfy the launch vehicle velocity turn magnitude
requirements of paragraph (a) of this from the nominal velocity magnitude
section. that corresponds to the velocity vector
(c) Wind effects. A trajectory analysis turn angle.
must account for all wind effects, in- (9) For each malfunction turn, the
cluding profiles of winds that are no orientation of the launch vehicle longi-
less severe than the worst wind condi- tudinal axis measured relative to the
tions under which flight might be at- nominal launch vehicle longitudinal
tempted, and must account for uncer- axis or Earth relative velocity vector
tainty in the wind conditions. at the start of the turn.
(b) Set of turn curves for each malfunc-
§ 417.209 Malfunction turn analysis. tion turn cause. For each cause of a
(a) General. A flight safety analysis malfunction turn, the analysis must
must include a malfunction turn anal- establish a set of turn curves that sat-
ysis that establishes the launch vehi- isfies paragraph (a) of this section and
cle’s turning capability in the event of must establish the associated envelope
a malfunction during flight. A mal- of the set of turn curves. Each set of
function turn analysis must account turn curves must describe the vari-
for each cause of a malfunction turn, ation in the malfunction turn charac-
such as thrust vector offsets or nozzle teristics for each cause of a turn. The
burn-through. For each cause of a mal- envelope of each set of curves must de-
function turn, the analysis must estab- fine the limits of the launch vehicle’s
lish the launch vehicle’s turning capa- malfunction turn behavior for each
bility using a set of turn curves. The cause of a malfunction turn. For each
analysis must account for: malfunction turn envelope, the anal-
(1) All trajectory times during the ysis must establish the launch vehicle
thrusting phases of flight. velocity vector turn angle from the
(2) When a malfunction begins to nominal launch vehicle velocity vec-
cause each turn throughout the thrust- tor. For each malfunction turn enve-
ing phases of flight. The analysis must lope, the analysis must establish the
account for trajectory time intervals vehicle velocity turn magnitude from
between malfunction turn start times the nominal velocity magnitude that

594
Commercial Space Transportation, FAA, DOT § 417.215
corresponds to the velocity vector turn sure that the launch satisfies the pub-
angle envelope. lic risk criteria of § 417.107(b).
(b) Flight safety limits. The analysis
§ 417.211 Debris analysis. must establish flight safety limits for
(a) General. A flight safety analysis use in establishing flight termination
must include a debris analysis. For an rules. Section 417.113(c) contains re-
orbital or suborbital launch, a debris quirements for flight termination
analysis must identify the inert, explo- rules. The flight safety limits must ac-
sive, and other hazardous launch vehi- count for all temporal and geometric
cle debris that results from normal and extents on the Earth’s surface of a
malfunctioning launch vehicle flight. launch vehicle’s hazardous debris im-
(b) Launch vehicle breakup. A debris pact dispersion resulting from any
analysis must account for each cause planned or unplanned event for all
of launch vehicle breakup, including at times during flight. Flight safety lim-
a minimum: its must account for all potential con-
(1) Any flight termination system ac- tributions to the debris impact disper-
tivation; sions, including at a minimum:
(2) Launch vehicle explosion; (1) All time delays, as established by
(3) Aerodynamic loads; the time delay analysis of § 417.221;
(2) Residual thrust remaining after
(4) Inertial loads;
flight termination implementation or
(5) Atmospheric reentry heating; and
vehicle breakup due to aerodynamic
(6) Impact of intact vehicle.
and inertial loads;
(c) Debris fragment lists. A debris anal- (3) All wind effects;
ysis must produce lists of debris frag- (4) Velocity imparted to vehicle frag-
ments for each cause of breakup and ments by breakup;
any planned jettison of debris, launch (5) All lift and drag forces on the
vehicle components, or payload. The malfunctioning vehicle and falling de-
lists must account for all launch vehi- bris;
cle debris fragments, individually or in (6) All launch vehicle guidance and
groupings of fragments whose charac- performance errors;
teristics are similar enough to be de- (7) All launch vehicle malfunction
scribed by a single set of characteris- turn capabilities; and
tics. The debris lists must describe the (8) Any uncertainty due to map er-
physical, aerodynamic, and harmful rors and launch vehicle tracking er-
characteristics of each debris frag- rors.
ment, including at a minimum: (c) Gates. If a launch involves flight
(1) Origin on the vehicle, by vehicle over any populated or other protected
stage or component, from which each area, the flight safety analysis must
fragment originated; establish a gate as required by §§ 417.217
(2) Whether it is inert or explosive; and 417.218.
(3) Weight, dimensions, and shape; (d) Designated debris impact limits. The
(4) Lift and drag characteristics; analysis must establish designated im-
(5) Properties of the incremental ve- pact limit lines to bound the area
locity distribution imparted by break- where debris with a ballistic coefficient
up; and of three or more is allowed to impact if
(6) Axial, transverse, and tumbling the flight safety system functions
area. properly.
§ 417.213 Flight safety limits analysis. § 417.215 Straight-up time analysis.
(a) General. A flight safety analysis A flight safety analysis must estab-
must identify the location of populated lish the straight-up time for a launch
or other protected areas, and establish for use as a flight termination rule.
flight safety limits that define when a Section 417.113(c) contains require-
flight safety system must terminate a ments for flight termination rules. The
launch vehicle’s flight to prevent the analysis must establish the straight-up
hazardous effects of the resulting de- time as the latest time after liftoff, as-
bris impacts from reaching any popu- suming a launch vehicle malfunctioned
lated or other protected area and en- and flew in a vertical or near vertical

595
§ 417.217 14 CFR Ch. III (1–1–19 Edition)
direction above the launch point, at (2) Overflight of an uncontained popu-
which activation of the launch vehi- lated or otherwise protected area. A hold-
cle’s flight termination system or and-resume gate must be a closed, con-
breakup of the launch vehicle would tinuous contour that encompasses any
not cause hazardous debris or critical area in which flight termination is al-
overpressure to affect any populated or lowed to occur. The hold-and-resume
other protected area. gate must encompass all hazard areas
such that flight termination or break-
§ 417.217 Overflight gate analysis. up of the launch vehicle while the vehi-
For a launch that involves flight over cle’s tracking icon is inside the gate
a populated or other protected area, would not cause hazardous debris or
the flight safety analysis must include critical overpressure to endanger any
an overflight gate analysis. The anal- populated or otherwise protected area.
ysis must establish the portion of a
flight safety limit, a gate, through § 417.219 Data loss flight time and
which a normally performing launch planned safe flight state analyses.
vehicle’s tracking icon will be allowed (a) General. For each launch, a flight
to proceed. A tracking icon must en- safety analysis must establish data
able the flight safety crew to deter- loss flight times, as identified by para-
mine whether the launch vehicle’s graph (b) of this section, and a planned
flight is in compliance with the flight safe flight state to establish each flight
safety rules established under § 417.113. termination rule that applies when
When establishing that portion of a launch vehicle tracking data is not
flight safety limit, the analysis must available for use by the flight safety
demonstrate that the launch vehicle crew. Section 417.113(d) contains re-
flight satisfies the flight safety re- quirements for flight termination
quirements of § 417.107. rules.
(b) Data loss flight times. A flight safe-
§ 417.218 Hold-and-resume gate anal- ty analysis must establish the shortest
ysis. elapsed thrusting time during which a
(a) For a launch that involves over- launch vehicle can move from normal
flight or near overflight of a populated flight to a condition where the launch
or otherwise protected area prior to vehicle’s hazardous debris impact dis-
the planned safe flight state calculated persion extends to any protected area
as required by § 417.219, the flight safe- as a data loss flight time. The analysis
ty analysis must construct a hold-and- must establish a data loss flight time
resume gate for each populated or oth- for all times along the nominal trajec-
erwise protected area. After a vehicle’s tory from liftoff through that point
tracking icon crosses a hold-and-re- during nominal flight when the min-
sume gate, flight termination must imum elapsed thrusting time is no
occur as required by sections greater than the time it would take for
417.113(d)(6). a normal vehicle to reach the over-
(b) The hold-and-resume gate anal- flight gate, or the planned safe flight
ysis must account for: state established under paragraph (c) of
(1) Overflight of a wholly contained this section, whichever occurs earlier.
populated or otherwise protected area. A (c) Planned safe flight state. For a
hold-and-resume gate must be a closed, launch vehicle that performs normally
continuous contour that encompasses during all portions of flight, the
any populated or otherwise protected planned safe flight state is the point
area located wholly within the impact during the nominal flight of a launch
limit lines. The hold-and-resume gate vehicle where:
must encompass a populated or other- (1) No launch vehicle component, de-
wise protected area such that flight bris, or hazard can impact or affect a
termination or breakup of the launch populated or otherwise protected area
vehicle while the tracking icon is out- for the remainder of the launch;
side the gate would not cause haz- (2) The launch vehicle achieves or-
ardous debris or overpressure to endan- bital insertion; or
ger the populated or otherwise pro- (3) The launch vehicle’s state vector
tected area. reaches a state where the absence of a

596
Commercial Space Transportation, FAA, DOT § 417.224
flight safety system would not signifi- flight events and events resulting from
cantly increase the accumulated risk any potential malfunction;
from debris impacts and maintains (3) Regions of sea and air potentially
positive flight safety system control to exposed to debris from normal flight
the maximum extent feasible. events, including planned impacts;
(4) In the vicinity of the launch site,
§ 417.221 Time delay analysis. any waterborne vessels, populated off-
(a) General. A flight safety analysis shore structures, or aircraft exposed to
must include a time delay analysis debris from events resulting from any
that establishes the mean elapsed time potential abnormal flight events, in-
between the violation of a flight termi- cluding launch vehicle malfunction;
nation rule and the time when the (5) Any operational controls imple-
flight safety system is capable of ter- mented to control risk to the public
minating flight for use in establishing from debris hazards;
flight safety limits as required by (6) Debris identified by the debris
§ 417.213. analysis of § 417.211; and
(b) Analysis constraints. A time delay (7) All launch vehicle trajectory dis-
analyses must determine a time delay persion effects in the surface impact
distribution that accounts for the fol- domain.
lowing: (b) Public notices. A flight hazard
(1) The variance of all time delays for areas analysis must establish the ship
each potential failure scenario, includ- hazard areas for notices to mariners
ing but not limited to, the range of that encompass the three-sigma impact
malfunction turn characteristics and dispersion area for each planned debris
the time of flight when the malfunc- impact. A flight hazard areas analysis
tion occurs; must establish the aircraft hazard
(2) A flight safety official’s decision areas for notices to airmen that en-
and reaction time, including variation compass the 3-sigma impact dispersion
in human response time; and volume for each planned debris impact.
(3) Flight termination hardware and Section 417.121(e) contains procedural
software delays including all delays in- requirements for issuing notices to
herent in: mariners and airmen.
(i) Tracking systems;
(ii) Data processing systems, includ- § 417.224 Probability of failure anal-
ing all filter delays; ysis.
(iii) Display systems; (a) General. All flight safety analyses
(iv) Command control systems; and for a launch, regardless of hazard or
(v) Flight termination systems. phase of flight, must account for
launch vehicle failure probability in a
§ 417.223 Flight hazard area analysis. consistent manner. A launch vehicle
(a) General. A flight safety analysis failure probability estimate must use
must include a flight hazard area anal- accurate data, scientific principles, and
ysis that identifies any regions of land, a method that is statistically or
sea, or air that must be surveyed, pub- probabilistically valid. For a launch
licized, controlled, or evacuated in vehicle with fewer than two flights, the
order to control the risk to the public failure probability estimate must ac-
from debris impact hazards. The risk count for the outcome of all previous
management requirements of launches of vehicles developed and
§ 417.205(a) apply. The analysis must ac- launched in similar circumstances. For
count for, at a minimum: a launch vehicle with two or more
(1) All trajectory times from liftoff flights, launch vehicle failure prob-
to the planned safe flight state of ability estimates must account for the
§ 417.219(c), including each planned im- outcomes of all previous flights of the
pact, for an orbital launch, and vehicle in a statistically valid manner.
through final impact for a suborbital (b) Failure. For flight safety analysis
launch; purposes, a failure occurs when a
(2) Regions of land potentially ex- launch vehicle does not complete any
posed to debris resulting from normal phase of normal flight or when any

597
§ 417.225 14 CFR Ch. III (1–1–19 Edition)
anomalous condition exhibits the po- § 417.229 Far-field overpressure blast
tential for a stage or its debris to im- effects analysis.
pact the Earth or reenter the atmos- (a) General. A flight safety analysis
phere during the mission or any future must establish flight commit criteria
mission of similar launch vehicle capa- that protect the public from any haz-
bility. Also, either a launch incident or ard associated with far field blast over-
launch accident constitutes a failure. pressure effects due to potential explo-
(c) Previous flight. For flight analysis sions during launch vehicle flight and
purposes, flight begins at a time in demonstrate compliance with the pub-
which a launch vehicle normally or in- lic risk criterion of § 417.107(b).
advertently lifts off from a launch (b) Analysis constraints. The analysis
platform. Lift-off occurs with any mo- must account for:
tion of the launch vehicle with respect (1) The potential for distant focus
to the launch platform. overpressure or overpressure enhance-
ment given current meteorological
§ 417.225 Debris risk analysis. conditions and terrain characteristics;
(2) The potential for broken windows
A flight safety analysis must dem- due to peak incident overpressures
onstrate that the risk to the public po- below 1.0 psi and related casualties;
tentially exposed to inert and explosive (3) The explosive capability of the
debris hazards from any one flight of a launch vehicle at impact and at alti-
launch vehicle satisfies the public risk tude and potential explosions resulting
criterion of § 417.107(b) for debris. A de- from debris impacts, including the po-
bris risk analysis must account for risk tential for mixing of liquid propellants;
to populations on land, including re- (4) Characteristics of the launch vehi-
gions of launch vehicle flight following cle flight and the surroundings that
passage through any gate in a flight would affect the population’s suscepti-
safety limit established as required by bility to injury, such as, shelter types
§ 417.217. A debris risk analysis must and time of day of the proposed launch;
account for any potential casualties to (5) Characteristics of the potentially
the public as required by the debris affected windows, including their size,
thresholds and requirements of location, orientation, glazing material,
and condition; and
§ 417.107(c).
(6) The hazard characteristics of the
§ 417.227 Toxic release hazard anal- potential glass shards, such as falling
ysis. from upper building stories or being
propelled into or out of a shelter to-
A flight safety analysis must estab- ward potentially occupied spaces.
lish flight commit criteria that protect
the public from any hazard associated § 417.231 Collision avoidance analysis.
with toxic release and demonstrate (a) General. A flight safety analysis
compliance with the public risk cri- must include a collision avoidance
terion of § 417.107(b). The analysis must analysis that establishes each launch
account for any toxic release that will wait in a planned launch window dur-
occur during the proposed flight of a ing which a launch operator must not
launch vehicle or that would occur in initiate flight, in order to protect any
the event of a flight mishap. The anal- maned or mannable orbiting object. A
ysis must account for any operational launch operator must account for un-
constraints and emergency procedures certainties associated with launch ve-
that provide protection from toxic re- hicle performance and timing and en-
lease. The analysis must account for sure that any calculated launch waits
all members of the public that may be incorporate all additional time periods
exposed to the toxic release, including associated with such uncertainties. A
all members of the public on land and launch operator must implement any
on any waterborne vessels, populated launch waits as flight commit criteria
offshore structures, and aircraft that according to § 417.113(c).
are not operated in direct support of (b) Orbital launch. For an orbital
launch, the analysis must establish
the launch.
any launch waits needed to ensure that

598
Commercial Space Transportation, FAA, DOT § 417.301
the launch vehicle, any jettisoned com- ments of § 417.107(a) define when a
ponents, and its payload do not pass launch operator must use a flight safe-
closer than 200 kilometers to a manned ty system. A launch operator must en-
or mannable orbiting object during as- sure that its flight safety system satis-
cent to initial orbital insertion fies all the requirements of this sub-
through at least one complete orbit. part, including the referenced appen-
(c) Suborbital launch. For a suborbital dices. Paragraph (b) of this section pro-
launch, the analysis must establish vides an exception to this.
any launch waits needed to ensure that (b) Alternate flight safety system. A
the launch vehicle, any jettisoned com-
flight safety system need not satisfy
ponents, and any payload do not pass
one or more of the requirements of this
closer than 200 kilometers to a manned
or mannable orbital object throughout subpart for a launch if a launch oper-
the flight. ator demonstrates, in accordance with
(d) Analysis not required. A collision § 406.3(b), that the launch achieves an
avoidance analysis is not required if equivalent level of safety as a launch
the maximum altitude attainable by a that satisfies all the requirements of
launch operator’s unguided suborbital this part. The flight safety system
launch vehicle is less than the altitude must undergo analysis and testing that
of the lowest manned or mannable or- is comparable to that required by this
biting object. The maximum altitude part to demonstrate that the system’s
attainable must be obtained using an reliability to perform each intended
optimized trajectory, assuming 3-sigma function is comparable to that required
maximum performance. by this subpart.
(c) Functions, subsystems, and compo-
[Docket No. FAA–2000–7953, 71 FR 50537, Aug.
25, 2006, as amended by Amdt. No. 417–5, 81 nents. When initiated in the event of a
FR 59439, Aug. 30, 2016] launch vehicle failure, a flight safety
system must prevent any launch vehi-
§ 417.233 Analysis for an unguided cle hazard, including any payload haz-
suborbital launch vehicle flown ard, from reaching a populated or other
with a wind weighting safety sys- protected area. A flight safety system
tem.
must consist of all of the following:
For each launch of an unguided sub- (1) A flight termination system that
orbital launch vehicle flown with a satisfies appendices D, E, and F of this
wind weighting safety system, in addi- part;
tion to the other requirements in this (2) A command control system that
subpart outlined in § 417.201(c), the satisfies §§ 417.303 and 417.305;
flight safety analysis must:
(3) Each support system required by
(a) Establish flight commit criteria
§ 417.307; and
and other launch safety rules that a
launch operator must implement to (4) The functions of any personnel
control the risk to the public from po- who operate flight safety system hard-
tential adverse effects resulting from ware or software including a flight
normal and malfunctioning flight; safety crew that satisfies § 417.311.
(b) Establish any wind constraints (d) Compliance—(1) Non-Federal launch
under which launch may occur; and site. For launch from a non-Federal
(c) Include a wind weighting analysis launch site, any flight safety system,
that establishes the launcher azimuth including all components, must:
and elevation settings that correct for (i) Comply with a launch operator’s
the windcocking and wind-drift effects flight safety system compliance matrix
on the unguided suborbital launch ve- of § 415.127(g) that accounts for all the
hicle. design, installation, and monitoring re-
quirements of this subpart, including
Subpart D—Flight Safety System the referenced appendices; and
(ii) Comply with a launch operator’s
§ 417.301 General. testing compliance matrix of
(a) Applicability. This subpart applies § 415.129(b) that accounts for all the
to any flight safety system that a test requirements of this subpart, in-
launch operator uses. The require- cluding the referenced appendices.

599
§ 417.303 14 CFR Ch. III (1–1–19 Edition)
(2) Federal launch range. This provi- ing with completion of the preflight
sion applies to all sections of this sub- testing and system verification of
part. The FAA will accept a flight safe- § 417.305(c) through initiation of flight
ty system used or approved on a Fed- and until the planned safe flight state
eral launch range without need for fur- for each launch. Any demonstration of
ther demonstration of compliance to the system’s predicted reliability must
the FAA if: satisfy § 417.309(b).
(i) A launch operator has contracted (d) Fault tolerance. A command con-
with a Federal launch range for the trol system must not contain any sin-
provision of flight safety system prop- gle-failure-point that, upon failure,
erty and services; and
would inhibit the required functioning
(ii) The FAA has assessed the Federal
of the system or cause the trans-
launch range, through its launch site
safety assessment, and found that the mission of an undesired flight termi-
Federal launch range’s flight safety nation message. A command control
system property and services satisfy system’s design must ensure that the
the requirements of this subpart. In probability of transmitting an
this case, the FAA will treat the Fed- undesired or inadvertent command dur-
eral launch range’s flight safety sys- ing flight is less than 1 10¥ 7.
tem property and services as that of a (e) Configuration control. A command
launch operator. control system must undergo configu-
ration control to ensure its reliability
[Docket No. FAA–2000–7953, 71 FR 50537, Aug.
25, 2006, as amended by Amdt. No. 417–5, 81 and compatibility with the flight ter-
FR 59439, Aug. 30, 2016] mination system used for each launch.
(f) Electromagnetic interference. Each
§ 417.303 Command control system re- command control system component
quirements. must function within the electro-
(a) General. When initiated by a flight magnetic environment to which it is
safety official, a command control sys- exposed. A command control system
tem must transmit a command signal must include protection to prevent in-
that has the radio frequency character- terference from inhibiting the required
istics and power needed for receipt of functioning of the system or causing
the signal by the onboard vehicle flight the transmission of an undesired or in-
termination system. A command con- advertent flight termination command.
trol system must include all of the fol- Any susceptible remote control data
lowing: processing or transmitting system that
(1) All flight termination system ac-
is part of the command control system
tivation switches;
must prevent electromagnetic inter-
(2) All intermediate equipment, link-
ages, and software; ference.
(3) Any auxiliary stations; (g) Command transmitter failover. A
(4) Each command transmitter and command control system must include
transmitting antenna; and independent, redundant transmitter
(5) All support equipment that is systems that automatically switch, or
critical for reliable operation, such as ‘‘fail-over,’’ from a primary trans-
power, communications, and air condi- mitter to a secondary transmitter
tioning systems. when a condition exists that indicates
(b) Performance specifications. A com- potential failure of the primary trans-
mand control system and each sub- mitter. The switch must be automatic
system, component, and part that can and provide all the same command con-
affect the reliability of a component trol system capabilities through the
must have written performance speci- secondary transmitter system. The sec-
fications that demonstrate, and con- ondary transmitter system must re-
tain the details of, how each satisfies spond to any transmitter system con-
the requirements of this section. figuration and radio message orders es-
(c) Reliability prediction. A command tablished for the launch. The fail-over
control system must have a predicted criteria that trigger automatic switch-
reliability of 0.999 at the 95 percent ing from the primary transmitter to
confidence level when operating, start-

600
Commercial Space Transportation, FAA, DOT § 417.303
the secondary transmitter must ac- ceiver decoder of section D417.29 of ap-
count for each of the following trans- pendix D of this part;
mitter performance parameters and (2) Ensure that all arm and destruct
failure indicators: commands transmitted to a flight ter-
(1) Low transmitter power; mination system have priority over
(2) Center frequency shift; any other commands transmitted;
(3) Out of tolerance tone frequency; (3) Employ an authorized radio car-
(4) Out of tolerance message timing; rier frequency and bandwidth with a
(5) Loss of communication between guard band that provides the radio fre-
central control and transmitter site; quency separation needed to ensure
(6) Central control commanded status that the system does not interfere with
and site status disagree; any other flight safety system that is
required to operate at the same time;
(7) Transmitter site fails to respond
(4) Transmit an output bandwidth
to a configuration or radiation order
that is consistent with the signal spec-
within a specified period of time; and
trum power used in the link analysis of
(8) For a tone-based system, tone de-
§ 417.309(f); and
viation and tone imbalance. (5) Not transmit other frequencies
(h) Switching between transmitter sys- that could degrade the airborne flight
tems. Any manual or automatic switch- termination system’s performance.
ing between transmitter systems, in- (l) Command control system antennas.
cluding fail-over, must not result in A command control system antenna or
the radio carrier being off the air long antenna system must satisfy all of the
enough for any command destruct sys- following:
tem to be captured by an unauthorized (1) The antenna system must provide
transmitter. The time the radio carrier two or more command signals to any
is off the air must account for any loss command destruct system throughout
of carrier and any simultaneous mul- normal flight and in the event of a
tiple radio carrier transmissions from launch vehicle failure regardless of
two transmitter sites during switching. launch vehicle orientation;
(i) Radio carrier. For each launch, a (2) Each antenna beam-width must:
command control system must provide (i) Allow for complete transmission
all of the following: of the command destruct sequence of
(1) The radio frequency signal and ra- signal tones before a malfunctioning
diated power density that each com- launch vehicle can exit the 3-dB point
mand destruct system needs to acti- of the antenna pattern;
vate during flight; (ii) When the vehicle is centered in
(2) The 12-dB power density margin the antenna pattern at the beginning
required by section D417.9(d) of appen- of the malfunction, account for the
dix D of this part under nominal condi- launch vehicle’s malfunction turn ca-
tions; and pability determined by the analysis of
(3) A 6-dB power density margin § 417.209, the data loss flight times of
under worst-case conditions. § 417.219, and the time delay of § 417.221.
(j) Command control system monitoring (iii) Encompass the boundaries of
and control. A command control system normal flight for the portion of flight
must provide for monitoring and con- that the antenna is scheduled to sup-
trol of the system from the flight safe- port; and
ty system displays and controls re- (iv) Account for any error associated
quired by § 417.307(f), including real- with launch vehicle tracking and
time selection of a transmitter, trans- pointing of the antenna;
mitter site, communication circuits, (3) The location of each antenna
and antenna configuration. must provide for an unobstructed line
(k) Command transmitter system. For of site between the antenna and the
each launch, a command transmitter launch vehicle;
system must: (4) The antenna system must provide
(1) Transmit signals that are compat- a continuous omni-directional radio
ible with any command destruct sys- carrier pattern that covers the launch
tem’s radio frequency receiving system vehicle’s flight from the launch point
of section D417.25 and command re- to no less than an altitude of 50,000 feet

601
§ 417.305 14 CFR Ch. III (1–1–19 Edition)
above sea level, unless the system uses ing to ensure that the new component
a steerable antenna that satisfies para- is installed properly and is operational.
graphs (l)(1) and (2) of this section for (b) Acceptance testing. (1) All new or
the worst-case launch vehicle malfunc- modified command control system
tion that could occur during that por- hardware and software must undergo
tion of flight; acceptance testing to verify that the
(5) An antenna must radiate cir- system satisfies the requirements of
cularly polarized radio waves that are § 417.303.
compatible with the flight termination (2) Acceptance testing must include
system antennas on the launch vehicle; functional testing, system interface
and validation testing, and integrated sys-
(6) Any steerable antenna must allow tem-wide validation testing.
for control of the antenna manually at (3) Each acceptance test must meas-
the antenna site or by remote slaving ure the performance parameters that
data from a launch vehicle tracking demonstrate whether the requirements
source. A steerable antenna’s posi- of § 417.303 are satisfied.
tioning lag, accuracy, and slew rates (4) Any computing system, software,
must allow for tracking a nominally or firmware that performs a software
performing launch vehicle within one safety critical function must undergo
half of the antenna’s beam-width and validation testing and satisfy § 417.123.
for tracking a malfunctioning launch If command control system hardware
vehicle to satisfy paragraph (l)(2) of interfaces with software, the interface
this section. must undergo validation testing.
(c) Preflight testing—(1) General. For
[Docket No. FAA–2000–7953, 71 FR 50537, Aug. each launch, a command control sys-
25, 2006, as amended by Amdt. No. 417–5, 81 tem must undergo preflight testing to
FR 59439, Aug. 30, 2016]
verify that the system satisfies the re-
§ 417.305 Command control system quirements of § 417.303 for the launch.
testing. (2) Coordinated command control system
and flight termination system testing. For
(a) General. (1) A command control each launch, a command control sys-
system, including its subsystems and tem must undergo preflight testing
components must undergo the accept- during the preflight testing of the asso-
ance testing of paragraph (b) of this ciated flight termination system under
section when new or modified. For each section E417.41 of appendix E of this
launch, a command control system part.
must undergo the preflight testing of (3) Command transmitter system carrier
paragraph (c) of this section. switching tests. A command transmitter
(2) Each acceptance and preflight test system must undergo a test of its car-
must follow a written test plan that rier switching system no earlier than
specifies the procedures and test pa- 24 hours before a scheduled flight. The
rameters for the test and the testing test must satisfy all of the following:
sequence. A test plan must include in- (i) Automatic carrier switching. For
structions on how to handle procedural any automatic carrier switching sys-
deviations and how to react to test tem, the test must verify that the
failures. switching algorithm selects and en-
(3) If hardware or software is rede- ables the proper transmitter site for
signed or replaced with a different each portion of the planned flight; and
hardware or software that is not iden- (ii) Manual carrier switching. For any
tical to the original, the system must manual carrier switching, the test
undergo all acceptance testing and must verify that the flight safety sys-
analysis with the new hardware or soft- tem crew can select and enable each
ware and all preflight testing for each transmitter site planned to support the
launch with the new hardware or soft- launch.
ware. (4) Independent radio frequency open
(4) After a command control system loop verification tests. A command con-
passes all acceptance tests, if a compo- trol system must undergo an open loop
nent is replaced with an identical com- end-to-end verification test for each
ponent, the system must undergo test- launch as close to the planned flight as

602
Commercial Space Transportation, FAA, DOT § 417.307
operationally feasible and after any (1) Verify that the command control
modification to the system or break in system satisfies all the test require-
the system configuration. The test ments;
must: (2) Describe all command control sys-
(i) Verify the performance of each tem test results and test conditions;
element of the system from the flight (3) Describe any analysis performed
safety system displays and controls to instead of testing;
each command transmitter site; (4) Identify by serial number or other
(ii) Measure all system performance identification each test result that ap-
parameters received and transmitted plies to each system or component;
using measuring equipment that does (5) Describe any test failure or anom-
not physically interface with any ele- aly, including any variation from an
ments of the operational command established performance baseline, each
control system; corrective action taken, and all results
(iii) Verify the performance of each of any additional tests; and
flight safety system display and con- (6) Identify any test failure trends.
trol and remote command transmitter
[Docket No. FAA–2000–7953, 71 FR 50537, Aug.
site combination by repeating all 25, 2006, as amended by Amdt. No. 417–5, 81
measurements for each combination, FR 59439, Aug. 30, 2016]
for all strings and all operational con-
figurations of cross-strapped equip- § 417.307 Support systems.
ment; and
(a) General. (1) A flight safety system
(iv) Verify that all critical command
must include the systems required by
control system performance param-
this section to support the functions of
eters satisfy all their performance
the flight safety system crew, includ-
specifications. These parameters must
ing making a flight termination deci-
include:
sion.
(A) Transmitter power output;
(2) Each support system and each
(B) Center frequency stability; subsystem, component, and part that
(C) Tone deviation; can affect the reliability of the support
(D) Tone frequency; system must have written performance
(E) Message timing; specifications that demonstrate, and
(F) Status of each communication contain the details of, how each satis-
circuit between the flight safety sys- fies the requirements of this section.
tem display and controls and any sup- (3) For each launch, each support sys-
porting command transmitter sites; tem must undergo testing to ensure it
(G) Status agreement between the functions according to its performance
flight safety system display and con- specifications.
trols and each and any supporting com- (b) Launch vehicle tracking. (1) A
mand transmitter sites; flight safety system must include a
(H) Fail-over conditions; launch vehicle tracking system that
(I) Tone balance; and provides launch vehicle position and
(J) Time delay from initiation of a status data to the flight safety crew
command at each flight safety system from the first data loss flight time
control to transmitter output of the until the planned safe flight state for
command signal. the launch.
(d) Test reports. If a Federal launch (2) The tracking system must consist
range oversees the safety of a launch, of at least two sources of launch vehi-
the range’s requirements are con- cle position data. The data sources
sistent with this subpart, and the range must be independent of one another,
provides and tests the command con- and at least one source must be inde-
trol system, a launch operator need pendent of any vehicle guidance sys-
only obtain the range’s verification tem.
that the system satisfies all the test (3) All ground tracking systems and
requirements. For any other case a components must be compatible with
launch operator must prepare or obtain any tracking system components on-
one or more written reports that: board the launch vehicle.

603
§ 417.307 14 CFR Ch. III (1–1–19 Edition)
(4) If a tracking system uses radar as nications network that connects all
one of the independent tracking flight safety functions with all launch
sources, the system must: control centers and any down-range
(i) Include a tracking beacon onboard tracking and command transmitter
the launch vehicle; or sites. The system must provide for re-
(ii) If the system relies on skin track- cording all required data and all voice
ing, it must maintain a tracking mar- communications channels during
gin of no less than 6 dB above noise launch countdown and flight.
throughout the period of flight that (e) Data processing, display, and re-
the radar is used. The flight safety lim- cording. A flight safety system must in-
its must account for the larger track- clude one or more subsystems that
ing errors associated with skin track- process, display, and record flight safe-
ing. ty data to support the flight safety
(5) The tracking system must provide crew’s monitoring of the launch, in-
real-time data to the flight safety data cluding the data that the crew uses to
processing, display, and recording sys- make a flight termination decision.
tem required by paragraph (e) of this The system must:
section. (1) Satisfy § 417.123 for any computing
(6) For each launch, each tracking system, software, or firmware that
source must undergo validation of its must operate properly to ensure the ac-
accuracy. For each stage of flight that curacy of the data;
a launch vehicle guidance system is (2) Receive vehicle status data from
used as a tracking source, a tracking tracking and telemetry, evaluate the
source that is independent of any sys- data for validity, and provide valid
tem used to aid the guidance system data for display and recording;
must validate the guidance system (3) Perform any reformatting of the
data before the data is used in the data as appropriate and forward it to
flight termination decision process. display and recording devices;
(7) The launch vehicle tracking error (4) Display real-time data against
from all sources, including data la- background displays of the nominal
tency and any possible gaps or drop- trajectory and flight safety limits es-
outs in tracking coverage, must be con- tablished in accordance with the flight
sistent with the flight safety limits of safety analysis required by subpart C
§ 417.213 and the flight safety system of this part;
time delay of § 417.221. (5) Display and record raw input and
(8) Any planned gap in tracking cov- processed data at a rate that maintains
erage must not occur at the same time the validity of the data and at no less
as any planned switching of command than 0.1-second intervals;
transmitters. (6) Record the timing of when flight
(c) Telemetry. (1) A flight safety sys- safety system commands are input by
tem must include a telemetry system the flight safety crew; and
that provides the flight safety crew (7) Record all health and status pa-
with accurate flight safety data during rameters of the command control sys-
preflight operations and during flight tem, including the transmitter failover
until the planned safe flight state. parameters, command outputs, check
(2) The onboard telemetry system channel or pilot tone monitor, and sta-
must monitor and transmit the flight tus of communications.
termination system monitoring data of (f) Displays and controls. (1) A flight
section D417.17 and any launch vehicle safety system must include the dis-
tracking data used to satisfy paragraph plays of real-time data and controls
(b) of this section. that the flight safety crew needs to
(3) The telemetry receiving system perform all its functions, such as to
must acquire, store, and provide real- monitor and evaluate launch vehicle
time data to the flight safety data performance, communicate with other
processing, display, and recording sys- flight safety and launch personnel, and
tem required by paragraph (e) of this initiate flight termination.
section. (2) A flight safety system must
(d) Communications network. A flight present all data that the flight safety
safety system must include a commu- crew needs to ensure that all flight

604
Commercial Space Transportation, FAA, DOT § 417.307
commit criteria are satisfied for each (8) All data transmission links be-
launch, such as hazard area surveil- tween any control, transmitter, or an-
lance, any aircraft and ship traffic in- tenna must consist of two or more
formation, meteorological conditions, complete and independent duplex cir-
and the flight termination system cuits. The routing of these circuits
monitoring data of section D417.17. must ensure that they are physically
(3) The real-time displays must in- separated from each other to eliminate
clude all data that the flight safety any potential single failure point in
crew needs to ensure the operational the command control system in accord-
functionality of the flight safety sys- ance with § 417.303(d).
tem, including availability and qual- (9) The system must include hard-
ity, and that all flight termination ware or procedural security provisions
rules are satisfied for each launch, such for controlling access to all controls
as: and other related hardware. These se-
(i) Launch vehicle tracking data, curity provisions must ensure that
such as instantaneous vacuum impact only the flight safety crew can initiate
point, drag corrected debris footprint, a flight safety system transmission.
or present launch vehicle position and (10) The system must include two
velocities as a function of time; independent means for the flight safety
(ii) Vehicle status data from telem- crew to initiate arm and destruct mes-
etry, including yaw, pitch, roll, and sages. The location and functioning of
motor chamber pressure; the controls must provide the crew
(iii) The flight termination system easy access to the controls and prevent
monitoring data of section D417.17; inadvertent activation.
(iv) Background displays of nominal
(11) The system must include a dig-
trajectory, flight safety limits, data
ital countdown for use in implementing
loss flight times, planned safe flight
the flight termination rules of § 417.113
state, and any overflight gate through
that apply data loss flight times and
a flight safety limit all as determined
the planned safe flight state. The sys-
by the flight safety analysis required
tem must also include a manual meth-
by subpart C of this part; and
od of applying the data loss flight
(v) Any video data when required by
times in the event that the digital
the flight safety crew to perform its
countdown malfunctions.
functions, such as video from optical
program and flight line cameras. (g) Support equipment calibration.
(4) The controls must allow the flight Each support system and any equip-
safety crew to turn a command trans- ment used to test flight safety system
mitter on and off, manually switch components must undergo calibration
from primary to backup transmitter to ensure that measurement and moni-
antenna, and switch between each toring devices that support a launch
transmitter site. These functions may provide accurate indications.
be accomplished through controls (h) Destruct initiator simulator. A
available to command transmitter sup- flight safety system must include one
port personnel and communications be- or more destruct initiator simulators
tween those personnel and the flight that simulate each destruct initiator
safety crew. during the flight termination system
(5) Each set of command transmitter preflight tests. Each destruct initiator
system controls must include a means simulator must:
of identifying when it has primary con- (1) Have electrical and operational
trol of the system. characteristics matching those of the
(6) The displays must include a actual destruct initiator;
means of immediately notifying the (2) Monitor the firing circuit output
flight safety system crew of any auto- current, voltage, or energy, and indi-
matic fail-over of the system transmit- cate whether the firing output occurs.
ters. The indication that the output oc-
(7) All flight safety system controls curred must remain after the output is
must be dedicated to the flight safety removed;
system and must not rely on time or (3) Have the ability to remain con-
equipment shared with other systems. nected throughout ground processing

605
§ 417.309 14 CFR Ch. III (1–1–19 Edition)
until the electrical connection of the and operating environments on compo-
actual initiators is accomplished; nent predicted reliability; and
(4) Include a capability that permits (6) Account for the interface between
the issuance of destruct commands by the launch vehicle systems and the
test equipment only if the simulator is flight termination system.
installed and connected to the firing (c) Single failure point. A command
lines; and control system must undergo an anal-
(5) For any low voltage initiator, pro- ysis that demonstrates that the system
vide a stray current monitoring device satisfies the fault tolerance require-
in the firing line. The stray current ments of § 417.303(d). A flight termi-
monitoring device, such as a fuse or nation system must undergo an anal-
automatic recording system, must be ysis that demonstrates that the system
capable of indicating a minimum of satisfies the fault tolerance require-
one-tenth of the maximum no-fire cur- ments of section D417.5(b). Each anal-
rent. ysis must:
(i) Timing. A flight safety system (1) Follow a standard industry meth-
must include a timing system that is odology such as a fault tree analysis or
synchronized to a universal time co- a failure modes effects and criticality
ordinate. The system must: analysis;
(1) Initiate first motion signals; (2) Identify all possible failure modes
(2) Synchronize flight safety system and undesired events, their probability
instrumentation, including countdown of occurrence, and their effects on sys-
clocks; and tem performance;
(3) Identify when, during countdown (3) Identify single point failure
or flight, a data measurement or voice modes;
communication occurs. (4) Identify areas of design where re-
dundancy is required and account for
§ 417.309 Flight safety system analysis. any failure mode where a component
(a) General. (1) Each flight termi- and its backup could fail at the same
nation system and command control time due to a single cause;
system, including each of their compo- (5) Identify functions, including re-
nents, must satisfy the analysis re- dundancy, which are not or cannot be
quirements of this section. tested;
(2) Each analysis must follow an FAA (6) Account for any potential system
approved system safety and reliability failures due to hardware, software, test
analysis methodology. equipment, or procedural or human er-
(b) System reliability. Each flight ter- rors;
mination system and command control (7) Account for any single failure
system must undergo an analysis that point on another system that could dis-
demonstrates the system’s predicted able a command control system or
reliability. Each analysis must: flight termination system, such as any
(1) Account for the probability of a launch vehicle system that could trig-
flight safety system anomaly occurring ger safing of a flight termination sys-
and all of its effects as determined by tem; and
the single failure point analysis and (8) Provide input to the reliability
the sneak circuit analysis required by analysis of paragraph (b) of this sec-
paragraphs (c) and (g) of this section; tion.
(2) Demonstrate that each system (d) Fratricide. A flight termination
satisfies the predicted reliability re- system must undergo an analysis that
quirement of 0.999 at the 95 percent demonstrates that the flight termi-
confidence level; nation of any stage, at any time during
(3) Use a reliability model that is sta- flight, will not sever interconnecting
tistically valid and accurately rep- flight termination system circuitry or
resents the system; ordnance to other stages until flight
(4) Account for the actual or pre- termination on all the other stages has
dicted reliability of all subsystems and been initiated.
components; (e) Bent pin. Each component of a
(5) Account for the effects of storage, flight termination system and com-
transportation, handling, maintenance, mand control system must undergo an

606
Commercial Space Transportation, FAA, DOT § 417.311
analysis that demonstrates that any input to the system reliability analysis
single short circuit occurring as a re- of paragraph (b) of this section.
sult of a bent electrical connection pin (h) Software and firmware. Any com-
will not result in inadvertent system puting system, software, or firmware
activation or inhibiting the proper op- that performs a software safety critical
eration of the system. function must undergo the analysis
(f) Radio frequency link. (1) The flight needed to ensure reliable operation and
safety system must undergo a radio satisfy § 417.123.
frequency link analysis to demonstrate (i) Battery capacity. A flight termi-
that it satisfies the required 12-dB mar- nation system must undergo an anal-
gin for nominal system performance ysis that demonstrates that each flight
and 6-dB margin for worst-case system termination system battery has a total
performance. amp hour capacity of no less than 150%
(2) When demonstrating the 12-dB of the capacity needed during flight
margin, each link analysis must ac- plus the capacity needed for load and
count for the following nominal system activation checks, preflight and launch
performance and attenuation factors: countdown checks, and any potential
(i) Path losses due to plume or flame launch hold time. For a launch vehicle
attenuation; that uses any solid propellant, the
(ii) Vehicle trajectory; analysis must demonstrate that the
battery capacity allows for an addi-
(iii) Ground system and airborne sys-
tional 30-minute hang-fire hold time.
tem radio frequency characteristics;
The battery analysis must also dem-
and
onstrate each flight termination sys-
(iv) The antenna gain value that en-
tem battery’s ability to meet the
sures that the margin is satisfied over 95%
charging temperature and current con-
of the antenna radiation sphere
trol requirements of appendix D of this
surrounding the launch vehicle.
part.
(3) When demonstrating the 6-dB (j) Survivability. A flight termination
margin, each link analysis must ac- system must undergo an analysis that
count for the following worst-case sys- demonstrates that each subsystem and
tem performance and attenuation fac- component, including their location on
tors: the launch vehicle, provides for the
(i) The system performance and at- flight termination system to complete
tenuation factors of paragraph (f)(2) of all its required functions when exposed
this section; to:
(ii) The command transmitter (1) Breakup of the launch vehicle due
failover criteria of § 417.303(g) including to aerodynamic loading effects at high
the lowest output power provided by angle of attack trajectories during
the transmitter system; early stages of flight, including the ef-
(iii) Worst-case power loss due to an- fects of any automatic or inadvertent
tenna pointing inaccuracies; and destruct system;
(iv) Any other attenuation factors. (2) An engine hard-over nozzle in-
(g) Sneak circuit. Each electronic duced tumble during each phase of
component that contains an electronic flight for each stage; or
inhibit that could inhibit the func- (3) Launch vehicle staging, ignition,
tioning, or cause inadvertent func- or any other normal or abnormal event
tioning of a flight termination system that, when it occurs, could damage
or command control system, must un- flight termination system hardware or
dergo a sneak circuit analysis. The inhibit the functionality of any sub-
analysis must demonstrate that there system or component, including any
are no latent paths of an unwanted inadvertent separation destruct sys-
command that could, when all compo- tem.
nents otherwise function properly,
cause the occurrence of an undesired, § 417.311 Flight safety crew roles and
unplanned, or inhibited function that qualifications.
could cause a system anomaly. The (a) A flight safety crew must operate
analysis must determine the prob- the flight safety system hardware. A
ability of an anomaly occurring for flight safety crew must document each

607
§ 417.401 14 CFR Ch. III (1–1–19 Edition)
flight safety crew position description orbital mechanics and be proficient in
and maintain documentation on indi- the calculation and production of range
vidual crew qualifications, including safety displays, impact probabilities,
education, experience, and training as and casualty expectations.
part of the personnel certification pro- (c) Flight safety crew members must
gram required by § 417.105. complete a training and certification
(b) A flight safety crew must be able program to ensure launch site famil-
to demonstrate the knowledge, skills, iarization, launch vehicle familiariza-
and abilities needed to operate the tion, flight safety system functions,
flight safety system hardware in ac- equipment, and procedures related to a
cordance with § 417.113. launch before being called upon to sup-
(1) A flight safety crew must have port that launch. Each flight safety
knowledge of: crew member must complete a pre-
(i) All flight safety system assets and flight readiness training and certifi-
responsibilities, including: cation program. This preflight readi-
(A) Communications systems and ness training and certification program
launch operations procedures; must include:
(B) Both voice and data systems; (1) Mission specific training pro-
(C) Graphical data systems; grams to ensure team readiness.
(D) Tracking; and (2) Launch simulation exercises of
(E) Telemetry real time data; system failure modes, including nomi-
(ii) Flight termination systems; and nal and failure modes, that test crew
(iii) Contingency operations, includ- performance, flight termination cri-
ing hold, recycle and abort procedures. teria, and flight safety data display in-
(2) An individual who monitors vehi- tegrity.
cle performance and performs flight
termination must have knowledge of Subpart E—Ground Safety
and be capable of resolving malfunc-
tions in: § 417.401 Scope.
(i) The application of safety support This subpart contains public safety
systems such as position tracking requirements that apply to launch
sources; processing and post-launch operations
(ii) Digital computers; at a launch site in the United States.
(iii) Displays; Ground safety requirements in this
(iv) Command destruct; subpart apply to activities performed
(v) Communications; by, or on behalf of, a launch operator
(vi) Telemetry; at a launch site in the United States. A
(vii) All electrical functions of a licensed launch site operator must sat-
flight termination system; isfy the requirements of part 420 of this
(viii) The principles of radio fre- chapter.
quency transmission and attenuation;
(ix) The behavior of ballistic and aer- § 417.402 Compliance.
odynamic vehicles in flight under the (a) General. A launch operator’s
influence of aerodynamic forces; and ground safety process must satisfy this
(x) The application of flight termi- subpart.
nation rules. (b) Ground safety analysis conducted
(3) An individual who operates flight for launch at a Federal launch range.
safety support systems must have This provision applies to all sections of
knowledge of and be capable of resolv- this subpart. The FAA will accept a
ing malfunctions in: ground safety process conducted for a
(i) The design and assembly of the launch from a Federal launch range
flight safety support system hardware; without need for further demonstration
(ii) The operation of of compliance to the FAA if:
electromechanical systems; and (1) A launch operator has contracted
(iii) The nature and inherent ten- with a Federal launch range for the
dencies of the flight safety system provision of the ground safety process;
hardware being operated. and
(4) An individual who performs flight (2) The FAA has assessed the Federal
safety analysis must have knowledge of launch range, through its launch site

608
Commercial Space Transportation, FAA, DOT § 417.405
safety assessment, and found that the ations with the launch site operator
Federal launch range’s ground safety and with any agreements that the
process satisfies the requirements of launch site operator has with local au-
this subpart. In this case, the FAA will thorities that form a basis for the
treat the Federal launch range’s proc- launch site operator’s license.
ess as that of a launch operator. (d) Launch operator’s exclusive use of a
(c) Toxic release hazard analysis con- launch site. For a launch conducted
ducted for launch processing at a Federal from a launch site exclusive to its own
launch range. The FAA will accept a use, a launch operator must satisfy the
toxic release hazard analysis conducted requirements of this subpart and of
for launch processing from a Federal part 420 of this chapter, including sub-
launch range provided the toxic release part D of part 420.
analysis satisfies the Federal launch
range’s requirements, and the FAA has § 417.405 Ground safety analysis.
assessed the Federal launch range, (a) A launch operator must perform a
through its launch site safety assess- ground safety analysis for launch vehi-
ment, and found that the applicable cle hardware, ground hardware includ-
Federal launch range safety-related ing launch site and ground support
launch services and property satisfy equipment, launch processing, and
the requirements of this subpart. post-launch operations at a launch site
(d) Demonstration of compliance. For a in the United States. The requirements
licensed launch that does not satisfy of this section apply to the perform-
paragraphs (b) and (c) of this section, a ance of the ground safety analysis and
launch operator must demonstrate to the ground safety analysis products
compliance to the FAA with the re- that a launch operator must file with
quirements of this subpart, and must the FAA as required by § 417.402(d). This
include in its demonstration the anal- analysis must identify each potential
ysis products required by subparts A hazard, each associated cause, and each
and E of this part, and appendices I and hazard control that a launch operator
J of this part. must establish and maintain to keep
(e) Alternate methods. The FAA will each identified hazard from affecting
approve an alternate hazard control the public. A launch operator must in-
method if a launch operator dem- corporate the launch site operator’s
onstrates, in accordance with § 406.3(b), systems and operations involved in en-
that its proposed hazard control meth- suring public safety into the ground
od provides an equivalent level of safe- safety analysis.
ty to that required by this subpart. (b) Technical personnel who are
knowledgeable of launch vehicle sys-
§ 417.403 General. tems, launch processing, ground sys-
(a) Public safety. A launch operator tems, operations, and their associated
must ensure that each hazard control hazards must prepare the ground safety
is in place to protect the public from analysis. These individuals must be
each potential hazard associated with qualified to perform the ground safety
launch processing and post-launch op- analysis through training, education,
erations. and experience.
(b) Ground safety analysis. A launch (c) A launch operator must ensure
operator must perform and document a personnel performing a ground safety
ground safety analysis that satisfies analysis or preparing a ground safety
§ 417.405 and appendix J of this part. analysis report will have the coopera-
(c) Local agreements. A launch oper- tion of the entire launch operator’s or-
ator must coordinate and perform ganization. A launch operator must
launch processing and post-launch op- maintain supporting documentation
erations that satisfy local agreements and it must be available upon request.
to ensure the responsibilities and re- (d) A launch operator must:
quirements in this part and § 420.57 of (1) Begin a ground safety analysis by
this chapter are met. A launch oper- identifying the systems and operations
ator, when using a launch site of a li- to be analyzed;
censed launch site operator, must co- (2) Define the extent of each system
ordinate the launch operator’s oper- and operation being assessed to ensure

609
§ 417.405 14 CFR Ch. III (1–1–19 Edition)
there is no miscommunication as to (i) Blast overpressure and fragmenta-
what the hazards are, and who, in a tion resulting from an explosion;
launch operator’s organization or other (ii) Fire and deflagration, including
organization supporting the launch, hazardous materials such as radio-
controls those hazards; and active material, beryllium, carbon fi-
(3) Ensure that the ground safety bers, and propellants. A launch oper-
analysis accounts for each launch vehi- ator must assume that in the event of
cle system and operation involved in a fire, hazardous smoke from systems
launch processing and post-launch op- containing hazardous materials will
erations, even if only to show that no reach the public;
hazard exists. (iii) Sudden release of a hazardous
(e) A ground safety analysis need not material into the air, water, or ground;
account for potential hazards of a com- and
ponent if a launch operator dem- (iv) Inadvertent ignition of a propul-
onstrates that no hazard to the public sive launch vehicle payload, stage, or
exists at the system level. A ground motor.
safety analysis need not account for an (2) Launch location hazard. A hazard
operation’s individual task or subtask that stays within the confines of the
level if a launch operator demonstrates location under the control of a launch
that no hazard to the public exists at operator but extends beyond individ-
the operation level. A launch operator uals doing the work. The confines may
must provide verifiable controls for be bounded by a wall or a fence line of
hazards that are confined within the a facility or launch complex, or by a
boundaries of a launch operator’s facil- fenced or unfenced boundary of an en-
ity to ensure the public will not have tire industrial complex or multi-user
access to the associated hazard area launch site. A launch location hazard
while the hazard exists. may affect the public depending on
public access controls. Launch location
(f) A launch operator must identify
hazards that may affect the public in-
each potential hazard, including non-
clude the hazards listed in paragraphs
credible hazards. The probability of oc-
(g)(1)(i)–(iv) of this section and addi-
currence is not relevant with respect to
tional hazards in potentially unsafe lo-
identifying a hazard. Where an asser-
cations accessible to the public such
tion is made that no hazard exists for a as:
particular system or operation, the (i) Unguarded electrical circuits or
ground safety analysis must provide machinery;
the rationale. A launch operator must (ii) Oxygen deficient environments;
identify the following hazards of each (iii) Falling objects;
launch vehicle system, launch site and (iv) Potential falls into unguarded
ground support equipment, launch pits or from unguarded elevated work
processing, and post-launch operations: platforms; and
(1) System hazards, including explo- (v) Sources of ionizing and non-ion-
sives and other ordnance, solid and liq- izing radiation such as x-rays, radio
uid propellants, toxic and radioactive transmitters, and lasers.
materials, asphyxiants, cryogens, and (3) Employee hazard. A hazard to indi-
high pressure. System hazards gen- viduals performing a launch operator’s
erally exist even when no operation is work, but not to other people in the
occurring; and area. A launch operator must comply
(2) Operation hazards derived from an with all applicable Federal, state, and
unsafe condition created by a system, local employee safety regulations. A
operating environment, or an unsafe launch operator’s ground safety anal-
act. ysis must identify employee hazards
(g) A launch operator must cat- and demonstrate that there are no as-
egorize identified system and operation sociated public safety issues.
hazards as follows: (4) Non-credible hazard. A hazard for
(1) Public hazard. A hazard that ex- which possible adverse effects on peo-
tends beyond the launch location under ple or property would be negligible and
the control of a launch operator. Pub- where the possibility of adverse effects
lic hazards include the following: on people or property is remote. A

610
Commercial Space Transportation, FAA, DOT § 417.407
launch operator’s ground safety anal- (k) A launch operator must ensure
ysis must identify non-credible hazards the continuing accuracy of its ground
and demonstrate that the hazard is non- safety analysis. The analysis of sys-
credible. tems and operations must not end upon
(h) A ground safety analysis must submission of a ground safety analysis
identify each hazard cause for each report to the FAA during the license
public hazard and launch location haz- application process. A launch operator
ard. The ground safety analysis must must analyze each new or modified sys-
account for conditions, acts, or chain tem or operation for potential hazards
of events that can result in a hazard. that can affect the public. A launch op-
The ground safety analysis must ac- erator must ensure that each existing
count for the possible failure of any system and operation is subject to con-
control or monitoring circuitry within tinual scrutiny and that the informa-
hardware systems that can cause a haz- tion in a ground safety analysis report
ard. is kept current.
(i) A ground safety analysis must
identify the hazard controls to be es- § 417.407 Hazard control implementa-
tablished by a launch operator for each tion.
hazard cause identified in paragraph (a) General. A launch operator must
(h) of this section. A launch operator’s establish and maintain the hazard con-
hazard controls include the use of engi- trols identified by the ground safety
neering controls for the containment of analysis including:
hazards within defined areas and the (1) System hazard controls that sat-
control of public access to those areas. isfy § 417.409;
(j) A launch operator must verify all (2) Safety clear zones for hazardous
information in a ground safety anal- operations that satisfy § 417.411;
ysis, including design margins, fault (3) Hazard areas and controls for al-
tolerance and successful completion of lowing public access that satisfy
tests. A launch operator must: § 417.413;
(1) Trace any identified hardware to (4) Hazard controls after launch or an
an engineering drawing or other docu- attempt to launch that satisfy § 417.415;
ment that describes hardware configu- and
ration; (5) Controls for propellant and explo-
(2) Trace any test or analysis used in sive hazards that satisfy § 417.417.
developing the ground safety analysis (b) Hazard control verification. A
to a report or memorandum that de- launch operator must establish a haz-
scribes how the test or analysis was ard tracking process to ensure that
performed; each identified hazard has a verifiable
(3) Ensure the accuracy of the test or hazard control. Verification status
analysis and the associated results; must remain ‘‘open’’ for an individual
(4) Trace any procedural hazard con- hazard control until the hazard control
trol identified to a written procedure, is verified to exist in a released draw-
and approved by the person designated ing, report, procedure, or similar docu-
under § 417.103(b)(2) or the person’s des- ment.
ignee, with the paragraph or step num- (c) Hazard control configuration con-
ber of the procedure specified; trol. A launch operator must establish
(5) Identify a verifiable hazard con- and maintain a configuration control
trol for each hazard; if a hazard control process for safety critical hardware.
is not verifiable, a launch operator Procedural steps to verify hazard con-
may include it as an informational trols, and their associated documenta-
note on the hazard analysis form; tion, cannot be changed without co-
(6) For each hazard control, reference ordination with the person designated
a released drawing, report, procedure in § 417.103(b)(2).
or other document that verifies the ex- (d) Inspections. When a potential haz-
istence of the hazard control; and ard exists, a launch operator must con-
(7) Maintain records, as required by duct periodic inspections of related
§ 417.15, of the documentation that hardware, software, and facilities. A
verifies the information in the ground launch operator must ensure qualified
safety analysis. and certified personnel, as required by

611
§ 417.409 14 CFR Ch. III (1–1–19 Edition)
§ 417.105, conduct the inspection. A erator must apply toxic plume mod-
launch operator must demonstrate eling techniques that satisfy section
that the time interval between inspec- I417.7 of this part and ensure that noti-
tions is sufficient to ensure satisfac- fications and evacuations are accom-
tion of this subpart. A launch operator plished to protect the public from po-
must ensure safety devices and other tential toxic release.
hazard controls must remain in place
for that hazard, and that safety devices § 417.409 System hazard controls.
and other hazard controls must remain
(a) General. A launch operator must
in working order so that no unsafe con-
establish and maintain hazard controls
ditions exist.
for each system that presents a public
(e) Procedures. A launch operator
must conduct each launch processing hazard as identified by the ground safe-
or post-launch operation involving a ty analysis and satisfy the require-
public hazard or a launch location haz- ments of this section. A launch oper-
ard pursuant to written procedures ator must:
that incorporate the hazard controls (1) Ensure a system be at least single
identified by a launch operator’s fault tolerant to creating a public haz-
ground safety analysis and as required ard unless other hazard control criteria
by this subpart. The person designated are specified for the system by the re-
in § 417.103(b)(2) must approve the pro- quirements of this part. A system capa-
cedures. A launch operator must main- ble of creating a catastrophic public
tain an ‘‘as-run’’ copy of each proce- hazard must be at least dual fault tol-
dure. The ‘‘as-run’’ procedure copy erant. Dual fault tolerant system haz-
must include changes, start and stop ard controls include: Switches, valves,
dates, and times that each procedure or similar components that prevent an
was performed and observations made unwanted transfer or release of energy
during the operations. or hazardous materials;
(f) Hazardous materials. A launch op- (2) Ensure each hazard control used
erator must establish procedures for to provide fault tolerance is inde-
the receipt, storage, handling, use, and pendent from other hazard controls so
disposal of hazardous materials, includ- that no single action or event can re-
ing toxic substances and sources of ion- move more than one inhibit. A launch
izing radiation. A launch operator operator must prevent inadvertent ac-
must establish procedures for respond- tivation of hazard control devices such
ing to hazardous material emergencies as switches and valves;
and protecting the public that complies (3) Provide at least two fully redun-
with the accident investigation plan as dant safety devices if a safety device
defined in § 417.111(h)(2). These proce- must function in order to control a
dures must include: public hazard. A single action or event
(1) Identification of each hazard and
must not be capable of disabling both
its effects;
safety devices; and
(2) Actions to be taken in response to
release of a hazardous material; (4) Ensure computing systems and
(3) Identification of protective gear software used to control a public haz-
and other safety equipment that must ard satisfy the requirements of
be available in order to respond to a re- § 417.123.
lease; (b) Structures and material handling
(4) Evacuation and rescue procedures; equipment. A launch operator must en-
(5) Chain of command; and sure safety factors applied in the de-
(6) Communication both on-site and sign of a structure or material han-
off-site to surrounding communities dling equipment account for static and
and local authorities. dynamic loads, environmental stresses,
(g) Toxic release hazard notifications expected wear, and duty cycles. A
and evacuations. A launch operator launch operator must:
must perform a toxic release hazard (1) Inspect structures and material
analysis for launch processing per- handling equipment to verify work-
formed at the launch site that satisfies manship, proper operations, and main-
section I417.7 of this part. A launch op- tenance;

612
Commercial Space Transportation, FAA, DOT § 417.409
(2) Prepare plans to ensure proper op- lowing hazard controls to electrical or
erations and maintenance of structures mechanical systems that can release
and material handling equipment; electrical or mechanical energy during
(3) Assess structures and material launch processing:
handling equipment for potential sin- (1) A launch operator must ensure
gle point failure; electrical and mechanical systems, in-
(4) Eliminate single point failures cluding systems that generate ionizing
from structures and material handling or non-ionizing radiation, are single
equipment or subject the structures fault tolerant to providing or releasing
and material handling equipment to electrical or mechanical energy;
specific inspection and testing to en- (2) In areas where flammable mate-
sure proper operation. Single point rial exists, a launch operator must en-
failure welds must undergo both sur- sure electrical systems and equipment
face and volumetric non-destructive in- are hermetically sealed, explosion
spection to verify that no rejectable proof, intrinsically safe, purged, or oth-
discontinuities exist; erwise designed so as not to provide an
(5) Establish other non-destructive ignition source. A launch operator
inspection techniques if a volumetric must assess each electrical system as a
inspection cannot be performed. A possible source of thermal energy and
launch operator, in such a case, must ensure that the electrical system can
demonstrate through the licensing not act as an ignition source; and
process that the inspection processes (3) A launch operator must prevent
used accurately verify the absence of unintentionally conducted or radiated
rejectable discontinuities; and energy due to possible bent pins in a
(6) Ensure qualified and certified per- connector, a mismated connector,
sonnel, as defined in § 417.105, conduct shorted wires, or unshielded wires
the inspections. within electrical power and signal cir-
(c) Pressure vessels and pressurized sys- cuits that interface with hazardous
tems. A launch operator must apply the subsystems.
following hazard controls to a pressur- (e) Propulsion systems. A propulsion
ized flight or ground pressure vessel, system must be dual fault tolerant to
component, or systems: inadvertently becoming propulsive.
(1) Qualified and certified personnel, Propulsion systems must be single
as defined in § 417.105, must test each fault tolerant to inadvertent mixing of
pressure vessel, component, or system fuel and oxidizer. Each material in a
upon installation and before being propulsion system must be compatible
placed into service, and periodically in- with other materials that may contact
spect to ensure that no rejectable dis- the propulsion system during launch
continuities exists; processing including materials used to
(2) Safety factors applied in the de- assemble and clean the system. A
sign of a pressure vessel, component, or launch operator must use engineering
system must account for static and dy- controls, including procedures, to pre-
namic loads, environmental stresses, vent connecting incompatible systems.
and expected wear; A launch operator must comply with
(3) Pressurized system flow-paths, ex- § 417.417 for hazard controls applicable
cept for pressure relief and emergency to propellants and explosives.
venting, must be single fault tolerant (f) Ordnance systems. An ordnance
to causing pressure ruptures and mate- system must be at least single fault
rial releases during launch processing; tolerant to prevent a hazard caused by
and inadvertent actuation of the ordnance
(4) Provide pressure relief and emer- system. A launch operator must com-
gency venting capability to protect ply with § 417.417 for hazard controls ap-
against pressure ruptures. Pressure re- plicable to ordnance. In addition, an
lief devices must provide the flow rate ordnance system must satisfy the fol-
necessary to prevent a rupture in the lowing requirements;
event a pressure vessel is exposed to (1) A launch operator must ensure
fire. ordnance electrical connections are
(d) Electrical and mechanical systems. disconnected until final preparations
A launch operator must apply the fol- for flight;

613
§ 417.411 14 CFR Ch. III (1–1–19 Edition)
(2) An ordnance system must provide safety in the event toxic releases reach
for safing and arming of the ordnance. beyond the safety clear zone; and
An electrically initiated ordnance sys- (iii) For a material handling oper-
tem must include ordnance initiation ation, base a safety clear zone on a
devices and arming devices, also re- worst case event for that operation.
ferred to as safe and arm devices, that (2) A launch operator must establish
provide a removable and replaceable a safety clear zone when the launch ve-
mechanical barrier or other positive hicle is in a launch command configu-
means of interrupting power to each ration with the flight safety systems
ordnance firing circuit to prevent inad- fully operational and on internal
vertent initiation of ordnance. A me- power.
chanical safe and arm device must (b) A launch operator must establish
have a safing pin that locks the me- restrictions that prohibit public access
chanical barrier in a safe position. A to a safety clear zone during a haz-
mechanical actuated ordnance device ardous operation. A safety clear zone
must also have a safing pin that pre- may extend to areas beyond the launch
vents mechanical movement within the location boundaries if local agreements
device. A launch operator must comply provide for restricting public access to
with section D417.13 of this part for such areas and a launch operator
specific safing and arming require- verifies that the safety clear zone is
ments for a flight termination system; clear of the public during the haz-
(3) Protect ordnance systems from ardous operation.
stray energy through grounding, bond- (c) A launch operator’s procedures
ing, and shielding; and must verify that the public is outside
of a safety clear zone prior to a launch
(4) Current limit any monitoring or
operator beginning a hazardous oper-
test circuitry that interfaces with an
ation.
ordnance system to protect against in-
(d) A launch operator must control a
advertent initiation of ordnance.
safety clear zone to ensure no public
Equipment used to measure bridgewire
access during the hazardous operation.
resistance on electro-explosive devices
Safety clear zone controls include:
must be special purpose ordnance sys-
(1) Use of security guards and equip-
tem instrumentation with features
ment;
that limit current.
(2) Physical barriers; and
(3) Warning signs, and other types of
§ 417.411 Safety clear zones for haz-
ardous operations. warning devices.
(a) A launch operator must define a § 417.413 Hazard areas.
safety clear zone that confines the ad- (a) General. A launch operator must
verse effects of each operation involv- define a hazard area that confines the
ing a public hazard or launch location adverse effects of a hardware system
hazard. A launch operator’s safety should an event occur that presents a
clear zones must satisfy the following: public hazard or launch location haz-
(1) A launch operator must establish ard. A launch operator must prohibit
a safety clear zone that accounts for public access to the hazard area when-
the potential blast, fragment, fire or ever a hazard is present unless the re-
heat, toxic and other hazardous energy quirements for public access of para-
or material potential of the associated graph (b) of this section are met.
systems and operations. A launch oper- (b) Public access. A launch operator
ator must base a safety clear zone on must establish a process for author-
the following criteria: izing public access if visitors or mem-
(i) For a possible explosive event, bers of the public must have access to
base a safety clear zone on the worst a launch operator’s facility or launch
case event, regardless of the fault tol- location. The process must ensure that
erance of the system; each member of the public is briefed on
(ii) For a possible toxic event, base a the hazards within the facility and re-
safety clear zone on the worst case lated safety warnings, procedures, and
event. A launch operator must have rules that provide protection, or a
procedures in place to maintain public launch operator must ensure that each

614
Commercial Space Transportation, FAA, DOT § 417.415
member of the public is accompanied tive when the public has access to the
by a knowledgeable escort. associated hazard area.
(c) Hazard controls during public ac- (6) Guard physical hazards to prevent
cess. A launch operator must establish potential physical injury to visiting
procedural controls that prevent haz- members of the public. Physical haz-
ardous operations from taking place ards include the following:
while members of the public have ac- (i) Potential falling objects;
cess to the launch location and must (ii) Falls from an elevated height;
verify that system hazard controls are and
in place that prevent initiation of a (iii) Protection from potentially haz-
hazardous event. Hazard controls and ardous vents, such as pressure relief
procedures that prevent initiation of a discharge vents.
hazardous event include the following: (7) Maintain and verify that safety
(1) Use of lockout devices or other re- devices or safety critical systems are
straints on system actuation switches operating properly prior to permitting
or other controls to eliminate the pos- public access.
sibility of inadvertent actuation of a
hazardous system. § 417.415 Post-launch and post-flight-
(2) Disconnect ordnance systems attempt hazard controls.
from power sources, incorporate the (a) A launch operator must establish,
use of safing plugs, or have safety de- maintain and perform procedures for
vices in place that prevent inadvertent controlling hazards and returning the
initiation. Activity involving the con- launch facility to a safe condition after
trol circuitry of electrically activated a successful launch. Procedural hazard
safety devices must not be ongoing controls must include:
while the public has access to the haz- (1) Provisions for extinguishing fires;
ard area. Install safing pins on safe and (2) Re-establishing full operational
arm devices and mechanically actuated capability of safety devices, barriers,
devices. Disconnect explosive transfer and platforms; and
lines, not protected by a safe and arm (3) Access control.
device or a mechanically actuated de- (b) A launch operator must establish
vice or equivalent. procedures for controlling hazards as-
(3) When systems or tanks are loaded sociated with a failed flight attempt
with hypergols or other toxic mate- where a solid or liquid launch vehicle
rials, close the system or tank and engine start command was sent, but
verify it is leak-tight with two the launch vehicle did not liftoff. These
verifiable closures, such as a valve and procedures must include the following:
a cap, to every external flow path or (1) Maintaining and verifying that
fitting. Such a system must also be in each flight termination system re-
a steady-state condition. mains operational until verification
(4) Keep each pressurized system that the launch vehicle does not rep-
below its maximum allowable working resent a risk of inadvertent liftoff. If
pressure and do not allow it to be in a an ignition signal has been sent to a
dynamic state. Activity involving the solid rocket motor, the flight termi-
control circuitry of electrically acti- nation system must remain armed and
vated pressure system valves must not active for a period of no less than 30
be ongoing while the public has access minutes. During this time, flight ter-
to the associated hazard area. Launch mination system batteries must main-
vehicle systems must not be pressur- tain sufficient voltage and current ca-
ized to more than 25% of the system’s pacity for flight termination system
design burst pressure, when the public operation. The flight termination sys-
has access to the associated hazard tem receivers must remain captured by
area. the command control system transmit-
(5) Do not allow sources of ionizing or ter’s carrier signal;
non-ionizing radiation, such as, x-rays, (2) Assuring that the vehicle is in a
nuclear power sources, high-energy safe configuration, including its pro-
radio transmitters, radar, and lasers to pulsion and ordnance systems. The
be present or verify they are to be inac- flight safety system crew must have

615
§ 417.417 14 CFR Ch. III (1–1–19 Edition)
access to the vehicle status. Re-estab- These controls must include the fol-
lish safety devices and bring each pres- lowing:
surized system down to safe pressure (1) Protect ordnance systems from
levels; and stray energy through methods of bond-
(3) Prohibiting launch complex entry ing, grounding, and shielding, and con-
until the launch pad area safing proce- trolling radio frequency radiation
dures are complete. sources in a radio frequency radiation
(c) A launch operator must establish exclusion area. A launch operator must
procedural controls for hazards associ- determine the vulnerability of its
ated with an unsuccessful flight where electro-explosive devices and systems
the launch vehicle has a land or water to radio frequency radiation and estab-
impact. These procedures must include lish radio frequency radiation power
the following provisions: limits or radio frequency radiation ex-
(1) Evacuation and rescue of members clusion areas as required by the launch
of the public, to include modeling the site operator or to ensure safety.
dispersion and movement of toxic
(2) Keep ordnance safety devices, as
plumes, identification of areas at risk,
required by § 417.409, in place until the
and communication with local govern-
ment authorities; launch complex is cleared as part of
(2) Extinguishing fires; the final launch countdown. No mem-
bers of the public may re-enter the
(3) Securing impact areas to ensure
that personnel and the public are evac- complex until each safety device is re-
uated, and ensure that no unauthorized established.
personnel or members of the public (3) Do not allow heat and spark or
enter, and to preserve evidence; and flame producing devices in an explosive
(4) Ensuring public safety from haz- or propellant facility without written
ardous debris, such as plans for recov- approval and oversight from a launch
ery and salvage of launch vehicle de- operator’s safety organization.
bris and safe disposal of hazardous ma- (4) Do not allow static producing ma-
terials. terials in close proximity to solid or
liquid propellants, electro-explosive de-
§ 417.417 Propellants and explosives. vices, or systems containing flammable
(a) A launch operator must comply liquids.
with the explosive safety criteria in (5) Use fire safety measures includ-
part 420 of this chapter. ing:
(b) A launch operator must ensure (i) Elimination or reduction of flam-
that: mable and combustible materials;
(1) The explosive site plan satisfies (ii) Elimination or reduction of igni-
part 420 of this chapter; tion sources;
(2) Only those explosive facilities and (iii) Fire and smoke detection sys-
launch points addressed in the explo- tems;
sive site plan are used and only for (iv) Safe means of egress; and
their intended purpose; and (v) Timely fire suppression response.
(3) The total net explosive weight for (6) Include lightning protection on
each explosive hazard facility and each facility used to store or process
launch point must not exceed the max- explosives to prevent inadvertent initi-
imum net explosive weight limit indi-
ation of propellants and explosives due
cated on the explosive site plan for
to lightning unless the facility com-
each location.
plies with the lightning protection cri-
(c) A launch operator must establish,
teria of § 420.71 of this part.
maintain, and perform procedures that
ensure public safety for the receipt, (e) A launch operator, in the event of
storage, handling, inspection, test, and an emergency, must perform the acci-
disposal of explosives. dent investigation plan as defined in
(d) A launch operator must establish § 417.111(h).
and maintain each procedural system
control to prevent inadvertent initi-
ation of propellants and explosives.

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Commercial Space Transportation, FAA, DOT Pt. 417, App. A
APPENDIX A TO PART 417—FLIGHT SAFE- are as severe or more severe than the winds
TY ANALYSIS METHODOLOGIES AND for the month that the launch will take
PRODUCTS FOR A LAUNCH VEHICLE place.
(2) A composite wind profile used for the
FLOWN WITH A FLIGHT SAFETY SYS-
trajectory analysis must have a cumulative
TEM
percentile frequency that represents wind
A417.1 SCOPE conditions that are at least as severe as the
worst wind conditions under which flight
The requirements of this appendix apply to would be attempted for purposes of achieving
the methods for performing the flight safety the launch operator’s mission. These worst
analysis required by § 417.107(f) and subpart C wind conditions must account for the launch
of this part. The methodologies contained in vehicle’s ability to operate normally in the
this appendix provide an acceptable means of presence of wind and accommodate any
satisfying the requirements of subpart C and flight safety limit constraints.
provide a standard and a measure of fidelity (c) Nominal trajectory. A trajectory analysis
against which the FAA will measure any must produce a nominal trajectory that de-
proposed alternative analysis approach. This scribes a launch vehicle’s flight path, posi-
appendix also identifies the analysis prod- tion and velocity, where all vehicle aero-
ucts that a launch operator must file with dynamic parameters are as expected, all ve-
the FAA as required by § 417.203(e). hicle internal and external systems perform
A417.3 APPLICABILITY exactly as planned, and no external per-
turbing influences other than atmospheric
The requirements of this appendix apply to drag and gravity affect the launch vehicle.
a launch operator and the launch operator’s (d) Dispersed trajectories. A trajectory anal-
flight safety analysis unless the launch oper- ysis must produce the following dispersed
ator clearly and convincingly demonstrates trajectories and describe the distribution of
that an alternative approach provides an a launch vehicle’s position and velocity as a
equivalent level of safety. If a Federal function of winds and performance error pa-
launch range performs the launch operator’s rameters in the uprange, downrange, left-
analysis, § 417.203(d) applies. Section A417.33 crossrange and right-crossrange directions.
applies to the flight of any unguided sub- (1) Three-sigma maximum and minimum per-
orbital launch vehicle that uses a wind- formance trajectories. A trajectory analysis
weighting safety system. All other sections must produce a three-sigma maximum per-
of this appendix apply to the flight of any formance trajectory that provides the max-
launch vehicle required to use a flight safety imum downrange distance of the instanta-
system as required by § 417.107(a). For any al- neous impact point for any given time after
ternative flight safety system approved by lift-off. A trajectory analysis must produce a
the FAA as required by § 417.301(b), the FAA three-sigma minimum performance trajec-
will determine the applicability of this ap- tory that provides the minimum downrange
pendix during the licensing process. distance of the instantaneous impact point
for any given time after lift-off. For any
A417.5 GENERAL
time after lift-off, the instantaneous impact
A launch operator’s flight safety analysis point dispersion of a normally performing
must satisfy the requirements for public risk launch vehicle must lie between the ex-
management and the requirements for the tremes achieved at that time after lift-off by
compatibility of the input and output of de- the three-sigma maximum and three-sigma
pendent analyses of § 417.205. minimum performance trajectories. The
three-sigma maximum and minimum per-
A417.7 TRAJECTORY formance trajectories must account for wind
(a) General. A flight safety analysis must and performance error parameter distribu-
include a trajectory analysis that satisfies tions as follows:
the requirements of § 417.207. This section ap- (i) For each three-sigma maximum and
plies to the computation of each of the tra- minimum performance trajectory, the anal-
jectories required by § 417.207 and to each tra- ysis must use composite head wind and com-
jectory analysis product that a launch oper- posite tail wind profiles that represent the
ator must file with the FAA as required by worst wind conditions under which a launch
§ 417.203(e). would be attempted as required by paragraph
(b) Wind standards. A trajectory analysis (b) of this section.
must incorporate wind data in accordance (ii) Each three-sigma maximum and min-
with the following: imum performance trajectory must account
(1) For each launch, a trajectory analysis for all launch vehicle performance error pa-
must produce ’’with-wind’’ launch vehicle rameters identified as required by paragraph
trajectories pursuant to paragraph (f)(6) of (f)(1) of this section that have an effect upon
this section and do so using composite wind instantaneous impact point range.
profiles for the month that the launch will (2) Three-sigma left and right lateral trajec-
take place or composite wind profiles that tories. A trajectory analysis must produce a

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Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)
three-sigma left lateral trajectory that pro- persion of the launch vehicle’s instantaneous
vides the maximum left crossrange distance impact point.
of the instantaneous impact point for any (1) A trajectory analysis must identify all
time after lift-off. A trajectory analysis launch vehicle performance error parameters
must produce a three-sigma right lateral tra- and each parameter’s distribution to account
jectory that provides the maximum right for all launch vehicle performance variations
crossrange distance of the instantaneous im- and any external forces that can cause off-
pact point for any time after lift-off. For any sets from the nominal trajectory during nor-
time after lift-off, the instantaneous impact mal flight. A trajectory analysis must ac-
point dispersion of a normally performing count for, but need not be limited to, the fol-
launch vehicle must lie between the ex- lowing performance error parameters:
tremes achieved at that time after liftoff by (i) Thrust;
the three-sigma left lateral and three-sigma (ii) Thrust misalignment;
right lateral performance trajectories. The (iii) Specific impulse;
three-sigma lateral performance trajectories (iv) Weight;
must account for wind and performance (v) Variation in firing times of the stages;
error parameter distributions as follows: (vi) Fuel flow rates;
(i) In producing each left and right lateral (vii) Contributions from the guidance,
trajectory, the analysis must use composite navigation, and control systems;
left and composite right lateral-wind profiles (ix) Steering misalignment; and
(x) Winds.
that represent the worst wind conditions
(2) Each three-sigma trajectory must ac-
under which a launch would be attempted as
count for the effects of wind from liftoff
required by paragraph (b) of this section.
through the point in flight where the launch
(ii) The three-sigma left and right lateral vehicle attains an altitude where wind no
trajectories must account for all launch ve- longer affects the launch vehicle.
hicle performance error parameters identi- (g) Trajectory analysis products. The prod-
fied as required by paragraph (f)(1) of this ucts of a trajectory analysis that a launch
section that have an effect on the lateral de- operator must file with the FAA include the
viation of the instantaneous impact point. following:
(3) Fuel-exhaustion trajectory. A trajectory (1) Assumptions and procedures. A descrip-
analysis must produce a fuel-exhaustion tra- tion of all assumptions, procedures and mod-
jectory for the launch of any launch vehicle els, including the six-degrees-of-freedom
with a final suborbital stage that will termi- model, used in deriving each trajectory.
nate thrust nominally without burning to (2) Three-sigma launch vehicle performance
fuel exhaustion. The analysis must produce error parameters. A description of each three-
the trajectory that would occur if the sigma performance error parameter ac-
planned thrust termination of the final sub- counted for by the trajectory analysis and a
orbital stage did not occur. The analysis description of each parameter’s distribution
must produce a fuel-exhaustion trajectory determined as required by paragraph (f)(1) of
that extends either the nominal trajectory this section.
taken through fuel exhaustion of the last (3) Wind profile. A graph and tabular listing
suborbital stage or the three-sigma max- of each wind profile used in performing the
imum trajectory taken through fuel exhaus- trajectory analysis as required by paragraph
tion of the last suborbital stage, whichever (b)(1) of this section and the worst case
produces an instantaneous impact point with winds required by paragraph (b)(2) of this
the greatest range for any time after liftoff. section. The graph and tabular wind data
(e) Straight-up trajectory. A trajectory anal- must provide wind magnitude and direction
ysis must produce a straight-up trajectory as a function of altitude for the air space re-
that begins at the planned time of ignition, gions from the Earth’s surface to 100,000 feet
and that simulates a malfunction that in altitude for the area intersected by the
causes the launch vehicle to fly in a vertical launch vehicle trajectory. Altitude intervals
or near vertical direction above the launch must not exceed 5000 feet.
point. A straight-up trajectory must last no (4) Launch azimuth. The azimuthal direc-
less than the sum of the straight-up time de- tion of the trajectory’s ’’X-axis’’ at liftoff
termined as required by section A417.15 plus measured clockwise in degrees from true
the duration of a potential malfunction turn north.
determined as required by section (5) Launch point. Identification and loca-
A417.9(b)(2). tion of the proposed launch point, including
(f) Analysis process and computations. A tra- its name, geodetic latitude, geodetic lon-
jectory analysis must produce each three- gitude, and geodetic height.
sigma trajectory required by this appendix (6) Reference ellipsoid. The name of the ref-
using a six-degree-of-freedom trajectory erence ellipsoid used by the trajectory anal-
model and an analysis method, such as root ysis to approximate the average curvature of
sum-square or Monte Carlo, that accounts the Earth and the following information
for all individual launch vehicle performance about the model:
error parameters that contribute to the dis- (i) Length of semi-major axis;

618
Commercial Space Transportation, FAA, DOT Pt. 417, App. A
(ii) Length of semi-minor axis; the vehicle’s body. The launch operator must
(iii) Flattening parameter; indicate the positive direction of the yaw
(iv) Eccentricity; axis chosen. The analysis products must
(v) Gravitational parameter; present the direction cosines using the EFG
(vi) Angular velocity of the Earth at the reference system described in paragraph
equator; and (g)(7)(iv) of this section.
(vii) If the reference ellipsoid is not a (iii) X, Y, Z, XD, YD, ZD trajectory coordi-
WGS–84 ellipsoidal Earth model, the equa- nates. A launch operator must provide the
tions that convert the filed ellipsoid infor- launch vehicle position coordinates (X, Y, Z)
mation to the WGS–84 ellipsoid. and velocity magnitudes (XD, YD, ZD) ref-
(7) Temporal trajectory items. A launch oper- erenced to an orthogonal, Earth-fixed, right-
ator must provide the following temporal handed coordinate system. The XY plane
trajectory data for time intervals not in ex- must be tangent to the ellipsoidal Earth at
cess of one second and for the discrete time the origin, which must coincide with the
points that correspond to each jettison, igni- launch point. The positive X-axis must coin-
tion, burnout, and thrust termination of cide with the launch azimuth. The positive
each stage. If any stage burn time lasts less Z-axis must be directed away from the ellip-
than four seconds, the time intervals must soidal Earth. The Y-axis must be positive to
not exceed 0.2 seconds. The launch operator the left looking downrange.
must provide the temporal trajectory data (iv) E, F, G, ED, FD, GD trajectory coordi-
from launch up to a point in flight when ef- nates. A launch operator must provide the
fective thrust of the final stage terminates, launch vehicle position coordinates (E, F, G)
or to thrust termination of the stage or burn and velocity magnitudes (ED, FD, GD) ref-
that places the vehicle in orbit. For an erenced to an orthogonal, Earth fixed, Earth
unguided sub-orbital launch vehicle flown centered, right-handed coordinate system.
with a flight safety system, the launch oper- The origin of the EFG system must be at the
ator must provide these data for each nomi- center of the reference ellipsoid. The E and F
nal quadrant launcher elevation angle and axes must lie in the plane of the equator and
payload weight. The launch operator must the G-axis coincides with the rotational axis
provide these data on paper in text format of the Earth. The E-axis must be positive
and electronically in ASCII text, space de- through 0East longitude (Greenwich Merid-
limited format. The launch operator must ian), the F-axis positive through 90’ East lon-
provide an electronic ‘‘read-me’’ file that gitude, and the G-axis positive through the
identifies the data and their units of meas- North Pole. This system must be non-iner-
ure in the individual disk files. tial and rotate with the Earth.
(i) Trajectory time-after-liftoff. A launch op- (v) Resultant Earth-fixed velocity. A launch
erator must provide trajectory time-after operator must provide the square root of the
liftoff measured from first motion of the sum of the squares of the XD, YD, and ZD
first thrusting stage of the launch vehicle. components of the trajectory state vector.
The tabulated data must identify the first (vi) Path angle of velocity vector. A launch
motion time as T–0 and as the ‘‘0.0’’ time operator must provide the angle between the
point on the trajectory. local horizontal plane and the velocity vec-
(ii) Launch vehicle direction cosines. A tor measured positive upward from the local
launch operator must provide the direction horizontal. The local horizontal must be a
cosines of the roll axis, pitch axis, and yaw plane tangent to the ellipsoidal Earth at the
axis of the launch vehicle. The roll axis is a sub-vehicle point.
line identical to the launch vehicle’s longitu- (vii) Sub-vehicle point. A launch operator
dinal axis with its origin at the nominal cen- must provide sub-vehicle point coordinates
ter of gravity positive towards the vehicle that include present position geodetic lati-
nose. The roll plane is normal to the roll axis tude and present position longitude. These
at the vehicle’s nominal center of gravity. coordinates must be at each trajectory time
The yaw axis and the pitch axis are any two on the surface of the ellipsoidal Earth model
orthogonal axes lying in the roll plane. The and located at the intersection of the line
launch operator must provide roll, pitch and normal to the ellipsoid and passing through
yaw axes of right-handed systems so that, the launch vehicle center of gravity.
when looking along the roll axis toward the (viii) Altitude. A launch operator must pro-
nose, a clockwise rotation around the roll vide the distance from the sub-vehicle point
axis will send the pitch axis toward the yaw to the launch vehicle’s center of gravity.
axis. The right-handed system must be ori- (ix) Present position arc-range. A launch op-
ented so that the yaw axis is positive in the erator must provide the distance measured
downrange direction while in the vertical po- along the surface of the reference ellipsoid,
sition (roll axis upward from surface) or posi- from the launch point to the sub-vehicle
tive at an angle of 180 degrees to the point.
downrange direction. The axis may be re- (x) Total weight. A launch operator must
lated to the vehicle’s normal orientation provide the sum of the inert and propellant
with respect to the vehicle’s trajectory but, weights for each time point on the trajec-
once defined, remain fixed with respect to tory.

619
Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)
(xi) Total vacuum thrust. A launch operator (5) A malfunction turn analysis must
must provide the total vacuum thrust for produce malfunction turn data for time in-
each time point on the trajectory. tervals of no less than one second over the
(xii) Instantaneous impact point data. A duration of each malfunction turn.
launch operator must provide instantaneous (6) The analysis must assume that the
impact point geodetic latitude, instanta- launch vehicle performance is nominal up to
neous impact point longitude, instantaneous the point of the malfunction that produces
impact point arc-range, and time to instan- the turn.
taneous impact. The instantaneous impact (7) A malfunction turn analysis must not
point arc-range must consist of the distance, account for the effects of gravity.
measured along the surface of the reference (8) A malfunction turn analysis must en-
ellipsoid, from the launch point to the in- sure the tumble turn envelope curve main-
stantaneous impact point. For each point on tains a positive slope throughout the mal-
the trajectory, the time to instantaneous function turn duration as illustrated in fig-
impact must consist of the vacuum flight ure A417.9–1. When calculating a tumble turn
time remaining until impact if all thrust for an aerodynamically unstable launch ve-
were terminated at the time point on the hicle, in the high aerodynamic region it
trajectory. often turns out that no matter how small the
(xiii) Normal trajectory distribution. A initial deflection of the rocket engine, the
launch operator must provide a description airframe tumbles through 180 degrees, or
of the distribution of the dispersed trajec- one-half cycle, in less time than the required
tories required under paragraph (d) of this turn duration period. In such a case, the
section, such as the elements of covariance analysis must use a 90-degree turn as the
matrices for the launch vehicle position co- malfunction turn.
ordinates and velocity component mag- (c) Failure modes. A malfunction turn anal-
nitudes. ysis must account for the significant failure
modes that result in a thrust vector offset
A417.9 MALFUNCTION TURN from the nominal state. If a malfunction
turn at a malfunction start time can occur
(a) General. A flight safety analysis must as a function of more than one failure mode,
include a malfunction turn analysis that sat- the analysis must account for the failure
isfies the requirements of § 417.209. This sec- mode that causes the most rapid and largest
tion applies to the computation of the mal- launch vehicle instantaneous impact point
function turns and the production of turn deviation.
data required by § 417.209 and to the malfunc- (d) Type of malfunction turn. A malfunction
tion turn analysis products that a launch op- turn analysis must establish the maximum
erator must file with the FAA as required by turning capability of a launch vehicle’s ve-
§ 417.203(e). locity vector during each malfunction turn
(b) Malfunction turn analysis constraints. by accounting for a 90-degree turn to esti-
The following constraints apply to a mal- mate the vehicle’s turning capability or by
function turn analysis: accounting for trim turns and tumble turns
(1) The analysis must produce malfunction in both the pitch and yaw planes to establish
turns that start at a given malfunction start the vehicle’s turning capability. When estab-
time. The turn must last no less than 12 sec- lishing the turning capability of a launch ve-
onds. These duration limits apply regardless hicle’s velocity vector, the analysis must ac-
of whether or not the vehicle would breakup count for each turn as follows:
or tumble before the prescribed duration of (1) 90-degree turn. A 90-degree turn must
the turn. constitute a turn produced at the malfunc-
(2) A malfunction turn analysis must ac- tion start time by instantaneously re-direct-
count for the thrusting periods of flight ing and maintaining the vehicle’s thrust at
along a nominal trajectory beginning at first 90 degrees to the velocity vector, without re-
motion until thrust termination of the final gard for how this situation can be brought
thrusting stage or until the launch vehicle about.
achieves orbit, whichever occurs first. (2) Pitch turn. A pitch turn must constitute
(3) A malfunction turn must consist of a the angle turned by the launch vehicle’s
90-degree turn or a turn in both the pitch and total velocity vector in the pitch-plane. The
yaw planes that would produce the largest velocity vector’s pitch-plane must be the two
deviation from the nominal instantaneous dimensional surface that includes the launch
impact point of which the launch vehicle is vehicle’s yaw-axis and the launch vehicle’s
capable at any time during the malfunction roll-axis.
turn as required by paragraph (d) of this sec- (3) Yaw turn. A yaw turn must constitute
tion. the angle turned by the launch vehicle’s
(4) The first malfunction turn must start total velocity vector in the lateral plane.
at liftoff. The analysis must account for sub- The velocity vector’s lateral plane must be
sequent malfunction turns initiated at reg- the two dimensional surface that includes
ular nominal trajectory time intervals not the launch vehicle’s pitch axis and the
to exceed four seconds. launch vehicle’s total velocity.

620
Commercial Space Transportation, FAA, DOT Pt. 417, App. A
(4) Trim turn. A trim turn must constitute graph (d)(7)(ii) of this section for launch ve-
a turn where a launch vehicle’s thrust mo- hicles aerodynamically unstable at all an-
ment balances the aerodynamic moment gles of attack. If both large and small con-
while a constant rotation rate is imparted to stant engine deflections result in tumbling,
the launch vehicle’s longitudinal axis. The regardless of how small the deflection might
analysis must account for a maximum-rate be, the analysis must account for the mal-
trim turn made at or near the greatest angle function turn capabilities achieved at the
of attack that can be maintained while the stability angle of attack, assuming no upset-
aerodynamic moment is balanced by the ting thrust moment, and must account for
thrust moment, whether the vehicle is stable the turns achieved by a tumbling vehicle.
or unstable. (e) Malfunction turn analysis products. The
(5) Tumble turn. A tumble turn must con- products of a malfunction turn analysis that
stitute a turn that results if the launch vehi- a launch operator must file with the FAA in-
cle’s airframe rotates in an uncontrolled clude:
fashion, at an angular rate that is brought
(1) A description of the assumptions, tech-
about by a thrust vector offset angle, and if
the offset angle is held constant throughout niques, and equations used in deriving the
the turn. The analysis must account for a se- malfunction turns.
ries of tumble turns, each turn with a dif- (2) A set of sample calculations for at least
ferent thrust vector offset angle, that are one flight hazard area malfunction start
plotted on the same graph for each malfunc- time and one downrange malfunction start
tion start time. time. The sample computation for the
(6) Turn envelope. A turn envelope must downrange malfunction must start at a time
constitute a curve on a tumble turn graph at least 50 seconds after the flight hazard
that has tangent points to each individual area malfunction start time or at the time of
tumble turn curve computed for each mal- nominal thrust termination of the final
function start time. The curve must enve- stage minus the malfunction turn duration.
lope the actual tumble turn curves to predict (3) A launch operator must file malfunc-
tumble turn angles for each area between the tion turn data in electronic tabular and
calculated turn curves. Figure A417.9–1 de- graphic formats. The graphs must use scale
picts a series of tumble turn curves and the factors such that the plotting and reading
tumble turn envelope curve. accuracy do not degrade the accuracy of the
(7) Malfunction turn capabilities. When not data. For each malfunction turn start time,
using a 90-degree turn, a malfunction turn a graph must use the same time scales for
analysis must establish the launch vehicle the malfunction velocity vector turn angle
maximum turning capability as required by and malfunction velocity magnitude plot
the following malfunction turn constraints: pairs. A launch operator must provide tab-
(i) Launch vehicle stable at all angles of at- ular listings of the data used to generate the
tack. If a launch vehicle is so stable that the graphs in digital ASCII file format. A launch
maximum thrust moment that the vehicle operator must file the data items required in
could experience cannot produce tumbling, this paragraph for each malfunction start
but produces a maximum-rate trim turn at time and for time intervals that do not ex-
some angle of attack less than 90 degrees, ceed one second for the duration of each mal-
the analysis must produce a series of trim
function turn.
turns, including the maximum-rate trim
(i) Velocity turn angle graphs. A launch op-
turn, by varying the initial thrust vector off-
set at the beginning of the turn. If the max- erator must file a velocity turn angle graph
imum thrust moment results in a maximum- for each malfunction start time. For each ve-
rate trim turn at some angle of attack great- locity turn angle graph, the ordinate axis
er than 90 degrees, the analysis must produce must represent the total angle turned by the
a series of trim turns for angles of attack up velocity vector, and the abscissa axis must
to and including 90 degrees. represent the time duration of the turn and
(ii) Launch vehicle aerodynamically unstable must show increments not to exceed one sec-
at all angles of attack. If flying a trim turn is ond. The series of tumble turns must include
not possible even for a period of only a few the envelope of all tumble turn curves. The
seconds, the malfunction turn analysis need tumble turn envelope must represent the
only establish tumble turns. Otherwise, the tumble turn capability for all possible con-
malfunction turn analysis must establish a stant thrust vector offset angles. Each tum-
series of trim turns, including the maximum- ble turn curve selected to define the enve-
rate trim turn, and the family of tumble lope must appear on the same graph as the
turns. envelope. A launch operator must file a se-
(iii) Launch vehicle unstable at low angles of ries of trim turn curves for representative
attack but stable at some higher angles of at- values of thrust vector offset. The series of
tack. If large engine deflections result in trim turn curves must include the maximum
tumbling, and small engine deflections do rate trim turn. Figure A417.9–1 depicts an ex-
not, the analysis must produce a series of ample family of tumble turn curves and the
trim and tumble turns as required by para- tumble turn velocity vector envelope.

621
Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)

(ii) Velocity magnitude graphs. A launch op- each individual tumble turn curve selected
erator must file a velocity magnitude graph to define the tumble turn envelope, the cor-
for each malfunction start time. For each responding velocity magnitude graph must
malfunction velocity magnitude graph, the show the individual tumble turn curve’s
ordinate axis must represent the magnitude point of tangency to the envelope. The point
of the velocity vector and the abscissa axis of tangency must consist of the point where
must represent the time duration of the the tumble turn envelope is tangent to an in-
turn. Each graph must show the abscissa di- dividual tumble turn curve produced with a
vided into increments not to exceed one sec- discrete thrust vector offset angle. A launch
ond. Each graph must show the total veloc-
operator must transpose the points of tan-
ity magnitude plotted as a function of time
gency to the velocity magnitude curves by
starting with the malfunction start time for
each thrust vector offset used to define the plotting a point on the velocity magnitude
corresponding velocity turn-angle curve. A curve at the same time point where tangency
launch operator must provide a cor- occurs on the corresponding velocity tumble-
responding velocity magnitude curve for turn angle curve. Figure A417.9–2 depicts an
each velocity tumble turn angle curve and example tumble turn velocity magnitude
each velocity trim-turn angle curve. For curve.

622
Commercial Space Transportation, FAA, DOT Pt. 417, App. A

(iii) Vehicle orientation. The launch oper- into the turn for each turn initiation time.
ator must file tabular or graphical data for Angular orientation of a launch vehicle’s
the vehicle orientation in the form of roll, longitudinal axis is illustrated in figures
pitch, and yaw angular orientation of the ve- A417.9–3 and A417.9–4.
hicle longitudinal axis as a function of time

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Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)

624
Commercial Space Transportation, FAA, DOT Pt. 417, App. A

(iv) Onset conditions. A launch operator function turn curve must identify the time
must provide launch vehicle state informa- in the malfunction turn that the launch ve-
tion for each malfunction start time. This hicle body achieves a 90-degree rotation from
state data must include the launch vehicle the nominal position. On a tumble turn
thrust, weight, velocity magnitude and pad- curve the inflection point must represent the
centered topocentric X, Y, Z, XD, YD, ZD start of the launch vehicle tumble.
state vector.
(v) Breakup information. A launch operator A417.11 DEBRIS
must specify whether its launch vehicle will (a) General. A flight safety analysis must
remain intact throughout each malfunction include a debris analysis that satisfies the
turn. If the launch vehicle will break up dur- requirements of § 417.211. This section applies
ing a turn, the launch operator must identify to the debris data required by § 417.211 and
the time for launch vehicle breakup on each the debris analysis products that a launch
velocity magnitude graph. The launch oper- operator must file with the FAA as required
ator must show the time into the turn at by § 417.203(e).
which vehicle breakup would occur as either (b) Debris analysis constraints. A debris
a specific value or a probability distribution analysis must produce the debris model de-
for time until breakup. scribed in paragraph (c) of this section. The
(vi) Inflection point. A launch operator analysis must account for all launch vehicle
must identify the inflection point on each debris fragments, individually or in
tumble turn envelope curve and maximum groupings of fragments called classes. The
rate trim turn curve for each malfunction characteristics of each debris fragment rep-
start time as illustrated in figure A417.9–1. resented by a class must be similar enough
The inflection point marks the point in time to the characteristics of all the other debris
during the turn where the slope of the curve fragments represented by that class that all
stops increasing and begins to decrease or, in the debris fragments of the class can be de-
other words, the point were the concavity of scribed by a single set of characteristics.
the curve changes from concave up to con- Paragraph (c)(10) of this section applies when
cave down. The inflection point on a mal- establishing a debris class. A debris model

625
Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)
must describe the physical, aerodynamic, fragment data required by this section for
and harmful characteristics of each debris the launch vehicle flight from the planned
fragment either individually or as a member ignition time until impact of the last thrust-
of a class. A debris model must consist of ing stage. A debris model must provide de-
lists of individual debris or debris classes for bris fragment data for the number of time
each cause of breakup and any planned jet- periods sufficient to meet the requirements
tison of debris, launch vehicle components, for smooth and continuous contours used to
or payload. A debris analysis must account define hazard areas as required by section
for: A417.23.
(1) Launch vehicle breakup caused by the (2) Inert fragments. A debris model must
activation of any flight termination system. identify all inert fragments that are not
The analysis must account for: volatile and that do not burn or explode
(i) The effects of debris produced when under normal and malfunction conditions. A
flight termination system activation de- debris model must identify all inert frag-
stroys an intact malfunctioning vehicle. ments for each breakup time during flight
(ii) Spontaneous breakup of the launch ve- corresponding to a critical event when the
hicle, if the breakup is assisted by the action fragment catalog is significantly changed by
of any inadvertent separation destruct sys- the event. Critical events include staging,
tem. payload fairing jettison, and other normal
(iii) The effects of debris produced by the hardware jettison activities.
activation of any flight termination system (3) Explosive and non-explosive propellant
after inadvertent breakup of the launch vehi- fragments. A debris model must identify all
cle. propellant fragments that are explosive or
(2) Debris due to any malfunction where non-explosive upon impact. The debris model
forces on the launch vehicle may exceed the must describe each propellant fragment as a
launch vehicle’s structural integrity limits. function of time, from the time of breakup
(3) The immediate post-breakup or jettison
through ballistic free-fall to impact. The de-
environment of the launch vehicle debris,
bris model must describe the characteristics
and any change in debris characteristics over
of each fragment, including its origin on the
time from launch vehicle breakup or jettison
launch vehicle, representative dimensions
until debris impact.
and weight at the time of breakup and at the
(4) The impact overpressure, fragmenta-
time of impact. For any fragment identified
tion, and secondary debris effects of any con-
as an un-contained or contained propellant
fined or unconfined solid propellant chunks
fragment, whether explosive or non-explo-
and fueled components containing either liq-
sive, the debris model must identify whether
uid or solid propellants that could survive to
impact, as a function of vehicle malfunction or not it burns during free fall, and provide
time. the consumption rate during free fall. The
(5) The effects of impact of the intact vehi- debris model must identify:
cle as a function of failure time. The intact (i) Solid propellant that is exposed directly
impact debris analysis must identify the tri- to the atmosphere and that burns but does
nitrotoluene (TNT) yield of impact explo- not explode upon impact as ‘‘un-contained
sions, and the numbers of fragments pro- non-explosive solid propellant.’’
jected from all such explosions, including (ii) Solid or liquid propellant that is en-
non-launch vehicle ejecta and the blast over- closed in a container, such as a motor case
pressure radius. The analysis must use a or pressure vessel, and that burns but does
model for TNT yield of impact explosion that not explode upon impact as ‘‘contained non-
accounts for the propellant weight at im- explosive propellant.’’
pact, the impact speed, the orientation of (iii) Solid or liquid propellant that is en-
the propellant, and the impacted surface ma- closed in a container, such as a motor case
terial. or pressure vessel, and that explodes upon
(c) Debris model. A debris analysis must impact as ‘‘contained explosive propellant
produce a model of the debris resulting from fragment.’’
planned jettison and from unplanned break- (iv) Solid propellant that is exposed di-
up of a launch vehicle for use as input to rectly to the atmosphere and that explodes
other analyses, such as establishing flight upon impact as ‘‘un-contained explosive
safety limits and hazard areas and per- solid propellant fragment.’’
forming debris risk, toxic, and blast anal- (4) Other non-inert debris fragments. In addi-
yses. A launch operator’s debris model must tion to the explosive and flammable frag-
satisfy the following: ments required by paragraph (c)(3) of this
(1) Debris fragments. A debris model must section, a debris model must identify any
provide the debris fragment data required by other non-inert debris fragments, such as
this section for the launch vehicle flight toxic or radioactive fragments, that present
from the planned ignition time until the any other hazards to the public.
launch vehicle achieves orbital velocity for (5) Fragment weight. At each modeled
an orbital launch. For a sub-orbital launch, breakup time, the individual fragment
the debris model must provide the debris weights must approximately add up to the

626
Commercial Space Transportation, FAA, DOT Pt. 417, App. A
sum total weight of inert material in the ve-
hicle and the weight of contained liquid pro-  5 2
pellants and solid propellants that are not 
consumed in the initial breakup or con- Vma  log10  ’sub 
flagration. x


Vmin
(6) Fragment imparted velocity. A debris minimum breakup-imparted velocity (DVmin)
model must identify the maximum velocity within the following bound:
imparted to each fragment due to potential
explosion or pressure rupture. When account-
ing for imparted velocity, a debris model
must:
(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) Fragment projected area. A debris model
must include each of the axial, transverse,
and mean tumbling areas of each fragment.
If the fragment may stabilize under normal
or malfunction conditions, the debris model
must also provide the projected area normal
to the drag force.
(8) Fragment ballistic coefficient. A debris
model must include the axial, transverse,
and tumble orientation ballistic coefficient
for each fragment’s projected area as re-
quired by paragraph (c)(7) of this section.
(9) Debris fragment count. A debris model
must include the total number of each type
of fragment required by paragraphs (c)(2),
(c)(3), and (c)(4) of this section and created
by a malfunction.
(10) Fragment classes. A debris model must
categorize each malfunction debris fragment
into classes where the characteristics of the
mean fragment in each class conservatively
represent every fragment in the class. The
model must define fragment classes for frag-
ments whose characteristics are similar
enough to be described and treated by a sin-
gle average set of characteristics. A debris
class must categorize debris by each of the
following characteristics, and may include
any other useful characteristics:
(i) The type of fragment, defined by para-
graphs (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
(bsub). The difference between the smallest
log10(b sub) value and the largest log10(bsub)
value in a class must not exceed 0.5, except
for fragments with bsub less than or equal to
three. Fragments with bsub less than or equal
to three may be grouped within a class.
(iii) Breakup-imparted velocity (DV). A de-
bris model must categorize fragments as a
function of the range of DV for the fragments
within a class and the class’s median sub-
sonic ballistic coefficient. For each class, the
debris model must keep the ratio of the max-
imum breakup-imparted velocity (DVmax) to
627
Where: bsub is the median subsonic
ballistic coefficient for the fragments
in a class.
(d) Debris analysis products. The
products of a debris analysis that a
launch operator must file with the FAA
include:
(1) Debris model. The launch operator’s
de- bris model that satisfies the
requirements of this section.
(2) Fragment description. A description
of the fragments contained in the launch
opera- tor’s debris model. The
description must identify the fragment as
a launch vehicle part or component,
describe its shape, rep- resentative
dimensions, and may include drawings
of the fragment.
(3) Intact impact TNT yield. For an
intact impact of a launch vehicle, for
each failure time, a launch operator must
identify the TNT yield of each impact
explosion and blast overpressure hazard
radius.
(4) Fragment class data. The class name,
the range of values for each parameter used
to categorize fragments within a
fragment class, and the number of
fragments in any fragment class established
as required by paragraph (c)(10) of this
section.
(5) Ballistic coefficient. The mean
ballistic coefficient (b) and plus and
minus three- sigma values of the b for
each fragment class. A launch operator
must provide graphs of the coefficient of
drag (Cd) as a function of Mach number
for the nominal and three- sigma b
variations for each fragment shape. The
launch operator must label each graph with
the shape represented by the curve and
reference area used to develop the curve.
A launch operator must provide a Cd vs.
Mach curve for any axial, transverse, and
tumble orientations for any fragment that
will not stabilize during free-fall conditions.
For any fragment that may stabilize
during free-fall, a launch operator must
provide C d vs. Mach curves for the
stability angle of attack. If the angle of
attack where the fragment sta- bilizes is
other than zero degrees, a launch operator
must provide both the coefficient of lift (C L)
vs. Mach number and the Cd vs. Mach
number curves. The launch operator must
provide the equations for each Cd vs. Mach
curve.
(6) Pre-flight propellant weight. The
initial preflight weight of solid and
liquid propel- lant for each launch
vehicle component that contains solid or
liquid propellant.
(7) Normal propellant consumption.
The nominal and plus and minus three-
sigma solid and liquid propellant
consumption rate, and pre-malfunction
consumption rate for each component
that contains solid or liquid propellant.

628
Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)
(8) Fragment weight. The mean and plus and ator must identify the effects and duration
minus three-sigma weight of each fragment of the potential thrust, and the maximum
or fragment class. deviation of the instantaneous impact point,
(9) Projected area. The mean and plus and which can be brought about by the thrust. A
minus three-sigma axial, transverse, and launch operator must provide the explosion
tumbling areas for each fragment or frag- effects of all remaining fuels, pressurized
ment class. This information is not required tanks, and remaining stages, particularly
for those fragment classes classified as burn- with respect to ignition or detonation of
ing propellant classes under section upper stages if the flight termination system
A417.25(b)(8). is activated during the burning period of a
(10) Imparted velocities. The maximum in- lower stage.
cremental velocity imparted to each frag-
ment class created by flight termination sys- A417.13 FLIGHT SAFETY LIMITS.
tem activation, or explosive or overpressure (a) General. A flight safety analysis must
loads at breakup. The launch operator must
include a flight safety limits analysis that
identify the velocity distribution as
satisfies the requirements of § 417.213. This
Maxwellian or must define the distribution,
section applies to the computation of the
including whether or not the specified max-
flight safety limits and identifying the loca-
imum value is a fixed value with no uncer-
tion of populated or other protected areas as
tainty.
required by § 417.213 and to the analysis prod-
(11) Fragment type. The fragment type for
ucts that the launch operator must file with
each fragment established as required by
paragraphs (c)(2), (c)(3), and (c)(4) of this sec- the FAA as required by § 417.203(e).
tion. (b) Flight safety limits constraints. The anal-
(12) Origin. The part of the launch vehicle ysis must establish flight safety limits as
from which each fragment originated. follows:
(13) Burning propellant classes. The propel- (1) Flight safety limits must account for
lant consumption rate for those fragments potential malfunction of a launch vehicle
that burn during free-fall. during the time from launch vehicle first
(14) Contained propellant fragments, explosive motion through flight until the planned safe
or non-explosive. For contained propellant flight state determined as required by sec-
fragments, whether explosive or non-explo- tion A417.19.
sive, a launch operator must provide the ini- (2) For a flight termination at any time
tial weight of contained propellant and the during launch vehicle flight, the impact
consumption rate during free-fall. The ini- limit lines must:
tial weight of the propellant in a contained (i) Represent no less than the extent of the
propellant fragment is the weight of the pro- debris impact dispersion for all debris frag-
pellant before any of the propellant is con- ments with a ballistic coefficient greater
sumed by normal vehicle operation or failure than or equal to three; and
of the launch vehicle. (ii) Ensure that the debris impact area on
(15) Solid propellant fragment snuff-out pres- the Earth’s surface that is bounded by the
sure. The ambient pressure and the pressure debris impact dispersion in the uprange,
at the surface of a solid propellant fragment, downrange and crossrange directions does
in pounds per square inch, required to sus- not extend to any populated or other pro-
tain a solid propellant fragment’s combus- tected area.
tion during free-fall. (3) Each debris impact area determined by
(16) Other non-inert debris fragments. For a flight safety limits analysis must be offset
each non-inert debris fragment identified as in a direction away from populated or other
required by paragraph (c)(4) of this section, a protected areas. The size of the offset must
launch operator must describe the diffusion, account for all parameters that may con-
dispersion, deposition, radiation, and other tribute to the impact dispersion. The param-
hazard exposure characteristics used to de- eters must include:
termine the effective casualty area required (i) Launch vehicle malfunction turn capa-
by paragraph (d)(13) of this section. bilities.
(17) Residual thrust dispersion. For each (ii) Effective casualty area produced as re-
thrusting or non-thrusting stage having re- quired by section A417.25(b)(8).
sidual thrust capability following a launch (iii) All delays in the identification of a
vehicle malfunction, a launch operator must launch vehicle malfunction.
provide either the total residual impulse im- (iv) Malfunction imparted velocities, in-
parted or the full-residual thrust as a func- cluding any velocity imparted to vehicle
tion of breakup time. For any stage not ca- fragments by breakup.
pable of thrust after a launch vehicle mal- (v) Wind effects on the malfunctioning ve-
function, a launch operator must provide the hicle and falling debris.
conditions under which the stage is no (vi) Residual thrust remaining after flight
longer capable of thrust. For each stage that termination.
can be ignited as a result of a launch vehicle (vii) Launch vehicle guidance and perform-
malfunction on a lower stage, a launch oper- ance errors.

629
Commercial Space Transportation, FAA, DOT Pt. 417, App. A
(viii) Lift and drag forces on the malfunc- boundaries, and the nominal and three-sigma
tioning vehicle and falling debris including launch vehicle instantaneous impact point
variations in drag predictions of fragments ground traces from liftoff to orbital inser-
and debris. tion or the end of flight. Each depiction
(ix) All hardware and software delays dur- must have labeled geodetic latitude and lon-
ing implementation of flight termination. gitude lines. Each depiction must show the
(x) All debris impact location uncertain- flight safety limits at trajectory time inter-
ties caused by conditions prior to, and after, vals sufficient to depict the mission success
activation of the flight termination system. margin between the flight safety limits and
(xi) Any other impact dispersion param- the protected areas. The launch vehicle tra-
eters peculiar to the launch vehicle. jectory instantaneous impact points must be
(xii) All uncertainty due to map error and plotted with sufficient frequency to provide
launch vehicle tracking error. a conformal representation of the launch ve-
(c) Risk management. The requirements for hicle’s instantaneous impact point ground
public risk management of § 417.205(a) apply trace curvature.
to a flight safety limits analysis. When em- (5) A tabular description of the flight safe-
ploying risk assessment, the analysis must ty limits, including the geodetic latitude and
establish flight safety limits that satisfy longitude for any flight safety limit. The
paragraph (b) of this section, account for the table must contain quantitative values that
products of the debris risk analysis per- define flight safety limits. Each quantitative
formed as required by section A417.25, and value must be rounded to the number of sig-
ensure that any risk to the public satisfies nificant digits that can be determined from
the public risk criteria of § 417.107(b). When the uncertainty of the measurement device
employing hazard isolation, the analysis used to determine the flight safety limits
must establish flight safety limits in accord- and must be limited to a maximum of six
ance with the following: decimal places.
(1) The flight safety limits must account (6) A map error table of direction and scale
for the maximum deviation impact locations distortions as a function of distance from the
for the most wind sensitive debris fragment point of tangency from a parallel of true
with a minimum of 11 ft-lbs of kinetic energy scale and true direction or from a meridian
at impact. of true scale and true direction. A launch op-
(2) The maximum deviation impact loca- erator must provide a table of tracking error
tion of the debris identified in paragraph as a function of downrange distance from the
(c)(1) of this section for each trajectory time launch point for each tracking station used
must account for the three-sigma impact lo- to make flight safety control decisions. A
cation for the maximum deviation flight, launch operator must file a description of
and the launch day wind conditions that the method, showing equations and sample
produce the maximum ballistic wind for that calculations, used to determine the tracking
debris. error. The table must contain the map and
(3) The maximum deviation flight must ac- tracking error data points within 100 nau-
count for the instantaneous impact point, of tical miles of the reference point at an inter-
the debris identified in paragraph (c)(1) of val of one data point every 10 nautical miles,
this section at breakup, that is closest to a including the reference point. The table
protected area and the maximum ballistic must contain map and tracking error data
wind directed from the breakup point toward points beyond 100 nautical miles from the
that protected area. reference point at an interval of one data
(d) Flight safety limits analysis products. The point every 100 nautical miles out to a dis-
products of a flight safety limits analysis tance that includes all populated or other
that a launch operator must file with the areas protected by the flight safety limits.
FAA include: (7) A launch operator must provide the
(1) A description of each method used to equations used for geodetic datum conver-
develop and implement the flight safety lim- sions and one sample calculation for con-
its. The description must include equations verting the geodetic latitude and longitude
and example computations used in the flight coordinates between the datum ellipsoids
safety limits analysis. used. A launch operator must provide any
(2) A description of how each analysis equations used for range and bearing com-
method meets the analysis requirements and putations between geodetic coordinates and
constraints of this section, including how one sample calculation.
the method produces a worst-case scenario A417.15 STRAIGHT-UP TIME
for each impact dispersion area.
(3) A description of how the results of the (a) General. A flight safety analysis must
analysis are used to protect populated and include a straight-up time analysis that sat-
other protected areas. isfies the requirements of § 417.215. This sec-
(4) A graphic depiction or series of depic- tion applies to the computation of straight-
tions of the flight safety limits, the launch up time as required by § 417.215 and to the
point, all launch site boundaries, sur- analysis products that the launch operator
rounding geographic area, all protected area must file with the FAA as required by

630
Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)
§ 417.203(e). The analysis must establish a (i) All launch vehicle tracking and map er-
straight-up time as the latest time-after-lift- rors.
off, assuming a launch vehicle malfunctioned (ii) All launch vehicle plus and minus
and flew in a vertical or near vertical direc- three-sigma trajectory limits.
tion above the launch point, at which activa- (iii) All debris impact dispersions.
tion of the launch vehicle’s flight termi- (4) The width of a gate must restrict a
nation system or breakup of the launch vehi- launch vehicle’s normal trajectory ground
cle would not cause hazardous debris or crit- trace.
ical overpressure to affect any populated or (c) Overflight gate analysis products. The
other protected area. products of a gate analysis that a launch op-
(b) Straight-up time constraints. A straight- erator must file with the FAA include:
up time analysis must account for the fol- (1) A description of the methodology used
lowing: to establish each gate.
(1) Launch vehicle trajectory. The analysis (2) A description of the tracking represen-
must use the straight-up trajectory deter- tation.
mined as required by section A417.7(e). (3) A tabular description of the input data.
(2) Sources of debris impact dispersion. The (4) Example analysis computations per-
analysis must use the sources described in formed to determine a gate. If a launch in-
section A417.13(b)(3)(iii) through (xii). volves more than one gate and the same
(c) Straight-up time analysis products. The methodology is used to determine each gate,
products of a straight-up-time analysis that the launch operator need only file the com-
a launch operator must file with the FAA in- putations for one of the gates.
clude: (5) A graphic depiction of each gate. A
(1) The straight-up-time. launch operator must provide a depiction or
(2) A description of the methodology used depictions showing flight safety limits, pro-
tected area outlines, nominal and 3-sigma
to determine straight-up time.
left and right trajectory ground traces, pro-
A417.17 OVERFLIGHT GATE tected area overflight regions, and predicted
impact dispersion about the three-sigma tra-
(a) General. The flight safety analysis for a jectories within the gate. Each depiction
launch that involves flight over a populated must show latitude and longitude grid lines,
or other protected area must include an gate latitude and longitude labels, and the
overflight gate analysis that satisfies the re- map scale.
quirements of § 417.217. This section applies
to determining a gate as required by § 417.217 A417.19 D ATA LOSS FLIGHT TIME AND
and the analysis products that the launch PLANNED SAFE FLIGHT STATE
operator must file with the FAA as required (a) General. A flight safety analysis must
by § 417.203(e). The analysis must determine include a data loss flight time analysis that
the portion, referred to as a gate, of a flight satisfies the requirements of § 417.219. This
safety limit, through which a launch vehi- section applies to the computation of data
cle’s tracking representation will be allowed loss flight times and the planned safe flight
to proceed without flight termination. state required by § 417.219, and to the anal-
(b) Overflight gate analysis constraints. The ysis products that the launch operator must
following analysis constraints apply to a file with the FAA as required by § 417.203(e).
gate analysis. (b) Planned safe flight state. The analysis
(1) For each gate in a flight safety limit, must establish a planned safe flight state for
all the criteria used for determining whether a launch as follows:
to allow passage through the gate or to ter- (1) For a suborbital launch, the analysis
minate flight at the gate must use all the must determine a planned safe flight state as
same launch vehicle flight status parameters the nominal state vector after liftoff that a
as the criteria used for determining whether launch vehicle’s hazardous debris impact dis-
to terminate flight at a flight safety limit. persion can no longer reach any protected
For example, if the flight safety limits are a area.
function of instantaneous impact point loca- (2) For an orbital launch where the launch
tion, the criteria for determining whether to vehicle’s instantaneous impact point does
allow passage through a gate in the flight not traverse a protected area prior to reach-
safety limit must also be a function of in- ing orbit, the analysis must establish the
stantaneous impact point location. Like- planned safe flight state as the time after
wise, if the flight safety limits are a function liftoff that the launch vehicle’s hazardous
of drag impact point, the gate criteria must debris impact dispersion can no longer reach
also be a function of drag impact point. any protected area or orbital insertion,
(2) When establishing a gate in a flight whichever occurs first.
safety limit, the analysis must ensure that (3) For an orbital launch where a gate per-
the launch vehicle flight satisfies the flight mits overflight of a protected area and where
safety requirements of § 417.107. orbital insertion occurs after reaching the
(3) For each established gate, the analysis gate, the analysis must determine the
must account for: planned safe flight state as the time after

631
Commercial Space Transportation, FAA, DOT Pt. 417, App. A
liftoff when the time for the launch vehicle’s liftoff through orbital insertion for an or-
instantaneous impact point to reach the gate bital launch, and through final impact for a
is less than the time for the instantaneous suborbital launch. Each graph must show
impact point to reach any flight safety limit. any launch vehicle trajectory instantaneous
(4) The analysis must account for a mal- impact points plotted with sufficient fre-
function that causes the launch vehicle to quency to provide a conformal estimate of
proceed from its position at the trajectory the launch vehicle’s instantaneous impact
time being evaluated toward the closest point ground trace curvature. A launch oper-
flight safety limit and protected area. ator must provide labeled latitude and lon-
(5) The analysis must account for the gitude lines and the map scale on the depic-
launch vehicle thrust vector that produces tion.
the highest instantaneous impact point (3) A launch operator must provide a tab-
range rate that the vehicle is capable of pro- ular description of each data loss flight time.
ducing at the trajectory time being evalu- The tabular description must include the
ated. malfunction start time and the geodetic lati-
(c) Data loss flight times. For each launch tude (positive north of the equator) and lon-
vehicle trajectory time, from the predicted gitude (positive east of the Greenwich Merid-
earliest launch vehicle tracking acquisition ian) coordinates of the intersection of the
time until the planned safe flight state, the launch vehicle instantaneous impact point
analysis must determine the data loss flight trajectory with the flight safety limit. The
time as follows: table must identify the first data lost flight
(1) The analysis must determine each data time and planned safe flight state. The tab-
loss flight time as the minimum thrusting ular description must include data loss flight
time for a launch vehicle to move from a times for trajectory time increments not to
normal trajectory position to a position exceed one second.
where a flight termination would cause the
malfunction debris impact dispersion to A417.21 TIME DELAY
reach any protected area. (a) General. A flight safety analysis must
(2) A data loss flight time analysis must include a time delay analysis that satisfies
account for a malfunction that causes the the requirements of § 417.221. This section ap-
launch vehicle to proceed from its position plies to the computation of time delays asso-
at the trajectory time being evaluated to- ciated with a flight safety system and other
ward the closest flight safety limit and pro- launch vehicle systems and operations as re-
tected area. quired by § 417.221 and to the analysis prod-
(3) The analysis must account for the ucts that the launch operator must file with
launch vehicle thrust vector that produces the FAA as required by § 417.203(e).
the highest instantaneous impact point (b) Time delay analysis constraints. The
range rate that the vehicle is capable of pro- analysis must account for all significant
ducing at the trajectory time being evalu- causes of time delay between the violation of
ated. a flight termination rule and the time when
(4) Each data loss flight time must account a flight safety system is capable of termi-
for the system delays at the time of flight. nating flight as follows:
(5) The analysis must determine a data loss (1) The analysis must account for decision
flight time for time increments that do not and reaction times, including variation in
exceed one second along the launch vehicle human response time, for flight safety offi-
nominal trajectory. cial and other personnel that are part of a
(d) Products. The products of a data loss launch operator’s flight safety system as de-
flight time and planned safe flight state fined by subpart D of this part.
analysis that a launch operator must file in- (2) The analyses must determine the time
clude: delay inherent in any data, from any source,
(1) A launch operator must describe the used by a flight safety official for making
methodology used in its analysis, and iden- flight termination decisions.
tify all assumptions, techniques, input data, (3) A time delay analysis must account for
and equations used. A launch operator must all significant causes of time delay, includ-
file calculations performed for one data loss ing data flow rates and reaction times, for
flight time in the vicinity of the launch site hardware and software, including, but not
and one data loss flight time that is no less limited to the following:
than 50 seconds later in the downrange area. (i) Tracking system. A time delay analysis
(2) A launch operator must file a graphical must account for time delays between the
description or depictions of the flight safety launch vehicle’s current location and last
limits, the launch point, the launch site known location and that are associated with
boundaries, the surrounding geographic area, the hardware and software that make up the
any protected areas, the planned safe flight launch vehicle tracking system, whether or
state within any applicable scale require- not it is located on the launch vehicle, such
ments, latitude and longitude grid lines, and as transmitters, receivers, decoders,
launch vehicle nominal and three-sigma in- encoders, modulators, circuitry and any
stantaneous impact point ground traces from encryption and decryption of data.

632
Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)
(ii) Display systems. A time delay analysis A417.23 FLIGHT HAZARD AREAS
must account for delays associated with
(a) General. A flight safety analysis must
hardware and software that make up any dis-
include a flight hazard area analysis that
play system used by a flight safety official to
satisfies the requirements of § 417.223. This
aid in making flight control decisions. A
section applies to the determination of flight
time delay analysis must also account for hazard areas for orbital and suborbital
any manual operations requirements, track- launch vehicles that use a flight termination
ing source selection, tracking data proc- system to protect the public as required by
essing, flight safety limit computations, in- § 417.223 and to the analysis products that the
herent display delays, meteorological data launch operator must file with the FAA as
processing, automated or manual system required by § 417.203(e). Requirements that
configuration control, automated or manual apply to determining flight hazard areas for
process control, automated or manual mis- an unguided suborbital rocket that uses a
sion discrete control, and automated or man- wind-weighting safety system are contained
ual fail over decision control. in appendix C of this part.
(iii) Flight termination system and command (b) Launch site flight hazard area. A flight
control system. A time delay analysis must hazard area analysis must establish a launch
account for delays and response times associ- site flight hazard area that encompasses the
ated with flight termination system and launch point and:
command control system hardware and soft- (1) If the flight safety analysis employs
ware, such as transmitters, decoders, hazard isolation to establish flight safety
encoders, modulators, relays and shutdown, limits as required by section A417.13(c), the
arming and destruct devices, circuitry and launch site flight hazard area must encom-
any encryption and decryption of data. pass the flight safety limits.
(iv) Software specific time delays. A delay (2) If the flight safety analysis does not
analysis must account for delays associated employ hazard isolation to establish the
with any correlation of data performed by flight safety limits, the launch site flight
software, such as timing and sequencing; hazard area must encompass all hazard areas
data filtering delays such as error correc- established as required by paragraphs (c)
tion, smoothing, editing, or tracking source through (e) of this section.
selection; data transformation delays; and (c) Debris impact hazard area. The analysis
computation cycle time. must establish a debris impact hazard area
(4) A time delay analysis must determine that accounts for the effects of impacting de-
the time delay plus and minus three-sigma bris resulting from normal and malfunc-
values relative to the mean time delay. tioning launch vehicle flight, except for
(5) For use in any risk analysis, a time toxic effects, and accounts for potential im-
delay analysis must determine time delay pact locations of all debris fragments. The
distributions that account for the variance analysis must establish a debris hazard area
of time delays for potential launch vehicle as follows:
failure, including but not limited to, the (1) An individual casualty contour that de-
range of malfunction turn characteristics fines where the risk to an individual would
and the time of flight when the malfunction exceed an expected casualty (Ec) criteria of
occurs. 1 10 ¥ 6 if one person were assumed to be in
the open and inside the contour during
(c) Time delay analysis products. The prod-
launch vehicle flight must bound a debris
ucts of a time delay analysis that a launch
hazard area. The analysis must produce an
operator must file include:
individual casualty contour as follows:
(1) A description of the methodology used (i) The analysis must account for the loca-
to produce the time delay analysis. tion of a hypothetical person, and must vary
(2) A schematic drawing that maps the the location of the person to determine when
flight safety official’s data flow time delays the risk would exceed the Ec criteria of 1 
from the start of a launch vehicle malfunc- 10 ¥ 6. The analysis must count a person as
tion through the final commanded flight ter- a casualty when the person’s location is sub-
mination on the launch vehicle, including jected to any inert debris impact with a
the flight safety official’s decision and reac- mean expected kinetic energy greater than
tion time. The drawings must indicate major or equal to 11 ft-lbs or a peak incident over-
systems, subsystems, major software func- pressure equal to or greater than 1.0 psi due
tions, and data routing. to explosive debris impact. The analysis
(3) A tabular listing of each time delay must determine the peak incident over-
source and its individual mean and plus and pressure using the Kingery-Bulmash rela-
minus three-sigma contribution to the over- tionship, without regard to sheltering, re-
all time delay. The table must provide all flections, or atmospheric effects.
time delay values in milliseconds. (ii) The analysis must account for person
(4) The mean delay time and the plus and locations that are no more than 1000 feet
minus three-sigma values of the delay time apart in the downrange direction and no
relative to the mean value. more than 1000 feet apart in the crossrange

633
Commercial Space Transportation, FAA, DOT Pt. 417, App. A
direction to produce an individual casualty tending from the launch point with a radius
contour. For each person location, the anal- equal to the 1.0 psi overpressure distance
ysis must sum the probabilities of casualty produced by the equivalent TNT weight of
over all flight times for all debris groups. the explosive capability of the vehicle. In ad-
(iii) An individual casualty contour must dition, the analysis must establish a min-
consist of curves that are smooth and con- imum near-pad blast hazard area to provide
tinuous. To accomplish this, the analysis protection from hazardous fragments poten-
must vary the time interval between the tra- tially propelled by an explosion. The anal-
jectory times assessed so that each location ysis must account for the maximum possible
of a debris impact point is less than one-half total solid and liquid propellant explosive
sigma of the downrange dispersion distance. potential of the launch vehicle and any pay-
(2) The input for determining a debris im- load. The analysis must define a blast over-
pact hazard area must account for the re- pressure hazard area using the following
sults of the trajectory analysis required by equations:
section A417.7, the malfunction turn analysis
required by section A417.9, and the debris Rop = 45 · (NEW) 1/3
analysis required by section A417.11 to define Where:
the impact locations of each class of debris R op is the over pressure distance in feet.
established by the debris analysis, and the
NEW = W E ·C (pounds).
time delay analysis required by section
A417.21. WE is the weight of the explosive in pounds.
(3) The analysis must account for the ex- C is the TNT equivalency coefficient of the
tent of the impact debris dispersions for each propellant being evaluated. A launch op-
debris class produced by normal and mal- erator must identify the TNT equiva-
functioning launch vehicle flight at each tra- lency of each propellant on its launch ve-
jectory time. The analysis must also account hicle including any payload. TNT equiva-
for how the vehicle breaks up, either by the lency data for common liquid propellants
flight termination system or by aerodynamic is provided in tables A417–1. Table A417–
forces, if the different breakup may result in 2 provides factors for converting gallons
a different probability of existence for each of specified liquid propellants to pounds.
debris class. A debris impact hazard area (e) Other hazards. A flight hazard area
must account for each impacting debris frag- analysis must identify any additional haz-
ment classified as required by section
ards, such as radioactive material, that may
A417.11(c).
exist on the launch vehicle or payload. For
(4) The analysis must account for launch
each such hazard, the analysis must deter-
vehicle flight that exceeds a flight safety
mine a hazard area that encompasses any de-
limit. The analysis must also account for
bris impact point and its dispersion and in-
trajectory conditions that maximize the
cludes an additional hazard radius that ac-
mean debris impact distance during the
counts for potential casualty due to the ad-
flight safety system delay time determined
ditional hazard. Analysis requirements for
as required by section A417.21 and account
toxic release and far field blast overpressure
for a debris model that is representative of a
are provided in § 417.27 and section A417.29,
flight termination or aerodynamic breakup.
respectively.
For each launch vehicle breakup event, the
analysis must account for trajectory and (1) Aircraft hazard areas. The analysis must
breakup dispersions, variations in debris establish an aircraft hazard area for each
class characteristics, and debris dispersion planned debris impact for the issuance of no-
due to any wind condition under which a tices to airmen as required by § 417.121(e).
launch would be attempted. Each aircraft hazard area must encompass
(5) The analysis must account for the prob- an air space region, from an altitude of 60,000
ability of failure of each launch vehicle stage feet to impact on the Earth’s surface, that
and the probability of existence of each de- contains the three-sigma drag impact disper-
bris class. The analysis must account for the sion.
probability of occurrence of each type of (2) Ship hazard areas. The analysis must es-
launch vehicle failure. The analysis must ac- tablish a ship hazard area for each planned
count for vehicle failure probabilities that debris impact for the issuance of notices to
vary depending on the time of flight. mariners as required by § 417.121(e). Each ship
(6) In addition to failure debris, the anal- hazard area must encompass a surface region
ysis must account for nominal jettisoned that contains the three-sigma drag impact
body debris impacts and the corresponding dispersion.
debris impact dispersions. The analysis must (f) Flight hazard area analysis products. The
use a probability of occurrence of 1.0 for the products of a flight hazard area analysis that
planned debris fragments produced by nor- a launch operator must file with the FAA in-
mal separation events during flight. clude:
(d) Near-launch-point blast hazard area. A (1) A chart that depicts the launch site
flight hazard area analysis must define a flight hazard area, including its size and lo-
blast overpressure hazard area as a circle ex- cation.

634
Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)
(2) A chart that depicts each hazard area (5) A description of the aircraft hazard area
required by this section. for each planned debris impact, the informa-
(3) A description of each hazard for which tion to be published in a Notice to Airmen,
analysis was performed; the methodology and all information required as part of any
used to compute each hazard area; and the agreement with the FAA ATC office having
debris classes for aerodynamic breakup of jurisdiction over the airspace through which
the launch vehicle and for flight termi- flight will take place.
nation. For each debris class, the launch op- (6) A description of any ship hazard area
erator must identify the number of debris for each planned debris impact and all infor-
mation required in a Notice to Mariners.
fragments, the variation in ballistic coeffi-
(7) A description of the methodology used
cient, and the standard deviation of the de-
for determining each hazard area.
bris dispersion.
(8) A description of the hazard area oper-
(4) A chart that depicts each of the indi- ational controls and procedures to be imple-
vidual casualty contour. mented for flight.

A417.25 DEBRIS RISK (b) Debris risk analysis constraints. The fol-
(a) General. A flight safety analysis must lowing constraints apply to a debris risk:
include a debris risk analysis that satisfies (1) A debris risk analysis must use valid
the requirements of § 417.225. This section ap- risk analysis models that compute Ec as the
plies to the computation of the average num- summation over all trajectory time intervals
ber of casualties (Ec) to the collective mem- from lift-off through orbital insertion of the
bers of debris hazards from the proposed products of the probability of each possible
flight of a launch vehicle as required by event and the casualty consequences due to
§ 417.225 and to the analysis products that the debris impacts for each possible event.
launch operator must file with the FAA as (2) A debris risk analysis must account for
required by § 417.203(e). the following populations:

635
Commercial Space Transportation, FAA, DOT Pt. 417, App. A
(i) The overflight of populations located in- launch incident or launch accident con-
side any flight safety limits. stitutes a failure.
(ii) All populations located within five- (ii) For a launch vehicle with fewer than 2
sigma left and right crossrange of a nominal flights completed, the analysis must use a
trajectory instantaneous impact point reference value for the launch vehicle failure
ground trace and within five-sigma of each probability estimate equal to the upper limit
planned nominal debris impact. of the 60% two-sided confidence limits of the
(iii) Any planned overflight of the public binomial distribution for outcomes of all
within any gate overflight areas. previous launches of vehicles developed and
(iv) Any populations outside the flight launched in similar circumstances. The FAA
safety limits identified as required by para- may adjust the failure probability estimate
graph (b)(10) of this section. to account for the level of experience dem-
(3) A debris risk analysis must account for onstrated by the launch operator and other
both inert and explosive debris hazards pro- factors that affects the probability of fail-
duced from any impacting debris caused by ure. The FAA may adjust the failure prob-
normal and malfunctioning launch vehicle ability estimate for the second launch based
flight. The analysis must account for the de- on evidence obtained from the first flight of
bris classes determined by the debris anal- the vehicle.
ysis required by section A417.11. A debris
(iii) For a launch vehicle with at least 2
risk analysis must account for any inert de-
flights completed, the analysis must use the
bris impact with mean expected kinetic en-
reference value for the launch vehicle failure
ergy at impact greater than or equal to 11 ft-
probability of Table A417–3 based on the out-
lbs and peak incident overpressure of greater
comes of all previous launches of the vehicle.
than or equal to 1.0 psi due to any explosive
The FAA may adjust the failure probability
debris impact. The analysis must account for
estimate to account for evidence obtained
all debris hazards as a function of flight
from the flight history of the vehicle. The
time.
FAA may adjust the failure probability esti-
(4) A debris risk analysis must account for
mate to account for the nature of launch
debris impact points and dispersion for each
outcomes in the flight history of the vehicle,
class of debris as follows:
corrective actions taken in response to a
(i) A debris risk analysis must account for
failure of the vehicle, or other vehicle modi-
drag corrected impact points and dispersions
fications that may affect reliability. The
for each class of impacting debris resulting
FAA may adjust the failure probability esti-
from normal and malfunctioning launch ve-
mate to account for the demonstrated qual-
hicle flight as a function of trajectory time
ity of the engineering approach to launch ve-
from lift-off through orbital insertion, in-
hicle processing, meeting safety require-
cluding each planned impact, for an orbital
ments in this part, and associated hazard
launch, and through final impact for a sub-
mitigation. The analysis must use a final
orbital launch.
failure estimate within the confidence limits
(ii) The dispersion for each debris class
of Table A417–3.
must account for the position and velocity
state vector dispersions at breakup, the vari- (A) Values listed on the far left of Table
ance produced by breakup imparted veloci- A417–3 apply when no launch failures are ex-
ties, the effect of winds on both the ascent perienced. Values on the far right apply
trajectory state vector at breakup and the when only launch failures are experienced.
descending debris piece impact location the Values in between apply for flight histories
variance produced by aerodynamic prop- that include both failures and successes.
erties for each debris class, and any other (B) Reference values in Table A417–3 are
dispersion variances. shown in bold. The reference values are the
(iii) A debris risk analysis must account median values between 60% two-sided con-
for the survivability of debris fragments that fidence limits of the binomial distribution.
are subject to reentry aerodynamic forces or For the special cases of zero or N failures in
heating. A debris class may be eliminated N launch attempts, the reference values may
from the debris risk analysis if the launch also be recognized as the median value be-
operator demonstrates that the debris will tween the 80% one-sided confidence limit of
not survive to impact. the binomial distribution and zero or one, re-
(5) A debris risk analysis must account for spectively.
launch vehicle failure probability. The fol- (C) Upper and lower confidence bounds in
lowing constraints apply: Table A417–3 are shown directly above and
(i) For flight safety analysis purposes, a below each reference value. These confidence
failure occurs when a vehicle does not com- bounds are based on 60% two-sided con-
plete any phase of normal flight or exhibits fidence limits of the binomial distribution.
the potential for the stage or its debris to For the special cases of zero or N failures in
impact the Earth or reenter the atmosphere N launch attempts, the upper and lower con-
during the mission or any future mission of fidence bounds are based on the 80% one-
similar vehicle capability. Also, either a sided confidence limit, respectively.

636
Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)

(6) A debris risk analysis must account for (7) A debris risk analysis must account for
the dwell time of the instantaneous impact the three-sigma instantaneous impact point
point ground trace over each populated or trajectory variations in left-crossrange,
protected area being evaluated. right-crossrange, uprange, and downrange as

637
Commercial Space Transportation, FAA, DOT Pt. 417, App. A
a function of trajectory time, due to launch (c) Debris risk analysis products. The prod-
vehicle performance variations as deter- ucts of a debris risk analysis that a launch
mined by the trajectory analysis performed operator must file with the FAA include:
as required by section A417.7. (1) A debris risk analysis report that pro-
(8) A debris risk analysis must account for vides the analysis input data, probabilistic
the effective casualty area as a function of risk determination methods, sample com-
launch vehicle flight time for all impacting putations, and text or graphical charts that
debris generated from a catastrophic launch characterize the public risk to geographical
vehicle malfunction event or a planned im- areas for each launch.
pact event. The effective casualty area must (2) Geographic data showing:
account for both payload and vehicle sys- (i) The launch vehicle nominal, five-sigma
tems and subsystems debris. The effective left-crossrange and five-sigma right-
casualty area must account for all debris crossrange instantaneous impact point
fragments determined as part of a launch op- ground traces;
erator’s debris analysis as required by sec- (ii) All exclusion zones relative to the in-
tion A417.11. The effective casualty area for stantaneous impact point ground traces; and
each explosive debris fragment must account (iii) All populated areas included in the de-
for a 1.0 psi blast overpressure radius and the bris risk analysis.
projected debris effects for all potentially ex- (3) A discussion of each launch vehicle fail-
plosive debris. The effective casualty area ure scenario accounted for in the analysis
for each inert debris fragment must: and the probability of occurrence, which
(i) Account for bounce, skip, slide, and may vary with flight time, for each failure
splatter effects; or scenario. This information must include fail-
(ii) Equal seven times the maximum pro- ure scenarios where a launch vehicle:
jected area of the fragment. (i) Flies within normal limits until some
malfunction causes spontaneous breakup or
(9) A debris risk analysis must account for
results in a commanded flight termination;
current population density data obtained
(ii) Experiences malfunction turns; and
from a current population database for the
(iii) Flight safety system fails to function.
region being evaluated or by estimating the
(4) A population model applicable to the
current population using exponential popu-
launch overflight regions that contains the
lation growth rate equations applied to the
following: region identification, location of
most current historical data available. The
the center of each population center by geo-
population model must define population
detic latitude and longitude, total area,
centers that are similar enough to be de-
number of persons in each population center,
scribed and treated as a single average set of
and a description of the shelter characteris-
characteristics without degrading the accu-
tics within the population center.
racy of the debris risk estimate.
(5) A description of the launch vehicle, in-
(10) For a launch vehicle that uses a flight cluding general information concerning the
safety system, a debris risk analysis must nature and purpose of the launch and an
account for the collective risk to any popu- overview of the launch vehicle, including a
lations outside the flight safety limits dur- scaled diagram of the general arrangement
ing flight, including people who will be at and dimensions of the vehicle. A launch op-
any public launch viewing area during flight. erator’s debris risk analysis products may
For such populations, in addition to the con- reference other documentation filed with the
straints of paragraphs (b)(1) through (b)(9) of FAA containing this information. The de-
this section, a launch operator’s debris risk scription must include:
analysis must account for the following: (i) Weights and dimensions of each stage.
(i) The probability of a launch vehicle fail- (ii) Weights and dimensions of any booster
ure that would result in debris impact in motors attached.
protected areas outside the flight safety lim- (iii) The types of fuel used in each stage
its. and booster.
(ii) The failure probability of the launch (iv) Weights and dimensions of all
operator’s flight safety system. A flight safe- interstage adapters and skirts.
ty system failure rate of 0.002 may be used if (v) Payload dimensions, materials, con-
the flight safety system complies with the struction, and any payload fuel; payload fair-
flight safety system requirements of subpart ing construction, materials, and dimensions;
D of this part. For an alternate flight safety and any non-inert components or materials
system approved as required by § 417.107(a)(3), that add to the effective casualty area of the
the launch operator must demonstrate the debris, such as radioactive or toxic materials
validity of the probability of failure through or high-pressure vessels.
the licensing process. (6) A typical sequence of events showing
(iii) Current population density data and times of ignition, cutoff, burnout, and jet-
population projections for the day and time tison of each stage, firing of any ullage rock-
of flight for the areas outside the flight safe- ets, and starting and ending times of coast
ty limits. periods and control modes.

638
Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)
(7) The following information for each distant focus overpressure and any over-
launch vehicle motor: pressure enhancement to establish the po-
(i) Propellant type and composition; tential for broken windows due to peak inci-
(ii) Thrust profile; dent overpressures below 1.0 psi and related
(iii) Propellant weight and total motor casualties due to falling or projected glass
weight as a function of time; shards. The analysis must employ either
(iv) A description of each nozzle and steer- paragraph (b) of this section or the risk anal-
ing mechanism; ysis of paragraph (c) of this section.
(v) For solid rocket motors, internal pres- (b) Far field blast overpressure hazard anal-
sure and average propellant thickness, or ysis. Unless an analysis satisfies the require-
borehole radius, as a function of time; ments of paragraph (c) of this section a far
(vi) Maximum impact point deviations as a field blast overpressure hazard analysis must
function of failure time during destruct sys- satisfy the following:
tem delays. Burn rate as a function of ambi- (1) Explosive yield factors. The analysis
ent pressure; must use explosive yield factor curves for
(vii) A discussion of whether a commanded each type or class of solid or liquid propel-
destruct could ignite a non-thrusting motor, lant used by the launch vehicle. Each explo-
and if so, under what conditions; and sive yield factor curve must be based on the
(viii) Nozzle exit and entrance areas. most accurate explosive yield data for the
(8) The launch vehicle’s launch and failure corresponding type or class of solid or liquid
history, including a summary of past vehicle propellant based on empirical data or com-
performance. For a new vehicle with little or putational modeling.
no flight history, a launch operator must (2) Establish the maximum credible explo-
provide all known data on similar vehicles sive yield. The analysis must establish the
that include: maximum credible explosive yield resulting
(i) Identification of the launches that have from normal and malfunctioning launch ve-
occurred; hicle flight. The explosive yield must ac-
(ii) Launch date, location, and direction of count for impact mass and velocity of im-
each launch; pact on the Earth’s surface. The analysis
(iii) The number of launches that per- must account for explosive yield expressed as
formed normally; a TNT equivalent for peak overpressure.
(iv) Behavior and impact location of each (3) Characterize the population exposed to
abnormal experience; the hazard. The analysis must demonstrate
(v) The time, altitude, and nature of each whether any population centers are vulner-
malfunction; and able to a distant focus overpressure hazard
(vi) Descriptions of corrective actions using the methodology provided by section
taken, including changes in vehicle design, 6.3.2.4 of the American National Standard In-
flight termination, and guidance and control stitute’s ANSI S2.20–1983, ‘‘Estimating Air
Blast Characteristics for Single Point Explo-
hardware and software.
sions in Air with a Guide to Evaluation of
(9) The values of probability of impact (PI)
and expected casualty (Ec) for each popu- Atmospheric Propagation and Effects’’ and
as follows:
lated area.
(i) For the purposes of this analysis, a pop-
A417.27 TOXIC RELEASE HAZARD ANALYSIS ulation center must include any area outside
the launch site and not under the launch op-
A flight safety analysis must include a erator’s control that contains an exposed
toxic release hazard analysis that satisfies site. An exposed site includes any structure
the requirements of § 417.227. A launch opera- that may be occupied by human beings, and
tor’s toxic release hazard analysis must sat- that has at least one window, but does not
isfy the methodology requirements of appen- include automobiles, airplanes, and water-
dix I of this part. A launch operator must borne vessels. The analysis must account for
file the analysis products identified in ap- the most recent census information on each
pendix I of this part as required by population center. The analysis must treat
§ 417.203(e). any exposed site for which no census infor-
mation is available, or the census informa-
A417.29 FAR FIELD BLAST OVERPRESSURE
tion indicates a population equal to or less
EFFECTS ANALYSIS
than four persons, as a ‘single residence.’
(a) General. A flight safety analysis must (ii) The analysis must identify the distance
include a far field blast overpressure effects between the location of the maximum cred-
hazard analysis that satisfies the require- ible impact explosion and the location of
ments of § 417.229. This section applies to the each population center potentially exposed.
computation of far field blast overpressure Unless the location of the potential explo-
effects from the proposed flight of a launch sion site is limited to a defined region, the
vehicle as required by § 417.229 and to the analysis must account for the distance be-
analysis products that the launch operator tween the potential explosion site and a pop-
must file with the FAA as required by ulation center as the minimum distance be-
§ 417.203(e). The analysis must account for tween any point within the region contained

639
Commercial Space Transportation, FAA, DOT Pt. 417, App. A
by the flight safety limits and the nearest (1) A description of the methodology used
exposed site within the population center. to produce the far field blast overpressure
(iii) The analysis must account for all analysis results, a tabular description of the
weather conditions optimized for a distant analysis input data, and a description of any
focus overpressure hazard by applying an at- far field blast overpressure mitigation meas-
mospheric blast ‘‘focus factor’’ (F) of 5. ures implemented.
(iv) The analysis must determine, using (2) For any far field blast overpressure risk
the methodology of section 6.3.2.4 of ANSI analysis, an example set of the analysis com-
S2.20–1983, for each a population center, putations.
whether the maximum credible explosive (3) The values for the maximum credible
yield of a launch meets, exceeds or is less explosive yield as a function of time of
than the ‘‘no damage yield limit,’’ of the flight.
population center. If the maximum credible (4) The distance between the potential ex-
explosive yield is less than the ‘‘no damage plosion location and any population center
yield limit’’ for all exposed sites, the remain- vulnerable to the far field blast overpressure
ing requirements of this section do not hazard. For each population center, the
apply. If the maximum credible explosive launch operator must identify the exposed
yield meets or exceeds the ‘‘no damage yield populations by location and number of peo-
limit’’ for a population center then that pop- ple.
ulation center is vulnerable to far field blast (5) Any mitigation measures established to
overpressure from the launch and the re- protect the public from far field blast over-
quirements of paragraphs (b)(4) and (b)(5) of pressure hazards and any flight commit cri-
this section apply. teria established to ensure the mitigation
(4) Estimate the quantity of broken win- measures are enforced.
dows. The analysis must use a focus factor of
5 and the methods provided by ANSI S2.20– A417.31 COLLISION AVOIDANCE
1983 to estimate the number of potential bro- (a) General. A flight safety analysis must
ken windows within each population center include a collision avoidance analysis that
determined to be vulnerable to the distant satisfies the requirements of § 417.231. This
focus overpressure hazard as required by section applies to a launch operator obtain-
paragraph (b)(3) of this section. ing a collision avoidance assessment from
(5) Determine and implement measures United States Strategic Command as re-
necessary to prevent distant focus over- quired by § 417.231 and to the analysis prod-
pressure from breaking windows. For each ucts that the launch operator must file with
population center that is vulnerable to far the FAA as required by § 417.203(e). United
field blast overpressure from a launch, the States Strategic Command refers to a colli-
analysis must identify mitigation measures sion avoidance analysis for a space launch as
to protect the public from serious injury a conjunction on launch assessment.
from broken windows and the flight commit (b) Analysis constraints. A launch operator
criteria of § 417.113(c) needed to enforce the must satisfy the following when obtaining
mitigation measures. A launch operator’s and implementing the results of a collision
mitigation measures must include one or avoidance analysis:
more of the following: (1) A launch operator must provide United
(i) Apply a minimum 4-millimeter thick States Strategic Command with the launch
anti-shatter film to all exposed sites where window and trajectory data needed to per-
the maximum credible yield exceeds the ‘‘no form a collision avoidance analysis for a
damage yield limit.’’ launch as required by paragraph (c) of this
(ii) Evacuate the exposed public to a loca- section, at least 15 days before the first at-
tion that is not vulnerable to the distant tempt at flight. The FAA will identify a
focus overpressure hazard at least two hours launch operator to United States Strategic
prior to the planned flight time. Command as part of issuing a license and
(iii) If, as required by paragraph (b)(4) of provide a launch operator with current
this section, the analysis predicts that less United States Strategic Command contact
than 20 windows will break, advise the public information.
of the potential for glass breakage. (2) A launch operator must obtain a colli-
(c) Far field blast overpressure risk analysis. sion avoidance analysis performed by United
If a launch operator does not employ para- States Strategic Command 6 hours before
graph (b) of this section to perform a far the beginning of a launch window.
field overpressure hazard analysis, the (3) A launch operator may use a collision
launch operator must conduct a risk anal- avoidance analysis for 12 hours from the
ysis that demonstrates that the launch will time that United States Strategic Command
be conducted in accordance with the public determines the state vectors of the manned
risk criteria of § 417.107(b). or mannable orbiting objects. If a launch op-
(d) Far field blast overpressure effect prod- erator needs an updated collision avoidance
ucts. The products of a far field blast over- analysis due to a launch delay, the launch
pressure analysis that a launch operator operator must file the request with United
must file with the FAA include: States Strategic Command at least 12 hours

640
Pt. 417, App. A 14 CFR Ch. III (1–1–19 Edition)
prior to the beginning of the new launch win- (ii) Windows. All the times within an over-
dow. all launch window during which flight may
(4) For every 90 minutes, or portion of 90 be initiated.
minutes, that pass between the time United (5) Vector at injection. A launch operator
States Strategic Command last determined must identify the vector at injection for
the state vectors of the orbiting objects, a each segment. ‘‘Vector at injection’’ identi-
launch operator must expand each wait in a fies the position and velocity of all orbital or
launch window by subtracting 15 seconds suborbital segments after the thrust for a
from the start of the wait in the launch win- segment has ended.
dow and adding 15 seconds to the end of the (i) Epoch. The epoch time, in Greenwich
wait in the launch window. A launch oper- Mean Time (GMT), of the expected launch
ator must incorporate all the resulting waits vehicle liftoff time.
in the launch window into its flight commit (ii) Position and velocity. The position co-
criteria established as required by § 417.113. ordinates in the EFG coordinate system
(c) Information required. A launch operator measured in kilometers and the EFG compo-
must prepare a collision avoidance analysis nents measured in kilometers per second, of
worksheet for each launch using a standard- each launch vehicle stage or payload after
ized format that contains the input data re- any burnout, jettison, or deployment.
quired by this paragraph. A launch operator (6) Time of powered flight. The elapsed time
must file the input data with United States in seconds, from liftoff to arrival at the
Strategic Command for the purposes of com- launch vehicle vector at injection. The input
pleting a collision avoidance analysis. A data must include the time of powered flight
launch operator must file the input data for each stage or jettisoned component
with the FAA as part of the license applica- measured from liftoff.
tion process as required by § 415.115 of this (7) Time span for launch window file (LWF).
chapter. A launch operator must provide the fol-
lowing information regarding its launch win-
(1) Launch information. A launch operator
dow:
must file the following launch information:
(i) Launch window. The launch window
(i) Mission name. A mnemonic given to the
measured in minutes from the initial pro-
launch vehicle/payload combination identi-
posed liftoff time.
fying the launch mission from all others. (ii) Time of powered flight. The time pro-
(ii) Segment number. A segment is defined vided as required by paragraph (c)(6) of this
as a launch vehicle stage or payload after section measured in minutes rounded up to
the thrusting portion of its flight has ended. the nearest integer minute.
This includes the jettison or deployment of (iii) Screen duration. The time duration,
any stage or payload. A launch operator after all thrusting periods of flight have
must provide a separate worksheet for each ended, that a collision avoidance analysis
segment. For each segment, a launch oper- must screen for potential conjunctions with
ator must determine the ‘‘vector at injec- manned or mannable orbital objects. Screen
tion’’ as defined by paragraph (c)(5) of this duration is measured in minutes and must be
section. The data must present each segment greater than or equal to 100 minutes for an
number as a sequence number relative to the orbital launch.
total number of segments for a launch, such (iv) Extra pad. An additional period of time
as ‘‘1 of 5.’’ for collision avoidance analysis screening to
(iii) Launch window. The launch window ensure the entire first orbit is screened for
opening and closing times in Greenwich potential conjunctions with manned or
Mean Time (referred to as ZULU time) and mannable orbital objects. This time must be
the Julian dates for each scheduled launch 10 minutes unless otherwise specified by
attempt. United States Strategic Command.
(2) Point of contact. The person or office (v) Total. The summation total of the time
within a launch operator’s organization that spans provided as required by paragraphs
collects, analyzes, and distributes collision (c)(7)(i) through (c)(7)(iv) expressed in min-
avoidance analysis results. utes.
(3) Collision avoidance analysis analysis re- (8) Screening. A launch operator must se-
sults transmission medium. A launch operator lect spherical or ellipsoidal screening as de-
must identify the transmission medium, fined in this paragraph for determining any
such as voice, FAX, or e-mail, for receiving conjunction. The default must be the spher-
results from United States Strategic Com- ical screening method using an avoidance ra-
mand. dius of 200 kilometers for manned or
(4) Requestor launch operator needs. A mannable orbiting objects. If the launch op-
launch operator must indicate the types of erator requests screening for any unmanned
analysis output formats required for estab- or unmannable objects, the default must be
lishing flight commit criteria for a launch: the spherical screening method using a miss
(i) Waits. All the times within the launch distance of 25 kilometers.
window during which flight must not be ini- (i) Spherical screening. Spherical screening
tiated. utilizes an impact exclusion sphere centered

641
Commercial Space Transportation, FAA, DOT Pt. 417, App. B
on each orbiting object’s center-of-mass to The NOTAM must be effective no less than
determine any conjunction. A launch oper- thirty minutes prior to flight and effective
ator must specify the avoidance radius for until no sooner than thirty minutes after the
manned or mannable objects and for any un- air space volume requested by the NOTAM
manned or unmannable objects if the launch can no longer be affected by the launch vehi-
operator elects to perform the analysis for cle or its potential hazardous effects.
unmanned or unmannable objects. (2) A Notice to Mariners (NOTMAR) must
(ii) Ellipsoidal screening. Ellipsoidal screen- be issued for every ship hazard area identi-
ing utilizes an impact exclusion ellipsoid of fied as required by sections B417.5 and B417.7.
revolution centered on the orbiting object’s The NOTMAR must be effective no less than
center-of-mass to determine any conjunc- thirty minutes prior to flight and effective
tion. A launch operator must provide input until no sooner than thirty minutes after the
in the UVW coordinate system in kilometers. area requested by the NOTMAR can no
The launch operator must provide delta–U longer be affected by the launch vehicle or
measured in the radial-track direction,
its potential hazardous effects.
delta–V measured in the in-track direction,
and delta–W measured in the cross-track di- (3) All local officials and landowners adja-
rection. cent to any hazard area must be notified of
(9) Orbiting objects to evaluate. A launch op- the flight schedule no less than two days
erator must identify the orbiting objects to prior to the flight of the launch vehicle.
be included in the analysis. (b) A launch operator must survey each of
(10) Deliverable schedule/need dates. A the following hazard areas:
launch operator must identify the times be- (1) Each launch site hazard area;
fore flight, referred to as ‘‘L-times,’’ for (2) Each aircraft hazard area in the vicin-
which the launch operator requests a colli- ity of the launch site; and
sion avoidance analysis. (3) Each ship hazard area in the vicinity of
(d) Collision avoidance assessment products. the launch site.
A launch operator must file its collision
avoidance analysis products as required by B417.5 LAUNCH SITE HAZARD AREA
§ 417.203(e) and must include the input data
required by paragraph (c) of this section. A (a) General. A launch operator must per-
launch operator must incorporate the result form a launch site hazard area analysis that
of the collision avoidance analysis into its protects the public, aircraft, and ships from
flight commit criteria established as re- the hazardous activities in the vicinity of
quired by § 417.113. the launch site. The launch operator must
evacuate and monitor each launch site haz-
[Docket No. FAA–2000–7953, 71 FR 50537, Aug. ard area to ensure compliance with
25, 2006, as amended by Amdt. No. 417–5, 81 §§ 417.107(b)(2) and (b)(3).
FR 59439, Aug. 30, 2016] (b) Launch site hazard area analysis input. A
launch site hazard area must encompass no
APPENDIX B TO PART 417—FLIGHT HAZ- less than the following:
ARD AREA ANALYSIS FOR AIRCRAFT (1) Each land hazard area in the vicinity of
AND SHIP PROTECTION the launch site calculated as required by sec-
tion B417.13;
B417.1 S COPE
(2) Each ship hazard area in the vicinity of
This appendix contains requirements to es- the launch site calculated as required by sec-
tablish aircraft hazard areas, ship hazard tion B417.11(c); and
areas, and land impact hazard areas. The (3) The aircraft hazard area in the vicinity
methodologies contained in this appendix of the launch site calculated as required by
represent an acceptable means of satisfying section B417.9(c).
the requirements of § 417.107 and § 417.223 as
they pertain to ship, aircraft, and land haz- B417.7 DOWNRANGE HAZARD AREAS
ard areas. This appendix provides a standard
and a measure of fidelity against which the (a) General. A launch operator must per-
FAA will measure any proposed alternative form a downrange hazard area analysis that
approaches. Requirements for a launch oper- protects the public, aircraft, and ships from
ator’s implementation of a hazard area are the hazardous activities in the vicinity of
contained in §§ 417.121(e) and (f). each scheduled impact location.
(b) Downrange hazard areas analysis input.
B417.3 HAZARD AREA NOTIFICATIONS AND A launch hazard area must bound no less
SURVEILLANCE than the following:
(a) A launch operator must ensure the fol- (1) The aircraft hazard area in the vicinity
lowing notifications have been made and ad- of each planned impact location calculated
hered to at launch: as required by section B417.9(d);
(1) A Notice to Airmen (NOTAM) must be (2) The ship hazard area in the vicinity of
issued for every aircraft hazard area identi- each planned water impact location cal-
fied as required by sections B417.5 and B417.7. culated as required by section B417.11(d); and

642
Pt. 417, App. B 14 CFR Ch. III (1–1–19 Edition)
(3) The land hazard area in the vicinity of hicle’s calculated impact dispersion with a 5
each planned land impact location cal- nm buffer and the normal trajectory. A
culated as required by section B417.13. launch operator must compute an aircraft
hazard area in the vicinity of each planned
B417.9 AIRCRAFT HAZARD AREAS ANALYSIS impact location as follows:
(a) General. A launch operator must per- (1) The analysis must calculate a three-
form an aircraft hazard areas analysis as re- sigma dispersion ellipse by determining the
quired by § 417.223(b). A launch operator’s air- three-sigma impact limit around a planned
craft hazard areas analysis must determine impact location.
the aircraft hazard area in the vicinity of the (2) Taking the three-sigma dispersion el-
launch site and the aircraft hazard area in lipse calculated as required by paragraph
the vicinity of each planned impact location (d)(1) of this section, plot a co-centric ellipse
as required by this section. in the xy plane where the major and minor
(b) Aircraft hazard areas analysis input. A axes are 10nm longer than the major and
launch operator must account for the fol- minor axes of the three-sigma dispersion el-
lowing inputs to determine the aircraft haz- lipse.
ard areas: (3) Extend the ellipse calculated as re-
(1) The trajectory analysis performed as re- quired by paragraph (d)(2) of this section
quired by section A417.7 or section C417.3; from the surface to an infinite altitude.
and (4) Using the trajectory that predicts the
(2) The debris risk analysis performed as instantaneous impact locations required in
required by section A417.25 or section C417.9. section A417.7(g)(7)(xii) or section C417.3(d),
(c) Methodology for computing an aircraft find the location on the trajectory where the
hazard area in the vicinity of the launch site. vehicle’s nominal altitude is predicted to be
An aircraft hazard area analysis must deter- 100,000 ft MSL.
mine an aircraft hazard area that encom- (5) At the trajectory time where the alti-
passes the launch point from the surface of tude is represented as 100,000 ft MSL, select
the Earth to an altitude of 100,000 ft MSL the corresponding points from the normal
and wholly contains the launch vehicle’s trajectory dispersion that are the farthest
normal trajectory plus five nautical miles in uprange, downrange, right crossrange, and
every radial direction. A launch operator left crossrange relative to the nominal tra-
must calculate an aircraft hazard area in the jectory.
vicinity of the launch site as follows: (6) Construct a box in the xy plane that in-
(1) Using the trajectory analysis performed cludes two lines parallel to the azimuth, two
as required by section A417.7 or section lines perpendicular to the azimuth, and con-
C417.3, select all data locations where the ve- tains the points selected as required by para-
hicle’s nominal altitude, or positional com- graph (d)(5) of this section and the nominal
ponent on the z-axis, is less than and equal impact point.
to 100,000 ft MSL. (7) Extend the box constructed as required
(2) From the data locations representing by paragraph (d)(6) of this section from the
the dispersed trajectories calculated as re- surface of the Earth to an infinite altitude.
quired by section A417.7(d) or section (8) Construct a volume, the aircraft hazard
C417.3(f) and modified to incorporate a 5 nm area, that encompasses the volumes cal-
buffer as required by paragraph (c)(1) of this culated as required by paragraphs (d)(3) and
section for the data locations selected below (d)(7) of this section.
a nominal altitude of 100,000 ft MSL as re-
quired by paragraph (c)(1) of this section, se- B417.11 SHIP HAZARD AREAS ANALYSIS

lect the location that is the farthest left- (a) General. A flight hazard area analysis
hand crossrange, the location that is the far- must establish ship hazard areas bound by
thest right-hand crossrange, the location the 1 10 ¥ 5 ship impact contour in the vicin-
that is the farthest downrange, and the loca- ity of the launch site and the vehicle’s three-
tion that is the farthest uprange. sigma dispersion limit plus a 5 nm buffer in
(3) Construct a box in the xy plane that in- the vicinity of a planned, downrange impact
cludes two lines parallel to the azimuth, two location.
lines perpendicular to the azimuth, and con- (b) Ship hazard area analysis input. A
tains the four locations selected as required launch operator must account for the fol-
by paragraph (c)(2) of this section. lowing inputs to determine the ship hazard
(4) Extend the box constructed as required areas:
by paragraph (c)(3) of this section from the (1) The trajectory analysis performed as re-
surface of the Earth to an infinite altitude. quired by section A417.7 or section C417.3;
(d) Methodology for computing an aircraft (2) For a launch vehicle flown with a flight
hazard area in the vicinity of each planned im- safety system, the malfunction turn analysis
pact location. A launch operator must deter- required by section A417.9;
mine an aircraft hazard area in the vicinity (3) The debris analysis required by section
of each planned impact location from the A417.11 or section C417.7 to define the impact
surface of the Earth to an altitude of 100,000 locations of each class of debris established
ft MSL that wholly contains the launch ve- by the debris analysis;

643
Commercial Space Transportation, FAA, DOT Pt. 417, App. B
(4) For a launch vehicle flown with a flight (2) Taking the three-sigma dispersion el-
safety system, the time delay analysis re- lipse calculated as required by paragraph
quired by section A417.21; and (d)(1) of this section, plot a co-centric ellipse
(5) The debris risk analysis performed as in the xy plane where the major and minor
required by section A417.25 or section C417.9. axes are 10 nm longer than the major and
(c) Methodology for computing ship hazard minor axes of the three-sigma dispersion el-
areas in the vicinity of the launch site. The lipse.
analysis must establish the ship-hit contours
as follows: B417.13 LAND HAZARD AREAS ANALYSIS
(1) A ship-hit contour must account for the (a) General. A flight hazard area analysis
size of the largest ship that could be located must establish land hazard areas in the vi-
in the ship hazard area. The analysis must cinity of the launch site and land hazard
demonstrate that the ship size used rep- areas in the vicinity of each land impact lo-
resents the largest ship that could be present cation to ensure that the probability of a
in the ship hazard area or, if the ship size is member of the public being struck by debris
unknown, the analysis must use a ship size satisfies the probability threshold of 1 10 ¥ 6
of 120,000 square feet. required by § 417.107(b) and to determine ex-
(2) The analysis must first calculate the clusion areas that may require entry control
probability of impacting the reference ship and surveillance prior to initiation of flight.
selected as required by paragraph (c)(1) of The analysis must establish a land impact
this section at the location of interest. From hazard area that accounts for the effects of
the location of interest, move the ship away impacting debris resulting from normal and
from the launch location along a single ra- malfunctioning launch vehicle flight, except
dial until the probability that debris is for toxic effects, and accounts for potential
present at that location multiplied by the impact locations of all debris fragments. The
probability that a ship is at that location is land hazard area must encompass all indi-
less than or equal to 1  10¥ 5. When calcu- vidual casualty contours and the near- launch-
lating the probability of impacting a ship, an point blast hazard area calculated as required
impact occurs when: by paragraph (c) of this section. A launch
(i) The analysis predicts that inert debris operator may initiate flight only if no
will directly impact the vessel with a mean member of the public is present within the
expected kinetic energy at impact greater land hazard area.
than or equal to 11 ft-lbs; or (b) Land hazard areas analysis input. A land
(ii) The analysis predicts the peak incident hazard analysis must account for the fol-
overpressure at the reference vessel will be lowing inputs to determine the land hazard
greater than or equal to 1.0 psi due to any ex- area:
plosive debris impact. (1) The trajectory analysis performed as re-
(3) The analysis must account for: quired by section A417.7 or section C417.3;
(i) The variance in winds; (2) For a launch vehicle flown with a flight
(ii) The aerodynamic properties of the de- safety system, the malfunction turn analysis
bris; required by section A417.9;
(iii) The variance in velocity of the debris; (3) The debris analysis required by section
(iv) Guidance and performance errors; A417.11 or section C417.7 to define the impact
(v) The type of vehicle breakup, either by locations of each class of debris established
any flight termination system or by aero- by the debris analysis;
dynamic forces that may result in different (4) For a launch vehicle flown with a flight
debris characteristics; and safety system, the time delay analysis re-
(vi) Debris impact dispersion resulting quired by section A417.21; and
from vehicle breakup and the malfunction (5) The debris risk analysis performed as
turn capabilities of the launch vehicle. required by section A417.25 or section C417.9.
(4) Repeat the process outlined in para- (c) Methodology for computing land hazard
graph (c)(2) of this section while varying the areas in the vicinity of the launch site and in
radial direction until enough locations are the vicinity of each planned land impact loca-
found where the reference ship’s probability tion. The analysis must establish a land haz-
of impact is less than or equal to 1  10¥ 5 ard area as follows:
such that connecting each location will re- (1) Each land hazard area must completely
sult in a smooth and continuous contour. encompass all individual casualty contours
(d) Methodology for computing ship hazard that define where the risk to an individual
areas in the vicinity of each planned water im- would exceed the expected casualty (Ec) cri-
pact location. A launch operator must com- teria of 1 10 ¥ 6 if one person were assumed
pute a ship hazard area in the vicinity of to be in the open and inside the contour dur-
each planned impact location as required by ing launch vehicle flight. The analysis must
the following: produce an individual casualty contour as
(1) The analysis must calculate a three- follows:
sigma dispersion ellipse by determining the (i) The analysis must account for the loca-
three-sigma impact limit around a planned tion of a hypothetical person, and must vary
impact location. the location of the person to determine when

644
Pt. 417, App. B 14 CFR Ch. III (1–1–19 Edition)
the risk would exceed the E c criteria of 1  (5) For each launch vehicle breakup event,
10¥ 6. The analysis must count a person as a the analysis must account for trajectory and
casualty when the person’s location is sub- breakup dispersions, variations in debris
jected to any inert debris impact with a class characteristics, and debris dispersion
mean expected kinetic energy greater than due to any wind condition under which a
or equal to 11 ft-lbs or a peak incident over- launch would be attempted.
pressure equal to or greater than 1.0 psi due (6) The analysis must account for the prob-
to explosive debris impact. The analysis ability of failure of each launch vehicle stage
must determine the peak incident over- and the probability of existence of each de-
pressure using the Kingery-Bulmash rela- bris class. The analysis must account for the
tionship, without regard to sheltering, re- probability of occurrence of each type of
flections, or atmospheric effects. launch vehicle failure. The analysis must ac-
(ii) The analysis must account for all per- count for each vehicle failure probabilities
son locations that are no more than 1000 feet that vary depending on the time of flight.
apart in the downrange direction and no (7) In addition to failure debris, the anal-
more than 1000 feet apart in the crossrange ysis must account for nominal jettisoned
direction to produce an individual casualty body debris impacts and the corresponding
contour. For each person location, the anal- debris impact dispersions. The analysis must
ysis must sum all the probabilities of cas- use a probability of occurrence of 1.0 for the
ualty over all flight times for all debris planned debris fragments produced by nor-
groups. mal separation events during flight.
(iii) An individual casualty contour must (d) Near-launch-point blast hazard area. A
consist of curves that are smooth and con- land hazard area analysis must define a blast
tinuous. To accomplish this, the analysis overpressure hazard area as a circle extend-
must vary the time interval between each ing from the launch point with a radius
trajectory time assessed so that each loca- equal to the 1.0 psi overpressure distance
tion of a debris impact point is less than one- produced by the equivalent TNT weight of
half sigma of the downrange dispersion dis- the explosive capability of the vehicle. In ad-
tance. dition, the analysis must establish a min-
(2) The input for determining a land im- imum near-launch point blast hazard area to
pact hazard area must account for the fol- provide protection from hazardous fragments
lowing in order to define the impact loca- potentially propelled by an explosion. The
tions of each class of debris established by analysis must account for the maximum pos-
the debris analysis and the time delay anal- sible total solid and liquid propellant explo-
ysis required by section A417.21 for a launch sive potential of the launch vehicle and any
vehicle flown with a flight safety system: payload. The analysis must define a blast
(i) The results of the trajectory analysis overpressure hazard area using the following
required by section A417.7 or section C417.3; equations:
(ii) The malfunction turn analysis required Rop = 45 · (NEW) 1/3
by section A417.9 for a launch vehicle flown
Where:
with a flight safety system; and
(iii) The debris analysis required by sec- R op is the over pressure distance in feet.
tion A417.11 or section C417.7. NEW = W E ·C (pounds).
(3) The analysis must account for the ex- WE is the weight of the explosive in pounds.
tent of the impact debris dispersions for each C is the TNT equivalency coefficient of the
debris class produced by normal and mal- propellant being evaluated. A launch op-
functioning launch vehicle flight at each tra- erator must identify the TNT equiva-
jectory time. The analysis must also account lency of each propellant on its launch ve-
for how the vehicle breaks up, either by any hicle including any payload. TNT equiva-
flight termination system or by aerodynamic lency data for common liquid propellants
forces, if the different breakup may result in is provided in tables A417–1. Table A417–
a different probability of existence for each 2 provides factors for converting gallons
debris class. A land impact hazard area must of specified liquid propellants to pounds.
account for each impacting debris fragment (e) Other hazards. A flight hazard area
classified as required by section A417.11(c) or analysis must identify any additional haz-
section C417.7. ards, such as radioactive material, that may
(4) For a launch vehicle flown with a flight exist on the launch vehicle or payload. For
safety system, the analysis must account for each such hazard, the analysis must deter-
launch vehicle flight that exceeds a flight mine a hazard area that encompasses any de-
safety limit. The analysis must also account bris impact point and its dispersion and in-
for trajectory conditions that maximize the cludes an additional hazard radius that ac-
mean debris impact distance during the counts for potential casualty due to the ad-
flight safety system delay time determined ditional hazard. Analysis requirements for
as required by section A417.21 and account toxic release and far field blast overpressure
for a debris model that is representative of a are provided in sections A417.27 and A417.29,
flight termination or aerodynamic breakup. respectively.

645
Commercial Space Transportation, FAA, DOT Pt. 417, App. C
(f) Land impact dispersion ellipses. A land an unguided suborbital launch vehicle to de-
impact hazard area must contain the land termine:
impact dispersion ellipse for each planned (1) The launch vehicle’s nominal trajec-
land impact. A launch operator must com- tory;
pute a land impact dispersion ellipse in the (2) Each nominal drag impact point; and
vicinity of each planned land impact loca- (3) Each potential three-sigma dispersion
tion as follows: about each nominal drag impact point.
(1) The analysis must calculate a one- (b) Definitions. A launch operator must em-
sigma dispersion ellipse by determining the ploy the following definitions when deter-
one-sigma impact limit around a planned im- mining an unguided suborbital launch vehi-
pact location. cle’s trajectory and drag impact points:
(2) Taking the one-sigma dispersion ellipse (1) Drag impact point means the intersec-
calculated as required by paragraph (f)(1) of tion of a predicted ballistic trajectory of an
this section, plot a co-centric ellipse in the unguided suborbital launch vehicle stage or
xy plane where the major and minor axes are other impacting component with the Earth’s
10nm longer than the major and minor axes surface. A drag impact point reflects the ef-
of the one-sigma dispersion ellipse. fects of atmospheric influences as a function
of drag forces and mach number.
APPENDIX C TO PART 417—FLIGHT SAFE- (2) Maximum range trajectory means an opti-
TY ANALYSIS METHODOLOGIES AND mized trajectory, extended through fuel ex-
PRODUCTS FOR AN UNGUIDED SUB- haustion of each stage, to achieve a max-
ORBITAL LAUNCH VEHICLE FLOWN imum downrange drag impact point.
(3) Nominal trajectory means the trajectory
WITH A WIND WEIGHTING SAFETY that an unguided suborbital launch vehicle
SYSTEM will fly if all rocket aerodynamic parameters
C417.1 GENERAL are as expected without error, all rocket in-
ternal and external systems perform exactly
(a) This appendix contains methodologies as planned, and there are no external per-
for performing the flight safety analysis re- turbing influences, such as winds, other than
quired for the launch of an unguided sub- atmospheric drag and gravity.
orbital launch vehicle flown with a wind (4) Normal flight means all possible trajec-
weighting safety system, except for the haz- tories of a properly performing unguided sub-
ard area analysis required by § 417.107, which orbital launch vehicle whose drag impact
is covered in appendix B of this part. This point location does not deviate from its
appendix includes methodologies for a tra- nominal location more than three sigma in
jectory analysis, wind weighting analysis, each of the uprange, downrange, left
debris analysis, debris risk analysis, and a crossrange, or right crossrange directions.
collision avoidance analysis. (5) Performance error parameter means a
(b) The requirements of this appendix quantifiable perturbing force that contrib-
apply to a launch operator and the launch utes to the dispersion of a drag impact point
operator’s flight safety analysis unless the in the uprange, downrange, and cross-range
launch operator clearly and convincingly directions of an unguided suborbital launch
demonstrates that an alternative approach vehicle stage or other impacting launch ve-
provides an equivalent level of safety. hicle component. Performance error param-
(c) A launch operator must: eters for the launch of an unguided sub-
(1) Perform a flight safety analysis to de- orbital launch vehicle reflect rocket per-
termine the launch parameters and condi- formance variations and any external forces
tions under which an unguided suborbital that can cause offsets from the nominal tra-
launch vehicle may be flown using a wind jectory during normal flight. Performance
weighting safety system as required by
error parameters include thrust, thrust mis-
§ 417.233. alignment, specific impulse, weight, vari-
(2) When conducting the flight safety anal-
ation in firing times of the stages, fuel flow
ysis, comply with the safety criteria and
rates, contributions from the wind weighting
operational requirements contained in
safety system employed, and winds.
§ 417.125; and
(c) Input. A trajectory analysis requires
(3) Conduct the flight safety analysis for
the input necessary to produce a six-degree-
an unguided suborbital launch vehicle using
of-freedom trajectory. A launch operator
the methodologies of this appendix and ap-
must use each of the following as inputs to
pendix B of this part unless the launch oper-
the trajectory computations:
ator demonstrates, in accordance with
(1) Launcher data, as follows—
§ 406.3(b), through the licensing process, that
(i) Geodetic latitude and longitude;
an alternate method provides an equivalent (ii) Height above sea level;
level of fidelity. (iii) All location errors; and
C417.3 TRAJECTORY ANALYSIS (iv) Launch azimuth and elevation.
(2) Reference ellipsoidal Earth model, as
(a) General. A launch operator must per- follows—
form a trajectory analysis for the flight of (i) Name of the Earth model employed;

646
Pt. 417, App. C 14 CFR Ch. III (1–1–19 Edition)
(ii) Semi-major axis; paragraphs (d)(1)–(d)(3) of this section to de-
(iii) Semi-minor axis; termine the nominal trajectory and the
(iv) Eccentricity; nominal drag impact point locations for each
(v) Flattening parameter; impacting rocket stage and component:
(vi) Gravitational parameter; (1) A launch operator must identify each
(vii) Rotation angular velocity; performance error parameter associated with
(viii) Gravitational harmonic constants; the unguided suborbital launch vehicle’s de-
and sign and operation and the value for each pa-
(ix) Mass of the Earth. rameter that reflect nominal rocket per-
(3) Vehicle characteristics for each stage. A formance. A launch operator must identify
launch operator must identify the following each performance error parameter’s distribu-
for each stage of an unguided suborbital tion to account for all launch vehicle per-
launch vehicle’s flight: formance variations and any external forces
(i) Nozzle exit area of each stage. that can cause offsets from the nominal tra-
(ii) Distance from the rocket nose-tip to jectory during normal flight. These perform-
the nozzle exit for each stage. ance error parameters include thrust mis-
(iii) Reference drag area and reference di- alignment, thrust variation, weight vari-
ameter of the rocket including any payload ation, fin misalignment, impulse variation,
for each stage of flight. aerodynamic drag variation, staging timing
(iv) Thrust as a function of time. variation, stage separation-force variation,
(v) Propellant weight as a function of time. drag error, uncompensated wind, launcher
(vi) Coefficient of drag as a function of elevation angle error, launcher azimuth
mach number. angle error, launcher tip-off, and launcher
(vii) Distance from the rocket nose-tip to location error.
center of gravity as a function of time. (2) A launch operator must perform a no-
(viii) Yaw moment of inertia as a function wind trajectory simulation using a six-de-
of time. grees-of-freedom (6–DOF) trajectory simula-
(ix) Pitch moment of inertia as a function tion with all performance error parameters
of time. set to their nominal values to determine the
(x) Pitch damping coefficient as a function impact point of each stage or component.
of mach number. The 6–DOF trajectory simulation must pro-
(xi) Aerodynamic damping coefficient as a vide rocket position translation along three
function of mach number. axes of an orthogonal Earth-centered coordi-
(xii) Normal force coefficient as a function nate system and rocket orientation in roll,
of mach number. pitch and yaw. The 6–DOF trajectory simula-
(xiii) Distance from the rocket nose-tip to tion must compute each translation and ori-
center of pressure as a function of mach entation in response to forces and moments
number. internal and external to the rocket including
(xiv) Axial force coefficient as a function all the effects of the input data required by
of mach number. paragraph (c) of this section. A launch oper-
(xv) Roll rate as a function of time. ator may incorporate the following assump-
(xvi) Gross mass of each stage. tions in a 6–DOF trajectory simulation:
(xvii) Burnout mass of each stage. (i) The airframe may be treated as a rigid
(xviii) Vacuum thrust. body.
(xix) Vacuum specific impulse. (ii) The airframe may have a plane of sym-
(xx) Stage dimensions. metry coinciding with the vertical plane of
(xxi) Weight of each spent stage. reference.
(xxii) Payload mass properties. (iii) The vehicle may have aerodynamic
(xxiii) Nominal launch elevation and azi- symmetry in roll.
muth. (iv) The airframe may have six degrees-of-
(4) Launch events. Each stage ignition freedom.
times, each stage burn time, and each stage (v) The aerodynamic forces and moments
separation time, referenced to ignition time may be functions of mach number and may
of first stage. be linear with small flow incidence angles of
(5) Atmosphere. Density as a function of al- attack.
titude, pressure as a function of altitude, (3) A launch operator must tabulate the
speed of sound as a function of altitude, tem- geodetic latitude and longitude of the launch
perature as a function of altitude. vehicle’s nominal drag impact point as a
(6) Wind errors. Error in measurement of function of trajectory time and the final
wind direction as a function of altitude and nominal drag impact point of each planned
wind magnitude as a function of altitude, impacting stage or component.
wind forecast error, such as error due to (e) Methodology for determining maximum
time delay from wind measurement to downrange drag impact points. A launch oper-
launch. ator must compute the maximum possible
(d) Methodology for determining the nominal downrange drag impact point for each launch
trajectory and nominal drag impact points. A vehicle stage and impacting component. A
launch operator must employ the steps in launch operator must use the nominal drag

647
Commercial Space Transportation, FAA, DOT Pt. 417, App. C
impact point methodology, as defined by component. A launch operator may either
paragraph (d) of this section, modified to op- perform a Monte Carlo analysis that ac-
timize the unguided suborbital launch vehi- counts for the distribution of each perform-
cle’s performance and flight profile to create ance error parameter or determine the dis-
the conditions for a maximum downrange persion by a root-sum-square method under
drag impact point, including fuel exhaustion paragraph (f)(2) of this section.
for each stage and impacting component. (2) When using a root-sum-square method
(f) Methodology for computing drag impact to determine dispersion, a launch operator
point dispersions. A launch operator must em- must determine the deviations for a given
ploy the steps in paragraphs (f)(1)–(f)(3) of stage by evaluating the deviations produced
this section when determining the disper-
in that stage due to the performance errors
sions in terms of drag impact point distance
in that stage and all preceding stages of the
standard deviations in uprange, downrange,
launch vehicle as illustrated in Table C417–1,
and crossrange direction from the nominal
drag impact point location for each stage and by computing the square root of the sum
and impacting component: of the squares of each deviation caused by
(1) For each stage of flight, a launch oper- each performance error parameter’s one
ator must identify the plus and minus one- sigma dispersion for each stage in each of
sigma values for each performance error pa- the right crossrange, left crossrange,
rameter identified as required by paragraph uprange and downrange directions. A launch
(d)(1) of this section (i.e., nominal value plus operator must evaluate the performance er-
one standard deviation and nominal value rors for one stage at a time, with the per-
minus one standard deviation). A launch op- formance of all subsequent stages assumed
erator must determine the dispersion in to be nominal. A launch operator’s root-sum-
downrange, uprange, and left and right square method must incorporate the fol-
crossrange for each impacting stage and lowing requirements:

648
Pt. 417, App. C 14 CFR Ch. III (1–1–19 Edition)
(i) With the 6-DOF trajectory simulation tance value for each direction represents the
used to determine nominal drag impact total one-sigma drag impact point dispersion
points as required by paragraph (d) of this in that direction for the nominal drag im-
section, perform a series of trajectory sim- pact point location of that stage. Use these
ulation runs for each stage and planned deviations when determining the total drag
ejected debris, such as a fairing, payload, or impact point dispersions for the subsequent
other component, and, for each simulation, stage impacts.
model only one performance error parameter (3) A launch operator must determine a
set to either its plus or minus one-sigma three-sigma dispersion area for each impact-
value. For a given simulation run, set all ing stage or component as an ellipse that is
other performance error parameters to their centered at the nominal drag impact point
nominal values. Continue until achieving a location and has semi-major and semi-minor
trajectory simulation run for each plus one- axes along the uprange, downrange, left
sigma performance error parameter value crossrange, and right crossrange axes. The
and each minus one-sigma performance error length of each axis must be three times as
parameter value for the stage or the planned large as the total one-sigma drag impact
ejected debris being evaluated. For each tra- point dispersions in each direction.
jectory simulation run and for each impact (g) Trajectory analysis products for a sub-
being evaluated, tabulate the downrange, orbital launch vehicle. A launch operator must
uprange, left crossrange, and right file the following products of a trajectory
crossrange drag impact point distance devi- analysis for an unguided suborbital launch
ations measured from the nominal drag im- vehicle with the FAA as required by
pact point location for that stage or planned § 417.203(e):
debris. (1) A description of the process that the
(ii) For uprange, downrange, right launch operator used for performing the tra-
crossrange, and left crossrange, compute the jectory analysis, including the number of
square root of the sum of the squares of the simulation runs and the process for any
distance deviations in each direction. The Monte Carlo analysis performed.
square root of the sum of the squares dis- (2) A description of all assumptions and
tance value for each direction represents the procedures the launch operator used in deriv-
one-sigma drag impact point dispersion in ing each of the performance error param-
that direction. For a multiple stage rocket, eters and their standard deviations.
perform the first stage series of simulation (3) Launch point origin data: name, geo-
runs with all subsequent stage performance detic latitude (+N), longitude (+E), geodetic
error parameters set to their nominal value. height, and launch azimuth measured clock-
Tabulate the uprange, downrange, right wise from true north.
crossrange, and left crossrange distance devi- (4) Name of reference ellipsoid Earth model
ations from the nominal impact for each sub- used. If a launch operator employs a ref-
sequent drag impact point location caused erence ellipsoid Earth model other than
by the first stage one-sigma performance WGS–84, Department of Defense World Geo-
error parameter. Use these deviations in de- detic System, Military Standard 2401 (Jan.
termining the total drag impact point dis- 11, 1994), the launch operator must identify
persions for the subsequent stage impacts as the semi-major axis, semi-minor axis, eccen-
described in paragraph (f)(2)(iii) of this sec- tricity, flattening parameter, gravitational
tion. parameter, rotation angular velocity, gravi-
(iii) For each subsequent stage impact of tational harmonic constants (e.g., J2, J3, J4),
an unguided suborbital launch vehicle, deter- and mass of Earth.
mine the one-sigma impact dispersions by (5) If a launch operator converts latitude
first determining the one-sigma distance de- and longitude coordinates between different
viations for that stage impact caused by ellipsoidal Earth models to complete a tra-
each preceding stage as described in para- jectory analysis, the launch operator must
graph (f)(2)(ii) of this section. Then perform file the equations for geodetic datum conver-
a series of simulation runs and tabulate the sions and a sample calculation for con-
uprange, downrange, right crossrange, and verting the geodetic latitude and longitude
left crossrange drag impact point distance coordinates between the models employed.
deviations as described in paragraph (f)(2)(i) (6) A launch operator must file tabular
of this section for that stage’s one-sigma data that lists each performance error pa-
performance error parameter values with the rameter used in the trajectory computations
preceding stage performance parameters set and each performance error parameter’s plus
to nominal values. For each uprange, and minus one-sigma values. If the launch
downrange, right crossrange, and left operator employs a Monte Carlo analysis
crossrange direction, compute the square method for determining the dispersions
root of the sum of the squares of the stage about the nominal drag impact point, the
impact distance deviations due to that tabular data must list the total one-sigma
stage’s and each preceding stage’s one-sigma drag impact point distance deviations in
performance error parameter values. This each direction for each impacting stage and
square root of the sum of the squares dis- component. If the launch operator employs

649
Commercial Space Transportation, FAA, DOT Pt. 417, App. C
the square root of the sum of the squares sigma impact dispersion area boundary.
method of paragraph (f)(2) of this section, Each three-sigma dispersion area must be de-
the tabular data must include the one-sigma scribed by no less than 20 coordinate pairs.
drag impact point distance deviations in All coordinates must be rounded to the
each direction due to each one-sigma per- fourth decimal point.
formance error parameter value for each im-
pacting stage and component. C417.5 WIND WEIGHTING ANALYSIS
(7) A launch operator must file a graphical
depiction showing geographical landmasses (a) General. As part of a wind weighting
and the nominal and maximum range trajec- safety system, a launch operator must per-
tories from liftoff until impact of the final form a wind weighting analysis to determine
stage. The graphical depiction must plot tra- launcher azimuth and elevation settings that
jectory points in time intervals of no greater correct for the windcocking and wind-drift
than one second during thrusting flight and effects on an unguided suborbital launch ve-
for times corresponding to ignition, thrust hicle due to forecasted winds in the airspace
termination or burnout, and separation of region of flight. A launch operator’s wind
each stage or impacting body. If there are weighting safety system and its operation
less than four seconds between stage separa- must comply with § 417.125(c). The launch
tion or other jettison events, a launch oper- azimuth and elevation settings resulting
ator must reduce the time intervals between from a launch operator’s wind weighting
plotted trajectory points to 0.2 seconds or analysis must produce a trajectory, under
less. The graphical depiction must show actual wind conditions, that results in a
total launch vehicle velocity as a function of final stage drag impact point that is the
time, present-position ground-range as a same as the final stage’s nominal drag im-
function of time, altitude above the ref- pact point determined according to section
erence ellipsoid as a function of time, and C417.3(d).
the static stability margin as a function of (b) Wind weighting analysis constraints. (1) A
time. launch operator’s wind weighting analysis
(8) A launch operator must file tabular must:
data that describes the nominal and max- (i) Account for the winds in the airspace
imum range trajectories from liftoff until region through which the rocket will fly. A
impact of the final stage. The tabular data launch operator’s wind weighting safety sys-
must include the time after liftoff, altitude tem must include an operational method of
above the reference ellipsoid, present posi- determining the wind direction and wind
tion ground range, and total launch vehicle magnitude at all altitudes that the rocket
velocity for ignition, burnout, separation, will reach up to the maximum altitude de-
booster apogee, and booster impact of each fined by dispersion analysis as required by
stage or impacting body. The launch oper- section C417.3.
ator must file the tabular data for the same
(ii) Account for all errors due to the meth-
time intervals required by paragraph (g)(7) of
ods used to measure the winds in the air-
this section.
space region of the launch, delay associated
(9) A launch operator must file a graphical
with wind measurement, and the method
depiction showing all geographical
used to model the effects of winds. The re-
landmasses and the unguided suborbital
sulting sum of these error components must
launch vehicle’s drag impact point for the
be no greater than those used as the wind
nominal trajectory, the maximum impact
error dispersion parameter in the launch ve-
range boundary, and the three-sigma drag
hicle trajectory analysis performed as re-
impact point dispersion area for each im-
quired by section C417.3.
pacting stage or component. The graphical
depiction must show the following in rela- (iii) Account for the dispersion of all im-
tionship to each other: The nominal trajec- pacting debris, including any uncorrected
tory, a circle whose radius represents the wind error accounted for in the trajectory
range to the farthest downrange impact analysis performed as required by section
point that results from the maximum range C417.3.
trajectory, and the three-sigma drag impact (iv) Establish flight commit criteria that
point dispersions for each impacting stage are a function of the analysis and oper-
and component. ational methods employed and reflect the
(10) A launch operator must file tabular maximum wind velocities and wind varia-
data that describes the nominal trajectory, bility for which the results of the wind
the maximum impact range boundary, and weighting analysis are valid.
each three-sigma drag impact point disper- (v) Account for the wind effects during
sion area. The tabular data must include the each thrusting phase of an unguided sub-
geodetic latitude (positive north of the equa- orbital launch vehicle’s flight and each bal-
tor) and longitude (positive east of the listic phase of each rocket stage and compo-
Greenwich Meridian) of each point describ- nent until burnout of the last stage.
ing the nominal drag impact point positions, (vi) Determine the impact point location
the maximum range circle, and each three- for any parachute recovery of a stage or

650
Pt. 417, App. C 14 CFR Ch. III (1–1–19 Edition)
component or the launch operator must per- altitude, from a later lower altitude balloon
form a wind drift analysis to determine the release is not consistent with the wind meas-
parachute impact point location. urement, for the same altitude, from the 95%
(2) A launch operator must perform a wind wind effect altitude balloon release.
weighting analysis using a six-degrees-of- (iii) Measure winds from ground level to an
freedom (6–DOF) trajectory simulation that altitude of no less than that necessary to ac-
targets an impact point using an iterative count for 80% of the wind effect on the im-
process. The 6–DOF simulation must account pact dispersion point twice within 30 min-
for launch day wind direction and wind mag- utes of liftoff. Use the first measurement to
nitude as a function of altitude. set launcher azimuth and elevation, and the
(3) A launch operator must perform a wind second measurement to verify the first
weighting analysis using a computer pro- measurement data.
gram or other method of editing wind data, (2) A launch operator must perform runs of
recording the time the data was obtained, the 6–DOF trajectory simulation using the
and recording the balloon number or identi- flight day measured winds as input and tar-
fication of any other measurement device geting for the nominal final stage drag im-
used for each wind altitude layer. pact point. In an iterative process, vary the
(c) Methodology for performing a wind launcher elevation angle and azimuth angle
weighting analysis. A launch operator’s meth- settings for each simulation run until the
od for performing a wind weighting analysis nominal final stage impact point is achieved.
on the day of flight must account for the fol- The launch operator must use the resulting
lowing: launcher elevation angle and azimuth angle
(1) A launch operator must measure the settings to correct for the flight day winds.
winds on the day of flight to determine wind
The launch operator must not initiate flight
velocity and direction. A launch operator’s
unless the launcher elevation angle and azi-
process for measuring winds must provide
muth angle settings after wind weighting are
wind data that is consistent with any as-
in accordance with the following:
sumptions made in the launch operator’s tra-
(i) The launcher elevation angle setting re-
jectory and drag impact point dispersion
analysis, as required by section C417.3, re- sulting from the wind weighting analysis
garding the actual wind data available on must not exceed 5from the nominal
the day of flight. Wind measurements must launcher elevation angle setting and must
be made at altitude increments such that the not exceed a total of 86 for a proven launch
maximum correction between any two meas- vehicle, and 84 for an unproven launch vehi-
urements does not exceed 5%. Winds must be cle. A launch operator’s nominal launcher
measured from the ground level at the elevation angle setting must be as required
launch point to a maximum altitude that is by § 417.125(c)(3).
consistent with the launch operator’s drag (ii) The launcher azimuth angle setting re-
impact point dispersion analysis. The max- sulting from the wind weighting analysis
imum wind measurement altitude must be must not exceed + 30from the nominal
that necessary to account for 99% of the launcher azimuth angle setting unless the
wind effect on the impact dispersion point. A launch operator demonstrates clearly and
launch operator’s wind measuring process convincingly, through the licensing process,
must employ the use of balloons and radar that its unguided suborbital launch vehicle
tracking or balloons fitted with a Global Po- has a low sensitivity to high wind speeds,
sitioning System transceiver, and must ac- and the launch operator’s wind weighting
count for the following: analysis and wind measuring process provide
(i) Measure winds from ground level to an an equivalent level of safety.
altitude of at least that necessary to account (3) Using the trajectory produced in para-
for 99% of the wind effect on the impact dis- graph (c)(2) of this section, for each inter-
persion point within six hours before flight mediate stage and planned ejected compo-
and after any weather front passes the nent, a launch operator must compute the
launch site before liftoff. Repeat a wind impact point that results from wind drift by
measurement up to the maximum altitude performing a run of the 6-DOF trajectory
whenever a wind measurement, for any given simulation with the launcher angles deter-
altitude, from a later balloon release is not mined in paragraph (c)(2) of this section and
consistent with a wind measurement, for the the flight day winds from liftoff until the
same altitude, from an earlier balloon re- burnout time or ejection time of the stage or
lease. ejected component. The resulting impact
(ii) Measure winds from ground level to an point(s) must be accounted for when per-
altitude of at least that necessary to account forming flight day ship-hit operations de-
for 95% of the wind effect on the impact dis- fined in section B417.11(c).
persion point within four hours before flight (4) If a parachute is used for any stage or
and after any weather front passes the component, a launch operator must deter-
launch site before liftoff. Repeat a wind mine the wind drifted impact point of the
measurement to the 95% wind effect altitude stage or component using a trajectory sim-
whenever a wind measurement, for any given ulation that incorporates modeling for the

651
Commercial Space Transportation, FAA, DOT Pt. 417, App. C
change in aerodynamics at parachute ejec- fragments represented by that class that all
tion. Perform this simulation run in addition the debris fragments of the class can be de-
to any simulation of spent stages without scribed by a single set of characteristics.
parachutes. Paragraph (c)(10) of this section applies when
(5) A launch operator must verify that the establishing a debris class. A debris model
launcher elevation angle and azimuth angle must describe the physical, aerodynamic,
settings at the time of liftoff are the same as and harmful characteristics of each debris
required by the wind weighting analysis. fragment either individually or as a member
(6) A launch operator must monitor and of a class. A debris model must consist of
verify that any wind variations and max- lists of individual debris or debris classes for
imum wind limits at the time of liftoff are each cause of breakup and any planned jet-
within the flight commit criteria established tison of debris, launch vehicle components,
according to § 417.113(c). or payload. A debris analysis must account
(7) A launch operator must generate out- for:
put data from its wind weighting analysis for (1) Debris due to any malfunction where
each impacting stage or component in print- forces on the launch vehicle may exceed the
ed, plotted, or computer medium format. launch vehicle’s structural integrity limits.
This data must include: (2) The immediate post-breakup or jettison
(i) Launch day wind measurement data, in- environment of the launch vehicle debris,
cluding magnitude and direction. and any change in debris characteristics over
(ii) The results of each computer run made time from launch vehicle breakup or jettison
using the launch day wind measurement until debris impact.
data, including but not limited to, launcher (3) The impact overpressure, fragmenta-
settings, and impact locations for each stage tion, and secondary debris effects of any con-
or component. fined or unconfined solid propellant chunks
(iii) Final launcher settings recorded. and fueled components containing either liq-
(d) Wind weighting analysis products. The uid or solid propellants that could survive to
products of a launch operator’s wind impact, as a function of vehicle malfunction
weighting analysis filed with the FAA as re- time.
quired by § 417.203(e) must include the fol- (4) The effects of impact of the intact vehi-
lowing: cle as a function of failure time. The intact
(1) A launch operator must file a descrip- impact debris analysis must identify the tri-
tion of its wind weighting analysis methods, nitrotoluene (TNT) yield of impact explo-
including its method and schedule of deter- sions, and the numbers of fragments pro-
mining wind speed and wind direction for jected from all such explosions, including
each altitude layer. non-launch vehicle ejecta and the blast over-
(2) A launch operator must file a descrip- pressure radius. The analysis must use a
tion of its wind weighting safety system and model for TNT yield of impact explosion that
identify all equipment used to perform the accounts for the propellant weight at im-
wind weighting analysis, such as any wind pact, the impact speed, the orientation of
towers, balloons, or Global Positioning Sys- the propellant, and the impacted surface ma-
tem wind measurement system employed terial.
and the type of trajectory simulation em- (c) Debris model. A debris analysis must
ployed. produce a model of the debris resulting from
(3) A launch operator must file a sample planned jettison and from unplanned break-
wind weighting analysis using actual or sta- up of a launch vehicle for use as input to
tistical winds for the launch area and pro- other analyses, such as establishing hazard
vide samples of the output required by para- areas and performing debris risk and toxic
graph (c)(7) of this section. analyses. A launch operator’s debris model
must satisfy the following:
C417.7 DEBRIS ANALYSIS
(1) Debris fragments. A debris model must
(a) General. A flight safety analysis must provide the debris fragment data required by
include a debris analysis that satisfies the this section for the launch vehicle flight
requirements of § 417.211. This section applies from the planned ignition time until thrust
to the debris data required by § 417.211 and termination of the last thrusting stage. A
the debris analysis products that a launch debris model must provide debris fragment
operator must file with the FAA as required data for the number of time periods suffi-
by § 417.203(e). cient to meet the requirements for smooth
(b) Debris analysis constraints. A debris and continuous contours used to define haz-
analysis must produce the debris model de- ard areas as required by appendix B of this
scribed in paragraph (c) of this section. The part.
analysis must account for all launch vehicle (2) Inert fragments. A debris model must
debris fragments, individually or in identify all inert fragments that are not
groupings of fragments called classes. The volatile and that do not burn or explode
characteristics of each debris fragment rep- under normal and malfunction conditions. A
resented by a class must be similar enough debris model must identify all inert frag-
to the characteristics of all the other debris ments for each breakup time during flight

652
Pt. 417, App. C 14 CFR Ch. III (1–1–19 Edition)
corresponding to a critical event when the (ii) Identify the distribution, and state
fragment catalog is significantly changed by whether or not the specified maximum value
the event. Critical events include staging, is a fixed value with no uncertainty.
payload fairing jettison, and other normal (7) Fragment projected area. A debris model
hardware jettison activities. must include each of the axial, transverse,
(3) Explosive and non-explosive propellant and mean tumbling areas of each fragment.
fragments. A debris model must identify all If the fragment may stabilize under normal
propellant fragments that are explosive or or malfunction conditions, the debris model
non-explosive upon impact. The debris model must also provide the projected area normal
must describe each propellant fragment as a to the drag force.
function of time, from the time of breakup (8) Fragment ballistic coefficient. A debris
through ballistic free-fall to impact. The de- model must include the axial, transverse,
bris model must describe the characteristics and tumble orientation ballistic coefficient
of each fragment, including its origin on the for each fragment’s projected area as re-
launch vehicle, representative dimensions quired by paragraph (c)(7) of this section.
and weight at the time of breakup and at the (9) Debris fragment count. A debris model
time of impact. For any fragment identified must include the total number of each type
as an un-contained or contained propellant of fragment required by paragraphs (c)(2),
fragment, whether explosive or non-explo- (c)(3), and (c)(4) of this section and created
sive, the debris model must identify whether by a malfunction.
or not it burns during free fall, and provide
(10) Fragment classes. A debris model must
the consumption rate during free fall. The
categorize malfunction debris fragments into
debris model must identify:
classes where the characteristics of the mean
(i) Solid propellant that is exposed directly fragment in each class conservatively rep-
to the atmosphere and that burns but does
resent every fragment in the class. The
not explode upon impact as ‘‘un-contained
model must define fragment classes for frag-
non-explosive solid propellant.’’
ments whose characteristics are similar
(ii) Solid or liquid propellant that is en- enough to be described and treated by a sin-
closed in a container, such as a motor case gle average set of characteristics. A debris
or pressure vessel, and that burns but does
class must categorize debris by each of the
not explode upon impact as ‘‘contained non-
following characteristics, and may include
explosive propellant.’’
any other useful characteristics:
(iii) Solid or liquid propellant that is en-
(i) The type of fragment, defined by para-
closed in a container, such as a motor case
graphs (c)(2), (c)(3), and (c)(4) of this section.
or pressure vessel, and that explodes upon
All fragments within a class must be the
impact as ‘‘contained explosive propellant
same type, such as inert or explosive.
fragment.’’
(ii) Debris subsonic ballistic coefficient
(iv) Solid propellant that is exposed di- (bsub). The difference between the smallest
rectly to the atmosphere and that explodes
log 10(bsub) value and the largest log 10(bsub )
upon impact as ‘‘un-contained explosive
value in a class must not exceed 0.5, except
solid propellant fragment.’’
for fragments with bsub less than or equal to
(4) Other non-inert debris fragments. In addi- three. Fragments with bsub less than or equal
tion to the explosive and flammable frag- to three may be grouped within a class.
ments identified under paragraph (c)(3) of
(iii) Breakup-imparted velocity (DV). A de-
this section, a debris model must identify
bris model must categorize fragments as a
any other non-inert debris fragments, such
function of the range of DV for the fragments
as toxic or radioactive fragments, that
within a class and the class’s median sub-
present any other hazards to the public.
sonic ballistic coefficient. For each class, the
(5) Fragment weight. At each modeled debris model must keep the ratio of the max-
breakup time, the individual fragment imum breakup-imparted velocity (DVmax) to
weights must approximately add up to the minimum breakup-imparted velocity (DVmin)
sum total weight of inert material in the ve-
within the following bound:
hicle and the weight of contained liquid pro-
pellants and solid propellants that are not
consumed in the initial breakup or con- 
Vmax  5
2  log10  ’sub 
flagration.
(6) Fragment imparted velocity. A debris
model must identify the maximum velocity

Where:
imparted to each fragment due to potential Vmin
explosion or pressure rupture. When account- bsub is the median subsonic ballistic coeffi-
ing for imparted velocity, a debris model cient for the fragments in a class.
must: (d) Debris analysis products. The products of
(i) Use a Maxwellian distribution with the a debris analysis that a launch operator
specified maximum value equal to the 97th must file with the FAA as required by
percentile; or § 417.203(e) must include:

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Commercial Space Transportation, FAA, DOT Pt. 417, App. C
(1) Debris model. The launch operator’s de- ment class created by explosive or over-
bris model that satisfies the requirements of pressure loads at breakup. The launch oper-
this section. ator must identify the velocity distribution
(2) Fragment description. A description of as Maxwellian or must define the distribu-
the fragments contained in the launch opera- tion, including whether or not the specified
tor’s debris model. The description must maximum value is a fixed value with no un-
identify the fragment as a launch vehicle certainty.
part or component, describe its shape, rep- (11) Fragment type. The fragment type for
resentative dimensions, and may include each fragment established as required by
drawings of the fragment. paragraphs (c)(2), (c)(3), and (c)(4) of this sec-
(3) Intact impact TNT yield. For an intact tion.
impact of a launch vehicle, for each failure (12) Origin. The part of the launch vehicle
time, a launch operator must identify the from which each fragment originated.
TNT yield of each impact explosion and blast (13) Burning propellant classes. The propel-
overpressure hazard radius. lant consumption rate for those fragments
(4) Fragment class data. The class name, the that burn during free-fall.
range of values for each parameter used to (14) Contained propellant fragments, explosive
categorize fragments within a fragment or non-explosive. For contained propellant
class, and the number of fragments in any fragments, whether explosive or non-explo-
fragment class established as required by sive, a launch operator must provide the ini-
paragraph (c)(10) of this section. tial weight of contained propellant and the
(5) Ballistic coefficient. The mean ballistic consumption rate during free-fall. The ini-
coefficient (b) and plus and minus three- tial weight of the propellant in a contained
sigma values of the b for each fragment propellant fragment is the weight of the pro-
class. A launch operator must provide graphs pellant before any of the propellant is con-
of the coefficient of drag (Cd) as a function of sumed by normal vehicle operation or failure
Mach number for the nominal and three- of the launch vehicle.
sigma b variations for each fragment shape. (15) Solid propellant fragment snuff-out pres-
The launch operator must label each graph sure. The ambient pressure and the pressure
with the shape represented by the curve and
at the surface of a solid propellant fragment,
reference area used to develop the curve. A
in pounds per square inch, required to sus-
launch operator must provide a C d vs. Mach
tain a solid propellant fragment’s combus-
curve for any axial, transverse, and tumble
tion during free-fall.
orientations for any fragment that will not
(16) Other non-inert debris fragments. For
stabilize during free-fall conditions. For any
each non-inert debris fragment identified as
fragment that may stabilize during free-fall,
a launch operator must provide C d vs. Mach required by paragraph (c)(4) of this section, a
launch operator must describe the diffusion,
curves for the stability angle of attack. If
dispersion, deposition, radiation, and other
the angle of attack where the fragment sta-
hazard exposure characteristics used to de-
bilizes is other than zero degrees, a launch
operator must provide both the coefficient of termine the effective casualty area required
lift (CL) vs. Mach number and the C d vs. Mach by paragraph (c)(9) of this section.
number curves. The launch operator must (17) Residual thrust dispersion. For each
provide the equations for each Cd vs. Mach thrusting or non-thrusting stage having re-
curve. sidual thrust capability following a launch
(6) Pre-flight propellant weight. The initial vehicle malfunction, a launch operator must
preflight weight of solid and liquid propel- provide either the total residual impulse im-
lant for each launch vehicle component that parted or the full-residual thrust in foot-
contains solid or liquid propellant. pounds as a function of breakup time. For
(7) Normal propellant consumption. The any stage not capable of thrust after a
nominal and plus and minus three-sigma launch vehicle malfunction, a launch oper-
solid and liquid propellant consumption rate, ator must provide the conditions under
and pre-malfunction consumption rate for which the stage is no longer capable of
each component that contains solid or liquid thrust. For each stage that can be ignited as
propellant. a result of a launch vehicle malfunction on a
(8) Fragment weight. The mean and plus and lower stage, a launch operator must identify
minus three-sigma weight of each fragment the effects and duration of the potential
or fragment class. thrust, and the maximum deviation of the
(9) Projected area. The mean and plus and instantaneous impact point which can be
minus three-sigma axial, transverse, and brought about by the thrust.
tumbling areas for each fragment or frag- C417.9 DEBRIS RISK
ment class. This information is not required
for those fragment classes classified as burn- (a) General. A launch operator must per-
ing propellant classes under section form a debris risk analysis that satisfies the
A417.25(b)(8). requirements of § 417.225. This section applies
(10) Imparted velocities. The maximum in- to the computation of the average number of
cremental velocity imparted to each frag- casualties (Ec) to the collective members of

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Pt. 417, App. C 14 CFR Ch. III (1–1–19 Edition)
the public exposed to inert and explosive de- (5) A debris risk analysis must account for
bris hazards from the proposed flight of an launch vehicle failure probability. The fol-
unguided suborbital launch vehicle as re- lowing constraints apply:
quired by § 417.225 and to the analysis prod- (i) For flight safety analysis purposes, a
ucts that the launch operator must file with failure occurs when a vehicle does not com-
the FAA as required by § 417.203(e). plete any phase of normal flight or exhibits
(b) Debris risk analysis constraints. The fol- the potential for the stage or its debris to
lowing constraints apply to debris risk: impact the Earth or reenter the atmosphere
(1) A debris risk analysis must use valid during the mission or any future mission of
risk analysis models that compute Ec as the similar vehicle capability. Also, either a
summation over all trajectory time intervals launch incident or launch accident con-
from lift-off through impact of the products stitutes a failure.
of the probability of each possible event and (ii) For a launch vehicle with fewer than 2
the casualty consequences due to debris im- flights completed, the analysis must use a
pacts for each possible event. reference value for the launch vehicle failure
(2) A debris risk analysis must account for probability estimate equal to the upper limit
the following populations: of the 60% two-sided confidence limits of the
(i) The overflight of populations located in- binomial distribution for outcomes of all
side any flight hazard area. previous launches of vehicles developed and
(ii) All populations located within five- launched in similar circumstances. The FAA
may adjust the failure probability estimate
sigma left and right crossrange of a nominal
to account for the level of experience dem-
trajectory instantaneous impact point
onstrated by the launch operator and other
ground trace and within five-sigma of each
factors that affects the probability of fail-
planned nominal debris impact.
ure. The FAA may adjust the failure prob-
(3) A debris risk analysis must account for
ability estimate for the second launch based
both inert and explosive debris hazards pro- on evidence obtained from the first flight of
duced from any impacting debris caused by the vehicle.
normal and malfunctioning launch vehicle (iii) For a launch vehicle with at least 2
flight. The analysis must account for the de- flights completed, the analysis must use the
bris classes determined by the debris anal- reference value for the launch vehicle failure
ysis required by section A417.11. A debris probability of Table C417–2 based on the out-
risk analysis must account for any inert de- comes of all previous launches of the vehicle.
bris impact with mean expected kinetic en- The FAA may adjust the failure probability
ergy at impact greater than or equal to 11 ft- estimate to account for evidence obtained
lbs and peak incident overpressure of greater from the flight history of the vehicle. Fail-
than or equal to 1.0 psi due to any explosive ure probability estimate adjustments to the
debris impact. The analysis must account for reference value may account for the nature
all debris hazards as a function of flight of launch outcomes in the flight history of
time. the vehicle, corrective actions taken in re-
(4) A debris risk analysis must account for sponse to a failure of the vehicle, or other
debris impact points and dispersion for each vehicle modifications that may affect reli-
class of debris in accordance with the fol- ability. The FAA may adjust the failure
lowing: probability estimate to account for the dem-
(i) A debris risk analysis must account for onstrated quality of the engineering ap-
drag corrected impact points and dispersions proach to launch vehicle processing. The
for each class of impacting debris resulting analysis must use a final failure estimate
from normal and malfunctioning launch ve- within the confidence limits of Table C417–2.
hicle flight as a function of trajectory time (A) Values listed on the far left of Table
from lift-off through final impact. C417–2 apply when no launch failures are ex-
(ii) The dispersion for each debris class perienced. Values on the far right apply
must account for the position and velocity when only launch failures are experienced.
state vector dispersions at breakup, the vari- Values in between apply for flight histories
ance produced by breakup imparted veloci- that include both failures and successes.
ties, the effects of winds on both the ascent (B) Reference values in Table C417–2 are
trajectory state vector at breakup and the shown in bold. The reference values are the
descending debris piece impact location, the median values between 60% two-sided con-
variance produced by aerodynamic prop- fidence limits of the binomial distribution.
erties for each debris class, and any other For the special cases of zero or N failures in
dispersion variances. N launch attempts, the reference values may
(iii) A debris risk analysis must account also be recognized as the median value be-
for the survivability of debris fragments that tween the 80% one-sided confidence limit of
are subject to reentry aerodynamic forces or the binomial distribution and zero or one, re-
heating. A debris class may be eliminated spectively.
from the debris risk analysis if the launch (C) Upper and lower confidence bounds in
operator demonstrates that the debris will Table C417–2 are shown directly above and
not survive to impact. below each reference value. These confidence

655
Commercial Space Transportation, FAA, DOT Pt. 417, App. C
bounds are based on 60% two-sided con- N launch attempts, the upper and lower con-
fidence limits of the binomial distribution. fidence bounds are based on the 80% one-
For the special cases of zero or N failures in sided confidence limit, respectively.

(6) A debris risk analysis must account for fects; or equal seven times the maximum
the dwell time of the instantaneous impact projected area of the fragment.
point ground trace over each populated or (9) A debris risk analysis must account for
protected area being evaluated. current population density data obtained
(7) A debris risk analysis must account for from a current population database for the
the three-sigma instantaneous impact point region being evaluated or by estimating the
trajectory variations in left-crossrange, current population using exponential popu-
right-crossrange, uprange, and downrange as lation growth rate equations applied to the
a function of trajectory time, due to launch most current historical data available. The
vehicle performance variations as deter- population model must define population
mined by the trajectory analysis performed centers that are similar enough to be de-
as required by section C417.3. scribed and treated as a single average set of
(8) A debris risk analysis must account for characteristics without degrading the accu-
the effective casualty area as a function of racy of the debris risk estimate.
launch vehicle flight time for all impacting (c) Debris risk analysis products. The prod-
debris generated from a catastrophic launch ucts of a debris risk analysis that a launch
vehicle malfunction event or a planned im- operator must file with the FAA must in-
pact event. The effective casualty area must: clude:
(i) Account for both payload and vehicle (1) A debris risk analysis report that pro-
systems and subsystems debris; vides the analysis input data, probabilistic
(ii) Account for all debris fragments deter- risk determination methods, sample com-
mined as part of a launch operator’s debris putations, and text or graphical charts that
analysis as required by section A417.11; characterize the public risk to geographical
(iii) For each explosive debris fragment, areas for each launch.
account for a 1.0 psi blast overpressure ra- (2) Geographic data showing:
dius and the projected debris effects for all (i) The launch vehicle nominal, five-sigma
potentially explosive debris; and left-crossrange and five-sigma right-
(iv) For each inert debris fragment, ac- crossrange instantaneous impact point
count for bounce, skip, slide, and splatter ef- ground traces;

656
Pt. 417, App. C 14 CFR Ch. III (1–1–19 Edition)
(ii) All exclusion zones relative to the in- no flight history, a launch operator must
stantaneous impact point ground traces; and provide all known data on similar vehicles
(iii) All populated areas included in the de- that include:
bris risk analysis. (i) Identification of the launches that have
(3) A discussion of each launch vehicle fail- occurred;
ure scenario accounted for in the analysis (ii) Launch date, location, and direction of
and the probability of occurrence, which each launch;
may vary with flight time, for each failure (iii) The number of launches that per-
scenario. This information must include fail- formed normally;
ure scenarios where a launch vehicle: (iv) Behavior and impact location of each
(i) Flies within normal limits until some abnormal experience;
malfunction causes spontaneous breakup; (v) The time, altitude, and nature of each
and malfunction; and
(ii) Experiences malfunction turns. (vi) Descriptions of corrective actions
(4) A population model applicable to the taken, including changes in vehicle design,
launch overflight regions that contains the flight termination, and guidance and control
following: Region identification, location of hardware and software.
the center of each population center by geo- (9) The values of probability of impact (PI)
detic latitude and longitude, total area, and expected casualty (Ec) for each popu-
number of persons in each population center, lated area.
and a description of the shelter characteris-
tics within the population center. C417.11 COLLISION AVOIDANCE
(5) A description of the launch vehicle, in- (a) General. A flight safety analysis must
cluding general information concerning the include a collision avoidance analysis that
nature and purpose of the launch and an satisfies the requirements of § 417.231. This
overview of the launch vehicle, including a section applies to a launch operator obtain-
scaled diagram of the general arrangement ing a collision avoidance assessment from
and dimensions of the vehicle. A launch op- United States Strategic Command as re-
erator’s debris risk analysis products may quired by § 417.231 and to the analysis prod-
reference other documentation filed with the ucts that the launch operator must file with
FAA containing this information. The de- the FAA as required by § 417.203(e). United
scription must include: States Strategic Command refers to a colli-
(i) Weights and dimensions of each stage. sion avoidance analysis for a space launch as
(ii) Weights and dimensions of any booster a conjunction on launch assessment.
motors attached. (b) Analysis not required. A collision avoid-
(iii) The types of fuel used in each stage ance analysis is not required if the maximum
and booster. altitude attainable by the launch operator’s
(iv) Weights and dimensions of all unguided suborbital launch vehicle is less
interstage adapters and skirts. than the altitude of the lowest manned or
(v) Payload dimensions, materials, con- mannable orbiting object. The maximum al-
struction, and any payload fuel; payload fair- titude attainable means an optimized trajec-
ing construction, materials, and dimensions; tory, assuming 3-sigma maximum perform-
and any non-inert components or materials ance, extended through fuel exhaustion of
that add to the effective casualty area of the each stage, to achieve a maximum altitude.
debris, such as radioactive or toxic materials (c) Analysis constraints. A launch operator
or high-pressure vessels. must satisfy the following when obtaining
(6) A typical sequence of events showing and implementing the results of a collision
times of ignition, cutoff, burnout, and jet- avoidance analysis:
tison of each stage, firing of any ullage rock- (1) A launch operator must provide United
ets, and starting and ending times of coast States Strategic Command with the launch
periods and control modes. window and trajectory data needed to per-
(7) The following information for each form a collision avoidance analysis for a
launch vehicle motor: launch as required by paragraph (d) of this
(i) Propellant type and composition; section, at least 15 days before the first at-
(ii) Vacuum thrust profile; tempt at flight. The FAA will identify a
(iii) Propellant weight and total motor launch operator to United States Strategic
weight as a function of time; Command as part of issuing a license and
(iv) A description of each nozzle and steer- provide a launch operator with current
ing mechanism; United States Strategic Command contact
(v) For solid rocket motors, internal pres- information.
sure and average propellant thickness, or (2) A launch operator must obtain a colli-
borehole radius, as a function of time; sion avoidance analysis performed by United
(vi) Burn rate; and States Strategic Command 6 hours before
(vii) Nozzle exit and entrance areas. the beginning of a launch window.
(8) The launch vehicle’s launch and failure (3) A launch operator may use a collision
history, including a summary of past vehicle avoidance analysis for 12 hours from the
performance. For a new vehicle with little or time that United States Strategic Command

657
Commercial Space Transportation, FAA, DOT Pt. 417, App. C
determines the state vectors of the manned (ii) Windows. All the times within an over-
or mannable orbiting objects. If a launch op- all launch window during which flight may
erator needs an updated collision avoidance be initiated.
analysis due to a launch delay, the launch (5) Vector at injection. A launch operator
operator must file the request with United must identify the vector at injection for
States Strategic Command at least 12 hours each segment. ‘‘Vector at injection’’ identi-
prior to the beginning of the new launch win- fies the position and velocity of all orbital or
dow. suborbital segments after the thrust for a
(4) For every 90 minutes, or portion of 90 segment has ended.
minutes, that pass between the time United (i) Epoch. The epoch time, in Greenwich
States Strategic Command last determined Mean Time (GMT), of the expected launch
the state vectors of the orbiting objects, a vehicle liftoff time.
launch operator must expand each wait in a (ii) Position and velocity. The position co-
launch window by subtracting 15 seconds ordinates in the EFG coordinate system
from the start of the wait in the launch win- measured in kilometers and the EFG compo-
dow and adding 15 seconds to the end of the nents measured in kilometers per second, of
wait in the launch window. A launch oper- each launch vehicle stage or payload after
ator must incorporate all the resulting waits any burnout, jettison, or deployment.
in the launch window into its flight commit (6) Time of powered flight. The elapsed time
criteria established as required by § 417.113. in seconds, from liftoff to arrival at the
(d) Information required. A launch operator launch vehicle vector at injection. The input
must prepare a collision avoidance analysis data must include the time of powered flight
worksheet for each launch using a standard-
for each stage or jettisoned component
ized format that contains the input data re-
measured from liftoff.
quired by this paragraph. A launch operator
(7) Time span for launch window file (LWF).
must file the input data with United States
A launch operator must provide the fol-
Strategic Command for the purposes of com-
lowing information regarding its launch win-
pleting a collision avoidance analysis.
(1) Launch information. A launch operator dow:
must file the following launch information: (i) Launch window. The launch window
(i) Mission name. A mnemonic given to the measured in minutes from the initial pro-
launch vehicle/payload combination identi- posed liftoff time.
fying the launch mission from all others. (ii) Time of powered flight. The time pro-
(ii) Segment number. A segment is defined vided as required by paragraph (d)(6) of this
as a launch vehicle stage or payload after section measured in minutes rounded up to
the thrusting portion of its flight has ended. the nearest integer minute.
This includes the jettison or deployment of (iii) Screen duration. The time duration,
any stage or payload. A launch operator after all thrusting periods of flight have
must provide a separate worksheet for each ended, that a collision avoidance analysis
segment. For each segment, a launch oper- must screen for potential conjunctions with
ator must determine the ‘‘vector at injec- manned or mannable orbital objects. Screen
tion’’ as defined by paragraph (d)(5) of this duration is measured in minutes.
section. The data must present each segment (iv) Extra pad. An additional period of time
number as a sequence number relative to the for collision avoidance analysis screening to
total number of segments for a launch, such ensure the entire trajectory time is screened
as ‘‘1 of 5.’’ for potential conjunctions with manned or
(iii) Launch window. The launch window mannable orbital objects. This time must be
opening and closing times in Greenwich 10 minutes unless otherwise specified by
Mean Time (referred to as ZULU time) and United States Strategic Command.
the Julian dates for each scheduled launch (v) Total. The summation total of the time
attempt. spans provided as required by paragraphs
(2) Point of contact. The person or office (d)(7)(i) through (d)(7)(iv) expressed in min-
within a launch operator’s organization that utes.
collects, analyzes, and distributes collision (8) Screening. A launch operator must se-
avoidance analysis results. lect spherical or ellipsoidal screening as de-
(3) Collision avoidance analysis results trans- fined in this paragraph for determining any
mission medium. A launch operator must iden- conjunction. The default must be the spher-
tify the transmission medium, such as voice, ical screening method using an avoidance ra-
FAX, or e-mail, for receiving results from dius of 200 kilometers for manned or
United States Strategic Command. mannable orbiting objects. If the launch op-
(4) Requestor launch operator needs. A erator requests screening for any unmanned
launch operator must indicate the types of or unmannable objects, the default must be
analysis output formats required for estab- the spherical screening method using a miss-
lishing flight commit criteria for a launch: distance of 25 kilometers.
(i) Waits. All the times within the launch (i) Spherical screening. Spherical screening
window during which flight must not be ini- utilizes an impact exclusion sphere centered
tiated. on each orbiting object’s center-of-mass to

658
Pt. 417, App. D 14 CFR Ch. III (1–1–19 Edition)
determine any conjunction. A launch oper- system capable of reaching a populated or
ator must specify the avoidance radius for other protected area;
manned or mannable objects and for any un- (3) Destroy the pressure integrity of any
manned or unmannable objects if the launch solid propellant system to terminate all
operator elects to perform the analysis for thrust or ensure that any residual thrust
unmanned or unmannable objects. causes the propulsion system to tumble
(ii) Ellipsoidal screening. Ellipsoidal screen- without significant lateral or longitudinal
ing utilizes an impact exclusion ellipsoid of deviation in the impact point; and
revolution centered on the orbiting object’s (4) Disperse any liquid propellant, whether
center-of-mass to determine any conjunc- by rupturing the propellant tank or other
tion. A launch operator must provide input equivalent method, and initiate burning of
in the UVW coordinate system in kilometers. any toxic liquid propellant.
The launch operator must provide delta-U (b) A flight termination system must not
measured in the radial-track direction, delta- cause any solid or liquid propellant to deto-
V measured in the in-track direction, and nate.
delta-W measured in the cross-range di-
(c) The flight termination of a propulsion
rection.
system must not interfere with the flight
(9) Deliverable schedule/need dates. A launch
termination of any other propulsion system.
operator must identify the times before
flight, referred to as ‘‘L-times,’’ for which D417.5 FLIGHT TERMINATION SYSTEM DESIGN
the launch operator requests a collision
avoidance analysis. (a) Reliability prediction. A flight termi-
(e) Collision avoidance assessment products. A nation system must have a predicted reli-
launch operator must file its collision avoid- ability of 0.999 at a confidence level of 95 per-
ance analysis products as required by cent. A launch operator must demonstrate
§ 417.203(e) and must include the input data the system’s predicted reliability by satis-
required by paragraph (d) of this section. A fying the requirements for system reliability
launch operator must incorporate the result analysis of § 417.309(b).
of the collision avoidance analysis into its (b) Single fault tolerance. A flight termi-
flight commit criteria established as re- nation system, including monitoring and
quired by § 417.113. checkout circuits, must not have a single
failure point that would:
APPENDIX D TO PART 417—FLIGHT TER- (1) Inhibit functioning of the system dur-
MINATION SYSTEMS, COMPONENTS, ing flight; or
INSTALLATION, AND MONITORING (2) Produce an inadvertent initiation of the
system that would endanger the public.
D417.1 GENERAL (c) Redundancy. A flight termination sys-
This appendix applies to each flight termi- tem must use redundant components that
nation system and the components that are structurally, electrically, and mechani-
make up the system for each launch. Section cally separated. Each redundant compo-
417.301 requires that a launch operator’s nent’s mounting on a launch vehicle, includ-
flight safety system include a flight termi- ing location or orientation, must ensure that
nation system that complies with this ap- any failure that will damage, destroy or oth-
pendix. Section 417.301 also contains require- erwise inhibit the operation of one redun-
ments that apply to a launch operator’s dem- dant component will not inhibit the oper-
onstration of compliance with the require- ation of the other redundant component and
ments of this appendix. will not inhibit functioning of the system.
Each of the following exceptions applies:
D417.3 FLIGHT TERMINATION SYSTEM (1) Any linear shaped charge need not be
FUNCTIONAL REQUIREMENTS redundant if it initiates at both ends, and
(a) When a flight safety system terminates the initiation source for one end is not the
the flight of a vehicle because it has either same as the initiation source for the other
violated a flight safety rule as defined in end; or
§ 417.113 or the vehicle inadvertently sepa- (2) Any passive component such as an an-
rates or destructs as described in section tenna or radio frequency coupler need not be
D417.11, a flight termination system must: redundant if it satisfies the requirements of
(1) Render each propulsion system that has this appendix.
the capability of reaching a populated or (d) System independence. A flight termi-
other protected area, incapable of propul- nation system must operate independently of
sion, without significant lateral or longitu- any other launch vehicle system. The failure
dinal deviation in the impact point. This in- of another launch vehicle system must not
cludes each stage and any strap on motor or inhibit the functioning of a flight termi-
propulsion system that is part of any pay- nation system. A flight termination system
load; may share a component with another launch
(2) Terminate the flight of any inadvert- vehicle system, only if the launch operator
ently or prematurely separated propulsion demonstrates that sharing the component

659
Commercial Space Transportation, FAA, DOT Pt. 417, App. D
will not degrade the flight termination sys- nation system need only satisfy all its per-
tem’s reliability. A flight termination sys- formance specifications when subjected to an
tem may share a connection with another environmental level greater than the level
system if the connection must exist to sat- that would cause structural breakup of the
isfy a flight termination system require- launch vehicle.
ment, such as any connection needed to: (b) Maximum predicted environments. A
(1) Accomplish flight termination system launch operator must determine all max-
arming and safing; imum predicted non-operating and operating
(2) Provide data to the telemetry system; environments that a flight termination sys-
or tem, including each component, will experi-
(3) Accomplish any engine shut-down. ence before its safe flight state. This deter-
(e) Performance specifications for components mination must be based on analysis, mod-
and parts. Each flight termination system eling, testing, or monitoring. Non-operating
component and each part that can affect the and operating environments include tem-
reliability of a flight termination component perature, vibration, shock, acceleration,
during flight must have written performance acoustic, and other environments that apply
specifications that show, and contain the de- to a specific launch vehicle and launch site,
tails of, how the component or part satisfies such as humidity, salt fog, dust, fungus, ex-
the requirements of this appendix. plosive atmosphere, and electromagnetic en-
(f) Ability to test. A flight termination sys- ergy. Both of the following apply:
tem, including each component and associ- (1) Each maximum predicted vibration,
ated ground support and monitoring equip- shock, and thermal environment for a flight
ment, must satisfy the tests required by ap- termination system component must include
pendix E of this part. a margin that accounts for the uncertainty
(g) Software safety critical functions. The re- due to flight-to-flight variability and any an-
quirements of § 417.123 apply to any com- alytical uncertainty. For a launch vehicle
puting system, software or firmware that is configuration for which there have been
associated with a flight termination system fewer than three flights, the margin must be
and performs a software safety critical func- no less than plus 3 dB for vibration, plus 4.5
tion as defined in § 417.123. dB for shock, and plus and minus 11 C for
(h) Component storage, operating, and service thermal range; and
life. Each flight termination system compo- (2) For a launch vehicle configuration for
nent must have a specified storage life, oper- which there have been fewer than three
ating life, and service life and must satisfy flights, a launch operator must monitor
all of the following: flight environments at as many locations
(1) Each component must satisfy all its within the launch vehicle as needed to verify
performance specifications when subjected the maximum predicted flight environments
to the full length of its specified storage life, for each flight termination system compo-
operating life, and service life; and nent. An exception is that the launch oper-
(2) A component’s storage, operating, or ator may obtain empirical shock environ-
service life must not expire before flight. A ment data through ground testing. A launch
launch operator may extend an ordnance operator must adjust each maximum pre-
component’s service life by satisfying the dicted flight environment for any future
service life extension tests of appendix E of launch to account for all data obtained
this part. through monitoring.
(i) Consistency of components. A launch op- (c) Thermal environment. A component must
erator must ensure that each flight compo- satisfy all its performance specifications
nent sample is manufactured using parts, when exposed to preflight and flight thermal
materials, processes, quality controls, and cycle environments. A thermal cycle must
procedures that are each consistent with the begin with the component at ambient tem-
manufacture of each qualification test sam- perature. The cycle must continue as the
ple. component is heated or cooled to achieve the
required dwell time at one extreme of the re-
D417.7 FLIGHT TERMINATION SYSTEM quired thermal range, then to achieve the re-
ENVIRONMENT SURVIVABILITY quired dwell time at the other extreme, and
(a) General. A flight termination system, then back to ambient temperature. Each
including all of its components, mounting cycle, including all dwell times, must be con-
hardware, cables, and wires, must each sat- tinuous without interruption by any other
isfy all of their performance specifications period of heating or cooling. Paragraphs (c)(2)
when subjected to each maximum predicted through (c)(6) of this section identify the
operating and non-operating environment required thermal range for each compo-
and environmental design margin required nent. A thermal cycle must include no less
by this appendix. As an alternative to sub- than a one-hour dwell time at each tempera-
jecting the flight termination system to the ture extreme. The thermal rate of change be-
maximum predicted environments and mar- tween the extremes must be no less than the
gin for each dynamic operating environment, maximum predicted thermal rate of change
such as vibration or shock, a flight termi- or 1 C per minute, whichever is greater. For

660
Pt. 417, App. D 14 CFR Ch. III (1–1–19 Edition)
an ordnance device, the thermal cycle must jected to three times the acceptance-number
include no less than a two-hour dwell time at of thermal cycles from the lower of ¥ 20 C or
each temperature extreme. The thermal rate the predicted lowest temperature minus 10
of change between the extremes for an ord- C, to the higher of 40 C or the predicted
nance device must be no less than the max- highest temperature plus 10 C.
imum predicted thermal rate of change or 3 (iii) Any other power source must satisfy
C per minute, whichever is greater. all its performance specifications when sub-
(1) Acceptance-number of thermal cycles. For jected to three times the acceptance-number
each component, the acceptance-number of of thermal cycles from 10 C lower than the
thermal cycles must be no less than eight lowest temperature of the maximum pre-
thermal cycles or 1.5 times the maximum dicted temperature range to 10 C higher the
number of thermal cycles that the compo- highest temperature of the range.
nent could experience during launch proc-
(5) Electro-mechanical safe-and-arm devices
essing and flight, including all launch delays
with internal explosives. A safe-and-arm de-
and recycling, rounded up to the nearest
whole number, whichever is greater. vice must satisfy all its performance speci-
(2) Passive components. A passive compo- fications when subjected to:
nent must satisfy all its performance speci- (i) The acceptance-number of thermal cy-
fications when subjected to: cles from one extreme of the maximum pre-
(i) The acceptance-number of thermal cy- dicted thermal range to the other extreme;
cles from one extreme of the maximum pre- and
dicted thermal range to the other extreme; (ii) Three times the acceptance-number of
and thermal cycles from the lower of ¥ 34 C or
(ii) Three times the acceptance-number of the predicted lowest temperature minus 10
thermal cycles from the lower of ¥ 34 C or C, to the higher of 71 C or the predicted
the predicted lowest temperature minus 10 highest temperature plus 10 C.
C, to the higher of 71 C or the predicted (6) Ordnance thermal design. An ordnance
highest temperature plus 10 C. device and any associated hardware must
(3) Electronic components. An electronic satisfy all its performance specifications
flight termination system component, in- when subjected to the acceptance-number of
cluding any component that contains an ac- thermal cycles from the lower of ¥ 54 C or
tive electronic piece-part such as a micro- the predicted lowest temperature minus 10
circuit, transistor, or diode must satisfy all C, to the higher of 71 C or the predicted
its performance specifications when sub- highest temperature plus 10 C. Each cycle
jected to: must include a two-hour dwell time at each
(i) The sum of ten thermal cycles and the temperature extreme and a thermal rate of
acceptance-number of thermal cycles from change between the extremes must be no less
one extreme of the maximum predicted ther- than the maximum predicted thermal rate of
mal range to the other extreme; and change or 3 C per minute, whichever is
(ii) Three times the acceptance-number of
greater.
thermal cycles from the lower of ¥ 34 C or
the predicted lowest temperature minus 10 (d) Random vibration. A component must
satisfy all its performance specifications
C, to the higher of 71 C or the predicted
when exposed to a composite vibration level
highest temperature plus 10 C.
profile consisting of the higher of 6 dB above
(4) Power source thermal design. A flight ter-
the maximum predicted flight random vibra-
mination system power source, including
any battery, must satisfy all its performance tion level or a 12.2Grms workmanship screen-
specifications when exposed to preflight and ing level, across the 20 Hz to 2000 Hz spec-
flight thermal environments. The power trum of the two levels. The component must
source must satisfy the following: satisfy all its performance specifications
(i) A silver zinc battery must satisfy all its when exposed to three times the maximum
performance specifications when subjected predicted random vibration duration time or
to the acceptance-number of thermal cycles three minutes per axis, whichever is greater,
from 10 C lower than the lowest tempera- on each of three mutually perpendicular axes
ture of the battery’s maximum predicted and for all frequencies from 20 Hz to 2000 Hz.
temperature range to 10 C higher than the (e) Sinusoidal vibration. A component must
highest temperature of the range. An excep- satisfy all its performance specifications
tion is that each thermal cycle may range when exposed to 6 dB above the maximum
from 5.5 C lower than the lowest tempera- predicted flight sinusoidal vibration level.
ture of the battery’s maximum predicted The component must satisfy all its perform-
temperature range to 10 C higher than the ance specifications when exposed to three
highest temperature of the range if the times the maximum predicted sinusoidal vi-
launch operator monitors the battery’s oper- bration duration time on each of three mutu-
ating temperature on the launch vehicle ally perpendicular axes and for all fre-
with an accuracy of no less than 1.5 C. quencies from 50% lower than the predicted
(ii) A nickel cadmium battery must satisfy lowest frequency to 50% higher than the pre-
all its performance specifications when sub- dicted highest frequency. The sweep rate

661
Commercial Space Transportation, FAA, DOT Pt. 417, App. D
must be no greater than one-third the max- (l) Other environments. A flight termination
imum predicted sweep rate on each of the system component must satisfy all its per-
three axes. formance specifications after experiencing
(f) Transportation vibration. A component any other environment that it could experi-
must satisfy all its performance specifica- ence during transportation, storage, pre-
tions when exposed to 6 dB above the max- flight processing, or preflight system test-
imum predicted transportation vibration ing. Such environments include storage tem-
level to be experienced when the component perature, humidity, salt fog, fine sand, fun-
is in the configuration in which it is trans- gus, explosive atmosphere, and electro-
ported, for three times the maximum pre- magnetic energy environments.
dicted transportation exposure time. A com-
ponent must also satisfy all its performance D417.9 COMMAND DESTRUCT SYSTEM
specifications when exposed to the workman-
ship screening vibration levels and duration (a) A flight termination system must in-
required by section E417.9(f). clude a command destruct system that is ini-
(g) Pyrotechnic shock. (1) A flight termi- tiated by radio command and satisfies the
nation system component must satisfy all requirements of this section.
its performance specifications when exposed (b) A command destruct system must have
to the greater of: its radio frequency components on or above
(i) A force of 6 dB above the maximum pre- the last launch vehicle stage capable of
dicted pyrotechnic shock level to be experi- reaching a populated or other protected area
enced during flight with a shock frequency before the planned safe flight state for the
response range from 100 Hz to 10,000 Hz; or launch.
(ii) The minimum breakup qualification (c) The initiation of a command destruct
shock levels and frequencies required by system must result in accomplishing all the
Table E417.11–2 of appendix E of this part. flight termination system functions of sec-
(2) A component must satisfy all its per- tion D417.3.
formance specifications after it experiences (d) At any point along the nominal trajec-
a total of 18 shocks consisting of three tory from liftoff until no longer required by
shocks in each direction, positive and nega- § 417.107, a command destruct system must
tive, for each of three mutually perpen- operate with a radio frequency input signal
dicular axes. that has an electromagnetic field intensity
(h) Transportation shock. A flight termi- of 12 dB below the intensity provided by the
nation system component must satisfy all command transmitter system under nominal
its performance specifications after being ex- conditions over 95 percent of the radiation
posed to the maximum predicted shock to be sphere surrounding the launch vehicle.
experienced during transportation while in (e) A command destruct system must sur-
the configuration in which it is packed for vive the breakup of the launch vehicle until
transport. the system accomplishes all its flight termi-
(i) Bench handling shock. A flight termi- nation functions or until breakup of the ve-
nation system component must satisfy all hicle, including the use of any automatic or
its performance specifications after being ex- inadvertent separation destruct system, ac-
posed to the maximum predicted shock to be complishes the required flight termination.
experienced during handling in its unpacked (f) A command destruct system must re-
configuration. ceive and process a valid flight termination
(j) Acceleration environment. A flight termi- system arm command before accepting a
nation system component must satisfy all flight termination system destruct com-
its performance specifications when exposed mand.
to launch vehicle breakup acceleration levels (g) For any liquid propellant, a command
or twice the maximum predicted flight accel- destruct system must allow a flight safety
eration levels, whichever is greater. The official to non-destructively shut down any
component must satisfy all its performance thrusting liquid engine by command before
specifications when exposed to three times destroying the launch vehicle.
the maximum predicted acceleration dura-
tion for each of three mutually perpen- D417.11 AUTOMATIC OR INADVERTENT
dicular axes. SEPARATION DESTRUCT SYSTEM
(k) Acoustic environment. A flight termi-
nation system component must satisfy all (a) A flight termination system must in-
its performance specifications when exposed clude an automatic or inadvertent separa-
to 6 dB above the maximum predicted sound tion destruct system for each stage or strap-
pressure level. The component must satisfy on motor capable of reaching a protected
all its performance specifications when ex- area before the planned safe flight state for
posed to three times the maximum predicted each launch if the stage or strap-on motor
sound pressure duration time or three min- does not possess a complete command de-
utes, whichever is greater for each of three struct system. Any automatic or inadvertent
mutually perpendicular axes. The frequency separation destruct system must satisfy the
must range from 20 Hz to 2000 Hz. requirements of this section.

662
Pt. 417, App. D 14 CFR Ch. III (1–1–19 Edition)
(b) The initiation of an automatic or inad- fies the safing criteria for no less than two
vertent separation destruct system must ac- different safing parameters or conditions,
complish all flight termination system func- such as time of flight, propellant depletion,
tions of section D417.3 that apply to the acceleration, or altitude. The safing criteria
stage or strap-on motor on which it is in- for each different safing parameter or condi-
stalled. tion must ensure that the flight termination
(c) An inadvertent separation destruct sys- system on a stage or strap-on-motor can
tem must activate when it senses any launch only be safed once the stage or strap-on
vehicle breakup or premature separation of motor attains orbit or can no longer reach a
the stage or strap-on motor on which the in- populated or other protected area;
advertent separation destruct system is lo- (ii) Any automatic safing must ensure that
cated. all flight termination system ordnance initi-
(d) A launch operator must locate an auto- ation devices and arming devices remain
matic or inadvertent separation destruct armed and all electronic flight termination
system so that it will survive launch vehicle system components remain powered during
breakup until the system activates and ac- flight until the requirements of paragraph
complishes all its flight termination func- (d)(1)(i) of this section are satisfied and the
tions. system is safed; and
(e) For any electrically initiated auto- (iii) If operation of the launch vehicle
matic or inadvertent separation destruct could result in satisfaction of the safing cri-
system, each power source that supplies en- teria for one of the two safing parameters or
ergy to initiate the destruct ordnance must conditions before normal thrust termination
be on the same stage or strap-on motor as of the stage or strap-on motor to which the
the system. parameter or condition applies, the launch
D417.13 FLIGHT TERMINATION SYSTEM SAFING
operator must demonstrate that the greatest
AND ARMING
remaining thrust, assuming a three-sigma
maximum engine performance, cannot result
(a) General. A flight termination system in the stage or strap-on motor reaching a
must provide for safing and arming of all populated or other protected area;
flight termination system ordnance through (2) If a radio command safes a flight termi-
the use of a mechanical barrier or other posi- nation system, the command control system
tive means of interrupting power to each of used for in-flight safing must be single fault
the ordnance firing circuits to prevent inad- tolerant against inadvertent transmission of
vertent initiation of ordnance. a safing command under § 417.303(d).
(b) Flight termination system arming. A flight
termination system must provide for each D417.15 F LIGHT TERMINATION SYSTEM
flight termination system ordnance initi- INSTALLATION
ation device or arming device to be armed
(a) A launch operator must establish and
and all electronic flight termination system
components to be turned on before arming implement written procedures to ensure that
any launch vehicle or payload propulsion ig- all flight termination system components
nition circuits. For a launch where propul- are installed on a launch vehicle according
sive ignition occurs after first motion of the to the qualified flight termination system
launch vehicle, the system must include an design. The procedures must ensure that:
ignition interlock that prevents the arming (1) The installation of all flight termi-
of any launch vehicle or payload propulsion nation system mechanical interfaces is com-
ignition circuit unless all flight termination plete;
system ordnance initiation devices and arm- (2) Installation personnel use calibrated
ing devices are armed and all electronic tools to install ordnance when a specific
flight termination system components are standoff distance is necessary to ensure that
turned on. the ordnance has the desired effect on the
(c) Preflight safing. A flight termination material it is designed to cut or otherwise
system must provide for remote and redun- destroy; and
dant safing of all flight termination system (3) Each person involved is qualified for
ordnance before flight and during any launch each task that person is to perform.
abort or recycle operation. (b) Flight termination system installation
(d) In-flight safing. Any safing of flight ter- procedures must include:
mination system ordnance during flight (1) A description of each task to be per-
must satisfy all of the following: formed, each facility to be used, and each
(1) Any onboard launch vehicle hardware hazard involved;
or software used to automatically safe flight (2) A checklist of tools and equipment re-
termination system ordnance must be single quired;
fault tolerant against inadvertent safing. (3) A list of personnel required for per-
Any automatic safing must satisfy all of the forming each task;
following: (4) Step-by-step directions written with
(i) Any automatic safing must occur only sufficient detail for a qualified person to per-
when the flight of the launch vehicle satis- form each task;

663
Commercial Space Transportation, FAA, DOT Pt. 417, App. D
(5) Identification of any tolerances that (c) Over and under input voltage protection.
must be met during the installation; and A flight termination system component
(6) Steps for inspection of installed flight must satisfy all its performance specifica-
termination system components, including tions and not sustain any damage when sub-
quality assurance oversight procedures. jected to a maximum input voltage of no less
(c) The personnel performing a flight ter- than the maximum open circuit voltage of
mination system installation procedure the component’s power source. The compo-
must signify that the procedure is accom- nent must satisfy all its performance speci-
plished, and record the outcome and any fications and not sustain any damage when
data verifying successful installation. subjected to a minimum input voltage of no
greater than the minimum loaded voltage of
D417.17 FLIGHT TERMINATION SYSTEM the component’s power source.
MONITORING (d) Series-redundant circuit. A flight termi-
(a) A flight termination system must nation system component that uses a series-
interface with the launch vehicle’s telemetry redundant branch in a firing circuit to sat-
system to provide the data that the flight isfy the prohibition against a single failure
point must possess one or more monitoring
safety system crew needs to evaluate the
circuits or test points for verifying the in-
health and status of the flight termination
tegrity of each series-redundant branch after
system prior to and during flight.
assembly and during testing.
(b) The telemetry data must include:
(e) Power control and switching. In the event
(1) Signal strength for each command de-
of an input power dropout, a power control
struct receiver;
or switching circuit, including any solid-
(2) Whether the power to each electronic
state power transfer switch and arm-and-en-
flight termination system component is on
able circuit must not change state for 50 mil-
or off;
liseconds or more. Any electromechanical,
(3) Status of output commands for each
solid-state, or relay component used in a
command destruct receiver and each auto-
flight termination system firing circuit
matic or inadvertent separation destruct must be capable of delivering the maximum
system; firing current for no less than 10 times the
(4) Safe or arm status of each safe-and-arm duration of the intended firing pulse.
device of sections D417.35 and D417.39; (f) Circuit isolation, shielding, and grounding.
(5) Voltage for each flight termination sys- The circuitry of a flight termination system
tem battery; component must be shielded, filtered,
(6) Current for each flight termination sys- grounded, or otherwise isolated to preclude
tem battery; any energy sources, internal or external to
(7) Status of any electrical inhibit at the the launch vehicle, such as electromagnetic
system level that is critical to the operation energy, static electricity, or stray electrical
of a flight termination system and is not currents, from causing interference that
otherwise identified by this appendix; would inhibit the flight termination system
(8) Status of any exploding bridgewire fir- from functioning or cause an undesired out-
ing unit, including arm input, power level, put of the system. An electrical firing circuit
firing capacitor charge level, and trigger ca- must have a single-point ground connection
pacitor charge level; directly to the power source only.
(9) Temperature of each flight termination (g) Circuit protection. Any circuit protec-
system battery, whether monitored at each tion provided within a flight termination
battery or in the immediate vicinity of each system must satisfy all of the following:
battery so that each battery’s temperature (1) Electronic circuitry must not contain
can be derived; and protection devices, such as fuses, except as
(10) Status of each switch used to provide allowed by paragraph (g)(2) of this section. A
power to a flight termination system, includ- destruct circuit may employ current lim-
ing any switch used to change from an exter- iting resistors;
nal power source to an internal power (2) Any electronic circuit designed to shut
source. down or disable a launch vehicle engine and
that interfaces with a launch vehicle func-
D417.19 FLIGHT TERMINATION SYSTEM ELEC-
tion must use one or more devices, such as
TRICAL COMPONENTS AND ELECTRONIC CIR-
fuses, circuit breakers, or limiting resistors,
CUITRY
to protect against over-current, including
(a) General. All flight termination system any direct short; and
electrical components and electronic cir- (3) The design of a flight termination sys-
cuitry must satisfy the requirements of this tem output circuit that interfaces with an-
section. other launch vehicle circuit must prevent
(b) Electronic piece-parts. Each electronic any launch vehicle circuit failure from dis-
piece-part that can affect the reliability of abling or degrading the flight termination
an electrical component or electronic cir- system’s performance.
cuitry during flight must satisfy (h) Repetitive functioning. Each circuit, ele-
§ 417.309(b)(2) of this part. ment, component, and subsystem of a flight

664
Pt. 417, App. D 14 CFR Ch. III (1–1–19 Edition)
termination system must satisfy all its per- D417.21 F LIGHT TERMINATION SYSTEM
formance specifications when subjected to MONITOR CIRCUITS
repetitive functioning for five times the ex-
(a) Each parameter measurement made by
pected number of cycles required for all ac-
a monitor circuit must show the status of
ceptance testing, checkout, and operations,
the parameter.
including re-tests caused by schedule or
(b) Each monitor circuit must be inde-
other delays.
pendent of any firing circuit. A monitor,
(i) Watchdog circuits. A flight termination control, or checkout circuit must not share
system or component must not use a watch- a connector with a firing circuit.
dog circuit that automatically shuts down or (c) A monitor circuit must not route
disables circuitry during flight. through a safe-and-arm plug.
(j) Self-test capability. If a flight termi- (d) Any monitor current in an electro-ex-
nation system component uses a micro- plosive device system firing line must not
processor, the component and the micro- exceed one-tenth of the no-fire current of the
processor must perform self-tests, detect er- electro-explosive device.
rors, and relay the results through telemetry (e) Resolution, accuracy, and data rates for
during flight to the launch operator. The each monitoring circuit must provide for de-
execution of a self-test must not inhibit the tecting whether performance specifications
intended processing function of the unit or are satisfied and detecting any out-of-family
cause any output to change. conditions.
(k) Electromagnetic interference protection.
The design of a flight termination system D417.23 FLIGHT TERMINATION SYSTEM
component must eliminate the possibility of ORDNANCE TRAIN
the maximum predicted electromagnetic in-
(a) An ordnance train must consist of all
terference emissions or susceptibilities, components responsible for initiation, trans-
whether conducted or radiated, from affect- fer, and output of an explosive charge. Ord-
ing the component’s performance. A compo- nance train components must include,
nent’s electromagnetic interference suscepti- initiators, energy transfer lines, boosters,
bility level must ensure that the component explosive manifolds, and destruct charges.
satisfies all its performance specifications (b) The reliability of an ordnance train to
when subjected to the maximum predicted initiate ordnance, including the ability to
emission levels of all other launch vehicle propagate a charge across any ordnance
components and external sources to which interface, must be 0.999 at a 95% confidence
the component would be exposed. level.
(l) Ordnance initiator circuits. An ordnance (c) The decomposition, cook-off, sublima-
initiator circuit that is part of a flight ter- tion, auto-ignition, and melting tempera-
mination system must satisfy all of the fol- tures of all flight termination system ord-
lowing: nance must be no less than 30(C higher than
(1) An ordnance initiator circuit must de- the maximum predicted environmental tem-
liver an operating current of no less than perature to which the material will be ex-
150% of the initiator’s all-fire qualification posed during storage, handling, installation,
current level when operating at the lowest transportation, and flight.
battery voltage and under the worse case (d) An ordnance train must include initi-
system tolerances allowed by the system de- ation devices that can be connected or re-
sign limits; moved from the destruct charge. The design
(2) For a low voltage ordnance initiator of an ordnance train must provide for easy
with an electro-explosive device that initi- access to the initiation devices.
ates at less than 50 volts, the initiator’s cir-
cuitry must limit the power at each associ- D417.25 RADIO FREQUENCY RECEIVING SYSTEM
ated electro-explosive device that could be (a) General. A radio frequency receiving
produced by an electromagnetic environ- system must include each flight termination
ment to a level at least 20 dB below the pin- system antenna, radio frequency coupler,
to-pin direct current no-fire power of the any radio frequency cable, or other passive
electro-explosive device; and device used to connect a flight termination
(3) For a high voltage ordnance initiator system antenna to a command receiver de-
that initiates ordnance at greater than 1,000 coder. The system must deliver command
volts, the initiator must include safe-and- control system radio frequency energy that
arm plugs that interrupt power to the main satisfies all its performance specifications to
initiator’s charging circuits, such as the each flight termination system command re-
trigger and output capacitors. A high volt- ceiver decoder when subjected to perform-
age initiator’s circuitry must ensure that ance degradation caused by command con-
the power that could be produced at the trol system transmitter variations, launch
initiator’s command input by an electro- vehicle flight conditions, and flight termi-
magnetic environment is no greater than 20 nation system hardware performance vari-
dB below the initiator’s firing level. ations.

665
Commercial Space Transportation, FAA, DOT Pt. 417, App. D
(b) Sensitivity. A radio frequency receiving D417.27 ELECTRONIC COMPONENTS
system must provide command signals to
(a) General. The requirements in this sec-
each command receiver decoder at an elec-
tion apply to each electronic component that
tromagnetic field intensity of no less than
contains piece-part circuitry and is part of a
12dB above the level required for reliable re-
flight termination system, including each
ceiver operation. The system must satisfy
the 12-dB margin over 95% of the antenna ra- command receiver decoder. Each piece-part
diation sphere surrounding the launch vehi- used in an electronic component must sat-
cle and must account for command control isfy § 417.309(b)(2) of this part.
system radio frequency transmitter charac- (b) Response time. Each electronic compo-
teristics, airborne system characteristics in- nent’s response time must be such that the
cluding antenna gain, path loses due to total flight termination system response
plume or flame attenuation, and vehicle tra- time, from receipt of a destruct command se-
jectory. For each launch, the system must quence to initiation of destruct output, is
satisfy the 12-dB margin at any point along less than or equal to the response time used
the nominal trajectory until the planned in the time delay analysis required by
safe flight state for the launch. § 417.221.
(c) Antenna. All of the following apply to (c) Wire and connectors. All wire and con-
each flight termination system antenna: nectors used in an electronic component
(1) A flight termination system antenna must satisfy section D417.31.
must have a radio frequency bandwidth that (d) Adjustment. An electronic component
is no less than two times the total combined must not require any adjustment after suc-
maximum tolerances of all applicable radio cessful completion of acceptance testing.
frequency performance factors. The perform- (e) Self-test. The design of an electronic
ance factors must include frequency modula- component that uses a microprocessor must
tion deviation, command control trans- provide for the component to perform a self-
mitter inaccuracies, and variations in hard- test, detect errors, and relay the results
ware performance during thermal and dy- through telemetry during flight to the
namic environments; launch operator. The execution of a self-test
(2) A launch operator must treat any ther- must not inhibit the intended processing
mal protection used on a flight termination function of the unit or cause any output to
system antenna as part of the antenna; and change state.
(3) A flight termination system antenna (f) Electronic component repetitive func-
must be compatible with the command con- tioning. An electronic component, including
trol system transmitting equipment. all its circuitry and parts, must satisfy all
(d) Radio frequency coupler. A flight termi- its performance specifications when sub-
nation system must use a passive radio fre- jected to repetitive functioning for five
quency coupler to combine radio frequency times the total expected number of cycles re-
signals inputs from each flight termination quired for acceptance tests, preflight tests,
system antenna and distribute the required and flight operations, including potential
signal level to each command receiver. A retests due to schedule delays.
radio frequency coupler must satisfy all of (g) Acquisition of test data. The test require-
the following: ments of appendix E of this part apply to all
(1) A radio frequency coupler must prevent electronic components. Each electronic com-
any single point failure in one redundant ponent must allow for separate component
command receiver or antenna from affecting testing and the recording of parameters that
any other redundant command receiver or verify its functional performance, including
antenna by providing isolation between each the status of any command output, during
port. An open or short circuit in one redun- testing.
dant command destruct receiver or antenna (h) Warm-up time. The warm-up time that
path must not prevent the functioning of the an electronic component needs to ensure re-
other command destruct receiver or antenna liable operation must be no greater than the
path; warm-up time that is incorporated into the
(2) Each input port must be isolated from preflight testing of appendix E of this part.
all other input ports; (i) Electronic component circuit protection.
(3) Each output port must be isolated from An electronic component must include cir-
all other output ports; and cuit protection for power and control cir-
(4) A radio frequency coupler must provide cuitry, including switching circuitry. The
for a radio frequency bandwidth that exceeds circuit protection must ensure that the com-
two times the total combined maximum tol- ponent satisfies all its performance speci-
erances of all applicable radio frequency per- fications when subjected to launch proc-
formance factors. The performance factors essing and flight environments. An elec-
must include frequency modulation devi- tronic component’s circuit protection must
ation of multiple tones, command control satisfy all of the following:
transmitter inaccuracies, and variations in (1) Circuit protection must provide for an
hardware performance during thermal and electronic component to satisfy all its per-
dynamic environments. formance specifications when subjected to

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Pt. 417, App. D 14 CFR Ch. III (1–1–19 Edition)
the open circuit voltage of the component’s (2) Any piece-part used in a firing circuit
power source for no less than twice the ex- must have the capacity to output at least 1.5
pected duration and when subjected to the times the maximum firing current for no less
minimum input voltage of the loaded voltage than 10 times the duration of the maximum
of the power source for no less than twice firing pulse;
the expected duration; (3) An electronic component’s destruct out-
(2) In the event of an input power dropout, put circuit and all its parts must deliver the
any control or switching circuit critical to required output power to the intended out-
the reliable operation of a component, in- put load while operating with any input volt-
cluding solid-state power transfer switches, age that is within the component’s input
must not change state for at least 50 milli- power operational design limits;
seconds; (4) An electronic component must include
(3) An electronic component must not use monitoring circuits that provide for moni-
a watchdog circuit that automatically shuts toring the health and performance of the
down or disables the component during component including the status of any com-
flight; mand output; and
(4) An electronic component must satisfy (5) The maximum leakage current through
all its performance specifications when any an electronic component’s destruct output
of its monitoring circuits or nondestruct port must:
output ports are subjected to a short circuit (i) Not degrade the performance of down-
or the highest positive or negative voltage stream circuitry;
capable of being supplied by the monitor bat- (ii) Be 20 dB lower than the level that
teries or other power supplies where the could degrade the performance of any down-
voltage lasts for no less than five minutes; stream ordnance initiation system or compo-
and nent, such as any electro-explosive device;
(5) An electronic component must satisfy and
all its performance specifications when sub- (iii) Be 20 dB lower than the level that
jected to any undetectable reverse polarity could result in inadvertent initiation of any
voltage that can occur during launch proc- downstream ordnance.
essing for no less than five minutes.
(j) Electromagnetic interference susceptibility. D417.29 COMMAND RECEIVER DECODER
The design of an electronic component must (a) General. Each command receiver de-
eliminate the possibility of electromagnetic coder must:
interference or modulated or unmodulated (1) Receive radio frequency energy from
radio frequency emissions from affecting the the command control system through the
component’s performance. These electro- radio frequency receiving system and inter-
magnetic interference and radio frequency pret, process, and send commands to the
environments include emissions or flight termination system;
susceptibilities, whether conducted or radi- (2) Be compatible with the command con-
ated. trol system transmitting equipment;
(1) The susceptibility level of an electronic (3) Satisfy the requirements of section
component must be below the emissions of D417.27 for all electronic components;
all other launch vehicle components and ex- (4) Satisfy all its performance specifica-
ternal transmitters. tions and reliably process a command signal
(2) Any electromagnetic emissions from an when subjected to command control system
electronic component must not be at a level transmitting equipment tolerances and
that would affect the performance of other flight generated signal degradation, includ-
flight termination system components. ing:
(3) An electronic component must not (i) Locally induced radio frequency noise
produce any inadvertent command output sources;
and must satisfy all its performance speci- (ii) Vehicle plume;
fications when subjected to external radio (iii) The maximum predicted noise-floor;
frequency sources and modulation schemes (iv) Command transmitter performance
to which the component could be subjected variations; and
prior to and during flight. (v) Launch vehicle trajectory.
(k) Output functions and monitoring. An (b) Tone-based radio frequency processing.
electronic component must provide for all of Each tone-based command receiver decoder
the following output functions and moni- must satisfy all of the following for all pre-
toring: flight and flight environments:
(1) Each series redundant branch in any fir- (1) Decoder channel deviation. A receiver de-
ing circuit of an electronic component that coder must reliably process the intended
prevents a single failure point from issuing a tone deviated signal at the minimum and
destruct output must include a monitoring maximum number of expected tones. The re-
circuit or test points that verify the integ- ceiver decoder must satisfy all its perform-
rity of each redundant branch after assem- ance specifications when subjected to:
bly; (i) Plus and minus 3 KHz per tone; or

667
Commercial Space Transportation, FAA, DOT Pt. 417, App. D
(ii) A nominal tone deviation plus twice minus 3 dB, to demonstrate in-family per-
the maximum and minus half the minimum formance.
of the total combined tolerances of all appli- (7) Noise level margin. The receiver decod-
cable radio frequency performance factors, er’s guaranteed input sensitivity must be no
whichever range is greater. less than 6 dB higher than the maximum pre-
(2) Operational bandwidth. dicted noise-floor.
(i) The receiver decoder’s operational band- (8) Voltage standing wave ratio. All radio
width must be no less than plus and minus 45 frequency losses within the receiver decoder
KHz and must ensure that the receiver de- interface to the antenna system must satisfy
coder satisfies all its performance specifica- the 12–dB margin of § 417.9(d) and be repeat-
tions at: able to demonstrate in-family performance.
(A) Twice the worst-case command control The radio frequency receiving system and
system transmitter radio frequency shift; the impedance of the receiver decoder must
(B) Doppler shifts of the carrier center fre- match.
quency; and (9) Decoder channel bandwidth. The receiver
(C) Shifts in flight hardware center fre- decoder must provide for reliable recognition
quency during flight at the manufacturer of the command signal when subjected to
guaranteed receiver sensitivity. variations in ground transmitter tone fre-
(ii) The operational bandwidth must ac- quency and frequency modulation deviation
count for tone deviation and the receiver variations. The command receiver must sat-
sensitivity must not vary by more than 3dB isfy all its performance specifications within
across the bandwidth. the specified tone filter frequency bandwidth
(3) Radio frequency dynamic range. The re- using a frequency modulation tone deviation
ceiver decoder must satisfy all its perform- from 2 dB to 20 dB above the measured
ance specifications when subjected to the threshold level.
variations of the radio frequency input sig- (10) Tone balance. Any secure receiver de-
nal level that will occur during checkout and coder must reliably decode a valid command
flight. The receiver decoder must output all with an amplitude imbalance between two
commands with input from the radio fre- tones within the same message.
quency threshold level up to: (11) Message timing. Any secure receiver de-
(i) The maximum radio frequency level coder must function reliably when subjected
that it will experience from the command to errors in timing caused by ground trans-
control system transmitter during checkout mitter tolerances. The receiver decoder must
and flight plus a 3-dB margin; or process commands at twice the maximum
(ii) 13 dBm, whichever is greater. and one-half the minimum timing specifica-
(4) Capture ratio. For each launch, the re- tion of the ground system.
ceiver decoder’s design must ensure that no (12) Check tone. The receiver decoder must
transmitter with less than 80% of the power decode a tone, such as a pilot tone or check
of the command transmitter system for the tone, which is representative of link and
launch, could capture or interfere with the command closure and provide a telemetry
receiver decoder. output indicating whether the tone is de-
(5) Radio frequency level monitor. (i) The re- coded. The presence or absence of this tone
ceiver decoder must include a monitoring signal must have no effect on a command re-
circuit that accurately monitors and outputs ceiver decoder’s command processing and
the strength of the radio frequency input sig- output capability.
nal during flight. (c) Inadvertent command output. A command
(ii) The output of the monitor circuit must receiver decoder must satisfy all of the fol-
be directly related and proportional to the lowing to ensure that it does not provide an
strength of the radio frequency input signal output other than when it receives a valid
from the threshold level to saturation. command.
(iii) The dynamic range of the radio fre- (1) Dynamic stability. The receiver decoder
quency input from threshold to saturation must not produce an inadvertent output
must be no less than 50 dB. The monitor cir- when subjected to a radio frequency input
cuit output amplitude from threshold to short-circuit, open-circuit, or changes in
saturation must have a corresponding range input voltage standing wave ratio.
of 18 dB or greater. (2) Out of band rejection. The receiver de-
(iv) The monitor output signal level must coder must not degrade in performance nor
be compatible with vehicle telemetry system respond when subjected to any out-of-band
interfaces and provide a maximum response vehicle or ground transmitter source that
time of 100 ms. could be encountered from liftoff to the no-
(v) The slope of the monitor circuit output longer endanger time. The receiver decoder
must not change polarity. must not respond to frequencies, from 10
(6) Radio frequency threshold sensitivity. The MHz to 1000 MHz except at the receiver speci-
receiver decoder’s threshold sensitivity must fied operational bandwidth. The receiver de-
satisfy its performance specifications and be coder’s radio frequency rejection of out of
repeatable within a tolerance of plus and band signals must provide a minimum of 60

668
Pt. 417, App. D 14 CFR Ch. III (1–1–19 Edition)
dB beyond eight times the maximum speci- (b) Each connector that interfaces with a
fied operational bandwidth. These fre- flight termination system component must
quencies must include all expected inter- protect against electrical dropout and ensure
fering transmitting sources using a min- electrical continuity as needed to ensure the
imum bandwidth of 20% of each transmitter component satisfies all its performance spec-
center frequency, receiver image frequencies ifications.
and harmonics of the assigned center fre- (c) All wiring and connectors must have
quency. shielding that ensures the flight termination
(3) Decoder channel bandwidth rejection. The system satisfies all its performance speci-
receiver decoder must distinguish between fications and will not experience an inad-
tones that are capable of inhibiting or inad- vertent destruct output when subjected to
vertently issuing an output command. Each electromagnetic interference levels 20 dB
tone filter must not respond to another tone greater than the greatest electromagnetic
outside the specified tone filter frequency interference induced by launch vehicle and
bandwidth using an FM tone deviation from launch site systems.
2 dB to 20 dB above the measured threshold (d) The dielectric withstanding voltage be-
level. tween mutually insulated portions of any
(4) Adjacent tone decoder channel rejection. component part must provide for the compo-
The receiver decoder must not be inhibited nent to function at the component’s rated
or inadvertently issue an output command voltage and satisfy all its performance speci-
when subjected to any over-modulation of fications when subjected to any momentary
adjacent tones. The tone decoder channels over-potentials that could normally occur,
must not respond to adjacent frequency mod- such as due to switching or surge.
ulation-modulated tone channels when they (e) The insulation resistance between mu-
are modulated with a minimum of 150% of tually insulated portions of any component
the expected tone deviation. must provide for the component to function
(5) Logic sequence. Each tone sequence used at its rated voltage. Any insulation material
for arm and destruct must protect against must satisfy all its performance specifica-
inadvertent or unintentional destruct ac- tions when subjected to workmanship, heat,
tions. dirt, oxidation, or loss of volatile material.
(6) Destruct sequence. The receiver decoder (f) The insulation resistance between wire
must provide a Destruct command only if shields and conductors, and between each
preceded by a valid Arm command. connector pin must withstand a minimum
(7) Receiver abnormal logic. The receiver de- workmanship voltage of at least 1,500 volts,
coder must not respond to any combination direct current, or 150 percent of the rated
of tones or tone pairs other than the correct output voltage, whichever is greater.
command sequence. (g) If any wiring or connector will experi-
(8) Noise immunity. The receiver decoder ence loads with continuous duty cycles of 100
must not respond to a frequency modulated seconds or greater, that wiring or connector,
white noise radio frequency input that has a including each connector pin, must have a
minimum frequency modulated deviation of capacity of 150% of the design load. If any
12 dB above the measured threshold devi- wiring or connector will experience loads
ation. that last less than 100 seconds, all wiring and
(9) Tone drop. The receiver decoder must insulation must provide a design margin
not respond to a valid command output when greater than the wire insulation temperature
one tone in the sequence is dropped. specification.
(10) Amplitude modulation rejection. The re- (h) All wiring, including any cable or con-
ceiver decoder must not respond to any tone nector, must satisfy all its performance spec-
or modulated input at 50% and 100% ampli- ifications when subjected to the pull force
tude modulated noise when subjected to the required by section E417.9(j) and any addi-
maximum pre-flight and flight input power tional handling environment that the com-
levels. ponent could experience undetected.
(11) Decoder channel deviation rejection. The (i) Redundant circuits that can affect a
receiver decoder must not inadvertently flight termination system’s reliability dur-
trigger on frequency modulated noise. The ing flight must not share any wiring harness
receiver decoder must not respond to tone or connector with each other.
modulations 10 dB below the nominal tone (j) For any connector or pin connection
modulation or lower. that is not functionally tested once con-
nected as part of a flight termination system
D417.31 W IRING AND CONNECTORS
or component, the design of the connector or
(a) All wiring, including any cable and all pin connection must eliminate the possi-
connectors, that interface with any flight bility of a bent pin, mismating, or misalign-
termination system component must provide ment.
for the component, wiring, and connectors to (k) The design of a flight termination sys-
satisfy the qualification tests required by ap- tem component must prevent undetectable
pendix E of this part. damage or overstress from occurring as the

669
Commercial Space Transportation, FAA, DOT Pt. 417, App. D
result of a bent connector pin. An inad- initiate the electro-explosive device or a
vertent initiation must not occur if a bent minimum workmanship screening level of
connector pin: 200 milliseconds, whichever is greater; and
(1) Makes unintended contact with another (iii) Have a pulse capacity of no less than
pin; twice the expected number of arm and de-
(2) Makes unintended contact with the case struct command sets planned to occur during
of the connector or component; or launch vehicle processing, preflight flight
(3) Produces an open circuit. termination system end-to-end tests, plus
(l) Each connector that can affect a flight flight commands including load checks, con-
termination system component’s reliability ditioning, and firing of initiators;
during flight must satisfy the requirements (3) The design of a battery and any activa-
of § 417.309(b)(2) of this part. tion procedures must ensure uniform cell
(m) All connectors must positively lock to voltage after activation. Activation must in-
prevent inadvertent disconnection during clude any battery conditioning needed to en-
launch vehicle processing and flight. sure uniform cell voltage, such as peroxide
(n) The installation of all wiring, including removal or nickel cadmium preparation; and
any cable, must protect against abrasion and (4) The design of a battery or the system
crimping of the wiring. using the battery must protect against
D417.33 B ATTERIES undetectable damage to the battery from
any reverse polarity, shorting, overcharging,
(a) Capacity. A flight termination system thermal runaway, or overpressure.
battery must have a manufacturer-specified (c) Service and storage life. The service and
capacity of no less than the sum total amp- storage life of a flight termination system
hour and pulse capacity needed for: battery must satisfy all of the following:
(1) Any self discharge; (1) A flight termination system battery
(2) All load and activation checks; must have a total activated service life that
(3) All launch countdown checks; provides for the battery to meet the capacity
(4) Any potential hold time; and electrical characteristics required by
(5) Any potential number of preflight re- paragraphs (a) and (b) of this section; and
tests due to potential schedule delays includ- (2) A flight termination system battery
ing the number of potential launch attempts
must have a specified storage life. The bat-
that the battery could experience before it
tery must satisfy the activated service life
would have to be replaced;
requirement of paragraph (c)(1) of this sec-
(6) Two arm and two destruct command
tion after experiencing its storage life,
loads at the end of the flight; and
whether stored in an activated or inac-
(7) A flight capacity of no less than 150% of
tivated state.
the capacity needed to support a normal
flight from liftoff to the planned safe flight (d) Monitoring capability. A battery or the
state. For a launch vehicle that uses solid system that uses the battery must provide
propellant, the flight capacity must be no for monitoring the status of the battery
less than a 30-minute hang-fire hold time. voltage and current. The monitoring must be
(b) Electrical characteristics. A flight termi- sufficient to detect the smallest change in
nation system battery, under all load condi- voltage or current that would indicate any
tions, including line loss, must have all the health problem with each battery. Moni-
following electrical characteristics: toring accuracy must be consistent with the
(1) The manufacturer specified minimum minimum and maximum voltage and current
voltage must be no less than the minimum limits used for launch countdown. The de-
acceptance test voltage that satisfies the sign of a battery that requires heating or
electrical component acceptance tests of ap- cooling to sustain performance must provide
pendix E of this part. For a battery used in for monitoring the battery’s temperature
a pulse application to fire an electro-explo- with a resolution of 0.5 C.
sive device, the manufacturer specified min- (e) Battery identification. Each battery must
imum voltage must be no less than the min- have an attached permanent label with the
imum qualification test voltage that satis- component name, type of construction (in-
fies the electro-explosive device qualifica- cluding chemistry), manufacturer identifica-
tion tests of appendix E of this part; tion, part number, lot and serial number,
(2) A battery that provides power to an date of manufacture, and storage life.
electro-explosive device initiator, including (f) Battery temperature control. Any battery
to any initiator fired simultaneously with heater must ensure even temperature regula-
another initiator, must: tion of all battery cells.
(i) Deliver 150% of each electro-explosive (g) Silver zinc batteries. Any silver zinc bat-
device’s all-fire current at the qualification tery that is part of a flight termination sys-
test level. The battery must deliver the cur- tem must satisfy all of the following:
rent to each ordnance initiator at the lowest (1) A silver zinc battery must consist of
system battery voltage; cells assembled from electrode plates that
(ii) Have a current pulse that lasts ten are manufactured together and without
times longer than the duration required to interruption;

670
Pt. 417, App. D 14 CFR Ch. III (1–1–19 Edition)
(2) The design of a silver zinc battery must cells must allow for the qualification and ac-
allow activation of each individual cell with- ceptance tests required by appendix E of this
in the battery; part. A launch operator must ensure suffi-
(3) For any silver zinc battery that may cient batteries and cells are available to ac-
vent electrolyte mist as part of normal oper- complish the required testing. A launch op-
ations, the battery must satisfy all its per- erator must identify and implement design
formance specifications for pin-to-case and and test requirements for any other type of
pin-to-pin resistances after the battery expe- rechargeable battery proposed for use as part
riences the maximum normal venting; of a flight safety system.
(4) The design of a silver zinc battery and (i) Commercial nickel cadmium cells and bat-
its cells must allow for the qualification, ac- teries. Any nickel cadmium battery that uses
ceptance, and storage life extension testing one or more commercially produced nickel
required by appendix E of this part. A launch cadmium cells and is part of a flight termi-
operator must ensure sufficient batteries and nation system must satisfy each of the fol-
cells are available from the same lot to ac- lowing to demonstrate that each cell or bat-
complish the required testing; tery satisfies all its performance specifica-
(5) Each silver zinc battery must have at- tions:
tached, no less than one additional cell from (1) The battery or cell must have repeat-
the same production lot, with the same lot able capacity and voltage performance. Ca-
date code, as the cells in the battery for use pacity must be repeatable within one percent
in cell acceptance verification tests. The cell for each charge and discharge cycle.
must remain attached to the battery from (2) Any battery or cell venting device must
the time of assembly until performance of ensure that the battery or cell does not expe-
the acceptance tests to ensure that the addi- rience a loss of structural integrity or create
tional cell is subjected to all the same envi- a hazardous condition when subjected to
ronments as the complete battery; electrical discharge, charging and short-cir-
(6) The design of a silver zinc battery must cuit conditions.
permit voltage monitoring of each cell dur- (3) The battery or cell must retain its
ing open circuit voltage and load tests of the charge and provide its required capacity, in-
battery; and cluding the required capacity margin, from
(7) All cell and battery parts and materials the final charge used prior to launch to the
and manufacturing parts, materials, and planned safe flight state during flight at the
processes must undergo configuration con- maximum pre-launch and flight tempera-
trol that ensures that each cell and battery ture. The cell or battery must not self-dis-
has repeatable in-family performance unless charge more than 10% of its fully charged ca-
each cell and battery undergoes lot testing pacity after 72 hours at ambient tempera-
that demonstrates repeatable in-family per- ture.
formance. The launch operator must identify (4) The design of the battery must prevent
and implement any lot testing that replaces current leakage from pin-to-pin or pin-to-
configuration control. case from creating undesired events or bat-
(h) Rechargeable cells and batteries. (1) Any tery self-discharge. Pin-to-pin and pin-to-
rechargeable battery or cell that is part of a case resistances must be repeatable so that
flight termination system must satisfy all measurements of pin-to-pin and pin-to-case
the requirements of this section for each resistances can establish in-family perform-
charge-discharge cycle. ance and determine whether all battery wir-
(2) With the exception of any silver zinc ing and connectors are installed according to
battery, a rechargeable battery must satisfy the manufacturer’s design specifications.
all its performance specifications for five (5) The battery or battery case must be
times the number of operating charge and sealed to the required leak rate and not loose
discharge cycles expected of the battery structural integrity or create a hazardous
throughout its life, including all acceptance condition when subjected to the predicted
testing, preflight testing, and flight. A silver operating conditions plus all required mar-
zinc rechargeable battery must satisfy all its gins including any battery short-circuit. The
performance specifications for each oper- battery or battery case must maintain its
ating charge-discharge cycle expected of the structural integrity when subjected to no
battery throughout its life, including all ac- less than 1.5 times the greatest operating
ceptance testing, preflight testing, and pressure differential that could occur under
flight. qualification testing, preflight, or flight con-
(3) A rechargeable battery must consist of ditions.
cells from the same production lot. For a (6) Any battery voltage, current, or tem-
battery that consists of commercially pro- perature monitoring circuit that is part of
duced nickel cadmium cells, each cell must the battery must have resolution, accuracy,
be from the same production lot of no less and data rates that all for detecting whether
than three thousand cells that are manufac- the performance specifications are satisfied
tured without interruption. and detecting any out-of-family conditions.
(4) The design of a silver zinc or commer- (7) Any battery heater circuit, including
cial nickel cadmium battery and each of its any thermostat must ensure that all cells

671
Commercial Space Transportation, FAA, DOT Pt. 417, App. D
are heated uniformly and must allow for re- encing the abnormal drop required by sec-
peatable battery performance that satisfies tion E417.9(l).
all the battery’s performance specifications. (j) When a safe-and-arm device’s electro-
Any heating must ensure that cells are not explosive device is initiated, the safe- and
overstressed due to excessive temperature. arm-device’s body must not fragment, re-
The thermostat tolerances must ensure that gardless of whether the explosive transfer
the battery remains within its thermal de- system is connected or not.
sign limits. (k) When dual electro-explosive devices are
(8) The battery or cell must satisfy all its used within a single safe-and-arm device, the
electrical performance specifications and be design must ensure that one electro-explo-
in-family while subjected to all pre-flight sive device does not affect the performance
and flight environments, including hot and of the other electro-explosive device.
cold temperature, and all required electrical (l) A safe-and-arm device must satisfy all
loads at the beginning, middle, and end of its its performance specifications when sub-
manufacturer specified capacity. jected to no less than five times the total
number of safe and arm cycles required for
D417.35 E LECTRO-MECHANICAL SAFE-AND-ARM
the combination of all acceptance tests, pre-
DEVICES WITH AN INTERNAL ELECTRO-EXPLO-
SIVE DEVICE
flight tests, and flight operations, including
an allowance for potential re-tests due to
(a) This section applies to any electro-me- schedule changes.
chanical safe-and-arm device that has an in- (m) The design of a safe-and-arm device
ternal electro-explosive device and is part of must allow for separate component testing
a flight termination system. A safe-and-arm and recording of parameters that verify its
device must provide for safing and arming of functional performance , and the status of
the flight termination system ordnance to any command output during the tests re-
satisfy section D417.13. quired by section E417.25.
(b) A safe-and-arm device in the arm posi- (n) A safe-and-arm device must be environ-
tion must remain in the arm position and mentally sealed to the equivalent of 10¥ 4 scc/
satisfy all its performance specifications sec of helium at one atmosphere differential
when subjected to the design environmental or the device must provide other means of
levels determined under section D417.7. withstanding non-operating environments,
(c) All wiring and connectors used in a such as salt-fog and humidity, experienced
safe-and-arm device must satisfy section during storage, transportation and preflight
D417.31. testing.
(d) Each piece-part that is used in the fir- (o) The safing of a safe-and-arm device
ing circuit of a safe-and-arm device and that
must satisfy all of the following:
can affect the reliability of the device during
(1) While in the safe position, a safe-and-
flight must satisfy § 417.309(b)(2) of this part.
arm device must protect each internal
(e) A safe-and-arm device’s internal
electro-explosive device from any condition
electro-explosive device must satisfy the re-
that could degrade the electro-explosive de-
quirements for an ordnance initiator of sec-
vice’s performance and prevent inadvertent
tion D417.41.
initiation during transportation, storage,
(f) A safe-and-arm device must not require
any adjustment throughout its service life. preflight testing, and any preflight fault con-
(g) A safe-and-arm device’s internal elec- ditions.
trical firing circuitry, such as wiring, con- (2) While in the safe position, a safe-and-
nectors, and switch deck contacts, must sat- arm device’s electrical input firing circuit
isfy all its performance specifications when must prevent degradation in performance or
subjected to an electrical current pulse with inadvertent initiation of the electro-explo-
an energy level of no less than 150% of the sive device when the safe-and-arm device is
internal electro-explosive device’s all-fire subjected to any external energy source,
energy level for 10 times as long as the all- such as static discharge, radio frequency en-
fire pulse lasts. A safe-and-arm device must ergy, or firing voltage.
deliver this firing pulse to the internal (3) While in the safe position, a safe-and-
electro-explosive device without any dropout arm device must prevent the initiation of its
that could affect the electro-explosive de- internal electro-explosive device and any
vice’s performance when subjected to the de- other ordnance train component, with a reli-
sign environmental levels. ability of 0.999 at a 95% confidence level.
(h) A safe-and-arm device must satisfy all (4) A safe-and-arm device must satisfy all
its performance specifications after being ex- its performance specifications when in the
posed to the handling drop required by sec- safe position and subjected to the continuous
tion E417.9(k) and any additional transpor- operational arming voltage required by sec-
tation, handling, or installation environ- tion E417.25(d).
ment that the device could experience unde- (5) A safe-and-arm device must not initiate
tected. its electro-explosive device or any other ord-
(i) A safe-and-arm device must not initiate nance train component when locked in the
and must allow for safe disposal after experi- safe position and subjected to the continuous

672
Pt. 417, App. D 14 CFR Ch. III (1–1–19 Edition)
operational arming voltage required by sec- unit’s firing capacitor and an external means
tion E417.25(e)(3). of positively interrupting the firing capac-
(6) A safe-and-arm device must have a vis- itor charging voltage.
ual display of its status on the device and re- (c) Input command processing. An exploding
mote display of the status when the device is bridgewire firing unit’s electrical input proc-
in the safe position. When transitioning from essing circuitry must satisfy all of the fol-
the arm to safe position, the safe indication lowing:
must not appear unless the position of the (1) An exploding bridgewire firing unit’s
safe-and-arm device has progressed more input circuitry must function, when sub-
than 50% beyond the no-fire transition mo- jected to the greatest potential electro-
tion. magnetic interference noise environments,
(7) A safe-and-arm device must have a re-
without inadvertently triggering;
mote means of moving its rotor or barrier to
(2) In the firing circuit of an exploding
the safe position from any rotor or barrier
position. bridgewire firing unit, all series redundant
(8) A safe-and-arm device must have a branches that prevent any single failure
manual means of moving its rotor or barrier point from issuing a destruct output must
to the safe position. include monitoring circuits or test points for
(9) A safe-and-arm device must have a verifying the integrity of each redundant
safing interlock that prevents movement branch after assembly;
from the safe position to the arm position (3) The unit input trigger circuitry of an
while operational arming current is being exploding bridgewire firing unit must main-
applied. The interlock must have a means of tain a minimum 20 dB margin between the
positively locking into place and must allow threshold trigger level and the worst-case
for verification of proper functioning. The noise environment;
interlock removal design or procedure must (4) An exploding bridgewire firing unit
eliminate the possibility of accidental dis- must have a minimum trigger sensitivity
connection of the interlock. that provides for the unit to fire at 6 dB
(p) The arming of a safe-and-arm device lower in amplitude and one-half the duration
must satisfy all of the following: of the worst-case trigger signal that the unit
(1) When a safe-and-arm device is in the could receive during flight;
arm position, all ordnance interfaces, such (5) In the event of a power dropout, any
as electro-explosive device, rotor charge, and control or switching circuit critical to the
explosive transfer system components must reliable operation of an exploding bridgewire
align with one another to ensure propagation firing unit, including solid-state power
of the explosive charge with a reliability of transfer switches, must not change state for
0.999 at a 95% confidence level; 50 milliseconds or more; and
(2) When in the arm position, the greatest (6) An exploding bridgewire firing unit’s re-
energy supplied to a safe-and-arm device’s sponse time must satisfy all its performance
electro-explosive device from electronic cir- specifications for the range of input trigger
cuit leakage and radio frequency energy signals from the specified minimum trigger
must be no greater than 20 dB below the signal amplitude and duration to the speci-
guaranteed no-fire level of the electro-explo- fied maximum trigger signal amplitude and
sive device; duration.
(3) A safe-and-arm device must have a vis-
(d) High voltage output. An exploding
ual display of its status on the device and
bridgewire firing unit’s high voltage dis-
provide for remote display of the status
when the device is in the arm position. The charge circuit must satisfy all of the fol-
arm indication must not appear unless the lowing:
safe-and-arm device is armed as required by (1) An exploding bridgewire firing unit
paragraph (o)(1) of this section; and must include circuits for capacitor charging,
(4) A safe-and-arm device must provide for bleeding, charge interruption, and trig-
remote arming of the device. gering;
(2) An exploding bridgewire firing unit
D417.37 E XPLODING BRIDGEWIRE FIRING UNIT must have a single fault tolerant capacitor
(a) General. This section applies to any ex- discharge capability;
ploding bridgewire firing unit that is part of (3) An exploding bridgewire firing unit
a flight termination system. An exploding must deliver a voltage to the exploding
bridgewire firing unit must provide for bridgewire that is no less than 50% greater
safing and arming of the flight termination than the exploding bridgewire’s minimum
system ordnance to satisfy section D417.13. all-fire voltage, not including transmission
An exploding bridgewire firing unit must losses, at the unit’s worst-case high and low
satisfy the requirements for electronic com- arming voltages;
ponents of section D417.29. (4) The design of an exploding bridgewire
(b) Charging and discharging. An exploding firing unit must prevent corona and arcing
bridgewire firing unit must have a remote on internal and external high voltage cir-
means of charging and discharging of the cuitry;

673
Commercial Space Transportation, FAA, DOT Pt. 417, App. D
(5) An exploding bridgewire firing unit an ordnance train with a reliability of 0.999
must satisfy all its performance specifica- at a 95% confidence level;
tions at the worst-case high and low arm (2) When locked in the safe position, an
voltages that could be delivered during ordnance interrupter must prevent initiation
flight; and of an ordnance train. The ordnance inter-
(6) Any high energy trigger circuit used to rupter must satisfy all its performance speci-
initiate exploding bridgewire firing unit’s fication when locked in the safe position and
main firing capacitor must deliver an output subjected to the continuous operational arm-
signal of no less than a 50% voltage margin ing voltage required by section E417.29(j);
above the nominal voltage threshold level. (3) An ordnance interrupter must not ini-
(e) Output monitors. The monitoring cir- tiate its electro-explosive device or any
cuits of an exploding bridgewire firing unit other ordnance train component when locked
must provide the data for real-time checkout in the safe position and subjected to the con-
and determination of the firing unit’s ac- tinuous operational arming voltage required
ceptability for flight. The monitored data by section E417.29(e)(3);
must include the voltage level of all high (4) An ordnance interrupter must have a
voltage capacitors and the arming power to manual and a remote means of safing from
the firing unit. any rotor or barrier position;
(5) An ordnance interrupter must have a
D417.39 ORDNANCE INTERRUPTER SAFE-AND- visual display of the status on the device and
ARM DEVICE WITHOUT AN ELECTRO-EXPLOSIVE provide for remote display of the status
DEVICE when the ordnance interrupter is in the safe
(a) This section applies to any ordnance in- position; and
terrupter safe-and-arm device that does not (6) An ordnance interrupter must include a
have an internal electro-explosive device and safing interlock that prevents the inter-
is part of a flight termination system. An rupter from moving from the safe position to
ordnance interrupter must provide for safing the arm position when subjected to an oper-
and arming of the flight termination system ational arming current. A safing interlock
ordnance to satisfy section D417.13. must have a means of positively locking into
(b) An ordnance interrupter must remain place and a means of verifying proper func-
in the armed position and satisfy all its per- tion of the interlock. A safing interlock and
formance specifications when subjected to any related operation procedure must elimi-
the design environmental levels determined nate the possibility of inadvertent dis-
according to section D417.7. connection of the interlock.
(c) An ordnance interrupter must not re- (i) Arming of an ordnance interrupter must
quire adjustment throughout its service life. satisfy all of the following:
(d) An ordnance interrupter must satisfy (1) An ordnance interrupter is armed when
all its performance specifications after expe- all ordnance interfaces, such as a donor ex-
riencing any transportation, handling, or in- plosive transfer system, rotor charge, and
stallation environment that the device could acceptor explosive transfer system are
experience undetected. aligned with one another to propagate the
(e) An ordnance interrupter that uses ord- explosive charge with a reliability of 0.999 at
nance rotor leads must not initiate and must a 95% confidence level;
allow for safe disposal after experiencing the (2) An ordnance interrupter must have a
worst-case drop and resulting impact that it visual display of the status on the device and
could experience during storage, transpor- provide for remote display of the status
tation, or installation. when the ordnance interrupter is in the arm
(f) An ordnance interrupter must satisfy position; and
all of its performance specifications when (3) An ordnance interrupter must provide
subjected to repetitive functioning for five for remote arming of the interrupter.
times the expected number of arming cycles
D417.41 ORDNANCE INITIATORS
required for acceptance testing, preflight
checkout, and flight operations, including an (a) This section applies to any low-voltage
allowance for re-tests due to potential sched- electro-explosive device that is part of a
ule delays. flight termination system or high-voltage
(g) An ordnance interrupter must not frag- exploding bridgewire ordnance initiator that
ment during ordnance initiation. is part of a flight termination system. An
(h) The design of a flight termination sys- ordnance initiator must use electrical en-
tem must protect an ordnance interrupter ergy to trigger an explosive charge that ini-
from conditions that could degrade its per- tiates the flight termination system ord-
formance or cause inadvertent initiation nance.
during transportation, storage, installation, (b) An ordnance initiator must have a
preflight testing, and potential preflight manufacturer-specified all-fire energy level.
fault conditions. Safing of an ordnance inter- When the all-fire energy level is applied, the
rupter must satisfy all of the following: ordnance initiator must fire with a reli-
(1) While in the safe position, an ordnance ability of no less than 0.999 at a 95 percent
interrupter must prevent the functioning of confidence level.

674
Pt. 417, App. D 14 CFR Ch. III (1–1–19 Edition)
(c) An ordnance initiator must have a spec- workmanship, heat, dirt, oxidation, and any
ified no-fire energy level. An ordnance additional expected environment.
initiator must not fire when exposed to con-
tinuous application of the no-fire energy D417.43 E XPLODING BRIDGEWIRE
level, with a reliability of no less than 0.999 (a) This section applies to any exploding
at a 95 percent confidence level. An ordnance bridgewire that is part of a flight termi-
initiator must satisfy all its performance nation system. An exploding bridgewire
specifications when subjected to continuous must use high-voltage electrical energy of 50
application of the no-fire energy level. volts or greater to trigger an explosive
(d) The lowest temperature at which an charge that initiates the flight termination
ordnance initiator would experience system ordnance.
autoignition, sublimation, or melting or in (b) An exploding bridgewire must satisfy
any other way experience degradation in per- the ordnance initiator requirements of sec-
formance must be no less than 30 C higher tion D417.41.
than the highest temperature that the
(c) An exploding bridgewire’s electrical cir-
initiator could experience prior to or during
cuitry, such as connectors, pins, wiring and
flight.
header assembly, must transmit an all-fire
(e) An ordnance initiator must not fire, pulse at a level 50% greater than the lowest
and must satisfy all its performance speci- exploding bridgewire firing unit’s oper-
fications when subjected to the maximum ational firing voltage. This must include al-
expected electrostatic discharge that it lowances for effects such as corona and arc-
could experience from personnel or conduc- ing of a flight configured exploding
tive surfaces. An ordnance initiator must bridgewire exposed to altitude, thermal vac-
not fire, and must satisfy all its performance uum, salt-fog, and humidity environments.
specifications when subjected to workman- (d) An exploding bridgewire must not frag-
ship discharges of no less than a 25-kV, 500-
ment during ordnance initiation.
pF pin-to-pin discharge through a 5-kW resis-
(e) All exploding bridgewire connector pins
tor and a 25-kV, 500-pF pin-to-case discharge
must withstand the tension and compression
with no resistor.
loads required by section E417.9(j).
(f) An ordnance initiator must not initiate
and must satisfy all its performance speci- D417.45 PERCUSSION-ACTIVATED DEVICE
fications when exposed to stray electrical
current that is at a 20-dB margin greater (a) This section applies to any percussion-
than the greatest stray electrical current activated device that is part of a flight ter-
that the ordnance initiator could experience mination system. A percussion-activated de-
prior to or during flight. When determining vice must use mechanical energy to trigger
the 20-dB margin, a launch operator must ac- an explosive charge that initiates the flight
count for all potential sources of stray elec- termination system ordnance.
trical current, including leakage current (b) A percussion-activated device’s lanyard
from other electronic components and radio pull system must have a protective cover or
frequency induced electrical current. other feature that prevents inadvertent pull-
(g) An ordnance initiator must satisfy all ing of the lanyard.
its performance specification after being ex- (c) A percussion-activated device must not
posed to the tensile load required by section fragment upon initiation.
E417.9(j), the handling drop required by sec- (d) A percussion-activated device must
tion E417.9(k), and any additional transpor- have a guaranteed no-fire pull force of no
tation, handling, or installation environ- less than twice the largest inadvertent pull
ment that the device could experience unde- force that the device could experience:
tected. (1) Any time prior to flight that the safing
(h) An ordnance initiator must not initiate interlock of paragraph (o) of this section is
and must allow for safe disposal after experi- not in place; or
encing the abnormal drop required by sec- (2) During flight.
tion E417.9(l). (e) A percussion-activated device must not
(i) An ordnance initiator must be hermeti- initiate when pulled with its maximum no-
cally sealed to the equivalent of 5 10¥ 6 scc/ fire pull force and then released with a reli-
sec of helium at one atmosphere pressure dif- ability of no less than 0.999 at a 95% con-
ferential. fidence level.
(j) The insulation resistance between mu- (f) A percussion-activated device must
tually insulated points must ensure that an have a primer all-fire energy level, including
ordnance initiator satisfies all its perform- spring constant and pull distance that en-
ance specifications when subjected to the sures initiation, with a reliability of no less
greater of twice the maximum applied volt- than 0.999 at a 95% confidence level when
age during testing and flight or a workman- subjected to preflight and flight environ-
ship voltage of no less than 500 volts. The in- ments.
sulation material must satisfy all its per- (g) A percussion-activated device must de-
formance specifications when exposed to liver an operational impact force to the

675
Commercial Space Transportation, FAA, DOT Pt. 417, App. D
primer of no less than twice the all-fire en- initiation source, such as an ordnance
ergy level. initiator, to other flight termination system
(h) A percussion-activated device’s primer ordnance such as a destruct charge.
must initiate and must satisfy all its per- (b) Ordnance used in an explosive transfer
formance specifications when subjected to system must consist of a secondary explo-
two times the operational impact energy or sive. An exception to this is any transition
four times the all-fire impact energy level. component that contains a primary explo-
(i) A percussion-activated device’s reli- sive that is fully contained within the tran-
ability must satisfy its performance speci- sition component. Any transition component
fications when subjected to a no-fire pull that contains a primary explosive must be
force and then released. no more sensitive to inadvertent detonation
(j) The lowest temperature at which a per- than a secondary explosive.
cussion-activated device would experience (c) An explosive transfer system, including
autoignition, sublimation, or melting, or in all donor, acceptor, and transition charges
any other way not satisfy its performance and components must transfer an explosive
specifications, must be no less than 30 C charge with a reliability of no less than 0.999
higher than the highest temperature that at a 95% confidence level.
the percussion-activated device could experi- (d) An explosive transfer system must sat-
ence prior to or during flight. isfy all its performance specifications with
(k) A percussion-activated device must sat- the smallest bend radius that it is subjected
isfy all its performance specifications after to when installed in its flight configuration.
experiencing the handling drop required by (e) All explosive transfer connectors must
section E417.9(k) and any additional trans- positively lock in place and provide for
portation, handling, or installation environ- verification of proper connection through
ment that the device could experience unde- visual inspection.
tected. (f) Each explosive transfer system compo-
(l) A percussion-activated device’s ord- nent must satisfy all its performance speci-
nance must be hermetically sealed to the fications when subjected to the tensile load
equivalent of 5 10 ¥ 6 scc/sec of helium at one required by section E417.9(j).
atmosphere differential. (g) An explosive transfer system must sat-
(m) A percussion-activated device’s struc- isfy all its performance specifications after
tural and firing components must withstand experiencing the handling drop required by
500 percent of the largest pull or jerk force section E417.9(k) and any additional trans-
that the device could experience during portation, handling, or installation environ-
breakup of the launch vehicle. ment that the system could experience unde-
(n) A percussion-activated device must not tected.
initiate and must allow for safe disposal (h) An explosive transfer system must not
after experiencing the abnormal drop re- initiate and must allow for safe disposal
quired by section E417.9(l). after experiencing the abnormal drop re-
(o) A percussion-activated device must in- quired by section E417.9(l).
clude a safing interlock, such as a safing pin, (i) An explosive transfer system must be
that provides a physical means of preventing hermetically sealed to the equivalent of 5 
the percussion-activated device assembly 10¥ 6 scc/sec of helium at one atmosphere
from pulling more than 50% of the guaran- pressure differential.
teed no-fire pull distance. The following
apply to a safing interlock: D417.49 DESTRUCT CHARGE
(1) A safing interlock must positively lock (a) This section applies to any destruct
into place and must have a means of charge that is part of a flight termination
verifying proper function of the interlock. system. A destruct charge must sever or pen-
(2) A safing interlock must eliminate the etrate a launch vehicle component or pay-
possibility of inadvertent disconnection or load, such as a propellant tank or motor cas-
removal of the interlock should a pre-load ing, to accomplish a flight termination func-
condition exist on the lanyard unless the de- tion.
vice provides a visual or other means of (b) A destruct charge must use a secondary
verifying that there is no load on the lan- explosive.
yard. (c) When initiated, a destruct charge ac-
(3) A safing interlock, when in place, must ceptor, where applicable, or main charge
prevent initiation of the percussion actuated must ensure the transfer of the explosive
device when subjected to twice the greatest charge with a reliability of 0.999 at a 95%
possible inadvertent pull force that could be confidence level.
experienced during launch processing. (d) Initiation of a destruct charge must re-
sult in a flight termination system action in
D417.47 E XPLOSIVE TRANSFER SYSTEM
accordance with the flight termination sys-
(a) This section applies to any explosive tem functional requirements of § 417.303.
transfer system that is part of a flight termi- (e) A destruct charge must sever or pene-
nation system. An explosive transfer system trate 150% of the thickness of the material
must transmit an explosive charge from an that must be severed or penetrated in order

676
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
for the destruct charge to accomplish its in- tested in accordance with appendix E of this
tended flight termination function. A de- part.
struct charge, when initiated to terminate (d) A launch operator must identify any
the flight of a launch vehicle, must not deto- additional requirements that apply to any
nate any launch vehicle or payload propel- new or unique component and demonstrate
lant. that those requirements ensure the reli-
(f) Each destruct charge and associated fit- ability of the component.
ting must satisfy all its performance speci-
fications when subjected to the tensile load APPENDIX E TO PART 417—FLIGHT TER-
required by section E417.9(j).
MINATION SYSTEM TESTING AND
(g) A destruct charge must satisfy all its
performance specifications after experi- ANALYSIS
encing the handling drop required by section
E417.1 GENERAL
E417.9(k) and any additional transportation,
handling, or installation environment that (a) Scope and compliance. This appendix
the charge could experience undetected. contains requirements for tests and analyses
(h) A destruct charge must not initiate and that apply to all flight termination systems
must allow for safe disposal after experi- and the components that make up each
encing the abnormal drop required by sec- flight termination system. Section 417.301 re-
tion E417.9(l). quires that a launch operator’s flight safety
(i) A destruct charge must be hermetically system employ a flight termination system
sealed to the equivalent of 5 10¥ 6 scc/sec of that complies with this appendix. Section
helium at one atmosphere pressure differen- 417.301 also contains requirements that apply
tial. to a launch operator’s demonstration of com-
D417.51 VIBRATION AND SHOCK ISOLATORS
pliance with the requirement of this appen-
dix. A launch operator must employ on its
(a) This section applies to any vibration or launch vehicle only those flight termination
shock isolator that is part of a flight safety system components that satisfy the require-
system. A vibration or shock isolator must ments of this appendix.
ensure the environmental survivability of a (b) Component tests and analyses. A compo-
flight termination system component by re- nent must satisfy each test or analysis re-
ducing the vibration or shock levels that the quired by any table of this appendix to dem-
component experiences during flight. onstrate that the component satisfies all its
(b) A vibration or shock isolator must have performance specifications when subjected
repeatable natural frequency and resonant to non-operating and operating environ-
amplification parameters when subjected to ments. A launch operator must identify and
flight environments. implement any additional test or analysis
(c) An isolator must account for all effects for any new technology or any unique appli-
that could cause variations in repeatability, cation of an existing technology.
including acceleration preloads, tempera-
(c) Test plans. Each test of a component,
ture, component mass, and vibration level
subsystem, or system must follow a written
variations.
plan that specifies the test parameters, in-
(d) A vibration or shock isolator must sat-
cluding pass/fail criteria, and a testing se-
isfy all of its performance specifications
quence that satisfy the requirements of this
when subjected to the qualification test en-
appendix. For any component that is used
vironments for each component that is
for more than one flight, the test plan must
mounted on the isolator.
provide for component reuse qualification,
(e) All components mounted on a vibration
refurbishment, and acceptance as required
or shock isolator must withstand the envi-
ronments introduced by isolator amplifi- by section E417.7(g). The test plan must in-
cation. In addition, all component interface clude any alternate procedures for testing a
hardware, such as connectors, cables, and component when it is in place on the launch
grounding straps, must withstand any added vehicle.
deflection introduced by an isolator. (d) Test failures. If a test of a component re-
sults in a failure, the component does not
D417.53 MISCELLANEOUS COMPONENTS satisfy the test requirement. Each of the fol-
lowing is a test failure:
(a) This section applies to any miscella-
neous flight termination system component (1) Any component sample that does not
that is not specifically identified by this ap- satisfy a performance specification;
pendix. (2) Any failure to accomplish a test objec-
(b) A miscellaneous component must sat- tive;
isfy all its performance specifications when (3) Any component sample with a test re-
subjected to the non-operating and operating sult that indicates that the component is
environments of section D417.3. out-of-family when compared to other sam-
(c) The design of a miscellaneous compo- ples of the component, even if the component
nent must provide for the component to be satisfies other test criteria;

677
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
(4) Any unexpected change in the perform- number of acceptance tests experienced by a
ance of a component sample occurring at any repaired component must not exceed the en-
time during testing; vironments for which the component is
(5) Any component sample that exhibits qualified.
any sign that a part is stressed beyond its (i) Test and analysis reports. A launch oper-
design limit, such as a cracked circuit board, ator must prepare or obtain one or more
bent clamps, worn part, or loose connector written reports that:
or screw, even if the component passes the (1) Describe all flight termination system
final functional test; test results and test conditions;
(6) When component examination shows (2) Describe any analysis performed instead
any defect that could adversely affect the of testing;
component’s performance; (3) Identify, by serial number or other
(7) Any discontinuity or dropout in a meas- identification, each test result that applies
ured performance parameter that could pre- to each system or component;
vent the component from satisfying a per- (4) Describe any family performance data
formance specification; to be used for comparison to any subsequent
(8) Any inadvertent output; or test of a component or system;
(9) Any indication of internal component (5) Describe all performance parameter
damage. measurements made during component test-
(e) Failure analysis. In the event of a test ing for comparison to each previous and sub-
failure, the test item, procedures and equip- sequent test to identify any performance
ment must undergo a written failure anal- variations that may indicate a potential
ysis. The failure analysis must identify the workmanship or other defect that could lead
cause of the failure, the mechanism of the to a failure of the component during flight;
failure, and isolate the failure to the small- and
est replaceable item or items and ensure (6) Identify any test failure or anomaly, in-
that there are no generic design, workman-
cluding any variation from an established
ship, or process problems with other flight
performance baseline, with a description of
components of similar configuration.
the failure or anomaly, each corrective ac-
(f) Test tolerances. Each test must apply to
tion taken, and all results of additional
the nominal values specified by this appen-
tests.
dix tolerances that satisfy the following:
(1) The tolerance of any measurement E417.3 C OMPONENT TEST AND ANALYSIS
taken during a functional test must provide TABLES
the accuracy needed to detect any out-of-
family or out-of-specification anomaly. (a) General. This section applies to each
(2) An environmental level, such as for vi- test and analysis table of this appendix.
bration or temperature, used to satisfy a Each component or system that is identified
component test requirement of this appendix by a table must satisfy each test or analysis
must include the environment design margin identified by the table. Each component or
required by appendix D of this part. The en- system must satisfy a test by undergoing
vironmental level must account for any test and passing the test as described in the para-
equipment tolerance to ensure that the com- graph that the table lists. In cases where the
ponent experiences the required margin. listed paragraph allows a test or analysis,
(g) Test equipment. All equipment used dur- any analysis must satisfy any specific re-
ing environmental testing must provide for quirement listed in the paragraph and must
the test item to experience the required en- demonstrate one of the following:
vironmental test levels. Any test fixture (1) The test environment does not apply to
used to simultaneously test multiple compo- the component;
nent samples must ensure that each compo- (2) The test environment does not degrade
nent sample, at each mounting location on the component’s performance; or
the fixture experiences each required envi- (3) Another test or combination of tests
ronmental test level. Any difference in a that the component undergoes places equal
qualification or acceptance test fixture or or greater stress on the component than the
cable must undergo an evaluation to ensure test in question.
that flight hardware is not subjected to (b) Test sequence. A component or system
stresses greater than that which the unit ex- must undergo each test in the same order as
periences during qualification. the table identifies the test. A launch oper-
(h) Rework and repair of components. Com- ator may deviate from the test sequence if
ponents that fail a test may undergo rework the launch operator demonstrates that an-
and repair and must then complete the failed other order will detect any component anom-
test and each remaining test. If a repair re- aly that could occur during testing.
quires disassembly of the component or sol- (c) Quantity of sample components tested. (1)
dering operations, the component must re- For a new component, each table identifies
peat any test necessary to demonstrate that the quantity of component samples that
the repair corrected the original anomaly must undergo each test identified by the
and did not cause other damage. The total table.

678
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
(2) A launch operator may test fewer sam- (2) The critical performance parameters
ples than the quantity identified for a new must include those parameters that act as
component if the launch operator dem- an indicator of an internal anomaly that a
onstrates one of the following: functional performance test might not de-
(i) That the component has experienced tect; and
comparable environmental tests; or (3) Each test must compare the results to
(ii) The component is similar to a design any previous test results to identify any deg-
that has experienced comparable environ- radation in performance.
mental tests.
(3) Any component that a launch operator E417.5 COMPONENT EXAMINATION
uses for any comparison to a new component (a) General. This section applies to each
must have undergone all the environmental component examination identified by any
tests required for the new component to de- table of this appendix. Each component ex-
velop cumulative effects. amination must identify any manufacturing
(d) Performance verification tests. Each per- defect that the performance tests might not
formance verification test identified by any detect. The presence of a defect that could
table of this appendix must satisfy all of the adversely affect the component’s perform-
following: ance constitutes a failure.
(1) Each test must measure one or more of (b) Visual examination. A visual examina-
a component or system’s performance pa- tion must verify that good workmanship was
rameters to demonstrate that the component employed during manufacture of a compo-
or system satisfies all its performance speci- nent and that the component is free of any
fications; physical defect that could adversely affect
(2) The component must undergo each test: performance. A visual examination may in-
(i) Before the component is exposed to each clude the use of optical magnification, mir-
test environment; and rors, or specific lighting, such as ultraviolet
(ii) After the component is exposed to the illumination.
test environment to identify any perform- (c) Dimension measurement. A dimension
ance degradation due to the environment; measurement of a component must verify
and that the component satisfies all its dimen-
(3) Any electronic component must under- sional specifications.
go each performance verification test at: (d) Weight measurement. A weight measure-
(i) The lowest operating voltage; ment of a component must verify that the
(ii) Nominal operating voltage; and component satisfies its weight specification.
(iii) Highest operating voltage that the (e) Identification check. An identification
component could experience during pre- check of a component must verify that the
flight and flight operations. component has one or more identification
(e) Abbreviated performance verification tests. tags that contain information that allows
Each abbreviated performance verification for configuration control and tracing of the
test required by any table of this appendix component.
must satisfy all of the following: (f) X-ray and N-ray examination. An X-ray
(1) Each test must exercise all of a compo- or N-ray examination of a component must
nent’s functions that are critical to a flight have a resolution that allows detailed in-
termination system’s performance during spection of the internal parts of the compo-
flight nent and must identify any internal anoma-
(i) while the component is subjected to lous condition. The examination must in-
each test environment; or, clude enough photographs, taken from dif-
(ii) for short duration environments such ferent angles, to allow complete coverage of
as shock, before and after each test; the component’s internal parts. When uti-
(2) Each test must measure a sampling of lized as a recurring inspection technique to
the component’s critical performance param- accept production hardware, the examina-
eters while the component is subjected to tion must use the same set of angles for each
each test environment to demonstrate that sample of a component to allow for compari-
the component satisfies all its performance son. A certified technician must evaluate X-
specifications; and ray and N-ray photographs.
(3) Any electronic component must under- (g) Internal inspection. An internal inspec-
go each abbreviated performance verification tion of a component must demonstrate that
test at the component’s nominal operating there is no wear or damage, including any in-
voltage. ternal wear or damage, to the component
(f) Status-of-health tests. Each status-of- that could adversely affect its performance
health test required by any table of this ap- after exposure to any test environment. An
pendix must satisfy all of the following: internal inspection must satisfy all of the
(1) Each test must measure one or more following:
critical performance parameter to dem- (1) All internal components and subassem-
onstrate that a component or system satis- blies, such as circuit board traces, internal
fies all its performance specifications; connectors, welds, screws, clamps, electronic

679
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
piece parts, battery cell plates and separa- terial and processes remain unchanged since
tors, and mechanical subassemblies must un- the last component qualification. The extent
dergo examination to satisfy this paragraph of any re-qualification tests must be the
using an inspection method such as a magni- same as the initial qualification tests except
fying lens or radiographic inspection; where paragraph (f) of this section applies.
(2) For a component that can be disassem- (e) A launch operator must not use for
bled, the component must undergo complete flight any component sample that has been
disassembly to the point needed to satisfy subjected to a qualification test environ-
this paragraph; and ment.
(3) For a component that cannot be dis- (f) A launch operator may reduce the test-
assembled, such as an antenna, potted com- ing required to qualify or re-qualify a com-
ponent, or welded structure, the component ponent’s design through qualification by
must undergo any special procedures needed similarity to tests performed on identical or
to satisfy this paragraph, such as depotting similar hardware. To qualify component ‘‘A’’
the component, cutting the component into based on similarity to component ‘‘B’’ that
cross-sections, or radiographic inspection. has already been qualified for use, a launch
(h) Leakage. A leakage test must dem- operator must demonstrate that all of the
onstrate that a component’s seal satisfies all following conditions are satisfied:
its performance specifications before and (1) ‘‘B’’ must have been qualified through
after the component is subjected to any test testing, not by similarity;
environment as follows: (2) The environments encountered by ‘‘B’’
(1) The test must have the resolution and during its qualification or flight history
sample rate to demonstrate that the compo- must have been equal to or more severe than
nent’s leak rate is no greater than its design the qualification environments required for
limit. ‘‘A;’’
(2) For an electronic component, the test (3) ‘‘A’’ must be a minor variation of ‘‘B.’’
must demonstrate a leak rate of no greater The demonstration that A is a minor vari-
than the equivalent of 10 ¥ 4 standard cubic ation of B must account for all of the fol-
centimeters/second (scc/sec) of helium. lowing:
(3) For an ordnance component, the test (i) Any difference in weight, mechanical
must demonstrate a leak rate of no greater configuration, thermal effects, or dynamic
than the equivalent of 5 10¥ 6 scc/sec of he- response;
lium. (ii) Any change in piece-part quality level;
and
E417.7 QUALIFICATION TESTING AND ANALYSIS (iii) Any addition or subtraction of an elec-
(a) This section applies to each qualifica- tronic piece-part, moving part, ceramic or
tion non-operating and operating test or glass part, crystal, magnetic device, or
analysis identified by any table of this ap- power conversion or distribution equipment;
pendix. A qualification test or analysis must (4) ‘‘A’’ and ‘‘B’’ must perform the same
demonstrate that a component will satisfy functions, with ‘‘A’’ having equivalent or
all its performance specifications when sub- better capability; and
jected to the design environmental levels re- (5) The same manufacturer must produce
quired by section D417.7. ‘‘A’’ and ‘‘B’’ in the same location using
(b) Before a component sample undergoes a identical tools and manufacturing processes;
qualification environmental test, the compo- (g) For any flight termination system com-
nent sample must pass all the required ac- ponent used for more than one flight, the
ceptance tests. component qualification tests must dem-
(c) A component must undergo each quali- onstrate that the component satisfies all its
fication test in a flight representative con- performance specifications when subjected
figuration, with all flight representative to:
hardware such as connectors, cables, and any (1) Each qualification test environment;
cable clamps, and with all attachment hard- and
ware, such as dynamic isolators, brackets (2) The total number of exposures to each
and bolts, as part of that flight representa- maximum predicted environment for the
tive configuration. total number of flights.
(d) A component must undergo re-quali-
fication tests if there is a change in the de- E417.9 QUALIFICATIONNON-OPERATING
ENVIRONMENTS
sign of the component or if the environ-
mental levels to which it will be exposed ex- (a) General. This section applies to each
ceed the levels for which the component is qualification non-operating environment
qualified. A component must undergo re- test or analysis identified by any table of
qualification if the manufacturer’s location, this appendix. A qualification non-operating
parts, materials, or processes have changed test or analysis must demonstrate that a
since the previous qualification. A change in component satisfies all its performance spec-
the name of the manufacturer as a result of ifications when subjected to each maximum
a sale does not require re-qualification if the predicted non-operating environment that
personnel, factory location or the parts, ma- the component could experience, including

680
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
all storage, transportation, and installation The test must include, for each orientation
environments. that could occur during servicing; a drop
(b) Storage temperature. A storage tempera- from the maximum predicted handling
ture test or analysis must demonstrate that height onto a representative surface.
a component will satisfy all its performance (f) Transportation vibration. A transpor-
specifications when subjected to the max- tation vibration test or analysis must dem-
imum predicted high and low temperatures, onstrate that a component satisfies all its
thermal cycles, and dwell-times at the high performance specifications after being sub-
and low temperatures that the component jected to a maximum predicted transpor-
could experience under storage conditions as tation-induced vibration level when trans-
follows: ported in its transportation configuration as
(1) Any storage temperature test must sub- follows:
ject the component to the range of tempera- (1) Any transportation vibration test must
tures from 10 C lower than the maximum subject a component to vibration in three
predicted storage thermal range to 10 C mutually perpendicular axes for 60 minutes
higher. The rate of change from one thermal per axis. The test must subject each axis to
extreme to the other must be no less than the following vibration profile:
the maximum predicted thermal rate of (i) 0.01500 g2/Hz at 10 Hz to 40 Hz;
change. All thermal dwell-times and thermal (ii) 0.01500 g2/Hz at 40 Hz to 0.00015 g2/Hz at
cycles must be no less than those of the max- 500 Hz; and
imum predicted storage environment. (i) If the component is resonant below 10
(2) Any analysis must demonstrate that Hz, the test vibration profile must extend to
the qualification operating thermal cycle en- the lowest resonant frequency.
vironment is more severe than the storage (2) Any analysis must demonstrate that
thermal environment by satisfying one of the qualification operating vibration envi-
the following: ronment is more severe than the transpor-
(i) The analysis must include thermal fa- tation vibration environment. The analysis
tigue equivalence calculations that dem- must include vibration fatigue equivalence
onstrate that the large change in tempera- calculations that demonstrate that the high
ture for a few thermal cycles experienced vibration levels with short duration experi-
during flight is a more severe environment enced during flight creates a more severe en-
than the relatively small change in tempera- vironment than the relatively low-vibration
ture for many thermal cycles that would be levels with long duration that would be expe-
experienced during storage; or rienced during transportation.
(ii) The analysis must demonstrate that (g) Fungus resistance. A fungus resistance
the component’s operating qualification test or analysis must demonstrate that a
thermal cycle range encompasses ¥ 34 C to component satisfies all its performance spec-
71 C and that any temperature variation ifications after being subjected to a fungal
that the component experiences during stor- growth environment. Any analysis must
age does not exceed 22 C. demonstrate that all unsealed and exposed
(c) High-temperature storage of ordnance. A surfaces do not contain nutrient materials
component may undergo a high-temperature for fungus.
storage test to extend the service-life of an (h) Salt fog. For a component that will be
ordnance component production lot from one exposed to salt fog, a salt fog test or analysis
year to three or five years as permitted by must demonstrate that the component satis-
any test table of this appendix. The test fies all its performance specifications after
must demonstrate that each component sam- being subjected to the effects of a moist,
ple satisfies all its performance specifica- salt-laden atmosphere. The test or analysis
tions after being subjected to + 71 C and 40 must demonstrate the ability of all exter-
to 60 percent relative humidity for no less nally exposed surfaces to withstand a salt-
than 30 days each. fog environment. The test or analysis must
(d) Transportation shock. A transportation demonstrate the ability of each internal part
shock test or analysis must demonstrate of a component to withstand a salt-fog envi-
that a component satisfies all its perform- ronment unless the component is environ-
ance specifications after being subjected to mentally sealed, and acceptance testing
the maximum predicted transportation in- verifies that the seal works.
duced shock levels that the component could (i) Fine sand. For a component that will be
experience when transported in its trans- exposed to fine sand or dust, a fine sand test
ported configuration. Any analysis must or analysis must demonstrate that the com-
demonstrate that the qualification operating ponent satisfies all its performance speci-
shock environment is more severe than the fications after being subjected to the effects
transportation shock environment. of dust or fine sand particles that may pene-
(e) Bench handling shock. A bench handling trate into cracks, crevices, bearings and
shock test must demonstrate that a compo- joints. The test or analysis must dem-
nent satisfies all its performance specifica- onstrate the ability of all externally exposed
tions after being subjected to maximum pre- surfaces to withstand a fine sand environ-
dicted bench handling induced shock levels. ment. The test or analysis must demonstrate

681
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
the ability of each internal part of a compo- analysis of a component must demonstrate
nent to withstand a fine sand environment that the component and each connection to
unless the component is environmentally any item that attaches to the component
sealed and acceptance testing verifies that satisfy all their performance specifications
the seal works. when subjected to the qualification sinus-
(j) Tensile load. A tensile load test must oidal vibration environment. The attached
demonstrate that a component satisfies all items must include any vibration or shock
its performance specifications after being ex- isolator, grounding strap, bracket, explosive
posed to tensile and compression loads of no transfer system, or cable to the first tie-
less than twice the maximum predicted level down. Any cable that interfaces with the
during transportation and installation. In component during any test must be rep-
addition, the test load must satisfy one of resentative of the cable used for flight.
the following where applicable: (2) The qualification sinusoidal vibration
(1) For an explosive transfer system and its environment must be no less than 6dB great-
associated fittings, a pull of no less than 100 er than the maximum predicted sinusoidal
pounds unless the launch operator estab- vibration environment for no less than three
lishes procedural controls or tests that pre- times the maximum predicted duration.
vent or detect mishandling; (3) The sinusoidal frequency must range
(2) For a destruct charge and its associated from 50% lower than the maximum predicted
fittings, a pull of no less than 50 pounds; frequency range to 50% higher than the max-
(3) For a flight radio frequency connector, imum predicted frequency range.
a pull of no less than one-half the manufac- (4) Any test must satisfy all of the fol-
turer specified limit; lowing:
(4) For an electro-explosive device wire, a (i) The test must subject each of three mu-
pull of no less than 18 pounds; or tually perpendicular axes of the component
(5) For an electrical pin of an exploding to the qualification sinusoidal vibration en-
bridgewire device, no less than an 18-pound vironment, one axis at a time. For each axis,
force in axial and compression modes. the duration of the vibration must be no less
(k) Handling drop of ordnance. A handling than three times the maximum predicted si-
drop test must demonstrate that an ord- nusoidal vibration duration.
nance component satisfies all its perform- (ii) The sinusoidal sweep rate must be no
ance specifications after experiencing the greater than one-third the maximum pre-
more severe of the following: dicted sweep rate;
(1) The maximum predicted drop and re- (iii) The sinusoidal vibration test ampli-
sulting impact that could occur and go unde- tude must have an accuracy of 10%; and
tected during storage, transportation, or in- (iv) For any component that uses one or
stallation; or more shock or vibration isolators, the com-
(2) A six-foot drop onto a representative ponent must undergo the test mounted on its
surface in any orientation that could occur isolator or isolators as a unit. Each isolator
during storage, transportation, or installa- must satisfy the requirements of section
tion. E417.35.
(l) Abnormal drop of ordnance. An abnormal (5) Any analysis must demonstrate that
drop test must demonstrate that an ord- the qualification random vibration environ-
nance component does not initiate and al- ment of paragraph (c) of this section encom-
lows for safe disposal after experiencing the passes the qualification sinusoidal vibration
maximum predicted drop and resulting im- environment.
pact onto a representative surface in any ori- (c) Qualification random vibration. (1) A
entation, that could occur during storage, qualification random vibration test of a
transportation, or installation. The compo- component must demonstrate that the com-
nent need not function after this drop. ponent and each connection to any item that
attaches to the component satisfy all their
E417.11 QUALIFICATION OPERATING performance specifications when subjected
ENVIRONMENTS
to the qualification random vibration envi-
(a) General. This section applies to each ronment. The attached items must include
qualification operating environment test or any isolator, grounding strap, bracket, ex-
analysis identified by any table of this ap- plosive transfer system, or cable to the first
pendix. A qualification operating environ- tie-down. Any cable that interfaces with the
ment test must demonstrate that a compo- component during any test must be rep-
nent satisfies all of its performance speci- resentative of the cable used for flight.
fications when subjected to each qualifica- (2) For each component required by this
tion operating environment including each appendix to undergo 100% acceptance test-
physical environment that the component ing, the minimum qualification random vi-
will experience during acceptance testing, bration environment must be no less than a
launch countdown, and flight. The test must 3 dB margin greater than the maximum ac-
employ each margin required by this section. ceptance random vibration test environment
(b) Qualification sinusoidal vibration. (1) A for all frequencies from 20 Hz to 2,000 Hz. The
qualification sinusoidal vibration test or minimum and maximum test environments

682
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
must account for all the test tolerances to (C) Subject the component to no less than
ensure that the test maintains the 3 dB mar- the minimum workmanship screening quali-
gin. fication random vibration level of table
(3) For each component that is not re- E417.11–1. If the isolator or isolators prevent
quired by this appendix to undergo 100% ac- the component from experiencing the min-
ceptance testing, the minimum qualification imum workmanship level, the component
random vibration environment must be no must undergo a test while hard-mounted
less than a 4.5–dB margin greater than the that subjects the component to the work-
greater of the maximum predicted random manship level.
vibration environment or the minimum (5) The test must subject each component
workmanship test levels of table E417.11–1 sample to the qualification random vibration
for all frequencies from 20 Hz to 2000 Hz. The environment in each of three mutually per-
minimum qualification test environment pendicular axes. For each axis, the test must
must account for all the test tolerances to last three times as long as the acceptance
ensure that the test maintains the 4.5 dB test duration or a minimum workmanship
margin. qualification duration of 180 seconds, which-
(4) If a component is mounted on one or ever is greater.
more shock or vibration isolators during (6) For a component sample that must ex-
flight, the component must undergo the
perience the acceptance random vibration
qualification random vibration test while
environment before it experiences the quali-
hard-mounted or isolator-mounted as fol-
fication random vibration environment, such
lows:
as a command receiver decoder, the test
(i) Any qualification random vibration test
must use the same configuration and meth-
with the component hard-mounted must sub-
ods for the acceptance and qualification en-
ject the component to a qualification ran-
vironments.
dom vibration environment that:
(A) Accounts for the isolator attenuation (7) If the duration of the qualification ran-
and amplification due to the maximum pre- dom vibration environment leaves insuffi-
dicted operating random vibration environ- cient time to complete any required per-
ment, including any thermal effects and ac- formance verification test while the compo-
celeration pre-load performance variability, nent is subjected to the full qualification en-
and adds a 1.5 dB margin to account for any vironment, the test must continue at no less
isolator attenuation variability; than the acceptance random vibration envi-
(B) Adds the required qualification random ronment. The test need only continue for the
vibration margin of paragraph (c)(1) or (c)(2) additional time needed to complete the per-
of this section after accounting for the iso- formance verification test.
lator effects of paragraph (c)(4)(i)(A) of this (8) The test must continuously monitor
section and accounts for all tolerances that and record all performance and status-of-
apply to the isolator’s performance specifica- health parameters while the component is
tions to ensure that the qualification test subjected to the qualification environment.
margin is maintained; and This monitoring must have a sample rate
(C) Is no less than the minimum workman- that will detect any component performance
ship screening qualification random vibra- degradation. Any electrical component must
tion level of table E417.11–1. undergo the test while subjected to its nomi-
(ii) Any qualification random vibration nal operating voltage.
test with the component isolator-mounted (9) A launch operator may substitute a
must: random vibration test for another required
(A) Use an isolator or isolators that passed dynamic test, such as acceleration, acoustic,
the tests required by section E417.35; or sinusoidal vibration if the launch operator
(B) Have an input to each isolator of no demonstrates that the forces, displacements,
less than the required qualification random and test duration imparted on a component
vibration environment of paragraph (c)(1) or during the random vibration test are no less
(c)(2) of this section; and severe than the other test environment.

683
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

(d) Qualification acoustic. (1) A qualification tic vibration environment or a minimum

acoustic vibration test or analysis of a com- workmanship screening test level of 144 dBA
ponent must demonstrate that the compo- for all frequencies from 20 Hz to 2000 Hz. The
nent and each connection to any item that minimum qualification test environment
attaches to the component satisfy all their must account for all the test tolerances to
performance specifications when subjected ensure that the test maintains the 3 dB mar-
to the qualification acoustic vibration envi- gin. For each acoustic vibration test re-
ronment. The attached items must include quired by this appendix to have a tolerance
any isolator, grounding strap, bracket, ex- of 3.0 dB, the qualification test level must
plosive transfer system, or cable to the first be 6 dB greater than the greater of the max-
tie-down. Any cable that interfaces with the imum predicted environment or the min-
component during any test must be rep- imum workmanship test level.
resentative of the cable used for flight.
(4) For any component that uses one or
(2) For each component required by this more shock or vibration isolators during
appendix to undergo 100% acoustic accept-
flight, the component must undergo any
ance testing, the minimum qualification
qualification acoustic vibration test mount-
acoustic vibration environment must be
greater than the maximum acceptance ed on its isolator or isolators as a unit. Each
acoustic vibration test environment for all isolator must satisfy the test requirements
frequencies from 20 Hz to 2000 Hz. The min- of section E417.35.
imum and maximum test environments must (5) Any test must continuously monitor
account for all the test tolerances to ensure and record all performance and status-of-
that the test maintains a positive margin be- health parameters while the component is
tween the minimum qualification environ- subjected to the qualification environment.
ment and the maximum acceptance environ- This monitoring must have a sample rate
ment. For each acoustic vibration test re- that will detect any component performance
quired by this appendix to have a tolerance degradation.
of 3 dB, the qualification test level must be (6) Any analysis must demonstrate that
6 dB greater than the acceptance test level. the qualification random vibration test envi-
(3) For each component that is not re- ronment of paragraph (c) of this section en-
quired by this appendix to undergo 100% ac- compasses the qualification acoustic vibra-
ceptance testing, such as ordnance, the min- tion environment. The analysis must dem-
imum qualification acoustic vibration envi- onstrate that the qualification random vi-
ronment must be no less than a 3 dB margin bration environment is more severe than the
greater than the maximum predicted acous-

684
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
qualification acoustic vibration environ- vironment or the minimum breakup test
ment. The analysis must account for all level.
peak vibration levels and durations. (3) The test must subject the component si-
(e) Qualification shock. (1) A qualification multaneously to a shock transient and all
shock test of a component must demonstrate the required frequencies.
that the component and each connection to (4) The test must subject each component
any item that attaches to the component to three shocks in each direction along each
satisfies all their performance specifications of the three orthogonal axes.
when subjected to the qualification shock
(5) The shock must last as long as the max-
environment. The attached items must in-
imum predicted shock event.
clude any isolator, grounding strap, bracket,
explosive transfer system, or cable to the (6) The test must continuously monitor
first tie-down. Any cable that interfaces each component’s critical performance pa-
with the component during the test must be rameters for any discontinuity or inad-
representative of the cable used for flight. vertent output while the component is sub-
(2) The minimum qualification shock envi- jected to the shock environment.
ronment must be no less than a 3 dB margin (7) The test must continuously monitor
plus the greater of the maximum predicted and record all performance and status-of-
environment or the minimum breakup levels health parameters while the component is
identified in table E417.11–2 for all fre- subjected to the qualification environment.
quencies from 100 Hz to 10000 Hz. The min- This monitoring must have a sample rate of
imum qualification test environment must once every millisecond or better.
account for all the test tolerances to ensure (8) For any component that uses one or
that the test maintains the 3dB margin. For more shock or vibration isolators during
a shock test required by this appendix to flight, the component must undergo the
have a 3 dB tolerance, the qualification test qualification shock test mounted on its iso-
environment must be 6 dB greater than the lator or isolators. Each isolator must satisfy
greater of the maximum predicted shock en- the test requirements of section E417.35.

(f) Qualification acceleration. (1) A qualifica- (2) The qualification acceleration test en-
tion acceleration test or analysis of a compo- vironment must be no less than 200% greater
nent must demonstrate that the component than the maximum predicted acceleration
and each connection to any item that at- environment.
taches to the component satisfy all their (3) The qualification acceleration must
performance specifications when subjected last three times as long as the maximum
to the qualification acceleration environ- predicted environment lasts in each direc-
ment. The attached items must include any tion for each of the three orthogonal axes.
isolator, grounding strap, bracket, explosive (4) For any test, if the test tolerance is
transfer system, or cable to the first tie- more than 10%, the qualification accelera-
down. Any cable that interfaces with the tion test environment of paragraph (f)(1) of
component during any test must be rep- this section must account for the test toler-
resentative of the cable used for flight. ance to ensure that the test maintains the

685
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
200% margin between the minimum quali- qualification thermal cycle environment as
fication acceleration test and the maximum follows:
predicted environment. (1) Electronic components. For any command
(5) Any analysis must demonstrate that receiver decoder or other electronic compo-
the qualification operating random vibration nent that contains piece-part circuitry, such
test required by paragraph (c) of this section as microcircuits, transistors, diodes and re-
encompasses the qualification acceleration lays, a qualification thermal cycle test must
environment. The analysis must dem- satisfy all of the following:
onstrate that the qualification random vi- (i) The qualification thermal cycle envi-
bration environment is equal to or more se- ronment must range from 10 C above the ac-
vere than the qualification acceleration en- ceptance test high temperature to 10 C
vironment. The analysis must account for below the acceptance test low temperature;
the peak vibration and acceleration levels (ii) The test must subject a component to
and durations. no less than three times the acceptance-
(6) Any test must continuously monitor number of thermal cycles. For each compo-
and record all performance and status-of- nent, the acceptance-number of thermal cy-
health parameters while the component is cles must satisfy section E417.13(d)(1). For
subjected to the qualification environment. each cycle, the dwell-time at each of the
This monitoring must have a sample rate high and low temperatures must last long
that will detect any component performance enough for the component to achieve inter-
degradation. nal thermal equilibrium and must last no
(7) For any component that uses one or less than one hour. The test must begin each
more shock and vibration isolators during
dwell-time at each high and low temperature
flight, the component must undergo any
with the component turned off. The compo-
qualification acceleration test mounted on
nent must remain off until the temperature
its isolator or isolators. Each isolator must
stabilizes. Once the temperature stabilizes,
satisfy the test requirements of section
the component must be turned on and the
E417.35.
test must complete each dwell-time with the
(g) Qualification humidity. A qualification
component turned on;
humidity test or analysis must demonstrate
that a component satisfies all its perform- (iii) When heating or cooling the compo-
ance specifications when subjected to the nent, the temperature must change at an av-
maximum predicted relative humidity envi- erage rate of 1 C per minute or the max-
ronment that the component could experi- imum predicted rate, whichever is greater;
ence when stored, transported, or installed (iv) The test must measure all performance
as follows: parameters with the component powered at
(1) The test or analysis must demonstrate its low and high operating voltages when the
the ability of all externally exposed surfaces component is at ambient temperature before
to withstand the maximum predicted rel- beginning the first thermal cycle and after
ative humidity environment. completing the last cycle. The test must
(2) The test or analysis must demonstrate measure all performance parameters with
the ability of each internal part of a compo- the component powered at its low and high
nent to withstand the maximum predicted operating voltages when the component is at
relative humidity environment unless the the high and low temperatures during the
component is environmentally sealed and an first, middle, and last thermal dwell cycles;
acceptance test demonstrates that the seal and
works. (v) The test must continuously monitor
(3) Each test must satisfy all of the fol- and record all critical performance and sta-
lowing: tus-of-health parameters during all cycles
(i) The test must subject the component to and thermal transitions and with the compo-
no less than four thermal cycles while the nent operating at its nominal operating volt-
component is exposed to a relative humidity age. The monitoring and recording must
of no less than 95%; have a resolution and sample rate that will
(ii) The test must measure each electrical detect any component performance degrada-
performance parameter at the cold and hot tion.
temperatures during the first, middle and (2) Passive components. For any passive
last thermal cycles; and component that does not contain an active
(iii) The test must continuously measure electronic piece-part, such as a radio fre-
and record all performance and status-of- quency antenna, coupler, or cable, a quali-
health parameters with a resolution and fication thermal cycle test must satisfy all
sample rate that will detect any component of the following:
performance degradation throughout each (i) The qualification thermal cycle envi-
thermal cycle. ronment must range from 10 C above the ac-
(h) Qualification thermal cycle. A qualifica- ceptance test high temperature to 10 C
tion thermal cycle test must demonstrate below the acceptance test low temperature;
that a component satisfies all its perform- (ii) The test must subject a component to
ance specifications when subjected to the no less than three times the acceptance-

686
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
number of thermal cycles. For each compo- (4) Ordnance components. For any ordnance
nent, the acceptance-number of thermal cy- component, a qualification thermal cycle
cles must satisfy section E417.13(d)(1). For test must satisfy all of the following:
each cycle, the dwell-time at each high and (i) The qualification thermal cycle must
low temperature must last long enough for range from 10 C above the predicted highest
the component to achieve internal thermal temperature, or 71 C, whichever is higher, to
equilibrium and must last no less than one 10 C below the predicted lowest tempera-
hour; ture, or ¥ 54 C, whichever is lower;
(iii) When heating or cooling the compo- (ii) The test must subject each ordnance
nent, the temperature must change at an av- component to no less than the acceptance-
erage rate of 1 C per minute or the max- number of thermal cycles. For each compo-
imum predicted rate, whichever is greater; nent, the acceptance-number of thermal cy-
(iv) The test must measure all performance cles must satisfy section E417.13(d)(1). For an
parameters when the component is at ambi- ordnance component that is used inside a
ent temperature before beginning the first safe-and-arm device, the test must subject
thermal cycle and after completing the last the component to three times the accept-
cycle. The test must measure all perform- ance-number of thermal cycles. For each
ance parameters when the component is at cycle, the dwell-time at each high and low
the high and low temperatures during the temperature must last long enough for the
first, middle, and last thermal cycles; and component to achieve internal thermal equi-
(v) The test must continuously monitor librium and must last no less than two hours;
and record all critical performance and sta- and
tus-of-health parameters with a resolution (iii) When heating or cooling the compo-
and sample rate that will detect any compo- nent, the temperature must change at an av-
nent performance degradation during all cy- erage rate of 3 C per minute or the max-
cles and thermal transitions. imum predicted rate, whichever is greater.
(3) Safe-and-Arm Devices. For any electro- (i) Qualification thermal vacuum. A quali-
mechanical safe-and-arm device with an in- fication thermal vacuum test or analysis
ternal explosive, a qualification thermal must demonstrate that a component satis-
cycle test must satisfy all of the following: fies all its performance specifications, in-
(i) The qualification thermal cycle must cluding structural integrity, when subjected
range from 10 C above the acceptance test to the qualification thermal vacuum envi-
high temperature to 10 C below the accept- ronment as follows:
ance test low temperature; (1) The qualification thermal vacuum envi-
(ii) The test must subject the component ronment must satisfy all of the following:
to no less than three times the acceptance- (i) The thermal vacuum pressure gradient
number of thermal cycles. For each compo- must equal or exceed the maximum pre-
nent, the acceptance-number of thermal cy- dicted rate of altitude change that the com-
cles must satisfy section E417.13(d)(1). For ponent will experience during flight;
each cycle, the dwell-time at each high and (ii) The final vacuum dwell-time must last
low temperature must last long enough for long enough for the component to achieve
the component to achieve internal thermal pressure equilibrium and equal or exceed the
equilibrium and must last no less than one greater of the maximum predicted dwell-
hour; time or 12 hours;
(iii) When heating or cooling the compo- (iii) During the final vacuum dwell-time,
nent, the temperature must change at an av- the environment must include no less than
erage rate of 1 C per minute or the max- three times the maximum predicted number
imum predicted rate, whichever is greater; of thermal cycles; and
(iv) The test must measure all performance (iv) Each thermal cycle must range from 10
parameters when the component is at ambi- C above the acceptance thermal vacuum
ent temperature before beginning the first range, to 10 C below the acceptance thermal
thermal cycle. The test must measure all vacuum range. The acceptance thermal vac-
performance parameters when the compo- uum temperature range is described in sec-
nent is at the high and low temperatures tion E417.13(e);
during the first, middle, and last thermal cy- (2) Any test must satisfy all of the fol-
cles. The test must measure all performance lowing:
parameters when the component is at ambi- (i) The test must measure all performance
ent temperature after completing the last parameters with the component powered at
cycle; and its low and high operating voltages when the
(v) The test must continuously monitor component is at ambient temperature before
and record all critical performance and sta- beginning the first thermal cycle and after
tus-of-health parameters during all tempera- completing the last cycle;
ture cycles and transitions using a resolu- (ii) The test must measure all performance
tion and sample rate that will detect any parameters while the component is powered
component performance degradation. at its low and high operating voltages when

687
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
the component is at the high and low tem- (2) Each component sample that is in-
peratures during the first, middle and last tended for flight must undergo each accept-
thermal cycles; ance test identified by any table of this ap-
(iii) The test must continuously monitor pendix. A single-use component, such as ord-
and record all critical performance and sta- nance or a battery, must undergo the pro-
tus-of-health parameters during chamber duction lot sample acceptance tests identi-
pressure reduction and the final vacuum fied by any tables of this appendix.
dwell-time, with the component at its high (3) If a launch vehicle uses a previously
operating voltage and using a resolution and flown and recovered flight termination sys-
sample rate that will detect any component tem component, the component must under-
performance degradation; and go one or more reuse acceptance tests before
(3) Any analysis must satisfy all of the fol- each next flight to demonstrate that the
lowing: component still satisfies all its performance
(i) For any low voltage component of less specifications when subjected to each max-
than 50 volts, the analysis must demonstrate imum predicted environment. Each reuse ac-
that the component is not susceptible to co- ceptance test must be the same as the initial
rona, arcing, or structural failure; and acceptance test for the component’s first
(ii) For any high voltage component of 50 flight. Each reuse acceptance test must fol-
volts or greater, the component must under- low a written component reuse qualification,
go a thermal vacuum test unless the compo- refurbishment, and acceptance plan and pro-
nent is environmentally sealed and the anal- cedures. Each acceptance reuse test must
ysis demonstrates that any low voltage ex- compare performance parameter measure-
ternally exposed part is not susceptible to ments taken during the test to all previous
corona, arcing, or structural failure. A com- acceptance test measurements to ensure
ponent with any high voltage externally ex- that the data show no trends that indicate
posed part of 50 volts or greater must under- any degradation in performance that could
go a thermal vacuum test. prevent the component from satisfying all
(j) Electromagnetic interference and electro- its performance specifications during flight.
magnetic compatibility. An electromagnetic (4) Each acceptance test of a component
interference and electromagnetic compat- must use test tolerances that are consistent
ibility test must demonstrate that a compo- with the test tolerances used by each quali-
nent satisfies all its performance specifica- fication test of the component.
tions when subjected to radiated or con- (b) Acceptance random vibration. An accept-
ducted emissions from all flight vehicle sys- ance random vibration test must dem-
tems and external ground transmitter onstrate that a component satisfies all its
sources. In addition, the test must dem- performance specifications when exposed to
onstrate that the component does not radi- the acceptance random vibration environ-
ate or conduct electromagnetic interference ment as follows:
that would degrade the performance of any (1) The acceptance random vibration envi-
other flight termination system component. ronment must equal or exceed the greater of
(k) Explosive atmosphere. An explosive at- the maximum predicted random vibration
mosphere test or analysis must demonstrate level or the minimum workmanship accept-
that a component is capable of operating in ance test level of table E417.13–1, for all fre-
an explosive atmosphere without creating an quencies from 20 Hz to 2000 Hz, in each of
explosion or that the component is not used three mutually perpendicular axes.
in an explosive environment. (2) For each axis, the vibration must last
the greater of three times the maximum pre-
E417.13 ACCEPTANCE TESTING AND ANALYSIS dicted duration or a minimum workmanship
(a) General. This section applies to each ac- screening level of 60 seconds.
ceptance test or analysis identified by any (3) For a component sample that undergoes
table of this appendix. An acceptance test or qualification testing and must experience
analysis must demonstrate that a compo- the acceptance environment before it experi-
nent does not have any material or work- ences the qualification environment, such as
manship defect that could adversely affect a command receiver decoder, the test must
the component’s performance and that the use the same configuration and methods for
component satisfies all its performance spec- the acceptance and qualification random vi-
ifications when subjected to each acceptance bration environments. An acceptance ran-
environment, including each workmanship dom vibration test of a flight component
and maximum predicted operating environ- sample must use a configuration and method
ment. that is representative of the component’s
(1) An acceptance test of a component qualification tests to ensure that the re-
must subject the component to one or more quirements of paragraph (a) of this section
of the component’s maximum predicted envi- are satisfied.
ronments as determined under section (4) For any component that is mounted on
D417.7. An acceptance test must not subject one or more vibration or shock isolators dur-
a component to a force or environment that ing flight, the component must undergo the
is not tested during qualification testing. acceptance random vibration test in the

688
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
same isolator-mounted configuration or hard- (C) Subject the component to no less than
mounted configuration as the compo- nent’s the minimum workmanship screening ac-
qualification random vibration test as ceptance random vibration level of table
follows: E417.13–1. If the isolator or isolators prevent
(i) Any hard-mounted acceptance random the component from experiencing the min-
vibration test must subject the component imum workmanship level, the component
to an acceptance random vibration environ- must undergo a hard-mount test that sub-
ment that: jects the component to the workmanship
(A) Accounts for the isolator attenuation level.
and amplification due to the maximum pre- (5) If the duration of the acceptance ran-
dicted operating random vibration environ-
dom vibration environment leaves insuffi-
ment, including any thermal effects and ac-
cient time to complete any required per-
celeration pre-load performance variability,
formance verification test while the compo-
and adds a 1.5 dB margin to account for any
isolator attenuation variability; and nent is subjected to the full acceptance envi-
(B) Is no less than the minimum workman- ronment, the test must continue at no lower
ship screening acceptance random vibration than 6 dB below the acceptance environment.
level of table E417.13–1. The test need only continue for the addi-
(ii) Any isolator-mounted acceptance ran- tional time needed to complete the perform-
dom vibration test must: ance verification test.
(A) Use an isolator or isolators that passed (6) The test must continuously monitor all
the tests required by section E417.35; performance and status-of-health parameters
(B) Have an input to each isolator of no with any electrical component at its nomi-
less than the required acceptance random vi- nal operating voltage. This monitoring must
bration environment of paragraphs (b)(1) and have a sample rate that will detect any com-
(b)(2) of this section; and ponent performance degradation.

(c) Acceptance acoustic vibration. An accept- (1) The acceptance acoustic vibration envi-
ance acoustic vibration test or analysis must ronment must satisfy all of the following:
demonstrate that a component satisfies all (i) The vibration level must equal or ex-
its performance specifications when exposed ceed the maximum predicted acoustic level
to the acceptance acoustic vibration envi- for all frequencies from 20 Hz to 2,000 Hz in
ronment as follows: each of three mutually perpendicular axes;
and

689
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
(ii) For each axis, the vibration must last must begin each dwell-time at each high and
the maximum predicted duration or 60 sec- low temperature with the component turned
onds, whichever is greater. off. The component must remain off until
(2) Any test must satisfy all of the fol- the temperature stabilizes. Once the tem-
lowing: perature stabilizes, the test must complete
(i) The test must continuously monitor all each dwell-time with the component turned
performance and status-of-health parameters on.
with any electrical component at its nomi- (iii) When heating or cooling the compo-
nal operating voltage. This monitoring must nent, the temperature must change at an av-
have a sample rate that will detect any com- erage rate of 1 C per minute or the max-
ponent performance degradation; and imum predicted rate, whichever is greater.
(ii) If the duration of the acceptance acous- (iv) The test must measure all performance
tic vibration environment leaves insufficient parameters with the component powered at
time to complete any required performance its low and high operating voltages when the
verification test while the component is sub- component is at ambient temperature before
jected to the full acceptance environment, beginning the first thermal cycle and after
the test must continue at no lower than 6 dB completing the last cycle.
below the acceptance environment. The test (v) The test must measure all performance
need only continue for the additional time parameters with the component at its low
needed to complete the performance and high operating voltages when the compo-
verification test. nent is at the high and low temperatures
(3) Any analysis must demonstrate that during the first, middle, and last thermal cy-
the acceptance random vibration environ- cles.
ment of paragraph (b) of this section encom-
(vi) The test must continuously monitor
passes the acceptance acoustic vibration en-
and record all critical performance and sta-
vironment. The analysis must demonstrate
tus-of-health parameters during all cycles
that the peak acceptance random vibration
and thermal transitions and with the compo-
levels and duration are equal to or are more
nent at its nominal operating voltage. The
severe than the acceptance acoustic vibra-
monitoring and recording must have a reso-
tion environment.
lution and sample rate that will detect any
(d) Acceptance thermal cycle. An acceptance
component performance degradation.
thermal cycle test of a component must
demonstrate that the component satisfies all (3) Passive components. For any passive
its performance specifications when exposed component that does not contain any active
to the acceptance thermal cycle environ- electronic piece-part, such as any radio fre-
ment as follows: quency antenna, coupler, or cable, an accept-
(1) Acceptance-number of thermal cycles. The ance thermal cycle test must satisfy all of
acceptance-number of thermal cycles for a the following:
component means the number of thermal cy- (i) Unless otherwise noted, the acceptance
cles that the component must experience thermal cycle environment must range from
during the test. The test must subject each the higher of the maximum predicted envi-
component to no less than the greater of ronment high temperature or a 61 C work-
eight thermal cycles or 1.5 times the max- manship screening temperature, to the lower
imum number of thermal cycles that the of the predicted lowest temperature or a ¥ 24
component could experience during launch C workmanship screening temperature;
processing and flight, including all launch (ii) The test must subject a component to
delays and recycling, rounded up to the near- no fewer than the acceptance-number of
est whole number. thermal cycles. For each component, the ac-
(2) Electronic components. For any elec- ceptance-number of thermal cycles must sat-
tronic component, an acceptance thermal isfy this paragraph. For each cycle, the
cycle test must satisfy all of the following: dwell-time at each high and low temperature
(i) The acceptance thermal cycle environ- must last long enough for the component to
ment must range from the higher of the achieve internal thermal equilibrium and
maximum predicted environment high tem- must last no less than one hour;
perature or 61 C workmanship screening (iii) When heating or cooling the compo-
level, to the lower of the predicted low tem- nent, the temperature must change at an av-
perature or a ¥ 24 C workmanship screening erage rate of 1 C per minute or the max-
level. imum predicted rate, whichever is greater;
(ii) The test must subject a component to (iv) The test must measure all performance
no fewer than 10 plus the acceptance-number parameters when the component is at ambi-
of thermal cycles. For each component, the ent temperature before beginning the first
acceptance-number of thermal cycles must thermal cycle and after completing the last
satisfy this paragraph. For each cycle, the cycle;
dwell-time at each high and low temperature (v) The test must measure all performance
must last long enough for the component to parameters when the component is at the
achieve internal thermal equilibrium and high and low temperatures during the first,
must last no less than one hour. The test middle, and last thermal cycles; and

690
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
(vi) The test must continuously monitor than the maximum predicted dwell-time or
and record all critical performance and sta- 12 hours, whichever is greater;
tus-of-health parameters throughout each (iii) During the final vacuum dwell-time,
thermal cycle with a resolution and sample the environment must include no less than
rate that will detect any component per- the maximum predicted number of thermal
formance degradation. cycles; and
(4) Safe-and-arm devices. For any electro- (iv) Each thermal cycle must range from
mechanical safe-and-arm device with an in- the higher of the maximum predicted envi-
ternal explosive, an acceptance thermal ronment high temperature or the workman-
cycle test must satisfy all of the following: ship screening high temperature of 61 C, to
(i) The acceptance thermal cycle environ- the lower of the predicted low temperature
ment must range from the higher of the or the workmanship screening low tempera-
maximum predicted environment high tem- ture of ¥ 24 C.
perature or the minimum workmanship (2) Any test must satisfy all of the fol-
screening temperature of 61 C to the lower lowing:
of the predicted lowest temperature or the (i) The test must measure all performance
minimum workmanship screening tempera- parameters with the component powered at
ture of ¥ 24 C. its low and high operating voltages when the
(ii) The test must subject a component to component is at ambient temperature before
no fewer than the acceptance-number of beginning the first thermal cycle and after
thermal cycles. For each component, the ac- completing the last cycle.
ceptance-number of thermal cycles must sat- (ii) The test must measure all performance
isfy this paragraph. For each cycle, the parameters with the component powered at
dwell-time at each high and low temperature its low and high operating voltages when the
must last long enough for the component to component is at the high and low tempera-
achieve internal thermal equilibrium and tures during the first, middle, and last ther-
must last no less than one hour. mal cycles; and
(iii) When heating or cooling the compo-
(iii) The test must continuously monitor
nent, the temperature must change at an av-
all critical performance and status-of-health
erage rate of 1 C per minute or the max-
parameters during chamber pressure reduc-
imum predicted rate, whichever is greater.
tion and during the final vacuum dwell-time
(iv) The test must measure all performance with the component at its high operating
parameters when the component is at ambi- voltage. This monitoring must have a resolu-
ent temperature before beginning the first tion and sample rate that will detect any
thermal cycle and after completing the last component performance degradation.
cycle.
(3) Any analysis must satisfy all of the fol-
(v) The test must measure all performance
lowing:
parameters including each critical electrical
(i) For any low voltage component of less
parameter, when the component is at the
than 50 volts, any analysis must demonstrate
high and low temperatures during the first,
that the component is not susceptible to co-
middle, and last thermal cycles.
rona, arcing, or structural failure; and
(vi) The test must continuously monitor
and record all critical performance and sta- (ii) Any high voltage component of 50 volts
tus-of-health parameters throughout each or greater must undergo a thermal vacuum
thermal cycle with a resolution and sample test unless the component is environ-
rate that will detect whether the component mentally sealed and the analysis dem-
satisfies all its performance specifications. onstrates that any low voltage externally ex-
(e) Acceptance thermal vacuum. An accept- posed part of less than 50 volts is not suscep-
tible to corona, arcing, or structural failure.
ance thermal vacuum test or analysis must
A component with any high voltage exter-
demonstrate that a component satisfies all
nally exposed part must undergo an accept-
its performance specifications when exposed
ance thermal vacuum test.
to the acceptance thermal vacuum environ-
ment as follows: (f) Tensile loads. An acceptance tensile load
(1) The acceptance thermal vacuum envi- test of a component must demonstrate that
ronment must satisfy all of the following: the component is not damaged and satisfies
(i) The thermal vacuum pressure gradient all its performance specifications after expe-
must equal or exceed the maximum pre- riencing twice the maximum predicted pull-
dicted rate of altitude change that the com- force that the component could experience
ponent will experience during flight. The before, during, or after installation.
pressure gradient must allow for no less than E417.15 ORDNANCE SERVICE-LIFE EXTENSION
ten minutes for reduction of chamber pres- TESTING
sure at the pressure zone from ambient pres-
sure to 20 Pascal; (a) General. This section applies to each
(ii) The final vacuum dwell-time must last service-life extension test of an ordnance
long enough for the component to achieve component that is identified by any table of
pressure equilibrium and must last no less this appendix. A service-life extension test

691
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
must demonstrate that an ordnance compo- (ii) Consist of identical parts and mate-
nent will satisfy all its performance speci- rials;
fications when subjected to non-operating (iii) Manufactured through identical proc-
and operating environments throughout its esses; and
initial service-life and throughout any ex- (iv) Stored with the flight ordnance com-
tension to the service-life. An ordnance com- ponent or in an environment that duplicates
ponent must undergo a service-life extension the storage conditions of the flight ordnance
test to extend its service-life if its initial component.
service-life and any previous extension will
E417.17 RADIO FREQUENCY RECEIVING SYSTEM
expire before the component is used for
flight. (a) General. (1) This section applies to a
(b) Service-life. An ordnance component radio frequency receiving system, which in-
must undergo any service-life extension test cludes each flight termination system an-
before the component’s initial service-life tenna and radio frequency coupler and any
expires and again before each service-life ex- radio frequency cable or other passive device
tension expires. The initial service-life of an used to connect a flight termination system
ordnance component, including any compo- antenna to a command receiver.
nent that contains ordnance or is used to di- (2) The components of a radio frequency re-
rectly initiate ordnance, must start upon ceiving system must satisfy each test or
completion of the initial production lot sam- analysis identified by any table of this sec-
ple acceptance tests and must include both tion to demonstrate that:
storage time and time after installation (i) The system is capable of delivering
until completion of flight. The test tables of command control system radio frequency en-
this appendix identify the options for the ergy to each flight termination system re-
length of any service-life extension for each ceiver; and
(ii) The system satisfies all its perform-
type of ordnance component.
ance specifications when subjected to each
(c) Test samples. The tables of this appendix non-operating and operating environment
identify the number of ordnance component and any performance degradation source.
samples that must undergo any service-life Such sources include any command control
extension test. Each component sample must system transmitter variation, non-nominal
be: launch vehicle flight condition, and flight
(i) From the same production lot; termination system performance variation.

692
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(b) Status-of-health. A status-of-health test (c) Link performance. A link performance

of a radio frequency receiving system must test of a radio frequency component or sub-
satisfy section E417.3(f) and include antenna system must demonstrate that the compo-
voltage standing wave ratio testing that nent or subsystem satisfies all its perform-
measures the assigned operating frequency ance specifications when subjected to per-
at the high and low frequencies of the oper- formance degradation caused by ground
ating bandwidth to verify that the antenna
satisfies all its performance specifications.

695
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
transmitter variations and non-nominal ve- (1) The test must determine the radiation
hicle flight. This must include dem- gain pattern around the launch vehicle and
onstrating all of the following: demonstrate that the system is capable of
(1) The radio frequency receiving system providing command signals to each com-
provides command signals to each command mand receiver decoder with electromagnetic
destruct receiver at an electromagnetic field field intensity at a 12 dB link margin above
intensity of 12 dB above the level required the level required for reliable receiver oper-
for reliable receiver operation over 95% of ation. The test must demonstrate the 12–dB
the antenna radiation sphere surrounding margin over 95 percent of the antenna radi-
the launch vehicle; ation sphere surrounding the launch vehicle.
(2) The radio frequency coupler insertion (2) All test conditions must emulate flight
loss and voltage standing wave ratio at the conditions, including ground transmitter po-
assigned operating frequency and at the high larization, using a simulated flight vehicle
and low frequencies of the operating band- and a flight configured radio frequency com-
width satisfy all their performance specifica- mand destruct system.
tions; and (3) The test must measure the radiation
(3) The cable insertion loss at the assigned gain for 360 degrees around the launch vehi-
operating frequency and at the high and low cle in degree increments that are small
frequencies of the operating bandwidth satis- enough to identify any deep pattern null and
fies all its performance specifications. to verify that the required 12 dB link margin
(d) Isolation. An isolation test of a radio is maintained throughout flight. Each degree
frequency receiving system must dem- increment must not exceed two degrees.
onstrate that each of the system’s radio fre- (4) The test must generate each antenna
quency couplers isolate the redundant anten- pattern in a data format that is compatible
nas and receiver decoders from one another.
with the format needed to perform the flight
The test must demonstrate that an open or
safety system radio frequency link analysis
short-circuit in one string of the redundant
required by § 417.329(h).
system, antenna or receiver decoder, will not
(g) Abbreviated antenna pattern. An abbre-
prevent functioning of the other side of the
viated antenna pattern test must determine
redundant system. The test must dem-
any antenna pattern changes that might
onstrate that the system satisfies all its per-
have occurred due to damage to an antenna
formance specifications for isolation and is
resulting from exposure to test environ-
in-family.
ments. This must include all of the fol- lowing:
(e) Abbreviated status-of-health. An abbre-
(1) The antenna must undergo the test be-
viated status-of health test of a radio fre-
fore and after exposure to the qualification
quency receiving system component must
or acceptance test environments.
determine any internal anomaly while the
(2) The test must use a standard ground
component is under environmental stress
plane test fixture. The test configuration
conditions. The test must include continuous
need not generate antenna pattern data that
monitoring of the voltage standing wave
is representative of the actual system-level
ratio and any other critical performance pa-
patterns.
rameter that indicates an internal anomaly
during environmental testing to detect any (3) The test must include gain measure-
variations in amplitude. Any amplitude vari- ments in the 0 and 90 plane vectors and a
ation constitutes a test failure. The moni- conical cut at 80.
toring must have a sample rate that will de- E417.19 COMMAND RECEIVER DECODER
tect any component performance degrada-
tion. (a) General. A command receiver decoder
(f) Antenna pattern. An antenna pattern must satisfy each test or analysis identified
test must demonstrate that the radiation by any table of this section to demonstrate
gain pattern of the entire radio frequency re- that the receiver decoder satisfies all its per-
ceiving system, including the antenna, radio formance specifications when subjected to
frequency cables, and radio frequency cou- each non-operating and operating environ-
pler will satisfy all the system’s performance ment and any command control system
specifications during vehicle flight. This transmitter variation.
must include all of the following:

696
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Commercial Space Transportation, FAA, DOT Pt. 417, App. E

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Commercial Space Transportation, FAA, DOT Pt. 417, App. E

(b) Status-of-health. A status-of-health test rent, voltage standing wave ratio, and radio
of a command receiver decoder must satisfy frequency threshold sensitivity. Each meas-
section E417.3(f) and must measure each pin- urement must demonstrate that all wiring
to-pin and pin-to-case resistance, input cur- and connectors are installed according to the

700
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
manufacturer’s design. The test must dem- for no less than twice the expected duration
onstrate that each pin-to-pin and pin-to-case of the loaded voltage. The test must also
resistance satisfies its performance speci- demonstrate that the receiver decoder satis-
fication and is in-family. fies all its performance specifications when
(c) Functional performance. A functional subjected to increasing voltage from zero
performance test must demonstrate that a volts to the nominal voltage and then de-
command receiver decoder satisfies all the creasing voltage from nominal back to zero;
requirements for an electronic component of (2) Power dropout. Demonstrate that, in the
section D417.27 that apply to the receiver de- event of an input power dropout, any control
coder. This test must: or switching circuit that contributes to the
(1) Response time. Demonstrate that the re- reliable operation of a receiver decoder, in-
ceiver decoder satisfies all its performance cluding solid-state power transfer switches,
specifications for response time, from receipt does not change state for 50 milliseconds or
of destruct sequence to initiation of destruct more;
output; (3) Watchdog circuits. Demonstrate that any
(2) Input current. Monitor the input current watchdog circuit satisfies all its perform-
into the receiver decoder to demonstrate re- ance specifications;
liable functioning of all internal compo- (4) Output circuit protection. Demonstrate
nents. The test must demonstrate that the that the receiver decoder’s performance does
receiver decoder’s electrical characteristics not degrade when any of its monitoring cir-
satisfy all its performance specifications and cuits or non-destruct output ports are sub-
are in-family; jected to a short circuit or the highest posi-
(3) Leakage current. Demonstrate that the
tive or negative voltage capable of being sup-
maximum leakage current through any com-
plied by the monitor batteries or other
mand output port is at a level that cannot
power supplies, for no less than five minutes;
degrade performance of down-string elec-
(5) Reverse polarity. Demonstrate that the
trical or ordnance initiation systems or re-
receiver decoder satisfies all of its perform-
sult in an unsafe condition. The test must
demonstrate no less than a 20–dB safety mar- ance specifications when subjected to a re-
gin between the receiver leakage output and verse polarity voltage that could occur be-
the lowest level that could degrade perform- fore flight, for no less than five minutes; and
ance of down-string electrical or ordnance (6) Memory. Demonstrate by test or anal-
initiation systems or result in an unsafe con- ysis that any memory device that is part of
dition; the receiver decoder satisfies all its perform-
(4) Output Functions. Function all receiver ance specifications. The test or analysis
outputs to demonstrate that all the output must demonstrate that the data stored in
performance specifications are satisfied. The memory is retained in accordance with the
test must include drawing the expected cur- performance specifications. For any secure
rent at the receiver’s low, nominal and high receiver decoder, the test or analysis must
input specified voltages using output demonstrate that the command codes remain
impedances that simulate the flight-config- in memory for the specified time interval
ured load. The test must demonstrate that a while the receiver decoder is not powered.
command receiver is capable of simulta- (e) Radio frequency processing. (1) General. A
neously outputting arm, destruct, and check radio frequency processing test must dem-
channel signals; and onstrate that a receiver decoder’s radio fre-
(5) Warm Up Time. Demonstrate that the re- quency processing satisfies all its perform-
ceiver decoder satisfies all its performance ance specifications when subjected to com-
specifications after being powered for the mand control system transmitting equip-
manufacturer specified warm-up time. ment tolerances and flight generated signal
(d) Circuit protection. A circuit protection degradation. The environment must include
test must demonstrate that a receiver decod- locally induced radio frequency noise
er’s circuit protection provides for the re- sources, vehicle plume, the maximum pre-
ceiver decoder to satisfy all its performance dicted noise-floor, ground transmitter per-
specifications when subjected to any im- formance variations, and abnormal launch
proper launch processing, abnormal flight vehicle flight.
condition, or any non-flight termination sys- (2) Tone-based system. For any tone-based
tem vehicle component failure. This test system, a radio frequency processing test
must: must demonstrate that the receiver decoder
(1) Abnormal voltage. Demonstrate that any satisfies all the design requirements of sec-
circuit protection allows the receiver de- tion D417.29(b) of appendix D of this part and
coder to satisfy all its performance specifica- must satisfy all of the following;
tions when powered with the open circuit (i) Decoder channel deviation. The test must
voltage of the receiver decoder’s power demonstrate that the receiver decoder reli-
source for no less than twice the expected ably processes the intended tone deviated
duration of the open circuit voltage and then signal at the minimum and maximum num-
when powered with the minimum input volt- ber of expected tones. The test must dem-
age of the loaded voltage of the power source onstrate that the receiver decoder satisfies

700
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
all its performance specifications when sub- saturation must have a corresponding range
jected to a nominal tone deviation plus twice that is greater than 18 dB.
the maximum and minus half the minimum (C) The test must perform periodic samples
of the total combined tolerances of all appli- sufficient to demonstrate that the monitor
cable radio frequency performance factors. satisfies all its performance specifications.
The tone deviation must be no less than 3 (D) The test must include the following
KHz per tone. radio frequency input levels: Quiescent;
(ii) Operational bandwidth. The testing threshold; manufacturer guaranteed; begin-
must demonstrate that the receiver decoder ning of saturation; and 13 dBm.
satisfies all its performance specifications at (E) The test must demonstrate that the
twice the worst-case command control sys- slope of the monitor circuit output does not
tem transmitter radio frequency shift, Dopp- change polarity.
ler shifts of the carrier center frequency, and (vi) Radio frequency threshold sensitivity.
shifts in flight hardware center frequency The test must determine the radio frequency
during flight at the manufacturer guaran- threshold sensitivity or each receiver de-
teed receiver sensitivity. The test must dem- coder output command to demonstrate reli-
onstrate an operational bandwidth of no less able radio frequency processing capability.
than 45KHz. The test must demonstrate The threshold sensitivity values must satisfy
that the operational bandwidth accounts for all their performance specifications, be re-
any tone deviation and that the receiver sen- peatable, and be in-family. In-family per-
sitivity does not vary by more than 3dB formance may be met with a tolerance of 3
across the bandwidth. dB.
(iii) Radio frequency dynamic range. The (vii) Noise level margin. The test must dem-
onstrate that the receiver decoder’s guaran-
test must demonstrate that the receiver de-
teed input sensitivity is no less than 6 dB
coder satisfies all its performance specifica-
higher than the maximum predicted noise-
tions when subjected to variations of the
floor.
radio frequency input signal level that it will
(viii) Voltage standing wave ratio. The test
experience during checkout and flight. The
must demonstrate that any radio frequency
test must subject the receiver decoder to no
losses within the receiver decoder interface
less than five uniformly distributed radio
to the antenna system satisfy the required 12
frequency input levels. The test must dem-
dB margin. The test must determine the
onstrate that the receiver outputs the de- radio frequency voltage standing wave ratio
struct command from the radio frequency at the high, low, and assigned operating fre-
threshold level up to: quencies of the operating bandwidth and
(A) The maximum radio frequency level demonstrate that it satisfies its performance
that it will experience from the command specifications and is in-family. The test
control system transmitter during checkout must also demonstrate that the impedance
and flight plus a 3 dB margin; or of the radio frequency receiving system and
(B) 13 dBm, whichever is greater. the impedance of the receiver decoder are
(iv) Capture ratio. The test must dem- matched closely enough to ensure that the
onstrate that the receiver cannot be cap- receiver decoder satisfies all its performance
tured by another transmitter with less than specifications.
80% of the power of the command trans- (ix) Decoder channel bandwidth. The test
mitter system for the launch. The test must must demonstrate that the receiver decoder
show that the application of any provides for reliable recognition of any com-
unmodulated radio frequency at a power mand signal when subjected to variations in
level of up to 80% of the command control ground transmitter tone frequency and fre-
system transmitter’s modulated carrier sig- quency modulation deviation variations. The
nal does not capture the receiver or interfere test must demonstrate that the receiver de-
with a signal from the command control sys- coder satisfies all its performance specifica-
tem. tions within the specified tone filter fre-
(v) Radio frequency monitor. The test must quency bandwidth using a frequency modu-
demonstrate that the receiver decoder’s lated tone deviation from 2 dB to 20 dB above
monitoring circuit accurately monitors and the measured threshold level.
outputs the strength of the radio frequency (x) Tone balance. For any secure receiver
input signal and must satisfy all of the fol- decoder, the test must demonstrate that the
lowing: receiver decoder can reliably decode a valid
(A) The test must show that the output of command with an amplitude imbalance be-
the monitor circuit is directly related and tween two tones within the same message.
proportional to the strength of the radio fre- (xi) Message timing. For any secure receiver
quency input signal from the threshold level decoder, the test must demonstrate that the
to saturation. receiver decoder functions reliably during
(B) The dynamic range of the radio fre- any errors in timing caused by any ground
quency input from the threshold level to transmitter tolerances. The test must dem-
saturation must be no less than 50 dB. The onstrate that the receiver decoder can proc-
monitor circuit output from threshold to ess commands at twice the maximum and

701
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
one-half the minimum timing specification tone decoder channels responds to any adja-
of the ground system. These tolerances must cent frequency modulated tone channel when
include character dead-time, character on- they are frequency modulated with a min-
time and inter-message dead-time. imum of 150% of the expected tone deviation.
(xii) Check tone. The test must dem- (5) Logic sequence. The test must dem-
onstrate that the decoding and output of a onstrate that the receiver issues the required
tone, such as a pilot tone or check tone, is commands when commanded and does not
representative of link and command closure. issue false commands during any abnormal
The test must also demonstrate that the logic sequence including issuing a destruct
presence or absence of the tone signal will command prior to the arm command.
have no effect on the receiver decoder’s com- (6) Destruct sequence. The test must dem-
mand processing and output capability. onstrate that the receiver decoder requires
(xiii) Self-test. The test must demonstrate two commanded steps to issue a destruct
that the receiver decoder’s self-test capa- command. The test must demonstrate that
bility functions and satisfies all its perform- the receiver processes an arm command as a
ance specifications and does not inhibit prerequisite for the destruct command.
functionality of the command destruct out- (7) Receiver abnormal logic. The test must
put. The test must include initiating the demonstrate that the receiver decoder will
self-test while issuing valid command out- not respond to any combination of tones or
puts. tone pairs other than the correct command
(xiv) Reset. For any receiver decoder with a sequence.
reset capability, the test must demonstrate (8) Noise immunity. The test must dem-
that the reset will unlatch any command onstrate that a receiver decoder will not re-
output that has been latched by a previous spond to a white noise frequency modulated
command. radio frequency input at a minimum fre-
(f) Inadvertent command output. Each of the quency modulated deviation of 12 dB above
following inadvertent command output tests the measured threshold deviation.
must demonstrate that the receiver decoder (9) Tone drop. The test must demonstrate
does not provide an output other than when that the receiver decoder will not respond to
it receives a valid command. a valid command output when one tone in
(1) Dynamic stability. The test must dem- the sequence is dropped.
onstrate that the receiver decoder does not (10) Amplitude modulation rejection. The test
produce an inadvertent output when sub- must demonstrate that the receiver decoder
jected to any radio frequency input short- will not respond to any tone or amplitude
circuit, open-circuit, or change in input volt- modulated noise when subjected to max-
age standing wave ratio. imum pre-flight and flight input power lev-
(2) Out of band rejection. The test must els. An acceptance test must subject the re-
demonstrate that the receiver decoder does ceiver decoder to 50% amplitude modulation.
not degrade in performance when subjected A qualification test must subject the re-
to any out-of-band vehicle or ground trans- ceiver decoder to 100% amplitude modula-
mitter source that it could encounter from tion.
liftoff to the planned safe flight state. The (11) Decoder channel deviation rejection. The
test must ensure the receiver decoder does test must demonstrate that the receiver de-
not respond to frequencies, from 10 MHz to coder does not inadvertently trigger on fre-
1000 MHz except at the receiver specified quency-modulated noise. The test must dem-
operational bandwidth. The test must dem- onstrate that the receiver decoder does not
onstrate that the radio frequency rejection respond to tone modulations 10 dB below the
of out of band signals provides a minimum of nominal tone modulation.
60 dB beyond eight times the maximum spec- (g) Input current monitor. An input current
ified operational bandwidth. The test fre- monitor test must continuously monitor
quencies must include all expected inter- command receiver decoder power input cur-
fering transmitting sources using a min- rent during environmental stress conditions
imum bandwidth of 20% of each transmitter to detect any variation in amplitude. Any
center frequency, receiver image frequencies variation in input current indicates internal
and harmonics of the assigned center fre- component damage and constitutes a test
quency. failure. Any fluctuation in nominal current
(3) Decoder channel bandwidth rejection. The draw when the command receiver decoder is
test must demonstrate that the receiver de- in the steady state indicates internal compo-
coder rejects any out-of-band command tone nent damage and constitutes a test failure.
frequency. The test must demonstrate that (h) Output functions. An output functions
each tone filter will not respond to another test must subject the receiver decoder to the
tone outside the specified tone filter fre- arm and destruct commands during environ-
quency bandwidth using a frequency modu- mental stress conditions and continuously
lated tone deviation from 2 dB to 20 dB above monitor all command outputs to detect any
the measured threshold level. variation in amplitude. Any variation in out-
(4) Adjacent tone decoder channel rejection. put level indicates internal component dam-
The test must demonstrate that none of the age and constitutes a test failure.

702
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
(i) Radio frequency level monitor. A radio (2) Input current, paragraph (c)(2) of this
frequency level monitor test must subject a section;
receiver decoder to the guaranteed radio fre- (3) Output functions, paragraph (c)(4) of
quency input power level during environ- this section;
mental stress conditions and continuously (4) Decoder channel deviation, paragraph
monitor the radio frequency level monitor, (e)(2)(i) of this section;
also known as radio frequency signal (5) Operational bandwidth, paragraph
strength, signal strength telemetry output, (e)(2)(ii) of this section;
or automatic gain control. Any unexpected (6) Radio frequency dynamic range, para-
fluctuations or dropout constitutes a test graph (e)(2)(iii) of this section;
failure. (7) Capture ratio, paragraph (e)(2)(iv) of
this section;
(j) Thermal performance. A thermal per-
(8) Radio frequency monitor, paragraph
formance test must demonstrate that the re-
(e)(2)(v) of this section;
ceiver decoder satisfies all its performance (9) Message timing, paragraph (e)(2)(xi) of
specifications when subjected to operating this section;
and workmanship thermal environments. (10) Check tone, paragraph (e)(2)(xii) of this
The receiver decoder must undergo the ther- section; and
mal performance test during a thermal cycle (11) Self test, paragraph (e)(2)(xiii) of this
test and during a thermal vacuum test. The section.
receiver decoder must undergo the thermal
performance test at its low and high oper- E417.21 SILVER-ZINC BATTERIES
ating voltage while the receiver decoder is at
(a) General. This section applies to any sil-
the high and low temperatures during the
ver-zinc battery that is part of a flight ter-
first, middle, and last thermal cycles. The mination system. Any silver-zinc battery
thermal performance test at each high and must satisfy each test or analysis identified
low temperature must include each of the by any table of this section to demonstrate
following sub-tests of this section: that the battery satisfies all its performance
(1) Response time, paragraph (c)(1) of this specifications when subjected to each non-
section; operating and operating environment.

703
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704
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705
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

706
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

707
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

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Commercial Space Transportation, FAA, DOT Pt. 417, App. E

709
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

(b) Cell capacity. (1) Single electrical cycle. (B) The cell must then undergo the elec-
For a sample silver-zinc cell from a battery trical performance test of paragraph (k) of
that has only one charge-discharge cycle, a this section using the qualification electrical
capacity test must satisfy all of the fol- load profile described in paragraph (k)(7)(ii)
lowing: of this section; and
(i) The cell must undergo activation that (C) The cell must then undergo a discharge
satisfies paragraph (j) of this section; to determine the positive plate capacity;
(ii) At the end of the manufacturer-speci- (iv) At the end of the cycle life of the last
fied wet stand time, the cell must undergo a charge-discharge cycle, in addition to deter-
discharge of the nameplate capacity; mining the positive plate capacity, the cell
(iii) The test must then subject the cell to must undergo a discharge to determine the
the electrical performance test of paragraph negative plate capacity; and
(k) of this section using the qualification (v) The test must demonstrate that each
electrical load profile described in paragraph capacity for each cycle satisfies the manu-
(k)(7)(ii) of this section; facturer’s specification and is in-family.
(iv) The cell must then undergo a final dis- (c) Silver-zinc battery status-of-health tests.
charge to determine the positive and nega- (1) 500-volt insulation. A 500-volt insulation
tive plate capacity; and test of a silver-zinc battery must satisfy the
(v) The test must demonstrate that each status-of-health test requirements of section
capacity satisfies the manufacturer’s speci- E417.3(f). The test must measure insulation
fication and is in-family. resistance between mutually insulated pin-
(2) Multiple electrical cycles. For a silver- to-pin and pin-to-case points using a min-
zinc cell from a battery that has more than imum 500-volt workmanship voltage prior to
one charge-discharge cycle, a capacity test connecting any battery harness to the cells.
must satisfy all of the following: The test must measure the continuity of the
(i) The cell must undergo activation that battery harness after completion of all wir-
satisfies paragraph (j) of this section; ing, but before battery activation to dem-
(ii) The test must subject the cell to the onstrate that the insulation and continuity
maximum predicted number of charge-dis- resistances satisfy their performance speci-
charge cycles that the battery will experi- fications.
ence during normal operations; (2) Continuity and isolation. A continuity
(iii) At the end of each cycle life after each and isolation test of a silver zinc battery
charge, the test must satisfy all of the fol- must satisfy the status-of-health test re-
lowing: quirements of section E417.3(f). The test
(A) The cell must undergo a discharge of must demonstrate that all battery wiring
the manufacturer’s nameplate capacity; and connectors are installed according to the

710
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
manufacturer’s specifications. The test must (1) The test must demonstrate that any
measure all pin-to-pin and pin-to-case resist- battery or cell pressure relief device satisfies
ances and demonstrate that each satisfies all all its performance specifications;
its performance specifications and are in- (2) The test must exercise 100% of all pres-
family. sure relief devices that can function repeat-
(3) No-load voltage. A no-load voltage test edly without degradation; and
must satisfy the status-of-health test re- (3) The test must demonstrate that each
quirements of section E417.3(f). The test pressure relief device opens within 10% of
must demonstrate that each battery cell sat- its performance specification.
isfies its performance specification for volt- (h) Monitoring capability. A monitoring ca-
age without any load applied. A battery pability test must demonstrate that each de-
must undergo this test just after introduc- vice that monitors a silver-zinc battery’s
tion of electrolyte to each cell, after elec- voltage, current, or temperature satisfies all
trical conditioning of the battery, before and its performance specifications.
after each electrical performance test and, (i) Heater circuit verification. A heater cir-
for a flight battery, just before installation cuit verification test must demonstrate that
into the launch vehicle. any battery heater, including its control cir-
(4) Pin-to-case isolation. A pin-to-case isola- cuitry, satisfies all its performance speci-
tion test must satisfy the status-of-health fications.
test requirements of section E417.3(f). The (j) Activation. (1) The activation of a bat-
test must measure voltage isolation between tery or cell must follow a procedure that is
each pin and the battery case to demonstrate approved by the manufacturer and includes
that no current leakage path exists as a re- the manufacturer’s activation steps.
sult of electrolyte leakage. This measure- (2) The activation procedure and equip-
ment must use a voltmeter with an internal ment for acceptance testing must be equiva-
resistance of no less than 100K ohms and lent to those used for qualification and stor-
have a resolution that detects any leakage age life testing.
current of 0.1 milliamps or greater. (3) The activation procedure must include
(d) Proof pressure. (1) Cells. Each individual verification that the electrolyte satisfies the
cell or each cell within a battery must un- manufacturer’s specification for percentage
dergo pressurization to 1.5 times the worst of potassium hydroxide.
case operating differential pressure or high- (4) The quantity of electrolyte for activa-
est setting of the cell vent valve for no less tion of the batteries and cells for any quali-
than 15 seconds. The test must demonstrate fication test must satisfy all of the fol- lowing:
that the leak rate satisfies its performance (i) One of the three required qualification
specification. After pressurization, each cell battery samples and six of the 12 required in-
must remain sealed until activation. For a dividual qualification cell samples must un-
battery, the test must demonstrate the in- dergo activation with no less than the manu-
tegrity of each cell seal when in the battery facturer specified maximum amount of elec-
configuration. trolyte; and
(2) Battery cases. Each battery case must (ii) One of the three required qualification
undergo pressurization to 1.5 times the worst battery samples and six of the 12 required in-
case operating differential pressure for no dividual qualification cell samples must un-
less than 15 minutes. The test must dem- dergo activation with no greater than the
onstrate no loss of structural integrity and manufacturer specified minimum amount of
no hazardous condition. For any sealed bat- electrolyte.
tery, the test must demonstrate that the (k) Electrical performance. An electrical per-
leak rate satisfies its performance specifica- formance test must demonstrate that a bat-
tion. tery or cell satisfies all its performance spec-
(e) Electrolyte. A test of each electrolyte lot ifications and is in-family while the battery
for battery activation must demonstrate is subjected to the electrical load profile de-
that the electrolyte satisfies the manufac- scribed in paragraph (k)(7) of this section
turer’s specifications, including volume and and include all of the following:
concentration. (1) The test must demonstrate that the
(f) Battery mounting and case integrity. A battery or cell supplies the required current
battery mounting and case integrity test while maintaining the required voltage regu-
must demonstrate that any welds in the bat- lation that satisfies the manufacturer’s spec-
tery’s mounting hardware or case are free of ifications and is in family with previous test
workmanship defects using X-ray examina- results;
tion that satisfies section E417.5(f). (2) The test must monitor each of the bat-
(g) Pre-activation. A pre-activation test tery or cell’s critical electrical performance
must demonstrate that a battery or cell will parameters; including voltage, current, and
not experience a loss of structural integrity temperature, with a resolution and sample
or create a hazardous condition when sub- rate that detects any failure to satisfy a per-
jected to predicted operating conditions and formance specification. For a battery, the
all required margins. This must include all test must monitor the battery’s performance
of the following:

711
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
parameters and the voltage of each cell with- environments, including the launch vehicle
in the battery. During the current pulse por- installation environment;
tion of the load profile, the voltage moni- (2) The test environment must simulate
toring must have a sample rate of once every the worst case temperature exposure and any
0.1 millisecond or better; thermal cycling, such as due to any freezer
(3) The test must measure a battery or storage, and any diurnal cycling on the
cell’s no-load voltage before and after the ap- launch vehicle;
plication of any load to the battery or cell; (3) The test must measure the battery or
(4) A silver-zinc battery or cell must under- cell’s open-circuit voltage at the beginning
go this test after the battery or cell is acti- and again at the end of the activated stand
vated and after the manufacturer’s specified time to demonstrate that it satisfies its per-
soak period; formance specifications; and
(5) The test must demonstrate that the (4) The test must apply an electrical load
battery or cell voltage does not fall below to the battery or cell at the end of the acti-
the voltage needed to provide the minimum vated stand time to demonstrate whether
acceptance voltage of each electronic compo- the battery or cell is in a peroxide or mon-
nent that the battery powers while the bat- oxide chemical state that satisfies its per-
tery or cell is subjected to the steady state formance specifications before undergoing
portion of the load profile; any other operating environmental test.
(6) The test must demonstrate that the (m) Overcharge. An overcharge test only
battery or cell voltage does not fall below applies to a battery or cell that undergoes
the voltage needed to provide the minimum charging during normal operations. The test
qualification voltage of each electronic com- must demonstrate that the battery or cell
ponent that the battery powers while the satisfies all its performance specifications
battery or cell is subjected to the pulse por- when subjected to an overcharge of no less
tion of the load profile; and than the manufacturer’s specified over-
(7) The test load profile must satisfy one of charge limit using the nominal charging
the following: rate.
(i) For acceptance testing, the load profile (n) Charge-discharge cycles. This test only
must begin with a steady-state flight load applies to a battery or cell that undergoes
that lasts for no less than 180 seconds fol- charging during normal operations. The test
lowed without interruption by a current must satisfy all of the following:
pulse. The pulse width must be no less than (1) The test must subject the battery or
1.5 times the ordnance initiator qualification cell sample to the maximum predicted num-
pulse width or a minimum workmanship ber of charge-discharge cycles that the bat-
screening pulse width of 100 milliseconds, tery or cell will experience during normal
whichever is greater. The pulse amplitude operations;
must be no less than 1.5 times the ordnance (2) After activation, each battery or cell
initiator qualification pulse amplitude. After sample must undergo three thermal cycles at
the pulse, the acceptance load profile must the end of the first cycle life and three ther-
end with the application of a steady-state mal cycles at the end of each cycle life after
flight load that lasts for no less than 15 sec- each intermediate charge before the final
onds; or charge;
(ii) For qualification testing or any storage (3) During each set of three thermal cycles
life testing, the load profile must begin with for each charge-discharge cycle, the test
a steady-state flight load that lasts for no must satisfy the thermal cycle test require-
less than 180 seconds followed by a current ments of paragraphs (o)(2)–(o)(5) of this sec-
pulse. The pulse width must be no less than tion;
three times the ordnance initiator qualifica- (4) For a battery, after the three thermal
tion pulse width or a minimum workmanship cycles for each charge-discharge cycle, the
screening pulse width of 200 milliseconds, battery must undergo a pin-to-case isolation
whichever is greater. The pulse amplitude test that satisfies paragraph (c)(4) of this
must be no less than 1.5 times the ordnance section;
initiator qualification pulse amplitude. After (5) Each battery or cell must undergo a dis-
the pulse, the qualification load profile must charge of its nameplate capacity before each
end with a steady-state flight load that lasts charge; and
for no less than 15 seconds. (6) The battery or cell must undergo any
(l) Activated stand time. An activated stand further operating environment tests only
time test must demonstrate that a silver- after the final charge.
zinc battery or cell satisfies all its perform- (o) Thermal cycle. A thermal cycle test
ance specifications after it is activated and must demonstrate that a silver-zinc battery
subjected to the environments that the bat- or cell satisfies all its performance specifica-
tery or cell will experience from the time it tions when subjected to pre-flight thermal
is activated until flight. This must include cycle environments, including acceptance
all of the following: testing, and flight thermal cycle environ-
(1) The test environment must simulate ments. This must include all of the fol-
the pre-flight battery or cell conditioning lowing:

712
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
(1) The test must subject the battery or (i) The load profile must begin with a
cell to no less than the acceptance-number of steady state flight load for no less than 180
thermal cycles that satisfies section seconds followed by a current pulse;
E417.13(d)(1); (ii) The pulse width must be no less than
(2) The thermal cycle environment must three times the ordnance initiator qualifica-
satisfy all of the following: tion pulse width or a minimum workmanship
(i) Each thermal cycle must range from screening pulse width of 200 milliseconds;
10 whichever is greater;
C above the maximum predicted tempera- (iii) The pulse amplitude must be no less
ture range to 5.5 C below. If the launch vehi- than 1.5 times the ordnance initiator quali-
cle’s telemetry system does not provide the fication pulse amplitude; and
battery’s temperature before and during (iv) After the pulse, the qualification load
flight as described in section D417.17(b)(9), profile must end with a steady state flight
each thermal cycle must range from 10 C load that lasts for no less than 15 seconds.
above the maximum predicted temperature (4) The test must monitor each of the bat-
range to 10 C below; tery or cell’s critical electrical performance
(ii) For each cycle, the dwell-time at each parameters; including voltage, current, and
high and low temperature must last long temperature, with a resolution and sample
enough for the battery or cell to achieve in- rate that detects any failure to satisfy a per-
ternal thermal equilibrium and must last no formance specification. For a battery, the
less than one hour; and test must monitor the battery’s performance
(iii) When heating and cooling the battery parameters and the voltage of each cell with-
or cell, the temperature change at a rate in the battery. During the current pulse por-
tion of the load profile, the voltage moni-
that averages 1 C per minute or the max-
toring must have sample rate that will de-
imum predicted rate, whichever is greater;
tect any component performance degrada-
(3) Each battery or cell must undergo the
tion.
electrical performance test of paragraph (k)
(5) The test must demonstrate that the
of this section when the battery or cell is at
battery or cell voltage does not fall below
ambient temperature before beginning the
the voltage needed to provide the minimum
first thermal cycle and after completing the
acceptance voltage of each electronic compo-
last cycle;
nent that the battery powers while the bat-
(4) Each battery or cell must undergo the tery or cell is subjected to the steady state
electrical performance test of paragraph (k) portion of the load profile.
of this section, at the high and low tempera- (6) The test must demonstrate that the
tures during the first, middle and last ther- battery or cell voltage does not fall below
mal cycles; and the voltage needed to provide the minimum
(5) The test must continuously monitor qualification voltage of each electronic com-
and record all critical performance and sta- ponent that the battery powers while the
tus-of-health parameters, including the bat- battery or cell is subjected to the pulse por-
tery or cell’s open circuit voltage, during all tion of the load profile.
thermal cycle dwell times and transitions (7) After satisfying paragraphs (p)(1)
with a resolution and sample rate that will through (p)(6) of this section, the battery or
detect any performance degradation. cell must undergo a complete discharge and
(p) Discharge and pulse capacity. A dis- the test must demonstrate that the total sil-
charge and pulse capacity test must dem- ver plate capacity is in-family.
onstrate that a silver zinc battery or cell (q) Internal inspection. An internal inspec-
satisfies all its electrical performance speci- tion must identify any excessive wear or
fications at the end of its specified capacity damage to a silver-zinc battery, including
limit for the last operating charge and dis- any of its cells, or an individual cell after
charge cycle. The test must include all of the the battery or cell is exposed to all the quali-
following: fication test environments. An internal in-
(1) The battery or cell must undergo dis- spection must satisfy section E417.5(g) and
charge at flight loads until the total capac- include all of the following:
ity consumed during this discharge and dur- (1) An internal examination of any battery
ing all previous qualification tests reaches to verify that there was no movement of any
the manufacturer’s specified capacity. component within the battery that could
(2) The test must demonstrate that the stress that component beyond its design
total amount of capacity consumed during limit during flight:
the discharge test and all previous qualifica- (2) An examination to verify the integrity
tion tests satisfies the battery or cell’s min- of all cell and wiring interconnects.
imum performance specification. (3) An examination to verify the integrity
(3) After satisfying paragraphs (p)(1) and of all potting and shimming materials.
(p)(2) of this section, the test must measure (4) The removal of all cells from the bat-
the battery or cell’s no-load voltage and then tery and examination of each cell for any
apply a qualification load profile that satis- physical damage.
fies all of the following:
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Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
(5) A destructive physical analysis to qualification charge-discharge cycle. The
verify the integrity of all plate tab to cell test must demonstrate that the cell capacity
terminal connections and the integrity of and electrical characteristics satisfy all
each plate and separator. For each battery their performance specifications and are in
sample required to undergo all the qualifica- family for each charge-discharge cycle.
tion tests, one cell from each corner and two
cells from the middle of the battery must un- E417.22 COMMERCIAL NICKEL-CADMIUM
dergo the destructive physical analysis. For BATTERIES
storage life testing, one of the two cells re- (a) General. This section applies to any
quired to undergo all the storage life tests nickel-cadmium battery that uses one or
must undergo destructive physical analysis. more commercially produced nickel-cad-
The inspection must verify the integrity of mium cells and is part of a flight termi-
each plate tab, identify any anomaly in each nation system.
plate, including its color or shape, and iden- (1) Compliance. Any commercial nickel-cad-
tify any anomaly in each separator, includ- mium battery must satisfy each test or anal-
ing its condition, silver migration, and any ysis identified by any table of this section to
oxalate crystals. demonstrate that the battery satisfies all its
(6) A test that demonstrates that the zinc performance specifications when subjected
plate capacity of the cells satisfies the man- to each non-operating and operating environ-
ufacturer’s specification. For each battery ment.
sample required to undergo all the qualifica- (2) Charging and discharging of nickel-cad-
tion tests, the test must determine the zinc mium batteries and cells. Each test required by
plate capacity for three cells from the bat- any table of this section that requires a
tery, other than the cells of paragraph (q)(5) nickel-cadmium battery or cell to undergo a
of this section. For storage life testing, the charge or discharge must include all of the
test must determine the zinc plate capacity following:
for one cell that is required to undergo all (i) The rate of each charge or discharge
the storage life tests, other than the cell of must prevent any damage to the battery or
paragraph (q)(5) of this section. cell and provide for the battery or cell’s elec-
(r) Coupon cell acceptance. A coupon cell ac- trical characteristics to remain consistent.
ceptance test must demonstrate that the sil- Unless otherwise specified, the charge or dis-
ver zinc cells that make up a flight battery charge rate used for qualification testing
were manufactured the same as the quali- must be identical to the rate that the flight
fication battery cells and satisfy all their battery experiences during acceptance and
performance specifications after being sub- preflight testing;
jected to the environments that the battery (ii) A discharge of a cell must subject the
experiences from the time of manufacture cell to the discharge rate until the cell volt-
until activation and installation. This must age reaches no greater than 0.9 volt. A dis-
include all of the following: charge of a battery, must subject the battery
(1) One test cell that is from the same pro- to the discharge rate until the battery volt-
duction lot as the flight battery, with the age reaches no greater than 0.9 volt times
same lot date code as the cells in the flight the number of cells in the battery. Any dis-
battery, must undergo the test. charge that results in a cell voltage below 0.9
(2) The test cell must have been attached volt must use a discharge rate that is slow
to the battery from the time of the manufac- enough to prevent cell damage or cell rever-
turer’s acceptance test and have experienced sal. Each discharge must include monitoring
the same non-operating environments as the of voltage, current, and time with sufficient
battery. resolution and sample rate to determine ca-
(3) The test must occur immediately before pacity and demonstrate that the battery or
activation of the flight battery. cell is in-family;
(4) The test cell must undergo activation (iii) A charge of a battery or cell must sat-
that satisfies paragraph (j) of this section. isfy the manufacturer’s charging specifica-
(5) The test cell must undergo discharge at tions and procedures. The charging input to
a moderate rate, using the manufacturer’s the battery or cell must be no less than 160%
specification, undergo two qualification load of the manufacturer’s specified capacity. The
profiles of paragraph (k)(7)(ii) of this section charge rate must not exceed C/10 unless the
at the nameplate capacity, and then undergo launch operator demonstrates that a higher
further discharge until the minimum manu- charge rate does not damage the battery or
facturer specified voltage is achieved. The cell and results in repeatable battery or cell
test must demonstrate that the cell’s amp- performance. The cell voltage must not ex-
hour capacity and voltage characteristics ceed 1.55 volts during charging to avoid cre-
satisfy all their performance specifications ating a hydrogen gas explosion hazard; and
and are in-family. (iv) The test must monitor each of the bat-
(6) For a silver-zinc battery that will un- tery or cell’s critical electrical performance
dergo charging during normal operations, parameters with a resolution and sample
the test cell must undergo the requirements rate to detect any failure to satisfy a per-
of paragraph (r)(5) of this section for each formance specification. For a battery, the

714
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
test must monitor the battery’s performance the load profile, the monitoring must have a
parameters and those of each cell within the resolution and sample rate that will detect
battery. During the current pulse portion of any component performance degradation.

715
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716
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

717
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

718
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

719
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720
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

(b) Venting devices. A test of a battery or onstrate that the venting device satisfies all
cell venting device must demonstrate that its performance specifications. The test
the battery or cell will not experience a loss must demonstrate that each device sample
of structural integrity or create a hazardous vents within 10% of the manufacturer speci-
condition when subjected to any electrical fied average vent pressure with a maximum
discharge, charging, or short-circuit condi- vent pressure no higher than 350 pounds per
tion and satisfy the following paragraphs: square inch.
(1) Reusable venting devices. For a venting (c) Cell inspection and preparation. A cell in-
device that is capable of functioning repeat- spection and preparation must:
edly without degradation, such as a vent (1) Record the manufacturer’s lot-code;
valve, the test must exercise the device and (2) Demonstrate that the cell is clean and
demonstrate that it satisfies all its perform- free of manufacturing defects;
ance specifications. (3) Use a chemical indicator to dem-
(2) Non-reusable venting devices. For a vent- onstrate that the cell has no leak; and
ing device that does not function repeatedly (4) Discharge each cell to no greater than
without degradation, such as a burst disc, 0.9 volt using a discharge rate that will not
the test must exercise a lot sample to dem- cause damage to the cell.

721
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
(d) Cell conditioning. Conditioning of a (2) After the charge and discharge cycles of
nickel-cadmium cell must stabilize the cell paragraph (g)(1) of this section, each cell
and ensure repeatable electrical performance must undergo an inspection to demonstrate
throughout the cell’s service-life. Condi- that it is not cracked.
tioning of a cell must include both of the fol- (h) Post acceptance discharge and storage.
lowing: Post acceptance discharge and storage of a
(1) Before any testing, each cell must age nickel-cadmium battery or cell must prevent
for no less than 11 months after the manu- any damage that could affect electrical per-
facturer’s lot date code to ensure consistent formance. This must include all of the fol-
electrical performance of the cell for its en- lowing:
tire service-life; and (1) Any battery must undergo discharge to
(2) After aging, each cell must undergo a a voltage between 0.05 volts and 0.9 volts to
first charge at a charging rate of no greater prevent cell reversal, allow safe handling,
than its capacity divided by 20 (C/20), to and minimize any aging degradation;
initialize the chemistry within the cell. Any (2) Any individual cell must undergo dis-
battery stored for over one month after the charge to no greater than 0.05 volts to allow
first charge must undergo recharging at the safe handling and minimize any aging deg-
same rate. radation;
(e) Cell characterization. Characterization of (3) After the discharge, each battery or cell
a nickel-cadmium cell must stabilize the cell must undergo storage in an open circuit con-
chemistry and determine the cell’s capacity. figuration and under storage conditions that
A cell characterization must satisfy both of protect against any performance degradation
the following: and are consistent with the qualification
tests. This must include a storage tempera-
(1) Each cell must repeatedly undergo
ture of no greater than 5 C.
charge and discharge cycles until the capac-
(i) Cycle life. A cycle life test of a nickel-
ities for three consecutive cycles agree to
cadmium cell or battery must demonstrate
within 1% of each other; and
that the cell or battery satisfies all its per-
(2) During characterization, each cell must
formance specifications for no less than five
remain at a temperature of 20 C 2 C to en- times the number of operating charge and
sure that the cell is not overstressed and to discharge cycles expected of the flight bat-
allow repeatable performance. tery, including acceptance testing, pre-flight
(f) Charge retention. A charge retention test checkout, and flight.
must demonstrate that a nickel-cadmium (j) Status-of-health. A status-of-health test
battery or cell consistently retains its of a nickel-cadmium battery must satisfy
charge and provides its required capacity, in- section E417.3(f) and include continuity and
cluding the required capacity margin, from isolation measurements that demonstrate
the final charge used prior to flight to the that all battery wiring and connectors are
end of flight. The test must satisfy the sta- tus- installed according to the manufacturer’s
of-heath test requirements of § E417.3(f) specifications. The test must also measure
and satisfy all of the following steps in the all pin-to-pin and pin-to-case resistances to
following order: demonstrate that each satisfies all its per-
(1) The test must begin with the battery or formance specifications and are in-family.
cell fully charged. The battery or cell must (k) Battery case integrity. A battery case in-
undergo an immediate capacity discharge to tegrity test of a sealed nickel-cadmium bat-
develop a baseline capacity for comparison tery must demonstrate that the battery will
to its charge retention performance; not lose structural integrity or create a haz-
(2) The battery or cell must undergo com- ardous condition when subjected to all pre-
plete charging and then storage at 20 C 2 C dicted operating conditions and all required
for 72 hours; margins and that the battery’s leak rate sat-
(3) The battery or cell must undergo dis- isfies all its performance specifications. This
charging to determine its capacity; and must include all of the following:
(4) The test must demonstrate that each (1) The test must monitor the battery’s
cell or battery’s capacity is greater than 90% pressure while subjecting the battery case to
of the baseline capacity of paragraph (f)(1) of no less than 1.5 times the greatest operating
this section and the test must demonstrate pressure differential that could occur under
that the capacity retention is in-family. qualification testing, pre-flight, or flight
(g) Capacity and overcharge at 0 C. A 0 C conditions;
test of a nickel-cadmium cell must validate (2) The pressure monitoring must have a
the cell’s chemistry status-of-health and de- resolution and sample rate that allows accu-
termine the cell’s capacity when subjected to rate determination of the battery’s leak
a high charge efficiency temperature. The rate;
test must include all of the following: (3) The test must demonstrate that the
(1) Each cell must undergo repeated charge battery’s leak rate is no greater than the
and discharge cycles at 0 C 2 C until all equivalent of 10¥ 4 scc/sec of helium; and
the capacities for three consecutive cycles (4) The battery must undergo examination
agree to within 1% of each other; and to identify any condition that indicates that

722
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
the battery might loose structural integrity (ii) For qualification testing, the test load
or create a hazardous condition. profile must satisfy all of the following:
(l) Monitoring capability. A monitoring ca- (A) The load profile must begin with a
pability test must demonstrate that each de- steady-state flight load that lasts for no less
vice that monitors a nickel-cadmium bat- than 180 seconds followed by a current pulse;
tery’s voltage, current, or temperature satis- (B) The pulse width must be no less than
fies all its performance specifications. three times the ordnance initiator qualifica-
(m) Heater circuit verification. A heater cir- tion pulse width or a minimum workmanship
cuit verification test must demonstrate that screening pulse width of 200 milliseconds,
any battery heater, including its control cir- whichever is greater;
cuitry, satisfies all its performance speci- (C) The pulse amplitude must be no less
fications. than 1.5 times the ordnance initiator quali-
(n) Electrical performance. An electrical per- fication pulse amplitude; and
formance test of a nickel-cadmium battery (D) After the pulse, the qualification load
or cell must demonstrate that the battery or profile must end with a steady-state flight
cell satisfies all its performance specifica- load that lasts for no less than 15 seconds.
tions and is in-family while the battery or (4) The test must repeat, satisfy, and ac-
cell is subjected to an acceptance or quali- complish paragraphs (n)(1)–(n)(3) of this sec-
fication electrical load profile. The test must tion with the battery or cell at each of the
also demonstrate that the battery or cell following levels of charge-discharge and in
satisfies all its electrical performance speci- the following order:
fications at the beginning, middle, and end of (A) Fully charged;
its specified preflight and flight capacity (B) After the battery or cell undergoes a
plus the required margin. The test must in- discharge that removes 50% of the capacity
clude and satisfy each of the following: required for launch and all required margins;
(1) The test must measure a battery or and
cell’s no-load voltage before applying any (C) After the battery or cell undergoes a
load to ensure it is within the manufactur- discharge that removes an additional 50% of
er’s specification limits. the capacity required for launch.
(2) The test must demonstrate that the (5) The test must subject the battery or
battery or cell voltage does not violate the cell the a final discharge that determines the
manufacturer’s specification limits while the remaining capacity. The test must dem-
battery or cell is subjected to the steady- onstrate that the total capacity removed
state flight load. The test must also dem- from the battery during all testing, includ-
onstrate that the battery provides the min- ing this final discharge, satisfies all the bat-
imum acceptance voltage of each electronic tery’s performance specifications and is in-
component that the battery powers. family.
(3) The test must demonstrate that the (o) Acceptance thermal cycle. An acceptance
battery or cell supplies the required current thermal cycle test must demonstrate that a
while maintaining the required voltage regu- nickel-cadmium battery satisfies all it per-
lation that satisfies the manufacturer’s spec- formance specifications when subjected to
ification. The test must demonstrate that workmanship and maximum predicted ther-
the battery or cell voltage does not fall mal cycle environments. This must include
below the voltage needed to provide the min- each of the following:
imum qualification voltage of each elec- (1) The acceptance-number of thermal cy-
tronic component that the battery powers cles for a component means the number of
while the battery or cell is subjected to the thermal cycles that the component must ex-
pulse portion of the load profile. The test perience during the acceptance thermal
must subject the battery or cell to one of the cycle test. The test must subject each com-
following load profiles: ponent to no less than eight thermal cycles
(i) For acceptance testing, the test load or 1.5 times the maximum number of ther-
profile must satisfy all of the following: mal cycles that the component could experi-
(A) The load profile must begin with a ence during launch processing and flight, in-
steady-state flight load that lasts for no less cluding all launch delays and recycling,
than 180 seconds followed without interrup- rounded up to the nearest whole number,
tion by a current pulse; whichever is greater.
(B) The pulse width must be no less than (2) The acceptance thermal cycle high tem-
1.5 times the ordnance initiator qualification perature must be a 30 C workmanship
pulse width or a minimum workmanship screening level or the maximum predicted
screening pulse width of 100 milliseconds, environment high temperature, whichever is
whichever is greater; higher. The acceptance thermal cycle low
(C) The pulse amplitude must be no less temperature must be a ¥ 24 C workmanship
than 1.5 times the ordnance initiator quali- screening temperature or the predicted envi-
fication pulse amplitude; and ronment low temperature, whichever is
(D) After the pulse, the acceptance load lower;
profile must end with a steady state flight (3) When heating or cooling the battery
load that lasts for no less than 15 seconds. during each cycle, the temperature must

723
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
change at an average rate of 1 C per minute or the maximum predicted rate, whichever is
or the maximum predicted rate, whichever is greater. The dwell time at each high and low
greater. The dwell time at each high and low temperature must be long enough for the
temperature must be long enough for the battery to achieve internal thermal equi-
battery to achieve internal thermal equi- librium and must be no less than one hour.
librium and must be no less than one hour. (4) The test must measure the battery’s
(4) The test must measure all of a battery’s critical status-of-health parameters at the
critical status-of-health parameters at the thermal extremes on all cycles and during
thermal extremes on all cycles and during thermal transition to demonstrate that the
thermal transition to demonstrate that the battery satisfies all its performance speci-
battery satisfies all its performance speci- fications. The battery must undergo moni-
fications. The battery must undergo moni- toring of its open circuit voltage throughout
toring of its open circuit voltage throughout the test to demonstrate that it satisfies all
the test to demonstrate that it satisfies all it performance specifications. The sample
its performance specifications throughout rate must be once every 10 seconds or more
testing. The sample rate must be once every often.
10 seconds or more often. (5) The battery must undergo an electrical
(5) The battery must undergo an electrical performance test that satisfies paragraph (n)
performance test that satisfies paragraph (n) of this section while the battery is at the
of this section while the battery is at the high, ambient, and low temperatures, during
high, ambient, and low temperatures, during the first, middle, and last thermal cycles.
the first, middle, and last thermal cycles. (6) If either the workmanship high or low
(6) If either the workmanship high or low temperature exceeds the battery’s maximum
temperature exceeds the battery’s maximum predicted operating temperature range and
predicted operating temperature range and the battery is not capable of passing the
the battery is not capable of passing the electrical performance test at the workman-
electrical performance test at the workman- ship temperature, the battery may undergo
ship temperature, the battery may undergo the discharge and pulse capacity test at an
the electrical performance test at an interim interim temperature during the cycle. This
temperature during the cycle. This must in- must include all of the following:
clude all of the following: (i) Any interim high temperature must be
(i) Any interim high temperature must be no less than the maximum predicted high
no less than the maximum predicted high temperature plus 10 C;
temperature; (ii) Any interim low temperature must be
(ii) Any interim low temperature must be no greater than the maximum predicted low
no greater than the maximum predicted low temperature minus 10 C;
temperature; (iii) The dwell-time at any interim tem-
(iii) The dwell-time at any interim tem- perature must last long enough for the bat-
perature must be long enough for the battery tery to reach thermal equilibrium; and
to reach thermal equilibrium; and (iv) After any electrical performance test
(iv) After any electrical performance test at an interim temperature, the thermal
at an interim temperature, the thermal cycle must continue to the workmanship
cycle must continue until the battery temperature.
reaches its workmanship temperature. (q) Operational stand time. An operational
(p) Qualification thermal cycle. A qualifica- stand time test must demonstrate that a
tion thermal cycle test must demonstrate nickel-cadmium battery will maintain its re-
that a nickel-cadmium battery satisfies all quired capacity, including all required mar-
its performance specifications when sub- gins, from the final charge that the battery
jected to pre-flight, acceptance test, and receives before flight until the planned safe
flight thermal cycle environments. This flight state. This must include each of the
must include each of the following: following:
(1) The test must subject the fully charged (1) The battery must undergo a charge to
battery to no less than three times the ac- full capacity and then an immediate capac-
ceptance-number of thermal cycles of para- ity discharge to establish a baseline capacity
graph (o)(1) of this section. for comparison to the capacity after the bat-
(2) The qualification thermal cycle high tery experiences the operational stand time.
temperature must be a 40 C workmanship (2) The battery must undergo a charge to
screening level or the maximum predicted full capacity. The test must then subject the
environment high temperature plus 10 C, battery to the maximum predicted pre-flight
whichever is higher. The qualification ther- temperature for the maximum operating
mal cycle low temperature must be a ¥ 34 C stand time between final battery charging to
workmanship screening temperature or the the planned safe flight state while in an open
predicted environment low temperature circuit configuration. The maximum oper-
minus 10 C, whichever is lower. ating stand time must account for all launch
(3) When heating or cooling the battery processing and launch delay contingencies
during each cycle, the temperature must that could occur after the battery receives
change at an average rate of 1 C per minute its final charge.

724
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
(3) After the maximum operating stand for no less than 20 hours. While under vacu-
time has elapsed, the battery must undergo um, the cell must undergo charging at a C/20
a capacity discharge to determine any capac- rate. The test must control each cell’s tem-
ity loss due to any self-discharge by com- perature to ensure that its does not exceed
paring the operational stand time capacity the cell’s maximum predicted thermal envi-
with the baseline capacity in paragraph ronment.
(q)(1) of this section. (iii) The test must measure each cell’s
(4) The test must demonstrate that the weight after the 20-hour vacuum and dem-
battery’s capacity, including all required onstrate that the cell does not experience a
margins, and any loss in capacity due to the weight loss greater than three-sigma from
operational stand time satisfy all associated the average weight loss for each cell in the
performance specifications. lot.
(r) Internal inspection. An internal inspec- (iv) Any cell that fails the weight-loss test
tion of a nickel-cadmium battery must iden- of paragraph (h)(3) of this section must un-
tify any excessive wear or damage to the dergo cleaning and discharge. The cell must
battery, including any of its cells, after the then undergo a full charge and then inspec-
battery is exposed to all the qualification tion with a chemical indicator. If the chem-
test environments. An internal inspection ical indicator shows that the cell has a leak,
must satisfy section E417.5(g) and include all a launch operator may not use the cell in
of the following: any further test or flight.
(1) An internal examination to verify that (2) Leak test 2:
there was no movement of any component (i) The cell must develop greater than one
within the battery that stresses that compo- atmosphere differential pressure during the 0
nent beyond its design limit; C capacity and overcharge test of paragraph
(2) An examination to verify the integrity (g) of this section.
of all cell and wiring interconnects; (ii) After the 0 C capacity and overcharge
(3) An examination to verify the integrity test of paragraph (g) of this section, the cell
of all potting and shimming materials; must undergo a full charge and then inspec-
(4) The removal of all cells from the bat- tion with a chemical indicator. If the chem-
tery and examination of each cell for any ical indicator shows that the cell has a leak,
physical damage; a launch operator may not use the cell in
(5) A test with a chemical indicator to any further test or flight.
demonstrate that none of the cells leaked;
and E417.23 MISCELLANEOUS COMPONENTS
(6) Destructive physical analysis of one cell
from each corner and one cell from the mid- This section applies to any component that
dle of each battery that undergoes all the is critical to the reliability of a flight termi-
qualification tests. The destructive physical nation system and is not otherwise identified
analysis must verify the integrity of all con- by this appendix. This includes any new
nections between all plate tabs and cell ter- technology or any component that may be
minals, and the integrity of each plate and unique to the design of a launch vehicle,
separator. such as any auto-destruct box, current lim-
(s) Cell leakage. A leakage test of a cell iter, or timer. A miscellaneous component
must demonstrate the integrity of the cell must satisfy each test or analysis identified
case seal using one of the following ap- by any table of this section to demonstrate
proaches: that the component satisfies all its perform-
(1) Leak test 1: ance specifications when subjected to each
(i) The test must measure each cell’s non-operating and operating environment.
weight to 0.001 grams to create a baseline for For any new or unique component, the
comparison. launch operator must identify any additional
(ii) The test must subject each cell, fully test requirements necessary to ensure its re-
charged, to a vacuum of less than 10 ¥ 2 torr liability.

725
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726
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

727
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

728
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
E417.25 SAFE-AND-ARM DEVICES, ELECTRO-EX- charge used by the safe-and-arm device. Any
PLOSIVE DEVICES, ROTOR LEADS, AND BOOST- safe-and-arm device, electro-explosive de-
ER CHARGES vice, rotor lead, or booster charge must sat-
isfy each test or analysis identified by any
(a) General. This section applies to any table of this section to demonstrate that it
safe-and-arm device that is part of a flight satisfies all its performance specifications
termination system, including each electro- when subjected to each non-operating and
explosive device, rotor lead, or booster operating environment.

729
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

730
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

731
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

732
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

733
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

734
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

735
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

736
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

737
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

738
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

739
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

740
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

741
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

742
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

743
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

744
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

745
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

746
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

(b) Safe-and-arm device status-of-health. A (3) The test must demonstrate the ability
safe-and-arm device status-of-health test of a safe-and-arm device to satisfy all its
must satisfy section E417.3(f). This must in- performance specifications when subjected
clude measuring insulation resistance from to five times the maximum predicted num-
pin-to-pin and pin-to-case, safe-and-arm ber of safe-to-arm and arm-to-safe cycles.
transition time, and bridgewire resistance (d) Stall. A stall test must demonstrate
consistency through more than one safe-and- that a safe-and-arm device satisfies all its
arm transition cycle. performance specifications after being
(c) Safe-and-arm transition. This test must locked in its safe position and subjected to
demonstrate that the safe-and-arm transi- an operating arming voltage for the greater
tion, such as rotational or sliding operation, of:
satisfies all its performance specifications. (i) Five minutes; or
This must include all of the following: (ii) The maximum time that could occur
(1) The test must demonstrate that the safe- inadvertently and the device still be used for
and-arm monitors accurately determine safe- flight.
and-arm transition and whether the safe- (e) Safety tests. The following safety tests
and-arm device is in the proper configu- must demonstrate that a safe-and-arm de-
ration; vice can be handled safely:
(2) The test must demonstrate that a safe- (1) Containment. A containment test must
and-arm device is not susceptible to inad- demonstrate that a safe-and-arm device will
vertent initiation or degradation in perform- not fragment when any internal electro-ex-
ance of the electro-explosive device during plosive device or rotor charge is initiated. A
pre-flight processing; and safe-and-arm device must undergo the test in

747
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
the arm position and with any shipping cap bridgewire resistance satisfies the manufac-
or plug installed in each output port. turer specification;
(2) Barrier functionality. A barrier (4) The test must subject the safe-and-arm
functionality test must demonstrate that, device to five safe-and-arm cycles and meas-
when in the safe position, if a safe-and-arm ure the bridgewire continuity during each
device’s internal electro-explosive device is cycle to demonstrate that the continuity is
initiated, the ordnance output will not prop- consistent; and
agate to an explosive transfer system. This (5) The test must measure the safe-and-
demonstration must include all of the fol- arm cycle time to demonstrate that it satis-
lowing: fies the manufacturer specification.
(i) The test must consist of firings at high (g) Dynamic performance. A dynamic per-
and low temperature extremes, the explosive formance test must demonstrate that a safe-
transfer system must be configured for and-arm device satisfies all its performance
flight; specifications when subjected to the dy-
(ii) Each high-temperature firing must be namic operational environments, such as vi-
initiated at the manufacturer specified high bration and shock. This demonstration must
temperature or a 71 C workmanship screen- include all of the following:
ing level, whichever is higher; and (1) The safe-and-arm device must undergo
(iii) Each low-temperature firing must be the test while subjected to each required dy-
initiated at the manufacturer specified low namic operational environment;
temperature or a ¥ 54 C workmanship (2) The test must continuously monitor the
screening level, whichever is lower. bridgewire continuity with the safe-and-arm
device in the arm position to detect each and
(3) Extended stall. An extended stall test
any variation in amplitude. Any amplitude
must demonstrate that a safe-and-arm de-
variation constitutes a test failure. The
vice does not initiate when locked in its safe
monitoring must have a sample rate that
position and is subjected to a continuous op-
will detect any component performance deg-
erating arming voltage for the maximum
radation;
predicted time that could occur accidentally
(3) The test must continuously monitor
or one hour, whichever is greater.
each safe-and-arm device monitor circuit to
(4) Manual safing. A manual safing test detect each and any variation in amplitude.
must demonstrate that a safe-and-arm de- Any variation in amplitude constitutes a
vice can be manually safed in accordance test failure. This monitoring must have a
with all its performance specifications. sample rate that will detect any component
(5) Safing-interlock. A safing-interlock test performance degradation; and
must demonstrate that when a safe-and-arm (4) The test must continuously monitor the
device’s safing-interlock is in place and oper- safe-and-arm device to demonstrate that it
ational arming current is applied, the inter- remains in the fully armed position through-
lock prevents arming in accordance with all out all dynamic environment testing.
the interlock’s performance specifications. (h) Electro-explosive device status-of-health.
(6) Safing verification. A safing verification An electro-explosive device status of health
test must demonstrate that, while a safe- test must satisfy section E417.3(f). The test
and-arm device is in the safe position, any must include measuring insulation resist-
internal electro-explosive device will not ini- ance and bridgewire continuity.
tiate if the safe-and-arm device input circuit (i) Static discharge. A static discharge test
is accidentally subjected to a firing voltage, must demonstrate that an electro-explosive
such as from a command receiver or inad- device can withstand an electrostatic dis-
vertent separation destruct system output. charge that it could experience from per-
(f) Thermal performance. A thermal per- sonnel or conductive surfaces without firing
formance test must demonstrate that a safe- and still satisfy all its performance speci-
and-arm device satisfies all its performance fications. The test must subject the electro-
specifications when subjected to operating explosive device to the greater of:
and workmanship thermal environments. (1) A 25k-volt, 500-picofarad pin-to-pin dis-
This demonstration must include all of the charge through a 5k-ohm resistor and a 25k-
following: volt, 500-picofarad pin-to-case discharge with
(1) The safe-and-arm device must undergo no resistor; or
the test while subjected to each required (2) The maximum predicted pin-to-pin and
thermal environment; pin-to-case electrostatic discharges.
(2) The test must continuously monitor the (j) Firing tests. (1) General. Each firing test
bridgewire continuity with the safe-and-arm of a safe-and-arm device, electro-explosive
device in its arm position to detect each and device, rotor lead, or booster charge must
any variation in amplitude. Any variation in satisfy all of the following:
amplitude constitutes a test failure; (i) The test must demonstrate the initi-
(3) The test must measure the bridgewire ation and transfer of all ordnance charges
resistance for the first and last thermal and that the component does not fragment.
cycle during the high and low temperature For a safe-and-arm device that has more
dwell times to demonstrate that the than one internal electro-explosive device,

748
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
each firing test must also demonstrate that ability of 0.999 at a 95% confidence level. Any
the initiation of one internal electro-explo- demonstrated radio frequency no-fire energy
sive device does not adversely affect the per- level that is less than the level used in the
formance of any other internal electro-explo- flight termination system design and anal-
sive device; ysis constitutes a test failure.
(ii) The number of component samples that (m) No-fire energy level. This test must con-
the test must fire and the test conditions, in- sist of a statistical firing series of electro-ex-
cluding firing current and temperature must plosive device lot samples to determine the
satisfy each table of this section; no-fire energy level for the remainder of the
(iii) Before initiation, each component lot. The firing series must determine the
sample must experience the required tem- highest electrical energy level at which the
perature for enough time to achieve thermal device will not fire with a reliability of 0.999
equilibrium; at a 95% confidence level when subjected to
(iv) Each test must measure ordnance out- a continuous current pulse. Any dem-
put using a measuring device, such as a swell
onstrated no-fire energy level that is less
cap or dent block, to demonstrate that the
than the no-fire energy level used in the
output satisfies all its performance specifica-
flight termination system design and anal-
tions; and
ysis constitutes a test failure.
(v) Each test of a safe-and-arm device or
electro-explosive device must subject each (n) All-fire energy level. This test must con-
sample device to a current source that dupli- sist of a statistical firing series of electro-ex-
cates the operating output waveform and im- plosive device lot samples to determine the
pedance of the flight current source. Each all-fire energy level for the remainder of the
test of a rotor lead or booster charge must lot. This firing series must determine the
subject the component to an energy source lowest electrical energy level at which the
that simulates the flight energy source. device will fire with a reliability of 0.999 at
(2) All-fire current. Each all-fire current a 95% confidence level when subjected to a
test must subject each component sample to current pulse that simulates the launch ve-
the manufacturer’s specified all-fire current hicle flight termination system firing char-
value. acteristics. Any demonstrated all-fire energy
(3) Operating current. Each operating cur- level that exceeds the all-fire energy level
rent test must subject each component sam- used in the flight termination system design
ple to the launch vehicle operating current and analysis constitutes a test failure.
value if known at the time of testing. If the (o) Barrier alignment. A barrier alignment
operating current is unknown, the test must test must consist of a statistical firing series
use no less than 200% of the all-fire current of safe-and-arm device samples. The test
value. must demonstrate that the device’s safe to
(4) 22-amps current. This test must subject arm transition motion provides for ordnance
each component sample to a firing current of initiation with a reliability of 0.999 at a 95%
22 amps. confidence level. The test must also dem-
(5) Ambient-temperature. This test must ini- onstrate that the device’s arm to safe transi-
tiate each ordnance sample while it is sub- tion motion provides for no ordnance initi-
jected to ambient-temperature. ation with a reliability of 0.999 at a 95% con-
(6) High-temperature. Each high-tempera- fidence level. This test may employ a reus-
ture test must initiate each ordnance sample able safe-and-arm subassembly that simu-
while it is subjected to the qualification high- lates the flight configuration.
temperature level or a + 71 C work- (p) No-fire verification. This test must dem-
manship screening level, whichever is high- onstrate that a flight configured electro-ex-
er. plosive device will not inadvertently initiate
(7) Low-temperature. Each low-temperature when exposed to the maximum predicted cir-
test must initiate each ordnance sample cuit leakage current and will still satisfy all
while it is subjected to the qualification low-
its performance specifications. The test
temperature level or a ¥ 54 C workmanship must subject each sample electro-explosive
screening level, whichever is lower.
device to the greater of:
(k) Radio frequency impedance. This test
(1) The worst-case leakage current level
must determine the radio frequency imped-
and duration that could occur in an oper-
ance of an electro-explosive device for use in
any flight termination system radio fre- ating condition; or
quency susceptibility analysis. (2) One amp/one watt for five minutes.
(l) Radio frequency sensitivity. This test (q) Auto-ignition. This test must dem-
must consist of a statistical firing series of onstrate that an electro-explosive device
electro-explosive device lot samples to deter- does not experience auto-ignition, sublima-
mine the radio frequency no-fire energy level tion, or melting when subjected to any high-
for the remainder of the lot. The firing series temperature environment during handling,
must determine the highest continuous radio testing, storage, transportation, installa-
frequency energy level to which the device tion, or flight. The test must include all of
can be subjected and not fire with a reli- the following:

749
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
(1) The test environment must be no less E417.27 EXPLODING BRIDGEWIRE FIRING UNITS
than 30 C higher than the highest non-oper- AND EXPLODING BRIDGEWIRES
ating or operating temperature that the de- (a) General. This section applies to any ex-
vice could experience; ploding bridgewire firing unit that is part of
(2) The test must last the maximum pre- a flight termination system, including each
dicted high-temperature duration or one exploding bridgewire that is used by the fir-
hour, whichever is greater; and ing unit. Any firing unit or exploding
(3) After exposure to the test environment, bridgewire must satisfy each test or analysis
each sample device must undergo external identified by any table of this section to
and internal examination, including any dis- demonstrate that it satisfies all its perform-
section needed to identify any auto-ignition, ance specifications when subjected to each
sublimation, or melting. non-operating and operating environment.

750
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751
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752
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

753
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

754
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

755
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

756
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

757
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

758
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

759
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

760
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

761
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(b) Firing unit status-of-health. A firing unit that an exploding bridgewire firing unit’s
status-of-health test must satisfy section input trigger circuit satisfies all its perform-
E417.3(f). This must include measuring input ance specifications when subjected to any
current, all pin-to-pin and pin-to-case resist- variation in input that it could experience
ances, trigger circuit threshold, capacitor during flight. The firing unit must undergo
charge time and arming time. this test before the first and after the last
(c) Input command processing. An input environmental test to identify any degrada-
command processing test must demonstrate tion in performance due to any of the test

762
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
environments. The test must demonstrate (e) Output monitoring. (1) An output moni-
all of the following: toring test must measure the voltage of each
(1) The amplitude sensitivity of the firing high voltage capacitor and the arm power to
unit trigger circuit provides margin over the a firing unit and demonstrate that it satis-
worst-case trigger signal that could be deliv- fies all its performance specifications.
ered on the launch vehicle as follows: (2) An output monitoring test conducted
(i) The firing unit triggers at 50% of the while the firing unit is subjected to an oper-
amplitude and 50% of the pulse duration of ating environment, must continuously mon-
the lowest trigger signal that could be deliv- itor the voltage of each high voltage capac-
ered during flight; and itor and the arm power to the firing unit to
(ii) The firing unit triggers at 120% ampli- detect any variation in amplitude. Any am-
tude and 120% of the pulse duration of the plitude variation constitutes a test failure.
highest trigger signal that could be delivered The monitoring must use a sample rate that
during flight; will detect any component performance deg-
(2) The firing unit satisfies all its perform- radation.
ance specifications when subjected to the (f) Abbreviated status-of-health. An abbre-
maximum input voltage of the open circuit viated status-of-health test must measure all
voltage of the power source, ground or air- a firing unit’s critical performance param-
borne, and the minimum input voltage of the eters while the unit is subjected to each re-
loaded voltage of the power source; quired operating environment to identify
(3) Each control and switching circuit that any degradation in performance while ex-
is critical to the reliable operation of an ex- posed to each environment. This must in-
ploding bridgewire firing unit does not clude continuous monitoring of the firing
change state when subjected to a minimum unit’s input to detect any variation in ampli-
input power drop-out for a period of 50 milli- tude. Any amplitude variation constitutes a
seconds; test failure. The monitoring must have a
(4) The firing unit’s response time satisfies
sample rate that will detect any component
all its performance specifications with input
performance degradation.
at the specified minimum and maximum ve-
(g) Abbreviated command processing. An ab-
hicle supplied trigger signal; and
breviated command processing test must ex-
(5) If the firing unit has differential input,
ercise all of a firing unit’s flight critical
the unit satisfies all its performance speci-
fications with all input combinations at the functions while the unit is subjected to each
specified trigger amplitude input signals. required operating environment. This must
(d) High voltage circuitry. This test must include subjecting the firing unit to the fire
demonstrate that a firing unit’s high voltage command throughout each environment
circuitry satisfies all its performance speci- while monitoring function time and the high
fications for initiating the exploding voltage output waveform to demonstrate
bridgewire when subjected to any variation that each satisfies all its performance speci-
in input that the circuitry could experience fications.
during flight. The firing unit must undergo (h) Circuit protection. A circuit protection
the test before the first and after the last en- test must demonstrate that any circuit pro-
vironmental test to identify any degradation tection allows a firing unit to satisfy all its
in performance due to any of the test envi- performance specifications, when subjected
ronments. The test must demonstrate all of to any improper launch processing, abnormal
the following: flight condition, or any failure of another
(1) The firing unit satisfies all its perform- launch vehicle component. The demonstra-
ance specifications when subjected to the tion must include all of the following:
worst-case high and low arm voltages that it (1) Any circuit protection allows an explod-
could experience during flight; ing bridgewire firing unit to satisfy all its
(2) The firing unit’s charging and output performance specifications when subjected
circuitry has an output waveform, rise-time, to the maximum input voltage of the open
and amplitude that delivers no less than a 50% circuit voltage of the unit’s power source
voltage margin to the exploding bridgewire. and when subjected to the minimum input
The test must use the identical parameters, voltage of the loaded voltage of the power
such as capacitor values and cir- cuit and source;
load impedance, as those used to provide the (2) In the event of an input power dropout,
exploding bridgewire all-fire en- ergy level; any control or switching circuit that con-
(3) The firing unit does not experience any tributes to the reliable operation of an ex-
arcing or corona during high voltage dis- ploding bridgewire firing unit, including solid-
charge; and state power transfer switches, does not
(4) Each high-energy trigger circuit used to change state for at least 50 milliseconds;
initiate the main firing capacitor has an out- (3) Any watchdog circuit satisfies all its
put signal that delivers no less than a 50% performance specifications;
voltage margin with an input to the circuit (4) The firing unit satisfies all its perform-
at the nominal trigger threshold level. ance specifications when any of its moni-
toring circuits’ output ports are subjected to

763
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
a short circuit or the highest positive or neg- (v) Each test must measure ordnance out-
ative voltage capable of being supplied by put using a measuring device, such as a swell
the monitor batteries or other power sup- cap or dent block, to demonstrate that the
plies; and ordnance output satisfies all its performance
(5) The firing unit satisfies all its perform- specifications.
ance specifications when subjected to any re- (2) All-fire voltage. Each all-fire voltage test
verse polarity voltage that could occur dur- must subject each exploding bridgewire sam-
ing launch processing. ple to the manufacturer specified all-fire en-
(i) Repetitive functioning. This test must ergy level for voltage, current, and pulse du-
demonstrate that a firing unit satisfies all ration.
its performance specifications when sub- (3) Operating voltage. Each operating volt-
jected to repetitive functioning for five age test must subject each exploding
times the worst-case number of cycles re- bridgewire sample to the firing unit’s manu-
quired for acceptance, checkout and oper- facturer specified operating voltage, current,
ations, including any retest due to schedule and pulse duration. If the operating energy is
delays. unknown, the test must use no less than
(j) Static discharge. A static discharge test 200% of the all-fire voltage.
must demonstrate that an exploding (4) Twice-operating voltage. This test must
bridgewire will not fire and satisfies all its subject each exploding bridgewire sample to
performance specifications when subjected 200% of the operating voltage.
to any electrostatic discharge that it could (5) Ambient-temperature. This test must ini-
experience from personnel or conductive sur- tiate each exploding bridgewire sample while
faces. The test must subject an exploding at ambient temperature.
bridgewire to the greater of: (6) High-temperature. Each high-tempera-
(1) A 25k-volt, 500-picofarad pin-to-pin dis- ture test must initiate each exploding
charge through a 5k-ohm resistor and a 25k- bridgewire sample while it is subjected to
volt, 500-picofarad pin-to-case discharge with the manufacturer specified high-temperature
no resistor; or level or at a + 71 C workmanship screening
(2) The maximum predicted pin-to-pin and level, whichever is higher.
pin-to-case electrostatic discharge. (7) Low-temperature. Each low-temperature
(k) Exploding bridgewire status-of-health. An test must initiate each exploding bridgewire
exploding bridgewire status-of-health test sample while it is subjected to the manufac-
must satisfy section E417.3(f). This must in- turer specified low-temperature level or at a
clude measuring the bridgewire insulation ¥ 54 C workmanship screening level, which-
resistance at operating voltage. ever is lower.
(l) Safety devices. This test must dem- (n) Radio frequency impedance. A radio fre-
onstrate that any protection circuitry that quency impedance test must determine an
is internal to an exploding bridgewire, such exploding bridgewire’s radio frequency im-
as a spark gap, satisfies all its performance pedance for use in any system radio fre-
specifications and will not degrade the quency susceptibility analysis.
bridgewire’s performance or reliability when (o) Radio frequency sensitivity. A radio fre-
exposed to the qualification environments. quency sensitivity test must consist of a sta-
The test must include static gap breakdown, tistical firing series of exploding bridgewire
dynamic gap breakdown, and specification lot samples to determine the radio frequency
hold-off voltage under sustained exposure. sensitivity of the exploding bridgewire. The
(m) Firing tests—(1) General. Each firing test must demonstrate that the radio fre-
test of an exploding bridgewire must satisfy quency no-fire energy level does not exceed
all of the following: the level used in the flight termination sys-
(i) Each test must demonstrate that the tem design and analysis.
exploding bridgewire satisfies all its per- (p) No-fire energy level. A no-fire energy
formance specifications when subjected to level test must consist of a statistical firing
qualification stress conditions; series of exploding bridgewire lot samples to
(ii) The number of exploding bridgewire determine the highest electrical energy level
samples that each test must fire and the test at which the exploding bridgewire will not
conditions, including firing voltage and tem- fire with a reliability of 0.999 with a 95% con-
perature, must satisfy each table of this sec- fidence level when subjected to a continuous
tion; current pulse. The test must demonstrate
(iii) Before initiation, each component that the no-fire energy level is no less than
sample must experience the required tem- the no-fire energy level used in the flight
perature for enough time to achieve thermal termination system design and analysis.
equilibrium; (q) All-fire energy level. An all-fire energy
(iv) Each test must subject each exploding level test must consist of a statistical firing
bridgewire sample to a high voltage initi- series of exploding bridgewire lot samples to
ation source that duplicates the exploding determine the lowest electrical energy level
bridgewire firing unit output waveform and at which the exploding bridgewire will fire
impedance, including high voltage cabling; with a reliability of 0.999 with a 95% con-
and fidence level when subjected to a current

764
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
pulse simulating the firing unit output wave- (2) The test duration must be the max-
form and impedance characteristics. Each imum predicted high-temperature duration
exploding bridgewire sample must be in its or one hour, whichever is greater; and
flight configuration, and must possess any (3) After exposure to the test environment,
internal safety devices, such as a spark gap, each exploding bridgewire sample must un-
employed in the flight configuration. The dergo external and internal examination, in-
test must demonstrate that the all-fire en- cluding any dissection needed to identify any
ergy level does not exceed the all-fire energy auto-ignition, sublimation, or melting.
level used in the flight termination system
design and analysis. E417.29 ORDNANCE INTERRUPTER
(r) Auto-ignition. This test must dem-
onstrate that an exploding bridgewire does (a) General. This section applies to any ord-
not experience auto-ignition, sublimation, or nance interrupter that is part of a flight ter-
melting when subjected to any high-tem- mination system, including any rotor lead or
perature environment during handling, test- booster charge that is used by the inter-
ing, storage, transportation, installation, or rupter. Any ordnance interrupter, rotor lead,
flight. The test must include all of the fol- or booster charge must satisfy each test or
lowing: analysis identified by any table of this sec-
(1) The test environment must be no less tion to demonstrate that it satisfies all its
than 30 C higher than the highest non-oper- performance specifications when subjected
ating or operating temperature that the de- to each non-operating and operating environ-
vice could experience; ment.

765
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

766
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

767
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

768
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

769
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

770
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

771
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

772
Commercial Space Transportation, FAA, DOT Pt. 417, App. E

773
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)

(b) Status-of-health. An ordnance inter- terrupter is safe to handle and use on the
rupter status-of-health test must satisfy sec- launch vehicle.
tion E45417.3(f). This must include measuring (2) Containment. For any ordnance inter-
the interrupter’s safe-and-arm transition rupter that has an internal rotor charge, a
time. containment test must demonstrate that the
(c) Safe-and-arm position monitor. This test interrupter will not fragment when the in-
must demonstrate all of the following: ternal charge is initiated.
(1) That an ordnance interrupter’s safe- (3) Barrier functionality. A barrier
and-arm transition operation, such as rota- functionality test must demonstrate that,
tion or sliding, satisfies all its performance when the ordnance interrupter is in the safe
position, if the donor transfer line or the in-
specifications;
ternal rotor charge is initiated, the ordnance
(2) That any ordnance interrupter-moni- output will not propagate to an explosive
toring device can determine, before flight, if transfer system. The test must consist of fir-
the ordnance interrupter is in the proper ing tests at high- and low-temperature ex-
flight configuration; tremes with an explosive transfer system
(3) The presence of the arm indication that simulates the flight configuration. The
when the ordnance interrupter is armed; and number of samples that the test must fire
(4) The presence of the safe indication and the test conditions must satisfy each
when the ordnance interrupter is safed. table of this section and all of the following:
(d) Safety tests—(1) General. Each safety (i) High-temperature. A high-temperature
test must demonstrate that an ordnance in- test must initiate each ordnance sample

774
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
while it is subjected to no lower than the the output satisfies all its performance spec-
qualification high-temperature level or a 71 ifications; and
C workmanship screening level, whichever (vii) For a single interrupter that contains
is higher; and more than one firing path, the test must
(ii) Low-temperature. A low-temperature demonstrate that the initiation of one firing
test must initiate each ordnance sample path does not adversely affect the perform-
while it is subjected to no higher than the ance of any other path.
qualification low-temperature level or a ¥ 54 (2) Ambient-temperature. This test must ini-
C workmanship screening level, whichever tiate each ordnance sample while it is at am-
is lower. bient temperature.
(4) Extended stall. For an ordnance inter- (3) High-temperature. A high-temperature
rupter with an internal rotor or booster test must initiate each ordnance sample
charge, an extended stall test must dem- while it is subjected to no lower than the
onstrate that the interrupter does not ini- qualification high-temperature level or a +
tiate when: 71 C workmanship level, whichever is high-
(i) Locked in its safe position; and er.
(ii) Subjected to a continuous operating (4) Low-temperature. A low-temperature
arming voltage for the maximum predicted test must initiate each ordnance sample
time that could occur accidentally or one while it is subjected to no higher than the
hour, whichever is greater. qualification low-temperature level or a ¥ 54
(5) Manual safing. A manual safing test C workmanship level, whichever is lower.
must demonstrate that an ordnance inter- (g) Barrier alignment. A barrier alignment
rupter can be manually safed. test must consist of a statistical firing series
(6) Safing-interlock. A safing-interlock test of ordnance interrupter samples. The test
must demonstrate that when an ordnance in- must demonstrate that the interrupter’s safe
terrupter’s safing-interlock is in place and to arm transition motion provides for ord-
operating arming current is applied, the nance initiation with a reliability of 0.999 at
interlock prevents arming and satisfies any a 95% confidence level. The test must also
other performance specification of the inter- demonstrate that the interrupter’s arm to
lock. safe transition motion provides for no ord-
(e) Interrupter abbreviated performance. An nance initiation with a reliability of 0.999 at
interrupter abbreviated performance test a 95% confidence level. The test may employ
must satisfy section E417.3(e). This must in- a reusable ordnance interrupter subassembly
clude continuous monitoring of the inter- that simulates the flight configuration.
rupter’s arm monitoring circuit. An ord- (h) Repetitive function. A repetitive func-
nance interrupter must undergo this test tion test must demonstrate the ability of an
while armed. ordnance interrupter to satisfy all its per-
(f) Firing tests. (1) General. A firing test of formance specifications when subjected to
an ordnance interrupter, rotor lead, or boost- five times the maximum predicted number of
er charge must satisfy all of the following: safe-to-arm and arm-to-safe cycles.
(i) The test must demonstrate that the ini- (i) Stall. A stall test must demonstrate
tiation and output energy transfer of each that an ordnance interrupter satisfies all its
ordnance charge satisfies all its performance performance specifications after being
specifications and that the component does locked in its safe position and subjected to
not fragment; an operating arming voltage for the greater
(ii) The number of samples that the test of:
must fire and the test conditions, including (1) Five minutes; or
firing current and temperature, must satisfy (2) The maximum predicted time that
each table of this section; could occur inadvertently and the inter-
(iii) Before initiation, each component rupter would still be used for flight.
sample must experience the required tem-
perature for enough time to achieve thermal E417.31 PERCUSSION-ACTIVATED DEVICE
equilibrium; (PAD)
(iv) The test of an ordnance interrupter
must simulate the flight configuration, in- (a) General. This section applies to any per-
cluding the explosive transfer system lines cussion-activated device that is part of a
on the input and output; flight termination system, including any
(v) Each test of a rotor lead or booster primer charge it uses. Any percussion-acti-
charge must subject the component to an en- vated device or primer charge must satisfy
ergy source that simulates the flight energy each test or analysis identified by any table
source; of this section to demonstrate that it satis-
(vi) Each test must measure each ordnance fies all its performance specifications when
output using a measuring device, such as a subjected to each non-operating and oper-
swell cap or dent block, to demonstrate that ating environment.

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777
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778
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779
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780
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781
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782
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783
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(b) Safety tests—(1) General. Each safety (iii) Twice the worst-case pull force that
test must demonstrate that a percussion-ac- the device can experience after it is installed
tivated device is safe to handle and use on on the vehicle.
the launch vehicle. (4) Safing-interlock retention test. A safing-
(2) No-fire impact. A no-fire impact test interlock retention test must demonstrate
must demonstrate that a percussion-acti- that a percussion-activated device’s safing-
vated device, when pulled with the guaran- interlock is not removable when a no-fire
teed no-fire pull force: pull or greater force is applied to the percus-
(i) Will not fire; sion-activated device lanyard. The test must
(ii) The device’s primer initiation assembly also demonstrate that the force needed to re-
will not disengage; and move the safing-interlock with the lanyard
(iii) The device will continue to satisfy all in an unloaded condition satisfies its per-
its performance specifications. formance specification.
(3) Safing-interlock locking. A safing-inter- (c) Status-of-health. A status-of-health test
lock test must demonstrate that, a percus- of a percussion-activated device must satisfy
sion-activated device, with its safing-inter- section E417.3(f). This test must include
lock in place, will continue to satisfy all its measuring the spring constant and firing
performance specifications and the device’s pull distance.
firing assembly will not move more than half (d) Percussion-activated-device firing tests—
the no-fire pull distance when subjected to (1) General. Each firing test of a percussion-
the greater of: activated device must satisfy all of the fol-
(i) A 200-pound pull force; lowing:
(ii) The device’s all-fire pull-force; or

786
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
(i) The test must demonstrate that the de- perature for enough time to achieve thermal
vice satisfies all its performance specifica- equilibrium;
tions when subjected to all qualification (iv) The test must use a firing pin and con-
stress conditions; figuration that is representative of the flight
(ii) The number of samples that the test configuration; and
must fire and the test conditions, including (v) The test must measure ordnance output
temperature, must satisfy each table of this using a measuring device, such as a swell cap
section; or dent block, to demonstrate that the ord-
(iii) Before initiation, each component nance output satisfies all its performance
sample must experience the required tem- specifications.
perature for enough time to achieve thermal (2) Ambient-temperature. This test must ini-
equilibrium; tiate each ordnance sample while it is sub-
(iv) The test must subject the device to the jected to ambient temperature.
manufacturer specified pull-force;
(3) High-temperature. A high-temperature
(v) The test must simulate the flight con-
test must initiate each ordnance sample
figuration, including the explosive transfer
system lines on the output; and while it is subjected to no lower than the
(vi) The test must measure each ordnance qualification high-temperature level or a +
output using a measuring device, such as a 71 C workmanship screening level, which-
swell cap or dent block, to demonstrate that ever is higher.
the output satisfies all its performance spec- (4) Low-temperature. A low-temperature
ifications. test must initiate each ordnance sample
(2) Ambient-temperature. This test must ini- while it is subjected to no higher than the
tiate each ordnance sample while it is sub- qualification low-temperature level or a ¥ 54
jected to ambient temperature. C workmanship screening level, whichever
(3) High-temperature. A high-temperature is lower.
test must initiate each ordnance sample (g) Auto-ignition. This test must dem-
while it is subjected to no lower than the onstrate that any ordnance internal to a per-
qualification high-temperature level or a + cussion-activated device does not experience
71 C workmanship screening level, which- auto-ignition, sublimation, or melting when
ever is higher. subjected to any high-temperature environ-
(4) Low-temperature. A low-temperature ment during handling, testing, storage,
test must initiate each ordnance sample transportation, installation, or flight. The
while it is subjected to no higher than the test must include all of the following:
qualification low-temperature level or a ¥ 54 (1) The test environment must be no less
C workmanship screening level, whichever than 30 C higher than the highest non-oper-
is lower. ating or operating temperature that the de-
(e) All-fire energy level. An all-fire energy vice could experience;
level test must consist of a statistical firing (2) The test duration must be the max-
series of primer charge lot samples to deter- imum predicted high-temperature duration
mine the lowest energy impact at which the or one hour, whichever is greater; and
primer will fire with a reliability of 0.999 at (3) After exposure to the test environment,
a 95% confidence level. The test must use a each ordnance component must undergo ex-
firing pin and configuration that is rep- ternal and internal examination, including
resentative of the flight configuration. any dissection needed to identify any auto-
(f) Primer charge firing tests. (1) General. ignition, sublimation, or melting.
Each firing test of a primer charge must sat-
isfy all of the following: E417.33 E XPLOSIVE TRANSFER SYSTEM,
(i) The test must demonstrate that the ORDNANCE MANIFOLD, AND DESTRUCT CHARGE
primer charge, including any booster charge
or ordnance delay as an integral unit, satis- (a) General. This section applies to any ex-
fies all its performance specifications when plosive transfer system, ordnance manifold,
subjected to all qualification stress condi- or destruct charge that is part of a flight ter-
tions; mination system. Any explosive transfer sys-
(ii) The number of samples that the test tem, ordnance manifold, or destruct charge
must fire and the test conditions, including must satisfy each test or analysis identified
impact energy and temperature, must satisfy by any table of this section to demonstrate
each table of this section; that it satisfies all its performance specifica-
(iii) Before initiation, each component tions when subjected to each non-operating
sample must experience the required tem- and operating environment.

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(b) Firing tests—(1) General. A firing test of (3) High-temperature. A high-temperature

an explosive transfer system, explosive test must initiate each ordnance sample
manifold, or destruct charge must satisfy all while it is subjected to no lower than the
of the following: qualification high-temperature level or a +
(i) The test must demonstrate that each 71 C workmanship screening level, which-
ordnance sample satisfies all its performance ever is higher.
specifications when subjected to all quali- (4) Low-temperature. A low-temperature
fication stress conditions; test must initiate each ordnance sample
(ii) The number of samples that the test while it is subjected to no higher than the
must fire and the test conditions, including qualification low-temperature level or a ¥ 54
temperature, must satisfy each table of this C workmanship screening level, whichever
section; is lower.
(iii) Before initiation, each ordnance sam- (c) Penetration margin. A penetration mar-
ple must experience the required tempera- gin test must demonstrate a destruct
ture for enough time to achieve thermal charge’s ability to accomplish its intended
equilibrium; flight termination function, such as to de-
(iv) For any destruct charge, the test must stroy the pressure integrity of any solid pro-
initiate the charge against a witness plate to pellant stage or motor or rupture any propel-
demonstrate that the charge satisfies all its lant tank. This must include penetrating no
performance specifications and is in-family; less than 150% of the thickness of the target
(v) For any explosive transfer system com- material. Each test must also demonstrate
ponent, the test must measure ordnance out- that the charge is in-family by correlating
put using a measuring device, such as a swell equivalent penetration depth into a witness
cap or dent block, to demonstrate that the plate and comparing the results from each
ordnance output satisfies all its performance test.
specifications; and (d) Propellant detonation. A propellant deto-
(vi) For any explosive manifold that con- nation test or analysis must demonstrate
tains ordnance, the test must initiate the that a destruct charge will not detonate the
ordnance using an explosive transfer system propellant of its intended target.
in a flight representative configuration. E417.35 S HOCK AND VIBRATION ISOLATORS
(2) Ambient-temperature. This test must ini-
tiate each ordnance sample while it is sub- (a) General. This section applies to any
jected to ambient temperature. shock or vibration isolator that is part of a

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Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
flight termination system. Any isolator repeatable performance and is free of any
must satisfy each test or analysis identified workmanship defects.
by table E417.35–1 to demonstrate that it has

(b) Load deflection. A load deflection test (2) The test must measure the isolator’s
must demonstrate the ability of a shock or dynamic amplification value while the iso-
vibration isolator to withstand the full-scale lator is subjected to a random vibration or
deflection expected during flight while satis- sinusoidal sweep vibration with amplitudes
fying all its performance specifications and that are representative of the maximum pre-
that the isolator is in-family. This must in- dicted operating environment.
clude subjecting each isolator to varying de-
flection increments from the null position to E417.37 E LECTRICAL
CONNECTORS AND
the full-scale flight deflection and measuring HARNESSES
the isolator’s spring constant at each deflec-
tion increment. (a) General. This section applies to any
(c) Status-of-health. A status-of-health test electrical connector or harness that is crit-
of a shock or vibration isolator must satisfy ical to the functioning of a flight termi-
section E417.3(f). The test must include all of nation system during flight, but is not other-
the following: wise part of a flight termination system
(1) The test must measure the isolator’s component. Any electrical connector or har-
natural frequency while the isolator is sub- ness must satisfy each test or analysis iden-
jected to a random vibration or sinusoidal tified by table E417.37–1 of this section to
sweep vibration with amplitudes that are demonstrate that it satisfies all its perform-
representative of the maximum predicted op- ance specifications when subjected to each
erating environment; and non-operating and operating environment.

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(b) Status-of-health. A status-of-health test nector pin to every other pin to withstand a
of a harness or connector must satisfy sec- minimum workmanship voltage of 500 VDC
tion E417.3(f). The test must include all of or 150% of the rated output voltage, which-
the following: ever is greater; and
(1) The test must measure the dielectric (4) The test must measure the resistance of
withstanding voltage between mutually in- any wire and harness insulation to dem-
sulated portions of the harness or connector onstrate that it satisfies all its performance
to demonstrate that the harness or con- specifications.
nector satisfies all its performance specifica-
tions at its rated voltage and withstands any E417.39 ORDNANCE INTERFACES AND MANIFOLD
momentary over-potential due to switching, QUALIFICATION
surge, or any other similar phenomena;
(2) The test must demonstrate that the in- (a) General. This section applies to any ord-
sulation resistance between mutually insu- nance interface or manifold that is part of a
lated points is sufficient to ensure that the flight termination system. Each ordnance
harness or connector satisfies all its per- interface or manifold must undergo a quali-
formance specifications at its rated voltage fication test that demonstrates that the
and the insulation material is not damaged interface or manifold satisfies its perform-
after the harness or connector is subjected to ance specifications with a reliability of 0.999
the qualification environments; at a 95% confidence level.
(3) The test must demonstrate the ability (b) Interfaces. A qualification test of an
of the insulation resistance between each ordnance interface must demonstrate the
wire shield and harness or conductor and the interface’s reliability. This must include all
insulation between each harness or con- of the following:

797
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(1) The test must use a simulated flight E417.41 FLIGHT TERMINATION SYSTEM PRE-
configured interface and test hardware that FLIGHT TESTING
duplicate the geometry and volume of the
(a) General. A flight termination system,
firing system used on the launch vehicle; and
its subsystems, and components must under-
(2) The test must account for performance go the pre-flight tests required by this sec-
variability due to manufacturing and work- tion to demonstrate that the system will
manship tolerances such as minimum gap, satisfy all its performance specifications
maximum gap, and axial and angular offset. during the countdown and launch vehicle
(c) Detonation flier plate ordnance transfer flight. After successful completion of any
systems. A qualification test of a detonation pre-flight test, if the integrity of the system,
flier plate ordnance transfer system com- subsystem, or component is compromised
posed of any component that has a charge or due to a configuration change or other event,
initiates a charge such as; electro-explosive such as a lightning strike or connector de-
devices, exploding bridgewires, ordnance mate, the system, subsystem, or component
delays, explosive transfer systems, destruct must repeat the pre-flight test.
charges, and percussion-activated devices; (b) Pre-flight component tests. A component
must demonstrate the system’s reliability must undergo one or more pre-flight tests at
using one of the following: the launch site to detect any change in per-
(1) A statistical firing series that varies formance due to any shipping, storage, or
critical performance parameters, including other environments that may have affected
gap and axial and angular alignment, to en- performance after the component passed the
sure that ordnance initiation occurs across acceptance tests. Each test must measure all
each flight configured interface with a reli- the component’s performance parameters
ability of 0.999 at a 95% confidence level; and compare the measurements to the ac-
(2) Firing 2994 flight units in a flight rep- ceptance test performance baseline to iden-
resentative configuration to demonstrate tify any performance variations, including
that ordnance initiation occurs across each any out-of-family results, which may indi-
flight configured interface with a reliability cate potential defects that could result in an
of 0.999 at a 95% confidence level; or in-flight failure.
(3) Firing all of the following units to dem- (c) Silver-zinc batteries. Any silver-zinc bat-
onstrate a gap margin that ensures ordnance tery that is part of a flight termination sys-
initiation: tem, must undergo the pre-flight activation
(i) Five units at four times the combined and tests that table E417.21–1 identifies must
maximum system gap; take place just before installation on the
(ii) Five units at four times the combined launch vehicle. The time interval between
maximum system axial misalignment; pre-flight activation and flight must not ex-
(iii) Five units at four times the combined ceed the battery’s performance specification
maximum system angular misalignment; for activated stand time capability.
and (d) Nickel-cadmium batteries. Any nickel-
(iv) Five units at 50% of the combined min- cadmium flight termination system battery
imum system gap. must undergo pre-flight processing and test-
ing before installation on the launch vehicle
(d) Deflagration and pressure sensitive ord-
and the processing and testing must satisfy
nance transfer systems. A qualification test of
all of the following:
a deflagration or pressure sensitive ordnance
(1) Any pre-flight processing must be
transfer system composed of devices such as
equivalent to that used during qualification
ordnance delays, electro-explosive system
testing to ensure the flight battery’s per-
low energy end-tips, and percussion-acti-
formance is equivalent to that of the battery
vated device primers must demonstrate the
samples that passed the qualification tests;
system’s reliability using one of the fol-
(2) Each battery must undergo all of the
lowing:
following tests at ambient temperature no
(1) A statistical firing series that varies
later than one year before the intended
critical performance parameters, including
flight date and again no earlier than two
gap interface, to ensure that ordnance initi-
weeks before the first flight attempt:
ation occurs across each flight configured
(i) A status-of-health test that satisfies
interface;
section E417.22(j);
(2) Firing 2994 flight units in a flight rep- (ii) A charge retention test that satisfies
resentative configuration to demonstrate section E417.22(f); and
that ordnance initiation occurs across each (iii) An electrical performance test that
flight configured interface; or satisfies section E417.22(n); and
(3) Firing all of the following units to dem- (3) The test results from the battery ac-
onstrate a significant gap margin: ceptance tests of section E417.22 and the one-
(i) Five units using a 75% downloaded year and two-week pre-flight tests of para-
donor charge across the maximum gap; and graph (d)(2) of this section must undergo a
(ii) Five units using a 120% overloaded comparison to demonstrate that the battery
donor charge across the minimum gap. satisfies all its performance specifications.

798
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
The flight battery test data must undergo an (1) The test must take place no earlier
evaluation to identify any out-of-family per- than 10 calendar days before the first flight
formance and to ensure that there is no deg- attempt. If the flight is delayed more than 14
radation in electrical performance that indi- calendar days or the flight termination sys-
cates an age-related problem. tem configuration is broken or modified for
(4) In the event of a launch schedule slip, any reason, such as to replace batteries, the
after six weeks has elapsed from a preflight exploding bridgewire must undergo the test
test, the battery must undergo the test again again no earlier than 10 calendar days before
no earlier than two weeks before the next the next flight attempt. A launch operator
launch attempt. may extend the time between the test and
(e) Pre-flight testing of a safe-and-arm device flight if the launch operator demonstrates
that has an internal electro-explosive device. An that the exploding bridgewire will satisfy all
internal electro-explosive device in a safe- its performance specifications when sub-
and-arm device must undergo a pre-flight jected to the expected environments for the
test that satisfies all of the following: extended period of time.
(1) The test must take place no earlier (2) The test must verify the continuity of
than 10 calendar days before the first flight each bridgewire.
attempt. If the flight is delayed more than 14 (3) Where applicable, the test must include
calendar days or the flight termination sys- a high voltage static test and a dynamic gap
tem configuration is broken or modified for breakdown voltage test to demonstrate that
any reason, such as to replace batteries, the any spark gap satisfies all its performance
device must undergo the test again no ear- specifications.
(h) Pre-flight testing for command receiver de-
lier than 10 calendar days before the next
coders and other electronic components. (1) An
flight attempt. A launch operator may ex-
electronic component, including any compo-
tend the time between the test and flight if
nent that contains piece part circuitry, such
the launch operator demonstrates that the
as a command receiver decoder, must under-
electro-explosive device and its firing circuit
go a pre-flight test that satisfies all of the
will each satisfy all their performance speci-
following:
fications when subjected to the expected en-
(i) The test must take place no earlier than
vironments for the extended period of time;
180 calendar days before flight. If the 180-day
(2) The test must include visual checks for period expires before flight, the launch oper-
signs of any physical defect or corrosion; and ator must replace the component with one
(3) The test must include a continuity and that meets the 180-day requirement or test
resistance check of the electro-explosive de- the component in place on the launch vehi-
vice circuit while the safe-and-arm device is cle. The test must satisfy the alternate pro-
in the arm position and again while the de- cedures for testing the component on the
vice is in the safe position. launch vehicle contained in the test plan and
(f) Pre-flight testing of an external electro-ex- procedures required by section E417.1(c); and
plosive device. An external electro-explosive (ii) The component must undergo the test
device that is part of a safe-and-arm device at ambient temperature. The test must
must undergo a pre-flight test that satisfies measure all performance parameters meas-
all of the following: ured during acceptance testing.
(1) The test must take place no earlier (2) A launch operator may substitute an
than 10 calendar days before the first flight acceptance test for a pre-flight test if the ac-
attempt. If the flight is delayed more than 14 ceptance test is performed no earlier than
calendar days or the flight termination sys- 180 calendar days before flight.
tem configuration is broken or modified for (i) Pre-flight subsystem and system level test.
any reason, such as to replace batteries, the A flight termination system must undergo
device must undergo the test again no ear- the pre-flight subsystem and system level
lier than 10 calendar days before the next tests required by this paragraph after the
flight attempt. A launch operator may ex- system’s components are installed on a
tend the time between the test and flight if launch vehicle to ensure proper operation of
the launch operator demonstrates that the the final subsystem and system configura-
electro-explosive device and its firing circuit tions. Each test must compare data obtained
will satisfy all their performance specifica- from the test to data from the pre-flight
tions when subjected to the expected envi- component tests and acceptance tests to
ronments for the extended period of time; demonstrate that there are no discrepancies
and indicating a flight reliability concern.
(2) The test must include visual checks for (1) Radio frequency system pre-flight test. All
signs of any physical defect or corrosion and radio frequency systems must undergo a pre-
a resistance check of the electro-explosive flight test that satisfies all of the following:
device. (i) The test must demonstrate that the
(g) Pre-flight testing of an exploding flight termination system antennas and as-
bridgewire. An exploding bridgewire must un- sociated radio frequency systems satisfy all
dergo a pre-flight test that satisfies all of their performance specifications once in-
the following: stalled in their final flight configuration;

799
Pt. 417, App. E 14 CFR Ch. III (1–1–19 Edition)
(ii) The test must measure the system’s tem circuits, and command control system
voltage standing wave ratio and demonstrate transmitting equipment are operational; and
that any insertion losses are within the de- (vii) The test must exercise the triggering
sign limits; mechanism of all electrically initiated inad-
(iii) The test must demonstrate that the vertent separation destruct systems to dem-
radio frequency system, from each command onstrate that each is operational.
control system transmitter antenna used for (3) Open-loop test of a non-secure command
the first stage of flight to each command re- destruct system. For each flight attempt, any
ceiver satisfies all its performance specifica- flight termination system that uses a non-
tions; secure command receiver decoder must un-
(iv) The test must occur no earlier than 90 dergo an open-loop radio frequency test, no
days before flight; and earlier than 60 minutes before the start of
(v) The test must demonstrate the func- the launch window, to validate the entire
tions of each command receiver decoder and radio frequency command destruct link. For
calibrate the automatic gain control signal each flight attempt, the flight safety system
strength curves, verify the threshold sensi- must undergo the test again after any break
tivity for each command, and verify the or change in the system configuration. The
operational bandwidth. test must satisfy all of the following:
(2) End-to-end test of a non-secure command (i) The system must undergo the test with
receiver decoder system. Any flight termi- all flight termination system ordnance initi-
nation system that uses a non-secure com- ation devices in a safe condition;
mand receiver decoder must undergo an end- (ii) Flight batteries must power all re-
ceiver decoders and other electronic compo-
to-end test of all flight termination system
nents. The test must account for any warm-
subsystems, including command destruct
up time needed to ensure the reliable oper-
systems and inadvertent separation destruct
ation of electronic components;
systems. The test must satisfy all of the fol-
(iii) The test must exercise the command
lowing:
receiver decoder arm function, including the
(i) The test must take place no earlier than
pilot or check tone, using a command con-
72 hours before the first flight attempt. After
trol transmitter in its flight configuration;
the test, if the flight is delayed more than 14 (iv) The test must demonstrate that each
calendar days or the flight termination sys- receiver decoder is operational and is com-
tem configuration is broken or modified for patible with the command control trans-
any reason, such as to replace batteries, the mitter system; and
system must undergo the end-to-end test (v) Following successful completion of the
again no earlier than 72 hours before the open-loop test, if any receiver decoder is
next flight attempt; turned off or the transmitter system fails to
(ii) The flight termination system, except continuously transmit the pilot or check
for all ordnance initiation devices, must un- tone, the flight termination system must un-
dergo the test in its final onboard launch ve- dergo the open-loop test again before flight.
hicle configuration; (4) Initial open-loop test of a secure high-al-
(iii) The test must use a destruct initiator phabet command destruct system. Any flight
simulator that satisfies § 417.307(h) in place termination system that uses a secure high-
of each flight initiator to demonstrate that alphabet command receiver decoder must
the command destruct and inadvertent sepa- undergo an open-loop radio frequency test to
ration destruct systems deliver the required demonstrate the integrity of the system be-
energy to initiate the flight termination sys- tween the command control transmitter sys-
tem ordnance; tem and launch vehicle radio frequency sys-
(iv) The flight termination system must tem from the antenna to the command re-
undergo the test while powered by the bat- ceiver decoders. The test must satisfy all of
teries that the launch vehicle will use for the following:
flight. A flight termination system battery (i) The test must occur before loading the
must not undergo recharging at any time secure flight code on to the command trans-
during or after the end-to-end test. If the mitting system and the command receiver
battery is recharged at any time before decoders;
flight the system must undergo the end-to- (ii) The test must use a non-secure code,
end test again; also known as a maintenance code, loaded on
(v) The end-to-end test must exercise all to the command control transmitting sys-
command receiver decoder functions critical tem and the command receiver decoders;
to flight termination system operation dur- (iii) Each command receiver decoder must
ing flight, including the pilot or check tone, be powered by either the ground or launch
using the command control system transmit- vehicle power sources;
ters in their flight configuration or other (iv) The command control transmitter sys-
representative equipment; tem must transmit, open-loop, all receiver
(vi) The test must demonstrate that all decoder commands required for the flight
primary and redundant flight termination termination system functions, including
system components, flight termination sys- pilot or check tone to the vehicle;

800
Commercial Space Transportation, FAA, DOT Pt. 417, App. E
(v) The test must demonstrate that each flight termination system that uses a secure
command receiver decoder receives, decodes high-alphabet command receiver decoder
and outputs each command sent by the com- must undergo an abbreviated closed-loop test
mand control system; and if, due to a launch scrub or delay, more than
(vi) The testing must demonstrate that all 72 hours pass since the end-to-end test of
primary and redundant flight termination paragraph (h)(5) of this section. The test
system components, flight termination sys- must satisfy all of the following:
tem circuits, and command control system (i) The flight termination system must un-
transmitting equipment are operational. dergo the test in its final flight configura-
(5) End-to-end test of a secure high-alphabet tion with all flight destruct initiators con-
command destruct system. Any flight termi-
nected and in a safe condition;
nation system that uses a secure high-alpha-
bet command receiver decoder must undergo (ii) The test must occur just before launch
an end-to-end test of all flight termination support tower rollback or other similar final
system subsystems, including command de- countdown event that suspends access to the
struct systems and inadvertent separation launch vehicle;
destruct systems. The test must satisfy all (iii) Each command receiver decoder must
of the following: undergo the test powered by the flight bat-
(i) The system must undergo the test no teries;
earlier than 72 hours before the first flight (iv) The test must exercise all command
attempt. After the test, if the flight is de- receiver decoder functions critical to flight
layed more than 14 calendar days or the termination system operation during flight
flight termination system configuration is except the destruct function, including the
broken or modified for any reason, such as to pilot or check tone, in a closed-loop test con-
replace batteries, the system must undergo figuration using ground support testing
the end-to-end tests again no earlier than 72 equipment hardwired to the launch vehicle
hours before the next flight attempt; radio frequency receiving system; and
(ii) The system must undergo the test in a (v) The test must demonstrate that the
closed-loop configuration using the secure launch vehicle command destruct system,
flight code;
including each command receiver decoder
(iii) The flight termination system, except
and all batteries, is functioning properly.
for the ordnance initiation devices, must un-
dergo the test in its final onboard launch ve- (7) Final open-loop test of a secure high-al-
hicle configuration; phabet command destruct system. Any flight
(iv) The test must use a destruct initiator termination system that uses a secure high-
simulator that satisfies § 417.307(h) in place alphabet command receiver decoder must
of each flight initiator to demonstrate that undergo a final open-loop radio frequency
the command destruct and inadvertent sepa- test no earlier than 60 minutes before flight,
ration destruct systems deliver the energy to validate the entire radio frequency com-
required to initiate the flight termination mand destruct link from the command con-
system ordnance; trol transmitting system to launch vehicle
(v) The flight termination system must un- antenna. The test must satisfy all of the fol-
dergo the test while powered by the batteries lowing:
that the launch vehicle will use for flight. A (i) The flight termination system must un-
flight termination system battery must not dergo the test in its final flight configura-
undergo recharging at any time during or tion with all flight destruct initiators con-
after the end-to-end test. If the battery is re- nected and in a safe condition;
charged at any time before flight the system (ii) Flight batteries must power all re-
must undergo the end-to-end test again; ceiver decoders and other electronic compo-
(vi) The test must exercise all command nents. The test must account for any warm-
receiver decoder functions critical to flight up time needed for reliable operation of the
termination system operation during flight, electronic components;
including the pilot or check tone, in a (iii) The test must exercise each command
closed-loop test configuration using ground receiver decoder’s self-test function includ-
support testing equipment hardwired to the ing pilot or check tone using the command
launch vehicle radio frequency receiving sys-
control system transmitters in their flight
tem;
configuration;
(vii) The test must demonstrate that all
primary and redundant launch vehicle flight (iv) The test must demonstrate that each
termination system components and circuits receiver decoder is operational and compat-
are operational; and ible with the command control transmitter
(viii) The test must exercise the triggering system; and
mechanism of all electrically initiated inad- (v) Following successful completion of the
vertent separation destruct systems to dem- open-loop test, if any command receiver de-
onstrate that they are operational. coder is turned off or the transmitter system
(6) Abbreviated closed-loop test of a secure fails to continuously transmit the pilot or
high-alphabet command destruct system. Any check tone, the flight termination system

801
Pt. 417, App. G 14 CFR Ch. III (1–1–19 Edition)
must undergo the final open-loop test again cloud is the entire volume containing such
before flight. particles.
[Docket No. FAA–2000–7953, 71 FR 50537, Aug. Cloud layer means a vertically continuous
25, 2006, as amended by Amdt. No. 417–5, 81 array of clouds, not necessarily of the same
FR 59439, Aug. 30, 2016] type, whose bases are approximately at the
same altitude.
APPENDIX F TO PART 417 [RESERVED] Cone of silence means the volume within
which a radar cannot detect any object, and
APPENDIX G TO PART 417—NATURAL AND is an inverted circular cone centered on the
TRIGGERED LIGHTNING FLIGHT COM- radar antenna. A cone of silence consists of
all elevation angles greater than the max-
MIT CRITERIA
imum elevation angle reached by the radar.
G417.1 GENERAL Debris cloud means any cloud, except an
anvil cloud, that has become detached from
This appendix provides flight commit cri- a parent cumulonimbus cloud or thunder-
teria for mitigating against natural light- storm, or that results from the decay of a
ning strikes and lightning triggered by the parent cumulonimbus cloud or thunder-
flight of a launch vehicle through or near an storm.
electrified environment. A launch operator Disturbed weather means a weather system
may not initiate flight unless the weather where a dynamical process destabilizes the
conditions at the time of launch satisfy all air on a scale larger than the individual
lightning flight commit criteria of this ap- clouds or cells. Examples of disturbed weath-
pendix. er include fronts, troughs, and squall lines.
(a) In order to meet the lightning flight
Electric field means a vertical electric field
commit criteria, a launch operator must em-
(Ez) at the surface of the Earth.
ploy any:
Field mill means an electric-field sensor
(1) Weather monitoring and measuring
that uses a moving, grounded conductor to
equipment needed, and
induce a time-varying electric charge on one
(2) Procedures needed to verify compliance.
(b) When equipment or procedures, such as or more sensing elements in proportion to
a field mill or calculation of the volume- the ambient electrostatic field.
averaged, height-integrated radar reflec- Flight path means a launch vehicle’s
tivity (VAHIRR) of clouds, are used with the planned flight trajectory, and includes the
lightning flight commit criteria to increase trajectory’s vertical and horizontal uncer-
launch opportunities, a launch operator tainties resulting from all three-sigma guid-
must evaluate all applicable measurements ance and performance deviations.
to determine whether the measurements sat- Horizontal distance means a distance that is
isfy the criteria. A launch operator may not measured horizontally between a field mill
turn off available instrumentation to create or electric field measurement point and the
the appearance of meeting a requirement and nearest part of the vertical projection of an
must use all radar reflectivity measure- object or flight path onto the surface of the
ments within a specified volume for a Earth.
VAHIRR calculation. Moderate precipitation means a precipita-
(c) If a launch operator proposes any alter- tion rate of 0.1 inches/hr or a radar reflec-
native lightning flight commit criteria, the tivity of 30 dBZ.
launch operator must clearly and convinc- Non-transparent means that one or more of
ingly demonstrate that the alternative pro- the following conditions apply:
vides an equivalent level of safety to that re- (1) Objects above, including higher clouds,
quired by this appendix. blue sky, and stars, are blurred, indistinct,
or obscured when viewed from below when
G417.3 DEFINITIONS looking through a cloud at visible wave-
For the purpose of this appendix: lengths; or objects below, including terrain,
Anvil cloud means a stratiform or fibrous buildings, and lights on the ground, are
cloud formed by the upper-level outflow or blurred, indistinct, or obscured when viewed
blow-off from a thunderstorm or convective from above when looking through a cloud at
cloud. visible wavelengths;
Associated means two or more clouds are (2) Objects above an observer are seen dis-
caused by the same disturbed weather or are tinctly only through breaks in a cloud; or
physically connected. (3) The cloud has a radar reflectivity of 0
Bright band means an enhancement of dBZ or greater.
radar reflectivity caused by frozen Precipitation means detectable rain, snow,
hydrometeors falling and beginning to melt hail, graupel, or sleet at the ground; virga;
at any altitude where the temperature is 0 or a radar reflectivity greater than 18 dBZ.
degrees Celsius or warmer. Radar reflectivity means the radar reflec-
Cloud means a visible mass of suspended tivity factor due to hydrometeors, in dBZ.
water droplets or ice crystals, or a combina- Slant distance means the shortest distance
tion of water droplets and ice crystals. The between two ports, whether horizontal,

802
Commercial Space Transportation, FAA, DOT Pt. 417, App. G
vertical, or inclined, in three dimensional G417.7 CUMULUS CLOUDS
space.
(a) This section applies to non-transparent
Thick cloud layer means one or more cloud cumulus clouds, except for cirrocumulus,
layers whose combined vertical extent from altocumulus, or stratocumulus clouds. This
the base of the bottom cloud layer to the top section does not apply to an anvil cloud that
of the uppermost cloud layer exceeds 4,500 is attached to a parent cumulus cloud.
feet. Cloud layers are combined with neigh- (b) A launch operator may not initiate
boring layers for determining total thickness flight if the slant distance to the flight path
only when they are physically connected by is less than or equal to 10 nautical miles
vertically continuous clouds. from any cumulus cloud that has a top at an
Thunderstorm means any convective cloud altitude where the temperature is colder
that produces lightning. than or equal to ¥ 20 degrees Celsius.
Transparent means that any of the fol- (c) A launch operator may not initiate
lowing conditions apply: flight if the slant distance to the flight path
(1) Objects above, including higher clouds, is less than or equal to 5 nautical miles from
blue sky, and stars, are not blurred, are dis- any cumulus cloud that has a top at an alti-
tinct and are not obscured when viewed at tude where the temperature is colder than or
visible wavelengths; or objects below, includ- equal to ¥ 10 degrees Celsius.
ing terrain, buildings, and lights on the (d) A launch operator may not initiate
ground, are clear, distinct, and not obscured flight if the flight path will carry the launch
when viewed at visible wavelengths; (2) Ob- vehicle through any cumulus cloud with its
jects identified in paragraph (1) of this defi- top at an altitude where the temperature is
nition are seen distinctly not only through colder than or equal to ¥ 5 degrees Celsius.
breaks in a cloud; and (3) The cloud has a (e) A launch operator may not initiate
radar reflectivity of less than 0 dBZ. flight if the flight path will carry the launch
Triboelectrification means the transfer of vehicle through any cumulus cloud that has
electrical charge between ice particles and a a top at an altitude where the temperature is
launch vehicle when the ice particles collide colder than or equal to + 5, and warmer than
with the vehicle during flight. ¥ 5 degrees Celsius unless:
Volume-averaged, height integrated radar re- (1) The cloud is not producing precipita-
flectivity (VAHIRR) means the product, ex- tion;
pressed in units of dBZ-km or dBZ-kft, of a (2) The horizontal distance from the center
volume-averaged radar reflectivity and an of the cloud top to at least one working field
average cloud thickness in a specified vol- mill is less than 2 nautical miles; and
ume corresponding to a point. (3) All electric field measurements at a
horizontal distance of less than or equal to 5
G417.5 LIGHTNING nautical miles of the flight path and at each
field mill specified in paragraph (e)(2) of this
(a) A launch operator must wait 30 minutes section have been between ¥ 100 volts/meter
to initiate flight after any type of lightning and + 500 volts/meter for at least 15 minutes.
occurs in a thunderstorm if the flight path
will carry the launch vehicle at a slant dis- G417.9 ATTACHED ANVIL CLOUDS
tance of less than or equal to 10 nautical
miles from that thunderstorm. This para- (a) This section applies to any non-trans-
graph does not apply to an anvil cloud that parent anvil cloud formed from a parent
is attached to a parent thunderstorm. cloud that has a top at an altitude where the
temperature is colder than or equal to ¥ 10
(b) A launch operator must wait 30 minutes
degrees Celsius.
to initiate flight after any type of lightning
(b) Flight path through cloud: If a flight
occurs at a slant distance of less than or
path will carry a launch vehicle through any
equal to 10 nautical miles from the flight
attached anvil cloud, the launch operator
path, unless:
may not initiate flight unless:
(1) The non-transparent part of the cloud
(1) The portion of the attached anvil cloud
that produced the lightning is at a slant dis- at a slant distance of less than or equal to 5
tance of greater than 10 nautical miles from nautical miles from the flight path is located
the flight path; entirely at altitudes where the temperature
(2) There is at least one working field mill is colder than 0 degrees Celsius; and
at a horizontal distance of less than or equal (2) The volume-averaged, height-integrated
to 5 nautical miles from each such lightning radar reflectivity is less than + 10 dBZ-km
discharge; and (+33 dBZ-kft) at every point at a slant dis-
(3) The absolute values of all electric field tance of less than or equal to 1 nautical mile
measurements at a horizontal distance of from the flight path.
less than or equal to 5 nautical miles from (c) Flight path between 0 and 3 nautical
the flight path and at each field mill speci- miles from cloud: If a flight path will carry
fied in paragraph (b)(2) of this section have a launch vehicle at a slant distance of great-
been less than 1000 volts/meter for at least 15 er than 0, but less than or equal to 3, nau-
minutes. tical miles from any attached anvil cloud, a

803
Pt. 417, App. G 14 CFR Ch. III (1–1–19 Edition)
launch operator must wait 3 hours to ini- er than 0 and less than or equal to 3 nautical
tiate flight after a lightning discharge in or miles from a detached anvil cloud, the
from the parent cloud or anvil cloud, unless: launch operator must accomplish both of the
(1) The portion of the attached anvil cloud following:
at a slant distance of less than or equal to 5 (1) Wait 30 minutes to initiate flight after
nautical miles from the flight path is located every lightning discharge in or from the par-
entirely at altitudes where the temperature ent cloud or anvil cloud before detachment
is colder than 0 degrees Celsius; and of the anvil cloud, and after every lightning
(2) The volume-averaged, height-integrated discharge in or from the detached anvil cloud
radar reflectivity is less than + 10 dBZ-km after detachment, unless:
(+33 dBZ-kft) at every point at a slant dis- (i) The portion of the detached anvil cloud
tance of less than or equal to 1 nautical mile less than or equal to 5 nautical miles from
from the flight path. the flight path is located entirely at alti-
(d) Flight path between 3 and 5 nautical tudes where the temperature is colder than 0
miles from cloud: If a flight path will carry degrees Celsius; and
a launch vehicle at a slant distance of great- (ii) The VAHIRR is less than + 10 dBZ-km
er than 3 and less than or equal to 5 nautical (+33 dBZ-kft) at every point at a slant dis-
miles from any attached anvil cloud, a tance of less than or equal to 1 nautical mile
launch operator must wait 3 hours to ini- from the flight path; and
tiate flight after every lightning discharge in (2) If a launch operator is unable to ini-
or from the parent cloud or anvil cloud, un- tiate flight in the first 30 minutes under
less the portion of the attached anvil cloud paragraph (c)(1) of this section, the launch
at a slant distance of less than or equal to 5 operator must wait to initiate flight for 3
nautical miles from the flight path is located hours after every lightning discharge in or
entirely at altitudes where the temperature from the parent cloud or anvil cloud before
is colder than 0 degrees Celsius. detachment of the anvil cloud, and after
(e) Flight path between 5 and 10 nautical every lightning discharge in or from the de-
miles from cloud: If the flight path will carry tached anvil cloud after detachment, unless:
the launch vehicle at a slant distance of (i) All of the following are true:
greater than 5 and less than or equal to 10 (A) There is at least one working field mill
nautical miles from any attached anvil at a horizontal distance of less than or equal
cloud, the launch operator must wait to ini- to 5 nautical miles from the detached anvil
tiate flight for 30 minutes after every light- cloud;
ning discharge in or from the parent cloud or (B) The absolute values of all electric field
anvil cloud, unless the portion of the at- measurements at a horizontal distance of
tached anvil cloud at a slant distance of less less than or equal to 5 nautical miles from
than or equal to 10 nautical miles from the the flight path and at each field mill speci-
flight path is located entirely at altitudes fied in paragraph (c)(2)(i)(A) of this section
where the temperature is colder than 0 de- have been less than 1000 V/m for at least 15
grees Celsius. minutes; and
(C) The maximum radar reflectivity from
G417.11 DETACHED A NVIL CLOUDS any part of the detached anvil cloud at a
(a) This section applies to any non-trans- slant distance of less than or equal to 5 nau-
parent anvil cloud formed from a parent tical miles from the flight path has been less
cloud that had a top at an altitude where the than +10 dBZ for at least 15 minutes; or
temperature was colder than or equal to ¥ 10 (ii) Both of the following are true:
degrees Celsius. (A) The portion of the detached anvil cloud
(b) Flight path through cloud: If the flight at a slant distance of less than or equal to 5
path will carry the launch vehicle through a nautical miles from the flight path is located
detached anvil cloud, the launch operator entirely at altitudes where the temperature
may not initiate flight unless: is colder than 0 degrees Celsius; and
(1) The launch operator waits 4 hours after (B) The volume-averaged, height-inte-
every lightning discharge in or from the de- grated radar reflectivity is less than +10 dBZ-
tached anvil cloud; and observation shows km (+33 dBZ-kft) at every point at a slant
that 3 hours have passed since the anvil distance of less than or equal to 1 nau- tical
cloud detached from the parent cloud; or mile from the flight path.
(2) Each of the following conditions exists: (d) Flight path between 3 and 10 nautical
(i) Any portion of the detached anvil cloud miles from cloud: If a flight path will carry
at a slant distance of less than or equal to 5 a launch vehicle at a slant distance of great-
nautical miles from the flight path is located er than 3 and less than or equal to 10 nau-
entirely at altitudes where the temperature tical miles from a detached anvil cloud, the
is colder than 0 degrees Celsius; and launch operator must wait 30 minutes to ini-
(ii) The VAHIRR is less than +10 dBZ-km tiate flight after every lightning discharge in
(+33 dBZ-kft) everywhere in the flight path. or from the parent cloud or anvil cloud be-
(c) Flight path between 0 and 3 nautical fore detachment, and after every lightning
miles from cloud: If a flight path will carry discharge in or from the detached anvil cloud
a launch vehicle at a slant distance of great- after detachment, unless the portion of the

804
Commercial Space Transportation, FAA, DOT Pt. 417, App. G
detached anvil cloud at a slant distance of (i) The portion of the debris cloud at a
less than or equal to 10 nautical miles from slant distance of less than or equal to 5 nau-
the flight path is located entirely at alti- tical miles from the flight path is located en-
tudes where the temperature is colder than 0 tirely at altitudes where the temperature is
degrees Celsius. colder than 0 degrees Celsius; and
(ii) The VAHIRR is less than +10 dBZ-km
G417.13 DEBRIS CLOUDS (+33 dBZ-kft) at every point at a slant dis-
(a) This section applies to any non-trans- tance of less than or equal to 1 nautical mile
parent debris cloud whose parent from the flight path.
cumuliform cloud has had any part at an al-
titude where the temperature was colder G417.15 DISTURBED WEATHER
than ¥ 20 degrees Celsius or to any debris A launch operator may not initiate flight
cloud formed by a thunderstorm. This sec- if the flight path will carry the launch vehi-
tion does not apply to a detached anvil cle through a non-transparent cloud associ-
cloud. ated with disturbed weather that has clouds
(b) A launch operator must calculate a ‘‘3- with tops at altitudes where the temperature
hour period’’ as starting at the latest of the is colder than 0 degrees Celsius and that con-
following times: tains, at a slant distance of less than or
(1) The debris cloud is observed to be de- equal to 5 nautical miles from the flight
tached from the parent cloud; path, either:
(2) The debris cloud is observed to have (a) Moderate or greater precipitation; or
formed by the collapse of the parent cloud (b) Evidence of melting precipitation such
top to an altitude where the temperature is as a radar bright band.
warmer than ¥ 10 degrees Celsius; or
(3) Any lightning discharge occurs in or G417.17 THICK CLOUD LAYERS
from the debris cloud.
(a) This section does not apply to either at-
(c) Flight path through cloud: If a flight
tached or detached anvil clouds.
path will carry a launch vehicle through a
(b) A launch operator may not initiate
debris cloud, the launch operator may not
flight if the flight path will carry the launch
initiate flight during the ‘‘3-hour period,’’ of
vehicle through a non-transparent cloud
paragraph (b) of this section, unless:
layer that is:
(1) The portion of the debris cloud at a
(1) Greater than or equal to 4,500 feet thick
slant distance of less than or equal to 5 nau-
and any part of the cloud layer in the flight
tical miles from the flight path is located en-
path is located at an altitude where the tem-
tirely at altitudes where the temperature is
colder than 0 degrees Celsius; and perature is between 0 degrees Celsius and
(2) The VAHIRR is less than +10 dBZ-km ¥ 20 degrees Celsius, inclusive; or
(+33 dBZ-kft) everywhere in the flight path. (2) Connected to a thick cloud layer that,
(d) Flight path between 0 and 3 nautical at a slant distance of less than or equal to 5
miles from cloud: If the flight path will carry nautical miles from the flight path, is great-
the launch vehicle at a slant distance of er than or equal to 4,500 feet thick and has
greater than or equal to 0 and less than or any part located at any altitude where the
equal to 3 nautical miles from the debris temperature is between 0 degrees Celsius and
cloud, the launch operator may not initiate ¥ 20 degrees Celsius, inclusive.
flight during the ‘‘3-hour period,’’ unless one (c) A launch operator may initiate flight
of the following applies: despite paragraphs (a)(1) and (a)(2) of this
(1) A launch operator may initiate flight section if the thick cloud layer:
during the ‘‘3-hour period,’’ of paragraph (b) (1) Is a cirriform cloud layer that has never
of this section if: been associated with convective clouds,
(i) There is at least one working field mill (2) Is located entirely at altitudes where
at a horizontal distance of less than or equal the temperature is colder than or equal to
to 5 nautical miles from the debris cloud; ¥ 15 degrees Celsius, and
(ii) The absolute values of all electric field (3) Shows no evidence of containing liquid
measurements at a horizontal distance of water.
less than or equal to 5 nautical miles from
G417.19 SMOKE PLUMES
the flight path and at each field mill speci-
fied in paragraph (d)(1)(i) of this section have (a) A launch operator may not initiate
been less than 1000 volts/meter for at least 15 flight if the flight path will carry the launch
minutes; and vehicle through any non-transparent cumu-
(ii) The maximum radar reflectivity from lus cloud that has developed from a smoke
any part of the debris cloud less than or plume while the cloud is attached to the
equal to a slant distance of 5 nautical miles smoke plume, or for the first 60 minutes
from the flight path has been less than + 10 after the cumulus cloud is observed to be de-
dBZ for at least 15 minutes; or tached from the smoke plume.
(2) A launch operator may initiate flight (b) This section does not apply to non-
during the ‘‘3-hour period,’’ of paragraph (b) transparent cumulus clouds that have
of this section if: formed above a fire but have been detached

805
Pt. 417, App. G 14 CFR Ch. III (1–1–19 Edition)
from the smoke plume for more than 60 min- (1) The radar wavelength is greater than or
utes. Section G417.7 applies. equal to 5 cm;
(2) A reflectivity measurement is due to a
G417.21 SURFACE ELECTRIC FIELDS meteorological target;
(a) A launch operator must wait 15 minutes (3) The spatial accuracy and resolution of a
to initiate flight after the absolute value of reflectivity measurement is 1 kilometer or
any electric field measurement at a hori- better;
zontal distance of less than or equal to 5 (4) Any attenuation caused by intervening
nautical miles from the flight path has been precipitation or by an accumulation of water
greater than or equal to 1500 volts/meter. or ice on the radome is less than or equal to
(b) A launch operator must wait 15 minutes 1 dBZ; and
to initiate flight after the absolute value of (5) A reflectivity measurement contains no
any electric field measurement at a hori- portion of the cone of silence above the radar
zontal distance of less than or equal to 5 antenna, nor any portion of any sector that
nautical miles from the flight path has been is blocked out for payload safety reasons.
greater than or equal to 1000 volts/meter, un- (b) Computation of VAHIRR. A launch oper-
less: ator who measures VAHIRR to comply with
(1) All clouds at a slant distance of less this appendix must ensure that—
(1) A digital signal processor provides
than or equal to 10 nautical miles from the
radar reflectivity measurements on a three-
flight path are transparent; or
dimensional Cartesian grid having a max-
(2) All non-transparent clouds at a slant
imum grid-point-to-grid-point spacing of one
distance less than or equal to 10 nautical
kilometer in each of the three dimensions;
miles from the flight path:
(2) The specified volume is the volume
(i) Have tops at altitudes where the tem-
bounded in the horizontal by vertical, plane,
perature is warmer than or equal to + 5 de-
perpendicular sides located 5.5 kilometers (3
grees Celsius, and
nautical miles) north, east, south, and west
(ii) Have not been part of convective clouds
of the point where VAHIRR is to be evalu-
with cloud tops at altitudes where the tem-
ated; on the bottom by the 0 degree Celsius
perature was colder than or equal to ¥ 10 de-
level; and on the top by an altitude of 20 kil-
grees Celsius for 3 hours.
ometers;
G417.23 TRIBOELECTRIFICATION (3) Volume-averaged radar reflectivity is
the arithmetic average of the radar reflec-
(a) A launch operator may not initiate tivity measurements in dBZ at grid points
flight if the flight path will carry the launch within the specified volume. A launch oper-
vehicle through any part of a cloud at any ator must include each grid point within the
altitude where: specified volume in the average if and only if
(1) The temperature is colder than or equal that grid point has a radar reflectivity meas-
to ¥ 10 degrees Celsius; and urement equal to or greater than 0 dBZ. If
(2) The launch vehicle’s velocity is less fewer than 10% of the grid points in the spec-
than or equal to 3000 feet/second, ified volume have radar reflectivity meas-
(b) Paragraph (a) of this section does not urements equal to or greater than 0 dBZ,
apply if either: then the volume-averaged radar reflectivity
(1) The launch vehicle is treated for surface is either the maximum radar reflectivity
electrification so that: measurement in the specified volume, or 0
(i) All surfaces of the launch vehicle sus- dBZ, whichever is greater.
ceptible to ice particle impact are such that (4) Average cloud thickness is the dif-
the surface resistivity is less than 10 9 Ohms ference in kilometers or thousands of feet
per square; and between an average top and an average base
(ii) All conductors on surfaces, including of all clouds in the specified volume, com-
dielectric surfaces that have been coated puted as follows:
with conductive materials, are bonded to the (i) The cloud base to be averaged is the
launch vehicle by a resistance that is less higher, at each horizontal position, of either
than 10 5 ohms; or (A) The 0 degree Celsius altitude, or
(2) A launch operator demonstrates by test (B) The lowest altitude of all radar reflec-
or analysis that electrostatic discharges on tivity measurements of 0 dBZ or greater.
the surface of the launch vehicle caused by (ii) The cloud top to be averaged is the
triboelectrification will not be hazardous to highest altitude of all radar reflectivity
the launch vehicle or the spacecraft. measurements of 0 dBZ or greater at each
horizontal position.
G417.25 MEASUREMENT OF CLOUD RADAR RE-
(iii) A launch operator must—
FLECTIVITY, C OMPUTATION OF VAHIRR, AND
(A) Take the cloud base at any horizontal
MEASUREMENT OF ELECTRIC FIELD
position as the altitude of the corresponding
(a) Radar reflectivity measurement. A launch base grid point minus half of the grid-point
operator who measures radar reflectivity to vertical separation;
comply with this appendix must employ a (B) Take the cloud top at that horizontal
meteorological radar and ensure that— position as the altitude of the corresponding

806
Commercial Space Transportation, FAA, DOT Pt. 417, App. I
top grid point plus half of this vertical sepa- (6) Not interpolate based on electric-field
ration. contours.
(5) All VAHIRR-evaluation points in the [Amdt. 417–2, 76 FR 33149, June 8, 2011]
flight path itself are:
(i) Greater than a slant distance of 10 nau- APPENDIX H TO PART 417 [RESERVED]
tical miles from any radar reflectivity of 35
dBZ or greater at altitudes of 4 kilometers or APPENDIX I TO PART 417—METHODOLO-
greater above mean sea level; and GIES FOR TOXIC RELEASE HAZARD
(ii) Greater than a slant distance of 10 nau-
ANALYSIS AND OPERATIONAL PROCE-
tical miles from any type of lightning that
DURES
has occurred in the previous 5 minutes.
(iii) A launch operator need not apply I417.1 GENERAL
paragraph (b)(5) of this section to VAHIRR
evaluation points outside the flight path but This appendix provides methodologies for
within one nautical mile of the flight path. performing toxic release hazard analysis for
the flight of a launch vehicle as required by
(6) VAHIRR is the product, expressed in
§ 417.227 and for launch processing at a
units of dBZ-km or dBZ-kft, of the volume-
launch site in the United States as required
averaged radar reflectivity defined in para-
by § 417.407(f). The requirements of this ap-
graph (b)(3) of this section and the average
pendix apply to a launch operator and the
cloud thickness defined in paragraph (b)(4) of
launch operator’s toxic release hazard anal-
this section in the specified volume defined
ysis unless the launch operator clearly and
in paragraph (b)(2) of this section.
convincingly demonstrates that an alter-
(c) Electric field measurement. A launch op- native approach provides an equivalent level
erator who measures an electric field to of safety.
comply with this appendix must—
(1) Employ a ground-based field mill, I417.3 IDENTIFICATIONOF NON-TOXIC AND
(2) Use only the one-minute arithmetic av- TOXIC PROPELLANTS
erage of the instantaneous readings from (a) General. A launch operator’s toxic re-
that field mill, lease hazard analysis for launch vehicle
(3) Ensure that all field mills are cali- flight (section I417.5) and for launch proc-
brated so that the polarity of the electric essing (section I417.7) must identify all pro-
field measurements is the same as the polar- pellants used for each launch and identify
ity of a voltage placed on a test plate above whether each propellant is toxic or non-toxic
the sensor, as required by this section.
(4) Ensure that the altitude of the flight (b) Non-toxic exclusion. A launch operator
path of the launch vehicle is equal to or less need not conduct a toxic release hazard anal-
than 20 kilometers (66 thousand feet) every- ysis under this appendix for flight or launch
where above a horizontal circle of 5 nautical processing if its launch vehicle, including all
miles centered on the field mill being used, launch vehicle components and payloads,
(5) Use only direct measurements from a uses only those propellants listed in Table
field mill, and I417–1.

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Pt. 417, App. I 14 CFR Ch. III (1–1–19 Edition)
(c) Identification of toxic propellants. A operator must determine the toxic con-
launch operator’s toxic release hazard anal- centration threshold in ppm for any uncom-
ysis for flight and for launch processing mon toxic propellant or combustion by-prod-
must identify all toxic propellants used for uct in accordance with the following:
each launch, including all toxic propellants (1) For a toxicant that has a level of con-
on all launch vehicle components and pay- cern (LOC) established by the U.S. Environ-
loads. Table I417–2 lists commonly used toxic mental Protection Agency (EPA), Federal
propellants and the associated toxic con- Emergency Management Agency (FEMA), or
centration thresholds used by the Federal Department of Transportation (DOT), a
launch ranges for controlling potential pub- launch operator must use the LOC as the
lic exposure. The toxic concentration thresh- toxic concentration threshold for the toxic
olds contained in Table I417–2 are peak expo- release hazard analysis except as required by
sure concentrations in parts per million paragraph (c)(2) of this section.
(ppm). A launch operator must perform a (2) If an EPA acute emergency guidance
toxic release hazard analysis to ensure that level (AEGL) exists for a toxicant and is
the public is not exposed to concentrations more conservative than the LOC (that is,
above the toxic concentration thresholds for lower after reduction for duration of expo-
each toxicant involved in a launch. A launch sure), a launch operator must use the AEGL
operator must use the toxic concentration instead of the LOC as the toxic concentra-
thresholds contained in table I417–2 for those tion threshold.
propellants. Any propellant not identified in (3) A launch operator must use the EPA’s
table I417–1 or table I417–2 falls into the cat- Hazard Quotient/Hazard Index (HQ/HI) for-
egory of unique or uncommon propellants, mulation to determine the toxic concentra-
such as those identified in table I417–3, which tion threshold for mixtures of two or more
are toxic or produce toxic combustion by- toxicants.
products. Table I417.3 is not an exhaustive (4) If a launch operator must determine a
list of possible toxic propellants and combus- toxic concentration threshold for a toxicant
tion by-products. For a launch that uses any for which an LOC has not been established,
propellant listed in table I417–3 or any other the launch operator must clearly and con-
unique propellant not listed, a launch oper- vincingly demonstrate through the licensing
ator must identify the chemical composition process that public exposure at the proposed
of the propellant and all combustion by- toxic concentration threshold will not cause
products and the release scenarios. A launch a casualty.

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Commercial Space Transportation, FAA, DOT Pt. 417, App. I

I417.5 TOXIC RELEASE HAZARD ANALYSIS FOR the exclusion requirements of section
LAUNCH VEHICLE FLIGHT I417.3(b), the containment requirements of
paragraph (c) of this section, or the statis-
(a) General. For each launch, a launch oper-
tical risk management requirements of para-
ator’s toxic release hazard analysis must de-
graph (d) of this section, to prevent any cas-
termine all hazards to the public from any
toxic release that will occur during the pro- ualty that could arise out of exposure to any
posed flight of a launch vehicle or that would toxic release.
occur in the event of a flight mishap. A (c) Toxic containment for launch vehicle
launch operator must use the results of the flight. For a launch that uses any toxic pro-
toxic release hazard analysis to establish for pellant, a launch operator’s toxic release
each launch, in accordance with § 417.113(c), hazard analysis must determine a hazard dis-
flight commit criteria that protect the pub- tance for each toxicant and a toxic hazard
lic from a casualty arising out of any poten- area for the launch. A hazard distance for a
tial toxic release. A launch operator’s toxic toxicant is the furthest distance from the
release hazard analysis must determine if launch point where toxic concentrations
toxic release can occur based on an evalua- may be greater than the toxicant’s toxic
tion of the propellants, launch vehicle mate- concentration threshold in the event of a re-
rials, and estimated combustion products. lease during flight. A launch operator must
This evaluation must account for both nor- determine the toxic hazard distance for each
mal combustion products and the chemical toxicant as required by paragraphs (c)(1) and
composition of any unreacted propellants. (c)(2) of this section. A toxic hazard area de-
(b) Evaluating toxic hazards for launch vehi- fines the region on the Earth’s surface that
cle flight. Each launch must satisfy either may be exposed to toxic concentrations

811
Pt. 417, App. I 14 CFR Ch. III (1–1–19 Edition)
greater than any toxic concentration thresh- uncommon or unique propellant, a launch
old of any toxicant involved in a launch in operator must determine the toxic hazard
the event of a release during flight. A launch distance for each such propellant using an
operator must determine a toxic hazard area analysis methodology that accounts for the
in accordance with paragraph (c)(3) of this following worst case conditions:
section. In order to achieve containment, a (i) Surface wind speed of 2.9 knots with a
launch operator must evacuate the public wind speed increase of 1.0 knot per 1000 feet
from a toxic hazard area as required by para-
of altitude.
graph (c)(4) of this section or employ mete-
orological constraints as required by para- (ii) Surface temperature of 32 degrees
graph (c)(5) of this section. A launch oper- Fahrenheit with a dry bulb temperature
ator must determine the hazard distance for lapse rate of 13.7 degrees Fahrenheit per 1000
a quantity of toxic propellant and determine feet over the first 500 feet of altitude and a
and implement a toxic hazard area for a lapse rate of 3.0 degrees F per 1000 feet above
launch as follows: 500 feet.
(1) Hazard distances for common propellants. (iii) Directional wind shear of 2 degrees per
Table I417–4 lists toxic hazard distances as a 1000 feet of altitude.
function of propellant quantity and toxic (iv) Relative humidity of 50 percent.
concentration threshold for commonly used (v) Capping temperature inversion at the
propellants released from a catastrophic thermally stabilized exhaust cloud center of
launch vehicle failure. Tables I417–10 and mass altitude.
I417–11 list the hazard distance as a function (vi) Worst case initial source term assum-
of solid propellant mass for HC1 emissions ing instantaneous release of fully loaded pro-
during a launch vehicle failure and during pellant storage tanks or pressurized motor
normal flight for ammonium perchlorate segments.
based solid propellants. A launch operator
(vii) Worst case combustion or mixing ra-
must use the hazard distances corresponding
to the toxic concentration thresholds estab- tios such that production of toxic chemical
lished for a launch to determine the toxic species is maximized within the bounds of
hazard area for the launch in accordance reasonable uncertainties.
with paragraph (c)(3) of this section. (viii) Evaluation of toxic hazards for both
(2) Hazard distances for uncommon or unique normal launch and vehicle abort failure
propellants. For a launch that involves any modes.

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Pt. 417, App. I 14 CFR Ch. III (1–1–19 Edition)

(3) Toxic hazard area. Having determined tially contained within a toxic hazard area,
the toxic hazard distance for each toxicant, the launch operator does not have to satisfy
a launch operator must determine the toxic paragraph (c)(5) of this section if the launch
hazard area for a launch as a circle centered operator evacuates all people from all popu-
at the launch point with a radius equal to lated areas at risk and ensures that no mem-
the greatest toxic hazard distance deter- ber of the public is present within the toxic
mined as required by paragraphs (c)(1) and hazard area during preflight fueling and
(c)(2) of this section, of all the toxicants in- flight. A launch operator must develop flight
volved in the launch. A launch operator does commit criteria and provisions for imple-
not have to satisfy paragraph (c)(3) of this mentation of the evacuations as part of the
section if: launch operator’s flight safety plan, hazard
(i) The launch operator demonstrates that area surveillance and clearance plan, and
there are no populated areas contained or local agreements and public coordination
partially contained within the toxic hazard plan developed according to §§ 417.111(b),
area; and 417.111(j) and 417.111(i), respectively.
(ii) The launch operator ensures that no (5) Flight meteorological constraints. For a
member of the public is present within the launch where there is a populated area that
toxic hazard area during preflight fueling, is contained or partially contained within a
launch countdown, flight and immediate toxic hazard area and that will not be evacu-
postflight operations at the launch site. To ated under paragraph (c)(4) of this section,
ensure the absence of the public, a launch the launch is exempt from any further re-
operator must develop flight commit criteria quirements of this section if the launch oper-
and related provisions for implementation as ator constrains the flight of a launch vehicle
part of the launch operator’s flight safety to favorable wind conditions or during times
plan and hazard area surveillance and clear- when atmospheric conditions result in re-
ance plan developed under §§ 417.111(b) and duced toxic hazard distances such that any
417.111(j), respectively. potentially affected populated area is out-
(4) Evacuation of populated areas within a side the toxic hazard area. A launch operator
toxic hazard area. For a launch where there is must employ wind and other meteorological
a populated area that is contained or par- constraints as follows:

814
Commercial Space Transportation, FAA, DOT Pt. 417, App. I
(i) When employing wind constraints, a if the specific meteorological conditions that
launch operator must re-define the toxic haz- would reduce the toxic hazard area exist and
ard area by reducing the circular toxic haz- will continue to exist throughout the flight.
ard area determined under paragraph (c)(3) (d) Statistical toxic risk management for
of this section to one or more arc segments flight. If a launch that involves the use of a
that do not contain any populated area. toxic propellant does not satisfy the contain-
Each arc segment toxic hazard area must ment requirements of paragraph (c) of this
have the same radius as the circular toxic section, the launch operator must use statis-
hazard area and must be defined by a range tical toxic risk management to protect pub-
of downwind bearings. lic safety. For each such case, a launch oper-
(ii) The launch operator must demonstrate ator must perform a toxic risk assessment
that there are no populated areas within any and develop launch commit criteria that pro-
arc segment toxic hazard area and that no tect the public from unacceptable risk due to
member of the public is present within an planned and potential toxic release. A launch
arc segment toxic hazard area during pre- operator must ensure that the resultant
flight fueling, launch countdown, and imme- toxic risk meets the collective and indi-
diate postflight operations at the launch vidual risk criteria requirements contained
site. in § 417.107(b). A launch operator’s toxic risk
(iii) A launch operator must establish wind assessment must account for the following:
constraints to ensure that any winds present (1) All credible vehicle failure and non-fail-
at the time of flight will transport any toxi-
ure modes, along with the consequent release
cant into an arc segment toxic hazard area
and combustion of propellants and other ve-
and away from any populated area. For each
hicle combustible materials.
arc segment toxic hazard area, the wind con-
straints must consist of a range of downwind (2) All vehicle failure rates.
bearings that are within the arc segment (3) The effect of positive or negative buoy-
toxic hazard area and that provide a safety ancy on the rise or descent of each released
buffer, in both the clockwise and counter- toxicant.
clockwise directions, that accounts for any (4) The influence of atmospheric physics on
uncertainty in the spatial and temporal vari- the transport and diffusion of each toxicant.
ations of the transport winds. When deter- (5) Meteorological conditions at the time
mining the wind uncertainty, a launch oper- of launch.
ator must account for the variance of the (6) Population density, location, suscepti-
mean wind directions derived from measure- bility (health categories) and sheltering for
ments of the winds through the first 6000 feet all populations within each potential toxic
in altitude at the launch point. Each clock- hazard area.
wise and counterclockwise safety buffer (7) Exposure duration and toxic propellant
must be no less than 20 degrees of arc width concentration or dosage that would result in
within the arc segment toxic hazard area. A casualty for all populations.
launch operator must ensure that the wind (e) Flight toxic release hazard analysis prod-
conditions at the time of flight satisfy the ucts. The products of a launch operator’s
wind constraints. To accomplish this, a toxic release hazard analysis for launch vehi-
launch operator must monitor the launch cle flight to be filed in accordance with
site vertical profile of winds from the alti- § 417.203(e) must include the following:
tude of the launch point to no less than 6,000 (1) For each launch, a listing of all propel-
feet above ground level. The launch operator
lants used on all launch vehicle components
must proceed with a launch only if all wind
and any payloads.
vectors within this vertical range satisfy the
wind constraints. A launch operator must (2) The chemical composition of each toxic
develop wind constraint flight commit cri- propellant and all toxic combustion prod-
teria and implementation provisions as part ucts.
of the launch operator’s flight safety plan (3) The quantities of each toxic propellant
and its hazard area surveillance and clear- and all toxic combustion products involved
ance plan developed according to §§ 417.111(b) in the launch.
and 417.111(j), respectively. (4) For each toxic propellant and combus-
(iv) A launch operator may reduce the ra- tion product, identification of the toxic con-
dius of the circular toxic hazard area deter- centration threshold used in the toxic risk
mined in accordance with paragraph (c)(3) of analysis and a description of how the toxic
this section by imposing operational mete- concentration threshold was determined if
orological restrictions on specific param- other than specified in table I417.2.
eters that mitigate potential toxic downwind (5) When using the toxic containment ap-
concentrations levels at any potentially af- proach of paragraph (c) of this section:
fected populated area to levels below the (i) The hazard distance for each toxic pro-
toxic concentration threshold of each toxi- pellant and combustion product and a de-
cant in question. The launch operator must scription of how it was determined.
establish meteorological constraints to en- (ii) A graphic depiction of the toxic hazard
sure that flight will be allowed to occur only area or areas.

815
Pt. 417, App. I 14 CFR Ch. III (1–1–19 Edition)
(iii) A listing of any wind or other con- (i) Each toxic hazard associated with the
straints on flight, and any plans for evacu- process and the potential for release of toxic
ation. propellants;
(iv) A description of how the launch oper- (ii) Each mishap or incident experienced
ator determines real-time wind direction in which has a potential for catastrophic con-
relation to the launch site and any populated sequences;
area and any other meteorological condition (iii) Each engineering and administrative
in order to implement constraints on flight control applicable to each hazard and their
or to implement evacuation plans. interrelationships, such as application of de-
(6) When using the statistical toxic risk tection methodologies to provide early warn-
management approach of paragraph (d) of ing of releases and evacuation of toxic haz-
this section: ard areas prior to conducting an operation
(i) A description of the launch operator’s that involves a toxicant;
toxic risk management process, including an (iv) Consequences of failure of engineering
explanation of how the launch operator en- and administrative controls;
sures that any toxic risk from launch meets (v) Location of the source of the release;
the toxic risk criteria of § 417.107(b). (vi) All human factors;
(ii) A listing of all models used. (vii) Each opportunity for equipment mal-
(iii) A listing of all flight commit criteria function or human error that can cause an
that protect the public from unacceptable accidental release;
risk due to planned and potential toxic re- (viii) Each safeguard used or needed to
lease. control each hazard or prevent equipment
(iv) A description of how the launch oper- malfunctions or human error;
ator measures and displays real-time mete- (ix) Each step or procedure needed to de-
orological conditions in order to determine tect or monitor releases; and
(x) A qualitative evaluation of a range of
whether conditions at the time of flight are
the possible safety and health effects of fail-
within the envelope of those used by the
ure of controls.
launch operator for toxic risk assessment
(3) The process hazards analysis must be
and to develop flight commit criteria, or for
updated for each launch. The launch oper-
use in any real-time physics models used to
ator must conduct a review of all the hazards
ensure compliance with the toxic flight com-
associated with each process involving a
mit criteria.
toxic propellant for launch processing. The
I417.7 TOXIC RELEASE HAZARD ANALYSIS FOR review must include inspection of equipment
LAUNCH PROCESSING to determine whether the process is de-
signed, fabricated, maintained, and operated
(a) General. A launch operator must per- according to the current process hazards
form a toxic release hazard analysis to deter- analysis. A launch operator must revise a
mine potential public hazards from toxic re- process hazards analysis to reflect changes
leases that will occur during normal launch in processes, types of toxic propellants
processing and that will occur in the event of stored or handled, or other aspects of a
a mishap during launch processing. This sec- source of a potential toxic release that can
tion implements the ground safety require- affect the results of overall toxic release haz-
ments of § 417.407(g). A launch operator must ard analysis.
use the results of the toxic release hazard (4) The personnel who perform a process
analysis to establish hazard controls for pro- hazard analysis must possess expertise in en-
tecting the public. A launch operator must gineering and process operations, and at
include the toxic release hazard analysis re- least one person must have experience and
sults in the ground safety plan as required knowledge specific to the process being eval-
by § 417.111(c). uated. At least one person must be knowl-
(b) Process hazards analysis. A launch oper- edgeable in the specific process hazard anal-
ator must perform an analysis on all proc- ysis methodology being used.
esses to identify toxic hazards and determine (5) A launch operator must resolve all rec-
the potential for release of a toxic propel- ommendations resulting from a process haz-
lant. The analysis must account for the com- ards analysis in a timely manner prior to
plexity of the process and must identify and launch processing and the resolution must be
evaluate the hazards and each hazard control documented. The documentation must iden-
involved in the process. An analysis that tify each corrective action and include a
complies with 29 CFR 1910.119(e) satisfies written schedule of when any such actions
paragraphs (b)(1) and (b)(2) of this section. A are to be completed.
launch operator’s process hazards analysis (c) Evaluating toxic hazards of launch proc-
must include the following: essing. A launch operator must protect the
(1) Identify and evaluate each hazard of a public from each potential toxic hazard iden-
process involving a toxic propellant using an tified by the process hazards analysis re-
analysis method, such as a failure mode and quired by paragraph (b) of this section, the
effects analysis or fault tree analysis. exclusion requirements of section I417.3(b),
(2) Describe: the containment requirements of paragraph

816
Commercial Space Transportation, FAA, DOT Pt. 417, App. I
(d) of this section, or the statistical risk (iii) If the release occurs on a surface that
management requirements of paragraph (l) is not paved or smooth, the launch operator
of this section, to prevent any casualty that may account for actual surface characteris-
could arise out of exposure to any toxic re- tics.
lease. (iv) The volatilization rate must account
(d) Toxic containment for launch processing. for the highest daily maximum temperature
A launch operator’s toxic release hazard occurring in the past three years, the tem-
analysis must determine a toxic hazard area perature of the substance in the vessel, and
surrounding the potential release site for the concentration of the toxic propellants if
each toxic propellant based on the amount the liquid spilled is a mixture or solution.
and toxicity of the propellant and the mete- (v) The launch operator must determine
orological conditions involved. A launch op- rate of release to the air from the volatiliza-
erator must determine whether there are tion rate of the liquid pool. A launch oper-
populated areas located within a toxic haz- ator must use either the methodology pro-
ard area that satisfy paragraph (h) of this vided in the Risk Management Plan (RMP)
section. If necessary to achieve toxic con- Offsite Consequence Analysis Guidance,
tainment, a launch operator must evacuate dated April 1999, available at http://
the public in order to satisfy paragraph (i) of www.epa.gov/swercepp/ap-ocgu.htm, or an air
this section or employ meteorological con- dispersion modeling technique that satisfies
straints that satisfy paragraph (j) of this sec- paragraph (g) of this section.
tion. A launch operator, in determining a (3) Worst-case release scenario for toxic gases.
toxic hazard area, must first perform a A launch operator must determine the worst-
worst-case release scenario analysis that sat- case release scenario for a toxic gas as
isfies paragraph (e) of this section or a follows:
worst-case alternative release scenario anal- (i) For toxic propellants that are normally
ysis that satisfies paragraph (f) of this sec- gases at ambient temperature and handled as
tion for each process that involves a toxic a gas or as a liquid under pressure, the
propellant. The launch operator must then launch operator must assume that the quan-
determine a toxic hazard distance for each tity in the vessel, or pipe, as determined in
process that satisfies paragraph (g) of this paragraph (e)(1) of this section, is released as
a gas over 10 minutes. The launch operator
section.
must assume a release rate that is the total
(e) Worst-case release scenario analysis. A
quantity divided by 10 unless passive mitiga-
launch operator’s worst-case release scenario
tion systems are in place.
analysis must account for the following:
(ii) For gases handled as refrigerated liq-
(1) Determination of worst-case release quan- uids at ambient pressure, if the released
tity. A launch operator must determine the toxic propellant is not contained by passive
worst-case release quantity of a toxic propel- mitigation systems or if the contained pool
lant by selecting the greater of the fol- would have a depth of 1 cm or less, the
lowing: launch operator must assume that the toxic
(i) For substances in a vessel, the greatest propellant is released as a gas in 10 minutes.
amount held in a single vessel, accounting (iii) For gases handled as refrigerated liq-
for administrative controls that limit the uids at ambient pressure, if the released
maximum quantity; or toxic propellant is contained by passive
(ii) For toxic propellants in pipes, the mitigation systems in a pool with a depth
greatest amount in a pipe, accounting for ad- greater than 1 cm, the launch operator must
ministrative controls that limit the max- assume that the quantity in the vessel or
imum quantity. pipe, as defined in paragraph (e)(1) of this
(2) Worst-case release scenario for toxic liq- section, is spilled instantaneously to form a
uids. A launch operator must determine the liquid pool. The launch operator must cal-
worst-case release scenario for a toxic liquid culate the volatilization rate at the boiling
propellant as follows: point of the toxic propellant and at the con-
(i) A launch operator must assume that for ditions defined in paragraph (e)(2) of this sec-
toxic propellants that are normally liquids tion.
at ambient temperature, the quantity in the (4) Consideration of passive mitigation. The
vessel or pipe, as determined in paragraph launch operator must account for passive
(e)(1) of this section, is spilled instanta- mitigation systems in the analysis of a worst
neously to form a liquid pool. case release scenario if the passive mitiga-
(ii) The launch operator must determine tion system is capable of withstanding the
surface area of the pool by assuming that the release event triggering the scenario and
liquid spreads to one centimeter deep unless would function as intended.
passive mitigation systems are in place that (5) Additional factors in selecting a worst-case
serve to contain the spill and limit the sur- scenario. A launch operator’s worst-case re-
face area. Where passive mitigation is in lease scenario for a toxic propellant must ac-
place, the launch operator must use the sur- count for each factor that would result in a
face area of the contained liquid to calculate greater toxic hazard distance, such as a
the volatilization rate. smaller quantity of the toxic propellant than

817
Pt. 417, App. I 14 CFR Ch. III (1–1–19 Edition)
required by paragraph (e)(1) of this section, wind minimum wind speed or less stable at-
that is handled at a higher process tempera- mosphere during the three previous years,
ture or pressure. the launch operator may use these mini-
(f) Worst-case alternative release scenario mums. The launch operator, for analysis of
analysis. A launch operator’s worst-case al- the worst-case alternative scenario, must
ternative release scenario analysis must ac- use statistical meteorological conditions for
count for the following: the location of the source.
(1) The worst-case release scenario for each (3) Ambient temperature and humidity. For a
toxic propellant and for each toxic propel- worst-case release scenario analysis of a
lant handling process; toxic propellant, the launch operator must
(2) Each release event that is more likely use the highest daily maximum temperature
to occur than the worst-case release scenario from the last three years and average humid-
that is determined in paragraph (e) of this ity for the site, based on temperature and
section; humidity data gathered at the source loca-
(3) Each release scenario that exceeds a tion or at a local meteorological station. For
toxic concentration threshold at a distance analysis of a worst-case alternative release
that reaches the general public; scenario, the launch operator must use typ-
(4) Each potential transfer hose release due ical temperature and humidity data gathered
to splits or sudden hose uncoupling; at the source location or at a local meteoro-
(5) Each potential process piping release logical station.
from failures at flanges, joints, welds, valves, (4) Height of release. The launch operator
valve seals, and drain bleeds; must analyze the worst-case release of a
(6) Each potential process vessel or pump toxic propellant assuming a ground level re-
release due to cracks, seal failure, or drain, lease. For a worst-case alternative scenario
bleed, or plug failure; analysis of a toxic propellant, the release
(7) Each vessel overfilling and spill, or over scenario may determine release height.
pressurization and venting through relief (5) Surface roughness. The launch operator
valves or rupture disks; must use either an urban or rural topog-
(8) Shipping container mishandling and raphy, as appropriate. Urban means that
breakage or puncturing leading to a spill; there are many obstacles in the immediate
(9) Mishandling or dropping flight or area; obstacles include buildings or trees.
ground hardware that contains toxic com- Rural means there are no buildings in the
modities; immediate area and the terrain is generally
(10) Each active and passive mitigation flat and unobstructed.
system provided they are capable of with- (6) Dense or neutrally buoyant gases. Models
standing the event that triggered the release or tables used for dispersion analysis of a
and would still be functional; toxic propellant must account for gas den-
(11) History of each accident experienced sity.
by the launch operator involving the release (7) Temperature of release substance. For a
of a toxic propellant; and worst-case release scenario, the launch oper-
(12) Each failure scenario. ator must account for the release of liquids
(g) Toxic hazard distances for launch proc- other than gases liquefied by refrigeration at
essing. For each process involving a toxic the highest daily maximum temperature,
propellant, a launch operator must perform based on data for the previous three years
an air dispersion analysis to determine the appropriate to the source of the potential
hazard distance for the worst-case release toxic release, or at process temperature,
scenario or the worst-case alternative re- whichever is higher. For a worst-case alter-
lease scenario as determined under para- native scenario, the launch operator may
graphs (e) and (f) of this section. A launch consider toxic propellants released at a proc-
operator must use either the methodology ess or ambient temperature that is appro-
provided in the RMP Offsite Consequence priate for the scenario.
Analysis Guidance, dated April 1999, or an (h) Toxic hazard areas for launch processing.
air dispersion modeling technique that is ap- A launch operator, having determined the
plicable to the proposed launch. A launch op- toxic hazard distance for the toxic con-
erator’s air dispersion modeling technique centration threshold for each toxic propel-
must account for the following analysis pa- lant involved in a process using either a worst-
rameters: case release scenario or a worst-case
(1) Toxic concentration thresholds. A launch alternative release scenario, must determine
operator must use the toxic concentration the toxic hazard area for the process as a cir-
thresholds defined by section I417.3(c). cle centered at the potential release point
(2) Wind speed and atmospheric stability with a radius equal to the greatest toxic haz-
class. A launch operator, for the worst-case ard distance for the toxic propellants in-
release analysis, must use a wind speed of 1.5 volved in the process. A launch operator does
meters per second and atmospheric stability not have to satisfy this section if:
class F. If the launch operator demonstrates (1) There are no populated areas contained
that local meteorological data applicable to or partially contained within the toxic haz-
the source of a toxic release show a higher ard area; and

818
Commercial Space Transportation, FAA, DOT Pt. 417, App. I
(2) There is no member of the public rection minus three sigma; otherwise, the
present within the toxic hazard area during following apply for the conditions defined by
the process. the Pasquil-Gifford meteorological stability
(i) Evacuation of populated areas within a classes:
toxic hazard area. For a process where there (i) For stable classes D–F, if the mean wind
is a populated area that is contained or par- speed is less than 10 knots, the total arc
tially contained within the toxic hazard width of the arc segment toxic hazard area
area, the launch processing operation does must be no less than 90 degrees;
not have to satisfy this section if the launch (i) For stable classes D–F, if the mean
operator evacuates the public from the popu- wind speed is greater than or equal to 10
lated area and ensures that no member of
knots, the total arc width of the arc segment
the public is present within the toxic hazard
toxic hazard area must be no less than 45 de-
area during the operation. A launch operator
grees;
must coordinate notification and evacuation
procedures with the Local Emergency Plan- (ii) For neutral class C, the total arc
ning Committee (LEPC) and ensure that no- width of the arc segment toxic hazard area
tification and evacuation occurs according must be no less than 60 degrees;
to its launch plans, including the launch op- (iii) For slightly unstable class B, the total
erator’s ground safety plan, hazard area sur- arc width of the arc segment toxic hazard
veillance and clearance plan, accident inves- area must be no less than 105 degrees; and
tigation plan, and local agreements and pub- (iv) For mostly unstable class A, the total
lic coordination plan. arc width of the arc segment toxic hazard
(j) Meteorological constraints for launch proc- area must be no less than 150 degrees.
essing. For a launch processing operation (2) The launch operator must ensure that
with the potential for a toxic release where there are no populated areas within an arc
there is a populated area that is contained or segment toxic hazard area and that no mem-
partially contained within the toxic hazard ber of the public is present within an arc seg-
area and that will not be evacuated as re- ment toxic hazard area during the process as
quired by paragraph (i) of this section, the defined by paragraph (i) of this section.
operation is exempt from further require- (3) A launch operator must establish wind
ments in this section if the launch operator constraints to ensure that winds present at
constrains the process to favorable wind con- the time of an operation will transport toxi-
ditions or during times when atmospheric cants into an arc segment toxic hazard area
conditions result in reduced toxic hazard dis-
and away from populated areas. For each arc
tances such that the potentially affected
segment toxic hazard area, the wind con-
populated area is outside the toxic hazard
straints must consist of a range of downwind
area. A launch operator must employ wind
bearings that are within the arc segment
and other meteorological constraints that
toxic hazard area and that provide a safety
satisfy the following:
(1) A launch operator must limit a launch buffer, in both the clockwise and counter-
processing operation to times during which clockwise directions, that accounts for un-
prevailing winds will transport a toxic re- certainty in the spatial and temporal vari-
lease away from populated areas that would ations of the transport winds.
otherwise be at risk. If the mean wind speed (4) A launch operator may reduce the ra-
during the operation is equal to or greater dius of the circular toxic hazard area as de-
than four knots, the launch operator must termined under paragraph (h) of this section
re-define the toxic hazard area by reducing by imposing operational meteorological re-
the circular toxic hazard area as determined strictions on specific parameters that miti-
in paragraph (h) of this section to one or gate potential toxic downwind concentra-
more arc segments that do not contain a tions levels at a potentially affected popu-
populated area. Each arc segment toxic haz- lated area to levels below the toxic con-
ard area must have the same radius as the centration threshold of the toxicant in ques-
circular toxic hazard area and must be de- tion. The launch operator must establish me-
fined by a range of downwind bearings. If the teorological constraints to ensure that the
mean wind speed during the operation is less operation will be allowed to occur only if the
than four knots, the toxic hazard area for specific meteorological conditions that
the operation must be the full 360-degree would reduce the toxic hazard area exist and
toxic hazard area as defined by paragraph (h) will continue to exist throughout the oper-
of this section. The total arc width of an arc ation, or the operation will be terminated.
segment hazard area for launch processing (k) Implementation of meteorological con-
must be greater than or equal to 30 degrees. straints. A launch operator must use one or
If the launch operator determines the stand- more of the following approaches to deter-
ard deviation of the measured wind direc- mine wind direction or other meteorological
tion, the total arc width of an arc segment conditions in order to establish constraints
hazard area must include all azimuths with- on a launch processing operation or evacuate
in the mean measured wind direction plus the populated area in a potential toxic haz-
three sigma and the mean measured wind di- ard area:

819
Pt. 417, App. I 14 CFR Ch. III (1–1–19 Edition)
(1) The launch operator must ensure that would prevent a toxic hazard distance for a
the wind conditions at the time of the proc- toxic concentration threshold from reaching
ess comply with the wind constraints used to populated areas. The launch operator, when
define each arc segment toxic hazard area. employing this method, must constrain the
The launch operator must monitor the associated launch processing operation to be
vertical profile of winds at the potential conducted only when the prescribed meteoro-
toxic release site from ground level to an al- logical conditions exist. A launch operator’s
titude of 10 meters or the maximum height air dispersion modeling technique must com-
above ground of the potential release, which- ply with paragraph (g) of this section.
ever is larger. The launch operator may pro- (l) Statistical toxic risk management for
ceed with a launch processing operation only launch processing. The launch operator must
if wind vectors meet the wind constraints use statistical toxic risk management to
used to define each arc segment toxic hazard protect public safety if a process that in-
area. volves the use of a toxic propellant does not
(2) A launch operator must monitor the satisfy the containment requirements of
specific meteorological parameters that af- paragraph (d) of this section. A launch oper-
fect toxic downwind concentrations at a po- ator, for each such case, must perform a
tential toxic release site for a process and for toxic risk assessment and develop criteria
the sphere of influence out to each populated that protect the public from risks due to
area within the potential toxic hazard area planned and potential toxic release. A launch
as defined by paragraph (h) of this section. operator must ensure that the resultant
The launch operator must monitor spatial toxic risk meets the collective and indi-
variations in the wind field that could affect vidual risk criteria requirements defined in
the transport of toxic material between the § 417.107(b). A launch operator’s toxic risk as-
potential release site and populated areas. sessment must account for the following:
The launch operator must acquire real-time (1) All credible equipment failure and non-
meteorological data from sites between the failure modes, along with the consequent re-
potential release site and each populated lease and combustion of toxic propellants;
area sufficient to demonstrate that the toxic (2) Equipment failure rates;
hazard area, when adjusted to the spatial (3) The effect of positive or negative buoy-
wind field variations, excludes populated ancy on the rise or descent of the released
areas. Meteorological parameters that affect toxic propellants;
toxic downwind concentrations from the po- (4) The influence of atmospheric physics on
tential release site and covering the sphere the transport and diffusion of toxic propel-
of influence out to the populated areas must lants released;
fall within the conditions as determined in (5) Meteorological conditions at the time
paragraph (j)(4) of this section. A launch op- of the process;
erator must use one of the following methods (6) Population density, location, suscepti-
to determine the meteorological conditions bility (health categories) and sheltering for
that will constrain a launch processing oper- populations within each potential toxic haz-
ation: ard area; and
(i) A launch operator may employ real- (7) Exposure duration and toxic propellant
time air dispersion models to determine the concentration or dosage that would result in
toxic hazard distance for the toxic con- casualty for populations.
centration threshold and proximity of a toxi- (m) Launch processing toxic release hazard
cant to populated areas. A launch operator, analysis products. The products of a launch
when employing this method, must proceed operator’s toxic release hazards analysis for
with a launch processing operation only if launch processing must include the fol-
real-time modeling of the potential release lowing:
demonstrates that the toxic hazard distance (1) For each worst-case release scenario, a
would not reach populated areas. The launch description of the vessel or pipeline and
operator’s process for carrying out this toxic propellant selected as the worst case
method must include the use of an air disper- for each process, assumptions and param-
sion modeling technique that complies with eters used, and the rationale for selection of
paragraph (g) of this section and providing that scenario. Assumptions must include use
real-time meteorological data for the sphere of administrative controls and passive miti-
of influence around a potential toxic release gation that were assumed to limit the quan-
site as input to the air dispersion model. The tity that could be released. The description
launch operator’s process must also include must include the anticipated effect of the
a review of the meteorological conditions to controls and mitigation on the release quan-
identify changing conditions that could af- tity and rate;
fect the toxic hazard distance for a toxic (2) For each worst-case alternative release
concentration threshold prior to proceeding scenario, a description of the scenario identi-
with the operation. fied for each process, assumptions and pa-
(ii) A launch operator may use air disper- rameters used, and the rationale for the se-
sion modeling techniques to define the mete- lection of that scenario. Assumptions must
orological conditions that, when present, include use of administrative controls and

820
Commercial Space Transportation, FAA, DOT Pt. 417, App. J
passive mitigation that were assumed to (d) A launch operator’s ground safety anal-
limit the quantity that could be released. ysis report may reference other documents
The description must include the anticipated filed with the FAA that contain the informa-
effect of the controls and mitigation on the tion required by this appendix.
release quantity and rate;
(3) Estimated quantity released, release J417.3 GROUND SAFETY ANALYSIS REPORT
rate, and duration of release for each worst- CHAPTERS
case scenario and worst-case alternative sce- (a) Introduction. A ground safety analysis
nario for each process; report must include an introductory chapter
(4) A description of the methodology used that describes all administrative matters,
to determine the toxic hazard distance for such as purpose, scope, safety certification of
each toxic concentration threshold; personnel who performed any part of the
(5) Data used to estimate off-site popu- analysis, and each special interest issue,
lation receptors potentially affected; and such as a high-risk situation or potential
(6) The following data for each worst-case non-compliance with any applicable FAA re-
scenario and worst-case alternative release quirement.
scenario: (b) Launch vehicle and operations summary.
(i) Chemical name; A ground safety analysis report must include
(ii) Physical state; a chapter that provides general safety infor-
(iii) Basis of results (provide model name if mation about the vehicle and operations, in-
used, or other methodology); cluding the payload and flight termination
(iv) Scenario (explosion, fire, toxic gas re- system. This chapter must serve as an execu-
lease, or liquid spill and vaporization); tive summary of detailed information con-
(v) Quantity released in pounds; tained within the report.
(vi) Release rate; (c) Systems, subsystems, and operations infor-
(vii) Release duration; mation. A ground safety analysis report must
(viii) Wind speed and atmospheric stability include a chapter that provides detailed safe-
class; ty information about each launch vehicle
(ix) Topography; system, subsystem and operation and each
(x) Toxic hazard distance; associated interface. The data in this chap-
(xi) All members of the public within the ter must include the following:
toxic hazard distance; (1) Introduction. A launch operator’s ground
(xii) Any passive mitigation considered; safety analysis report must contain an intro-
and duction to its systems, subsystems, and op-
(xiii) Active mitigation considered (worst- erations information that serves as a road-
case alternative release scenario only). map and checklist to ensure all applicable
items are covered. All flight and ground
[Docket No. FAA–2000–7953, 71 FR 50537, Aug.
hardware must be identified with a reference
25, 2006, as amended by Amdt. No. 417–5, 81
to where the items are discussed in the docu-
FR 59439, Aug. 30, 2016]
ment. All interfacing hardware and oper-
ations must be identified with a reference to
APPENDIX J TO PART 417—GROUND where the items are discussed in the docu-
SAFETY ANALYSIS REPORT ment. The introduction must identify inter-
faces between systems and operations and
J417.1 GENERAL
the boundaries that describe a system or op-
(a) This appendix provides the content and eration.
format requirements for a ground safety (2) Subsystem description. For each hardware
analysis report. A launch operator must per- system identified in a ground safety analysis
form a ground safety analysis as required by report as falling under one of the hazardous
subpart E of part 417 and document the anal- systems listed in paragraphs (c)(3), (c)(4) and
ysis in a ground safety analysis report that (c)(5) of this section, the report must iden-
satisfies this appendix, as required by tify each of the hardware system’s sub-
§ 417.402(d). systems. A ground safety analysis report
(b) A ground safety analysis report must must describe each hazardous subsystem
contain hazard analyses that describe each using the following format:
hazard control, and describe a launch opera- (i) General description including nomen-
tor’s hardware, software, and operations so clature, function, and a pictorial overview;
that the FAA can assess the adequacy of the (ii) Technical operating description includ-
hazard analysis. A launch operator must doc- ing text and figures describing how a sub-
ument each hazard analysis on hazard anal- system works and any safety features and
ysis forms as required by § J417.3(d) and file fault tolerance levels;
each system and operation descriptions as a (iii) Each safety critical parameter, includ-
separate volume of the report. ing those that demonstrate established sys-
(c) A ground safety analysis report must tem safety approaches that are not evident
include a table of contents and provide defi- in the technical operating description or fig-
nitions of any acronyms and unique terms ures, such as factors of safety for structures
used in the report. and pressure vessels;

821
Pt. 417, App. J 14 CFR Ch. III (1–1–19 Edition)
(iv) Each major component, including any or control a potential hazard not otherwise
part of a subsystem that must be technically addressed above.
described in order to understand the sub- (5) Flight safety system. A ground safety
system hazards. For a complex subsystem analysis report must describe each hazard of
such as a propulsion subsystem, the ground inadvertent actuation of the launch opera-
safety analysis report must provide a major- tor’s flight safety system, potential damage
ity of the detail of the subsystem including to the flight safety system during ground op-
any figures at the major component level erations, and each hazard control that the
such as tanks, engines and vents. The pres- launch operator will implement.
entation of figures in the report must (6) Hazardous materials. A ground safety
progress in detail from broad overviews to analysis report must:
narrowly focused figures. Each figure must (i) Identify each hazardous material used
have supporting text that explains what the in all the launch operator’s flight and ground
figure is intended to illustrate; systems, including the quantity and location
(v) Ground operations and interfaces in- of each material;
cluding interfaces with other launch vehicle
(ii) Contain a summary of the launch oper-
and launch site subsystems. A ground safety
ator’s approach for protecting the public
analysis report must identify a launch opera-
from toxic plumes, including the toxic con-
tor’s and launch site operator’s hazard con-
centration thresholds used to control public
trols for all operations that are potentially
exposure and a description of any related
hazardous to the public. The report must
contain facility figures that illustrate where local agreements;
hazardous operations take place and must (iii) Describe any toxic plume model used
identify all areas where controlled access is to protect public safety and contain any al-
employed as a hazard control; and gorithms used by the model; and
(vi) Hazard analysis summary of subsystem (iv) Include the products of the launch op-
hazards that identifies each specific hazard erator’s toxic release hazard analysis for
and the threat to public safety. This sum- launch processing as defined by section
mary must provide cross-references to the I417.7(m) of appendix I of this part for each
hazard analysis form required by paragraph launch that involves the use of any toxic
(d) of this section and indicate the nature of propellants.
the control, such as design margin, fault tol- (d) Hazard analysis. A ground safety anal-
erance, or procedure. ysis report must include a chapter con-
(3) Flight hardware. For each stage of a taining a hazard analysis of the launch vehi-
launch vehicle, a ground safety analysis re- cle and launch vehicle processing and inter-
port must identify all flight hardware sys- faces. The hazard analysis must identify
tems, using the following sectional format: each hazard and all hazard controls that the
(i) Structural and mechanical systems; launch operator will implement. A ground
(ii) Ordnance systems; safety analysis report must contain the re-
(iii) Propulsion and pressure systems; sults of the launch operator’s hazard anal-
(iv) Electrical and non-ionizing radiation ysis of each system, subsystem, and oper-
systems; and ation using a standardized format that in-
(v) Ionizing radiation sources and systems. cludes the items listed on the example haz-
(4) Ground hardware. A ground safety anal- ard analysis form provided in figure J417–1
ysis report must identify the launch opera- and that satisfies the following:
tor’s and launch site operator’s ground hard- (1) Introduction. A ground safety analysis
ware, including launch site and ground sup- report must contain an introduction that
port equipment, that contains hazardous en- serves as a roadmap and checklist to the
ergy or materials, or that can affect flight launch operator’s hazard analysis forms. A
hardware that contains hazardous energy or launch operator must identify all flight
materials. A launch operator must identify hardware, ground hardware, interfacing
all ground hardware by using the following hardware, and operations with a reference to
sectional format: where the items are discussed in the ground
(i) Structural and mechanical ground sup- safety analysis report. The introduction
port and checkout systems; must explain how a launch operator presents
(ii) Ordnance ground support and checkout its hazard analysis in terms of hazard identi-
systems; fication numbers as identified in figure J417–
(iii) Propulsion and pressure ground sup- 1.
port and checkout systems; (2) Analysis. A launch operator may present
(iv) Electrical and non-ionizing radiation each hazard on a separate form or consoli-
ground support and checkout systems; date hazards of a specific system, subsystem,
(v) Ionizing radiation ground support and component, or operation onto a single form.
checkout systems; There must be at least one form for each
(vi) Hazardous materials; and hazardous subsystem and each hazardous
(vii) Support and checkout systems and subsystem operation. A launch operator
any other safety equipment used to monitor must state which approach it has chosen in

822
Commercial Space Transportation, FAA, DOT § 420.1
the introduction to the hazard analysis sec- 420.43 Duration.
tion. A launch operator must track each 420.45 Transfer of a license to operate a
identified hazard control separately. launch site.
(3) Numbering. A launch operator must 420.47 License modification.
number each hazard analysis form with the 420.49 Compliance monitoring.
applicable system or subsystem identified. A
launch operator must number each line item Subpart D—Responsibilities of a Licensee
on a hazard analysis form with numbers and
letters provided for multiple entries against 420.51 Responsibilities—general.
an individual line item. A line item consists 420.53 Control of public access.
of a hardware or operation description and a 420.55 Scheduling of launch site operations.
hazard. 420.57 Notifications.
(4) Hazard analysis data. A hazard analysis 420.59 Launch site accident investigation
form must contain or reference all informa- plan.
tion necessary to understand the relation- 420.61 Records.
ship of a system, subsystem, component, or 420.63 Explosive siting.
operation with a hazard cause, control, and 420.65 Separation distance requirements for
verification. handling division 1.1 and 1.3 explosives.
(e) Hazard analysis supporting data. A 420.66 Separation distance requirements for
ground safety analysis report must include storage of hydrogen peroxide, hydrazine,
data that supports the hazard analysis. If and liquid hydrogen and any incompat-
such data does not fit onto the hazard anal- ible energetic liquids stored within an
ysis form, a launch operator must provide intraline distance.
the data in a supporting data chapter. This 420.67 Separation distance requirements for
chapter must contain a table of contents and handling incompatible energetic liquids
may reference other documents that contain that are co-located.
supporting data. 420.69 Separation distance requirements for
co-location of division 1.1 and 1.3 explo-
sives with liquid propellants.
PARTS 418–419 [RESERVED] 420.70 Separation distance measurement re-
quirements.
PART 420—LICENSE TO OPERATE A 420.71 Lightning protection.
LAUNCH SITE APPENDIX A TO PART 420—METHOD FOR DEFIN-
ING A F LIGHT C ORRIDOR
APPENDIX B TO PART 420—METHOD FOR DEFIN-
Subpart A—General ING A F LIGHT C ORRIDOR
Sec. APPENDIX C TO PART 420—RISK ANALYSIS
420.1 General. APPENDIX D TO PART 420—IMPACT DISPERSION
420.3 Applicability. A REAS AND CASUALTY E XPECTANCY ESTI-
420.5 Definitions. 420.6– MATE FOR AN U NGUIDED S UBORBITAL
420.14 [Reserved] LAUNCH VEHICLE
A PPENDIX E TO P ART 420—T ABLES FOR E XPLO-
Subpart B—Criteria and Information SIVE S ITE P LAN
Requirements for Obtaining a License AUTHORITY: 51 U.S.C. 50901–50923.
420.15 Information requirements. SOURCE: Docket No. FAA–1999–5833, 65 FR
420.17 Bases for issuance of a license. 62861, Oct. 19, 2000, unless otherwise noted.
420.19 Launch site location review—general.
420.21 Launch site location review—launch
site boundary.
Subpart A—General
420.23 Launch site location review—flight
corridor.
§ 420.1 General.
420.25 Launch site location review—risk (a) Scope. This part prescribes the in-
analysis. formation and demonstrations that
420.27 Launch site location review—infor- must be provided to the FAA as part of
mation requirements. a license application, the bases for li-
420.29 Launch site location review for
unproven launch vehicles.
cense approval, license terms and con-
420.30 Launch site location review for per- ditions, and post-licensing require-
mitted launch vehicles. ments with which a licensee shall com-
420.31 Agreements. ply to remain licensed. Requirements
420.32–420.40 [Reserved] for preparing a license application are
contained in part 413 of this sub-
Subpart C—License Terms and Conditions chapter.
420.41 License to operate a launch site—gen- (b) Equivalent level of safety. Each re-
eral. quirement of this part applies unless

823
§ 420.3 14 CFR Ch. III (1–1–19 Edition)
the applicant or licensee clearly and the ellipsoidal Earth model’s equa-
convincingly demonstrates that an al- torial plane. The G-axis is normal to
ternative approach provides an equiva- the EF-plane and positive directed
lent level of safety to the requirement through the north pole.
of this part. E,N,U coordinate system means an or-
[Doc. No. FAA–2016–6761, Amdt. No. 420–8, 83 thogonal, Earth-fixed, topocentric,
FR 28535, June 20, 2018] right-handed system. The origin of the
coordinate system is at a launch point.
§ 420.3 Applicability. The E-axis is positive directed east.
This part applies to any person seek- The N-axis is positive directed north.
ing a license to operate a launch site or The EN-plane is tangent to an ellip-
to a person licensed under this part. A soidal Earth model’s surface at the ori-
person operating a site that only sup- gin and perpendicular to the geodetic
ports amateur rocket activities as de- vertical. The U-axis is normal to the
fined in 14 CFR 1.1, does not need a li- EN-plane and positive directed away
cense under this part to operate the from the Earth.
site. Effective casualty area (Ac) means the
aggregate casualty area of each piece
[Doc. No. FAA–2007–27390, 73 FR 73782, Dec. 4,
2008]
of debris created by a launch vehicle
failure at a particular point on its tra-
§ 420.5 Definitions. jectory. The effective casualty area for
each piece of debris is the area within
For the purpose of this part. which 100 percent of the unprotected
Ballistic coefficient means the weight population on the ground are assumed
of an object divided by the quantity to be a casualty, and outside of which
product of the coefficient of drag of the
100 percent of the population are as-
object and the area of the object.
sumed not to be a casualty. An effec-
Compatibility means the chemical
tive casualty area accounts for the
property of materials that may be lo-
characteristics of the debris piece, in-
cated together without increasing the
cluding its size, the path angle of its
probability of an accident or, for a
trajectory, impact explosions, and de-
given quantity, the magnitude of the
bris skip, splatter, and bounce. An ef-
effects of such an accident.
fective casualty area also accounts for
Debris dispersion radius (Dmax) means
the size of a person.
the estimated maximum distance from
a launch point that debris travels given Energetic liquid means a liquid, slur-
a worst-case launch vehicle failure and ry, or gel, consisting of, or containing
flight termination early in flight. For an explosive, oxidizer, fuel, or com-
an expendable launch vehicle, flight bination of the above, that may under-
termination is assumed to occur at 10 go, contribute to, or cause rapid
seconds into flight. exothermic decomposition, deflagra-
Downrange area means a portion of a tion, or detonation.
flight corridor beginning where a Explosive means any chemical com-
launch area ends and ending 5,000 nau- pound or mechanical mixture that,
tical miles from the launch point, or when subjected to heat, impact, fric-
where the IIP leaves the surface of the tion, detonation or other suitable initi-
Earth, whichever is shorter, for an or- ation, undergoes a rapid chemical
bital launch vehicle; and ending with change that releases large volumes of
an impact dispersion area for a guided highly heated gases that exert pressure
sub-orbital launch vehicle. in the surrounding medium. The term
E,F,G coordinate system means an or- applies to materials that either deto-
thogonal, Earth-fixed, geocentric, right- nate or deflagrate.
handed system. The origin of the Explosive division means the division
coordinate system is at the center of within hazard class 1 of an explosive as
an ellipsoidal Earth model. The E-axis defined in the United Nations Organi-
is positive directed through the Green- zation classification system for trans-
wich meridian. The F-axis is positive port of dangerous goods, and as deter-
directed though 90 degrees east lon- mined in accordance with 49 CFR part
gitude. The EF-plane is coincident with 173, subpart C.

824
Commercial Space Transportation, FAA, DOT § 420.5
Explosive equivalent means a measure IIP may be calculated with or without
of the blast effects from explosion of a atmospheric drag effects.
given quantity of material expressed in Instantaneous impact point (IIP) range
terms of the weight of trinitrotoluene rate means a launch vehicle’s esti-
(TNT) that would produce the same mated IIP velocity along the Earth’s
blast effects when detonated. surface.
Explosive hazard facility means a fa- Intraline distance means the min-
cility or location at a launch site imum distance permitted between any
where solid propellants, energetic liq- two explosive hazard facilities in the
uids, or other explosives are stored or ownership, possession or control of one
handled.
launch site customer.
Flight azimuth means the initial di-
rection in which a launch vehicle flies Launch area means, for a flight cor-
relative to true north expressed in de- ridor defined in accordance with appen-
grees-decimal-degrees. dix A of this part, the portion of a
Flight corridor means an area on the flight corridor from the launch point to
Earth’s surface estimated to contain a point 100 nautical miles in the direc-
the hazardous debris from nominal tion of the flight azimuth. For a flight
flight of a launch vehicle, and non- corridor defined in accordance with ap-
nominal flight of a launch vehicle as- pendix B of this part, a launch area is
suming a perfectly functioning flight the portion of a flight corridor from
termination system or other flight the launch point to the enveloping line
safety system. enclosing the outer boundary of the
Guided suborbital launch vehicle means last debris dispersion circle.
a suborbital rocket that employs an ac- Launch point means a point on the
tive guidance system. Earth from which the flight of a launch
Hazard class means the class of an ex- vehicle begins, and is defined by its
plosive as defined by the United Na- geodetic latitude, longitude and height
tions Organization classification sys- on an ellipsoidal Earth model.
tem for transport of dangerous goods, Launch site accident means an un-
and as determined in accordance with planned event occurring during a
49 CFR part 173, subpart C. ground activity at a launch site result-
Impact dispersion area means an area ing in a fatality or serious injury (as
representing an estimated three stand- defined in 49 CFR 830.2) to any person
ard deviation dispersion about a nomi- who is not associated with the activity,
nal impact point of an intermediate or or any damage estimated to exceed
final stage of a suborbital launch vehi- $25,000 to property not associated with
cle. the activity.
Impact dispersion factor means a con- Liquid propellant means:
stant used to estimate, using a stage (1) A monopropellant on a launch ve-
apogee, a three standard deviation dis-
hicle or related device; or
persion about a nominal impact point
of an intermediate or final stage of a (2) Incompatible energetic liquids co-
suborbital launch vehicle. located for purposes of serving as pro-
Impact dispersion radius (Ri) means a pellants on a launch vehicle or a re-
radius that defines an impact disper- lated device where the incompatible
sion area. energetic liquids are housed in tanks
Impact range means the distance be- connected by piping for purposes of
tween a launch point and the impact mixing.
point of a suborbital launch vehicle Maximum credible event means a hy-
stage. pothesized worst-case accidental explo-
Impact range factor means a constant sion, fire, or agent release that is like-
used to estimate, when multiplied by a ly to occur from a given quantity and
stage apogee, the nominal impact point disposition of explosives, chemical
of an intermediate or final stage of a agents, or reactive material.
suborbital launch vehicle. Net explosive weight (NEW) means the
Instantaneous impact point (IIP) total weight, expressed in pounds, of
means an impact point, following explosive material or explosive equiva-
thrust termination of a launch vehicle. lency contained in an item.

825
§§ 420.6–420.14 14 CFR Ch. III (1–1–19 Edition)
Nominal means, in reference to Public traffic route means any high-
launch vehicle performance, trajec- way or railroad that the general public
tory, or stage impact point, a launch may use.
vehicle flight where all launch vehicle Public traffic route distance means the
aerodynamic parameters are as ex- minimum distance permitted between
pected, all vehicle internal and exter- a public highway or railroad line and
nal systems perform as planned, and an explosive hazard facility.
there are no external perturbing influ- Trajectory means the position and ve-
ences (e.g., winds) other than atmos- locity components as a function of
time of a launch vehicle relative to an
pheric drag and gravity.
x, y, z coordinate system, expressed in
Overflight dwell time means the period x, y, z, ẋ , ẏ , ż.
of time it takes for a launch vehicle’s Unguided sub-orbital launch vehicle
IIP to move past a populated area. For means a sub-orbital rocket that does
a given populated area, the overflight not have a guidance system.
dwell time is the time period measured X, Y, Z coordinate system means an or-
along the nominal trajectory IIP thogonal, Earth-fixed, topocentric,
ground trace from the time point right-handed system. The origin of the
whose normal with the trajectory coordinate system is at a launch point.
intersects the most uprange part of the The x-axis coincides with the initial
populated area to the time point whose launch azimuth and is positive in the
normal with the trajectory intersects downrange direction. The y-axis is
the most downrange part of the popu- positive to the left looking downrange.
lated area. The xy-plane is tangent to the ellip-
Overflight exclusion zone means a por- soidal earth model’s surface at the ori-
tion of a flight corridor which must re- gin and perpendicular to the geodetic
main clear of the public during the vertical. The z-axis is normal to the
flight of a launch vehicle. xy-plane and positive directed away
Populated area means a land area from the earth.
with population. j0, 0, h0 means a latitude, longitude,
height system where j0 is the geodetic
Population density means the number
of people per unit area in a populated latitude of a launch point, 0 is the east
longitude of the launch point, and h0 is
area.
the height of the launch point above
Position data means data referring to
the reference ellipsoid. j0 and 0 are ex-
the current position of a launch vehicle
pressed in degrees-decimal-degrees.
with respect to flight time expressed
through the X, Y, Z coordinate system. [Doc. No. FAA–1999–5833, 65 FR 62861, Oct. 19,
Public means people and property 2000, as amended by Amdt. 420–3, 72 FR 17019,
Apr. 6, 2007; Amdt. 420–6, 77 FR 55113, Sept. 7,
that are not involved in supporting a 2012]
licensed or permitted launch, and in-
cludes those people and property that §§ 420.6–420.14 [Reserved]
may be located within the boundary of
a launch site, such as visitors, any in- Subpart B—Criteria and Informa-
dividual providing goods or services tion Requirements for Obtain-
not related to launch processing or
flight, and any other launch operator
ing a License
and its personnel. § 420.15 Information requirements.
Public area means any area outside a (a) General—(1) Launch site operator.
hazard area and is an area that is not An applicant shall identify the name
in the possession, ownership or other and address of the applicant, and the
control of a launch site operator or of name, address, and telephone number
a launch site customer who possesses, of any person to whom inquiries and
owns or otherwise controls that hazard correspondence should be directed.
area. (2) Launch site. An applicant shall
Public area distance means the min- provide the name and location of the
imum distance permitted between a proposed launch site and include the
public area and an explosive hazard fa- following information:
cility. (i) A list of downrange equipment;

826
Commercial Space Transportation, FAA, DOT § 420.19
(ii) A description of the layout of the by the federal launch range to comply
launch site, including launch points; with the federal launch range’s explo-
(iii) The types of launch vehicles to sive safety requirements, the applicant
be supported at each launch point; shall submit the explosive site plan
(iv) The range of launch azimuths submitted to the federal launch range.
planned from each launch point; and (e) Launch site operations. An appli-
(v) The scheduled operational date. cant shall provide the information nec-
(3) Foreign ownership. Identify foreign essary to demonstrate compliance with
ownership of the applicant, as follows: the requirements of §§ 420.53, 420.55,
(i) For a sole proprietorship or part- 420.57, 420.59, 420.61, and 420.71.
nership, all foreign owners or partners;
(ii) For a corporation, any foreign § 420.17 Bases for issuance of a license.
ownership interest of 10 percent or (a) The FAA will issue a license
more; and under this part when the FAA deter-
(iii) For a joint venture, association, mines that:
or other entity, any foreign entities (1) The application provides the in-
participating in the entity. formation required by § 420.15;
(b) Environmental. An applicant shall (2) The FAA has completed an anal-
provide the FAA with information for ysis of the environmental impacts as-
the FAA to analyze the environmental sociated with the proposed operation of
impacts associated with the operation the launch site, in accordance with
of the proposed launch site. The infor- NEPA, 40 CFR parts 1500–1508, and FAA
mation provided by an applicant must Order 1050.1D;
be sufficient to enable the FAA to com- (3) The launch site location meets
ply with the requirements of the Na- the requirements of §§ 420.19, 420.21,
tional Environment Policy Act, 42 420.23, 420.25, 420.27, and 420.29;
U.S.C. 4321 et seq. (NEPA), the Council (4) The applicant has completed the
on Environmental Quality Regulations agreements required by § 420.31;
for Implementing the Procedural Pro- (5) The application demonstrates
visions of NEPA, 40 CFR parts 1500– that the applicant shall satisfy the re-
1508, and the FAA’s Procedures for Con- quirements of §§ 420.53, 420.55, 420.57,
sidering Environmental Impacts, FAA 420.59, 420.61 and 420.71;
Order 1050.1D. An applicant shall sub- (6) The explosive site plan meets the
mit environmental information con- criteria of §§ 420.63, 420.65, 420.67 and
cerning a proposed launch site not cov- 420.69; and
ered by existing environmental docu- (7) Issuing a license would not jeop-
mentation, and other factors as deter- ardize foreign policy or national secu-
mined by the FAA. rity interests of the United States.
(c) Launch site location. (1) Except as (b) The FAA advises an applicant, in
provided by paragraph (c)(2) of this sec- writing, of any issue arising during an
tion, an applicant shall provide the in- application review that would lead to
formation necessary to demonstrate denial. The applicant may respond in
compliance with §§ 420.19–420.29. writing, submit additional informa-
(2) An applicant who is proposing to tion, or amend its license application.
locate a launch site at an existing
launch point at a federal launch range § 420.19 Launch site location review—
is not required to comply with para- general.
graph (c)(1) of this section if a launch (a) To gain approval for a launch site
vehicle of the same type and class as location, an applicant shall dem-
proposed for the launch point has been onstrate that for each launch point
safely launched from the launch point. proposed for the launch site, at least
(d) Explosive site plan. (1) Except as one type of expendable or reusable
provided by paragraph (d)(2) of this sec- launch vehicle can be flown from the
tion, an applicant shall submit an ex- launch point safely. For purposes of
plosive site plan that complies with the launch site location review:
§§ 420.63, 420.65, 420.67, and 420.69. (1) A safe launch must possess a risk
(2) If an applicant plans to operate a level estimated, in accordance with the
launch site located on a federal launch requirements of this part, not to ex-
range, and if the applicant is required ceed an expected number of 1  10¥ 4

827
§ 420.21 14 CFR Ch. III (1–1–19 Edition)
casualties (Ec) to the collective mem- flown from a launch point, the appli-
bers of the public exposed to hazards cant shall demonstrate that each type
from the flight. of expendable or reusable launch vehi-
(2) Types of launch vehicles include cle planned to be flown from the launch
orbital expendable launch vehicles, point can be flown from the launch
guided sub-orbital expendable launch point safely.
vehicles, unguided sub-orbital expend- (c) If an applicant proposes to have
able launch vehicles, and reusable more than one weight class of orbital
launch vehicles. Orbital expendable
expendable launch vehicles flown from
launch vehicles are further classified
a launch point, the applicant shall
by weight class, based on the weight of
demonstrate that the heaviest weight
payload the launch vehicle can place in
a 100-nm orbit, as defined in table 1. class planned to be flown from the
(b) If an applicant proposes to have launch point can be flown from the
more than one type of launch vehicle launch point safely.

TABLE 1 OF § 420.19—ORBITAL EXPENDABLE LAUNCH VEHICLE CLASSES BY PAYLOAD W EIGHT (LBS)

Weight class
100 nm orbit
Small Medium Medium large Large

28 degrees inclination * ......................................... 4400 >4400 to 11100 >11100 to >18500

18500
90 degrees inclination ........................................... 3300 >3300 to 8400 >8400 to 15000 >15000
* 28 degrees inclination orbit from a launch point at 28 degrees latitude.

[Docket No. FAA–1999–5833, 65 FR 62861, Oct. cant shall use the largest distance pro-
19, 2000, as amended by Docket No. FAA– vided by table 2 for the type and weight
2014–0418, Amdt. No. 420–7, 81 FR 47026, July
class of any launch vehicle proposed for
20, 2016]
the launch point.
§ 420.21 Launch site location review— (c) For a launch site supporting any
launch site boundary. reusable launch vehicle, an applicant
(a) The distance from any proposed shall determine the debris dispersion
launch point to the closest launch site radius that represents the maximum
boundary must be at least as great as distance from a launch point that de-
the debris dispersion radius of the larg- bris travels given a worst-case launch
est launch vehicle type and weight vehicle failure in the launch area. An
class proposed for the launch point. applicant must clearly and convinc-
(b) For a launch site supporting any ingly demonstrate the validity of its
expendable launch vehicle, an appli- proposed debris dispersion radius.
TABLE 2 OF § 420.21—MINIMUM DISTANCE FROM LAUNCH POINT TO LAUNCH SITE BOUNDARY (FEET)
Orbital expendable launch vehicle class Type of suborbital launch vehicle

Small Medium Medium large Large Guided Unguided

7300 9300 10600 13000 8000 1600

§ 420.23 Launch site location review— of 3 pounds per square foot, from any
flight corridor. non-nominal flight of a guided orbital
(a) Guided orbital expendable launch expendable launch vehicle from the
vehicle. For a guided orbital expendable launch point to a point 5000 nm
launch vehicle, an applicant shall de- downrange, or where the IIP leaves the
fine a flight corridor that: surface of the Earth, whichever is
(1) Encompasses an area that the ap- shorter;
plicant estimates, in accordance with (2) Includes an overflight exclusion
the requirements of this part, to con- zone where the public risk criteria of 1
tain debris with a ballistic coefficient

828
Commercial Space Transportation, FAA, DOT § 420.27
 10¥ 4 would be exceeded if one person demonstration of the validity of its
were present in the open; and flight corridor.
(3) Uses one of the methodologies [Docket No. FAA–1999–5833, 65 FR 62861, Oct.
provided in appendix A or B of this 19, 2000, as amended by Docket No. FAA–
part. 2014–0418, Amdt. No. 420–7, 81 FR 47026, July
(b) Guided sub-orbital expendable 20, 2016; Doc. No. FAA–2016–6761, Amdt. No.
launch vehicle. For a guided sub-orbital 420–8, 83 FR 28535, June 20, 2018]
expendable launch vehicle, an appli-
cant shall define a flight corridor that: § 420.25 Launch site location review—
risk analysis.
(1) Encompasses an area that the ap-
plicant estimates, in accordance with (a) If a flight corridor or impact dis-
the requirements of this part, to con- persion area defined by § 420.23 contains
tain debris with a ballistic coefficient a populated area, the applicant shall
of 3 pounds per square foot, from any estimate the casualty expectation as-
non-nominal flight of a guided sub-or- sociated with the flight corridor or im-
bital expendable launch vehicle from pact dispersion area. An applicant shall
the launch point to impact with the use the methodology provided in ap-
earth’s surface; pendix C to this part for guided orbital
(2) Includes an impact dispersion area or suborbital expendable launch vehi-
for the launch vehicle’s last stage; cles and appendix D for unguided sub-
orbital launch vehicles.
(3) Includes an overflight exclusion
(b) For licensed launches, the FAA
zone where the public risk criteria of 1
will not approve the location of the
 10¥ 4 would be exceeded if one person
proposed launch point if the estimated
were present in the open; and
expected casualty exceeds 1 10¥ 4.
(4) Uses one of the methodologies
provided in appendix A or B to this [Doc. No. FAA–1999–5833, 65 FR 62861, Oct. 19,
part. 2000, as amended by Amdt. 420–3, 72 FR 17019,
Apr. 6, 2007; Docket No. FAA–2014–0418,
(c) Unguided sub-orbital expendable Amdt. No. 420–7, 81 FR 47027, July 20, 2016;
launch vehicle. (1) For an unguided sub- Doc. No. FAA–2016–6761, Amdt. No. 420–8, 83
orbital expendable launch vehicle, an FR 28535, June 20, 2018]
applicant shall define the following
using the methodology provided by ap- § 420.27 Launch site location review—
pendix D of this part: information requirements.
(i) Impact dispersion areas that the An applicant shall provide the fol-
applicant estimates, in accordance lowing launch site location review in-
with the requirements of this part, to formation in its application:
contain the impact of launch vehicle (a) A map or maps showing the loca-
stages from nominal flight of an tion of each launch point proposed, and
unguided sub-orbital expendable the flight azimuth, IIP, flight corridor,
launch vehicle from the launch point and each impact range and impact dis-
to impact with the earth’s surface; and persion area for each launch point;
(ii) An overflight exclusion zone (b) Each launch vehicle type and any
where the public risk criteria of 1  launch vehicle class proposed for each
10¥ 4 would be exceeded if one person launch point;
were present in the open. (c) Trajectory data;
(2) An applicant shall base its anal- (d) Wind data, including each month
ysis on an unguided suborbital launch and any percent wind data used in the
vehicle whose final launch vehicle analysis;
stage apogee represents the intended (e) Any launch vehicle apogee used in
use of the launch point. the analysis;
(d) Reusable launch vehicle. For a re- (f) Each populated area located with-
usable launch vehicle, an applicant in a flight corridor or impact disper-
shall define a flight corridor that con- sion area;
tains the hazardous debris from nomi- (g) The estimated casualty expect-
nal and non-nominal flight of a reus- ancy calculated for each populated
able launch vehicle. The applicant area within a flight corridor or impact
must provide a clear and convincing dispersion area;

829
§ 420.29 14 CFR Ch. III (1–1–19 Edition)
(h) The effective casualty areas used (c) An applicant that plans to operate
in the analysis; a launch site located on a federal
(i) The estimated casualty expect- launch range does not have to comply
ancy for each flight corridor or set of with section 420.31 if the applicant is
impact dispersion areas; and using existing federal launch range
(j) If populated areas are located agreements with the U.S. Coast Guard
within an overflight exclusion zone, a and the FAA ATC office having juris-
demonstration that there are times diction over the airspace through
when the public is not present or that which launches will take place.
the applicant has an agreement in
place to evacuate the public from the §§ 420.32–420.40 [Reserved]
overflight exclusion zone during a
launch. Subpart C—License Terms and
§ 420.29 Launch site location review Conditions
for unproven launch vehicles.
§ 420.41 License to operate a launch
An applicant for a license to operate site—general.
a launch site for an unproven launch
(a) A license to operate a launch site
vehicle shall provide a clear and con-
vincing demonstration that its pro- authorizes a licensee to operate a
posed launch site location provides an launch site in accordance with the rep-
equivalent level of safety to that re- resentations contained in the licensee’s
quired by this part. application, with terms and conditions
contained in any license order accom-
§ 420.30 Launch site location review panying the license, and subject to the
for permitted launch vehicles. licensee’s compliance with 51 U.S.C.
If an applicant plans to use its pro- Subtitle V, chapter 509 and this chap-
posed launch site solely for launches ter.
conducted under an experimental per- (b) A license to operate a launch site
mit, the FAA will approve a launch authorizes a licensee to offer its launch
site location if the FAA has approved site to a launch operator for each
an operating area under part 437 for launch point for the type and any
launches from that site. weight class of launch vehicle identi-
fied in the license application and upon
[Doc. No. FAA–2006–24197, 72 FR 17019, Apr. 6, which the licensing determination is
2007]
based.
§ 420.31 Agreements. (c) Issuance of a license to operate a
launch site does not relieve a licensee
(a) Except as provided by paragraph of its obligation to comply with any
(c) of this section, an applicant shall other laws or regulations; nor does it
complete an agreement with the local confer any proprietary, property, or ex-
U.S. Coast Guard district to establish clusive right in the use of airspace or
procedures for the issuance of a Notice outer space.
to Mariners prior to a launch and other
such measures as the Coast Guard [Doc. No. FAA–1999–5833, 65 FR 62861, Oct. 19,
deems necessary to protect public 2000, as amended by Amdt. 420–5, 77 FR 20533,
health and safety. Apr. 5, 2012]
(b) Except as provided by paragraph
§ 420.43 Duration.
(c) of this section, an applicant shall
complete an agreement with the FAA A license to operate a launch site re-
Air Traffic Control (ATC) office having mains in effect for five years from the
jurisdiction over the airspace through date of issuance unless surrendered,
which launches will take place, to es- suspended, or revoked before the expi-
tablish procedures for the issuance of a ration of the term and is renewable
Notice to Airmen prior to a launch and upon application by the licensee.
for closing of air routes during the
launch window and other such meas- § 420.45 Transfer of a license to oper-
ures as the FAA ATC office deems nec- ate a launch site.
essary to protect public health and (a) Only the FAA may transfer a li-
safety. cense to operate a launch site.

830
Commercial Space Transportation, FAA, DOT § 420.55
(b) The FAA will transfer a license to the licensee, its customers, its contrac-
an applicant who has submitted an ap- tors, or subcontractors, associated
plication in accordance with 14 CFR with licensed operation of the licens-
part 413, satisfied the requirements of ee’s launch site.
§ 420.15, and obtained each approval re-
quired by § 420.17 for a license. Subpart D—Responsibilities of a
(c) The FAA may incorporate by ref-
erence any findings made part of the
Licensee
record that supported a prior related li- § 420.51 Responsibilities—general.
censing determination.
(a) A licensee shall operate its launch
§ 420.47 License modification. site in accordance with the representa-
(a) Upon application or upon its own tions in the application upon which the
initiative, the FAA may modify a li- licensing determination is based.
cense to operate a launch site at any (b) A licensee is responsible for com-
time by issuing a license order that pliance with 51 U.S.C. Subtitle V, chap-
adds, removes, or modifies a license ter 509 and for meeting the require-
term or condition to ensure compliance ments of this chapter.
with the Act and the requirements of [Doc. No. FAA–1999–5833, 65 FR 62861, Oct. 19,
this chapter. 2000, as amended by Amdt. 420–5, 77 FR 20533,
(b) After a license to operate a Apr. 5, 2012]
launch site has been issued, a licensee
shall apply to the FAA for modifica- § 420.53 Control of public access.
tion of its license if:
(a) A licensee shall prevent unauthor-
(1) The licensee proposes to operate
ized access to the launch site, and un-
the launch site in a manner that is not
authorized, unescorted access to explo-
authorized by the license; or
sive hazard facilities or other hazard
(2) The licensee proposes to operate
areas not otherwise controlled by a
the launch site in a manner that would
launch operator, through the use of se-
make any representation contained in
curity personnel, surveillance systems,
the license application that is material
to public health and safety or safety of physical barriers, or other means ap-
property no longer accurate and com- proved as part of the licensing process.
plete. (b) A licensee shall notify anyone en-
(c) An application to modify a license tering the launch site of safety rules
shall be prepared and submitted in ac- and emergency and evacuation proce-
cordance with part 413 of this chapter. dures prior to that person’s entry un-
The licensee shall indicate any part of less that person has received a briefing
its license or license application that on those rules and procedures within
would be changed or affected by a pro- the previous year.
posed modification. (c) A licensee shall employ warning
(d) The FAA approves a modification signals or alarms to notify any persons
request that satisfies the requirements at the launch site of any emergency.
of this part.
(e) Upon approval of a license modi- § 420.55 Scheduling of launch site op-
erations.
fication, the FAA issues either a writ-
ten approval to the licensee or a li- (a) A licensee shall develop and im-
cense order modifying the license if a plement procedures to schedule oper-
stated term or condition of the license ations to ensure that each operation
is changed, added, or deleted. A written carried out by a customer at the
approval has the full force and effect of launch site does not create the poten-
a license order and is part of the licens- tial for a mishap that could result in
ing record. harm to the public because of the prox-
imity of the operations, in time or
§ 420.49 Compliance monitoring. place, to operations of any other cus-
A licensee shall allow access by and tomer. A customer includes any launch
cooperate with federal officers or em- operator, and any contractor, subcon-
ployees or other individuals authorized tractor or customer of the launch site
by the FAA to observe any activities of operator’s customer at the launch site.

831
§ 420.57 14 CFR Ch. III (1–1–19 Edition)
(b) A licensee shall provide its launch (iii) Description of the event;
site scheduling requirements to each (iv) Number of injuries, if any, and
customer before the customer begins general description of types of injuries
operations at the launch site. suffered;
(v) Property damage, if any, and an
§ 420.57 Notifications.
estimate of its value;
(a) A licensee shall notify each (vi) Identification of hazardous mate-
launch operator and any other cus- rials, as defined by § 401.5 of this chap-
tomer of any limitations on the use of ter, involved in the event;
the launch site. A licensee shall also (vii) Any action taken to contain the
communicate limitations on the use of
consequences of the event; and
facilities provided to customers by the
launch site operator. (viii) Weather conditions at the time
(b) A licensee shall maintain its of the event.
agreement, made in accordance with (c) Response plan. A launch site acci-
§ 420.31(a), with the local U.S. Coast dent investigation plan shall contain
Guard district. procedures that—
(c) A licensee shall maintain its (1) Ensure the consequences of a
agreement, made in accordance with launch site accident are contained and
§ 420.31(b), with the FAA ATC office minimized;
having jurisdiction over the airspace (2) Ensure data and physical evidence
through which launches will take are preserved;
place. (3) Require the licensee to report to
(d) At least two days prior to flight and cooperate with FAA or National
of a launch vehicle, the licensee shall Transportation Safety Board (NTSB)
notify local officials and all owners of investigations and designate one or
land adjacent to the launch site of the more points of contact for the FAA or
flight schedule. NTSB; and
§ 420.59 Launch site accident inves- (4) Require the licensee to identify
tigation plan. and adopt preventive measures for
(a) General. A licensee shall develop avoiding recurrence of the event.
and implement a launch site accident (d) Investigation plan. A launch site
investigation plan that contains the li- accident investigation plan must con-
censee’s procedures for reporting, re- tain—
sponding to, and investigating launch (1) Procedures for investigating the
site accidents, as defined by § 420.5, and cause of a launch site accident;
for cooperating with federal officials in (2) Procedures for reporting launch
case of a launch accident. The launch site accident investigation results to
site accident investigation plan must the FAA; and
be signed by an individual authorized (3) Delineated responsibilities, in-
to sign and certify the application in cluding reporting responsibilities for
accordance with § 413.7(c) of this chap- personnel assigned to conduct inves-
ter. tigations and for any one retained by
(b) Reporting requirements. A launch the licensee to conduct or participate
site accident investigation plan shall in investigations.
provide for— (e) Launch accidents. A launch site
(1) Immediate notification to the
accident investigation plan shall con-
Federal Aviation Administration (FAA)
tain—
Washington Operations Center in the
event of a launch site accident. (1) Procedures for participating in an
(2) Submission of a written prelimi- investigation of a launch accident for
nary report to the FAA, Associate Ad- launches launched from the launch
ministrator for Commercial Space site;
Transportation, within five days of any (2) Require the licensee to cooperate
launch site accident. The report must with FAA or National Transportation
include the following information: Safety Board (NTSB) investigations of
(i) Date and time of occurrence; a launch accident for launches
(ii) Location of the event; launched from the launch site.

832
Commercial Space Transportation, FAA, DOT § 420.65
(f) Applicability of other accident inves- tances and structural relationships sat-
tigation procedures. Accident investiga- isfy the requirements of this part.
tion procedures developed in accord- (b) A licensee operating a launch site
ance with 29 CFR 1910.119 and 40 CFR located on a federal launch range does
part 68 will satisfy the requirements of not have to comply with the require-
paragraphs (c) and (d) of this section to ments in §§ 420.65 through 420.70 if the
the extent that they include the ele- licensee complies with the federal
ments required by paragraphs (c) and launch range’s explosive safety re-
(d) of this section. quirements.
(c) For explosive siting issues not ad-
§ 420.61 Records. dressed by the requirements of §§ 420.65
(a) A licensee shall maintain all through 420.70, a launch site operator
records, data, and other material need- must clearly and convincingly dem-
ed to verify that its operations are con- onstrate a level of safety equivalent to
ducted in accordance with representa- that otherwise required by this part.
tions contained in the licensee’s appli- (d) A launch site operator may sepa-
cation. A licensee shall retain records rate an explosive hazard facility from
for three years. another explosive hazard facility, pub-
(b) In the event of a launch or launch lic area, or public traffic route by a dis-
site accident, a licensee shall preserve tance different from one required by
all records related to the event. this part only if the launch site oper-
Records shall be retained until comple- ator clearly and convincingly dem-
tion of any federal investigation and onstrates a level of safety equivalent
the FAA advises the licensee that the to that required by this part.
records need not be retained. [Doc. No. FAA–2011–0105, 77 FR 55113, Sept. 7,
(c) A licensee shall make available to 2012]
federal officials for inspection and
copying all records required to be § 420.65 Separation distance require-
maintained under the regulations. ments for handling division 1.1 and
1.3 explosives.
§ 420.63 Explosive siting.
(a) Quantity. For each explosive haz-
(a) Except as otherwise provided by ard facility, a launch site operator
paragraph (b) of this section, a licensee must determine the total quantity of
must ensure the configuration of the division 1.1 and 1.3 explosives as fol-
launch site follows its explosive site lows:
plan, and the licensee’s explosive site (1) A launch site operator must deter-
plan complies with the requirements of mine the maximum total quantity of
§§ 420.65 through 420.70. The explosive division 1.1 and 1.3 explosives by class
site plan must include: and division, in accordance with 49
(1) A scaled map that shows the loca- CFR part 173, Subpart C, to be located
tion of all explosive hazard facilities at in each explosive hazard facility where
the launch site and that shows actual division 1.1 and 1.3 explosives will be
and minimal allowable distances be- handled.
tween each explosive hazard facility (2) When division 1.1 and 1.3 explo-
and all other explosive hazard facili- sives are located in the same explosive
ties, each public traffic route, and each hazard facility, the total quantity of
public area, including the launch site explosive must be treated as division
boundary; 1.1 for determining separation dis-
(2) A list of the maximum quantity of tances; or, a launch site operator may
energetic liquids, solid propellants and add the net explosive weight of the di-
other explosives to be located at each vision 1.3 items to the net explosive
explosive hazard facility, including ex- weight of division 1.1 items to deter-
plosive class and division; mine the total quantity of explosives.
(3) A description of each activity to (b) Separation of division 1.1 and 1.3 ex-
be conducted at each explosive hazard plosives and determination of distances. A
facility; and launch site operator must separate
(4) An explosive site map using a each explosive hazard facility where di-
scale sufficient to show whether dis- vision 1.1 and 1.3 explosives are handled

833
§ 420.66 14 CFR Ch. III (1–1–19 Edition)
from all other explosive hazard facili- § 420.66 Separation distance require-
ties, all public traffic routes, and each ments for storage of hydrogen per-
public area, including the launch site oxide, hydrazine, and liquid hydro-
boundary, by a distance no less than gen and any incompatible energetic
that provided for each quantity and ex- liquids stored within an intraline
plosive division in appendix E of this distance.
part as follows: (a) Separation of energetic liquids and
(1) For division 1.1 explosives, the determination of distances. A launch site
launch site operator must use tables E– operator must separate each explosive
1, E–2, and E–3 of appendix E of this hazard facility from each other explo-
part to determine the distance to each sive hazard facility, each public area,
public area and public traffic route, and each public traffic route in accord-
and to determine each intraline dis- ance with the minimum separation dis-
tance. tance determined under this section for
(2) For division 1.3 explosives, the each explosive hazard facility storing:
launch site operator must use table E– (1) Hydrogen peroxide in concentra-
4 of appendix E of this part to deter- tions of greater than 91 percent;
mine the distance to each public area (2) Hydrazine;
and public traffic route, and to deter- (3) Liquid hydrogen; or
mine each intraline distance.
(4) Any energetic liquid that is:
(c) Separation distance by weight and
table. A launch site operator must: (i) Incompatible with any of the ener-
(1) Employ no less than the public getic liquids of paragraph (a)(1)
area distance, calculated under para- through (3) of this section; and
graph (b) of this section, to separate an (ii) Stored within an intraline dis-
explosive hazard facility from each tance of any of them.
public area, including the launch site (b) Quantity. For each explosive haz-
boundary. ard facility, a launch site operator
(2) Employ no less than an intraline must determine the total quantity of
distance to separate an explosive haz- all energetic liquids in paragraph (a)(1)
ard facility from all other explosive through (4) of this section as follows:
hazard facilities used by a single cus- (1) The quantity of energetic liquid in
tomer. For explosive hazard facilities a tank, drum, cylinder, or other con-
used by different customers a launch tainer is the net weight in pounds of
site operator must use the greater pub- the energetic liquid in the container.
lic area distance to separate the facili- The determination of quantity must
ties from each other. include any energetic liquid in associ-
(3) Separate each public area con- ated piping to any point where positive
taining any member of the public in means exist for:
the open by a distance equal to ¥ 1133.9 (i) Interrupting the flow through the
+ [389 *ln(NEW)], where the NEW is pipe, or
greater than 450 pounds and less than (ii) Interrupting a reaction in the
501,500 pounds. pipe in the event of a mishap.
(d) NEW Quantities that Fall between (2) A launch site operator must con-
Table Entries. A launch site operator vert the quantity of each energetic liq-
must, when determining a separation uid from gallons to pounds using the
distance for NEW quantities that fall conversion factors provided in table E–
between table entries, use the equation 6 of appendix E of this part and the fol-
provided by tables E–1, E–3, or E–4 of lowing equation:
appendix E of this part.
(e) Calculating Maximum Permissible Pounds of energetic liquid = gallons 
NEW Given a Distance. A launch site op- density of energetic liquid (pounds
erator must, when determining a permis- per gallon).
sible quantity of explosives, calculate (3) Where two or more containers of
maximum permissible NEW using the compatible energetic liquids are stored
equation of tables E–1, E–3, or E–4 of in the same explosive hazard facility,
appendix E of this part. the total quantity of energetic liquids
[Doc. No. FAA–2011–0105, 77 FR 55114, Sept. 7, is the total quantity of energetic liq-
2012] uids in all containers, unless:

834
Commercial Space Transportation, FAA, DOT § 420.67
(i) The containers are each separated the combined incompatible energetic
from each other by the distance re- liquids. A launch site operator must
quired by paragraph (c) of this section; then use the explosive equivalent in
or pounds requiring the greatest separa-
(ii) The containers are subdivided by tion distance to determine the min-
intervening barriers that prevent mix- imum separation distance between
ing, such as diking. each explosive hazard facility and all
(4) Where two or more containers of other explosive hazard facilities and
incompatible energetic liquids are each public area and public traffic
stored within an intraline distance of route as required by tables E–1, E–2 and
each other, paragraph (d) of this sec- E–3 of appendix E of this part.
tion applies. [Doc. No. FAA–2011–0105, 77 FR 55114, Sept. 7,
(c) Determination of separation dis- 2012]
tances for compatible energetic liquids. A
launch site operator must determine § 420.67 Separation distance require-
separation distances for compatible en- ments for handling incompatible
ergetic liquids as follows: energetic liquids that are co-lo-
cated.
(1) To determine each intraline, pub-
lic area, and public traffic route dis- (a) Separation of energetic liquids and
tance, a launch site operator must use determination of distances. Where incom-
the following tables in appendix E of patible energetic liquids are co-located
this part: in a launch or reentry vehicle tank or
(i) Table E–7 for hydrogen peroxide in other vessel, a launch site operator
concentrations of greater than 91 per- must separate each explosive hazard fa-
cent; and cility from each other explosive hazard
(ii) Table E–8 for hydrazine and liquid facility, each public area, and each
hydrogen. public traffic route in accordance with
(2) For liquid hydrogen and hydra- the minimum separation distance de-
zine, a launch site operator must use termined under this section for each
the ‘‘intraline distance to compatible explosive hazard facility.
energetic liquids’’ for the energetic liq- (b) Quantity. For each explosive haz-
uid that requires the greater distance ard facility, a launch site operator
under table E–8 of appendix E of this must determine the total quantity of
part as the minimum separation dis- all energetic liquids as follows:
tance between compatible energetic (1) The quantity of energetic liquid in
liquids. a launch or reentry vehicle tank is the
(d) Determination of separation dis- net weight in pounds of the energetic
tances for incompatible energetic liquids. liquid. The determination of quantity
If incompatible energetic liquids are must include any energetic liquid in
stored within an intraline distance of associated piping to any point where
each other, a launch site operator must positive means exist for:
determine the explosive equivalent in (i) Interrupting the flow through the
pounds of the combined liquids as pro- pipe; or
vided by paragraph (d)(2) of this section (ii) Interrupting a reaction in the
unless intervening barriers prevent pipe in the event of a mishap.
mixing. (2) A launch site operator must con-
(1) If intervening barriers prevent vert each energetic liquid’s quantity
mixing, a launch site operator must from gallons to pounds using the con-
separate the incompatible energetic version factors provided by table E–6 of
liquids by no less than the intraline appendix E of this part and the fol-
distance that tables E–7 and E–8 of ap- lowing equation:
pendix E of this part apply to compat- Pounds of energetic liquid = gallons 
ible energetic liquids using the quan- density of energetic liquid (pounds
tity or energetic liquid requiring the per gallon).
greater separation distance. (c) Determination of separation dis-
(2) A launch site operator must use tances for incompatible energetic liquids.
the formulas provided in table E–5 of A launch site operator must determine
appendix E of this part, to determine separation distances for incompatible
the explosive equivalent in pounds of energetic liquids as follows:

835
§ 420.69 14 CFR Ch. III (1–1–19 Edition)
(1) A launch site operator must use § 420.69 Separation distance require-
the formulas provided in table E–5 of ments for co-location of division 1.1
appendix E of this part, to determine and 1.3 explosives with liquid pro-
the explosive equivalent in pounds of pellants.
the combined incompatible energetic (a) Separation of energetic liquids and
liquids; and explosives and determination of distances.
(2) A launch site operator must then A launch site operator must separate
use the explosive equivalent in pounds each explosive hazard facility from
to determine the minimum separation each other explosive hazard facility,
distance between each explosive hazard each public traffic route, and each pub-
facility and all other explosive hazard lic area in accordance with the min-
facilities and each public area and pub- imum separation distance determined
under this section for each explosive
lic traffic route as required by tables E–
hazard facility where division 1.1 and
1, E–2 and E–3 of appendix E of this
1.3 explosives are co-located with liquid
part. Where two explosive hazard fa-
propellants. A launch site operator
cilities contain different quantities, must determine each minimum separa-
the launch site operator must use the tion distance from an explosive hazard
quantity of liquid propellant requiring facility where division 1.1 and 1.3 explo-
the greatest separation distance to de- sives and liquid propellants are to be
termine the minimum separation dis- located together, to each other explo-
tance between the two explosive hazard sive hazard facility, public traffic
facilities. route, and public area as described in
(d) Separation distance by weight and paragraphs (b) through (e) of this sec-
table. For each explosive hazard facil- tion.
ity, a launch site operator must: (b) Liquid propellants and division 1.1
(1) For an explosive equivalent explosives located together. For liquid
weight from one pound through and in- propellants and division 1.1 explosives
cluding 450 pounds, determine the dis- located together, a launch site oper-
tance to any public area and public ator must:
traffic route following table E–1 of ap- (1) Determine the explosive equiva-
pendix E of this part; lent weight of the liquid propellants by
(2) For explosive equivalent weight following § 420.67(c);
greater than 450 pounds, determine the (2) Add the explosive equivalent
weight of the liquid propellants and the
distance to any public area and public
net explosive weight of division 1.1 ex-
traffic route following table E–2 of ap-
plosives to determine the combined net
pendix E of this part;
explosive weight;
(3) Separate each public area con- (3) Use the combined net explosive
taining any member of the public in weight to determine the distance to
the open by a distance equal to ¥ 1133.9 each public area, public traffic route,
+ [389 *ln(NEW)], where the NEW is and each other explosive hazard facil-
greater than 450 pounds and less than ity by following tables E–1, E–2, and E–
501,500 pounds; 3 of appendix E of this part; and
(4) Separate each explosive hazard fa- (4) Separate each public area con-
cility from all other explosive hazard taining any member of the public in
facilities of a single customer using the the open by a distance equal to ¥ 1133.9
intraline distance provided by table E– + [389 *ln(NEW)], where the net explo-
3 of appendix E of this part; and sive weight is greater than 450 pounds
(5) For explosive hazard facilities and less than 501,500 pounds.
used by different customers, use the (c) Liquid propellants and division 1.3
greater public area distance to sepa- explosives located together. For liquid
rate the facilities from each other. propellants and division 1.3 explosives
located together, a launch site oper-
[Doc. No. FAA–2011–0105, 77 FR 55115, Sept. 7, ator must separate each explosive haz-
2012] ard facility from each other explosive
hazard facility, public area, and public
traffic route using either of the fol-
lowing two methods:

836
Commercial Space Transportation, FAA, DOT § 420.70
(1) Method 1. (i) Determine the explo- (4) Use the combined net explosive
sive equivalent weight of the liquid weight to determine the distance to
propellants by following § 420.67(c); each public area, public traffic route,
(ii) Add to the explosive equivalent and each other explosive hazard facil-
weight of the liquid propellants, the ity by following tables E–1, E–2, and E–
net explosive weight of each division 3 of appendix E of this part; and
1.3 explosive, treating division 1.3 ex- (5) Separate each public area con-
plosives as division 1.1 explosives; taining any member of the public in
(iii) Use the combined net explosive the open by a distance equal to ¥ 1133.9
weight to determine the minimum sep- + [389 *ln(NEW)], where the net explo-
aration distance to each public area, sive weight is greater than 450 pounds
public traffic route, and each other ex- and less than 501,500 pounds
plosive hazard facility by following ta- (e) Use of maximum credible event anal-
bles E–1, E–2, and E–3 of appendix E of ysis. If a launch site operator does not
this part; and want to employ paragraphs (b), (c), or
(iv) Separate each public area con- (d) of this section, the launch site oper-
taining any member of the public in ator must analyze the maximum cred-
the open by a distance equal to ¥ 1133.9 ible event (MCE) or the worst case ex-
+ [389 *ln(NEW)], where the net explo- plosion expected to occur. If the MCE
sive weight is greater than 450 pounds shows there will be no simultaneous
and less than 501,500 pounds. explosion reaction of the liquid propel-
(2) Method 2. (i) Determine the explo- lant tanks and the solid propellant mo-
sive equivalent weight of each liquid tors, the minimum distance between
propellant by following § 420.67(c); the explosive hazard facility and all
(ii) Add to the explosive equivalent other explosive hazard facilities and
weight of the liquid propellants, the public areas must be based on the MCE.
net explosive weight of each division
1.3 explosive to determine the com- [Doc. No. FAA–2011–0105, 77 FR 55115, Sept. 7,
2012]
bined net explosive weight;
(iii) Use the combined net explosive § 420.70 Separation distance measure-
weight to determine the minimum sep- ment requirements.
aration distance to each public area,
public traffic route, and each other ex- (a) This section applies to all meas-
plosive hazard facility by following ta- urements of distances performed under
bles E–1, E–2, and E–3 of appendix E of §§ 420.63 through 420.69.
this part; and (b) A launch site operator must
(iv) Separate each public area con- measure each separation distance
taining any member of the public in along straight lines. For large inter-
the open by a distance equal to ¥ 1133.9 vening topographical features such as
+ [389 *ln(NEW)], where the net explo- hills, the launch site operator must
sive weight is greater than 450 pounds measure over or around the feature,
and less than 501,500 pounds. whichever is the shorter.
(d) Liquid propellants and division 1.1 (c) A launch site operator must meas-
and 1.3 explosives located together. For ure each minimum separation distance
liquid propellants and division 1.1 and from the closest hazard source, such as
1.3 explosives located together, a a container, building, segment, or posi-
launch site operator must: tive cut-off point in piping, in an explo-
(1) Determine the explosive equiva- sive hazard facility. When measuring, a
lent weight of the liquid propellants by launch site operator must:
following § 420.67(c); (1) For a public traffic route distance,
(2) Determine the total explosive measure from the nearest side of the
quantity of each division 1.1 and 1.3 ex- public traffic route to the closest point
plosive by following § 420.65(a)(2); of the hazard source; and
(3) Add the explosive equivalent (2) For an intraline distance, measure
weight of the liquid propellants to the from the nearest point of one hazard
total explosive quantity of division 1.1 source to the nearest point of the next
and 1.3 explosives together to deter- hazard source. The minimum separa-
mine the combined net explosive tion distance must be the distance for
weight; the quantity of energetic liquids or net

837
§ 420.71 14 CFR Ch. III (1–1–19 Edition)
explosive weight that requires the area distance prior to an electrical
greater distance. storm, or for an explosive hazard facil-
[Doc. No. FAA–2011–0105, 77 FR 55116, Sept. 7, ity containing explosives that cannot
2012] be initiated by lightning. If no light-
ning protection system is required, a
§ 420.71 Lightning protection. licensee must ensure the withdrawal of
(a) Lightning protection. A licensee the public to a public area distance
shall ensure that the public is not ex- prior to an electrical storm.
posed to hazards due to the initiation (4) Testing and inspection. Lightning
of explosives by lightning. protection systems shall be visually in-
(1) Elements of a lighting protection sys- spected semiannually and shall be test-
tem. Unless an explosive hazard facility ed once each year for electrical con-
meets the conditions of paragraph (a)(3) tinuity and adequacy of grounding. A
of this section, all explosive haz- ard licensee shall maintain at the explo-
facilities shall have a lightning sive hazard facility a record of results
protection system to ensure explosives obtained from the tests, including any
are not initiated by lightning. A light- action taken to correct deficiencies
ning protection system shall meet the noted.
requirements of this paragraph and in- (b) Electrical power lines. A licensee
clude the following: shall ensure that electric power lines
(i) Air terminal. An air terminal to in- at its launch site meet the following
tentionally attract a lightning strike. requirements:
(ii) Down conductor. A low impedance (1) Electric power lines shall be no
path connecting an air terminal to an closer to an explosive hazard facility
earth electrode system. than the length of the lines between
(iii) Earth electrode system. An earth the poles or towers that support the
electrode system to dissipate the cur- lines unless an effective means is pro-
rent from a lightning strike to ground. vided to ensure that energized lines
(2) Bonding and surge protection. A cannot, on breaking, come in contact
lightning protection system must meet with the explosive hazard facility.
the requirements of this paragraph and (2) Towers or poles supporting elec-
include the following: trical distribution lines that carry be-
(i) Bonding. All metallic bodies shall tween 15 and 69 KV, and unmanned
be bonded to ensure that voltage poten- electrical substations shall be no closer
tials due to lightning are equal every- to an explosive hazard facility than the
where in the explosive hazard facility. public area distance for that explosive
Any fence within six feet of a lightning hazard facility.
protection system shall have a bond (3) Towers or poles supporting elec-
across each gate and other trical transmission lines that carry 69
discontinuations and shall be bonded to KV or more, shall be no closer to an ex-
the lightning protection system. Rail- plosive hazard facility than the public
road tracks that run within six feet of area distance for that explosive hazard
the lightning protection system shall facility.
be bonded to the lightning protection
system.
(ii) Surge protection. A lightning pro-
tection system shall include surge pro- APPENDIX A TO PART 420—METHOD FOR
tection to reduce transient voltages DEFINING A FLIGHT CORRIDOR
due to lightning to a harmless level for
(a) Introduction
all metallic power, communication,
and instrumentation lines entering an (1) This appendix provides a method for
explosive hazard facility. constructing a flight corridor from a launch
(3) Circumstances where no lightning point for a guided suborbital launch vehicle
protection system is required. No light- or any one of the four classes of guided or-
bital launch vehicles from table 1, § 420.19,
ning protection system is required for without the use of local meteorological data
an explosive hazard facility when a or a launch vehicle trajectory.
lightning warning system is available (2) A flight corridor includes an overflight
to permit termination of operations exclusion zone in a launch area and, for a
and withdrawal of the public to public guided suborbital launch vehicle, an impact

838
Commercial Space Transportation, FAA, DOT Pt. 420, App. A
dispersion area in a downrange area. A flight (2) Plotting Methods.
corridor for a guided suborbital launch vehi- (i) Mechanical method. An applicant may
cle ends with the impact dispersion area, use mechanical drafting equipment such as
and, for the four classes of guided orbital pencil, straight edge, ruler, protractor, and
launch vehicles, 5000 nautical miles (nm) compass to plot the location of a flight cor-
from the launch point. ridor on a map. The FAA will accept straight
(b) Data requirements lines for distances less than or equal to 7.5
times the map scale on map scales greater
(1) Maps. An applicant shall use any map than or equal to 1:1,000,000 inches per inch
for the launch site region with a scale not (in/in); or straight lines representing 100 nm
less than 1:250,000 inches per inch in the or less on map scales less than 1:1,000,000 in/
launch area and 1:20,000,000 inches per inch in in.
the downrange area. As described in para- (ii) Semi-automated method. An applicant
graph (b)(2), an applicant shall use a mechan- may employ the range and bearing tech-
ical method, a semi-automated method, or a
niques in paragraph (b)(3) to create latitude
fully-automated method to plot a flight cor-
and longitude points on a map. The FAA will
ridor on maps. A source for paper maps ac-
accept straight lines for distances less than
ceptable to the FAA is the U.S. Dept. of
Commerce, National Oceanic and Atmos- or equal to 7.5 times the map scale on map
pheric Administration, National Ocean Serv- scales greater than or equal to 1:1,000,000
ice. inches per inch (in/in); or straight lines rep-
(i) Projections for mechanical plotting resenting 100 nm or less on map scales less
method. An applicant shall use a conic pro- than 1:1,000,000 in/in.
jection. The FAA will accept a ‘‘Lambert- (iii) Fully-automated method. An appli-
Conformal’’ conic projection. A polar aspect cant may use geographical information sys-
of a plane-azimuthal projection may also be tem software with global mapping data
used for far northern launch sites. scaleable in accordance with paragraph
(ii) Projections for semi-automated plot- (b)(1).
ting method. An applicant shall use cylin- (3) Range and bearing computations on an
drical, conic, or plane projections for semi- ellipsoidal Earth model.
automated plotting. The FAA will accept (i) To create latitude and longitude pairs
‘‘Mercator’’ and ‘‘Oblique Mercator’’ cylin- on an ellipsoidal Earth model, an applicant
drical projections. The FAA will accept shall use the following equations to cal-
‘‘Lambert-Conformal’’ and ‘‘Albers Equal- culate geodetic latitude (+N) and longitude
Area’’ conic projections. The FAA will ac-
(+E) given the launch point geodetic latitude
cept ‘‘Lambert Azimuthal Equal-Area’’ and
(+N), longitude (+E), range (nm), and bearing
‘‘Azimuthal Equidistant’’ plane projections.
(degrees, positive clockwise from North).
(iii) Projections for fully-automated plot-
ting method. The FAA will accept map pro- (A) Input. An applicant shall use the fol-
jections used by geographical information lowing input in making range and bearing
system software scaleable pursuant to the computations. Angle units must be in radi-
requirements of paragraph (b)(1). ans.

1 Geodetic latitude of launch point (radians)


= 1 (DDD)  

(radians per degree)



180
1 = Longitude of launch point (DDD)

= (DDD)  

(radians per degree)



180
S = Range from launch point (nm)

= S (DDD) 

(radians per degree)



180
12 Azimuth bearing from launch point (deg)

= 12 (DDD)  (radians per degree)



180

839
 Pt. 420, App. A 14 CFR Ch. III (1–1–19 Edition)
(B) Computations. An applicant shall use where:
the following equations to determine the a = WGS–84 semi-major axis (3443.91846652
latitude (j2) and longitude (2) of a target
nmi)
point situated ‘‘S’’ nm from the launch point
b = WGS–84 semi-minor axis (3432.37165994
on an azimuth bearing (a12) degrees.
nmi)
b
f 1 (Equation A1)
a

 2 
a b 
2 2

(Equation A2)
 b2
S
 (radians) (Equation A3)
b
1  b sin 1 
tan 
 a cos   
1  (Equation A4)
 1 

g cos1  cos12  (Equation A5)

h cos1 sin 12  (Equation A6)

  2  2 
 
2
  sin 1  1 h
1 
2
   (Equation A7)
m 

2
  2  2 
 
2
1   1 1 cos g sin1 sin 

  2 
sin  sin

n    (Equation A8)
2
3f m (sin cos) (radians)
2
 2 (Equation A9)
L h f 3f n sin + 
 2 
M m  2 (Equation A10)

N n  2 (Equation A11)

A1 N sin  (Equation A12)
A  M 

 2 
(Equation A13)
2  sin
cos
3
 2
A 
5  2
N   sin cos 
840

(Equation A14)

841
Commercial Space Transportation, FAA, DOT Pt. 420, App. A

A4 
M 2 

1113 sin cos 8 cos 10 sin cos
2 3 
 Equation A15
 16 
 

M N  2

A
5  

2 

3 sin 2 cos5 sin   Equation A16
cos

A1 A2 A3 A4 XA5 radians Equation A17

sin 2 sin1 cosg sin  Equation A18
1

  Equation A19
2
cos2  h2 g cossin 1 sin  2

 1 a sin 2 

 180 
  tan  geodetic latitude of target point, DDD Equation A20
2  b cos  
   
  2  
 sin sin 12 
tan1  Equation A21

  cos1  cos sin 1  sin  cos 12  
    L
180 longitude of target point, DDD Equation A22
2 1   

(ii) To create latitude and longitude pairs back azimuth (a21) of the geodesic at P2,
on an ellipsoidal Earth model, an applicant given the geodetic latitude (+N), longitude
shall use the following equations to cal- (+E) of P1 and P2. Azimuth is measured posi-
culate the distance (S) of the geodesic be- tively clockwise from North.
tween two points (P1 and P2), the forward (A) Input. An applicant shall use the fol-
azimuth (a12) of the geodesic at P1, and the lowing input. Units must be in radians.

1 Geodetic latitude of launch point (radians)


1  DDD  radians per degree
180
 1 Longitude of launch point (DDD)

=  1  DDD  radians per degree
180
S Range from launch point (nm)

S DDD  radians per degree
180
12 Azimuth bearing from launch point (deg)
842
 
12 DDD radians per degree
180

843






Pt. 420, App. A 14 CFR Ch. III (1–1–19 Edition)
(B) Computations. An applicant shall use geodesic at P1, and the back azimuth (a12) of
the following equations to determine the dis- the geodesic at P2.
tance (S), the forward azimuth (a12) of the

b
f 1  Equation A23
a

where: b = WGS–84 semi-minor axis (3432.37165994
a = WGS–84 semi-major axis (3443.91846652 nmi)
nmi)

L  2 1 Equation A24

1   b sin 1  
1 tan cos  Equation A25
 1 

1   b sin  2  
2 tan   Equation A26
 cos2 
A sin 1 sin 2 Equation A27
B cos1 cos 2 Equation A28
cosA Bcos L Equation A29
n 
a b
Equation A30
a b
2 12 1 2 A n n 2 n3 B n n 2 n3 sin2 1  Equation A31

 
radians
sin 
2

sin L cos 2   sin 2  1 2 cos 2 sin 1 sin  L/ 2
2 2
1
2
Equation A32

sin 
tan1 evaluated in positive Equation A33
radians 
 
c os 

 
Bsin L
c  sin  Equation A34 m 1 c 2 Equation A35

844






Commercial Space Transportation, FAA, DOT Pt. 420, App. A

(c) Creation of a Flight Corridor (B) An applicant shall define the

downrange boundary with a half-circle arc of
(1) To define a flight corridor, an applicant
radius Dmax and a chord of length twice Dmax
shall:
(i) Select a guided suborbital or orbital connecting the half-circle arc endpoints. The
launch vehicle, and, for an orbital launch ve- downrange boundary placement on a map
hicle, select from table 1 of § 420.19 a launch has the chord midpoint intersecting the
vehicle weight class that best represents the nominal flight azimuth line at a distance
launch vehicle the applicant plans to support DOEZ inches downrange with the chord ori-
at its launch point; ented along an azimuth 90from the launch
(ii) Select a debris dispersion radius (Dmax) azimuth and the half-circle arc located
from table A–1 corresponding to the guided downrange from the intersection of the
suborbital launch vehicle or orbital launch chord and the flight azimuth line.
vehicle class selected in paragraph (c)(1)(i); (C) Crossrange boundaries of an overflight
(iii) Select a launch point geodetic latitude exclusion zone are defined by two lines seg-
and longitude; and ments. Each is parallel to the flight azimuth
(iv) Select a flight azimuth. with one to the left side and one to the right
(2) An applicant shall define and map an side of the flight azimuth line. Each line con-
overflight exclusion zone using the following nects an uprange half-circle arc endpoint to
method: a downrange half-circle arc endpoint as
(i) Select a debris dispersion radius (Dmax) shown in figure A–1.
from table A–1 and a downrange distance (iii) An applicant shall identify the over-
(DOEZ) from table A–2 to define an overflight flight exclusion zone on a map that meets
exclusion zone for the guided suborbital the requirements of paragraph (b).
launch vehicle or orbital launch vehicle class (3) An applicant shall define and map a
selected in paragraph (c)(1)(i). flight corridor using the following method:
(ii) An overflight exclusion zone is de-
(i) In accordance with paragraph (b), an ap-
scribed by the intersection of the following
plicant shall draw a flight corridor on one or
boundaries, which are depicted in figure A–1:
more maps with the D max origin centered on
(A) An applicant shall define an uprange
boundary with a half-circle arc of radius Dmax the intended launch point and the flight cor-
and a chord of length twice Dmax connecting ridor centerline (in the downrange direction)
the half-circle arc endpoints. The uprange aligned with the initial flight azimuth. The
boundary placement on a map has the chord flight corridor is depicted in figure A–2 and
midpoint positioned on the launch point its line segment lengths are tabulated in
with the chord oriented along an azimuth table A–3.
90from the launch azimuth and the half- (ii) An applicant shall define the flight cor-
circle arc located uprange from the launch ridor using the following boundary defini-
point. tions:

845
Pt. 420, App. A 14 CFR Ch. III (1–1–19 Edition)
(A) An applicant shall draw an uprange dispersion area as part of the flight corridor
boundary, which is defined by an arc-line GB and show the impact dispersion area on a
(figure A–2), directly uprange from and cen- map, as depicted in figure A–4, in accordance
tered on the intended launch point with ra- with the following:
dius D max. (i) An applicant shall select an apogee alti-
(B) An applicant shall draw line CF perpen- tude (Hap) for the launch vehicle final stage.
dicular to and centered on the flight azimuth The apogee altitude should equal the highest
line, and positioned 10 nm downrange from altitude intended to be reached by a guided
the launch point. The applicant shall use the suborbital launch vehicle launched from the
length of line CF provided in table A–3 cor- launch point.
responding to the guided suborbital launch (ii) An applicant shall define the impact
vehicle or orbital launch vehicle class se- dispersion area by using an impact range fac-
lected in paragraph (c)(1)(i). tor [IP(Hap)] and a dispersion factor
(C) An applicant shall draw line DE perpen- [DISP(Hap)] as shown below:
dicular to and centered on the flight azimuth (A) An applicant shall calculate the impact
line, and positioned 100 nm downrange from range (D) for the final launch vehicle stage.
the launch point. The applicant shall use the An applicant shall set D equal to the max-
length of line DE provided in table A–3 cor- imum apogee altitude (Hap) multiplied by the
responding to the guided suborbital launch impact range factor as shown below:
vehicle or orbital launch vehicle class se-

 
lected in paragraph (c)(1)(i).
(D) Except for a guided suborbital launch D Hap IP Hap Equation A40
vehicle, an applicant shall draw a downrange
boundary, which is defined by line HI and is where: IP(Hap) = 0.4 for an apogee less than
drawn perpendicular to and centered on the 100 km; and IP(Hap) = 0.7 for an apogee 100
flight azimuth line, and positioned 5,000 nm km or greater.
downrange from the launch point. The appli- (B) An applicant shall calculate the impact
cant shall use the length of line HI provided dispersion radius (R) for the final launch ve-
in table A–3 corresponding to the orbital hicle stage. An applicant shall set R equal to
launch vehicle class selected in paragraph the maximum apogee altitude (Hap) multi-
(c)(1)(i). plied by the dispersion factor as shown
(E) An applicant shall draw crossrange below:
boundaries, which are defined by three lines

  Equation A41

on the left side and three lines on the right
side of the flight azimuth. An applicant shall R Hap DISP Hap
construct the left flight corridor boundary
according to the following, and as depicted where: DISP(Hap) = 0.05
in figure A–3 : (iii) An applicant shall draw the impact
(1) The first line (line BC in figure A–3) is dispersion area on a map with its center on
tangent to the uprange boundary arc, and the predicted impact point. An applicant
ends at endpoint C of line CF, as depicted in shall then draw line DH in accordance with
figure A–3; paragraph (c)(3)(ii)(E)(4).
(2) The second line (line CD in figure A–3)
begins at endpoint C of line BC and ends at (d) Evaluate the Flight Corridor
endpoint D of line DH, as depicted in figure
A–3; (1) An applicant shall evaluate the flight
(3) For all orbital launch vehicles, the corridor for the presence of any populated
third line (line DH in figure A–3) begins at areas. If an applicant determines that no
endpoint D of line CD and ends at endpoint populated area is located within the flight
H of line HI, as depicted in figure A–3; and corridor, then no additional steps are nec-
(4) For a guided suborbital launch vehicle, essary.
the line DH begins at endpoint D of line CD (2) If a populated area is located in an over-
and ends at a point tangent to the impact flight exclusion zone, an applicant may mod-
dispersion area drawn in accordance with ify its proposal or demonstrate that there
paragraph (c)(4) and as depicted in figure A– are times when no people are present or that
4. the applicant has an agreement in place to
(F) An applicant shall repeat the procedure evacuate the public from the overflight ex-
in paragraph (c)(3)(ii)(E) for the right side clusion zone during a launch.
boundary. (3) If a populated area is located within the
(iii) An applicant shall identify the flight flight corridor, an applicant may modify its
corridor on a map that meets the require- proposal and create another flight corridor
ments of paragraph (b). pursuant to appendix A, use appendix B to
(4) For a guided suborbital launch vehicle, narrow the flight corridor, or complete a
an applicant shall define a final stage impact risk analysis in accordance with appendix C.

846
Commercial Space Transportation, FAA, DOT Pt. 420, App. A
TABLE A–1—DEBRIS DISPERSION RADIUS (Dmax) (IN)
Orbital launch vehicles Suborbital
launch vehi-
cles
Small Medium Medium Large
large Guided

87,600 ...................................................................................................
(1.20 nm) ............................................................................................... 111,600 127,200 156,000 96,000
(1.53 nm) (1.74 nm) (2.14 nm) (1.32 nm)

TABLE A–2—OVERFLIGHT EXCLUSION ZONE DOWNRANGE DISTANCE (Doez) (IN)

Orbital launch vehicles Suborbital
launch vehi-
cles
Small Medium Medium Large
large Guided

240,500 .................................................................................................
(3.30 nm) ............................................................................................... 253,000 310,300 937,700 232,100
(3.47 nm) (4.26 nm) (12.86 nm) (3.18 nm)

847
Pt. 420, App. A 14 CFR Ch. III (1–1–19 Edition)

848
Commercial Space Transportation, FAA, DOT Pt. 420, App. A

849
Pt. 420, App. A 14 CFR Ch. III (1–1–19 Edition)

850
Commercial Space Transportation, FAA, DOT Pt. 420, App. A

851
Pt. 420, App. B 14 CFR Ch. III (1–1–19 Edition)
APPENDIX B TO PART 420—METHOD FOR (3) A flight corridor includes an overflight
DEFINING A FLIGHT CORRIDOR exclusion zone in the launch area and, for a
guided suborbital launch vehicle, an impact
(a) Introduction dispersion area in the downrange area. A
(1) This appendix provides a method to con- flight corridor for a guided suborbital launch
struct a flight corridor from a launch point vehicle ends with an impact dispersion area
for a guided suborbital launch vehicle or any and, for the four classes of guided orbital
one of the four weight classes of guided or- launch vehicles, 5,000 nautical miles (nm)
bital launch vehicles from table 1, § 420.19, from the launch point, or where the IIP
using local meteorological data and a launch leaves the surface of the Earth, whichever is
vehicle trajectory. shorter.
(2) A flight corridor is constructed in two
sections—one section comprising a launch (b) Data Requirements
area and one section comprising a downrange (1) Launch area data requirements. An ap-
area. The launch area of a flight corridor re- plicant shall satisfy the following data re-
flects the extent of launch vehicle debris im-
quirements to perform the launch area anal-
pacts in the event of a launch vehicle failure
ysis of this appendix. The data requirements
and applying local meteorological condi-
are identified in table B–1 along with sources
tions. The downrange area reflects the ex-
tent of launch vehicle debris impacts in the where data acceptable to the FAA may be
event of a launch vehicle failure and apply- obtained.
ing vehicle imparted velocity, malfunctions (i) An applicant must select meteorolog-
turns, and vehicle guidance and performance ical data that meet the specifications in
dispersions. table B–1 for the proposed launch site.

TABLE B–1—LAUNCH AREA DATA REQUIREMENTS

Data category Data item Data source

Meteorological Data ................................... Local statistical wind data as a function These data may be obtained from:
of altitude up to 50,000 feet. Required Global Gridded Upper Air Statistics, Cli-
data include: altitude (ft), atmospheric mate Applications Branch National Cli-
density (slugs/ft 3), mean East/West matic Data Center.
meridianal (u) and North/South zonal
(v) wind (ft/sec), standard deviation of
u and v wind (ft/sec), correlation coef-
ficient, number of observations and
wind percentile (%).
Nominal Trajectory Data ............................ State vector data as function of time Actual launch vehicle trajectory data; or
after liftoff in topocentric launch point trajectory generation software that
centered X,Y,Z,X,Y,Z coordinates with meets the requirements of paragraph
the X-axis aligned with the flight azi- (b)(1)(ii).
muth. Trajectory time intervals shall
not be greater than one second. XYZ
units are in feet and X,Y,Z units are in
ft/sec.
Debris Data ................................................ A fixed ballistic coefficient equal to 3 lbs/ N/A.
ft 2 is used for the launch area.
Geographical Data .................................... Launch point geodetic latitude on a Geographical surveys or Global Posi-
WGS–84 ellipsoidal Earth model. tioning System.
Launch point longitude on an ellipsoidal
Earth model.
Maps using scales of not less than Map types with scale and projection in-
1:250,000 inches per inch within 100 formation are listed in the Defense
nm of a launch point and 1:20,000,000 Mapping Agency, Public Sale, Aero-
inches per inch for distances greater nautical Charts and Publications Cata-
than 100 nm from a launch point. log. The catalog and maps may be or-
dered through the U.S. Dept. of Com-
merce, National Oceanic and Atmos-
pheric Administration, National Ocean
Service.

(ii) For a guided orbital launch vehicle, an second. If an applicant uses a trajectory
applicant shall obtain or create a launch ve- computed with commercially available soft-
hicle nominal trajectory. An applicant may ware, the software must calculate the trajec-
use trajectory data from a launch vehicle tory using the following parameters, or
manufacturer or generate a trajectory using clearly and convincingly demonstrated
trajectory simulation software. Trajectory equivalents:
time intervals shall be no greater than one (A) Launch location:

852
Commercial Space Transportation, FAA, DOT Pt. 420, App. B
(1) Launch point, using geodetic latitude (3) Each trajectory time is denoted by the
and longitude to four decimal places; and subscript ‘‘i’’. Height intervals for a given
(2) Launch point height above sea level. atmospheric pressure level are denoted by
(B) Ellipsoidal Earth: the subscript ‘‘j’.
(1) Mass of Earth; (4) Using data from the GGUAS CD-ROM,
(2) Radius of Earth; an applicant shall estimate the mean atmos-
(3) Earth flattening factor; and pheric density, maximum wind speed, height
(4) Gravitational harmonic constants (J2, interval fall times and height interval debris
J3, J4). dispersions for 15 mean geometric height in-
(C) Vehicle characteristics: tervals.
(1) Mass as a function of time; (i) The height intervals in the GGUAS
(2) Thrust as a function of time; source data vary as a function of the fol-
(3) Specific impulse (ISP) as a function of lowing 15 atmospheric pressure levels ex-
time; and pressed in millibars: surface, 1000, 850, 700,
(4) Stage dimensions. 500, 400, 300, 250, 200, 150, 100, 70, 50, 30, 10. The
(D) Launch events: actual geometric height associated with
(1) Stage burn times; and
each pressure level varies depending on the
(2) Stage drop-off times.
time of year. An applicant shall estimate the
(E) Atmosphere:
mean geometric height over the period of
(1) Density as a function of altitude;
months selected in subparagraph (1) of this
(2) Pressure as a function of altitude;
(3) Speed of sound as a function of altitude; paragraph for each of the 15 pressure levels
and as shown in equation B1.
(4) Temperature as a function of altitude.
(F) Winds: k

and
(1) Wind direction as a function of altitude;  h m nm
(2) Wind magnitude as a function of alti- H 
j 
ml
k (Equation B1)
tude.
(I) Aerodynamics: drag coefficient as a
  n m
function of mach number for each stage of  m1
flight showing subsonic, transonic and super- where:
sonic mach regions for each stage. H̄ j = mean geometric height h m = geometric
(iii) An applicant shall use a ballistic coef- height for a given month nm = number of
ficient (b) of 3 lbs/ft for debris impact com-
2
observations for a given month
putations. k = number of wind months of interest
(iv) An applicant shall satisfy the map and
plotting requirements for a launch area of (ii) The atmospheric densities in the
appendix A, paragraph (b). source data also vary as a function of the 15
(2) Downrange area data requirements. An atmospheric pressure levels. The actual at-
applicant shall satisfy the following data re- mospheric density associated with each pres-
quirements to perform the downrange area sure level varies depending on the time of
analysis of this appendix. year. An applicant shall estimate the mean
(i) The launch vehicle weight class and atmospheric density over the period of
method of generating a trajectory used in months selected in accordance with subpara-
the launch area shall be used by an applicant graph (1) of this paragraph for each of the 15
in the downrange area as well. Trajectory pressure levels as shown in equation B2.
time intervals must not be greater than one
second. k
(ii) An applicant shall satisfy the map and
plotting data requirements for a downrange   m nm
area of appendix A, paragraph (b). (Equation B2)
j m1 k
(c) Construction of a Launch Area of a Flight
Corridor
 nm
m1
(1) An applicant shall construct a launch where:
area of a flight corridor using the processes rj = mean atmospheric density
and equations of this paragraph for each tra- l
jectory position. An applicant shall repeat r m = atmospheric density for a given month
these processes at time points on the launch nm = number of observations for a given
vehicle trajectory for time intervals of no month
greater than one second. When choosing k = number of wind months of interest
wind data, an applicant shall use a time pe-
riod of between one and 12 months. (iii) An applicant shall estimate the alge-
(2) A launch area analysis must include all braic maximum wind speed at a given pres-
trajectory positions whose Z-values are less sure level as follows and shall repeat the
than or equal to 50,000 ft. process for each pressure level.

853
 Pt. 420, App. B 14 CFR Ch. III (1–1–19 Edition)
(A) For each month, an applicant shall cal- (D) An applicant shall select the maximum
culate the monthly mean wind speed (W̄ az) mean wind speed from the range of months.
for 360 azimuths using equation B3; The absolute value of this wind is designated
(B) An applicant shall select the maximum W max for the current pressure level.
monthly mean wind speed from the 360 azi- (iv) An applicant shall calculate wind
muths; speed using the means for winds from the
(C) An applicant shall repeat subpara- West (u) and winds from the North (v). An
graphs (c)(4)(iii)(A) and (B) for each month of applicant shall use equation B3 to resolve
interest; and the winds to a specific azimuth bearing.

Waz u cos90 azvsin 90 az Equation B3


where: where:
az = wind azimuth DHTj = height difference between two mean
u = West zonal wind component geometric heights
v = North zonal wind component b = ballistic coefficient
W̄az = mean wind speed at azimuth for each
l
month
rx = mean atmospheric density for the cor-
(v) An applicant shall estimate the inter- responding mean geometric heights
val fall time over a height interval assuming VTj = terminal velocity
the initial descent velocity is equal to the
terminal velocity (VT). An applicant shall (vi) An applicant shall estimate the inter-
use equations B4 through B6 to estimate the val debris dispersion (Dj) by multiplying the
fall time over a given height interval. interval fall time by the algebraic maximum
mean wind speed (W max) as shown in equation
H j Hj1 Equation B4 B7.

H j

 2   
0.5 D j t j Wmax Equation B7


  j (5) Once the Dj are estimated for each


j1 height interval, an applicant shall determine

 
VTj   Equation B5 the total debris dispersion (Di) for each Zi
2 using a linear interpolation and summation
  exercise, as shown below in equation B8. An
  applicant shall use a launch point height of
zero equal to the surface level of the nearest
 GGUAS grid location.
H j
tj  Equation B6
VTj


  j1
D D  Zi Hi   Equation B8


D
 n
i j j1 H i
H
n1


area flight corridor in accordance with the

where:
requirements of subparagraphs (c)(6)(i)–(iv).
n = number of height intervals below jth (i) On a map meeting the requirements of
height interval appendix A, paragraph (b), an applicant shall
plot the Xi position location on the flight
(6) Once all the Di radii have been cal-
culated, an applicant shall produce a launch azimuth for the corresponding Zi position;

854
 (ii) An applicant shall draw a circle of
ra- dius Di centered on the corresponding
Xi po- sition; and
(iii) An applicant shall repeat the instruc-
tions in subparagraphs (c)(6)(i)–(ii) for
each Di radius.
(iv) The launch area of a flight corridor
is the enveloping line that encloses the
outer boundary of the Di circles as
shown in Fig. B–1. The uprange portion
of a flight corridor is described by a
semi-circle arc that is a

855
Commercial Space Transportation, FAA, DOT Pt. 420, App. B
portion of either the most uprange Di disper- ance with the requirements of appendix A,
sion circle, or the overflight exclusion zone subparagraph (c)(2).
(defined by subparagraph (c)(7)), whichever is (8) An applicant shall draw the launch area
further uprange. flight corridor and overflight exclusion zone
(7) An applicant shall define an overflight on a map or maps that meet the require-
exclusion zone in the launch area in accord- ments of table B–1.

(d) Construction of a Downrange Area of a simulating a malfunction turn; rotate the

Flight Corridor state vector after the malfunction turn in
(1) The downrange area analysis estimates the range of three degrees to one degree as a
the debris dispersion for the downrange time function of Xi distance downrange; and com-
points on a launch vehicle trajectory. An ap- pute the IIP of the resulting trajectory. The
plicant shall perform the downrange area locus of IIPs describes the boundary of the
analysis using the processes and equations of downrange area of a flight corridor. An ap-
this paragraph. plicant shall use the following subpara-
(2) The downrange area analysis shall in- graphs, (d)(3)(i)–(v), to compute the
clude trajectory positions at a height (the Zi- downrange area of the flight corridor bound-
values) greater than 50,000 feet and nominal ary:
trajectory IIP values less than or equal to
(i) Compute the downrange Distance to the
5,000 nm. For a guided suborbital launch ve-
final IIP position for a nominal trajectory as
hicle, the final IIP value for which an appli-
follows:
cant must account is the launch vehicle final
stage impact point. Each trajectory time (A) Using equations B30 through B69, deter-
shall be one second or less and is denoted by mine the IIP coordinates (jmax,  max) for the
the subscript ‘‘i’. nominal state vector before the launch vehi-
(3) An applicant shall compute the cle enters orbit where a in equation B30 is
downrange area of a flight corridor boundary the nominal flight azimuth angle measured
in four steps, from each trajectory time in- from True North.
crement: determine a reduction ratio factor; (B) Using the range and bearing equations
calculate the launch vehicle position after of appendix A, paragraph (b)(3), determine

856
 Pt. 420, App. B 14 CFR Ch. III (1–1–19 Edition)
the distance (Smax) from the launch point co- ordinates (jlp, lp) to the IIP coordinates (ji,
ordinates (jlp,  lp) to the IIP coordinates i) computed in (3)(ii)(A) of this paragraph.
(j max,  max) computed in accordance with (C) The reduction ratio factor is:
(3)(i)(A) of this paragraph.
(C) The distance for Smax may not exceed
5000 nm. In cases when the actual value ex-
Fri 
1
Si Equation B9
 

ceeds 5000 nm the applicant shall use 5000 nm  S max 
for S max.
(iii) An applicant shall compute the launch
(ii) Compute the reduction ratio factor (Fn)
vehicle position and velocity components
for each trajectory time increment as fol-
after a simulated malfunction turn for each
lows:
Xi using the following method.
(A) Using equations B30 through B69, deter-
(A) Turn duration (Dt) = 4 sec.
mine the IIP coordinates (ji, i) for the nomi-
(B) Turn angle (q)
nal state vector where a in equation B30 is
 Fri  * 45 degrees. Equation B10
the nominal flight azimuth angle measured
from True North.
(B) Using the range and bearing equations The turn angle equations perform a turn in
of appendix A, paragraph (b)(3), determine the launch vehicle’s yaw plane, as depicted
the distance (Si) from the launch point co- in figure B–2.

(C) Launch vehicle velocity magnitude at

the beginning of the turn (Vb) and velocity
magnitude at the end of the turn (V e)

  0.5

2 2 
X  i
 2Z
Vb 
Yi
1

 ft /sec Equation B11

 
 X i+5 Y i+5X2
 2 2  0.5
V
i+5e  ft /sec Equation B12
857
 

858






Commercial Space Transportation, FAA, DOT Pt. 420, App. B

(D) Average velocity magnitude over the (E) Velocity vector path angle (gi) at turn
turn duration (V̄ ) epoch
V V 
V i  b e
ft/sec Equation B13
2


 
  
1  Z i  
i tan  0.5 Equation B14
  
2  2

 
X i Y i 
  
   

(F) Launch vehicle position components at
the end of turn duration

 
X 90L X i Vi t cos i 
cos  2 


X X V t cos cos   
90R i i 
2  i

 
Y90L Yi Vi t sin 
 2 
Y Y V t 
sin
  
   1 
 2 
2
90R i i

 
Z 90L Z i Vi t sin i  Equations B15 - B20
cos  2  2

g t
 1
  
sin 

Z Z V t cos t 2
 1 
  g
90R i i
2  i 2  1

where: g1 = 32.17405 ft/sec2

(G) Launch vehicle velocity components at
the end of turn duration

859
 Pt. 420, App. B 14 CFR Ch. III (1–1–19 Edition)


X 90L X 90L X i  / t

X 90R X 90R X i  / t

Y 90L  Y90L Yi  / t

Y 90R 1Y90R Yi  / Equations B21 - B26
t

Z 90L Z 90L Zi  / t

Z 90R Z 90R Z i  / t

(iv) An applicant shall rotate the trajec- equations B15 through B26 have been dis-
tory state vector at the end of the turn dura- carded to reduce the number of equations.
tion to the right and left to define the right- An applicant shall transform from to
lateral flight corridor boundary and the left- E,N,U,Ė,Ṅ,U̇ to E,F,G,Ė,Ḟ ,Ġ . An applicant
lateral flight corridor boundary, respec- shall use the equations of paragraph
tively. An applicant shall perform the trajec- (d)(3)(iv)(A)–(F) to produce the EFG compo-
tory rotation in conjunction with a trajec- nents necessary to estimate each instanta-
tory transformation from the X90, Y90, Z90, neous impact point.
Ẋ 90, Ẏ 90, Ż 90, components to E, N, U, Ė , Ṅ, U̇. (A) An applicant must calculate the flight
The trajectory subscripts ‘‘R’’ and ‘‘L’’ from angle (a)

i 3 2 f1 1 Fri  Equation B27


Li Flight Azimuth i 
for left lateral boundary computations Equation B28
- OR 
Ri Flight Azimuth i  
for right lateral boundary computations Equation B29
0.0: Fri  0.8
where: f1   
1.0:Fri 0.8 

(B) An applicant shall transform X90,Y90,Z90
to E,N,U

E X90 sinY90 cos

N X90 cosY90 sin Equations B30 - B32
U Z 90

860
 Commercial Space Transportation, FAA, DOT Pt. 420, App. B
(C) An applicant shall transform to Ẋ90,
Ẏ 90, Ż90 to Ė, Ṅ, U̇.

  
E X90 sinY90 cos
  
N X90 cosY90 sin Equations B33 - B35
 
U Z 90

(D) An applicant shall transform the

launch point coordinates (j00,h0) to E0,F0,G0

  
0.5
R a E 1 e 2 sin 2 0 
where: aE 20925646.3255 ft
e2 0.00669437999013
E0 R h0 cos0  cos 0  Equations B36 - B39
F0 R h0 cos0  sin  0 

G0  R 1 e    h sin 

2
0 0


(E) An applicant shall transform E,N,U to
E90,F 90,G90

E 90 E cos270 0 N cos90 0 sin270 0 Usin90 0 sin270 0  Equations B40 - B42
F90 E sin270 0 N cos90 0  cos270 0 Usin90 0  cos270 0 
G 90 N sin90 0 U cos90 0 G 0

(F) An applicant shall transform to Ė ,Ṅ,U̇

TO Ė ,Ḟ ,Ġ

   
E 90 E cos270 0 N cos90 0  sin 270 0 Usin90 0  sin 270 0  Equations B43 - B45
   
F 90 E sin270 0 N cos90 0  cos 270 0 Usin90 0  cos 270 0 
  
G 90 Nsin 90 0 U cos90 0 

(v) The IIP computation implements an lem. An applicant shall solve equations B46
iterative solution to the impact point prob-

861
 Pt. 420, App. B 14 CFR Ch. III (1–1–19 Edition)
through B69, with the appropriate substi- use the lines connecting the latitude and
tutions, up to a maximum of five times. longitude pairs to describe the entire
Each repetition of the equations provides a downrange area boundary of the flight cor-
more accurate prediction of the IIP. An ap- ridor up to 5000 nm or a final stage impact
plicant shall use the required IIP computa- dispersion area.
tions of paragraphs (d)(3)(v)(A)–(W) below. (A) An applicant shall approximate the ra-
An applicant shall use this IIP computation dial distance (rk,l) from the geocenter to the
for both the left-and right-lateral offsets.
IIP. The distance from the center of the
The IIP computations will result in latitude
Earth ellipsoid to the launch point shall be
and longitude pairs for the left-lateral flight
used for the initial approximation of rk,l as
corridor boundary and the right-lateral
flight corridor boundary. An applicant shall shown in equation B46.

2 0.5
 
2 2
rk,1  E0 F0 G0 Equation B46

(B) An applicant shall compute the radial
distance (r) from the geocenter to the launch
vehicle position.

0.5

 
2 2 2
r  E 90 F90 G90 Equation B47

If r <rk,l then the launch vehicle position is must restart the calculations with the next
below the Earth’s surface and an impact trajectory state vector.
point cannot be computed. An applicant (C) An applicant shall compute the inertial
velocity components.

Ėl90 Ė 90 F90

Ḟl90 Ḟ90 E 90 (Equations B48-B49)

where: w = 4.178074 10¥ 3 deg/sec (F) An applicant shall compute the semi-
major axis of the trajectory ellipse (at).
(D) An applicant shall compute the mag-
nitude of the inertial velocity vector.
r
at  (Equation B52)
  1  c
0.5
v 0 ĖI 290  ḞI 90 Ġ 90
2 2
(Equation B50)
(E) An applicant shall compute the eccen- If at 0 or at then the trajectory orbit is not
tricity of the trajectory ellipse multiplied by elliptical, but is hyperbolic or parabolic, and
the cosine of the eccentric anomaly at epoch an impact point cannot be computed. The
ec). launch vehicle has achieved escape velocity
and the applicant may terminate computa-
2 tions.
r  0  1 (Equation B51) (G) An applicant shall compute the eccen-
 
c    tricity of the trajectory ellipse multiplied by
 K  the sine of the eccentric anomaly at epoch
where: K = 1.407644 1016 ft3/sec2 es).

862
 Commercial Space Transportation, FAA, DOT Pt. 420, App. B

E 90 ĖI 90 F90 ḞI 90 G 90 Ġ90 

s  (Equation B53)
K a t 0.5

(H) An applicant shall compute the eccen- (J) An applicant shall compute the eccen-
tricity of the trajectory ellipse squared e2). tricity of the trajectory ellipse multiplied by
the sine of the eccentric anomaly at impact


 2   2c  2s (Equation B54) (es k).

If at(1¥ e)¥ a E] >0 and e 0 then the trajec-

tory perigee height is positive and an impact 
sk  2  2 c k

0.5 (Equation B56)
point cannot be computed. The launch vehi-
cle has achieved Earth orbit and the appli- If esk <0 then the trajectory orbit does not
cant may terminate computations. intersect the Earth’s surface and an impact
(I) An applicant shall compute the eccen- point cannot be computed. The launch vehi-
tricity of the trajectory ellipse multiplied by cle has achieved Earth orbit and the appli-
the cosine of the eccentric anomaly at im- cant may terminate computations.
pact (eck). (K) An applicant shall compute the cosine

at rk,1
of the difference between the eccentric
anomaly at impact and the eccentric anom-
aly at epoch (Deck).
 ck  at
(Equation B55)

 ck  c    

sk s
 ck 
(Equation B57)
2

(L) An applicant shall compute the sine of aly at impact and the eccentric anomaly at
the difference between the eccentric anom- epoch (Des k).

     

sk c ck s
sk 
(Equation B58)
2

(M)An applicant shall compute the f-series (N)An applicant shall compute the g-series
expansion of Kepler’s equations. expansion of Kepler’s equations.

 ck  c 
f2  (Equation B59)
l c 

 

0.5
g    3a
t 
2 sk s sk
 K 
 (Equation B60)


(O) An applicant shall compute the E,F,G
coordinates at impact (Ei,Fi,Gi).

863
 Pt. 420, App. B 14 CFR Ch. III (1–1–19 Edition)

E k f2 E 90 g 2 Ėl90

Fk f2 F90 g 2 Ḟl90 (Equations B61-B63)
G k f2  G 90 g 2 Ġ 90

(P) An applicant shall approximate the dis-

tance from the geocenter to the launch vehi-
cle position at impact (rk,2).

rk,2  aE 
(Equation B64)
 e   2 0.5
2

 G 
k 
  1
l e2  rk,1  
 

where: start the calculations with the next trajec-
aE = 20925646.3255 ft tory state vector.
e2 = 0.00669437999013 (R) An applicant shall compute the dif-
ference between the eccentric anomaly at
(Q) An applicant shall let rk ∂ 1,1 = rk,2, sub- impact and the eccentric anomaly at epoch
stitute rk ∂ 1,1 for rk,1 in equation B55 and re- (De).
peat equations B55—B64 up to four more
times increasing ‘‘k’’ by an increment of one  s
on each loop (e.g. ke1, 2, 3, 4, 5). If r5,1 ¥ r5,2   5 (Equation B65)
1
tan   

>1 then the iterative solution does not con-
verge and an impact point does not meet the  c 5 
accuracy tolerance of plus or minus one foot. (S) An applicant shall compute the time of
An applicant must try more iterations, or re- flight from epoch to impact (t).

 

0.5

t    3a
s s5
t
K 
 (Equation B66)


(T) An applicant shall compute the geo- (V) An applicant shall compute the East
centric latitude at impact (j’). longitude at impact ().

 1
 G5  (Equation B67) F 
sin   l
   i tan 5 (Equation B69)
 t



i E 5 
r5,2
Where: + 90>ji >¥ 90 (W) If the range from the launch point to
(U) An applicant shall compute the geo- the impact point is equal to or greater than
detic latitude at impact (j). 5000 nm, an applicant shall terminate IIP
computations.
   (4) For a guided suborbital launch vehicle,
 tan i
 an applicant shall define a final stage impact
1 
l e 
dispersion area as part of the flight corridor

i tan   2  
864
(Equation B68) and
show
the
area
on a
map
using
the
fol-
lowi
ng
proc
edur
e:
 (i) For equation B70 below, an applicant
 shall use an apogee altitude (H ap) cor-
 responding to the highest altitude reached


Where: + 90>ji>¥ 90

865
Commercial Space Transportation, FAA, DOT Pt. 420, App. C
by the launch vehicle final stage in the ap- APPENDIX C TO PART 420—RISK
plicant’s launch vehicle trajectory analysis ANALYSIS
done in accordance with paragraph (b)(1)(ii).
(ii) An applicant shall define the final (a) Introduction
stage impact dispersion area by using a dis-
persion factor [DISP(Hap)] as shown below. (1) This appendix provides a method for an
An applicant shall calculate the impact dis- applicant to estimate the expected casualty
persion radius (R) for the final launch vehi- (Ec) for a launch of a guided expendable
cle stage. An applicant shall set R equal to launch vehicle using a flight corridor gen-
the maximum apogee altitude (Hap) multi- erated either by appendix A or appendix B.
plied by the dispersion factor as shown This appendix also provides an applicant op-
below: tions to simplify the method where popu-
lation at risk is minimal.
R Hap DISP Hap  (Equation B70) (2) An applicant shall perform a risk anal-
ysis when a populated area is located within
where: DISP(Hap) = 0.05 a flight corridor defined by either appendix A
or appendix B. If the estimated expected cas-
(5) An applicant shall combine the launch ualty exceeds 1  10 ¥ 4, an applicant may ei-
area and downrange area flight corridor and ther modify its proposal, or if the flight cor-
any final stage impact dispersion area for a
ridor used was generated by the appendix A
guided suborbital launch vehicle.
method, use the appendix B method to nar-
(i) On the same map with the launch area
row the flight corridor and then redo the
flight corridor, an applicant shall plot the
overflight risk analysis pursuant to this ap-
latitude and longitude positions of the left
and right sides of the downrange area of the pendix. If the estimated expected casualty
flight corridor calculated in accordance with still exceeds 1  10¥ 4, the FAA will not ap-
subparagraph (d)(3). prove the location of the proposed launch
(ii) An applicant shall connect the latitude point.
and longitude positions of the left side of the
(b) Data Requirements
downrange area of the flight corridor sequen-
tially starting with the last IIP calculated (1) An applicant shall obtain the data spec-
on the left side and ending with the first IIP ified by subparagraphs (b)(2) and (3) and sum-
calculated on the left side. An applicant marized in table C–1. Table C–1 provides
shall repeat this procedure for the right side. sources where an applicant may obtain data
(iii) An applicant shall connect the left acceptable to the FAA. An applicant must
sides of the launch area and downrange por- also employ the flight corridor information
tions of the flight corridor. An applicant from appendix A or B, including flight azi-
shall repeat this procedure for the right side. muth and, for an appendix B flight corridor,
(iv) An applicant shall plot the overflight trajectory information.
exclusion zone defined in subparagraph (c)(7).
(2) Population data. Total population (N)
(v) An applicant shall draw any impact dis-
and the total landmass area within a popu-
persion area on the downrange map with the
lated area (A) are required. Population data
center of the impact dispersion area on the
up to and including 100 nm from the launch
launch vehicle final stage impact point ob-
point are required at the U.S. census block
tained from the applicant’s launch vehicle
trajectory analysis done in accordance with group level. Population data downrange from
subparagraph (b)(1)(ii). 100 nm are required at no greater than 11
latitude/longitude grid coordinates.
(e) Evaluate the Launch Site (3) Launch vehicle data. Launch vehicle
data consist of the launch vehicle failure
(1) An applicant shall evaluate the flight
probability (P f), the launch vehicle effective
corridor for the presence of populated areas.
casualty area (Ac), trajectory position data,
If no populated area is located within the
flight corridor, then no additional steps are and the overflight dwell time (td). The fail-
necessary. ure probability is a constant (Pf = 0.10) for a
(2) If a populated area is located in an over- guided orbital or suborbital expendable
flight exclusion zone, an applicant may mod- launch vehicle. Table C–3 provides effective
ify its proposal or demonstrate that there casualty area data based on IIP range. Tra-
are times when no people are present or that jectory position information is provided
the applicant has an agreement in place to from distance computations provided by this
evacuate the public from the overflight ex- appendix for an appendix A flight corridor,
clusion zone during a launch. or trajectory data used in appendix B for an
(3) If a populated area is located within the appendix B flight corridor. The dwell time
flight corridor, an applicant may modify its (td) may be determined from trajectory data
proposal or complete an overflight risk anal- produced when creating an appendix B flight
ysis in accordance with appendix C. corridor.

866
 Pt. 420, App. C 14 CFR Ch. III (1–1–19 Edition)
TABLE C–1—OVERFLIGHT ANALYSIS DATA REQUIREMENTS
Data category Data item Data source

Population Data ............................. Total population within a populated area (N) Within 100 nm of the launch point: U.S. cen-
sus data at the census block-group level.
Downrange from 100 nm beyond the
launch point, world population data are
available from:
Total landmass area within the populated Carbon Dioxide Information Analysis Center
area (A). (CDIAC) Oak Ridge National Laboratory
Database—Global Population Distribution
(1990), Terrestrial Area and Country
Name Information on a One by One De-
gree Grid Cell Basis (DB1016 (8–1996)
Launch Vehicle Data ..................... Failure probability—Pf = 0.10 ....................... N/A.
Effective casualty area (Ac) ........................... See table C–3.
Overflight dwell time ...................................... Determined by range from the launch point
or trajectory used by applicant.
Nominal trajectory data (for an appendix B See appendix B, table B–1.
flight corridor only).

(c) Estimating Corridor Casualty Expectation (4) The Pi computations do not directly ac-
(1) A corridor casualty expectation count for populated areas whose areas are bi-
[EC(Corridor)] estimate is the sum of the ex- sected by an appendix A flight corridor cen-
pected casualty measurement of each popu- terline or an appendix B nominal trajectory
lated area inside a flight corridor. ground trace. Accordingly, an applicant
(2) An applicant shall identify and locate must evaluate Pi for each of the bi-sections
each populated area in the proposed flight as two separate populated areas, as shown in
corridor. figure C–4, which shows one bi-section to the
(3) An applicant shall determine the prob- left of an appendix A flight corridor’s center-
ability of impact in each populated area line and one to its right.
using the procedures in subparagraphs (5) or (5) Probability of impact (Pi) computations
(6) of this paragraph. Figures C–1 and C–2 il- for a populated area in an appendix A flight
lustrate an area considered for probability of corridor. An applicant shall compute Pi for
impact (Pi) computations by the dashed- each populated area using the following
lined box around the populated area within a method:
flight corridor, and figure C–3 illustrates a
(i) For the launch and downrange areas,
populated area in a final stage impact dis-
but not for a final stage impact dispersion
persion area. An applicant shall then esti-
mate the EC for each populated area in ac- area for a guided suborbital launch vehicle,
cordance with subparagraphs (7) and (8) of an applicant shall compute Pi for each popu-
this paragraph. lated area using the following equation:

 
 y2 y1    
y1  y22  y 2 

 2
y  
   
   1

     2 
 
  y    y   2y  
 y 
 x 2 x1  
     Pf
Pi   4    ˙ (Equation C1)
 exp exp  exp  

6 2   
2
  2
  C R
 
 
2
      
   


tance (nm) to the populated area meas-
where:
ured from the flight corridor centerline
x1, x2 = closest and farthest downrange dis- (see figure C–1)
tance (nm) along the flight corridor cen-
terline to the populated area (see figure
C–1)
y1, y2 = closest and farthest cross range dis-
867
sy = one-third of the cross range distance
from the centerline to the flight
corridor boundary (see figure C–1)
exp = exponential function (e
x) Pf = probability of failure =

0.10
Ṙ = IIP range rate (nm/sec) (see table C–2)
C = 643 seconds (constant)

868
 Commercial Space Transportation, FAA, DOT Pt. 420, App. C
TABLE C–2—IIP RANGE RATE VS. IIP RANGE (ii) For each populated area within a final
stage impact dispersion area, an applicant
IIP range
IIP range shall compute Pi using the following method:
rate
(nm) (nm/s) (A) An applicant shall estimate the prob-
ability of final stage impact in the x and y
0–75 ................................................................... 0.75 sectors of each populated area within the
76–300 ............................................................... 1.73
301–900 ............................................................. 4.25 final stage impact dispersion area using
901–1700 ........................................................... 8.85 equations C2 and C3:
1701–2600 ......................................................... 19.75
2601–3500 ......................................................... 42.45
3501–4500 ......................................................... 84.85
4501–5250 ......................................................... 154.95


 x 2 x1   
 x  x2
1 2  x 2 

x
2 
  
  1       2  
 
 
 x  x  2x   x   
     
Px    4   (Equation C2)
 exp  exp  exp
 2 2
6 2
 
2    
  
  
  

 



where: impact point to the populated area (see
X1, X2 = closest and farthest downrange dis- figure C–3)
tance, measured along the flight corridor sx = one-third of the impact dispersion radius
(see figure C–3)
centerline, measured from the nominal
exp = exponential function (e x)

 
 y 2 y1   
 
y1  y22  y 2 

 
2 y
   1      2  
 
 
 y    y  2 y    y    
     
Py    4   (Equation C3)
exp exp  exp

6 2   2  2  2  
   
  
    


 




from the flight corridor centerline (see
where: figure C–3)
y1, y2 = closest and farthest cross range dis- sy = one-third of the impact dispersion radius
tance to the populated area measured (see figure C–3)
869
exp = exponential function (e x)
applicant shall determine, first, the prob-
(B) If a populated area intersects the im- ability between y1 = 0 and y2 = a and, second,
pact dispersion area boundary so that the x2 the probability between y1 = 0 and y2 = b, as
or y2 distance would otherwise extend out- depicted in figure C–4. The probability Py is
side the impact dispersion area, the x2 or y2 then equal to the sum of the probabilities of
distance should be set equal to the impact the two parts. If a populated area intersects
dispersion area radius. The x2 distance for
the line that is normal to the flight azimuth
populated area A in figure C–3 is an example.
on the impact point, an applicant shall solve
equation C2 by obtaining the solution in two
parts in the same manner as with the values
of x.
(C) An applicant shall calculate the prob-
ability of impact for each populated area
using equation C4 below:
If a populated area intersects the flight azi- Pl Ps Px Py (Equation C4)
muth, an applicant shall solve equation C3
by obtaining the solution in two parts. An where: Ps = 1¥ Pf = 0.90

870
 Pt. 420, App. C 14 CFR Ch. III (1–1–19 Edition)

(6) Probability of impact computations for (i) For the launch and downrange areas,
a populated area in an appendix B flight cor- but not for a final stage impact dispersion
ridor. An applicant shall compute Pi using area for a guided suborbital launch vehicle,
the following method: an applicant shall compute Pi for each popu-
lated area using the following equation:

 
 y2 y1    
y1 y22  y 
2 
y  
 2 
   1      2  
 
     y    P
y  
 
y 
  2
  y 
Pi    4     f t d (Equation C5)
 exp  exp  exp  


  t 


6 2 2  2  2 
 
  
 
 
    


 




trace (see figure C–2)
where:
sy = one-third of the cross range distance (nm)
y 1,y 2 = closest and farthest cross range dis-
from nominal trajectory to the flight
tance (nm) to a populated area measured corridor boundary (see figure C–2)
from the nominal trajectory IIP ground
871
exp = exponential function (ex)
t = flight time from lift-off to orbital inser-
Pf = probability of failure = 0.10
tion (seconds)
td = overflight dwell time (seconds)
(ii) For each populated area within a final
stage impact dispersion area, an applicant
shall compute Pi using the following method:
(A) An applicant shall estimate the prob-
ability 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:

872
 Commercial Space Transportation, FAA, DOT Pt. 420, App. C

 x 2 x1    x  x2

 x 

 x 1 2
2

2 
  
  1      2  
 
 
 x    2x   x    
  x    
Px   4   (Equation C6)
 exp exp  exp

2 2
6 2  
2    
  
  
  

 



where: nominal impact point to the populated
x1, x2 = closest and farthest downrange dis- area (see figure C–3)
tance, measured along nominal trajec- sx = one-third of the impact dispersion radius
(see figure C–3)
tory IIP ground trace, measured from the
exp = exponential function (ex)

 
 y 2 y1   
 
y1  y22  y 2 

 
2 y
   1      2  
 
 
 y    y  2 y    y    
     
Py    4   (Equation C7)
exp exp  exp

    
6 2 2  2 2
   
  
    


 




where: muth, an applicant shall solve equation C7
y1, y2 = closest and farthest cross range dis- by obtaining the solution in two parts. An
tance to the populated area measured applicant shall determine, first, the prob-
from the nominal trajectory IIP ground ability between y1 = 0 and y2 = a and, second,
trace (see figure C–3) the probability between y1 = 0 and y2 = b, as
sy = one-third of the impact dispersion radius depicted in figure C–4. The probability Py is
(see figure C–3) then equal to the sum of the probabilities of
exp = exponential function (ex) the two parts. If a populated area intersects
(B) If a populated area intersects the im- the line that is normal to the flight azimuth
pact dispersion area boundary so that the x2 on the impact point, an applicant shall solve
or y2 distance would otherwise extend out- equation C6 by obtaining the solution in two
side the impact dispersion area, the x2 or y2 parts in a similar manner with the values of
distance should be set equal to the impact x.
dispersion area radius. The x2 distance for (C) An applicant shall calculate the prob-
populated area A in figure C–3 is an example. ability of impact for each populated area
If a populated area intersects the flight azi- using equation C8 below:

873
 P1 Ps Px Py (Equation C8)

where: Ps = 1¥ Pf = 0.90

874
Pt. 420, App. C 14 CFR Ch. III (1–1–19 Edition)

875
Commercial Space Transportation, FAA, DOT Pt. 420, App. C

(7) Using the Pi calculated in either sub- where individual populated areas are des-
paragraph (c)(5) or (6) of this paragraph, an ignated with the subscript ‘‘k’’.
applicant shall calculate the casualty ex-
pectancy for each populated area within the A  (Equation C9)
flight corridor in accordance with equation
E P  c N
ck i   k
C9. Eck is the casualty expectancy for a given A k 
populated area as shown in equation C9,
where:
876






Pt. 420, App. D 14 CFR Ch. III (1–1–19 Edition)
Ac = casualty area (from table C–3) Nk = population in Ak
A k = populated area

TABLE C–3—EFFECTIVE CASUALTY AREA (MILES 2) AS A FUNCTION OF IIP RANGE (NM)

Orbital launch vehicles Suborbital
launch
vehicles
Instantaneous impact point range (nau- Small Medium Medium large Large
tical miles) Guided

0–49 .......................................................... 3.14  10 ¥ 2 1.28  10 ¥ 1 4.71  10 ¥ 2 8.59  10 ¥ 2 4.3 10¥ 1

50–1749 .................................................... 2.47  10 ¥ 2 2.98  10 ¥ 2 9.82  10 ¥ 3 2.45  10 ¥ 2 1.3 10¥ 1
1750–5000 ................................................ 3.01  10 ¥ 4 5.52  10 ¥ 3 7.82  10 ¥ 3 1.14  10 ¥ 2 3.59  10 ¥ 6

(8) An applicant shall estimate the total

corridor risk using the following summation
of risk:

 n 
EcCorridor   E c k (Equation C10)

k1 

populated area into smaller rectangles, de-
(9) Alternative casualty expectancy (EC)
analyses. An applicant may employ specified
variations to the analysis defined by sub-
paragraphs (c)(1)–(8). Those variations are
identified in subparagraphs (9)(i) through (vi)
of this paragraph. Subparagraphs (i) through
(iv) permit an applicant to make conserv-
ative assumptions that would lead to an
overestimation of the corridor EC compared
with the analysis defined by subparagraphs
(c)(1)–(8). In subparagraphs (v) and (vi), an
applicant that would otherwise fail the anal-
ysis prescribed by subparagraphs (c)(1)–(8)
may avoid (c)(1)–(8)’s overestimation of the
probability of impact in each populated area.
An applicant employing a variation shall
identify the variation used, show and discuss
the specific assumptions made to modify the
analysis defined by subparagraphs (c)(1)–(8),
and demonstrate how each assumption leads
to overestimation of the corridor EC com-
pared with the analysis defined by subpara-
graphs (c)(1)–(c)(8).
(i) Assume that Px and Py have a value of
1.0 for all populated areas.
(ii) Combine populated areas into one or
more larger populated areas, and use a popu-
lation density for the combined area or areas
equal to the most densely populated area.
(iii) For any given populated area, assume
Py has a value of one.
(iv) For any given Px sector (an area span-
ning the width of a flight corridor and
bounded by two time points on the trajec-
tory IIP ground trace) assume Py has a value
of one and use a population density for the
sector equal to the most densely populated
area.
(v) For a given populated area, divide the

877
termine Pi for each individual rectangle,
and sum the individual impact
probabilities to determine Pi for the entire
populated area.
(vi) For a given populated area, use the
ratio of the populated area to the area of
the Pi rectangle from the subparagraph
(c)(1)–(8) analysis.

(d) Evaluation of Results

(1) If the estimated expected casualty
does not exceed 1 10¥ 4, the FAA will
approve the launch site location.
(2) If the estimated expected casualty ex-
ceeds 1 10¥ 4, then an applicant may
either modify its proposal, or, if the flight
corridor used was generated by the
appendix A meth- od, use the appendix B
method to narrow the flight corridor and
then perform another ap- pendix C risk
analysis.
[Doc. No. FAA–1999–5833, 65 FR 62861, Oct. 19,
2000, as amended by Amdt. 420–2, 71 FR 51972,
Aug. 31, 2006; Docket No. FAA–2014–0418,
Amdt. No. 420–7, 81 FR 47027, July 20, 2016]

APPENDIX D TO PART 420—IMPACT

DIS- PERSION AREAS AND
CASUALTY EX- PECTANCY
ESTIMATE FOR
AN UNGUIDED
SUBORBITAL LAUNCH VE- HICLE
(a) Introduction
(1) This appendix provides a method for
de- termining 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 disper- sion areas, and how to
evaluate whether the

878
Commercial Space Transportation, FAA, DOT Pt. 420, App. D
public risk presented by the launch of an launch vehicle chosen in accordance with
unguided suborbital launch vehicle remains subparagraph (b)(1) in accordance with the
at acceptable levels. following:
(2) An applicant shall base its analysis on (i) An applicant shall calculate the impact
an unguided suborbital launch vehicle whose range for the final launch vehicle stage (Dn).
final launch vehicle stage apogee represents An applicant shall set Dn equal to the last
the intended use of the launch point. stage apogee altitude (Hn) multiplied by an
(3) An applicant shall use the apogee of impact range factor [IP(Hn)] in accordance
each stage of an existing unguided suborbital with the following:
launch vehicle with a final launch vehicle
stage apogee equal to the one proposed, and
calculate each impact range and dispersion
Dn Hn IPHn  (Equation D1)
area using the equations provided. where:
(4) This appendix also provides a method
IP(Hn) = 0.4 for an apogee less than 100 km,
for performing an impact risk analysis that
and
estimates the expected casualty (Ec) within
IP(Hn) = 0.7 for an apogee of 100 km or great-
each impact dispersion area. This appendix
provides an applicant options to simplify the er.
method where population at risk is minimal. (ii) An applicant shall calculate the impact
(5) If the estimated Ec is less than or equal range for each intermediate stage (Di), where
to 1 10 ¥ 4, the FAA will approve the launch i e 1, 2, 3, . . . (n¥ 1), and where n is the
point for unguided suborbital launch vehi- total number of launch vehicle stages. Using
cles. If the estimated Ec exceeds 1 10 ¥ 4, the the apogee altitude (Hi) of each intermediate
proposed launch point will fail the launch stage, an applicant shall use equation D1 to
site location review. compute the impact range of each stage by
substituting Hi for Hn. An applicant shall use
(b) Data Requirements
the impact range factors provided by equa-
(1) An applicant shall employ the apogee of tion D1.
each stage of an existing unguided suborbital (iii) An applicant shall calculate the im-
launch vehicle whose final stage apogee rep- pact dispersion radius for the final launch
resents the maximum altitude to be reached vehicle stage (Rn). An applicant shall set Rn
by unguided suborbital launch vehicles equal to the last stage apogee altitude (Hn)
launched from the launch point. The apogee multiplied by an impact dispersion factor
shall be obtained from one or more actual [DISP(Hn)] in accordance with the following:
flights of an unguided suborbital launch ve-
hicle launched at an 84 degree elevation.
(2) An applicant shall satisfy the map and
R n Hn DISP Hn  (Equation D2)
plotting data requirements of appendix A, where:
paragraph (b). DISP(Hn) = 0.4 for an apogee less than 100
(3) Population data. An applicant shall use km, and
total population (N) and the total landmass
DISP(Hn) = 0.7 for an apogee of 100 km or
area within a populated area (A) for all popu-
greater.
lated areas within an impact dispersion area.
Population data up to and including 100 nm (iv) An applicant shall calculate the im-
from the launch point are required at the pact dispersion radius for each intermediate
U.S. census block group level. Population stage (Ri), where i e 1, 2, 3, . . . (n¥ 1)and
data downrange from 100 nm are required at where n is the total number of launch vehi-
no greater than 11latitude/longitude grid cle stages. Using the apogee altitude (Hi) of
coordinates. each intermediate stage, an applicant shall
use equation D2 to compute an impact dis-
(c) Overflight Exclusion Zone and Impact persion radius of each stage by substituting
Dispersion Areas Hi for Hn. An applicant shall use the disper-
(1) An applicant shall choose a flight azi- sion factors provided by equation D2.
muth from a launch point. (4) An applicant shall display an overflight
(2) An applicant shall define an overflight exclusion zone, each intermediate and final
exclusion zone as a circle with a radius of stage impact point (Di through Dn), and each
1600 feet centered on the launch point. impact dispersion area for the intermediate
(3) An applicant shall define an impact dis- and final launch vehicle stages on maps in
persion area for each stage of the suborbital accordance with paragraph (b)(2).

879
Pt. 420, App. D 14 CFR Ch. III (1–1–19 Edition)

(d) Evaluate the Overflight Exclusion Zone and dispersion areas, or perform an impact risk
Impact Dispersion Areas analysis in accordance with paragraph (e).
(1) An applicant shall evaluate the over- (e) Impact Risk Analysis
flight exclusion zone and each impact disper-
sion area for the presence of any populated (1) An applicant shall estimate the ex-
areas. If an applicant determines that no pected average number of casualties, EC,
populated area is located within the over- within the impact dispersion areas according
flight exclusion zone or any impact disper- to the following method:
sion area, then no additional steps are nec- (i) An applicant shall calculate the Ec by
essary. summing the impact risk for the impact dis-
(2) If a populated area is located in an over- persion areas of the final launch vehicle
flight exclusion zone, an applicant may mod- stage and all intermediate stages. An appli-
ify its proposal or demonstrate that there cant shall estimate Ec for the impact disper-
are times when no people are present or that sion area of each stage by using equations D3
the applicant has an agreement in place to through D7 for each of the populated areas
evacuate the public from the overflight ex- located within the impact dispersion areas.
clusion zone during a launch. (ii) An applicant shall estimate the prob-
(3) If a populated area is located within ability of impacting inside the X and Y sec-
any impact dispersion area, an applicant tors of each populated area within each im-
may modify its proposal and define a new pact dispersion area using equations D3 and
overflight exclusion zone and new impact D4:

  
x   x   x x  x 2  
x
     2 
2 1

  

2 1
 
1 2
 2
  
    
  
   

 x  x  
   x   
 x   x
2
Px  6 2  4  exp   2 (Equation D3)
2  2
exp exp 
  


    

 

880
    
  
  



where: sx = one-third of the impact dispersion radius
x1, x2 = closest and farthest downrange dis- (see figure D–2)
tance to populated area (see figure D–2) exp = exponential function (ex)

881
 Commercial Space Transportation, FAA, DOT Pt. 420, App. D

  
 y  y y   

y2  1 
y 2
y 2
 
2
 
   1 2
 
 
 y 
y   1    2 y   2
   y    
    y 

Py   exp 4   (Equation D4)
exp  exp
6 2   2  2  2  
  
   
    


 




where: sy = one-third of the impact dispersion radius
y 1, y 2 = closest and farthest cross range dis- (see figure D–2)
tance to the populated area (see figure D– exp = exponential function (ex)
2)

D4 by obtaining the solution in two parts. An

(iii) If a populated area intersects the im-
applicant shall determine, first, the prob-
pact dispersion area boundary so that the x2
or y2 distance would otherwise extend out-
side the impact dispersion area, the x2 or y2
distance should be set equal to the impact
dispersion area radius. The x2 distance for
populated area A in figure D–2 is an example.
(iv) If a populated area intersects the flight
azimuth, an applicant shall solve equation
882
ability between y1 = 0 and y2 = a and,
second, the probability between y1 = 0 and
y 2 = b, as depicted in figure D–3. The
probability P y is then equal to the sum of
the probabilities of the two parts. If a
populated area intersects the line that is
normal to the flight azimuth on the
impact point, an applicant shall solve
equation D3 by obtaining the solution in
two parts in the same manner as with the
values of x.

883
Pt. 420, App. D 14 CFR Ch. III (1–1–19 Edition)

(v) An applicant shall calculate the prob- dividual populated areas are designated with
ability of impact (Pi) for each populated area the subscript ‘‘k’’.
using the following equation: A c 
Pi Ps Px Py (Equation D5) E P
 i 
N
ck  (Equation D6)
 k
where: A k 
Ps = probability of success = 0.98 where:
(vi) An applicant shall calculate the cas- k 1, 2, 3, . . . , n
ualty expectancy for each populated area. Eck Ac = casualty area (from table D–1)
is the casualty expectancy for a given popu- A k = populated area
lated area as shown in equation D6, where in- Nk = population in Ak

TABLE D–1—EFFECTIVE CASUALTY AREA (Ac) VS. IMPACT RANGE

Effective cas-
Impact range (nm) ualty area
(miles2)

0–4 ............................................................................................................................................................................. 9  10¥ 3

5–49 ........................................................................................................................................................................... 9  10¥ 3
50–1,749 .................................................................................................................................................................... 1.1 10¥ 5
1,750–4,999 ............................................................................................................................................................... 3.6 10¥ 6
5,000–more ............................................................................................................................................................... 3.6 10¥ 6

(vii) An applicant shall estimate the total

risk using the following summation of risk:

884
 Commercial Space Transportation, FAA, DOT Pt. 420, App. E

 n 
Ec(Corridor)    E c k (Equation D7)

k1 

(viii) Alternative casualty expectancy (Ec) If no set of impact dispersion areas exist
analysis. An applicant may employ specified which satisfy the FAA’s risk threshold, the
variations to the analysis defined by sub- applicant’s proposed launch site will fail the
paragraphs (d)(1)(i)–(vii). Those variations launch site location review.
are identified in subparagraphs (viii)(A)
through (F) of this paragraph. Subpara- [Docket No. FAA–1999–5833, 65 FR 62861, Oct.
graphs (A) through (D) permit an applicant 19, 2000, as amended by Docket No. FAA–
to make conservative assumptions that 2014–0418, Amdt. No. 420–7, 81 FR 47027, July
would lead to an overestimation of Ec com- 20, 2016]
pared with the analysis defined by subpara-
graphs (d)(1)(i)–(vii). In subparagraphs (E) APPENDIX E TO PART 420—TABLES FOR
and (F), an applicant that would otherwise EXPLOSIVE SITE PLAN
fail the analysis prescribed by subparagraphs
(d)(1)(i)–(vii) may avoid (d)(1)(i)–(vii)’s over- TABLE E–1—DIVISION 1.1 DISTANCES TO A PUB-
estimation of the probability of impact in LIC AREA OR PUBLIC TRAFFIC ROUTE FOR
each populated area. An applicant employing NEW >450 LBS
a variation shall identify the variation used,
show and discuss the specific assumptions Distance to
made to modify the analysis defined by sub- NEW Distance to public traffic
public area route dis-
paragraphs (d)(1)(i)–(vii), and demonstrate (lbs.)
(ft) 1 2 tance
how each assumption leads to overestima- (ft) 2
tion of the corridor E c compared with the
analysis defined by subparagraphs (d)(1)(i)– 0.5 ............................................ 236 142
(vii). 0.7 .............................................. 263 158
(A) Assume that Px and Py have a value of 1 ................................................. 291 175
2 ................................................. 346 208
1.0 for all populated areas. 3 ................................................. 378 227
(B) Combine populated areas into one or
5 ................................................. 419 251
more larger populated areas, and use a popu- 7 ................................................. 445 267
lation density for the combined area or areas 10 ............................................... 474 284
equal to the most densely populated area. 15 ............................................... 506 304
(C) For any given populated area, assume 20 ............................................... 529 317
Px has a value of one. 30 ............................................... 561 337
(D) For any given populated area, assume 31 ............................................... 563 338
50 ............................................... 601 361
Py has a value of one.
70 ............................................... 628 377
(E) For a given populated area, divide the 100 ............................................. 658 395
populated area into smaller rectangles, de- 150 ............................................. 815 489
termine Pi for each individual rectangle, and 200 ............................................. 927 556
sum the individual impact probabilities to 300 ............................................. 1085 651
determine Pi for the entire populated area. 450 ............................................. 1243 746
(F) For a given populated area, use the 1 To
calculate distance d to a public area from NEW:
ratio of the populated area to the area of the NEW 0.5 lbs: d = 236
Pi rectangle used in the subparagraph 0.5 lbs <NEW <100 lbs: d = 291.3 + [79.2 *ln(NEW)]
100 lbs NEW 450 lbs: d = ¥ 1133.9 + [389 *ln(NEW)]
(d)(1)(i)–(vii) analysis. NEW is in lbs; d is in ft; ln is natural logarithm.
(2) If the estimated expected casualty does To calculate maximum NEW given distance d (noting that d
not exceed 1 10¥ 4, the FAA will approve the can never be less than 236 ft):
0 d <236 ft: Not allowed (d cannot be less than 236 ft)
launch point. 236 ft d <658 ft: NEW = exp [(d/79.2)-3.678]
(3) If the estimated expected casualty ex- 658 ft d <1250 ft: NEW = exp [(d/389) + 2.914]
ceeds 1 10 ¥ 4, then an applicant may modify NEW is in lbs; d is in ft; exp[x] is ex.
its proposal and then repeat the impact risk
2 The public traffic route distance is 60 percent of the dis-

tance to a public area.

analysis in accordance with this appendix D.

TABLE E–2—DIVISION 1.1 DISTANCE TO PUBLIC AREA AND PUBLIC TRAFFIC ROUTE FOR NEW >450
LBS

NEW (lbs) Distance to public area Distance to public traffic route

(ft) 1 (ft)

450 lbs<NEW 30,000 lbs ...................................... 1,250 ............................. 750.

30,000 lbs<NEW 100,000 lbs ............................... 40*NEW 1/3 .................... 0.60*(Distance to Public Area).
100,000 lbs<NEW 250,000 lbs ............................. 2.42*NEW 0.577 .............. 0.60*(Distance to Public Area).

885
Pt. 420, App. E 14 CFR Ch. III (1–1–19 Edition)
TABLE E–2—DIVISION 1.1 DISTANCE TO PUBLIC AREA AND PUBLIC TRAFFIC ROUTE FOR NEW >450
LBS—Continued

NEW (lbs) Distance to public area Distance to public traffic route

(ft) 1 (ft)

250,000 lbs<NEW ................................................... 50*NEW 1/3 .................... 0.60*(Distance to Public Area).

1To calculate NEW from distance d to a public area:
1, 243 ft<d 1,857 ft: NEW = d3 /64,000
1, 857 ft<d 3,150 ft: NEW = 0.2162 * d 1.7331
3,150 ft<d: NEW = d3/125,000
NEW is in lbs; d is in ft.

TABLE E–3—DIVISION 1.1 INTRALINE TABLE E–3—DIVISION 1.1 INTRALINE

DISTANCES 1 2 3 DISTANCES 1 2 3—Continued

NEW Intraline Intraline

NEW
(lbs) Distance Distance
(ft) (lbs) (ft)

50 ................................................................. 66 150,000 ........................................................ 956

70 ................................................................. 74 200,000 ........................................................ 1,053
100 ............................................................... 84 300,000 ........................................................ 1,205
150 ............................................................... 96 500,000 3 ..................................................... 1,429
200 ............................................................... 105 700,000 ........................................................ 1,598
300 ............................................................... 120 1,000,000 ..................................................... 1,800
500 ............................................................... 143 1,500,000 ..................................................... 2,060
700 ............................................................... 160
2,000,000 ..................................................... 2,268
1,000 ............................................................ 180
3,000,000 ..................................................... 2,596
1,500 ............................................................ 206
5,000,000 ..................................................... 3,078
2,000 ............................................................ 227
3,000 ............................................................ 260 1 Tocalculate intraline distance d from NEW:
5,000 ............................................................ 308 d = 18*NEW 1/3
7,000 ............................................................ 344 NEW is in pounds; d is in feet
2 To calculate maximum NEW from given intraline distance
10,000 .......................................................... 388
15,000 .......................................................... 444 d:
20,000 .......................................................... 489 NEW = d3/5,832
NEW is in pounds; d is in feet.
30,000 .......................................................... 559 3 NEW values of more than 500,000 lbs only apply to liquid
50,000 .......................................................... 663 propellants with TNT equivalents equal to those NEW values.
70,000 .......................................................... 742 The intraline distances for NEW greater than 500,000 pounds
100,000 ........................................................ 835 do not apply to division 1.1 explosives.

TABLE E–4—DIVISION 1.3 SEPARATION DISTANCES

Distance to public area Intraline
NEW (lbs) or public traffic route
(ft) 1 distance (ft) 2

1000 ............................................................................................................. 75 50
1,500 .............................................................................................................. 82 56
2,000 .............................................................................................................. 89 61
3,000 .............................................................................................................. 101 68
5,000 .............................................................................................................. 117 80
7,000 .............................................................................................................. 130 88
10,000 ............................................................................................................ 145 98
15,000 ............................................................................................................ 164 112
20,000 ............................................................................................................ 180 122
30,000 ............................................................................................................ 204 138
50,000 ............................................................................................................ 240 163
70,000 ............................................................................................................ 268 181
100,000 .......................................................................................................... 300 204
150,000 .......................................................................................................... 346 234
200,000 .......................................................................................................... 385 260
300,000 .......................................................................................................... 454 303
500,000 .......................................................................................................... 569 372
700,000 .......................................................................................................... 668 428
1,000,000 ....................................................................................................... 800 500
1,500,000 ....................................................................................................... 936 577
2,000,000 ....................................................................................................... 1,008 630
1 Tocalculate distance d to a public area or traffic route from NEW:
NEW 1,000lbs
d= 75 ft
1,000 lbs<NEW 96,000 lbs
d = exp[2.47 + 0.2368*(ln(NEW)) + 0.00384*(ln(NEW))2]
96,000 lbs<NEW 1,000,000 lbs
d = exp[7.2297¥0.5984*(ln(NEW)) + 0.04046*(ln(NEW))2]
NEW >1,000,000 lbs

886
Commercial Space Transportation, FAA, DOT Pt. 420, App. E
d = 8*NEW 1/3
NEW is in pounds; d is in feet; exp[x] is ex; ln is natural logarithm.
To calculate NEW from distance d to a public area or traffic route (noting that d cannot be less than 75 ft):
0 d <75 ft:
Not allowed (d cannot be less than 75 ft) for NEW 1000 lbs
75 ft d296 ft
NEW = exp[¥ 30.833 + (307.465 + 260.417*(ln(d)))1/2]
296 ft<d800 ft
NEW = exp[7.395 + (¥ 124.002 + 24.716*(ln(d)))1/2]
800 ft<d
NEW = d3/512
NEW is in lbs; d is in ft; exp[x] is ex; ln is natural logarithm
2 To calculate intraline distance d from NEW:

NEW 1,000 lbs

d = 50 ft
1,000 lbs<NEW 84,000 lbs
d = exp[2.0325 + 0.2488*(ln(NEW)) + 0.00313* (ln(NEW))2]
84,000 lbs<NEW 1,000,000 lbs
d= exp[4.338¥ 0.1695*(ln(NEW)) + 0.0221*(ln(NEW))2]
1,000,000 lbs<NEW
d = 5*NEW 1/3
NEW is in pounds; d is in feet; exp[x] is ex; ln is natural logarithm
To calculate NEW from an intraline distance d:
0 d <50 ft:
Not allowed (d cannot be less than 50 ft) for NEW 1000 lbs
50 ft d192 ft
NEW = exp[¥ 39.744 + (930.257 + 319.49*(ln(d)))1/2]
192 ft<d500 ft
NEW = exp[3.834 + (¥ 181.58 + 45.249*(ln(d)))1/2]
500 ftd
NEW = d3/125
NEW is in pounds; d is in feet; exp[x] is ex; ln is natural logarithm

TABLE E–5—ENERGETIC LIQUID EXPLOSIVE EQUIVALENTS1 2 3

Energetic liquids TNT Equivalence TNT Equivalence

Static Test Stands ................................... Launch Pads.

LO2/LH2 ..................................................... See Note 3 .............................................. See Note 3.
LO2/LH2 + LO2/RP–1 ................................ Sum of (see Note 3 for LO2/LH2) + (10% Sum of (see Note 3 for LO2/LH2) + (20%
for LO2/RP1). for LO2/RP1).
LO2/RP–1 .................................................. 10% .......................................................... 20% up to 500,000 lbs
Plus 10% over 500,000 lbs
IRFNA/UDMH ............................................ 10% .......................................................... 10%.
N204/UDMH + N2H4 ................................... 5% ............................................................ 10%.
1 A launch site operator must use the percentage factors of table E–5 to determine TNT equivalencies of incompatible ener-
getic liquids that are within an intraline distance of each other.
2 A launch site operator may substitute the following energetic liquids to determine TNT equivalency under this table as fol-
lows:
Alcohols or other hydrocarbon for RP–1
H2O2 for LO2 (only when H2O2 is in combination with RP–1 or equivalent hydrocarbon fuel)
MMH for N2H4, UDMH, or combinations of the two.
3 TNT equivalency for LO /LH is the larger of:
2 2
(a) TNT equivalency of 8*W 2⁄3, where W is the weight of LO2/LH2 in lbs; or
(b) 14 percent of the LO2/LH2 weight.

TABLE E–6—FACTORS TO USE WHEN TABLE E–7—SEPARATION DISTANCE CRITERIA

CONVERTING ENERGETIC LIQUID DENSITIES FOR STORAGE OF HYDROGEN PEROXIDE IN
CONCENTRATIONS OF MORE THAN 91 PER-
Density Temperature
Item
(lb/gal) ( F) CENT1 2

Ethyl alcohol .................... 6.6 68 Intraline distance

Hydrazine ........................ 8.4 68 or distance to
Quantity public area or dis-
Hydrogen peroxide (90 (lbs) tance to public
percent) ........................ 11.6 68 traffic route
Liquid hydrogen ............... 0.59 ¥ 423 (ft)
Liquid oxygen .................. 9.5 ¥ 297
10,000 ...................................................... 510
Red fuming nitric acid
(IRFNA) ........................ 12.9 77 15,000 ...................................................... 592
RP–1 ................................ 6.8 68 20,000 ...................................................... 651
UDMH .............................. 6.6 68 30,000 ...................................................... 746
UDMH/Hydrazine ............. 7.5 68 50,000 ...................................................... 884
70,000 ...................................................... 989
100,000 .................................................... 1114
150,000 .................................................... 1275
200,000 .................................................... 1404
300,000 .................................................... 1607

887
Pt. 431 14 CFR Ch. III (1–1–19 Edition)
2 A launch site operator may use the equations below to de-
TABLE E–7—SEPARATION DISTANCE CRITERIA termine permissible distance or quantity between the entries
FOR STORAGE OF HYDROGEN PEROXIDE IN of table E–7:
CONCENTRATIONS OF MORE THAN 91 PER- W >10,000 lbs Distance = 24 * W1/3
Where Distance is in ft and W is in lbs.
CENT1 2—Continued
To calculate weight of hydrogen peroxide from a distance d:
d >75 ft
Intraline distance
or distance to W = exp[¥ 134.286 + 71.998*(ln(d)) ¥ 12.363*(ln(d))2 +
Quantity public area or dis- 0.7229*(ln(d))3]
(lbs) tance to public
traffic route
(ft)

500,000 .................................................... 1905

1Multiple tanks containing hydrogen peroxide in concentra-
tions of greater than 91 percent may be located at distances
less than those required by table E–7; however, if the tanks
are not separated from each other by 10 percent of the dis-
tance specified for the largest tank, then the launch site oper-
ator must use the total contents of all tanks to calculate each
intraline distance and the distance to each public area and
each public traffic route.

TABLE E–8—SEPARATION DISTANCE CRITERIA FOR STORAGE OF LIQUID HYDROGEN AND BULK
QUANTITIES OF HYDRAZINE
Public area Public area
Intraline dis- Intraline dis-
Pounds of Pounds of and intraline Pounds of Pounds of and intraline
tance to com- tance to com-
energetic energetic liq- distance to in- energetic liq- energetic liq- distance to in-
patible ener- patible ener-
liquid uid compatible en- uid uid compatible en-
getic liquids getic liquids
ergetic liquids ergetic liquids

Over Not Over Distance in Distance in Over Not Over Distance in Distance in
feet feet feet feet

60,000 70,000 1,200 130

100 .......... 200 600 35 70,000 80,000 1,200 130
200 .......... 300 600 40 80,000 90,000 1,200 135
300 .......... 400 600 45 90,000 100,000 1,200 135
400 .......... 500 600 50 100,000 125,000 1,800 140
500 .......... 600 600 50 125,000 150,000 1,800 145
600 .......... 700 600 55 150,000 175,000 1,800 150
700 .......... 800 600 55 175,000 200,000 1,800 155
800 .......... 900 600 60 200,000 250,000 1,800 160
900 .......... 1,000 600 60 250,000 300,000 1,800 165
1,000 ....... 2,000 600 65 300,000 350,000 1,800 170
2,000 ....... 3,000 600 70 350,000 400,000 1,800 175
3,000 ....... 4,000 600 75 400,000 450,000 1,800 180
4,000 ....... 5,000 600 80 450,000 500,000 1,800 180
5,000 ....... 6,000 600 80 500,000 600,000 1,800 185
6,000 ....... 7,000 600 85 600,000 700,000 1,800 190
7,000 ....... 8,000 600 85 700,000 800,000 1,800 195
8,000 ....... 9,000 600 90 800,000 900,000 1,800 200
9,000 ....... 10,000 600 90 900,000 1,000,000 1,800 205
10,000 ..... 15,000 1,200 95 1,000,000 2,000,000 1,800 235
15,000 ..... 20,000 1,200 100 2,000,000 3,000,000 1,800 255
20,000 ..... 25,000 1,200 105 3,000,000 4,000,000 1,800 265
25,000 ..... 30,000 1,200 110 4,000,000 5,000,000 1,800 275
30,000 ..... 35,000 1,200 110 5,000,000 6,000,000 1,800 285
35,000 ..... 40,000 1,200 115 6,000,000 7,000,000 1,800 295
40,000 ..... 45,000 1,200 120 7,000,000 8,000,000 1,800 300
45,000 ..... 50,000 1,200 120 8,000,000 9,000,000 1,800 305
50,000 ..... 60,000 1,200 125 9,000,000 10,000,000 1,800 310

[Doc. No. FAA–2011–0105, 77 FR 55116, Sept. 7, PART 431—LAUNCH AND REENTRY

2012]
OF A REUSABLE LAUNCH VEHI-
CLE (RLV)
PARTS 421–430 [RESERVED]
Subpart A—General
Sec.
431.1 General.

888
Commercial Space Transportation, FAA, DOT § 431.3
431.3 Types of reusable launch vehicle mis- 431.73 Continuing accuracy of license appli-
sion licenses. cation; application for modification of li-
431.5 Policy and safety approvals. cense.
431.7 Payload and payload reentry deter- 431.75 Agreements.
minations. 431.77 Records.
431.8 Human space flight. 431.79 Reusable launch vehicle mission re-
431.9 Issuance of a reusable launch vehicle porting requirements.
mission license. 431.81 Financial responsibility require-
431.11 Additional license terms and condi- ments.
tions. 431.83 Compliance monitoring.
431.13 Transfer of a reusable launch vehicle 431.85 Registration of space objects. 431.86–
mission license. 431.90 [Reserved]
431.15 Rights not conferred by a reusable
launch vehicle mission license. Subpart F—Environmental Review
431.16–431.20 [Reserved]
431.91 General.
Subpart B—Policy Review and Approval for 431.93 Environmental information.
Launch and Reentry of a Reusable AUTHORITY: 51 U.S.C. 50901–50923.
Launch Vehicle
SOURCE: Docket No. FAA–1999–5535, 65 FR
431.21 General. 56658, Sept. 19, 2000, unless otherwise noted.
431.23 Policy review.
431.25 Application requirements for policy Subpart A—General
review.
431.27 Denial of policy approval. 431.28– § 431.1 General.
431.30 [Reserved]
(a) Scope. This part prescribes re-
Subpart C—Safety Review and Approval quirements for obtaining a reusable
for Launch and Reentry of a Reusable launch vehicle (RLV) mission license
Launch Vehicle and post-licensing requirements with
which a licensee must comply to re-
431.31 General. main licensed. Requirements for pre-
431.33 Safety organization.
paring a license application are con-
431.35 Acceptable reusable launch vehicle
mission risk.
tained in part 413 of this subchapter.
431.37 Mission readiness. (b) Equivalent level of safety. Each re-
431.39 Mission rules, procedures, contin- quirement of this part applies unless
gency plans, and checklists. the applicant or licensee clearly and
431.41 Communications plan. convincingly demonstrates that an al-
431.43 Reusable launch vehicle mission oper- ternative approach provides an equiva-
ational requirements and restrictions. lent level of safety to the requirement
431.45 Mishap investigation plan and emer- of this part.
gency response plan.
431.47 Denial of safety approval. 431.48– [Doc. No. FAA–2016–6761, Amdt. No. 431–6, 83
431.50 [Reserved] FR 28535, June 20, 2018]

Subpart D—Payload Reentry Review and § 431.3 Types of reusable launch vehi-
Determination cle mission licenses.

431.51 General.
(a) Mission-specific license. A mission-
431.53 Classes of payloads. specific license authorizing an RLV
431.55 Payload reentry review. mission authorizes a licensee to launch
431.57 Information requirements for payload and reenter, or otherwise land, one
reentry review. model or type of RLV from a launch
431.59 Issuance of payload reentry deter- site approved for the mission to a re-
mination. entry site or other location approved
431.61 Incorporation of payload reentry de- for the mission. A mission-specific li-
termination in license application. cense authorizing an RLV mission may
431.62–431.70 [Reserved]
authorize more than one RLV mission
Subpart E—Post-Licensing Requirements— and identifies each flight of an RLV au-
Reusable Launch Vehicle Mission Li- thorized under the license. A licensee’s
cense Terms and Conditions authorization to conduct RLV missions
terminates upon completion of all ac-
431.71 Public safety responsibility. tivities authorized by the license or the

889
§ 431.5 14 CFR Ch. III (1–1–19 Edition)
expiration date stated in the reentry li- § 431.8 Human space flight.
cense, whichever occurs first. To obtain a license, an applicant pro-
(b) Operator license. An operator li-
posing to conduct a reusable launch ve-
cense for RLV missions authorizes a li- hicle mission with flight crew or a
censee to launch and reenter, or other- space flight participant on board must
wise land, any of a designated family of demonstrate compliance with §§ 460.5,
RLVs within authorized parameters, 460.7, 460.11, 460.13, 460.15, 460.17, 460.51
including launch sites and trajectories, and 460.53 of this subchapter.
transporting specified classes of pay-
loads to any reentry site or other loca- [Doc. No. FAA–2005–23449, 71 FR 75632, Dec.
tion designated in the license. An oper- 15, 2006]
ator license for RLV missions is valid
§ 431.9 Issuance of a reusable launch
for a two-year renewable term.
vehicle mission license.
§ 431.5 Policy and safety approvals. (a) The FAA issues either a mission-
To obtain either type of RLV mission specific or operator license authorizing
license, an applicant must obtain pol- RLV missions to an applicant who has
icy and safety approvals from the FAA. obtained all approvals and determina-
Requirements for obtaining these ap- tions required under this chapter for
provals are contained in subparts B and the license.
C of this part. Only the license appli- (b) An RLV mission license author-
cant may apply for the approvals, and izes a licensee to launch and reenter, or
may apply for either approval sepa- otherwise land, an RLV and payload, if
rately and in advance of submitting a any, in accordance with the representa-
complete license application, using the tions contained in the licensee’s appli-
application procedures contained in cation, subject to the licensee’s com-
part 413 of this subchapter. pliance with terms and conditions con-
tained in license orders accompanying
§ 431.7 Payload and payload reentry the license, including financial respon-
determinations. sibility requirements.
(a) A payload determination is re- § 431.11 Additional license terms and
quired to launch a payload unless the conditions.
proposed payload is exempt from pay-
load review under § 415.53 of this chap- The FAA may amend an RLV mis-
ter. Requirements for obtaining a pay- sion license at any time by modifying
load determination are set forth in or adding license terms and conditions
part 415, subpart D of this chapter. to ensure compliance with 51 U.S.C.
(b) A payload reentry determination Subtitle V, chapter 509, and applicable
is required to reenter a payload to regulations.
Earth on an RLV unless the proposed [Doc. No. FAA–2012–0232, 77 FR 20533, Apr. 5,
payload is exempt from payload re- 2012]
entry review.
(c) A payload reentry determination § 431.13 Transfer of a reusable launch
made under a previous license applica- vehicle mission license.
tion under this subchapter may satisfy (a) Only the FAA may transfer an
the requirements of paragraph (b) of RLV mission license.
this section. (b) An applicant for transfer of an
(d) The FAA conducts a review, as de- RLV mission license shall submit a li-
scribed in subpart D of this part, to cense application in accordance with
make a payload reentry determination. part 413 of this subchapter and satisfy
Either an RLV mission license appli- the applicable requirements of this
cant or a payload owner or operator part. The FAA will transfer an RLV
may request a review of the proposed mission license to an applicant who has
payload using the application proce- obtained all of the approvals and deter-
dures contained in part 413 of this sub- minations required under this chapter
chapter. Upon receipt of an applica- for an RLV mission license. In con-
tion, the FAA may conduct a payload ducting its reviews and issuing approv-
reentry review independently of an als and determinations, the FAA may
RLV mission license application. incorporate any findings made part of

890
Commercial Space Transportation, FAA, DOT § 431.27
the record to support the initial licens- under paragraph (a) of this section, as-
ing determination. The FAA may mod- sociated with an applicant’s RLV mis-
ify an RLV mission license to reflect sion proposal.
any changes necessary as a result of a (c) The FAA advises an applicant, in
license transfer. writing, of any issue raised during a
policy review that would impede
§ 431.15 Rights not conferred by a re- issuance of a policy approval. The ap-
usable launch vehicle mission li- plicant may respond, in writing, or re-
cense.
vise its license application.
Issuance of an RLV mission license
does not relieve a licensee of its obliga- § 431.25 Application requirements for
tion to comply with requirements of policy review.
law that may apply to its activities. In its RLV mission license applica-
tion, an applicant must—
§§ 431.16–431.20 [Reserved]
(a) Identify the model, type, and con-
figuration of any RLV proposed for
Subpart B—Policy Review and Ap- launch and reentry, or otherwise land-
proval for Launch and Reentry ing on Earth, by the applicant.
of a Reusable Launch Vehi- (b) Identify all vehicle systems, in-
cle cluding structural, thermal, pneu-
matic, propulsion, electrical, and avi-
§ 431.21 General. onics and guidance systems used in the
The FAA issues a policy approval to vehicle(s), and all propellants.
an RLV mission license applicant upon (c) Identify foreign ownership of the
completion of a favorable policy re- applicant as follows:
view. A policy approval is part of the (1) For a sole proprietorship or part-
licensing record on which the licensing nership, identify all foreign ownership;
determination is based. (2) For a corporation, identify any
foreign ownership interests of 10% or
§ 431.23 Policy review. more; and
(a) The FAA reviews an RLV mission (3) For a joint venture, association,
license application to determine or other entity, identify any partici-
whether the proposed mission presents pating foreign entities.
any issues, other than those issues ad- (d) Identify proposed launch and re-
dressed in the safety review, that entry flight profile(s), including—
would adversely affect U.S. national se- (1) Launch and reentry site(s), in-
curity or foreign policy interests, cluding planned contingency abort lo-
would jeopardize public health and cations, if any;
safety or the safety of property, or (2) Flight trajectories, reentry trajec-
would not be consistent with inter- tories, associated ground tracks, and
national obligations of the United instantaneous impact points for nomi-
States. nal operations, and contingency abort
(b) Interagency consultation is con- profiles, if any;
ducted as follows: (3) Sequence of planned events or ma-
(1) The FAA consults with the De- neuvers during the mission; and for an
partment of Defense to determine orbital mission, the range of inter-
whether an RLV mission license appli- mediate and final orbits of the vehicle
cation presents any issues adversely af- and upper stages, if any, and their esti-
fecting U.S. national security. mated orbital life times.
(2) The FAA consults with the De-
partment of State to determine wheth- § 431.27 Denial of policy approval.
er an RLV mission license application The FAA notifies an applicant, in
presents any issues adversely affecting writing, if the FAA has denied policy
U.S. foreign policy interests or inter- approval for an RLV mission license
national obligations. application. The notice states the rea-
(3) The FAA consults with other Fed- sons for the FAA’s determination. The
eral agencies, including the National applicant may respond to the reasons
Aeronautics and Space Administration, for the determination and request re-
authorized to address issues identified consideration.

891
§§ 431.28–431.30 14 CFR Ch. III (1–1–19 Edition)

§§ 431.28–431.30 [Reserved] (c) An applicant shall designate by

name, title, and qualifications, a quali-
Subpart C—Safety Review and fied safety official authorized by the
applicant to examine all aspects of the
Approval for Launch and Re- applicant’s operations with respect to
entry of a Reusable Launch safety of RLV mission activities and to
Vehicle monitor independently compliance by
vehicle safety operations personnel
§ 431.31 General.
with the applicant’s safety policies and
(a) The FAA conducts a safety review procedures. The safety official shall re-
to determine whether an applicant is port directly to the person responsible
capable of launching an RLV and pay- for an applicant’s licensed RLV mis-
load, if any, from a designated launch sion activities, who shall ensure that
site, and reentering the RLV and pay- all of the safety official’s concerns are
load, if any, to a designated reentry addressed both before a mission is ini-
site or location, or otherwise landing it tiated and before reentry or descent
on Earth, without jeopardizing public flight of an RLV is initiated. The safe-
health and safety and the safety of ty official is responsible for—
property. (1) Monitoring and evaluating oper-
(b) The FAA issues a safety approval ational dress rehearsals to ensure they
to an RLV mission license applicant are conducted in accordance with pro-
that satisfies the requirements of this cedures required by § 431.37(a)(4) and
Subpart. The FAA evaluates on an in- under § 431.37(a)(1)(iv) to ensure the
dividual basis all public safety aspects readiness of vehicle safety operations
of a proposed RLV mission to ensure personnel to conduct a safe mission
they are sufficient to support safe con- under nominal and non-nominal condi-
duct of the mission. A safety approval tions; and
is part of the licensing record on which (2) Completing a mission readiness
the FAA’s licensing determination is determination as required by § 431.37
based. before an RLV mission is initiated. The
(c) The FAA advises an applicant, in safety official must monitor and report
writing, of any issue raised during a to the person responsible for the con-
safety review that would impede duct of licensed RLV mission activities
issuance of a safety approval. The ap- any non-compliance with procedures
plicant may respond, in writing, or re- listed in §§ 431.37 and 431.43, or any rep-
vise its license application. resentation contained in the applica-
tion, and the readiness of the licensee
§ 431.33 Safety organization. to conduct mission operations in ac-
(a) An applicant shall maintain a cordance with the license and this part.
safety organization and document it by The safety official is responsible for
identifying lines of communication and compliance with §§ 431.37 and 431.43, and
approval authority for all mission deci- with representations contained in the
sions that may affect public safety. application.
Lines of communication within the ap-
plicant’s organization, between the ap- § 431.35 Acceptable reusable launch
plicant and the launch site, and be- vehicle mission risk.
tween the applicant and the reentry (a) To obtain safety approval for an
site, shall be employed to ensure that RLV mission, an applicant must dem-
personnel perform RLV mission oper- onstrate that the proposed mission
ations in accordance with plans and does not exceed acceptable risk as de-
procedures required by this subpart. fined in this subpart. For purposes of
Approval authority shall be employed this section, the mission commences
to ensure compliance with terms and upon initiation of the launch phase of
conditions stated in an RLV mission li- flight and consists of launch flight
cense and with the plans and proce- through orbital insertion of an RLV or
dures required by this subpart. vehicle stage or flight to outer space,
(b) An applicant must designate a whichever is applicable, and reentry or
person responsible for the conduct of descent flight, and concludes upon
all licensed RLV mission activities. landing on Earth of the RLV.

892
Commercial Space Transportation, FAA, DOT § 431.37
(b) Acceptable risk for a proposed (6) Provide a timeline identifying all
mission is measured in terms of the ex- safety-critical events;
pected average number of casualties (7) Provide data that verifies the risk
(Ec). elimination and mitigation measures
(1) To obtain safety approval, an ap- resulting from the applicant’s system
plicant must demonstrate the fol- safety analyses required by paragraph
lowing for public risk: (c) of this section; and
(i) The risk to the collective mem- (8) Provide flight trajectory analyses
bers of the public from the proposed covering launch or ascent of the vehi-
launch meets the public risk criteria of cle through orbital insertion and re-
§ 417.107(b)(1) of this chapter; entry or descent of the vehicle through
(ii) The risk level to the collective landing, including its three-sigma dis-
members of the public, excluding per- persion.
sons in water-borne vessels and air-
craft, from each proposed reentry does [Doc. No. FAA–1999–5535, 65 FR 56658, Sept.
not exceed an expected number of 1  19, 2000, as amended by Amdt. 431–2, 72 FR
10¥ 4 casualties from impacting inert 17019, Apr. 6, 2007; Docket No. FAA–2014–0418,
and explosive debris and toxic release Amdt. No. 431–4, 81 FR 47027, July 20, 2016]
associated with the reentry; and
§ 431.37 Mission readiness.
(iii) The risk level to an individual
does not exceed 1 10¥ 6 probability of (a) Mission readiness requirements. An
casualty per mission. applicant shall submit the following
(2) [Reserved] procedures for verifying mission readi-
(c) To demonstrate compliance with ness:
acceptable risk criteria in this section, (1) Mission readiness review proce-
an applicant shall employ a system dures that involve the applicant’s vehi-
safety process to identify the hazards cle safety operations personnel, and
and assess the risks to public health launch site and reentry site personnel
and safety and the safety of property involved in the mission. The proce-
associated with the mission, including dures shall ensure a mission readiness
nominal and non-nominal operation review is conducted during which the
and flight of the vehicle and payload, if designated individual responsible for
any. An acceptable system safety anal- the conduct of licensed activities under
ysis identifies and assesses the prob- § 431.33(b) is provided with the following
ability and consequences of any reason- information to make a judgment as to
ably foreseeable hazardous event, and mission readiness—
safety-critical system failures during (i) Readiness of the RLV including
launch flight or reentry that could re-
safety-critical systems and payload for
sult in a casualty to the public.
launch and reentry flight;
(d) As part of the demonstration re-
(ii) Readiness of the launch site, per-
quired under paragraph (c) of this sec-
sonnel, and safety-related launch prop-
tion, an applicant must—
erty and launch services to be provided
(1) Identify and describe the struc-
ture of the RLV, including physical di- by the launch site;
mensions and weight; (iii) Readiness of the reentry site,
(2) Identify and describe any haz- personnel, and safety-related property
ardous materials, including radioactive and services for reentry flight and ve-
materials, and their container on the hicle recovery;
RLV; (iv) Readiness of vehicle safety oper-
(3) Identify and describe safety-crit- ations personnel to support mission
ical systems; flight, including results of dress re-
(4) Identify and describe all safety- hearsals and simulations conducted in
critical failure modes and their con- accordance with paragraph (a)(4) of
sequences; this section;
(5) Provide drawings and schematics (v) Mission rules and constraints, in-
for eachsafety-critical system identi- cluding contingency abort plans and
fied under paragraph (d)(3) of this sec- procedures, if any, as required under
tion; § 431.39;

893
§ 431.39 14 CFR Ch. III (1–1–19 Edition)
(vi) Unresolved safety issues identi- § 431.41 Communications plan.
fied during the mission readiness re-
(a) An applicant shall submit a plan
view and plans for addressing them; providing vehicle safety operations
and personnel communications procedures
(vii) Any additional safety informa- during the mission. Procedures for ef-
tion required by the individual des- fective issuance and communication of
ignated under § 431.33(b) to determine safety-critical information during the
launch and reentry readiness. mission shall include hold/resume, go/
(2) Procedures that ensure mission no go, contingency abort, if any, and
constraints, rules, contingency abort emergency abort commands by vehicle
and emergency abort procedures are safety operations personnel. The com-
listed and consolidated in a safety di- munications plan shall describe the au-
rective or notebook approved by the thority of vehicle safety operations
person designated by the applicant personnel, by individual or position
under § 431.33(b), the launch site oper- title, to issue these commands. The
ator, and the reentry site operator, if communications plan shall ensure
any; that—
(3) Procedures that ensure currency (1) Communication networks are as-
and consistency of licensee, launch site signed so that personnel identified
operator, and reentry site operator under this section have direct access to
checklists; real-time, safety-critical information
required for making decisions and
(4) Dress rehearsal procedures that—
issuing commands;
(i) Ensure crew readiness under nomi-
(2) Personnel identified under this
nal and non-nominal flight conditions;
section monitor a common intercom
(ii) Contain criteria for determining channel for safety-critical communica-
whether to dispense with or add one or tions during launch and reentry;
more dress rehearsals; and (3) A protocol is established for uti-
(iii) Verify currency and consistency lizing defined radio communications
of licensee, launch site operator, and terminology; and
reentry site operator checklists; and (4) Communications affecting the
(5) Procedures for ensuring the li- safety of the mission are recorded in a
censee’s vehicle safety operations per- manner that accurately reflects com-
sonnel adhere to crew rest rules of this munications made on individual chan-
part. nels, synchronized time coding, and se-
(b) [Reserved] quence of communications.
(b) An applicant shall submit proce-
§ 431.39 Mission rules, procedures, dures to ensure that licensee and re-
contingency plans, and checklists. entry site personnel, if any, receive a
(a) An applicant shall submit mission copy of the communications plan re-
rules, procedures, checklists, emer- quired by this section and that the re-
gency plans, and contingency abort entry site operator, if any, concurs
plans, if any, that ensure safe conduct with the communications plan.
of mission operations during nominal
§ 431.43 Reusable launch vehicle mis-
and non-nominal vehicle flight. sion operational requirements and
(b) Mission rules, procedures, check- restrictions.
lists, emergency plans, and contin-
(a) An applicant for RLV mission
gency abort plans must be contained in
safety approval shall submit proce-
a safety directive, notebook, or other dures—
compilation that is approved by the (1) That ensure RLV mission risks do
safety official designated under not exceed the criteria set forth in
§ 431.33(c) and concurred in by the § 431.35 for nominal and non-nominal
launch site operator and reentry site operations;
operator, if any. (2) That ensure conformance with the
(c) Vehicle safety operations per- system safety process and associated
sonnel must have current and con- hazard identification and risk assess-
sistent mission checklists. ment required under § 431.35(c);

894
Commercial Space Transportation, FAA, DOT § 431.43
(3) That ensure conformance with riod, or portion there of, beginning at
operational restrictions listed in para- the time the state vectors of the orbit-
graphs (c) through (e) of this section; ing objects were determined;
(4) To monitor and verify the status (2) The projected instantaneous im-
of RLV safety-critical systems suffi- pact point (IIP) of the vehicle shall not
ciently before enabling both launch have substantial dwell time over dense-
and reentry flight to ensure public ly populated areas during any segment
safety and during mission flight unless of mission flight;
technically infeasible; and (3) There will be no unplanned phys-
(5) For human activation or initi- ical contact between the vehicle or its
ation of a flight safety system that components and payload after payload
safely aborts the launch of an RLV if separation and debris generation will
the vehicle is not operating within ap- not result from conversion of energy
proved mission parameters and the ve- sources into energy that fragments the
hicle poses risk to public health and vehicle or its payload. Energy sources
safety and the safety of property in ex- include, but are not limited to, chem-
cess of acceptable flight risk as defined
ical, pneumatic, and kinetic energy;
in § 431.35.
and
(b) To satisfy risk criteria set forth
in § 431.35(b)(1), an applicant for RLV (4) Vehicle safety operations per-
mission safety approval shall identify sonnel shall adhere to the following
suitable and attainable locations for work and rest standards:
nominal landing and vehicle staging (i) A maximum 12-hour work shift
impact or landing, if any. An applica- with at least 8 hours of rest after 12
tion shall identify such locations for a hours of work, preceding initiation of
contingency abort if necessary to sat- an RLV reentry mission or during the
isfy risk criteria contained in conduct of a mission;
§ 431.35(b)(1) during launch of an RLV. (ii) A maximum of 60 hours worked in
A nominal landing, vehicle staging im- the 7 days, preceding initiation of an
pact and contingency abort location RLV mission;
are suitable for launch or reentry if— (iii) A maximum of 14 consecutive
(1) For any vehicle or vehicle stage, work days; and
the area of the predicted three-sigma (iv) A minimum 48-hour rest period
dispersion of the vehicle or vehicle after 5 consecutive days of 12-hour
stage can be wholly contained within shifts.
the designated location; and (d) In addition to requirements of
(2) The location is of sufficient size to paragraph (c) of this section, any
contain landing impacts, including de- unproven RLV may only be operated so
bris dispersion upon impact and any that during any portion of flight—
toxic release. (1) The projected instantaneous im-
(c) For an RLV mission— pact point (IIP) of the vehicle does not
(1) A collision avoidance analysis
have substantial dwell time over popu-
shall be performed in order to maintain
lated areas; or
at least a 200-kilometer separation
from any inhabitable orbiting object (2) The expected number of casualties
to members of the public does not ex-
during launch and reentry. The anal-
ysis shall address: ceed 1 10¥ 4 given a probability of ve-
(i) For launch, closures in a planned hicle failure equal to 1 (pf=1) at any
launch window for ascent to outer time the IIP is over a populated area;
space or, for an orbital RLV, to initial (e) Any RLV that enters Earth orbit
orbit through at least one complete may only be operated such that the ve-
orbit; hicle operator is able to—
(ii) For reentry, the reentry trajec- (1) Monitor and verify the status of
tory; safety-critical systems before enabling
(iii) Expansions of the closure period reentry flight to assure the vehicle can
by subtracting 15 seconds from the clo- reenter safely to Earth; and
sure start-time and adding 15 seconds (2) Issue a command enabling reentry
to the closure end-time for each se- flight of the vehicle. Reentry flight
quential 90 minutes elapsed time pe- cannot be initiated autonomously

895
§ 431.45 14 CFR Ch. III (1–1–19 Edition)
under nominal circumstances without The report shall identify the event as
prior enable. either a launch or reentry accident or
[Docket No. FAA–1999–5535, 65 FR 56658, Sept.
incident and must include the fol-
19, 2000, as amended by Docket No. FAA– lowing information:
2014–0418, Amdt. No. 431–4, 81 FR 47027, July (i) Date and time of occurrence;
20, 2016] (ii) Description of the event and se-
quence of events leading to the acci-
§ 431.45 Mishap investigation plan and dent or incident, to the extent known;
emergency response plan. (iii) Intended and actual location of
(a) Mishap investigation plan and emer- launch and reentry or other landing on
gency response plan. An applicant shall Earth;
submit a mishap investigation plan (iv) Identification of the vehicle;
(MIP) containing the applicant’s proce- (v) Identification of the payload, if
dures for reporting and responding to applicable;
launch and reentry accidents, launch (vi) Number and general description
and reentry incidents, or other mis- of any fatalities and injuries;
haps, as defined in § 401.5 of this chap- (vii) Property damage, if any, and an
ter, that occur during the conduct of estimate of its value;
an RLV mission. An acceptable MIP (viii) Identification of hazardous ma-
satisfies the requirements of para- terials, as defined in § 401.5 of this chap-
graphs (b)–(d) of this section. An appli- ter, involved in the event, whether on
cant shall also submit an emergency the vehicle, payload, or on the ground;
response plan (ERP) that contains pro- (ix) Action taken by any person to
cedures for informing the affected pub- contain the consequences of the event;
lic of a planned RLV mission. An ac- (x) Weather conditions at the time of
ceptable ERP satisfies the require- the event; and
ments of paragraph (e) of this section. (xi) Potential consequences for other
The MIP and ERP shall be signed by an vehicles or systems of similar type and
individual authorized to sign and cer- proposed operations.
tify the application in accordance with (c) Response plan. A MIP must con-
§ 413.7(c) of this chapter, the person re- tain procedures to—
sponsible for the conduct of all licensed (1) Ensure the consequences of a
RLV mission activities designated launch accident, launch incident, re-
under § 431.33(b) of this subpart, and the entry accident, reentry incident, or
safety official designated under other mishap occurring in the conduct
§ 431.33(c) of this subpart. of an RLV mission are contained and
(b) Report requirements. A MIP shall minimized;
provide for— (2) Ensure data and physical evidence
(1) Immediate notification to the are preserved;
FAA Washington Operations Center in (3) Require the licensee to report and
case of a launch or reentry accident, to cooperate with FAA and the Na-
launch or reentry incident, or a mishap tional Transportation Safety Board in-
that involves a fatality or serious in- vestigations and designate one or more
jury (as defined in 49 CFR 830.2); points of contact for the FAA or NTSB;
(2) Notification within 24 hours to and;
the Associate Administrator for Com- (4) Require the licensee to identify
mercial Space Transportation in the and adopt preventive measures for
event of a mishap that does not involve avoiding recurrence of the event.
a fatality or serious injury, as defined (d) Investigation plan. A MIP shall
in 49 CFR 830.2; and contain—
(3) Submission of a written prelimi- (1) Procedures for investigating the
nary report to the FAA Associate Ad- cause of an event described in para-
ministrator for Commercial Space graph (c)(1) of this section;
Transportation in the event of a launch (2) Procedures for reporting inves-
accident or launch incident occurring tigation results to the FAA;
in the conduct of an RLV mission, or (3) Delineated responsibilities, in-
reentry accident or reentry incident, cluding reporting responsibilities, for
occurring in the conduct of an RLV personnel assigned to conduct inves-
mission, within 5 days of the event. tigations and for any unrelated entities

896
Commercial Space Transportation, FAA, DOT § 431.57
retained by the licensee to conduct or § 431.53 Classes of payloads.
participate in investigations. (a) The FAA may approve the return
(e) Emergency response plan. An ERP of a type or class of payload (for exam-
shall provide for— ple, communications or microgravity/
(1) Notification to local officials in scientific satellites).
the event of an off-site or unplanned (b) The RLV mission licensee that
landing so that vehicle recovery can be will return a payload approved for re-
conducted safely and effectively and entry under this section, is responsible
with minimal risk to public safety. The for providing current information in
plan must provide for the quick dis- accordance with § 431.57 regarding the
semination of up to date information payload proposed for reentry no later
to the public, and for doing so in ad- than 60 days before a scheduled RLV
vance of reentry or other landing on mission involving that payload.
Earth to the extent practicable; and § 431.55 Payload reentry review.
(2) A public information dissemina-
tion plan for informing the potentially (a) In conducting a payload reentry
review to decide if the FAA should ap-
affected public, in laymen’s terms and
prove reentry of a payload, the FAA
in advance of a planned reentry, of the
determines whether its reentry pre-
estimated date, time and landing loca- sents any issues that would adversely
tion for the reentry activity. affect U.S. national security or foreign
policy interests, would jeopardize pub-
§ 431.47 Denial of safety approval.
lic health and safety or the safety of
The FAA notifies an applicant, in property, or would not be consistent
writing, if the FAA has denied safety with international obligations of the
approval for an RLV mission license United States.
application. The notice states the rea- (b) The FAA consults with the De-
sons for the FAA’s determination. The partment of Defense to determine
applicant may respond to the reasons whether reentry of a proposed payload
for the determination and request re- presents any issues adversely affecting
consideration. U.S. national security.
(c) The FAA consults with the De-
§§ 431.48–431.50 [Reserved] partment of State to determine wheth-
er reentry of a proposed payload pre-
sents any issues adversely affecting
Subpart D—Payload Reentry U.S. foreign policy interests or inter-
Review and Determination national obligations.
(d) The FAA consults with other Fed-
§ 431.51 General. eral agencies, including the National
(a) A payload reentry review is con- Aeronautics and Space Administration,
ducted to examine the policy and safe- authorized to address issues identified
ty issues related to the proposed re- under paragraph (a) of this section.
entry of a payload, other than a U.S. (e) The FAA advises a person request-
Government payload or a payload ing a payload reentry determination,
whose reentry is subject to regulation in writing, of any issue raised during a
by another Federal agency, to deter- payload reentry review that would im-
mine whether the FAA will approve re- pede the issuance of a favorable deter-
entry of the payload. mination to reenter that payload. The
person requesting a payload reentry re-
(b) A payload reentry review may be
view may respond, in writing, or revise
conducted as part of an RLV mission
its application.
license application review or may be
requested by a payload owner or oper- § 431.57 Information requirements for
ator in advance of or separate from an payload reentry review.
RLV mission license application. A person requesting reentry review of
(c) A payload reentry determination a particular payload or payload class
will be made part of the licensing must identify the following:
record on which the FAA’s licensing (a) Payload name or class and func-
determination is based. tion;

897
§ 431.59 14 CFR Ch. III (1–1–19 Edition)
(b) Physical characteristics, dimen- §§ 431.62–431.70 [Reserved]
sions, and weight of the payload;
(c) Payload owner and operator, if Subpart E—Post-Licensing Re-
different from the person requesting quirements—Reusable Launch
the payload reentry review; Vehicle Mission License Terms
(d) Type, amount, and container of and Conditions
hazardous materials, as defined in
§ 401.5 of this chapter, and radioactive § 431.71 Public safety responsibility.
materials in the payload; (a) A licensee is responsible for en-
(e) Explosive potential of payload suring the safe conduct of an RLV mis-
materials, alone and in combination sion and for protecting public health
with other materials found on the pay- and safety and the safety of property
load or RLV during reentry; during the conduct of the mission.
(f) Designated reentry site(s); and (b) A licensee must conduct a li-
(g) Method for securing the payload censed RLV mission and perform RLV
on the RLV. safety procedures in accordance with
representations made in its license ap-
§ 431.59 Issuance of payload reentry plication. A licensee’s failure to per-
determination. form safety procedures in accordance
with the representations made in the
(a) The FAA issues a favorable pay- license application or comply with any
load reentry determination unless it license condition is sufficient basis for
determines that reentry of the pro- the revocation of a license or other ap-
posed payload would adversely affect propriate nforcement action.
U.S. national security or foreign policy
interests, would jeopardize public § 431.73 Continuing accuracy of li-
health and safety or the safety of prop- cense application; application for
erty, or would not be consistent with modification of license.
international obligations of the United (a) A licensee is responsible for the
States. The FAA responds to any per- continuing accuracy of representations
son who has requested a payload re- contained in its application for the en-
entry review of its determination in tire term of the license.
writing. The notice states the reasons (b) After a license has been issued, a
for the determination in the event of licensee must apply to the FAA for
an unfavorable determination. modification of the license if—
(1) The licensee proposes to conduct
(b) Any person issued an unfavorable
an RLV mission or perform a safety-
payload reentry determination may re- critical operation in a manner not au-
spond to the reasons for the determina- thorized by the license; or
tion and request reconsideration. (2) Any representation contained in
the license application that is material
§ 431.61 Incorporation of payload re- to public health and safety or the safe-
entry determination in license ap-
ty of property is no longer accurate
plication.
and complete or does not reflect the li-
A favorable payload reentry deter- censee’s procedures governing the ac-
mination issued for a payload or class tual conduct of an RLV mission. A
of payload may be included by an RLV change is material to public health and
mission license applicant as part of its safety or the safety of property if it al-
application. Before the conduct of an ters or affects the—
RLV mission involving a payload ap- (i) Mission rules, procedures, check-
proved for reentry, any change in infor- lists, emergency plans, and contin-
mation provided under § 431.57 must be gency abort plans, if any, submitted in
reported by the licensee in accordance accordance with § 431.39
with § 413.17 of this chapter. The FAA (ii) Class of payload;
determines whether a favorable pay- (iii) Type of RLV;
load reentry determination remains (iv) Any safety-critical system;
(v) Type and container of the haz-
valid and may conduct an additional
ardous material carried by the vehicle;
payload reentry review.
(vi) Flight trajectory;

898
Commercial Space Transportation, FAA, DOT § 431.79
(vii) Launch site or reentry site or to a launch or reentry and other meas-
other landing location; or ures as the Coast Guard deems nec-
(viii) Any safety system, policy, pro- essary to protect public health and
cedure, requirement, criteria, or stand- safety; and
ard. (2) An agreement between the li-
(c) An application to modify an RLV censee and the FAA regional office
mission license must be prepared and having jurisdiction over the airspace
submitted in accordance with part 413 through which a launch and reentry
of this chapter. The licensee must indi- will take place, to establish procedures
cate any part of its license or license for the issuance of a Notice to Airmen
application that would be changed or prior to the conduct of a licensed
affected by a proposed modification. launch or reentry and for closing of air
(d) The FAA reviews determinations routes during the respective launch
and approvals required by this chapter and reentry windows and other meas-
to determine whether they remain ures deemed necessary by the FAA re-
valid after submission of a proposed gional office in order to protect public
modification. health and safety.
(e) Upon approval of a modification,
the FAA issues either a written ap- § 431.77 Records.
proval to the licensee or a license order
(a) Except as specified in paragraph
amending the license if a stated term
(b) of this section, a licensee shall
or condition of the license is changed,
maintain for 3 years all records, data,
added, or deleted. An approval has the
and other material necessary to verify
full force and effect of a license order
that a licensed RLV mission is con-
and is part of the licensing record.
ducted in accordance with representa-
§ 431.75 Agreements. tions contained in the licensee’s appli-
cation.
(a) Launch and reentry site use agree-
(b) In the event of a launch accident,
ments. Before conducting a licensed
reentry accident, launch incident or re-
RLV mission using property and serv-
entry incident, as defined in § 401.5 of
ices of a Federal launch range or li-
this chapter, a licensee shall preserve
censed launch or reentry site operator,
all records related to the event.
a licensee or applicant shall enter into
Records must be retained until comple-
an agreement with the Federal launch
tion of any Federal investigation and
range and/or licensed site operator that
the FAA advises the licensee that the
provides for access to and use of prop-
records need not be retained. The li-
erty and services required to support a
censee shall make all records required
licensed RLV mission or reentry and
to be maintained under the regulations
for public safety related operations and
available to Federal officials for in-
support. The agreement shall be in ef-
spection and copying.
fect before any licensed RLV mission
or reentry. A licensee shall comply § 431.79 Reusable launch vehicle mis-
with any requirements of the agree- sion reporting requirements.
ment that may affect public health and
safety and the safety of property dur- (a) Not less than 60 days before each
ing the conduct of its licensed activity. RLV mission conducted under a li-
(b) Agreements for notices to mariners cense, a licensee shall provide the FAA
and airmen. Unless otherwise addressed with the following information:
in agreements between a licensed (1) Payload information in accord-
launch site operator and the U.S. Coast ance with 14 CFR § 415.59 of this chapter
Guard and the FAA, respectively, a li- and § 431.57; and
censee authorized to conduct an RLV (2) Flight information, including the
mission using a launch site or reentry vehicle, launch site, planned launch
site other than a Federal launch range and reentry flight path, and intended
shall complete the following: landing sites including contingency
(1) An agreement between the li- abort sites.
censee and the local U.S. Coast Guard (3) Launch or reentry waivers, ap-
district to establish procedures for the proved or pending, from a Federal
issuance of a Notice to Mariners prior range from which the launch or reentry

899
§ 431.81 14 CFR Ch. III (1–1–19 Edition)
will take place, that are unique and (b) For each object that must be reg-
may affect public safety. istered in accordance with this section,
(b) Not later than 15 days before each a licensee shall submit the following
licensed RLV mission, a licensee must information not later than thirty (30)
notify the FAA, in writing, of the time days following the conduct of a li-
and date of the intended launch and re- censed RLV mission :
entry or other landing on Earth of the (1) The international designator of
RLV and may utilize the FAA/U.S. the space object(s);
Space Command Launch Notification (2) Date and location of the RLV mis-
Form, contained in part 415, Appendix sion initiation;
A, of this subchapter for doing so. (3) General function of the space ob-
(c) A licensee must report a launch ject; and
accident, launch incident, reentry acci- (4) Final orbital parameters, includ-
dent, reentry incident, or other mishap ing:
immediately to the FAA Washington
(i) Nodal period;
Operations Center and provide a writ-
ten preliminary report in the event of (ii) Inclination;
a launch accident, launch incident, re- (iii) Apogee; and
entry accident, or reentry incident, in (iv) Perigee.
accordance with the mishap investiga- (c) A licensee shall notify the FAA
tion and emergency response plan sub- when it removes an object that it has
mitted as part of its license application previously placed in space.
under § 431.45.
§§ 431.86–431.90 [Reserved]
[Docket No. FAA–1999–5535, 65 FR 56658, Sept.
19, 2000, as amended by Amdt. No. 431–5, 81
FR 59440, Aug. 30, 2016] Subpart F—Environmental Review
§ 431.81 Financial responsibility re- § 431.91 General.
quirements. An applicant shall provide the FAA
A licensee under this part must com- with sufficient information to analyze
ply with financial responsibility re- the environmental impacts associated
quirements specified in its license. with proposed operation of an RLV, in-
cluding the impacts of anticipated ac-
§ 431.83 Compliance monitoring. tivities to be performed at its reentry
A licensee shall allow access by, and site. The information provided by an
cooperate with, Federal officers or em- applicant must be sufficient to enable
ployees or other individuals authorized the FAA to comply with the require-
by the FAA to observe any activities of ments of the National Environmental
the licensee, or of the licensee’s con- Policy Act, 42 U.S.C. 4321 et seq., the
tractors or subcontractors, associated Council on Environmental Quality
with the conduct of a licensed RLV Regulations for Implementing the Pro-
mission. cedural Provisions of the National En-
vironmental Policy Act, 40 CFR parts
§ 431.85 Registration of space objects. 1500–1508, and the FAA’s Procedures for
(a) To assist the U.S. Government in Considering Environmental Impacts,
implementing Article IV of the 1975 FAA Order 1050.1D. Copies of FAA
Convention on Registration of Objects Order 1050.1D may be obtained from the
Launched into Outer Space, each li- Office of Environment and Energy,
censee shall provide to the FAA the in- AEE–300, Federal Aviation Administra-
formation required by paragraph (b) of tion, 800 Independence Avenue SW.,
this section for all objects placed in Washington, DC 20591, (202) 267–3553.
space by a licensed RLV mission, in- Copies of FAA Order 1050.1D may be in-
cluding an RLV and any components, spected in the Rules Docket at the Fed-
except: eral Aviation Administration, Office of
(1) Any object owned and registered the Chief Counsel, AGC–200, Room
by the U.S. Government; and 915G, 800 Independence Avenue SW.,
(2) Any object owned by a foreign en- Washington, DC 20591 weekdays be-
tity. tween 8:30 a.m. and 5:00 p.m.

900
Commercial Space Transportation, FAA, DOT Pt. 435

§ 431.93 Environmental information. (b) A license to operate a reentry site

authorizes a licensee to operate a re-
An applicant shall submit environ-
entry site in accordance with the rep-
mental information concerning—
resentations contained in the licensee’s
(a) A designated launch and reentry
application, subject to the licensee’s
site, including contingency abort loca- compliance with terms and conditions
tions, if any, not covered by existing contained in any license order accom-
FAA or other Federal environmental panying the license.
documentation;
(b) A proposed new RLV with charac- § 433.5 Operational restrictions on a
teristics falling measurably outside the reentry site.
parameters of existing environmental A license to operate a reentry site
documentation; authorizes the licensee to offer use of
(c) A proposed reentry to an estab- the site to support reentry of a reentry
lished reentry site involving an RLV vehicle for which the three-sigma foot-
with characteristics falling measurably print of the vehicle upon reentry is
outside the parameters of existing en- wholly contained within the site.
vironmental impact statements cov-
ering that site; § 433.7 Environmental.
(d) A proposed payload that may
An applicant shall provide the FAA
have significant environmental im-
with information for the FAA to ana-
pacts in the event of a reentry acci- lyze the environmental impacts associ-
dent; and ated with proposed operation of a re-
(e) Other factors as necessary to com- entry site. The information provided
ply with the National Environmental by an applicant must be sufficient to
Policy Act. enable the FAA to comply with the re-
quirements of the National Environ-
PART 432 [RESERVED] mental Policy Act, 42 U.S.C. 4321 et seq.
(NEPA), the Council on Environmental
PART 433—LICENSE TO OPERATE A Quality Regulations for Implementing
REENTRY SITE the Procedural Provisions of NEPA, 40
CFR Parts 1500–1508, and the FAA’s
Sec. Procedures for Consideration Environ-
433.1 General. mental Impacts, FAA Order 1050.1D.
433.3 Issuance of a license to operate a re-
entry site. § 433.9 Environmental information.
433.5 Operational restrictions on a reentry An applicant shall submit environ-
site.
mental information concerning a pro-
433.7 Environmental.
433.9 Environmental information. posed reentry site not covered by exist-
ing environmental documentation for
AUTHORITY: 51 U.S.C. 50901–50923. purposes of assessing reentry impacts.
SOURCE: Docket No. FAA–1999–5535, 65 FR
56665, Sept. 19, 2000, unless otherwise noted. PART 434 [RESERVED]
§ 433.1 General.
PART 435—REENTRY OF A REENTRY
The FAA evaluates on an individual
basis an applicant’s proposal to operate
VEHICLE OTHER THAN A REUS-
a reentry site. ABLE LAUNCH VEHICLE (RLV)
§ 433.3 Issuance of a license to operate Subpart A—General
a reentry site. Sec.
(a) The FAA issues a license to oper- 435.1 General.
ate a reentry site when it determines 435.3 Types of reentry licenses.
that an applicant’s operation of the re- 435.5 Policy and safety approvals.
entry site does not jeopardize public 435.7 Payload reentry determination.
435.8 Human space flight.
health and safety, the safety of prop- 435.9 Issuance of a reentry license.
erty, U.S. national security or foreign 435.11 Additional license terms and condi-
policy interests, or international obli- tions.
gations of the United States. 435.13 Transfer of a reentry license.

901
§ 435.1 14 CFR Ch. III (1–1–19 Edition)
435.15 Rights not conferred by reentry li- lent level of safety to the requirement
cense. of this part.
435.16–435.20 [Reserved]
[Doc. No. FAA–2016–6761, Amdt. No. 435–4, 83
Subpart B—Policy Review and Approval for FR 28535, June 20, 2018]
Reentry of a Reentry Vehicle § 435.3 Types of reentry licenses.
435.21 General. (a) Reentry-specific license. A reentry-
435.23 Policy review requirements and pro- specific license authorizes a licensee to
cedures. reenter one model or type of reentry
435.24–435.30 [Reserved] vehicle, other than an RLV, to a re-
entry site or other location approved
Subpart C—Safety Review and Approval for the reentry. A reentry-specific li-
for Reentry of a Reentry Vehicle cense may authorize more than one re-
435.31 General. entry and identifies each reentry au-
435.33 Safety review requirements and pro- thorized under the license. A licensee’s
cedures. authorization to reenter terminates
435.35 Acceptable reusable launch vehicle upon completion of all activities au-
risk. thorized by the license or the expira-
435.36–435.40 [Reserved] tion date stated in the reentry license,
whichever occurs first.
Subpart D—Payload Reentry Review and (b) Reentry-operator license. A reentry
Determination operator license authorizes a licensee
to reenter any of a designated family of
435.41 General. reentry vehicles, other than an RLV,
435.43 Payload reentry review requirements within authorized parameters, includ-
and procedures.
ing trajectories, transporting specified
435.44–435.50 [Reserved]
classes of payloads to any reentry site
designated in the license. A reentry op-
Subpart E—Post-Licensing Requirements—
erator license is valid for a 2-year re-
Reentry License Terms and Conditions
newable term.
435.51 General. 435.52–
435.60 [Reserved] § 435.5 Policy and safety approvals.
To obtain a reentry license, an appli-
Subpart F—Environmental Review cant must obtain policy and safety ap-
provals from the FAA. Requirements
435.61 General. 435.62–
for obtaining these approvals are con-
435.70 [Reserved]
tained in subparts B and C of this part.
AUTHORITY: 51 U.S.C. 50901–50923. Only a reentry license applicant may
SOURCE: Docket No. FAA–1999–5535, 65 FR apply for the approvals, and may apply
56665, Sept. 19, 2000, unless otherwise noted. for either approval separately and in
advance of submitting a complete li-
cense application, using the applica-
Subpart A—General tion procedures contained in part 413 of
this subchapter.
§ 435.1 General.
(a) Scope. This part prescribes re- § 435.7 Payload reentry determination.
quirements for obtaining a license to (a) A payload reentry determination
reenter a reentry vehicle other than a is required to transport a payload to
reusable launch vehicle (RLV), and Earth on a reentry vehicle unless the
postlicensing requirements with which proposed payload is exempt from pay-
a licensee must comply to remain li- load review.
censed. Requirements for preparing a (b) A payload reentry determination
license application are contained in made under a previous license applica-
part 413 of this subchapter. tion under this subchapter may satisfy
(b) Equivalent level of safety. Each re- the requirements of paragraph (a) of
quirement of this part applies unless this section.
the applicant or licensee clearly and (c) The FAA conducts a review, as de-
convincingly demonstrates that an al- scribed in subpart D of this part, to
ternative approach provides an equiva- make a payload reentry determination.

902
Commercial Space Transportation, FAA, DOT § 435.31
Either a reentry license applicant or a tained all of the approvals and deter-
payload owner or operator may request minations required under this chapter
a review of the proposed payload using for a reentry license. In conducting its
the application procedures contained reviews and issuing approvals and de-
in part 413 of this subchapter. Upon re- terminations, the FAA may incor-
ceipt of an application, the FAA may porate any findings made part of the
conduct a payload reentry review inde- record to support the initial licensing
pendently of a reentry license applica- determination. The FAA may modify a
tion. reentry license to reflect any changes
necessary as a result of a reentry li-
§ 435.8 Human space flight. cense transfer.
An applicant for a license to conduct
a reentry with flight crew or a space § 435.15 Rights not conferred by re-
flight participant on board the vehicle entry license.
must demonstrate compliance with Issuance of a reentry license does not
§§ 460.5, 460.7, 460.11, 460.13, 460.15, 460.17, relieve a licensee of its obligation to
460.51 and 460.53 of this subchapter. comply with requirements of law that
may apply to its activities.
[Doc. No. FAA–2005–23449, 71 FR 75632, Dec.
15, 2006]
§§ 435.16–431.20 [Reserved]
§ 435.9 Issuance of a reentry license.
(a) The FAA issues a reentry license Subpart B—Policy Review and Ap-
to an applicant who has obtained all proval for Reentry of a Re-
approvals and determinations required entry Vehicle
under this chapter for a reentry li-
cense. § 435.21 General.
(b) A reentry license authorizes a li- The FAA issues a policy approval to
censee to reenter a reentry vehicle and a reentry license applicant upon com-
payload, if any, in accordance with the pletion of a favorable policy review. A
representations contained in the re- policy approval is part of the licensing
entry licensee’s application, subject to record on which the licensing deter-
the licensee’s compliance with terms mination is based.
and conditions contained in license or-
ders accompanying the reentry license, § 435.23 Policy review requirements
including financial responsibility re- and procedures.
quirements. Unless otherwise indicated in this
subpart, regulations applicable to pol-
§ 435.11 Additional license terms and icy review and approval of the reentry
conditions. of an RLV contained in part 431, sub-
The FAA may amend a reentry li- part B of this subchapter shall apply to
cense at any time by modifying or add- the policy review conducted for a li-
ing license terms and conditions to en- cense to reenter a reentry vehicle
sure compliance with 51 U.S.C. Subtitle under this part.
V, chapter 509, and applicable regula-
tions. §§ 435.24–435.30 [Reserved]
[Doc. No. FAA–2012–0232, 77 FR 20533, Apr. 5,
2012] Subpart C—Safety Review and
Approval for Reentry of a Re-
§ 435.13 Transfer of a reentry license. entry Vehicle
(a) Only the FAA may transfer a re-
entry license. § 435.31 General.
(b) An applicant for transfer of a re- The FAA conducts a safety review to
entry license shall submit a reentry li- determine whether an applicant is ca-
cense application in accordance with pable of reentering a reentry vehicle
part 413 of this subchapter and satisfy and payload, if any, to a designated re-
the applicable requirements of this entry site without jeopardizing public
part. The FAA will transfer a reentry health and safety and the safety of
license to an applicant who has ob- property. A safety approval is part of

903
§ 435.33 14 CFR Ch. III (1–1–19 Edition)
the licensing record on which the li- load reentry review conducted for a li-
censing determination is based. cense to reenter a reentry vehicle
under this part.
§ 435.33 Safety review requirements
and procedures. §§ 435.44–435.50 [Reserved]
Unless otherwise stated in this sub-
part, regulations applicable to safety Subpart E—Post-Licensing Re-
review and approval of the reentry of quirements—Reentry License
an RLV contained in part 431, subpart Terms and Conditions
C of this subchapter shall apply to the
safety review conducted for a license to § 435.51 General.
reenter a reentry vehicle under this Unless otherwise indicated in this
part. subpart, post-licensing requirements
§ 435.35 Acceptable reusable launch contained in part 431 subpart E, of this
vehicle risk. subchapter applicable to a license to
reenter an RLV shall apply to a license
To obtain safety approval for re-
issued under this part.
entry, an applicant must demonstrate
the following for public risk: §§ 435.52–435.60 [Reserved]
(a) The risk to the collective mem-
bers of the public from the proposed
launch meets the public risk criteria of Subpart F—Environmental Review
§ 417.107(b)(1) of this chapter; § 435.61 General.
(b) The risk level to the collective
members of the public, excluding per- Unless otherwise indicated in this
sons in water-borne vessels and air- subpart, environmental review require-
craft, from each proposed reentry does ments contained in part 431 subpart F,
not exceed an expected number of 1  applicable to a license to reenter an
10¥ 4 casualties from impacting inert RLV shall apply to an application for a
and explosive debris and toxic release reentry license under this part.
associated with the reentry; and
§§ 435.62–435.70 [Reserved]
(c) The risk level to an individual
does not exceed 1 10¥ 6 probability of
casualty per mission. PART 436 [RESERVED]
[Docket No. FAA–2014–0418, Amdt. No. 435–3,
81 FR 47027, July 20, 2016] PART 437—EXPERIMENTAL PERMITS
§§ 435.36–435.40 [Reserved] Subpart A—General Information
Sec.
Subpart D—Payload Reentry 437.1 Scope and organization of this part.
Review and Determination 437.3 Definitions.
437.5 Eligibility for an experimental permit.
§ 435.41 General. 437.7 Scope of an experimental permit.
437.9 Issuance of an experimental permit.
The FAA conducts a payload reentry 437.11 Duration of an experimental permit.
review to examine the policy and safe- 437.13 Additional experimental permit
ty issues related to the proposed re- terms and conditions.
entry of a payload, except a U.S. Gov- 437.15 Transfer of an experimental permit.
ernment payload, to determine wheth- 437.17 Rights not conferred by an experi-
er the FAA will approve the reentry of mental permit.
the payload.
Subpart B—Requirements to Obtain an
§ 435.43 Payload reentry review re- Experimental Permit
quirements and procedures.
437.21 General.
Unless otherwise indicated in this
subpart, regulations contained in part PROGRAM D ESCRIPTION
431, subpart D of this subchapter appli- 437.23 Program description.
cable to a payload reentry review and
determination for reentering a payload FLIGHT TEST PLAN
using an RLV shall apply to the pay- 437.25 Flight test plan.

904
Commercial Space Transportation, FAA, DOT § 437.5
OPERATIONAL S AFETY D OCUMENTATION (b) Equivalent level of safety. Each re-
437.27 Pre-flight and post-flight operations. quirement of this part applies unless
437.29 Hazard analysis. the applicant or permittee clearly and
437.31 Verification of operating area con- convincingly demonstrates that an al-
tainment and key flight-safety event ternative approach provides an equiva-
limitations. lent level of safety to the requirement
437.33 Landing and impact locations. of this part.
437.35 Agreements.
437.37 Tracking.
(c) Organization of this part. Subpart
437.39 Flight rules. A contains general information about
437.41 Mishap response plan. an experimental permit. Subpart B
contains requirements to obtain an ex-
Subpart C—Safety Requirements perimental permit. Subpart C contains
the safety requirements with which a
437.51 Rest rules for vehicle safety oper-
ations personnel.
permittee must comply while con-
437.53 Pre-flight and post-flight operations. ducting permitted activities. Subpart
437.55 Hazard analysis. D contains terms and conditions of an
437.57 Operating area containment. experimental permit.
437.59 Key flight-safety event limitations.
437.61 Landing and impact locations. [Doc. No. FAA–2016–6761, Amdt. No. 437–2, 83
437.63 Agreements with other entities in- FR 28535, June 20, 2018]
volved in a launch or reentry.
437.65 Collision avoidance analysis. § 437.3 Definitions.
437.67 Tracking a reusable suborbital rock- Anomaly means a problem that oc-
et. curs during verification or operation of
437.69 Communications. a system, subsystem, process, facility,
437.71 Flight rules.
or support equipment.
437.73 Anomaly recording, reporting and im-
plementation of corrective actions.
Envelope expansion means any portion
437.75 Mishap reporting, responding, and in- of a flight where planned operations
vestigating. will subject a reusable suborbital rock-
437.77 Additional safety requirements. et to the effects of altitude, velocity,
acceleration, or burn duration that ex-
Subpart D—Terms and Conditions of an ceed a level or duration successfully
Experimental Permit verified during an earlier flight.
437.81 Public safety responsibility. Exclusion area means an area, within
437.83 Compliance with experimental per- an operating area, that a reusable sub-
mit. orbital rocket’s instantaneous impact
437.85 Allowable design changes; modifica- point may not traverse.
tion of an experimental permit. Key flight-safety event means a per-
437.87 Records. mitted flight activity that has an in-
437.89 Pre-flight reporting. creased likelihood of causing a launch
437.91 For-hire prohibition.
437.93 Compliance monitoring.
accident compared with other portions
437.95 Inspection of additional reusable sub- of flight.
orbital rockets. Operating area means a three-dimen-
sional region where permitted flights
AUTHORITY: 51 U.S.C. 50901–50923.
may take place.
SOURCE: Docket No. FAA–2006–24197, 72 FR Permitted vehicle means a reusable
17019, Apr. 6, 2007, unless otherwise noted. suborbital rocket operated by a launch
or reentry operator under an experi-
Subpart A—General Information mental permit.
Reentry impact point means the loca-
§ 437.1 Scope and organization of this tion of a reusable suborbital rocket’s
part. instantaneous impact point during its
(a) Scope. This part prescribes re- unpowered exoatmospheric suborbital
quirements for obtaining an experi- flight.
mental permit. It also prescribes post-
permitting requirements with which a § 437.5 Eligibility for an experimental
permittee must comply to maintain its permit.
permit. Part 413 of this subchapter con- The FAA will issue an experimental
tains procedures for applying for an ex- permit to a person to launch or reenter
perimental permit. a reusable suborbital rocket only for—

905
§ 437.7 14 CFR Ch. III (1–1–19 Edition)
(a) Research and development to test ditions to ensure compliance with 51
new design concepts, new equipment, U.S.C. Subtitle V, chapter 509.
or new operating techniques;
[Doc. No. FAA–2012–0232, 77 FR 20533, Apr. 5,
(b) A showing of compliance with re- 2012]
quirements for obtaining a license
under this subchapter; or § 437.15 Transfer of an experimental
(c) Crew training before obtaining a permit.
license for a launch or reentry using
An experimental permit is not trans-
the design of the rocket for which the
ferable.
permit would be issued.
§ 437.17 Rights not conferred by an ex-
§ 437.7 Scope of an experimental per- perimental permit.
mit.
An experimental permit authorizes Issuance of an experimental permit
launch or reentry of a reusable sub- does not relieve a permittee of its obli-
orbital rocket. The authorization in- gation to comply with any requirement
cludes pre- and post-flight ground oper- of law that applies to its activities.
ations as defined in this section.
(a) A pre-flight ground operation in- Subpart B—Requirements to
cludes each operation that— Obtain an Experimental Permit
(1) Takes place at a U.S. launch site;
and § 437.21 General.
(2) Meets the following criteria: To obtain an experimental permit an
(i) Is closely proximate in time to applicant must make the demonstra-
flight, tions and provide the information re-
(ii) Entails critical steps preparatory quired by this section.
to initiating flight, (a) This subpart. An applicant must
(iii) Is unique to space launch, and provide a program description, a flight
(iv) Is inherently so hazardous as to test plan, and operational safety docu-
warrant the FAA’s regulatory over- mentation as required by this subpart.
sight. (b) Other regulations—(1) Environ-
(b) A post-flight ground operation in- mental. An applicant must provide
cludes each operation necessary to re- enough information for the FAA to
turn the reusable suborbital rocket to analyze the environmental impacts as-
a safe condition after it lands or im- sociated with proposed reusable sub-
pacts. orbital rocket launches or reentries.
The information provided by an appli-
§ 437.9 Issuance of an experimental cant must be sufficient to enable the
permit. FAA to comply with the requirements
The FAA issues an experimental per- of the National Environmental Policy
mit authorizing an unlimited number Act, 42 U.S.C. 4321 et seq., and the Coun-
of launches or reentries for a sub- cil on Environmental Quality Regula-
orbital rocket design for the uses de- tions for Implementing the Procedural
scribed in § 437.5. Provisions of the National Environ-
mental Policy Act, 40 CFR parts 1500–
§ 437.11 Duration of an experimental 1508.
permit. (2) Financial responsibility. An appli-
An experimental permit lasts for one cant must provide the information re-
year from the date it is issued. A per- quired by part 3 of appendix A of part
mittee may apply to renew a permit 440 for the FAA to conduct a maximum
yearly under part 413 of this sub- probable loss analysis.
chapter. (3) Human space flight. An applicant
proposing launch or reentry with flight
§ 437.13 Additional experimental per- crew or a space flight participant on
mit terms and conditions. board a reusable suborbital rocket
The FAA may modify an experi- must demonstrate compliance with
mental permit at any time by modi- §§ 460.5, 460.7, 460.11, 460.13, 460.15, 460.17,
fying or adding permit terms and con- 460.51 and 460.53 of this subchapter.

906
Commercial Space Transportation, FAA, DOT § 437.31
(c) Use of a safety approval. If an ap- (c) An applicant must identify any
plicant proposes to use any reusable foreign ownership of the applicant as
suborbital rocket, safety system, proc- follows:
ess, service, or personnel for which the (1) For a sole proprietorship or part-
FAA has issued a safety approval under nership, identify all foreign ownership,
part 414 of this subchapter, the FAA (2) For a corporation, identify any
will not reevaluate that safety element foreign ownership interests of 10% or
to the extent its use is within its ap- more, and
proved envelope. As part of the applica- (3) For a joint venture, association,
tion process, the FAA will evaluate the or other entity, identify any partici-
integration of that safety element into pating foreign entities.
vehicle systems or operations.
FLIGHT TEST PLAN
(d) Inspection before issuing a permit.
Before the FAA issues an experimental § 437.25 Flight test plan.
permit, an applicant must make each
An applicant must—
reusable suborbital rocket planned to
be flown available to the FAA for in- (a) Describe any flight test program,
including estimated number of flights
spection. The FAA will determine
and key flight-safety events.
whether each reusable suborbital rock-
(b) Identify and describe the geo-
et is built as represented in the appli-
graphic coordinates of the boundaries
cation.
of one or more proposed operating
(e) Other requirements. The FAA may areas where it plans to perform its
require additional analyses, informa- flights and that satisfy § 437.57(b) of
tion, or agreements if necessary to pro- subpart C. The FAA may designate one
tect public health and safety, safety of or more exclusion areas in accordance
property, and national security and with § 437.57(c) of subpart C.
foreign policy interests of the United (c) For each operating area, provide
States. the planned maximum altitude of the
reusable suborbital rocket.
PROGRAM DESCRIPTION
OPERATIONAL SAFETY DOCUMENTATION
§ 437.23 Program description.
(a) An applicant must provide— § 437.27 Pre-flight and post-flight oper-
ations.
(1) Dimensioned three-view drawings
or photographs of the reusable sub- An applicant must demonstrate how
orbital rocket; and it will meet the requirements of
(2) Gross liftoff weight and thrust § 437.53(a) and (b) to establish a safety
profile of the reusable suborbital rock- clear zone and verify that the public is
et. outside that zone before and during
any hazardous operation.
(b) An applicant must describe—
(1) All reusable suborbital rocket sys- § 437.29 Hazard analysis.
tems, including any structural, flight
(a) An applicant must perform a haz-
control, thermal, pneumatic, hydrau-
ard analysis that complies with
lic, propulsion, electrical, environ-
§ 437.55(a).
mental control, software and com-
(b) An applicant must provide to the
puting systems, avionics, and guidance
FAA all the results of each step of the
systems used in the reusable suborbital
hazard analysis required by paragraph
rocket;
(a) of this section.
(2) The types and quantities of all
propellants used in the reusable sub- § 437.31 Verification of operating area
orbital rocket; containment and key flight-safety
(3) The types and quantities of any event limitations.
hazardous materials used in the reus- (a) An applicant must identify, de-
able suborbital rocket; scribe, and provide verification evi-
(4) The purpose for which a reusable dence of the methods and systems used
suborbital rocket is to be flown; and to meet the requirement of § 437.57(a) to
(5) Each payload or payload class contain its reusable suborbital rocket’s
planned to be flown. instantaneous impact point within an

907
§ 437.33 14 CFR Ch. III (1–1–19 Edition)
operating area and outside any exclu- here to the work and rest standards in
sion area. The description must in- this section during permitted activi-
clude, at a minimum— ties.
(1) Proof of physical limits on the (a) No vehicle safety operations per-
ability of the reusable suborbital rock- sonnel may work more than:
et to leave the operating area; or (1) 12 consecutive hours,
(2) Abort procedures and other safety (2) 60 hours in the 7 days preceding a
measures derived from a system safety permitted activity, or
engineering process. (3) 14 consecutive work days.
(b) An applicant must identify, de- (b) All vehicle safety operations per-
scribe, and provide verification evi- sonnel must have at least 8 hours of
dence of the methods and systems used rest after 12 hours of work.
to meet the requirements of § 437.59 to (c) All vehicle safety operations per-
conduct any key flight-safety event so sonnel must receive a minimum 48-
that the reusable suborbital rocket’s hour rest period after 5 consecutive
instantaneous impact point, including days of 12-hour shifts.
its expected dispersions, is over un-
populated or sparsely populated areas, § 437.53 Pre-flight and post-flight oper-
and to conduct each reusable sub- ations.
orbital rocket flight so that the re- A permittee must protect the public
entry impact point does not loiter over from adverse effects of hazardous oper-
a populated area. ations and systems in preparing a reus-
able suborbital rocket for flight at a
§ 437.33 Landing and impact locations. launch site in the United States and re-
An applicant must demonstrate that turning the reusable suborbital rocket
each location for nominal landing or and any support equipment to a safe
any contingency abort landing of the condition after flight. At a minimum, a
reusable suborbital rocket, and each lo- permittee must—
cation for any nominal or contingency (a) Establish a safety clear zone that
impact or landing of a component of will contain the adverse effects of each
that rocket, satisfies § 437.61. operation involving a hazard; and
(b) Verify that the public is outside
§ 437.35 Agreements. of the safety clear zone before and dur-
An applicant must enter into the ing any hazardous operation.
agreements required by § 437.63, and § 437.55 Hazard analysis.
provide a copy to the FAA.
(a) A permittee must identify and
§ 437.37 Tracking. characterize each of the hazards and
An applicant must identify and de- assess the risk to public health and
scribe each method or system used to safety and the safety of property re-
meet the tracking requirements of sulting from each permitted flight.
§ 437.67. This hazard analysis must—
(1) Identify and describe hazards, in-
§ 437.39 Flight rules. cluding but not limited to each of
those that result from—
An applicant must provide flight
(i) Component, subsystem, or system
rules as required by § 437.71. failures or faults;
§ 437.41 Mishap response plan. (ii) Software errors;
(iii) Environmental conditions;
An applicant must provide a mishap (iv) Human errors;
response plan that meets the require- (v) Design inadequacies; or
ments of § 437.75(b). (vi) Procedural deficiencies.
(2) Determine the likelihood of occur-
Subpart C—Safety Requirements rence and consequence for each hazard
before risk elimination or mitigation.
§ 437.51 Rest rules for vehicle safety (3) Ensure that the likelihood and
operations personnel. consequence of each hazard meet the
A permittee must ensure that all ve- following criteria through risk elimi-
hicle safety operations personnel ad- nation and mitigation measures:

908
Commercial Space Transportation, FAA, DOT § 437.63
(i) The likelihood of any hazardous centrations of members of the public;
condition that may cause death or seri- and
ous injury to the public must be ex- (4) May not contain or be adjacent to
tremely remote. significant automobile traffic, railway
(ii) The likelihood of any hazardous traffic, or waterborne vessel traffic.
condition that may cause major prop- (c) The FAA may prohibit a reusable
erty damage to the public, major safe- suborbital rocket’s instantaneous im-
ty-critical system damage or reduced pact point from traversing certain
capability, a significant reduction in areas within an operating area by des-
safety margins, or a significant in- ignating one or more areas as exclusion
crease in crew workload must be re- areas, if necessary to protect public
mote. health and safety, safety of property,
(4) Identify and describe the risk or foreign policy or national security
elimination and mitigation measures interests of the United States. An ex-
required to satisfy paragraph (a)(3) of clusion area may be confined to a spe-
this section. The measures must in- cific phase of flight.
clude one or more of the following:
(i) Designing for minimum risk, § 437.59 Key flight-safety event limita-
tions.
(ii) Incorporating safety devices,
(iii) Providing warning devices, or (a) A permittee must conduct any
(iv) Implementing procedures and key flight-safety event so that the re-
training. usable suborbital rocket’s instanta-
(5) Demonstrate that the risk elimi- neous impact point, including its ex-
nation and mitigation measures pected dispersion, is over an unpopu-
achieve the risk levels of paragraph lated or sparsely populated area. At a
(a)(3)(i) of this section through valida- minimum, a key flight-safety event in-
tion and verification. Verification in- cludes:
cludes: (1) Ignition of any primary rocket en-
gine,
(i) Test data,
(2) Any staging event, or
(ii) Inspection results, or
(3) Any envelope expansion.
(iii) Analysis. (b) A permittee must conduct each
(b) A permittee must carry out the reusable suborbital rocket flight so
risk elimination and mitigation meas- that the reentry impact point does not
ures derived from its hazard analysis. loiter over a populated area.
(c) A permittee must ensure the con-
tinued accuracy and validity of its haz- § 437.61 Landing and impact locations.
ard analysis throughout the term of its For a nominal or any contingency
permit. abort landing of a reusable suborbital
§ 437.57 Operating area containment. rocket, or for any nominal or contin-
gency impact or landing of a compo-
(a) During each permitted flight, a nent of that rocket, a permittee must
permittee must contain its reusable use a location that—
suborbital rocket’s instantaneous im- (a) Is big enough to contain an im-
pact point within an operating area de- pact, including debris dispersion upon
termined in accordance with paragraph impact; and
(b) and outside any exclusion area de- (b) At the time of landing or impact,
fined by the FAA in accordance with does not contain any members of the
paragraph (c) of this section. public.
(b) An operating area—
(1) Must be large enough to contain § 437.63 Agreements with other enti-
each planned trajectory and all ex- ties involved in a launch or reentry.
pected vehicle dispersions; A permittee must comply with the
(2) Must contain enough unpopulated agreements required by this section.
or sparsely populated area to perform (a) A permittee must have an agree-
key flight-safety events as required by ment in writing with a Federal launch
§ 437.59; range operator, a licensed launch site
(3) May not contain or be adjacent to operator, or any other party that pro-
a densely populated area or large con- vides access to or use of property and

909
§ 437.65 14 CFR Ch. III (1–1–19 Edition)
services required to support the safe § 437.71 Flight rules.
launch or reentry under a permit.
(a) Before initiating rocket-powered
(b) Unless otherwise addressed in
flight, a permittee must confirm that
agreements with a licensed launch site
all systems and operations necessary
operator or a Federal launch range, a
to ensure that safety measures derived
permittee must have an agreement in
from §§ 437.55, 437.57, 437.59, 437.61,
writing with the following:
437.63, 437.65, 437.67, and 437.69 are with-
(1) For overflight of navigable water,
in acceptable limits.
a written agreement between the appli-
cant and the local United States Coast (b) During all phases of flight, a per-
Guard district to establish procedures mittee must—
for issuing a Notice to Mariners before (1) Follow flight rules that ensure
a permitted flight, and compliance with §§ 437.55, 437.57, 437.59,
(2) A written agreement between the and 437.61; and
applicant and responsible Air Traffic (2) Abort the flight if it would endan-
Control authority having jurisdiction ger the public.
over the airspace through which a per- (c) A permittee may not operate a re-
mitted launch or reentry is to take usable suborbital rocket in a careless
place, for measures necessary to ensure or reckless manner that would endan-
the safety of aircraft. The agreement ger any member of the public during
must, at a minimum, demonstrate sat- any phase of flight.
isfaction of §§ 437.69(a) and 437.71(d). (d) A permittee may not operate a re-
usable suborbital rocket in areas des-
§ 437.65 Collision avoidance analysis. ignated in a Notice to Airmen under
(a) For a permitted flight with a § 91.137, § 91.138, § 91.141, or § 91.145 of this
planned maximum altitude greater title, unless authorized by:
than 150 kilometers, a permittee must (1) Air Traffic Control; or
obtain a collision avoidance analysis (2) A Flight Standards Certificate of
from United States Strategic Com- Waiver or Authorization.
mand. (e) For any phase of flight where a
(b) The collision avoidance analysis permittee operates a reusable sub-
must establish each period during orbital rocket like an aircraft in the
which a permittee may not initiate National Airspace System, a permittee
flight to ensure that a permitted vehi- must comply with the provisions of
cle and any jettisoned components do part 91 of this title specified in an ex-
not pass closer than 200 kilometers to a perimental permit issued under this
manned or mannable orbital object. part.
[Docket No. FAA–2006–24197, 72 FR 17019, Apr.
6, 2007, as amended by Doc. No. FAA–2016– § 437.73 Anomaly recording, reporting
6761, Amdt. No. 437–2, 83 FR 28535, June 20,
and implementation of corrective
2018] actions.
(a) A permittee must record each
§ 437.67 Tracking a reusable suborbital anomaly that affects a safety-critical
rocket. system, subsystem, process, facility, or
A permittee must— support equipment.
(a) During permitted flight, measure (b) A permittee must identify all root
in real time the position and velocity causes of each anomaly, and imple-
of its reusable suborbital rocket; and ment all corrective actions for each
(b) Provide position and velocity data anomaly.
to the FAA for post-flight use. (c) A permittee must report to the
FAA any anomaly of any system that
§ 437.69 Communications. is necessary for complying with
(a) A permittee must be in commu- §§ 437.55(a)(3), 437.57, and 437.59, and
nication with Air Traffic Control dur- must report the corrective action for
ing all phases of flight. each reported anomaly.
(b) A permittee must record commu- (d) A permittee must implement each
nications affecting the safety of the corrective action before the next
flight. flight.

910
Commercial Space Transportation, FAA, DOT § 437.85

§ 437.75 Mishap reporting, responding, ignate one or more points of contact

and investigating. for the FAA or NTSB; and
A permittee must report, respond to, (3) Identify and adopt preventive
and investigate mishaps that occur measures for avoiding a recurrence of
during permitted activities, in accord- the event.
ance with this section. (c) Investigation requirements. A per-
(a) Reporting requirements. A per- mittee must—
mittee must— (1) Investigate the root cause of an
(1) Immediately notify the FAA event described in paragraph (a) of this
Washington Operations Center if there section;
is a launch or reentry accident or inci- (2) Report investigation results to
dent or a mishap that involves a fatal- the FAA upon completion; and
ity or serious injury, as defined in 49 (3) Identify responsibilities, including
CFR 830.2; reporting responsibilities, for per-
(2) Notify within 24 hours the FAA’s sonnel assigned to conduct investiga-
Office of Commercial Space Transpor- tions and for any unrelated persons
tation if there is a mishap that does that the permittee retains to conduct
not involve a fatality or serious injury, or participate in investigations.
as defined in 49 CFR 830.2; and
(3) Submit within 5 days of the event § 437.77 Additional safety require-
a written preliminary report to the ments.
FAA’s Office of Commercial Space The FAA may impose additional safe-
Transportation if there is a launch or ty requirements on an applicant or per-
reentry accident or incident during a mittee proposing an activity with a
permitted flight. The report must iden- hazard not otherwise addressed in this
tify the event as a launch or reentry part. This may include a toxic hazard
accident or incident, and must include: or the use of solid propellants. The
(i) The date and time of occurrence, FAA may also require the permittee to
(ii) A description of the event and se- conduct additional analyses of the
quence of events leading to the launch cause of any anomaly and corrective
or reentry accident, or launch or re- actions.
entry incident, to the extent known,
(iii) The intended and actual location Subpart D—Terms and Conditions
of launch or reentry, including landing
or impact on Earth,
of an Experimental Permit
(iv) A description of any payload, § 437.81 Public safety responsibility.
(v) The number and general descrip-
tion of any fatalities and injuries, A permittee must ensure that a
(vi) Property damage, if any, and an launch or reentry conducted under an
estimate of its value, experimental permit is safe, and must
(vii) A description of any hazardous protect public health and safety and
materials involved in the event, wheth- the safety of property.
er on the reusable suborbital rocket or
§ 437.83 Compliance with experimental
on the ground,
permit.
(viii) Action taken by any person to
contain the consequences of the event, A permittee must conduct any
and launch or reentry under an experi-
(ix) Weather conditions at the time mental permit in accordance with rep-
of the event. resentations made in its permit appli-
(b) Response requirements. A permittee cation, with subparts C and D of this
must— part, and with terms and conditions
(1) Immediately— contained in the permit.
(i) Ensure the consequences of a mis-
hap are contained and minimized; and § 437.85 Allowable design changes;
modification of an experimental
(ii) Ensure data and physical evi- permit.
dence are preserved.
(2) Report to and cooperate with FAA (a) The FAA will identify in the ex-
and National Transportation Safety perimental permit the type of changes
Board (NTSB) investigations and des- that the permittee may make to the

911
§ 437.87 14 CFR Ch. III (1–1–19 Edition)
reusable suborbital rocket design with- § 437.89 Pre-flight reporting.
out invalidating the permit.
(a) Not later than 30 days before each
(b) Except for design changes made flight or series of flights conducted
under paragraph (a) of this section, a under an experimental permit, a per-
permittee must ask the FAA to modify mittee must provide the FAA with the
the experimental permit if— following information:
(1) It proposes to conduct permitted (1) Any payload to be flown, includ-
activities in a manner not authorized ing any payload operations during the
by the permit; or flight,
(2) Any representation in its permit (2) When the flight or series of flights
application that is material to public are planned,
health and safety or the safety of prop- (3) The operating area for each flight,
erty is no longer accurate or complete. and
(c) A permittee must prepare an ap- (4) The planned maximum altitude
plication to modify an experimental for each flight.
permit and submit it in accordance (b) Not later than 15 days before each
with part 413 of this subchapter. If re- permitted flight planned to reach
quested during the application process, greater than 150 km altitude, a per-
the FAA may approve an alternate mittee must provide the FAA its
method for requesting permit modifica- planned trajectory for a collision
tions. The permittee must indicate any avoidance analysis.
part of its permit that would be
changed or affected by a proposed § 437.91 For-hire prohibition.
modification. No permittee may carry any property
(d) When a permittee proposes a or human being for compensation or
modification, the FAA reviews the de- hire on a reusable suborbital rocket.
terminations made on the experi-
mental permit to decide whether they § 437.93 Compliance monitoring.
remain valid. A permittee must allow access by,
(e) When the FAA approves a modi- and cooperate with, federal officers or
fication, it issues the permittee either employees or other individuals author-
a written approval or a permit order ized by the FAA to observe any activi-
modifying the permit if a stated term ties of the permittee, or of its contrac-
or condition of the permit is changed, tors or subcontractors, associated with
added, or deleted. An approval has the the conduct of permitted activities.
full force and effect of a permit order
and is part of the permit record. § 437.95 Inspection of additional reus-
able suborbital rockets.
§ 437.87 Records. A permittee may launch or reenter
(a) Except as required by paragraph additional reusable suborbital rockets
(b) of this section, a permittee must of the same design under the permit
maintain for 3 years all records, data, after the FAA inspects each additional
and other material necessary to verify reusable suborbital rocket.
that a permittee conducted its launch
or reentry in accordance with its per- PARTS 438–439 [RESERVED]
mit.
(b) If there is a launch or reentry ac- PART 440—FINANCIAL
cident or incident, a permittee must RESPONSIBILITY
preserve all records related to the
event. A permittee must keep the Subpart A—Financial Responsibility for
records until after any Federal inves- Licensed and Permitted Activities
tigation and the FAA advises the per-
Sec.
mittee that it may dispose of them.
440.1 Scope of part.
(c) A permittee must make all 440.3 Definitions.
records that it must maintain under 440.5 General.
this section available to Federal offi- 440.7 Determination of maximum probable
cials for inspection and copying. loss.

900
Commercial Space Transportation, FAA, DOT § 440.3
440.9 Insurance requirements for licensed or suppliers of property and services, and
permitted activities. the component manufacturers of a
440.11 Duration of coverage for licensed launch vehicle, reentry vehicle, or pay-
launch, including suborbital launch, or
permitted activities; modifications.
load.
440.12 Duration of coverage for licensed re- Customer means.
entry; modifications. (1) Any person:
440.13 Standard conditions of insurance cov- (i) Who procures launch or reentry
erage. services from a licensee or permittee;
440.15 Demonstration of compliance.
440.17 Reciprocal waiver of claims require- (ii) With rights in the payload (or
ments. any part of the payload) to be launched
440.19 United States payment of excess or reentered by the licensee or per-
third-party liability claims. mittee, including a conditional sale,
APPENDIX A TO PART 440—INFORMATION RE- lease, assignment, or transfer of rights;
QUIREMENTS FOR OBTAINING A MAXIMUM (iii) Who has placed property on
PROBABLE LOSS DETERMINATION FOR LI- board the payload for launch, reentry,
CENSED OR PERMITTED ACTIVITIES
or payload services; or
APPENDIX B TO P ART 440—AGREEMENT FOR
WAIVER OF CLAIMS AND ASSUMPTION OF RE- (iv) To whom the customer has trans-
SPONSIBILITY FOR LICENSED ACTIVITIES ferred its rights to the launch or re-
A PPENDIX C TO P ART 440—A GREEMENT FOR entry services.
WAIVER OF CLAIMS AND ASSUMPTION OF RE - (2) A space flight participant, for the
SPONSIBILITY FOR PERMITTED ACTIVITIES
purposes of this part, is not a cus-
APPENDIX D TO PART 440—AGREEMENT FOR
tomer.
WAIVER OF CLAIMS AND ASSUMPTION OF RE-
SPONSIBILITY FOR A CREW MEMBER Federal range facility means a U.S.
A PPENDIX E TO P ART 440—A GREEMENT FOR Government-owned installation at
WAIVER OF CLAIMS AND ASSUMPTION OF RE- which a launch or reentry takes place.
SPONSIBILITY FOR A SPACE FLIGHT PARTICI- Financial responsibility means capable
PANT
of satisfying a liability obligation as
AUTHORITY: 51 U.S.C. 50901–50923. required by 51 U.S.C Subtitle V, chap-
SOURCE: Docket No. FAA–2005–23449, 71 FR ter 509.
75632, Dec. 15, 2006, unless otherwise noted. First-tier customer means a customer
as defined in this section, and who has
Subpart A—Financial Responsi- a contractual relationship with a li-
bility for Licensed and Per- cense or permit holder to obtain launch
or reentry services.
mitted Activities
Government personnel means employ-
§ 440.1 Scope of part. ees of the United States, its agencies,
and its contractors and subcontractors,
This part establishes financial re-
involved in launch or reentry services
sponsibility and allocation of risk re-
quirements for any launch or reentry for an activity authorized by an FAA
authorized by a license or permit license or permit. Employees of the
issued under this subchapter. United States include members of the
Armed Forces of the United States.
§ 440.3 Definitions. Hazardous operations means activi-
Except as otherwise provided in this ties, processes, and procedures that, be-
section, any term used in this part and cause of the nature of the equipment,
defined in 51 U.S.C. 50901–50923, or in facilities, personnel, environment in-
§ 401.5 of this chapter shall have the volved or function being performed,
meaning contained therein. For pur- may result in bodily injury or property
poses of this part— damage.
Bodily injury means physical injury, Liability means a legal obligation to
sickness, disease, disability, shock, pay a claim for bodily injury or prop-
mental anguish, or mental injury sus- erty damage resulting from a licensed
tained by any person, including death. or permitted activity.
Contractors and subcontractors means License means an authorization the
those entities that are involved at any FAA issues under this subchapter to
level, directly or indirectly, in licensed launch or reenter a launch or reentry
or permitted activities, and includes vehicle.

901
§ 440.5 14 CFR Ch. III (1–1–19 Edition)
Licensed activity means the launch of (v) A space flight participant.
a launch vehicle or the reentry of a re- (2) Government personnel, as defined
entry vehicle conducted under a license in this section, are third parties.
the FAA issues. United States means the United
Maximum probable loss (MPL) means States Government, including each of
the greatest dollar amount of loss for its agencies.
bodily injury or property damage that
is reasonably expected to result from a [Doc. No. FAA–2005–23449, 71 FR 75632, Dec.
15, 2006, as amended by Amdt. 440–3, 77 FR
licensed or permitted activity;
20533, Apr. 5, 2012; Doc. No. FAA–2014–1012,
(1) Losses to third parties, excluding Amdt. 440–4, 81 FR 55122, Aug. 18, 2016]
Government personnel and other
launch or reentry participants’ em- § 440.5 General.
ployees involved in licensed or per-
mitted activities, that are reasonably (a) No person may commence or con-
expected to result from a licensed or duct any launch or reentry activity
permitted activity are those that have that requires a license or permit unless
a probability of occurrence of no less that person has demonstrated compli-
than one in ten million. ance with the requirements of this
(2) Losses to Government property part.
and Government personnel involved in (b) The FAA will prescribe the
licensed or permitted activities that amount of financial responsibility a li-
are reasonably expected to result from censee or permittee must obtain and
licensed or permitted activities are any adjustments of the amount in a li-
those that have a probability of occur- cense or permit order issued concur-
rence of no less than one in one hun- rent with or subsequent to the issuance
dred thousand. of a license or a permit.
Part 440 customer means a customer (c) Demonstration of financial re-
as defined in this section, other than a sponsibility under this part shall not
first-tier customer. relieve a licensee of ultimate responsi-
Permit means an authorization the bility for liability, loss, or damage sus-
FAA issues under this subchapter for tained by the United States resulting
the launch or reentry of a reusable sub- from a licensed activity, except to the
orbital rocket. extent that:
Permitted activity means the launch or (1) Liability, loss, or damage sus-
reentry of a reusable suborbital rocket tained by the United States results
conducted under a permit issued by the from willful misconduct of the United
FAA. States or its agents;
Property damage means partial or (2) Any covered claim of a third party
total destruction, impairment, or loss for bodily injury or property damage
of tangible property, real or personal. arising out of any particular licensed
Regulations mean the Commercial activity exceeds the amount of finan-
Space Transportation Licensing Regu- cial responsibility required under
lations codified at 14 CFR Ch. III. § 440.9(c) of this part and does not ex-
Third party means ceed $1,500,000,000 (as adjusted for infla-
(1) Any person other than: tion occurring after January 1, 1989)
(i) The United States, any of its above such amount, and are payable
agencies, and its contractors and sub- pursuant to 51 U.S.C. 50915 and § 440.19
contractors involved in launch or re- of this part. A claim of an employee of
entry services for a licensed or per- any entity listed in paragraphs (1)(ii)
mitted activity; through (1)(iii) in the Third party defi-
(ii) A licensee, permittee, and its nition in § 440.3 of this part for bodily
contractors and subcontractors in- injury or property damage is not a cov-
volved in launch or reentry services for ered claim;
a licensed or permitted activity; (3) A covered claim for property loss
(iii) A customer and its contractors or damage exceeds the amount of fi-
and subcontractors involved in launch nancial responsibility required under
or reentry services for a licensed or § 440.9(e) of this part and does not re-
permitted activity; sult from willful misconduct of the li-
(iv) A member of a crew; and censee; or

902
Commercial Space Transportation, FAA, DOT § 440.9
(4) The licensee has no liability for posed to risk of damage or loss as a re-
covered claims by third parties for bod- sult of, a licensed or permitted activity
ily injury or property damage arising before issuing a license or permit order
out of any particular launch or reentry prescribing financial responsibility re-
that exceeds $1,500,000,000 (as adjusted quirements, and shall notify the li-
for inflation) above the amount of fi- censee, or permittee, if interagency
nancial responsibility required under consultation may delay issuance of the
§ 440.9(c). MPL determination.
(d) Demonstration of financial re- (c) Appendix A of this part contains
sponsibility under this part does not information requirements for obtain-
relieve a permittee of ultimate respon- ing a maximum probable loss deter-
sibility for liability, loss, or damage mination. Any person requesting a de-
sustained by the United States result- termination of maximum probable loss
ing from a permitted activity, except must submit the information required
to the extent that: by Appendix A, unless the FAA has
(1) Liability, loss, or damage sus- waived a requirement. In lieu of sub-
tained by the United States results mitting required information, a person
from willful misconduct of the United requesting a maximum probable loss
States or its agents; or determination may designate and cer-
(2) A covered claim for property loss tify certain information previously
or damage to the United States exceeds submitted for a prior determination as
the amount of financial responsibility complete, valid, and equally applicable
required under § 440.9(e) and does not to its current request. The requester is
result from willful misconduct of the responsible for the continuing accuracy
permittee. and completeness of information sub-
(e) A licensee’s or permittee’s failure mitted under this part and must
to comply with any requirement of this promptly report any changes in writ-
part may result in suspension or rev- ing.
ocation of a license or permit, and sub- (d) The FAA will amend a determina-
ject the licensee or permittee to civil tion of maximum probable loss re-
penalties as provided in part 405 of this quired under this section at any time
chapter. prior to completion of licensed or per-
[Doc. No. FAA–2005–23449, 71 FR 75632, Dec. mitted activities as warranted by sup-
15, 2006, as amended by Amdt. 440–3, 77 FR plementary information provided to or
20533, Apr. 5, 2012] obtained by the FAA after the MPL de-
termination is issued. Any change in fi-
§ 440.7 Determination of maximum nancial responsibility requirements as
probable loss. a result of an amended MPL deter-
(a) The FAA will determine the max- mination shall be set forth in a license
imum probable loss (MPL) from cov- or permit order.
ered claims by a third party for bodily (e) The FAA may make a determina-
injury or property damage, and the tion of maximum probable loss at any
United States, its agencies, and its time other than as set forth in para-
contractors and subcontractors for cov- graph (b) of this section upon request
ered property damage or loss, resulting by any person.
from a permitted or licensed activity.
The maximum probable loss deter- § 440.9 Insurance requirements for li-
mination forms the basis for financial censed or permitted activities.
responsibility requirements issued in a (a) As a condition of each license or
license or permit order. permit, a licensee or permittee must
(b) The FAA issues its determination comply with all insurance require-
of maximum probable loss no later ments of this section and of a license
than ninety days after a licensee or or permit issued by the FAA, or other-
permittee has requested a determina- wise demonstrate the required amount
tion and submitted all information re- of financial responsibility.
quired by the FAA to make the deter- (b) A licensee or permittee must ob-
mination. The FAA will consult with tain and maintain in effect a policy or
Federal agencies that are involved in, policies of liability insurance, in an
or whose personnel or property are ex- amount determined by the FAA under

903
§ 440.11 14 CFR Ch. III (1–1–19 Edition)
paragraph (c) of this section, that pro- ance must protect the United States
tects the following persons as addi- and its agencies, and its contractors
tional insureds to the extent of their and subcontractors involved in a li-
respective potential liabilities against censed or permitted activity.
covered claims by a third party for (e) The FAA will prescribe for each
bodily injury or property damage re- licensee or permittee the amount of in-
sulting from a licensed or permitted surance required to compensate claims
activity: for property damage under paragraph
(1) The licensee or permittee, its cus- (d) of this section resulting from a li-
tomer, and their respective contractors censed or permitted activity in connec-
and subcontractors, and the employees tion with any particular launch or re-
of each, involved in a licensed or per- entry. The amount of insurance is
mitted activity; based upon a determination of max-
(2) The United States, its agencies, imum probable loss; however, it will
and its contractors and subcontractors not exceed the lesser of:
involved in a licensed or permitted ac- (1) $100 million; or
tivity; and (2) The maximum available on the
(3) Government personnel. world market at a reasonable cost, as
(c) The FAA will prescribe for each determined by the FAA.
licensee or permittee the amount of in- (f) In lieu of a policy of insurance, a
surance required to compensate the licensee or permittee may demonstrate
total of covered third-party claims for financial responsibility in another
bodily injury or property damage re- manner meeting the terms and condi-
sulting from a licensed or permitted tions for insurance of this part. The li-
activity in connection with any par- censee or permittee must describe in
ticular launch or reentry. A covered detail the method proposed for dem-
third-party claim includes a claim by onstrating financial responsibility and
the United States, its agencies, and its how it ensures that the licensee or per-
contractors and subcontractors for mittee is able to cover claims as re-
damage or loss to property other than quired under this part.
property for which insurance is re- § 440.11 Duration of coverage for li-
quired under paragraph (d) of this sec- censed launch, including suborbital
tion. The amount of insurance required launch, or permitted activities;
is based upon the FAA’s determination modifications.
of maximum probable loss; however, it (a) Insurance coverage required under
will not exceed the lesser of: § 440.9, or other form of financial re-
(1) $500 million; or sponsibility, shall attach when a li-
(2) The maximum liability insurance censed launch or permitted activity
available on the world market at a rea- starts, and remain in full force and ef-
sonable cost, as determined by the fect as follows:
FAA. (1) Until completion of licensed
(d) The licensee or permittee must launch or permitted activities at a
obtain and maintain in effect a policy launch or reentry site; and
or policies of insurance, in an amount (2) For orbital launch, until the later
determined by the FAA under para- of—
graph (e) of this section, that covers (i) Thirty days following payload sep-
claims by the United States, its agen- aration, or attempted payload separa-
cies, and its contractors and sub- tion in the event of a payload separa-
contractors involved in a licensed or tion anomaly; or
permitted activity for property damage (ii) Thirty days from ignition of the
or loss resulting from a licensed or per- launch vehicle.
mitted activity. Property covered by (3) For a suborbital launch, until the
this insurance must include all prop- later of—
erty owned, leased, or occupied by, or (i) Motor impact and payload recov-
within the care, custody, or control of, ery; or
the United States and its agencies, and (ii) The FAA’s determination that
its contractors and subcontractors in- risk to third parties and Government
volved in a licensed or permitted activ- property as a result of licensed launch
ity, at a Federal range facility. Insur- or permitted activities is sufficiently

904
Commercial Space Transportation, FAA, DOT § 440.13
small that financial responsibility is (1) Bankruptcy or insolvency of an
no longer necessary. That determina- insured, including any additional in-
tion is made through the risk analysis sured, shall not relieve an insurer of
conducted before the launch to deter- any of its obligations under any policy.
mine MPL and specified in a license or (2) Policy limits shall apply sepa-
permit order. rately to each occurrence and, for each
(b) Financial responsibility required occurrence to the total of claims aris-
under this part may not be replaced, ing out of a licensed or permitted ac-
canceled, changed, withdrawn, or in tivity in connection with any par-
any way modified to reduce the limits ticular launch or reentry.
of liability or the extent of coverage, (3) Except as provided in this section,
nor expire by its own terms, prior to each policy must pay claims from the
the time specified in a license or per- first dollar of loss, without regard to
mit order, unless the FAA is notified at any deductible, to the limits of the pol-
least 30 days in advance and expressly icy. A licensee or permittee may ob-
approves the modification. tain a policy containing a deductible
amount if the amount of the deductible
§ 440.12 Duration of coverage for li- is placed in an escrow account or oth-
censed reentry; modifications. erwise demonstrated to be unobligated,
(a) For reentry, insurance coverage unencumbered funds of the licensee or
required under § 440.9, or other form of permittee, available to compensate
financial responsibility, shall attach claims at any time claims may arise.
upon commencement of licensed re- (4) No policy may be invalidated by
entry, and remain in full force and ef- any action or inaction of the licensee
fect as follows: or permittee or any additional insured,
(1) For ground operations, until com- even by nonpayment by the licensee or
pletion of licensed reentry at the re- permittee of the policy premium, and
entry site; and each policy must insure the licensee or
(2) For other licensed reentry activi- permittee and each additional insured
ties, 30 days from initiation of reentry regardless of any breach or violation of
flight; however, in the event of an any warranties, declarations, or condi-
abort that results in the reentry vehi- tions contained in the policies by the
cle remaining on orbit, insurance shall licensee or permittee or any additional
remain in place until the FAA’s deter- insured (other than a breach or viola-
mination that risk to third parties and tion by the licensee, permittee or an
Government property as a result of li- additional insured, and then only as
censed reentry is sufficiently small against that licensee, permittee or ad-
that financial responsibility is no ditional insured).
longer necessary, as determined by the (5) Each exclusion from coverage
FAA through the risk analysis con- must be specified.
ducted to determine MPL and specified (6) Insurance shall be primary with-
in a license order. out right of contribution from any
(b) Financial responsibility required other insurance that is carried by the
under this part may not be replaced, licensee or permittee or any additional
canceled, changed, withdrawn, or in insured.
any way modified to reduce the limits (7) Each policy must expressly pro-
of liability or the extent of coverage, vide that all of its provisions, except
nor expire by its own terms, prior to the policy limits, operate in the same
the time specified in a license order, manner as if there were a separate pol-
unless the FAA is notified at least 30 icy with and covering the licensee or
days in advance and expressly approves permittee and each additional insured.
the modification. (8) Each policy must be placed with
an insurer of recognized reputation and
§ 440.13 Standard conditions of insur- responsibility that either:
ance coverage. (i) Is licensed to do business in any
(a) Insurance obtained under § 440.9 State, territory, possession of the
must comply with each of the following United States, or the District of Co-
terms and conditions of coverage: lumbia; or

905
§ 440.15 14 CFR Ch. III (1–1–19 Edition)
(ii) Includes in each of its policies or access to or use of United States
insurance obtained under this part a launch or reentry property or launch
contract clause in which the insurer or reentry services for a licensed or
agrees to submit to the jurisdiction of permitted activity which addresses fi-
a court of competent jurisdiction with- nancial responsibility, allocation of
in the United States and designates an risk and related matters covered by 51
authorized agent within the United U.S.C. 50914, 50915.
States for service of legal process on (c) A licensee or permittee must dem-
the insurer. onstrate compliance as follows:
(9) Except as to claims resulting from
(1) The licensee or permittee must
the willful misconduct of the United
provide proof of the existence of the in-
States or any of its agents, the insurer
surance required by § 440.9 by:
shall waive any and all rights of sub-
rogation against each of the parties (i) Certifying to the FAA that it has
protected by required insurance. obtained insurance in compliance with
(b) [Reserved] the requirements of this part and any
applicable license or permit order;
§ 440.15 Demonstration of compliance. (ii) Filing with the FAA one or more
(a) A licensee or permittee must sub- certificates of insurance evidencing in-
mit to the FAA evidence of financial surance coverage by one or more insur-
responsibility and compliance with al- ers under a currently effective and
location of risk requirements under properly endorsed policy or policies of
this part, as follows, unless a license or insurance, applicable to a licensed or
permit order specifies otherwise due to permitted activity, on terms and condi-
the proximity of the intended date for tions and in amounts prescribed under
commencement of licensed or per- this part, and specifying policy exclu-
mitted activities: sions;
(1) All reciprocal waiver of claims (iii) In the event of any policy exclu-
agreements required under § 440.17(c) sions or limitations of coverage that
must be submitted at least 30 days be- may be considered usual under
fore the start of any licensed or per- § 440.19(c), or for purposes of imple-
mitted activity involving a customer, menting the Government’s waiver of
crew member, or space flight partici-
claims for property damage under 51
pant;
U.S.C. 50914(b), certifying that insur-
(2) Evidence of insurance must be
ance covering the excluded risks is not
submitted at least 30 days before com-
commercially available at reasonable
mencement of any licensed launch or
permitted activity, and for licensed re- cost; and
entry no less than 30 days before com- (iv) Submitting to the FAA, for sig-
mencement of launch activities involv- nature by the Department on behalf of
ing the reentry licensee; the United States Government, the
(3) Evidence of financial responsi- waiver of claims and assumption of re-
bility in a form other than insurance, sponsibility agreement required by
as provided under § 440.9(f), must be § 440.17(c), executed by the licensee or
submitted at least 60 days before com- permittee and its customer.
mencement of a licensed or permitted (v) Submitting to the FAA, for signa-
activity; and ture by the Department on behalf of
(4) Evidence of renewal of insurance the United States Government, an
or other form of financial responsi- agreement to waive claims and assume
bility must be submitted at least 30 responsibility required by § 440.17(e),
days in advance of its expiration date. executed by each space flight partici-
(b) Upon a complete demonstration of pant.
compliance with financial responsi- (vi) Submitting to the FAA, for sig-
bility and allocation of risk require-
nature by the Department on behalf of
ments under this part, the require-
the United States Government, an
ments of this part shall preempt each
agreement to waive claims and assume
and any provision in any agreement be-
tween the licensee or permittee and an responsibility required by § 440.17(f), ex-
agency of the United States governing ecuted by each member of the crew.

906
Commercial Space Transportation, FAA, DOT § 440.17
(2) Any certification required by this and subcontractors involved in launch
section must be signed by a duly au- or reentry services, and each of its first-
thorized officer of the licensee or per- tier customers.
mittee. (2) Any first-tier customer must ex-
(d) Each certificate of insurance re- tend the reciprocal waiver of claims re-
quired by paragraph (c)(1)(ii) of this quirements to each of its contractors
section must be signed by the insurer and subcontractors involved in launch
issuing the policy and accompanied by or reentry services, and each of its cus-
an opinion of the insurance broker that tomers.
the insurance obtained by the licensee (3) Any part 440 customer must ex-
or permittee complies with all the re- tend the reciprocal waiver of claims re-
quirements for insurance of this part quirements to each of its contractors
and any applicable license or permit and subcontractors involved in launch
order. or reentry services, and each of its cus-
(e) The licensee or permittee must tomers.
maintain, and make available for in- (c) For each licensed or permitted ac-
spection by the FAA upon request, all tivity in which the United States, or
required policies of insurance and other its contractors and subcontractors, is
documents necessary to demonstrate involved or where property insurance is
compliance with this part. required under § 440.9(d), the Federal
(f) In the event the licensee or per- Aviation Administration of the Depart-
mittee demonstrates financial respon- ment of Transportation, the licensee or
sibility using means other than insur- permittee, and each first-tier customer
ance, as provided under § 440.9(f), the li- must enter into a reciprocal waiver of
censee or permittee must provide proof claims agreement. The reciprocal waiv-
that it has met the requirements of er of claims must be in the form set
this part and of a FAA issued license or forth in appendix B of this part for a li-
permit order. censed activity, in appendix C of this
[Doc. No. FAA–2005–23449, 71 FR 75632, Dec. part for a permitted activity, or in a
15, 2006, as amended by Amdt. 440–3, 77 FR form that otherwise provides all the
20533, Apr. 5, 2012] same obligations and benefits. The re-
ciprocal waiver of claims must provide
§ 440.17 Reciprocal waiver of claims that:
requirements. (1) Each party to the reciprocal waiv-
(a) As a condition of each license or er of claims, including the United
permit, the licensee or permittee must States but only to the extent provided
comply with the reciprocal waiver of in legislation:
claims requirements of this section. (i) Waives and releases claims it may
(b) The licensee or permittee and have against each other party to the
each of its contractors and subcontrac- reciprocal waiver of claims, any cus-
tors, each customer, and each cus- tomer, and against their respective
tomer’s contractors and subcontrac- contractors and subcontractors, for
tors, must enter into a reciprocal waiv- property damage it sustains and for
er of claims agreement under which bodily injury or property damage sus-
each party waives and releases claims tained by its own employees, resulting
against all the other parties to the from licensed or permitted activities,
waiver and against any other cus- regardless of fault;
tomer, and agrees to assume financial (ii) Assumes responsibility for prop-
responsibility for property damage it erty damage it sustains and for bodily
sustains and for bodily injury or prop- injury or property damage sustained by
erty damage sustained by its own em- its own employees, resulting from li-
ployees, and to hold harmless and in- censed or permitted activities, regard-
demnify each other from bodily injury less of fault. A licensee or permittee
or property damage sustained by its and each first-tier customer shall each
employees, resulting from a licensed or hold harmless and indemnify each
permitted activity, regardless of fault. other, the United States, any other
(1) The licensee or permittee must customer, and the contractors and sub-
extend the reciprocal waiver of claims contractors of each for bodily injury or
requirements to each of its contractors property damage sustained by its own

907
§ 440.17 14 CFR Ch. III (1–1–19 Edition)
employees, resulting from licensed or tent that claims they would otherwise
permitted activities, regardless of have for such damage or injury exceed
fault; and the amount of insurance or demonstra-
(iii) Extends the requirements of the tion of financial responsibility required
waiver and release of claims, and the under § 440.9(c) and (e);
assumption of responsibility, hold (D) For each part 440 customer, all
harmless, and indemnification, to its claims against the licensee or per-
contractors and subcontractors in- mittee, any other customer, the United
volved in launch and reentry services, States, and each of their respective
and, for each customer, to its contrac- contractors and subcontractors; and to
tors and subcontractors involved in agree to be responsible for property
launch and reentry services, and cus- damage they sustain and to be respon-
tomers, by requiring them to waive and sible, hold harmless and indemnify the
release all claims as follows: licensee or permittee, any other cus-
(A) For each contractor and subcon- tomer, the United States, and each of
tractor of the licensee or permittee, all their respective contractors and sub-
claims against any customer, the contractors, for bodily injury or prop-
United States, and each of their respec- erty damage sustained by their own
tive contractors and subcontractors, employees, resulting from licensed ac-
and to agree to be responsible for prop- tivities, regardless of fault; and
erty damage they sustain and to be re- (2) For the following parties—
sponsible, hold harmless and indemnify
(i) The licensee or permittee must
any customer, the United States, and
hold harmless and indemnify each first-
each of their respective contractors
tier customer and its directors, of-
and subcontractors, for bodily injury
ficers, servants, agents, subsidiaries,
or property damage sustained by their
employees and assignees, or any of
own employees, resulting from licensed
them; the United States and its serv-
activities, regardless of fault;
ants, agents, subsidiaries, employees
(B) For each contractor and subcon-
and assignees, or any of them; and any
tractor of any customer, all claims
part 440 customer and its directors, of-
against the licensee or permittee, any
ficers, servants, agents, subsidiaries,
other customer, the United States, and
employees and assignees, or any of
each of their respective contractors
and subcontractors, and to agree to be them from and against liability, loss or
responsible for property damage they damage arising out of claims that any
sustain and to be responsible, hold of licensee’s or permittee’s contractors
harmless and indemnify the licensee or and subcontractors may have for prop-
permittee, any other customer, the erty damage sustained by them and for
United States, and each of their respec- bodily injury or property damage sus-
tive contractors and subcontractors, tained by their employees, resulting
for bodily injury or property damage from licensed or permitted activities
sustained by their own employees, re- and arising out of the indemnifying
sulting from licensed activities, re- party’s failure to implement properly
gardless of fault; the waiver requirement. The require-
(C) For each contractor and subcon- ment of paragraph (c)(2)(i) of this sec-
tractor of the United States, all claims tion to hold harmless and indemnify
against the licensee or permittee, any the United States and its servants,
customer, and each of their respective agents, subsidiaries, employees and as-
contractors and subcontractors, and to signees, or any of them, does not apply
agree to be responsible for property when:
damage they sustain and to be respon- (A) Claims result from willful mis-
sible, hold harmless and indemnify the conduct of the United States or its
licensee or permittee, any other cus- agents;
tomer, the United States, and each of (B) Claims for property damage sus-
their respective contractors and sub- tained by the United States or its con-
contractors, for bodily injury or prop- tractors and subcontractors exceed the
erty damage sustained by their own amount of insurance or demonstration
employees, resulting from licensed ac- of financial responsibility required
tivities, regardless of fault to the ex- under § 440.9(e);

908
Commercial Space Transportation, FAA, DOT § 440.17
(C) For licensed activity, claims by a the waiver requirement to the extent
third party for bodily injury or prop- that claims they would otherwise have
erty damage exceed the amount of in- for such damage or injury exceed the
surance or demonstration of financial amount of insurance or demonstration
responsibility required under § 440.9(c), of financial responsibility required
and do not exceed $1,500,000,000 (as ad- under § 440.9(c) and (e).
justed for inflation after January 1, 1989) (d) For each licensed or permitted ac-
above such amount, and are pay- able tivity in which the United States or its
pursuant to the provisions of 51 contractors and subcontractors are in-
U.S.C. 50915 and § 440.19; or volved, the Federal Aviation Adminis-
(D) The licensee has no liability for
tration of the Department of Transpor-
claims exceeding $1,500,000,000 (as ad-
tation and each space flight partici-
justed for inflation after January 1,
pant must enter into or have in place a
1989) above the amount of insurance or
reciprocal waiver of claims agreement.
demonstration of financial responsi-
bility required under § 440.9(c). The reciprocal waiver of claims must
(ii) Each first-tier customer must be in the form set forth in appendix E
hold harmless and indemnify the li- of this part, or in a form that other-
censee or permittee and its directors, wise provides all the same obligations
officers, servants, agents, subsidiaries, and benefits.
employees and assignees, or any of (1) The reciprocal waiver of claims
them; the United States and its serv- must provide that each space flight
ants, agents, subsidiaries, employees participant:
and assignees, or any of them; and any (i) Waive and release claims he or she
part 440 customer and its directors, of- may have against the United States,
ficers, servants, agents, subsidiaries, and against each of its contractors and
employees and assignees, or any of subcontractors, for bodily injury or
them, from and against liability, loss property damage sustained by the
or damage arising out of claims that space flight participant, resulting from
any of each first-tier customer’s cus- licensed or permitted activities, re-
tomers, contractors, or subcontractors, gardless of fault;
may have for property damage sus- (ii) Assume responsibility for bodily
tained by them and for bodily injury or
injury or property damage, sustained
property damage sustained by their
by the space flight participant, result-
employees, resulting from licensed or
ing from licensed or permitted activi-
permitted activities and arising out of
the indemnifying party’s failure to im- ties, regardless of fault;
plement properly the waiver require- (iii) Hold harmless the United States,
ment. and its contractors and subcontractors,
(iii) The Federal Aviation Adminis- for bodily injury or property damage,
tration of the Department of Transpor- sustained by the space flight partici-
tation on behalf of the United States, pant, resulting from licensed or per-
but only to the extent provided in leg- mitted activities, regardless of fault;
islation, must hold harmless and in- and
demnify the licensee or permittee, each (iv) Hold harmless and indemnify the
first-tier customer, any part 440 cus- United States and its servants, agents,
tomer, and their respective directors, subsidiaries, employees and assignees,
officers, servants, agents, subsidiaries, or any of them, from and against liabil-
employees and assignees, or any of ity, loss, or damage arising out of
them, from and against liability, loss claims brought by anyone for property
or damage arising out of claims that damage or bodily injury sustained by
contractors and subcontractors of the the space flight participant, resulting
United States may have for property from licensed or permitted activities.
damage sustained by them and for bod- (2) The reciprocal waiver of claims
ily injury or property damage sus-
must provide that the United States:
tained by their employees, resulting
from licensed or permitted activities (i) Waive and release claims it may
and arising out of the indemnifying have against the space flight partici-
party’s failure to implement properly pant for property damage it sustains,

909
§ 440.17 14 CFR Ch. III (1–1–19 Edition)
and for bodily injury or property dam- vides all the same obligations and ben-
age sustained by its own employees, re- efits.
sulting from licensed or permitted ac- (1) The reciprocal waiver of claims
tivities, regardless of fault; must provide that each crew member:
(ii) Assume responsibility for prop- (i) Waive and release claims he or she
erty damage it sustains, and for bodily may have against the United States,
injury or property damage sustained by and against each of its contractors and
its own employees, resulting from li- subcontractors, for bodily injury or
censed activities, regardless of fault, to property damage sustained by the crew
the extent that claims it would other- member, resulting from licensed or
wise have for such damage or injury ex- permitted activities, regardless of
ceed the amount of insurance or dem- fault;
onstration of financial responsibility (ii) Assume responsibility for bodily
required under § 440.9(c) and (e), respec- injury or property damage, sustained
tively; by the crew member, resulting from li-
(iii) Assume responsibility for prop- censed or permitted activities, regard-
erty damage it sustains, resulting from less of fault;
permitted activities, regardless of (iii) Hold harmless the United States,
fault, to the extent that claims it and its contractors and subcontractors,
would otherwise have for such damage for bodily injury or property damage,
exceed the amount of insurance or sustained by the crew member, result-
demonstration of financial responsi- ing from licensed or permitted activi-
bility required under § 440.9(e); ties, regardless of fault; and
(iv) Hold harmless and indemnify the
(iv) Extend the requirements of the
United States and its agencies, serv-
waiver and release of claims, and the
ants, agents, subsidiaries, employees
assumption of responsibility to its con-
and assignees, or any of them, from
tractors and subcontractors by requir-
and against liability, loss, or damage
ing them to waive and release all
arising out of claims brought by any-
claims they may have against the
one for property damage or bodily in-
space flight participant, and to agree
jury sustained by the crew member, re-
to be responsible, for any property sulting from licensed or permitted ac-
damage they sustain and for any bodily
tivities.
injury or property damage sustained by (2) The reciprocal waiver of claims
their own employees, resulting from li- must provide that the United States:
censed activities, regardless of fault; (i) Waive and release claims it may
and have against the crew member for
(v) Extend the requirements of the property damage it sustains, and for
waiver and release of claims, and the bodily injury, including death, or prop-
assumption of responsibility to its con- erty damage sustained by its own em-
tractors and subcontractors by requir- ployees, resulting from licensed or per-
ing them to waive and release all mitted activities, regardless of fault;
claims they may have against the (ii) Assume responsibility for prop-
space flight participant, and to agree erty damage it sustains, and for bodily
to be responsible, for any property injury or property damage sustained by
damage they sustain, resulting from its own employees, resulting from li-
permitted activities, regardless of censed activities, regardless of fault, to
fault. the extent that claims it would other-
(e) For each licensed or permitted ac- wise have for such damage or injury ex-
tivity in which the United States or its ceed the amount of insurance or dem-
contractors and subcontractors is in- onstration of financial responsibility
volved, the Federal Aviation Adminis- required under § 440.9(c) and (e), respec-
tration of the Department of Transpor- tively;
tation and each crew member must (iii) Assume responsibility for prop-
enter into or have in place a reciprocal erty damage it sustains, resulting from
waiver of claims agreement. The recip- permitted activities, regardless of
rocal waiver of claims must be in the fault, to the extent that claims it
form set forth in appendix D of this would otherwise have for such damage
part, or in a form that otherwise pro- exceed the amount of insurance or

910
Commercial Space Transportation, FAA, DOT § 440.19
demonstration of financial responsi- appropriation law or other legislative
bility required under § 440.9(e); authority providing for payment of
(iv) Extend the requirements of the claims in accordance with 51 U.S.C.
waiver and release of claims, and the 50915, and to the extent the total
assumption of responsibility to its con- amount of such covered claims arising
tractors and subcontractors by requir- out of any particular launch or re- entry:
ing them to waive and release all (b) Payment by the United States
claims they may have against the crew under paragraph (a) of this section
member and to agree to be responsible, shall not be made for any part of such
for any property damage they sustain claims for which bodily injury or prop-
and for any bodily injury or property
erty damage results from willful mis-
damage sustained by their own employ-
conduct by the party seeking payment.
ees, resulting from licensed activities,
regardless of fault; and (c) The United States shall provide
(v) Extend the requirements of the for payment of claims by third parties
waiver and release of claims, and the for bodily injury or property damage
assumption of responsibility to its con- that are payable under 49 U.S.C. 70113
tractors and subcontractors by requir- and not covered by required insurance
ing them to waive and release all under § 440.9(b), without regard to the
claims they may have against the crew limitation under paragraph (a)(1) of
member and to agree to be responsible, this section, because of an insurance
for any property damage they sustain, policy exclusion that is usual. A policy
resulting from permitted activities, re- exclusion is considered usual only if in-
gardless of fault. surance covering the excluded risk is
(f) Any waiver, release, assumption of not commercially available at reason-
responsibility or agreement to hold able rates. The licensee must submit a
harmless and indemnify pursuant to certification in accordance with
this section does not apply to claims § 440.15(c)(1)(iii) of this part for the
for bodily injury or property damage United States to cover the claims.
resulting from willful misconduct of (d) Upon the expiration of the policy
any of the parties to the reciprocal period prescribed in accordance with
waiver of claims, the contractors and § 440.11(a), the United States shall pro-
subcontractors of any of the parties to vide for payment of claims that are
the reciprocal waiver of claims, and in
payable under 51 U.S.C. 50915 from the
the case of licensee or permittee and
first dollar of loss up to $1,500,000,000
customers and the contractors and sub-
(as adjusted for inflation occurring
contractors of each of them, the direc-
after January 1, 1989).
tors, officers, agents and employees of
any of the foregoing, and in the case of (e) Payment by the United States of
the United States, its agents. excess third-party claims under 51
U.S.C. 50915 shall be subject to:
[Doc. No. FAA–2005–23449, 71 FR 75632, Dec. (1) Prompt notice by the licensee to
15, 2006, as amended by Amdt. 440-2, 76 FR
the FAA that the total amount of
8630, Feb. 15, 2011; Doc. No. FAA–2014–1012,
Amdt. 440–4, 81 FR 55122, Aug. 18, 2016] claims arising out of licensed activities
exceeds, or is likely to exceed, the re-
§ 440.19 United States payment of ex- quired amount of financial responsi-
cess third-party liability claims. bility. For each claim, the notice must
(a) The United States pays successful specify the nature, cause, and amount
covered claims (including reasonable of the claim or lawsuit associated with
expenses of litigation or settlement) of the claim, and the party or parties who
a third party against a licensee, a cus- may otherwise be liable for payment of
tomer, and the contractors and sub- the claim;
contractors of the licensee and the cus- (2) Participation or assistance in the
tomer, and the employees of each in- defense of the claim or lawsuit by the
volved in licensed activities, and the United States, at its election;
contractors and subcontractors of the (3) Approval by the FAA of any set-
United States and its agencies, and tlement, or part of a settlement, to be
their employees, involved in licensed paid by the United States; and
activities to the extent provided in an

911
Pt. 440, App. A 14 CFR Ch. III (1–1–19 Edition)
(4) Approval by Congress of a com- 3. Description of rocket motors and type of
pensation plan prepared by the FAA fuel used.
and submitted by the President. 4. Identification of all propellants to be
used and their hazard classification under
(f) The FAA will:
the Hazardous Materials Table, 49 CFR
(1) Prepare a compensation plan out- 172.101.
lining the total amount of claims and 5. Description of hazardous components.
meeting the requirements set forth in C. Payload.
51 U.S.C. 50915; 1. General description of the payload, in-
(2) Recommend sources of funds to cluding type (e.g., telecommunications, re-
pay the claims; and mote sensing), propellants, and hazardous
(3) Propose legislation as required to components or materials, such as toxic or ra-
dioactive substances.
implement the plan. D. Flight safety system.
(g) The FAA may withhold payment 1. Identification of any flight safety sys-
of a claim if it finds that the amount is tem on the vehicle, including a description
unreasonable, unless it is the final of operations and component location on the
order of a court that has jurisdiction vehicle.
over the matter.
II. PRE-F LIGHT P ROCESSING OPERATIONS
[Doc. No. FAA–2005–23449, 71 FR 75632, Dec.
A. General description of pre-flight oper-
15, 2006, as amended by Amdt. 440–3, 77 FR
ations including vehicle processing con-
20534, Apr. 5, 2012]
sisting of an operational flow diagram show-
ing the overall sequence and location of op-
erations, commencing with arrival of vehicle
components at the launch site facility
APPENDIX A TO PART 440—INFORMATION through final safety checks and countdown
REQUIREMENTS FOR OBTAINING A sequence, and designation of hazardous oper-
MAXIMUM PROBABLE LOSS DETER- ations, as defined in 14 CFR 440.3. For pur-
MINATION FOR LICENSED OR PER- poses of these information requirements,
payload processing, as opposed to integra-
MITTED ACTIVITIES
tion, is not a hazardous operation.
Any person requesting a maximum prob- B. For each hazardous operation, including
able loss determination shall submit the fol- but not limited to fueling, solid rocket
lowing information to the FAA, unless the motor build-up, ordnance installation, ord-
FAA has waived a particular information re- nance checkout, movement of hazardous ma-
quirement under 14 CFR 440.7(c): terials, and payload integration:
1. Identification of location where each op-
Part 1: Information Requirements for Licensed eration will be performed, including each
Launch, Including Suborbital Launch building or facility identified by name or
number.
I. GENERAL I NFORMATION 2. Identification of facilities adjacent to
A. Mission description. the location where each operation will be
1. A description of mission parameters, in- performed and therefore exposed to risk,
cluding: identified by name or number.
a. Launch trajectory; 3. Maximum number of Government per-
b. Orbital inclination; and sonnel and individuals not involved in li-
c. Orbit altitudes (apogee and perigee). censed activities who may be exposed to risk
2. Flight sequence. during each operation. For Government per-
3. Staging events and the time for each sonnel, identification of his or her employer.
event. 4. Identification of launch site policies or
4. Impact locations. requirements applicable to the conduct of
5. Identification of the launch site facility, operations.
including the launch complex on the site,
III. FLIGHT O PERATIONS
planned date of launch, and launch windows.
6. If the applicant has previously been A. Identification of launch site facilities
issued a license or permit to conduct activi- exposed to risk during licensed flight.
ties using the same vehicle from the same B. Identification of accident failure sce-
launch site, a description of any differences narios, probability assessments for each, and
planned in the conduct of proposed activi- estimation of risks to Government per-
ties. sonnel, individuals not involved in licensed
B. Launch vehicle description. activities, and Government property, due to
1. General description of the launch vehicle property damage or bodily injury. The esti-
and its stages, including dimensions. mation of risks for each scenario shall take
2. Description of major systems, including into account the number of such individuals
safety systems. at risk as a result of lift-off and flight of a

912
Commercial Space Transportation, FAA, DOT Pt. 440, App. A
launch vehicle (on-range, off-range, and Part 2: Information Requirements for Licensed
down-range) and specific, unique facilities Reentry
exposed to risk. Scenarios shall cover the
range of launch trajectories, inclinations and I. GENERAL I NFORMATION
orbits for which authorization is sought in A. Reentry mission description.
the license application. 1. A description of mission parameters, in-
C. On-orbit risk analysis assessing risks cluding:
posed by a launch vehicle to operational sat- a. Orbital inclination; and
ellites. b. Orbit altitudes (apogee and perigee).
D. Reentry risk analysis assessing risks to
c. Reentry trajectories.
Government personnel and individuals not
2. Reentry flight sequences.
involved in licensed activities as a result of
3. Reentry initiation events and the time
reentering debris or reentry of the launch ve-
for each event.
hicle or its components.
4. Nominal landing location, alternative
E. Trajectory data as follows: Nominal and
3-sigma lateral trajectory data in x, y, z and landing sites and contingency abort sites.
x (dot), y (dot), z (dot) coordinates in one- 5. Identification of landing facilities,
second intervals, data to be pad-centered (planned date of reentry), and reentry win-
with x being along the initial launch azi- dows.
muth and continuing through impact for 6. If the applicant has previously been
suborbital flights, and continuing through issued a license or permit to conduct reentry
orbital insertion or the end of powered flight activities using the same reentry vehicle to
for orbital flights. the same reentry site facility, a description
F. Tumble-turn data for guided vehicles of any differences planned in the conduct of
only, as follows: For vehicles with gimbaled proposed activities.
nozzles, tumble turn data with zeta angles B. Reentry vehicle description.
and velocity magnitudes stated. A separate 1. General description of the reentry vehi-
table is required for each combination of fail cle, including dimensions.
times (every two to four seconds), and sig- 2. Description of major systems, including
nificant nozzle angles (two or more small an- safety systems.
gles, generally between one and five de- 3. Description of propulsion system (re-
grees). entry initiation system) and type of fuel
G. Identification of debris lethal areas and used.
the projected number and ballistic coeffi- 4. Identification of all propellants to be
cient of fragments expected to result from used and their hazard classification under
flight termination, initiated either by com- the Hazardous Materials Table, 49 CFR
mand or self-destruct mechanism, for lift-off, 172.101.
land overflight, and reentry. 5. Description of hazardous components.
C. Payload.
IV. POST-FLIGHT P ROCESSING O PERATIONS 1. General description of any payload, in-
A. General description of post-flight cluding type (e.g., telecommunications, re-
ground operations including overall sequence mote sensing), propellants, and hazardous
and location of operations for removal of ve- components or materials, such as toxic or ra-
hicle components and processing equipment dioactive substances.
from the launch site facility and for han- D. Flight Safety System.
dling of hazardous materials, and designa- 1. Identification of any flight safety sys-
tion of hazardous operations. tem on the reentry vehicle, including a de-
B. Identification of all facilities used in scription of operations and component loca-
conducting post-flight processing operations. tion on the vehicle.
C. For each hazardous operation:
II. FLIGHT O PERATIONS
1. Identification of location where each op-
eration is performed, including each building A. Identification of reentry site facilities
or facility identified by name or number. exposed to risk during vehicle reentry and
2. Identification of facilities adjacent to lo- landing.
cation where each operation is performed B. Identification of accident failure sce-
and exposed to risk, identified by name or narios, probability assessments for each, and
number. estimation of risks to Government per-
3. Maximum number of Government per- sonnel, individuals not involved in licensed
sonnel and individuals not involved in li- reentry, and Government property, due to
censed launch activities that may be exposed property damage or bodily injury. The esti-
to risk during each operation. For Govern- mation of risks for each scenario shall take
ment personnel, identification of his or her into account the number of such individuals
employer. at risk as a result of reentry (flight) and
4. Identification of launch site facility landing of a reentry vehicle (on-range, off-
policies or requirements applicable to the range, and down-range) and specific, unique
conduct of operations. facilities exposed to risk. Scenarios shall

913
Pt. 440, App. B 14 CFR Ch. III (1–1–19 Edition)
cover the range of reentry trajectories for and exposed to risk, identified by name or
which authorization is sought. number.
C. On-orbit risk analysis assessing risks 3. Maximum number of Government per-
posed by a reentry vehicle to operational sonnel and individuals not involved in li-
satellites during reentry. censed reentry activities who may be ex-
D. Reentry risk analysis assessing risks to posed to risk during each operation. For
Government personnel and individuals not Government personnel, identification of his
involved in licensed activities as a result of or her employer.
inadvertent or random reentry of the launch 4. Identify and provide reentry site facility
vehicle or its components. policies or requirements applicable to the
E. Nominal and 3-sigma dispersed trajec- conduct of operations.
tories in one-second intervals, from reentry
initiation through landing or impact. (Co- Part 3: Information Requirements for Permitted
ordinate system will be specified on a case- Activities
by-case basis)
F. Three-sigma landing or impact disper- In addition to the information required in
sion area in downrange () and crossrange part 437 subpart B, an applicant for an exper-
() measured from the nominal and contin- imental permit must provide, for each per-
gency landing or impact target. The appli- mitted pre-flight and post-flight operation,
cant is responsible for including all signifi- the following information to the FAA:
cant landing or impact dispersion constitu- A. Identification of location where each
ents in the computations of landing or im- operation will be performed, including any
pact dispersion areas. The dispersion con- U.S. Government or third party facilities
stituents should include, but not be limited identified by name or number.
to: Variation in orbital position and velocity B. Identification of any U.S. Government
at the reentry initiation time; variation in or third party facilities adjacent to the loca-
re-entry initiation time offsets, either early tion where each operation will be performed
or late; variation in the bodies’ ballistic co- and therefore exposed to risk, identified by
efficient; position and velocity variation due name or number.
to winds; and variations in re-entry retro- C. Maximum number of Government per-
maneuvers. sonnel and individuals not involved in per-
G. Malfunction turn data (tumble, trim) mitted activities that may be exposed to risk
for guided (controllable) vehicles. The mal- during each operation. For Government per-
function turn data shall include the total sonnel, identification of his or her employer.
angle turned by the velocity vector versus
turn duration time at one second intervals; APPENDIX B TO PART 440—AGREEMENT
the magnitude of the velocity vector versus FOR W AIVER OF CLAIMS AND AS-
turn duration time at one second intervals; SUMPTION OF RESPONSIBILITY FOR
and an indication on the data where the re-
LICENSED ACTIVITIES
entry body will impact the Earth, or breakup
due to aerodynamic loads. A malfunction PART 1—W AIVER OF CLAIMS AND ASSUMPTION
turn data set is required for each malfunc- OF R ESPONSIBILITY FOR LICENSED L AUNCH,
tion time. Malfunction turn start times shall I NCLUDING S UBORBITAL L AUNCH
not exceed four-second intervals along the
trajectory. Subpart A—Waiver of Claims and Assumption of
H. Identification of debris casualty areas Responsibility for Licensed Launch, Including
and the projected number and ballistic coef- Suborbital Launch, With One Customer
ficient of fragments expected to result from
each failure mode during reentry, including This agreement is entered into thisllday
random reentry. ofllll, by and among [Licensee] (the
‘‘Licensee’’), [Customer] (the ‘‘Customer’’)
III. POST-FLIGHT P ROCESSING O PERATIONS and the Federal Aviation Administration of
the Department of Transportation, on behalf
A. General description of post-flight
of the United States Government (collec-
ground operations including overall sequence
tively, the ‘‘Parties’’), to implement the pro-
and location of operations for removal of ve-
visions of § 440.17(c) of the Commercial Space
hicle and components and processing equip-
Transportation Licensing Regulations, 14
ment from the reentry site facility and for
CFR Ch. III (the ‘‘Regulations’’). This agree-
handling of hazardous materials, and des-
ment applies to the launch of [Payload] pay-
ignation of hazardous operations.
load on a [Launch Vehicle] vehicle at [Loca-
B. Identification of all facilities used in
tion of Launch Site]. In consideration of the
conducting post-flight processing operations.
mutual releases and promises contained
C. For each hazardous operation:
1. Identification of location where each op- herein, the Parties hereby agree as follows:
eration is performed, including each building 1. Definitions
or facility identified by name or number.
2. Identification of facilities adjacent to lo- Contractors and Subcontractors means enti-
cation where each operation is performed ties defined by § 440.3 of the Regulations.

914
Commercial Space Transportation, FAA, DOT Pt. 440, App. B
Customer means the above-named Cus- tors and Subcontractors of each, for Bodily
tomer. Injury or Property Damage sustained by its
Part 440 Customer means a customer defined own employees, resulting from Licensed Ac-
by § 440.3 of the Regulations, other than the tivities, regardless of fault.
above-named Customer. (b) The United States shall be responsible
License means License No.llissued for Property Damage it sustains, and for
onllll, by the Associate Administrator Bodily Injury or Property Damage sustained
for Commercial Space Transportation, Fed- by its own employees, resulting from Li-
eral Aviation Administration, Department of censed Activities, regardless of fault, to the
Transportation, to the Licensee, including extent that claims it would otherwise have
all license orders issued in connection with for such damage or injury exceed the amount
the License. of insurance or demonstration of financial
Licensee means the Licensee and any trans- responsibility required under § 440.9(c) and
feree of the Licensee under 51 U.S.C. Subtitle (e), respectively, of the Regulations.
V, ch. 509.
United States means the United States and 4. Extension of Assumption of Responsibility
its agencies involved in Licensed Activities. and Waiver and Release of Claims
Except as otherwise defined herein, terms (a) Licensee shall extend the requirements
used in this Agreement and defined in 51 of the waiver and release of claims, and the
U.S.C. Subtitle V, ch. 509—Commercial assumption of responsibility, hold harmless,
Space Launch Activities, or in the Regula- and indemnification, as set forth in para-
tions, shall have the same meaning as con- graphs 2(a) and 3(a), respectively, to its Con-
tained in 51 U.S.C. Subtitle V, ch. 509, or the tractors and Subcontractors by requiring
Regulations, respectively. them to waive and release all claims they
2. Waiver and Release of Claims may have against Customer, the United
States, any Part 440 Customer, and each of
(a) Licensee hereby waives and releases their respective Contractors and Subcontrac-
claims it may have against Customer, the tors, and to agree to be responsible, for Prop-
United States, any Part 440 Customer, and erty Damage they sustain and to be respon-
each of their respective Contractors and Sub- sible, hold harmless and indemnify Cus-
contractors, for Property Damage it sustains tomer, the United States, any Part 440 Cus-
and for Bodily Injury or Property Damage tomer, and each of their respective Contrac-
sustained by its own employees, resulting tors and Subcontractors, for Bodily Injury or
from Licensed Activities, regardless of fault. Property Damage sustained by their own em-
(b) Customer hereby waives and releases ployees, resulting from Licensed Activities,
claims it may have against Licensee, the regardless of fault.
United States, any other customer, and each (b) Customer shall extend the requirements
of their respective Contractors and Sub- of the waiver and release of claims, and the
contractors, for Property Damage it sustains assumption of responsibility, hold harmless,
and for Bodily Injury or Property Damage and indemnification, as set forth in para-
sustained by its own employees, resulting graphs 2(b) and 3(a), respectively, to its cus-
from Licensed Activities, regardless of fault. tomers, Contractors, and Subcontractors, by
(c) The United States hereby waives and requiring them to waive and release all
releases claims it may have against Li- claims they may have against Licensee, the
censee, Customer, any Part 440 Customer, United States, and any other customer, and
and each of their respective Contractors and each of their respective Contractors and Sub-
Subcontractors, for Property Damage it sus- contractors, and to agree to be responsible,
tains, and for Bodily Injury or Property for Property Damage they sustain and to be
Damage sustained by its own employees, re- responsible, hold harmless and indemnify Li-
sulting from Licensed Activities, regardless censee, the United States, and any other cus-
of fault, to the extent that claims it would tomer, and each of their respective Contrac-
otherwise have for such damage or injury ex- tors and Subcontractors for Bodily Injury or
ceed the amount of insurance or demonstra- Property Damage sustained by their own em-
tion of financial responsibility required ployees, resulting from Licensed Activities,
under § 440.9(c) and (e), respectively, of the regardless of fault.
Regulations. (c) The United States shall extend the re-
quirements of the waiver and release of
3. Assumption of Responsibility claims, and the assumption of responsibility
(a) Licensee and Customer shall each be re- as set forth in paragraphs 2(c) and 3(b), re-
sponsible for Property Damage it sustains spectively, to its Contractors and Sub-
and for Bodily Injury or Property Damage contractors by requiring them to waive and
sustained by its own employees, resulting release all claims they may have against Li-
from Licensed Activities, regardless of fault. censee, Customer, any Part 440 Customer,
Licensee and Customer shall each hold harm- and each of their respective Contractors and
less and indemnify each other, the United Subcontractors, and to agree to be respon-
States, any other customer, and the Contrac- sible, for any Property Damage they sustain

915
Pt. 440, App. B 14 CFR Ch. III (1–1–19 Edition)
and for any Bodily Injury or Property Dam- jury exceed the amount of insurance or dem-
age sustained by their own employees, re- onstration of financial responsibility re-
sulting from Licensed Activities, regardless quired under § 440.9(c) and (e), respectively, of
of fault, to the extent that claims they the Regulations.
would otherwise have for such damage or in-
jury exceed the amount of insurance or dem- 6. Assurances Under 51 U.S.C. 50914(e)
onstration of financial responsibility re-
Notwithstanding any provision of this
quired under § 440.9(c) and (e), respectively, of
Agreement to the contrary, Licensee shall
the Regulations.
hold harmless and indemnify the United
5. Indemnification States and its agencies, servants, agents,
employees and assignees, or any of them,
(a) Licensee shall hold harmless and in- from and against liability, loss or damage
demnify Customer and its directors, officers, arising out of claims for Bodily Injury or
servants, agents, subsidiaries, employees and Property Damage, resulting from Licensed
assignees, or any of them; the United States Activities, regardless of fault, except to the
and its agencies, servants, agents, subsidi- extent that: (i) As provided in paragraph 7(b)
aries, employees and assignees, or any of of this Agreement, claims result from willful
them; and any Part 440 Customer and its di-
misconduct of the United States or its
rectors, officers, servants, agents, subsidi-
agents; (ii) claims for Property Damage sus-
aries, employees and assignees, or any of
tained by the United States or its Contrac-
them, from and against liability, loss or
tors and Subcontractors exceed the amount
damage arising out of claims that Licensee’s
of insurance or demonstration of financial
Contractors and Subcontractors may have
for Property Damage sustained by them and responsibility required under § 440.9(e) of the
for Bodily Injury or Property Damage sus- Regulations; (iii) claims by a Third Party for
tained by their employees, resulting from Li- Bodily Injury or Property Damage exceed
censed Activities and arising out of the in- the amount of insurance or demonstration of
demnifying party’s failure to implement financial responsibility required under
properly the waiver requirement. § 440.9(c) of the Regulations, and do not ex-
(b) Customer shall hold harmless and in- ceed $1,500,000,000 (as adjusted for inflation
demnify Licensee and its directors, officers, after January 1, 1989) above such amount,
servants, agents, subsidiaries, employees and and are payable pursuant to the provisions of
assignees, or any of them; the United States 51 U.S.C. 50915 and § 440.19 of the Regulations;
and its agencies, servants, agents, subsidi- or (iv) Licensee has no liability for claims
aries, employees and assignees, or any of exceeding $1,500,000,000 (as adjusted for infla-
them; and any other customer and its direc- tion after January 1, 1989) above the amount
tors, officers, servants, agents, subsidiaries, of insurance or demonstration of financial
employees and assignees, or any of them, responsibility required under § 440.9(c) of the
from and against liability, loss or damage Regulations.
arising out of claims that Customer’s Con-
tractors, Subcontractors, or customers, may 7. Miscellaneous
have for Property Damage sustained by them (a) Nothing contained herein shall be con-
and for Bodily Injury or Property Damage strued as a waiver or release by Licensee,
sustained by their employees, resulting from Customer or the United States of any claim
Licensed Activities and arising out of the in-
by an employee of the Licensee, Customer or
demnifying party’s failure to implement
the United States, respectively, including a
properly the waiver requirement.
member of the Armed Forces of the United
(c) To the extent provided in advance in an
States, for Bodily Injury or Property Dam-
appropriations law or to the extent there is
age, resulting from Licensed Activities.
enacted additional legislative authority pro-
viding for the payment of claims, the United (b) Notwithstanding any provision of this
States shall hold harmless and indemnify Li- Agreement to the contrary, any waiver, re-
censee, Customer, any Part 440 Customer, lease, assumption of responsibility or agree-
and their respective directors, officers, serv- ment to hold harmless and indemnify herein
ants, agents, subsidiaries, employees and as- shall not apply to claims for Bodily Injury or
signees, or any of them, from and against li- Property Damage resulting from willful mis-
ability, loss or damage arising out of claims conduct of any of the Parties, the Contrac-
that Contractors and Subcontractors of the tors and Subcontractors of any of the Par-
United States may have for Property Dam- ties, any Part 440 Customer, the Contractors
age sustained by them, and for Bodily Injury and Subcontractors of any Part 440 Cus-
or Property Damage sustained by their em- tomer, and in the case of Licensee, Cus-
ployees, resulting from Licensed Activities tomer, any Part 440 Customer, and the Con-
and arising out of the indemnifying party’s tractors and Subcontractors of each of them,
failure to implement properly the waiver re- the directors, officers, agents and employees
quirement, to the extent that claims they of any of the foregoing, and in the case of the
would otherwise have for such damage or in- United States, its agents.

916
Commercial Space Transportation, FAA, DOT Pt. 440, App. B
(c) This Agreement shall be governed by Licensee means the Licensee and any trans-
and construed in accordance with United feree of the Licensee under 51 U.S.C. Subtitle
States Federal law. V, ch. 509.
In witness whereof, the Parties to this United States means the United States and
Agreement have caused the Agreement to be its agencies involved in Licensed Activities.
duly executed by their respective duly au- Except as otherwise defined herein, terms
thorized representatives as of the date writ- used in this Agreement and defined in 51
ten above. U.S.C. Subtitle V, ch. 509—Commercial
Space Launch Activities, or in the Regula-
Licensee tions, shall have the same meaning as con-
tained in 51 U.S.C. Subtitle V, ch. 509, or the
By: lllllllllllllllllllll
Regulations, respectively.
Its: lllllllllllllllllllll
2. Waiver and Release of Claims
Customer
(a) Licensee hereby waives and releases
By: lllllllllllllllllllll claims it may have against each Customer,
Its: lllllllllllllllllllll the United States, any Part 440 Customer,
and each of their respective Contractors and
Federal Aviation Administration of the De- Subcontractors, for Property Damage it sus-
partment of Transportation on Behalf of tains and for Bodily Injury or Property Dam-
the United States Government age sustained by its own employees, result-
By: lllllllllllllllllllll ing from Licensed Activities, regardless of
Its: lllllllllllllllllllll fault.
(b) Each Customer hereby waives and re-
Associate Administrator for Commercial leases claims it may have against Licensee,
Space Transportation the United States, any other customer, and
each of their respective Contractors and Sub-
SUBPART B—W AIVER OF C LAIMS AND A SSUMP- contractors for Property Damage it sustains
TION OF R ESPONSIBILITY FOR LICENSED and for Bodily Injury or Property Damage
LAUNCH, I NCLUDING S UBORBITAL L AUNCH, sustained by its own employees, resulting
WITH MORE THAN ONE CUSTOMER from Licensed Activities, regardless of fault.
(c) The United States hereby waives and
This agreement is entered into thisllday
releases claims it may have against Li-
ofllll, by and among [Licensee] (the
censee, each Customer, any Part 440 Cus-
‘‘Licensee’’); [List of Customers]; (with [List
tomer, and each of their respective Contrac-
of Customers] hereinafter referred to in their
tors and Subcontractors, for Property Dam-
individual capacity as ‘‘Customer’’); and the
age it sustains, and for Bodily Injury or
Federal Aviation Administration of the De-
Property Damage sustained by its own em-
partment of Transportation, on behalf of the
ployees, resulting from Licensed Activities,
United States Government (collectively, the
regardless of fault, to the extent that claims
‘‘Parties’’), to implement the provisions of
it would otherwise have for such damage or
§ 440.17(c) of the Commercial Space Transpor-
injury exceed the amount of insurance or
tation Licensing Regulations, 14 CFR Ch. III
demonstration of financial responsibility re-
(the ‘‘Regulations’’). This agreement applies
quired under § 440.9(c) and (e), respectively, of
to the launch of [Payload] payload on a
the Regulations.
[Launch Vehicle] vehicle at [Location of
Launch Site]. 3. Assumption of Responsibility
In consideration of the mutual releases and
promises contained herein, the Parties here- (a) Licensee and each Customer shall each
by agree as follows: be responsible for Property Damage it sus-
tains and for Bodily Injury or Property Dam-
1. Definitions age sustained by its own employees, result-
ing from Licensed Activities, regardless of
Contractors and Subcontractors means enti- fault. Licensee and each Customer shall each
ties defined by § 440.3 of the Regulations. hold harmless and indemnify each other, the
Customer means each above-named Cus- United States, any other customer, and the
tomer. Contractors and Subcontractors of each, for
Part 440 Customer means a customer defined Bodily Injury or Property Damage sustained
by § 440.3 of the Regulations, other than the by its own employees, resulting from Li-
above-named Customer. censed Activities, regardless of fault.
License means License No.llissued (b) The United States shall be responsible
onllll, by the Associate Administrator for Property Damage it sustains, and for
for Commercial Space Transportation, Fed- Bodily Injury or Property Damage sustained
eral Aviation Administration, Department of by its own employees, resulting from Li-
Transportation, to the Licensee, including censed Activities, regardless of fault, to the
all license orders issued in connection with extent that claims it would otherwise have
the License. for such damage or injury exceed the amount

917
Pt. 440, App. B 14 CFR Ch. III (1–1–19 Edition)
of insurance or demonstration of financial 5. Indemnification
responsibility required under § 440.9(c) and (a) Licensee shall hold harmless and in-
(e), respectively, of the Regulations. demnify each Customer and its directors, of-
ficers, servants, agents, subsidiaries, employ-
4. Extension of Assumption of Responsibility
ees and assignees, or any of them; the United
and Waiver and Release of Claims
States and its agencies, servants, agents,
(a) Licensee shall extend the requirements subsidiaries, employees and assignees, or any
of the waiver and release of claims, and the of them; and any part 440 customer and its
assumption of responsibility, hold harmless, directors, officers, servants, agents, subsidi-
and indemnification, as set forth in para- aries, employees and assignees, or any of
graphs 2(a) and 3(a), respectively, to its Con- them, from and against liability, loss or
tractors and Subcontractors by requiring damage arising out of claims that Licensee’s
them to waive and release all claims they Contractors and Subcontractors may have
may have against each Customer, the United for Property Damage sustained by them and
States, any Part 440 Customer, and each of for Bodily Injury or Property Damage sus-
tained by their employees, resulting from Li-
their respective Contractors and Subcontrac-
censed Activities and arising out of the in-
tors, and to agree to be responsible, for Prop-
demnifying party’s failure to implement
erty Damage they sustain and to be respon-
properly the waiver requirement.
sible, hold harmless and indemnify each Cus- (b) Each Customer shall hold harmless and
tomer, the United States, any Part 440 Cus- indemnify Licensee and its directors, offi-
tomer, and each of their respective Contrac- cers, servants, agents, subsidiaries, employ-
tors and Subcontractors, for Bodily Injury or ees and assignees, or any of them; the United
Property Damage sustained by their own em- States and its agencies, servants, agents,
ployees, resulting from Licensed Activities, subsidiaries, employees and assignees, or any
regardless of fault. of them; and any other customer and its di-
(b) Each Customer shall extend the re- rectors, officers, servants, agents, subsidi-
quirements of the waiver and release of aries, employees and assignees, or any of
claims, and the assumption of responsibility, them, from and against liability, loss or
hold harmless, and indemnification, as set damage arising out of claims that each Cus-
forth in paragraphs 2(b) and 3(a), respec- tomer’s Contractors, Subcontractors, or cus-
tively, to its customers, Contractors, and tomers, may have for Property Damage sus-
Subcontractors, by requiring them to waive tained by them and for Bodily Injury or
and release all claims they may have against Property Damage sustained by their employ-
Licensee, the United States, and any other ees, resulting from Licensed Activities and
customer, and each of their respective Con- arising out of the indemnifying party’s fail-
tractors and Subcontractors, and to agree to ure to implement properly the waiver re-
be responsible, for Property Damage they quirement.
sustain and to be responsible, hold harmless (c) To the extent provided in advance in an
and indemnify Licensee, the United States, appropriations law or to the extent there is
and any other customer, and each of their re- enacted additional legislative authority pro-
spective Contractors and Subcontractors, for viding for the payment of claims, the United
Bodily Injury or Property Damage sustained States shall hold harmless and indemnify Li-
by their own employees, resulting from Li- censee, each Customer, any Part 440 Cus-
censed Activities, regardless of fault. tomer, and their respective directors, offi-
cers, servants, agents, subsidiaries, employ-
(c) The United States shall extend the re-
ees and assignees, or any of them, from and
quirements of the waiver and release of
against liability, loss or damage arising out
claims, and the assumption of responsibility
of claims that Contractors and Subcontrac-
as set forth in paragraphs 2(c) and 3(b), re-
tors of the United States may have for Prop-
spectively, to its Contractors and Sub- erty Damage sustained by them, and for Bod-
contractors by requiring them to waive and ily Injury or Property Damage sustained by
release all claims they may have against Li- their employees, resulting from Licensed Ac-
censee, each Customer, any Part 440 Cus- tivities and arising out of the indemnifying
tomer, and each of their respective Contrac- party’s failure to implement properly the
tors and Subcontractors, and to agree to be waiver requirement, to the extent that
responsible, for any Property Damage they claims they would otherwise have for such
sustain and for any Bodily Injury or Prop- damage or injury exceed the amount of in-
erty Damage sustained by their own employ- surance or demonstration of financial re-
ees, resulting from Licensed Activities, re- sponsibility required under § 440.9(c) and (e),
gardless of fault, to the extent that claims respectively, of the Regulations.
they would otherwise have for such damage
or injury exceed the amount of insurance or 6. Assurances Under 51 U.S.C. 50914(e)
demonstration of financial responsibility re- Notwithstanding any provision of this
quired under § 440.9(c) and (e), respectively, of Agreement to the contrary, Licensee shall
the Regulations. hold harmless and indemnify the United

918
Commercial Space Transportation, FAA, DOT Pt. 440, App. B
States and its agencies, servants, agents, Licensee
employees and assignees, or any of them,
from and against liability, loss or damage By: lllllllllllllllllllll
arising out of claims for Bodily Injury or Its: lllllllllllllllllllll
Property Damage, resulting from Licensed
Customer 1
Activities, regardless of fault, except to the
extent that: (i) As provided in paragraph 7(b) By: lllllllllllllllllllll
of this Agreement, claims result from willful Its: lllllllllllllllllllll
misconduct of the United States or its
[Signature lines for each additional cus-
agents; (ii) claims for Property Damage sus-
tomer]
tained by the United States or its Contrac-
tors and Subcontractors exceed the amount Federal Aviation Administration of the De-
of insurance or demonstration of financial partment of Transportation on Behalf of
responsibility required under § 440.9(e) of the the United States Government
Regulations; (iii) claims by a Third Party for
Bodily Injury or Property Damage exceed By: lllllllllllllllllllll
the amount of insurance or demonstration of Its: lllllllllllllllllllll
financial responsibility required under
§ 440.9(c) of the Regulations, and do not ex- Associate Administrator for Commercial
ceed $1,500,000,000 (as adjusted for inflation Space Transportation
after January 1, 1989) above such amount,
and are payable pursuant to the provisions of PART 2—W AIVER OF C LAIMS AND ASSUMPTION
51 U.S.C. 50915 and § 440.19 of the Regulations; OF R ESPONSIBILITY FOR LICENSED REENTRY
or (iv) Licensee has no liability for claims
SUBPART A—W AIVER OF C LAIMS AND ASSUMP-
exceeding $1,500,000,000 (as adjusted for infla-
TION OF R ESPONSIBILITY FOR LICENSED RE-
tion after January 1, 1989) above the amount
ENTRY WITH O NE C USTOMER
of insurance or demonstration of financial
responsibility required under § 440.9(c) of the This Agreement is entered into this ll
Regulations. day of llll, by and among [Licensee] (the
‘‘Licensee’’), [Customer] (the ‘‘Customer’’),
7. Miscellaneous and the Federal Aviation Administration of
(a) Nothing contained herein shall be con- the Department of Transportation, on behalf
strued as a waiver or release by Licensee, of the United States Government (collec-
any Customer or the United States of any tively, the ‘‘Parties’’), to implement the pro-
claim by an employee of the Licensee, any visions of § 440.17(c) of the Commercial Space
Customer or the United States, respectively, Transportation Licensing Regulations, 14
including a member of the Armed Forces of CFR Ch. III (the ‘‘Regulations’’). This agree-
the United States, for Bodily Injury or Prop- ment applies to the reentry of the [Payload]
erty Damage, resulting from Licensed Ac- payload on a [Reentry Vehicle] vehicle.
tivities. In consideration of the mutual releases and
(b) Notwithstanding any provision of this promises contained herein, the Parties here-
Agreement to the contrary, any waiver, re- by agree as follows:
lease, assumption of responsibility or agree-
ment to hold harmless and indemnify herein 1. Definitions
shall not apply to claims for Bodily Injury or
Contractors and Subcontractors means enti-
Property Damage resulting from willful mis-
ties defined by § 440.3 of the Regulations.
conduct of any of the Parties, the Contrac-
Customer means the above-named Cus-
tors and Subcontractors of any of the Par-
ties, any Part 440 Customer, the Contractors tomer.
and Subcontractors of any Part 440 Cus- Part 440 Customer means a customer defined
tomer, and in the case of Licensee, each Cus- by § 440.3 of the Regulations, other than the
tomer, any Part 440 Customer, and the Con- above named Customer.
tractors and Subcontractors of each of them, License means License No. ll issued on
the directors, officers, agents and employees llll, by the Associate Administrator for
of any of the foregoing, and in the case of the Commercial Space Transportation, Federal
United States, its agents. Aviation Administration, Department of
(c) References herein to Customer shall Transportation, to the Licensee, including
apply to, and be deemed to include, each all license orders issued in connection with
such customer severally and not jointly. the License.
(d) This Agreement shall be governed by Licensee means the Licensee and any trans-
and construed in accordance with United feree of the Licensee under 51 U.S.C. Subtitle
States Federal law. V, ch. 509.
In witness whereof, the Parties to this United States means the United States and
Agreement have caused the Agreement to be its agencies involved in Licensed Activities.
duly executed by their respective duly au- Except as otherwise defined herein, terms
thorized representatives as of the date writ- used in this Agreement and defined in 51
ten above. U.S.C. Subtitle V, ch. 509—Commercial

919
Pt. 440, App. B 14 CFR Ch. III (1–1–19 Edition)
Space Launch Activities, or in the Regula- and indemnification, as set forth in para-
tions, shall have the same meaning as con- graphs 2(a) and 3(a), respectively, to its Con-
tained in 51 U.S.C. Subtitle V, ch. 509, or the tractors and Subcontractors by requiring
Regulations, respectively. them to waive and release all claims they
may have against Customer, the United
2. Waiver and Release of Claims States, any Part 440 Customer, and each of
(a) Licensee hereby waives and releases their respective Contractors and Subcontrac-
claims it may have against Customer, the tors, and to agree to be responsible, for Prop-
United States, any Part 440 Customer, and erty Damage they sustain and to be respon-
each of their respective Contractors and Sub- sible, hold harmless and indemnify Cus-
contractors, for Property Damage it sustains tomer, the United States, any Part 440 Cus-
and for Bodily Injury or Property Damage tomer, and each of their respective Contrac-
sustained by its own employees, resulting tors and Subcontractors, for Bodily Injury or
from Licensed Activities, regardless of fault. Property Damage sustained by their own em-
(b) Customer hereby waives and releases ployees, resulting from Licensed Activities,
claims it may have against Licensee, the regardless of fault.
United States, any other customer, and each (b) Customer shall extend the requirements
of their respective Contractors and Sub- of the waiver and release of claims, and the
contractors, for Property Damage it sustains assumption of responsibility, hold harmless,
and for Bodily Injury or Property Damage and indemnification, as set forth in para-
sustained by its own employees, resulting graphs 2(b) and 3(a), respectively, to its cus-
from Licensed Activities, regardless of fault. tomers, Contractors, and Subcontractors, by
(c) The United States hereby waives and requiring them to waive and release all
releases claims it may have against Li- claims they may have against Licensee, the
censee, Customer, any Part 440 Customer, United States, and any other customer, and
and each of their respective Contractors and each of their respective Contractors and Sub-
Subcontractors, for Property Damage it sus- contractors, and to agree to be responsible,
tains, and for Bodily Injury or Property for Property Damage they sustain and to be
Damage sustained by its own employees, re- responsible, hold harmless and indemnify Li-
sulting from Licensed Activities, regardless censee, the United States, and any other cus-
of fault, to the extent that claims it would tomer, and each of their respective Contrac-
otherwise have for such damage or injury ex- tors and Subcontractors, for Bodily Injury or
ceed the amount of insurance or demonstra- Property Damage sustained by their own em-
tion of financial responsibility required ployees, resulting from Licensed Activities,
under § 440.9(c) and (e), respectively, of the regardless of fault.
Regulations. (c) The United States shall extend the re-
quirements of the waiver and release of
3. Assumption of Responsibility claims, and the assumption of responsibility
(a) Licensee and Customer shall each be re- as set forth in paragraphs 2(c) and 3(b), re-
sponsible for Property Damage it sustains spectively, to its Contractors and Sub-
and for Bodily Injury or Property Damage contractors by requiring them to waive and
sustained by its own employees, resulting release all claims they may have against Li-
from Licensed Activities, regardless of fault. censee, Customer, any Part 440 Customer,
Licensee and Customer shall each hold harm- and each of their respective Contractors and
less and indemnify each other, the United Subcontractors, and to agree to be respon-
States, any other customer, and the Contrac- sible, for any Property Damage they sustain
tors and Subcontractors of each, for Bodily and for any Bodily Injury or Property Dam-
Injury or Property Damage sustained by its age sustained by their own employees, re-
own employees, resulting from Licensed Ac- sulting from Licensed Activities, regardless
tivities, regardless of fault. of fault, to the extent that claims they
(b) The United States shall be responsible would otherwise have for such damage or in-
for Property Damage it sustains, and for jury exceed the amount of insurance or dem-
Bodily Injury or Property Damage sustained onstration of financial responsibility re-
by its own employees, resulting from Li- quired under § 440.9(c) and (e), respectively, of
censed Activities, regardless of fault, to the the Regulations.
extent that claims it would otherwise have
for such damage or injury exceed the amount 5. Indemnification
of insurance or demonstration of financial (a) Licensee shall hold harmless and in-
responsibility required under § 440.9(c) and (e) demnify Customer and its directors, officers,
of the Regulations. servants, agents, subsidiaries, employees and
assignees, or any of them; the United States
4. Extension of Assumption of Responsibility and its agencies, servants, agents, subsidi-
and Waiver and Release of Claims aries, employees and assignees, or any of
(a) Licensee shall extend the requirements them; and any Part 440 Customer and its di-
of the waiver and release of claims, and the rectors, officers, servants, agents, subsidi-
assumption of responsibility, hold harmless, aries, employees and assignees, or any of

920
Commercial Space Transportation, FAA, DOT Pt. 440, App. B
them from and against liability, loss or dam- tors and Subcontractors exceed the amount
age arising out of claims that Licensee’s of insurance or demonstration of financial
Contractors and Subcontractors may have responsibility required under § 440.9(e) of the
for Property Damage sustained by them and Regulations; (iii) claims by a Third Party for
for Bodily Injury or Property Damage sus- Bodily Injury or Property Damage exceed
tained by their employees, resulting from Li- the amount of insurance or demonstration of
censed Activities and arising out of the in- financial responsibility required under
demnifying party’s failure to implement § 440.9(c) of the Regulations, and do not ex-
properly the waiver requirement. ceed $1,500,000,000 (as adjusted for inflation
(b) Customer shall hold harmless and in- after January 1, 1989) above such amount,
demnify Licensee and its directors, officers, and are payable pursuant to the provisions of
servants, agents, subsidiaries, employees and 51 U.S.C. 50915 and § 440.19 of the Regulations;
assignees, or any of them; the United States or (iv) Licensee has no liability for claims
and its agencies, servants, agents, subsidi- exceeding $1,500,000,000 (as adjusted for infla-
aries, employees and assignees, or any of tion after January 1, 1989) above the amount
them; and any other customer and its direc- of insurance or demonstration of financial
tors, officers, servants, agents, subsidiaries, responsibility required under § 440.9(c) of the
employees and assignees, or any of them Regulations.
from and against liability, loss or damage
7. Miscellaneous
arising out of claims that Customer’s Con-
tractors, Subcontractors, or customers may (a) Nothing contained herein shall be con-
have for Property Damage sustained by them strued as a waiver or release by Licensee,
and for Bodily Injury or Property Damage Customer or the United States of any claim
sustained by their employees, resulting from by an employee of the Licensee, Customer or
Licensed Activities and arising out of the in- the United States, respectively, including a
demnifying party’s failure to implement member of the Armed Forces of the United
properly the waiver requirement. States, for Bodily Injury or Property Dam-
(c) To the extent provided in advance in an age, resulting from Licensed Activities.
appropriations law or to the extent there is (b) Notwithstanding any provision of this
enacted additional legislative authority pro- Agreement to the contrary, any waiver, re-
viding for the payment of claims, the United lease, assumption of responsibility or agree-
States shall hold harmless and indemnify Li- ment to hold harmless and indemnify herein
censee, Customer, any Part 440 Customer, shall not apply to claims for Bodily Injury or
and their respective directors, officers, serv- Property Damage resulting from willful mis-
ants, agents, subsidiaries, employees and as- conduct of any of the Parties, the Contrac-
signees, or any of them, from and against li- tors and Subcontractors of any of the Par-
ability, loss or damage arising out of claims ties, any Part 440 Customer, the Contractors
that Contractors and Subcontractors of the and Subcontractors of any Part 440 Cus-
United States may have for Property Dam- tomer, and in the case of Licensee, Cus-
age sustained by them, and for Bodily Injury tomer, any Part 440 Customer, and the Con-
or Property Damage sustained by their em- tractors and Subcontractors of each of them,
ployees, resulting from Licensed Activities the directors, officers, agents and employees
and arising out of the indemnifying party’s of any of the foregoing, and in the case of the
failure to implement properly the waiver re- United States, its agents.
quirement, to the extent that claims they (c) This Agreement shall be governed by
would otherwise have for such damage or in- and construed in accordance with United
jury exceed the amount of insurance or dem- States Federal law.
onstration of financial responsibility re- In Witness Whereof, the Parties to this
quired under § 440.9(c) and (e) of the Regula- Agreement have caused the Agreement to be
tions. duly executed by their respective duly au-
thorized representatives as of the date writ-
6. Assurances Under 51 U.S.C. 50914(e) ten above.
Notwithstanding any provision of this Licensee
Agreement to the contrary, Licensee shall
hold harmless and indemnify the United By: lllllllllllllllllllll
States and its agencies, servants, agents, Its: lllllllllllllllllllll
employees and assignees, or any of them, Customer
from and against liability, loss or damage
arising out of claims for Bodily Injury or By: lllllllllllllllllllll
Property Damage, resulting from Licensed Its: lllllllllllllllllllll
Activities, regardless of fault, except to the
extent that: (i) As provided in paragraph 7(b) Federal Aviation Administration of the De-
of this Agreement, claims result from willful partment of Transportation on Behalf of
misconduct of the United States or its the United States Government
agents; (ii) claims for Property Damage sus- By: lllllllllllllllllllll
tained by the United States or its Contrac- Its: lllllllllllllllllllll

921
Pt. 440, App. B 14 CFR Ch. III (1–1–19 Edition)
Associate Administrator for Commercial contractors, for Property Damage it sustains
Space Transportation and for Bodily Injury or Property Damage
sustained by its own employees, resulting
SUBPART B—W AIVER OF C LAIMS AND ASSUMP- from Licensed Activities, regardless of fault.
TION OF R ESPONSIBILITY FOR LICENSED RE- (c) The United States hereby waives and
ENTRY WITH M ORE T HAN O NE C USTOMER releases claims it may have against Li-
This agreement is entered into this ll day censee, each Customer, any Part 440 Cus-
of llll, by and among [Licensee] (the tomer, and each of their respective Contrac-
‘‘Licensee’’); [List of Customers] (with [List tors and Subcontractors, for Property Dam-
of Customers] hereinafter referred to in their age it sustains, and for Bodily Injury or
individual capacity as ‘‘Customer’’); and the Property Damage sustained by its own em-
Federal Aviation Administration of the De- ployees, resulting from Licensed Activities,
partment of Transportation, on behalf of the regardless of fault, to the extent that claims
United States Government (collectively, the it would otherwise have for such damage or
‘‘Parties’’), to implement the provisions of injury exceed the amount of insurance or
§ 440.17(c) of the Commercial Space Transpor- demonstration of financial responsibility re-
tation Licensing Regulations, 14 CFR Ch. III quired under § 440.9(c) and (e), respectively, of
(the ‘‘Regulations’’). This agreement applies the Regulations.
to the reentry of [Payload] payload on a [Re-
entry Vehicle] vehicle. 3. Assumption of Responsibility
In consideration of the mutual releases and (a) Licensee and each Customer shall each
promises contained herein, the Parties here- be responsible for Property Damage it sus-
by agree as follows: tains and for Bodily Injury or Property Dam-
age sustained by its own employees, result-
1. Definitions ing from Licensed Activities, regardless of
Contractors and Subcontractors means enti- fault. Licensee and each Customer shall each
ties described in § 440.3 of the Regulations. hold harmless and indemnify each other, the
Customer means each above-named Cus- United States, any other customer, and the
tomer. Contractors and Subcontractors of each, for
Part 440 Customer means a customer defined Bodily Injury or Property Damage sustained
by § 440.3 of the Regulations, other than the by its own employees, resulting from Li-
above-named customer. censed Activities, regardless of fault.
License means License No. ll issued on (b) The United States shall be responsible
llll, by the Associate Administrator for for Property Damage it sustains, and for
Commercial Space Transportation, Federal Bodily Injury or Property Damage sustained
Aviation Administration, Department of by its own employees, resulting from Li-
Transportation, to the Licensee, including censed Activities, regardless of fault, to the
all license orders issued in connection with extent that claims it would otherwise have
the License. for such damage or injury exceed the amount
Licensee means the Licensee and any trans- of insurance or demonstration of financial
feree of the Licensee under 51 U.S.C. Subtitle responsibility required under § 440.9(c) and
V, ch. 509. (e), respectively, of the Regulations.
United States means the United States and
its agencies involved in Licensed Activities. 4. Extension of Assumption of Responsibility
Except as otherwise defined herein, terms and Waiver and Release of Claims
used in this Agreement and defined in 51 (a) Licensee shall extend the requirements
U.S.C. Subtitle V, ch. 509—Commercial of the waiver and release of claims, and the
Space Launch Activities, or in the Regula- assumption of responsibility, hold harmless,
tions, shall have the same meaning as con- and indemnification, as set forth in para-
tained in 51 U.S.C. Subtitle V, ch. 509, or the graphs 2(a) and 3(a), respectively, to its Con-
Regulations, respectively. tractors and Subcontractors by requiring
them to waive and release all claims they
2. Waiver and Release of Claims may have against each Customer, the United
(a) Licensee hereby waives and releases States, any Part 440 Customer, and each of
claims it may have against each Customer, their respective Contractors and Subcontrac-
the United States, any Part 440 Customer, tors, and to agree to be responsible, for Prop-
and each of their respective Contractors and erty Damage they sustain and to be respon-
Subcontractors, for Property Damage it sus- sible, hold harmless and indemnify each Cus-
tains and for Bodily Injury or Property Dam- tomer, the United States, any Part 440 Cus-
age sustained by its own employees, result- tomer, and each of their respective Contrac-
ing from Licensed Activities, regardless of tors and Subcontractors, for Bodily Injury or
fault. Property Damage sustained by their own em-
(b) Each Customer hereby waives and re- ployees, resulting from Licensed Activities,
leases claims it may have against Licensee, regardless of fault.
the United States, any other customer, and (b) Each Customer shall extend the re-
each of their respective Contractors and Sub- quirements of the waiver and release of

922
Commercial Space Transportation, FAA, DOT Pt. 440, App. B
claims, and the assumption of responsibility, aries, employees and assignees, or any of
hold harmless, and indemnification, as set them, from and against liability, loss or
forth in paragraphs 2(b) and 3(a), respec- damage arising out of claims that each Cus-
tively, to its customers, Contractors, and tomer’s Contractors, Subcontractors, and
Subcontractors, by requiring them to waive customers, may have for Property Damage
and release all claims they may have against sustained by them and for Bodily Injury or
Licensee, the United States, and any other Property Damage sustained by their employ-
customer, and each of their respective Con- ees, resulting from Licensed Activities and
tractors and Subcontractors, and to agree to arising out of the indemnifying party’s fail-
be responsible, for Property Damage they ure to implement properly the waiver re-
sustain and to be responsible, hold harmless quirement.
and indemnify Licensee, the United States, (c) To the extent provided in advance in an
and any other customer, and each of their re- appropriations law or to the extent there is
spective Contractors and Subcontractors, for enacted additional legislative authority pro-
Bodily Injury or Property Damage sustained viding for the payment of claims, the United
by their own employees, resulting from Li- States shall hold harmless and indemnify Li-
censed Activities, regardless of fault. censee, each Customer, any Part 440 Cus-
(c) The United States shall extend the re- tomer, and their respective directors, offi-
quirements of the waiver and release of cers, servants, agents, subsidiaries, employ-
claims, and the assumption of responsibility ees and assignees, or any of them, from and
as set forth in paragraphs 2(c) and 3(b), re- against liability, loss or damage arising out
spectively, to its Contractors and Sub- of claims that Contractors and Subcontrac-
contractors by requiring them to waive and tors of the United States may have for Prop-
release all claims they may have against Li- erty Damage sustained by them, and for Bod-
censee, each Customer, any Part 440 Cus- ily Injury or Property Damage sustained by
tomer, and each of their respective Contrac- their employees, resulting from Licensed Ac-
tors and Subcontractors, and to agree to be tivities and arising out of the indemnifying
responsible, for any Property Damage they party’s failure to implement properly the
sustain and for any Bodily Injury or Prop- waiver requirement, to the extent that
erty Damage sustained by their own employ- claims they would otherwise have for such
ees, resulting from Licensed Activities, re- damage or injury exceed the amount of in-
gardless of fault, to the extent that claims surance or demonstration of financial re-
they would otherwise have for such damage sponsibility required under § 440.9(c) and (e),
or injury exceed the amount of insurance or respectively, of the Regulations.
demonstration of financial responsibility re-
quired under § 440.9(c) and (e), respectively, of 6. Assurances Under 51 U.S.C. 50914(e)
the Regulations. Notwithstanding any provision of this
Agreement to the contrary, Licensee shall
5. Indemnification
hold harmless and indemnify the United
(a) Licensee shall hold harmless and in- States and its agencies, servants, agents,
demnify each Customer and its directors, of- employees and assignees, or any of them,
ficers, servants, agents, subsidiaries, employ- from and against liability, loss or damage
ees and assignees, or any of them; the United arising out of claims for Bodily Injury or
States and its agencies, servants, agents, Property Damage, resulting from Licensed
subsidiaries, employees and assignees, or any Activities, regardless of fault, except to the
of them; and any Part 440 Customer and its extent that: (i) As provided in paragraph 7(b)
directors, officers, servants, agents, subsidi- of this Agreement, claims result from willful
aries, employees and assignees, or any of misconduct of the United States or its
them, from and against liability, loss or agents; (ii) claims for Property Damage sus-
damage arising out of claims that Licensee’s tained by the United States or its Contrac-
Contractors and Subcontractors may have tors and Subcontractors exceed the amount
for Property Damage sustained by them and of insurance or demonstration of financial
for Bodily Injury or Property Damage sus- responsibility required under § 440.9(e) of the
tained by their employees, resulting from Li- Regulations; (iii) claims by a Third Party for
censed Activities and arising out of the in- Bodily Injury or Property Damage exceed
demnifying party’s failure to implement the amount of insurance or demonstration of
properly the waiver requirement. financial responsibility required under
(b) Each Customer shall hold harmless and § 440.9(c) of the Regulations, and do not ex-
indemnify Licensee and its directors, offi- ceed $1,500,000,000 (as adjusted for inflation
cers, servants, agents, subsidiaries, employ- after January 1, 1989) above such amount,
ees and assignees, or any of them; and the and are payable pursuant to the provisions of
United States and any other customer as de- 51 U.S.C. 50915 and § 440.19 of the Regulations;
fined by § 440.3 its agencies, servants, agents, or (iv) Licensee has no liability for claims
subsidiaries, employees and assignees, or any exceeding $1,500,000,000 (as adjusted for infla-
of them; and any other customer and its di- tion after January 1, 1989) above the amount
rectors, officers, servants, agents, subsidi- of insurance or demonstration of financial

923
Pt. 440, App. C 14 CFR Ch. III (1–1–19 Edition)
responsibility required under § 440.9(c) of the APPENDIX C TO PART 440—AGREEMENT
Regulations. FOR W AIVER OF CLAIMS AND AS-
SUMPTION OF RESPONSIBILITY FOR
7. Miscellaneous
PERMITTED ACTIVITIES
(a) Nothing contained herein shall be con-
strued as a waiver or release by Licensee, PART 1—WAIVER OF CLAIMS AND ASSUMPTION
any Customer or the United States of any OF RESPONSIBILITY FOR PERMITTED ACTIVI-
claim by an employee of the Licensee, any TIES W ITH NO C USTOMER
Customer or the United States, respectively, This agreement is entered into this ll day
including a member of the Armed Forces of of llll, by and between [Permittee] (the
the United States, for Bodily Injury or Prop- ‘‘Permittee’’) and the Federal Aviation Ad-
erty Damage, resulting from Licensed Ac- ministration of the Department of Transpor-
tivities. tation, on behalf of the United States Gov-
(b) Notwithstanding any provision of this ernment (collectively, the ‘‘Parties’’), to im-
Agreement to the contrary, any waiver, re- plement the provisions of § 440.17(c) of the
lease, assumption of responsibility or agree- Commercial Space Transportation Licensing
ment to hold harmless and indemnify herein Regulations, 14 CFR Ch. III (the ‘‘Regula-
shall not apply to claims for Bodily Injury or tions’’). This agreement applies to [describe
Property Damage resulting from willful mis- permitted activity]. In consideration of the
conduct of any of the Parties, the Contrac- mutual releases and promises contained
tors and Subcontractors of any of the Par- herein, the Parties hereby agree as follows:
ties, any Part 440 Customers, the Contrac-
tors and Subcontractors of any Part 440 Cus- 1. Definitions
tomer, and in the case of Licensee, each Cus-
Contractors and Subcontractors means enti-
tomer, any Part 440 Customer, and the Con-
ties defined by § 440.3 of the Regulations.
tractors and Subcontractors of each of them,
Permit means Permit
the directors, officers, agents and employees
No.lllllllissued on
of any of the foregoing, and in the case of the
llllllllllll, by the Associate Ad-
United States, its agents.
ministrator for Commercial Space Transpor-
(c) References herein to Customer shall tation, Federal Aviation Administration, De-
apply to, and be deemed to include, each partment of Transportation, to the Per-
such customer severally and not jointly. mittee, including all permit orders issued in
(d) This Agreement shall be governed by connection with the Permit.
and construed in accordance with United Permittee means the holder of the Permit
States Federal law. issued under 51 U.S.C. Subtitle V, ch. 509.
In witness whereof, the Parties to this United States means the United States and
Agreement have caused the Agreement to be its agencies involved in Permitted Activi-
duly executed by their respective duly au- ties. Except as otherwise defined herein,
thorized representatives as of the date writ- terms used in this Agreement and defined in
ten above. 51 U.S.C. Subtitle V, ch. 509—Commercial
Space Launch Activities, or in the Regula-
Licensee tions, shall have the same meaning as con-
By: lllllllllllllllllllll tained in 51 U.S.C. Subtitle V, ch. 509, or the
Its: lllllllllllllllllllll Regulations, respectively.

Customer 1 2. Waiver and Release of Claims

By: lllllllllllllllllllll (a) Permittee hereby waives and releases

claims it may have against the United
Its: lllllllllllllllllllll
States, and against its Contractors and Sub-
[Signature lines for each additional cus- contractors, for Property Damage it sustains
tomer] and for Bodily Injury or Property Damage
sustained by its own employees, resulting
Federal Aviation Administration of the De- from Permitted Activities, regardless of
partment of Transportation on Behalf of fault.
the United States Government (b) The United States hereby waives and
releases claims it may have against Per-
By: lllllllllllllllllllll
mittee and against its Contractors and Sub-
Its: lllllllllllllllllllll contractors, for Property Damage it sustains
resulting from Permitted Activities, regard-
Associate Administrator for Commercial
less of fault, to the extent that claims it
Space Transportation
would otherwise have for such damage ex-
ceed the amount of insurance or demonstra-
[Doc. No. FAA–2014–1012, Amdt. 440–4, 81 FR tion of financial responsibility required
55124, Aug. 18, 2016] under § 440.9(e) of the Regulations.

924
Commercial Space Transportation, FAA, DOT Pt. 440, App. C
3. Assumption of Responsibility sustained by them and for Bodily Injury or
Property Damage sustained by their employ-
(a) Permittee shall be responsible for Prop-
ees, resulting from Permitted Activities and
erty Damage it sustains and for Bodily In-
jury or Property Damage sustained by its arising out of the indemnifying party’s fail-
own employees, resulting from Permitted ure to implement properly the waiver re-
Activities, regardless of fault. Permittee quirement.
shall hold harmless and indemnify the 6. Assurances Under 51 U.S.C. 50914(e)
United States, and the Contractors and Sub-
contractors of the United States, for Bodily (a) Permittee shall hold harmless and in-
Injury or Property Damage sustained by its demnify Customer and its directors, officers,
own employees, resulting from Permitted servants, agents, subsidiaries, employees and
Activities, regardless of fault. assignees, or any of them; the United States
(b) The United States shall be responsible and its agencies, servants, agents, subsidi-
for Property Damage it sustains, resulting aries, employees and assignees, or any of
from Permitted Activities, regardless of them; and any Part 440 Customer and its di-
fault, to the extent that claims it would oth- rectors, officers, servants, agents, subsidi-
erwise have for such damage exceed the aries, employees and assignees, or any of
amount of insurance or demonstration of fi- them, from and against liability, loss or
nancial responsibility required under damage arising out of claims that Permit-
§ 440.9(e) of the Regulations. tee’s Contractors and Subcontractors may
have for Property Damage sustained by them
4. Extension of Assumption of Responsibility and for Bodily Injury or Property Damage
and Waiver and Release of Claims sustained by their employees, resulting from
(a) Permittee shall extend the require- Permitted Activities.
ments of the waiver and release of claims, (b) Customer shall hold harmless and in-
and the assumption of responsibility, hold demnify Permittee and its directors, officers,
harmless, and indemnification, as set forth servants, agents, subsidiaries, employees and
in paragraphs 2(a) and 3(a), respectively, to assignees, or any of them; the United States
its Contractors and Subcontractors by re- and its agencies, servants, agents, subsidi-
quiring them to waive and release all claims aries, employees and assignees, or any of
they may have against the United States, them; and any other customer and its direc-
and against the Contractors and Subcontrac- tors, officers, servants, agents, subsidiaries,
tors of the United States, and to agree to be employees and assignees, or any of them,
responsible for Property Damage they sus- from and against liability, loss or damage
tain and to be responsible, hold harmless, arising out of claims that Customer’s Con-
and indemnify the United States, and the tractors, Subcontractors, and customers,
Contractors and Subcontractors of the may have for Property Damage sustained by
United States, for Bodily Injury or Property them and for Bodily Injury or Property Dam-
Damage sustained by their own employees, age sustained by their employees, resulting
resulting from Permitted Activities, regard- from Permitted Activities.
less of fault.
(b) The United States shall extend the re- 7. Miscellaneous
quirements of the waiver and release of (a) Nothing contained herein shall be con-
claims, and the assumption of responsibility strued as a waiver or release by Permittee or
as set forth in paragraphs 2(b) and 3(b), re- the United States of any claim by an em-
spectively, to its Contractors and Sub- ployee of the Permittee or the United States,
contractors by requiring them to waive and respectively, including a member of the
release all claims they may have against Armed Forces of the United States, for Bod-
Permittee, and against the Contractors and ily Injury or Property Damage, resulting
Subcontractors of Permittee, and to agree to from Permitted Activities.
be responsible, for any Property Damage (b) Notwithstanding any provision of this
they sustain, resulting from Permitted Ac- Agreement to the contrary, any waiver, re-
tivities, regardless of fault, to the extent lease, assumption of responsibility, or agree-
that claims they would otherwise have for ment to hold harmless and indemnify herein
such damage exceed the amount of insurance shall not apply to claims for Bodily Injury or
or demonstration of financial responsibility Property Damage resulting from willful mis-
required under § 440.9(e) of the Regulations. conduct of any of the Parties, the Contrac-
tors and Subcontractors of any of the Par-
5. Indemnification
ties, and in the case of Permittee and its
Permittee shall hold harmless and indem- Contractors and Subcontractors, the direc-
nify the United States and its agencies, serv- tors, officers, agents, and employees of any
ants, agents, subsidiaries, employees and as- of the foregoing, and in the case of the
signees, or any of them, from and against li- United States, its agents.
ability, loss, or damage arising out of claims (c) This Agreement shall be governed by
that Permittee’s Contractors and Sub- and construed in accordance with United
contractors may have for Property Damage States Federal law.

925
Pt. 440, App. C 14 CFR Ch. III (1–1–19 Edition)
In witness whereof, the Parties to this 2. Waiver and Release of Claims
Agreement have caused the Agreement to be
(a) Permittee hereby waives and releases
duly executed by their respective duly au-
claims it may have against Customer, the
thorized representatives as of the date writ- United States, any Part 440 Customer, and
ten above. each of their respective Contractors and Sub-
contractors, for Property Damage it sustains
Permittee
and for Bodily Injury or Property Damage
By: lllllllllllllllllllll sustained by its own employees, resulting
Its: lllllllllllllllllllll from Permitted Activities, regardless of
fault.
Federal Aviation Administration of the De- (b) Customer hereby waives and releases
partment of Transportation on Behalf of claims it may have against Permittee, the
the United States Government United States, any other customer, and each
of their respective Contractors and Sub-
By: lllllllllllllllllllll contractors, for Bodily Injury or Property
Its: lllllllllllllllllllll Damage sustained by its own employees, re-
sulting from Permitted Activities, regardless
Associate Administrator for Commercial of fault.
Space Transportation (c) The United States hereby waives and
releases claims it may have against Per-
PART 2—WAIVER OF CLAIMS AND ASSUMPTION mittee, Customer, any Part 440 Customer,
OF RESPONSIBILITY FOR PERMITTED ACTIVI-
and each of their respective Contractors and
TIES WITH O NE C USTOMER
Subcontractors, for Property Damage it sus-
This agreement is entered into this ll day tains, and for Bodily Injury or Property
of llll, by and among [Permittee] (the Damage sustained by its own employees, re-
‘‘Permittee’’), [Customer] (the ‘‘Customer’’) sulting from Permitted Activities, regardless
and the Federal Aviation Administration of of fault, to the extent that claims it would
the Department of Transportation, on behalf otherwise have for such damage or injury ex-
of the United States Government (collec- ceed the amount of insurance or demonstra-
tively, the ‘‘Parties’’), to implement the pro- tion of financial responsibility required
visions of § 440.17(c) of the Commercial Space under § 440.9(c) and (e), respectively, of the
Transportation Licensing Regulations, 14 Regulations.
CFR Ch. III (the ‘‘Regulations’’). This agree- 3. Assumption of Responsibility
ment applies to [describe permitted activ-
ity]. In consideration of the mutual releases (a) Permittee and Customer shall each be
and promises contained herein, the Parties responsible for Property Damage it sustains
hereby agree as follows: and for Bodily Injury or Property Damage
sustained by its own employees, resulting
1. Definitions from Permitted Activities, regardless of
fault. Permittee and Customer shall each
Contractors and Subcontractors means enti- hold harmless and indemnify each other, the
ties defined by § 440.3 of the Regulations. United States, any other customer, and the
Customer means the above-named Cus- Contractors and Subcontractors of each, for
tomer. Bodily Injury or Property Damage sustained
Part 440 Customer means a customer defined by its own employees, resulting from Per-
by § 440.3 of the Regulations, other than the mitted Activities, regardless of fault.
above-named customer. (b) The United States shall be responsible
Permit means Permit No. ll issued on for Property Damage it sustains, resulting
llll, by the Associate Administrator for from Permitted Activities, regardless of
Commercial Space Transportation, Federal fault, to the extent that claims it would oth-
Aviation Administration, Department of erwise have for such damage exceed the
Transportation, to the Permittee, including amount of insurance or demonstration of fi-
all permit orders issued in connection with nancial responsibility required under
the Permit. § 440.9(e) of the Regulations.
Permittee means the holder of the Permit
issued under 51 U.S.C. Subtitle V, ch. 509. 4. Extension of Assumption of Responsibility
United States means the United States and and Waiver and Release of Claims
its agencies involved in Permitted Activi- (a) Permittee shall extend the require-
ties. ments of the waiver and release of claims,
Except as otherwise defined herein, terms and the assumption of responsibility, hold
used in this Agreement and defined in 51 harmless, and indemnification, as set forth
U.S.C. Subtitle V, ch. 509—Commercial in paragraphs 2(a) and 3(a), respectively, to
Space Launch Activities, or in the Regula- its Contractors and Subcontractors by re-
tions, shall have the same meaning as con- quiring them to waive and release all claims
tained in 51 U.S.C. Subtitle V, ch. 509, or the they may have against Customer, the United
Regulations, respectively. States, any Part 440 Customer, and each of

926
Commercial Space Transportation, FAA, DOT Pt. 440, App. C
their respective Contractors and Subcontrac- Permitted Activities and arising out of the
tors, and to agree to be responsible, for Prop- indemnifying party’s failure to implement
erty Damage they sustain and to be respon- properly the waiver requirement.
sible, hold harmless and indemnify Cus- (b) Customer shall hold harmless and in-
tomer, the United States, any Part 440 Cus- demnify Permittee and its directors, officers,
tomer, and each of their respective Contrac- servants, agents, subsidiaries, employees and
tors and Subcontractors, for Bodily Injury or assignees, or any of them; the United States
Property Damage sustained by their own em- and its agencies, servants, agents, subsidi-
ployees, resulting from Permitted Activities, aries, employees and assignees, or any of
regardless of fault. them; and any other customer and its direc-
(b) Customer shall extend the requirements tors, officers, servants, agents, subsidiaries,
of the waiver and release of claims, and the employees and assignees, or any of them,
assumption of responsibility, hold harmless, from and against liability, loss or damage
and indemnification, as set forth in para- arising out of claims that Customer’s Con-
graphs 2(b) and 3(a), respectively, to its cus- tractors, Subcontractors, and customers,
tomers, Contractors, and Subcontractors, by may have for Property Damage sustained by
requiring them to waive and release all them and for Bodily Injury or Property Dam-
claims they may have against Permittee, the age sustained by their employees, resulting
United States, any other customer, and each from Permitted Activities and arising out of
of their respective Contractors and Sub- the indemnifying party’s failure to imple-
contractors, and to agree to be responsible, ment properly the waiver requirement.
for Property Damage they sustain and to be
responsible, hold harmless and indemnify 6. Assurances Under 51 U.S.C. 50914(e)
Permittee, the United States, any other cus-
tomer, and each of their respective Contrac- Notwithstanding any provision of this
tors and Subcontractors, for Bodily Injury or Agreement to the contrary, Permittee shall
Property Damage sustained by their own em- hold harmless and indemnify the United
ployees, resulting from Permitted Activities, States and its agencies, servants, agents,
regardless of fault. employees and assignees, or any of them,
(c) The United States shall extend the re- from and against liability, loss or damage
quirements of the waiver and release of arising out of claims for Bodily Injury or
claims, and the assumption of responsibility Property Damage, resulting from Permitted
as set forth in paragraphs 2(c) and 3(b), re- Activities, regardless of fault, except to the
spectively, to its Contractors and Sub- extent that: (i) As provided in paragraph 7(b)
contractors by requiring them to waive and of this Agreement, claims result from willful
release all claims they may have against misconduct of the United States or its
Permittee, Customer, any Part 440 Cus- agents; (ii) claims for Property Damage sus-
tomer, and each of their respective Contrac- tained by the United States or its Contrac-
tors and Subcontractors, and to agree to be tors and Subcontractors exceed the amount
responsible, for any Property Damage they of insurance or demonstration of financial
sustain and for any Bodily Injury or Prop- responsibility required under § 440.9(e) of the
erty Damage sustained by their own employ- Regulations; (iii) claims by a Third Party for
ees, resulting from Permitted Activities, re- Bodily Injury or Property Damage exceed
gardless of fault, to the extent that claims the amount of insurance or demonstration of
they would otherwise have for such damage financial responsibility required under
or injury exceed the amount of insurance or § 440.9(c) of the Regulations, and do not ex-
demonstration of financial responsibility re- ceed $1,500,000,000 (as adjusted for inflation
quired under § 440.9(c) and (e), respectively, of after January 1, 1989) above such amount,
the Regulations. and are payable pursuant to the provisions of
51 U.S.C. 50915 and § 440.19 of the Regulations;
5. Indemnification or (iv) Licensee has no liability for claims
exceeding $1,500,000,000 (as adjusted for infla-
(a) Permittee shall hold harmless and in-
tion after January 1, 1989) above the amount
demnify Customer and its directors, officers,
of insurance or demonstration of financial
servants, agents, subsidiaries, employees and
responsibility required under § 440.9(c) of the
assignees, or any of them; the United States
Regulations.
and its agencies, servants, agents, subsidi-
aries, employees and assignees, or any of 7. Miscellaneous
them; and any Part 440 Customer and its di-
rectors, officers, servants, agents, subsidi- (a) Nothing contained herein shall be con-
aries, employees and assignees, or any of strued as a waiver or release by Permittee,
them, from and against liability, loss or Customer or the United States of any claim
damage arising out of claims that Permit- by an employee of the Permittee, Customer
tee’s Contractors and Subcontractors may or the United States, respectively, including
have for Property Damage sustained by them a member of the Armed Forces of the United
and for Bodily Injury or Property Damage States, for Bodily Injury or Property Dam-
sustained by their employees, resulting from age, resulting from Permitted Activities.

927
Pt. 440, App. C 14 CFR Ch. III (1–1–19 Edition)
(b) Notwithstanding any provision of this Customer means each above-named Cus-
Agreement to the contrary, any waiver, re- tomer.
lease, assumption of responsibility or agree- Part 440 Customer means a customer defined
ment to hold harmless and indemnify herein by § 440.3 of the Regulations, other than the
shall not apply to claims for Bodily Injury or above-named Customer.
Property Damage resulting from willful mis- Permit means Permit No. ll issued on
conduct of any of the Parties, the Contrac- llll, by the Associate Administrator for
tors and Subcontractors of any of the Par- Commercial Space Transportation, Federal
ties, any Part 440 Customer, the Contractors Aviation Administration, Department of
and Subcontractors of any Part 440 Cus- Transportation, to the Permittee, including
tomer, and in the case of Permittee, Cus- all permit orders issued in connection with
tomer, any Part 440 Customer, and the Con- the Permit.
tractors and Subcontractors of each of them, Permittee means the holder of the Permit
the directors, officers, agents and employees issued under 51 U.S.C. Subtitle V, ch. 509.
of any of the foregoing, and in the case of the
United States means the United States and
United States, its agents.
(c) This Agreement shall be governed by its agencies involved in Permitted Activi-
and construed in accordance with United ties.Except as otherwise defined herein,
States Federal law. terms used in this Agreement and defined in
In witness whereof, the Parties to this 51 U.S.C. Subtitle V, ch. 509—Commercial
Agreement have caused the Agreement to be Space Launch Activities, or in the Regula-
duly executed by their respective duly au- tions, shall have the same meaning as con-
thorized representatives as of the date writ- tained in 51 U.S.C. Subtitle V, ch. 509, or the
ten above. Regulations, respectively.

Permittee 2. Waiver and Release of Claims

By: lllllllllllllllllllll (a) Permittee hereby waives and releases

Its: lllllllllllllllllllll claims it may have against each Customer,
the United States, any Part 440 Customer,
Customer and each of their respective Contractors and
By: lllllllllllllllllllll Subcontractors, for Property Damage it sus-
Its: lllllllllllllllllllll tains and for Bodily Injury or Property Dam-
age sustained by its own employees, result-
Federal Aviation Administration of the De- ing from Permitted Activities, regardless of
partment of Transportation on Behalf of fault.
the United States Government (b) Each Customer hereby waives and re-
By: lllllllllllllllllllll leases claims it may have against Permittee,
Its: lllllllllllllllllllll the United States, any other customer, and
each of their Contractors and Subcontrac-
Associate Administrator for Commercial tors, for Property Damage it sustains and for
Space Transportation Bodily Injury or Property Damage sustained
by its own employees, resulting from Per-
PART 3—WAIVER OF CLAIMS AND ASSUMPTION mitted Activities, regardless of fault.
OF RESPONSIBILITY FOR PERMITTED ACTIVI- (c) The United States hereby waives and
TIES W ITH MORE THAN O NE C USTOMER releases claims it may have against Per-
This agreement is entered into this ll day mittee, each Customer, any Part 440 Cus-
of llll, by and among [Permittee] (the tomer, and each of their respective Contrac-
‘‘Permittee’’); [List of Customers]; (with tors and Subcontractors, for Property Dam-
[List of Customers] hereinafter referred to in age it sustains, and for Bodily Injury or
their individual capacity as ‘‘Customer’’); Property Damage sustained by its own em-
and the Federal Aviation Administration of ployees, resulting from Permitted Activities,
the Department of Transportation, on behalf regardless of fault, to the extent that claims
of the United States Government (collec- it would otherwise have for such damage or
tively, the ‘‘Parties’’), to implement the pro- injury exceed the amount of insurance or
visions of § 440.17(c) of the Commercial Space demonstration of financial responsibility re-
Transportation Licensing Regulations, 14 quired under § 440.9(c) and (e), respectively, of
CFR Ch. III (the ‘‘Regulations’’). This agree- the Regulations.
ment applies to [describe permitted activ-
3. Assumption of Responsibility
ity].
In consideration of the mutual releases and (a) Permittee and each Customer shall
promises contained herein, the Parties here- each be responsible for Property Damage it
by agree as follows: sustains and for Bodily Injury or Property
Damage sustained by its own employees, re-
1. Definitions sulting from Permitted Activities, regardless
Contractors and Subcontractors means enti- of fault. Permittee and each Customer shall
ties defined by § 440.3 of the Regulations. each hold harmless and indemnify each

928
Commercial Space Transportation, FAA, DOT Pt. 440, App. C
other, the United States, any other cus- erty Damage sustained by their own employ-
tomer, and the Contractors and Subcontrac- ees, resulting from Permitted Activities, re-
tors of each, for Bodily Injury or Property gardless of fault, to the extent that claims
Damage sustained by its own employees, re- they would otherwise have for such damage
sulting from Permitted Activities, regardless or injury exceed the amount of insurance or
of fault. demonstration of financial responsibility re-
(b) The United States shall be responsible quired under § 440.9(c) and (e), respectively, of
for Property Damage it sustains, resulting the Regulations.
from Permitted Activities, regardless of
fault, to the extent that claims it would oth- 5. Indemnification
erwise have for such damage or injury exceed (a) Permittee shall hold harmless and in-
the amount of insurance or demonstration of demnify each Customer and its directors, of-
financial responsibility required under ficers, servants, agents, subsidiaries, employ-
§ 440.9(e) of the Regulations. ees and assignees, or any of them; the United
4. Extension of Assumption of Responsibility States and its agencies, servants, agents,
and Waiver and Release of Claims subsidiaries, employees and assignees, or any
of them; and any Part 440 Customer and its
(a) Permittee shall extend the require- directors, officers, servants, agents, subsidi-
ments of the waiver and release of claims, aries, employees and assignees, or any of
and the assumption of responsibility, hold them, from and against liability, loss or
harmless, and indemnification, as set forth damage arising out of claims that Permit-
in paragraphs 2(a) and 3(a), respectively, to tee’s Contractors and Subcontractors may
its Contractors and Subcontractors by re- have for Property Damage sustained by them
quiring them to waive and release all claims and for Bodily Injury or Property Damage sus-
they may have against each Customer, the tained by their employees, resulting from Per-
United States, any Part 440 Customer, and mitted Activities and arising out of the indem-
each of their respective Contractors and Sub- nifying party’s failure to implement prop-
contractors, and to agree to be responsible, erly the waiver requirement.
for Property Damage they sustain and to be (b) Each Customer shall hold harmless and
responsible, hold harmless and indemnify indemnify Permittee and its directors, offi-
each Customer, the United States, any Part cers, servants, agents, subsidiaries, employ-
440 Customer, and each of their respective ees and assignees, or any of them; the United
Contractors and Subcontractors, for Bodily States and its agencies, servants, agents,
Injury or Property Damage sustained by subsidiaries, employees and assignees, or any
their own employees, resulting from Per- of them; and any other customer and its di-
mitted Activities, regardless of fault. rectors, officers, servants, agents, subsidi-
(b) Each Customer shall extend the re- aries, employees and assignees, or any of
quirements of the waiver and release of
them, from and against liability, loss or
claims, and the assumption of responsibility,
damage arising out of claims that each Cus-
hold harmless, and indemnification, as set
tomer’s Contractors, Subcontractors, and
forth in paragraphs 2(b) and 3(a), respec-
customers, may have for Property Damage
tively, to its customers, Contractors, and
sustained by them and for Bodily Injury or
Subcontractors, by requiring them to waive
Property Damage sustained by their employ-
and release all claims they may have against
ees, resulting from Permitted Activities and
Permittee, the United States, any other cus-
arising out of the indemnifying party’s fail-
tomer, and each of their respective Contrac-
ure to implement properly the waiver re-
tors and Subcontractors, and to agree to be
responsible, for Property Damage they sus- quirement.
tain and to be responsible, hold harmless and 6. Assurances Under 51 U.S.C. 50914(e)
indemnify Permittee, the United States, any
other customer, and each of their respective Notwithstanding any provision of this
Contractors and Subcontractors, for Bodily Agreement to the contrary, Permittee shall
Injury or Property Damage sustained by hold harmless and indemnify the United
their own employees, resulting from Per- States and its agencies, servants, agents,
mitted Activities, regardless of fault. employees and assignees, or any of them,
(c) The United States shall extend the re- from and against liability, loss or damage
quirements of the waiver and release of arising out of claims for Bodily Injury or
claims, and the assumption of responsibility Property Damage, resulting from Permitted
as set forth in paragraphs 2(c) and 3(b), re- Activities, regardless of fault, except to the
spectively, to its Contractors and Sub- extent that: (i) As provided in paragraph 7(b)
contractors by requiring them to waive and of this Agreement, claims result from willful
release all claims they may have against misconduct of the United States or its
Permittee, each Customer, any Part 440 Cus- agents; (ii) claims for Property Damage sus-
tomer, and each of their respective Contrac- tained by the United States or its Contrac-
tors and Subcontractors, and to agree to be tors and Subcontractors exceed the amount
responsible, for any Property Damage they of insurance or demonstration of financial
sustain and for any Bodily Injury or Prop- responsibility required under § 440.9(e) of the

929
Pt. 440, App. D 14 CFR Ch. III (1–1–19 Edition)
Regulations; (iii) claims by a Third Party for Federal Aviation Administration of the De-
Bodily Injury or Property Damage exceed partment of Transportation on Behalf of
the amount of insurance or demonstration of the United States Government
financial responsibility required under
By: lllllllllllllllllllll
§ 440.9(c) of the Regulations, and do not ex-
ceed $1,500,000,000 (as adjusted for inflation Its: lllllllllllllllllllll
after January 1, 1989) above such amount, [Doc. No. FAA–2014–1012, Amdt. 440–4, 81 FR
and are payable pursuant to the provisions of 55130, Aug. 18, 2016]
51 U.S.C. 50915 and § 440.19 of the Regulations;
or (iv) Licensee has no liability for claims APPENDIX D TO PART 440—AGREEMENT
exceeding $1,500,000,000 (as adjusted for infla- FOR W AIVER OF CLAIMS AND AS-
tion after January 1, 1989) above the amount SUMPTION OF RESPONSIBILITY FOR A
of insurance or demonstration of financial
CREW MEMBER
responsibility required under § 440.9(c) of the
Regulations. THIS AGREEMENT is entered into this
ll day of llll, by and among [name of
7. Miscellaneous
Crew Member] (the ‘‘Crew Member’’) and the
(a) Nothing contained herein shall be con- Federal Aviation Administration of the De-
strued as a waiver or release by Permittee, partment of Transportation, on behalf of the
any Customer or the United States of any United States Government (collectively, the
claim by an employee of the Permittee, any ‘‘Parties’’), to implement the provisions of
Customer or the United States, respectively, section 440.17(f) of the Commercial Space
including a member of the Armed Forces of Transportation Licensing Regulations, 14
the United States, for Bodily Injury or Prop- CFR chapter III (the ‘‘Regulations’’). This
erty Damage, resulting from Permitted Ac- agreement applies to the Crew Member’s par-
tivities. ticipation in activities that the FAA has au-
(b) Notwithstanding any provision of this thorized by license or permit during the
Agreement to the contrary, any waiver, re- Crew Member’s employment with [Name of
lease, assumption of responsibility or agree- licensee or permittee].
ment to hold harmless and indemnify herein In consideration of the mutual releases and
shall not apply to claims for Bodily Injury or promises contained herein, the Parties here-
Property Damage resulting from willful mis- by agree as follows:
conduct of any of the Parties, the Contrac-
1. Definitions
tors and Subcontractors of any of the Par-
ties, any Part 440 Customer, the Contractors Crew Member means:
and Subcontractors of any Part 440 Cus- (a) The above-named Crew Member,
tomer, and in the case of Permittee, each (b) All the heirs, administrators, execu-
Customer, any Part 440 Customer, and the tors, assignees, next of kin, and estate of the
Contractors and Subcontractors of each of above-named Crew Member, and
them, the directors, officers, agents and em- (c) Anyone who attempts to bring a claim
ployees of any of the foregoing, and in the on behalf of the Crew Member or for damage
case of the United States, its agents. or harm arising out of the Bodily Injury, in-
(c) References herein to Customer shall cluding Death, of the Crew Member.
apply to, and be deemed to include, each License/Permit means License/Permit No.
such customer severally and not jointly. llll issued on llll, by the Associate
(d) This Agreement shall be governed by Administrator for Commercial Space Trans-
and construed in accordance with United portation, Federal Aviation Administration,
States Federal law. Department of Transportation, to the Li-
In witness whereof, the Parties to this censee/Permittee, including all license/per-
Agreement have caused the Agreement to be mit orders issued in connection with the Li-
duly executed by their respective duly au- cense/Permit.
thorized representatives as of the date writ- Licensee/Permittee means the Licensee/Per-
ten above. mittee and any transferee of the Licensee
under 51 U.S.C. Subtitle V, chapter 509.
Permittee
United States means the United States and
By: lllllllllllllllllllll its agencies involved in Licensed/Permitted
Its: lllllllllllllllllllll Activities.
Except as otherwise defined herein, terms
Customer 1 used in this Agreement and defined in 51
U.S.C. Subtitle V, chapter 509—Commercial
By: lllllllllllllllllllll
Space Launch Activities, or in the Regula-
Its: lllllllllllllllllllll tions, shall have the same meaning as con-
[Signature lines for each additional cus- tained in 51 U.S.C. Subtitle V, chapter 509, or
tomer] the Regulations, respectively.

930
Commercial Space Transportation, FAA, DOT Pt. 440, App. D
2. Waiver and Release of Claims (b) The United States shall extend the re-
quirements of the waiver and release of
(a) Crew Member hereby waives and re-
claims, and the assumption of responsibility
leases claims it may have against the United
as set forth in paragraphs 2(b) and 3(c), re-
States, and against its respective Contrac-
spectively, to its Contractors and Sub-
tors and Subcontractors, for Bodily Injury,
contractors by requiring them to waive and
including Death, or Property Damage sus-
release all claims the Contractors and Sub-
tained by Crew Member, resulting from Li-
contractors may have against Crew Member
censed/Permitted Activities, regardless of
and to agree to be responsible, for any Prop-
fault.
erty Damage they sustain, resulting from
(b) The United States hereby waives and Permitted Activities, regardless of fault.
releases claims it may have against the Crew
Member for Property Damage it sustains, 5. Indemnification
and for Bodily Injury, including Death, or
Property Damage sustained by its own em- Crew Member shall hold harmless and in-
ployees, resulting from Licensed/Permitted demnify the United States and its agencies,
Activities, regardless of fault. servants, agents, subsidiaries, employees and
assignees, or any of them, from and against
3. Assumption of Responsibility liability, loss, or damage arising out of
claims brought by anyone for Property Dam-
(a) The Crew Member shall be responsible
age or Bodily Injury, including Death, sus-
for Bodily Injury, including Death, or Prop-
tained by Crew Member, resulting from Li-
erty Damage sustained by Crew Member, re-
censed/Permitted Activities.
sulting from Licensed/Permitted Activities,
regardless of fault. The Crew Member shall 6. Assurances Under 51 U.S.C. 50914(e)
hold harmless the United States, and the
Contractors and Subcontractors of each Notwithstanding any provision of this
Party, for Bodily Injury, including Death, or Agreement to the contrary, Crew Member
Property Damage sustained by Crew Mem- shall hold harmless the United States and its
ber, resulting from Licensed/Permitted Ac- agencies, servants, agents, employees and as-
tivities, regardless of fault. signees, or any of them, from and against li-
(b) The United States shall be responsible ability, loss or damage arising out of claims
for Property Damage it sustains, and for for Bodily Injury, including Death, or Prop-
Bodily Injury, including Death, or Property erty Damage, sustained by Crew Member, re-
Damage sustained by its own employees, re- sulting from Licensed/Permitted Activities,
sulting from Licensed Activities, regardless regardless of fault, except to the extent that,
of fault, to the extent that claims it would as provided in section 6(b) of this Agreement,
otherwise have for such damage or injury ex- claims result from willful misconduct of the
ceed the amount of insurance or demonstra- United States or its agents.
tion of financial responsibility required
under sections 440.9(c) and (e), respectively, 7. Miscellaneous
of the Regulations. (a) Nothing contained herein shall be con-
(c) The United States shall be responsible strued as a waiver or release by the United
for Property Damage it sustains, resulting States of any claim by an employee of the
from Permitted Activities, regardless of United States, respectively, including a
fault, to the extent that claims it would oth- member of the Armed Forces of the United
erwise have for such damage exceed the States, for Bodily Injury or Property Dam-
amount of insurance or demonstration of fi- age, resulting from Licensed/Permitted Ac-
nancial responsibility required under section tivities.
440.9(e) of the Regulations. (b) Notwithstanding any provision of this
Agreement to the contrary, any waiver, re-
4. Extension of Assumption of Responsibility lease, assumption of responsibility or agree-
and Waiver and Release of Claims ment to hold harmless herein shall not apply
(a) The United States shall extend the re- to claims for Bodily Injury, including Death,
quirements of the waiver and release of or Property Damage resulting from willful
claims, and the assumption of responsibility misconduct of any of the Parties, the Con-
as set forth in paragraphs 2(b) and 3(b), re- tractors and Subcontractors of any of the
spectively, to its Contractors and Sub- Parties, and in the case of the United States,
contractors by requiring them to waive and its agents.
release all claims they may have against (c) This Agreement shall be governed by
Crew Member and to agree to be responsible, and construed in accordance with United
for any Property Damage the Contractors States Federal law.
and Subcontractors sustain and for any Bod- In witness whereof, the Parties to this
ily Injury, including Death, or Property Agreement have caused the Agreement to be
Damage sustained by their own employees, duly executed by their respective duly au-
resulting from Licensed Activities, regard- thorized representatives as of the date writ-
less of fault. ten above.

931
Pt. 440, App. E 14 CFR Ch. III (1–1–19 Edition)
I [name of Crew Member] have read and un- Except as otherwise defined herein, terms
derstand this agreement and agree that I am used in this Agreement and defined in 51
bound by it. U.S.C. Subtitle V, chapter 509—Commercial
Crew Member Space Launch Activities, or in the Regula-
tions, shall have the same meaning as con-
Signature: llllllllllllllllll
tained in 51 U.S.C. Subtitle V, chapter 509, or
Printed Name: lllllllllllllll the Regulations, respectively.
Federal Aviation Administration of the De-
partment of Transportation on Behalf of the 2. Waiver and Release of Claims
United States Government (a) Space Flight Participant hereby waives
By: lllllllllllllllllllll and releases claims it may have against the
Its: lllllllllllllllllllll United States, and against its respective
Contractors and Subcontractors, for Bodily
Associate Administrator for Commercial Injury, including Death, or Property Damage
Space Transportation sustained by Space Flight Participant, re-
[Doc. No. FAA–2012–0232, 77 FR 20534, Apr. 5, sulting from Licensed/Permitted Activities,
2012] regardless of fault.
(b) The United States hereby waives and
APPENDIX E TO PART 440—AGREEMENT releases claims it may have against Space
FOR WAIVER OF CLAIMS AND AS- Flight Participant for Property Damage it
SUMPTION OF RESPONSIBILITY FOR A sustains, and for Bodily Injury, including
Death, or Property Damage sustained by its
SPACE FLIGHT PARTICIPANT
own employees, resulting from Licensed/Per-
This agreement is entered into this ll day mitted Activities, regardless of fault.
of llll, by and among [name of Space
3. Assumption of Responsibility
Flight Participant] (the ‘‘Space Flight Par-
ticipant’’) and the Federal Aviation Admin- (a) Space Flight Participant shall be re-
istration of the Department of Transpor- sponsible for Bodily Injury, including Death,
tation, on behalf of the United States Gov- or Property Damage sustained by the Space
ernment (collectively, the ‘‘Parties’’), to im- Flight Participant resulting from Licensed/
plement the provisions of section 440.17(e) of Permitted Activities, regardless of fault.
the Commercial Space Transportation Li- Space Flight Participant shall hold harmless
censing Regulations, 14 CFR chapter III (the the United States, and its Contractors and
‘‘Regulations’’). This agreement applies to Subcontractors, for Bodily Injury, including
Space Flight Participant’s travel on [name Death, or Property Damage sustained by
of launch or reentry vehicle] of [name of Li- Space Flight Participant from Licensed/Per-
censee or Permittee]. In consideration of the mitted Activities, regardless of fault.
mutual releases and promises contained (b) The United States shall be responsible
herein, the Parties hereby agree as follows: for Property Damage it sustains, and for
Bodily Injury, including Death, or Property
1. Definitions Damage sustained by its own employees, re-
Space Flight Participant means sulting from Licensed Activities, regardless
(a) The above-named Space Flight Partici- of fault, to the extent that claims it would
pant, otherwise have for such damage or injury ex-
(b) All the heirs, administrators, execu- ceed the amount of insurance or demonstra-
tors, assignees, next of kin, and estate of the tion of financial responsibility required
above-named Space Flight Participant, and under sections 440.9(c) and (e), respectively,
(c) Anyone who attempts to bring a claim of the Regulations.
on behalf of the Space Flight Participant or (c) The United States shall be responsible
for damage or harm arising out of the Bodily for Property Damage it sustains, resulting
Injury, including Death, of the Space Flight from Permitted Activities, regardless of
Participant. fault, to the extent that claims it would oth-
License/Permit means License/Permit No. erwise have for such damage exceed the
llll issued on llll, by the Associate amount of insurance or demonstration of fi-
Administrator for Commercial Space Trans- nancial responsibility required under section
portation, Federal Aviation Administration, 440.9(e) of the Regulations.
Department of Transportation, to the Li-
4. Extension of Assumption of Responsibility
censee/Permittee, including all license/per-
and Waiver and Release of Claims
mit orders issued in connection with the Li-
cense/Permit. (a) The United States shall extend the re-
Licensee/Permittee means the Licensee/Per- quirements of the waiver and release of
mittee and any transferee of the Licensee claims, and the assumption of responsibility
under 51 U.S.C. Subtitle V, chapter 509. as set forth in paragraphs 2(b) and 3(b), re-
United States means the United States and spectively, to its Contractors and Sub-
its agencies involved in Licensed/Permitted contractors by requiring them to waive and
Activities. release all claims they may have against

932
Commercial Space Transportation, FAA, DOT Pt. 460
Space Flight Participant, and to agree to be (c) This Agreement shall be governed by
responsible, for any Property Damage they and construed in accordance with United
sustain and for any Bodily Injury, including States Federal law.
Death, or Property Damage sustained by In witness whereof, the Parties to this
their own employees, resulting from Li- Agreement have caused the Agreement to be
censed Activities, regardless of fault. duly executed by their respective duly au-
(b) The United States shall extend the re- thorized representatives as of the date writ-
quirements of the waiver and release of ten above.
claims, and the assumption of responsibility I [name of Space Flight Participant] have
as set forth in paragraphs 2(b) and 3(c), re- read and understand this agreement and
spectively, to its Contractors and Sub- agree that I am bound by it.
contractors by requiring them to waive and Space Flight Participant
release all claims they may have against
Signature: llllllllllllllllll
Space Flight Participant, and to agree to be
responsible, for any Property Damage the Printed Name: lllllllllllllll
Contractors and Subcontractors sustain, re- Federal Aviation Administration of the De-
sulting from Permitted Activities, regardless partment of Transportation on Behalf of
of fault. the United States Government
5. Indemnification By: lllllllllllllllllllll
Its: lllllllllllllllllllll
Space Flight Participant shall hold harm-
less and indemnify the United States and its Associate Administrator for Commercial
agencies, servants, agents, subsidiaries, em- Space Transportation
ployees and assignees, or any of them, from [Doc. No. FAA–2012–0232, 77 FR 20535, Apr. 5,
and against liability, loss or damage arising 2012]
out of claims brought by anyone for Prop-
erty Damage or Bodily Injury, including
Death, sustained by Space Flight Partici- PARTS 441–459 [RESERVED]
pant, resulting from Licensed/Permitted Ac-
tivities. PART 460—HUMAN SPACE FLIGHT
6. Assurances Under 51 U.S.C. 50914(e) REQUIREMENTS
Notwithstanding any provision of this Subpart A—Launch and Reentry with Crew
Agreement to the contrary, Space Flight
Participant shall hold harmless the United Sec.
States and its agencies, servants, agents, 460.1 Scope.
employees and assignees, or any of them, 460.3 Applicability.
from and against liability, loss or damage 460.5 Crew qualifications and training.
arising out of claims for Bodily Injury, in- 460.7 Operator training of crew.
cluding Death, or Property Damage, sus- 460.9 Informing crew of risk.
tained by Space Flight Participant, resulting 460.11 Environmental control and life sup-
from Licensed/Permitted Activities, regard- port systems.
less of fault, except to the extent that, as 460.13 Smoke detection and fire suppression.
provided in section 6(b) of this Agreement, 460.15 Human factors.
claims result from willful misconduct of the 460.17 Verification program.
United States or its agents. 460.19 Crew waiver of claims against U.S.
Government.
7. Miscellaneous
460.20–460.40 [Reserved]
(a) Nothing contained herein shall be con-
strued as a waiver or release by the United Subpart B—Launch and Reentry with a
States of any claim by an employee of the Space Flight Participant
United States, respectively, including a
member of the Armed Forces of the United 460.41 Scope.
States, for Bodily Injury or Property Dam- 460.43 Applicability.
age, resulting from Licensed/Permitted Ac- 460.45 Operator informing space flight par-
tivities. ticipant of risk.
(b) Notwithstanding any provision of this 460.47 [Reserved]
Agreement to the contrary, any waiver, re- 460.49 Space flight participant waiver of
lease, assumption of responsibility or agree- claims against U.S. Government.
ment to hold harmless herein shall not apply 460.51 Space flight participant training.
to claims for Bodily Injury, including Death, 460.53 Security.
or Property Damage resulting from willful
AUTHORITY: 51 U.S.C. 50901–50923.
misconduct of any of the Parties, the Con-
tractors, Subcontractors, and agents of the SOURCE: Docket No. FAA–2005–23449, 71 FR
United States, and Space Flight Participant. 75632, Dec. 15, 2006, unless otherwise noted.

933
§ 460.1 14 CFR Ch. III (1–1–19 Edition)

Subpart A—Launch and Reentry nautical experience may include hours

with Crew in flight, ratings, and training.
(3) Receive vehicle and mission-spe-
§ 460.1 Scope. cific training for each phase of flight
by using one or more of the following—
This subpart establishes require-
(i) A method or device that simulates
ments for crew of a vehicle whose oper-
the flight;
ator is licensed or permitted under this
(ii) An aircraft whose characteristics
chapter.
are similar to the vehicle or that has
§ 460.3 Applicability. similar phases of flight to the vehicle ;
(iii) Flight testing; or
(a) This subpart applies to: (iv) An equivalent method of training
(1) An applicant for a license or per- approved by the FAA through the li-
mit under this chapter who proposes to cense or permit process.
have flight crew on board a vehicle or (4) Train in procedures that direct
proposes to employ a remote operator the vehicle away from the public in the
of a vehicle with a human on board. event the flight crew abandons the ve-
(2) An operator licensed or permitted hicle during flight; and
under this chapter who has flight crew (5) Train for each mode of control or
on board a vehicle or who employs a re- propulsion, including any transition
mote operator of a vehicle with a between modes, such that the pilot or
human on board. remote operator is able to control the
(3) A crew member participating in vehicle.
an activity authorized under this chap- (d) A pilot or a remote operator may
ter. demonstrate an equivalent level of
(b) Each member of the crew must safety to paragraph (c)(1) of this sec-
comply with all requirements of the tion through the license or permit
laws of the United States that apply to process.
crew. (e) Each crew member with a safety-
critical role must possess and carry an
§ 460.5 Crew qualifications and train- FAA second-class airman medical cer-
ing.
tificate issued in accordance with 14
(a) Each crew member must— CFR part 67, no more than 12 months
(1) Complete training on how to carry prior to the month of launch and re-
out his or her role on board or on the entry.
ground so that the vehicle will not
[Docket No. FAA–2005–23449, 71 FR 75632, Dec.
harm the public; and 15, 2006, as amended by Doc. No. FAA–2016–
(2) Train for his or her role in nomi- 6761, Amdt. No. 460–2, 83 FR 28535, June 20,
nal and non-nominal conditions. The 2018]
conditions must include—
(i) Abort scenarios; and § 460.7 Operator training of crew.
(ii) Emergency operations. (a) Implementation of training. An op-
(b) Each member of a flight crew erator must train each member of its
must demonstrate an ability to with- crew and define standards for success-
stand the stresses of space flight, ful completion in accordance with
which may include high acceleration or § 460.5.
deceleration, microgravity, and vibra- (b) Training device fidelity. An oper-
tion, in sufficient condition to safely ator must
carry out his or her duties so that the (1) Ensure that any crew-training de-
vehicle will not harm the public. vice used to meet the training require-
(c) A pilot and a remote operator ments realistically represents the vehi-
must— cle’s configuration and mission, or
(1) Possess and carry an FAA pilot (2) Inform the crew member being
certificate with an instrument rating. trained of the differences between the
(2) Possess aeronautical knowledge, two.
experience, and skills necessary to (c) Maintenance of training records. An
pilot and control the launch or reentry operator must continually update the
vehicle that will operate in the Na- crew training to ensure that it incor-
tional Airspace System (NAS). Aero- porates lessons learned from training

934
Commercial Space Transportation, FAA, DOT § 460.19
and operational missions. An operator (1) Provide a redundant means of pre-
must— venting cabin depressurization; or
(1) Track each revision and update in (2) Prevent incapacitation of any of
writing; and the flight crew in the event of loss of
(2) Document the completed training cabin pressure.
for each crew member and maintain
the documentation for each active crew § 460.13 Smoke detection and fire sup-
member. pression.
(d) Current qualifications and training. An operator or crew must have the
An operator must establish a recurrent ability to detect smoke and suppress a
training schedule and ensure that all cabin fire to prevent incapacitation of
crew qualifications and training re- the flight crew.
quired by § 460.5 are current before
launch and reentry. § 460.15 Human factors.
§ 460.9 Informing crew of risk. An operator must take the pre-
cautions necessary to account for
An operator must inform in writing
human factors that can affect a crew’s
any individual serving as crew that the
ability to perform safety-critical roles,
United States Government has not cer-
including in the following safety crit-
tified the launch vehicle and any re-
entry vehicle as safe for carrying flight ical areas—
crew or space flight participants. An (a) Design and layout of displays and
operator must provide this informa- controls;
tion— (b) Mission planning, which includes
(a) Before entering into any contract analyzing tasks and allocating func-
or other arrangement to employ that tions between humans and equipment;
individual; or (c) Restraint or stowage of all indi-
(b) For any crew member employed viduals and objects in a vehicle; and
as of December 23, 2004, as early as pos- (d) Vehicle operation, so that the ve-
sible and prior to any launch in which hicle will be operated in a manner that
that individual will participate as flight crew can withstand any physical
crew. stress factors, such as acceleration, vi-
bration, and noise.
§ 460.11 Environmental control and
life support systems. § 460.17 Verification program.
(a) An operator must provide atmos- An operator must successfully verify
pheric conditions adequate to sustain the integrated performance of a vehi-
life and consciousness for all inhabited cle’s hardware and any software in an
areas within a vehicle. The operator or operational flight environment before
flight crew must monitor and control
allowing any space flight participant
the following atmospheric conditions
on board during a flight. Verification
in the inhabited areas or demonstrate
through the license or permit process must include flight testing.
that an alternate means provides an § 460.19 Crew waiver of claims against
equivalent level of safety— U.S. Government.
(1) Composition of the atmosphere,
which includes oxygen and carbon diox- Each member of a flight crew and
ide, and any revitalization; any remote operator must execute a re-
(2) Pressure, temperature and humid- ciprocal waiver of claims with the Fed-
ity; eral Aviation Administration of the
(3) Contaminants that include partic- Department of Transportation in ac-
ulates and any harmful or hazardous cordance with the requirements of part
concentrations of gases, or vapors; and 440.
(4) Ventilation and circulation.
(b) An operator must provide an ade-
quate redundant or secondary oxygen
supply for the flight crew.
(c) An operator must

935
§§ 460.20–460.40 14 CFR Ch. III (1–1–19 Edition)

§§ 460.20–460.40 [Reserved] record of all launch or reentry vehicles

that have carried one or more persons
Subpart B—Launch and Reentry on board, including both U.S. govern-
with a Space Flight participant ment and private sector vehicles. This
information must include—
§ 460.41 Scope. (1) The total number of people who
This subpart establishes require- have been on a suborbital or orbital
ments for space flight participants on space flight and the total number of
board a vehicle whose operator is li- people who have died or been seriously
censed or permitted under this chapter. injured on these flights; and
(2) The total number of launches and
§ 460.43 Applicability. reentries conducted with people on
This subpart applies to: board and the number of catastrophic
(a) An applicant for a license or per- failures of those launches and reen-
mit under this chapter who proposes to tries.
have a space flight participant on (d) An operator must describe the
board a vehicle; safety record of its vehicle to each
(b) An operator licensed or permitted space flight participant. The operator’s
under this chapter who has a space
safety record must cover launch and
flight participant on board a vehicle;
reentry accidents and human space
and
(c) A space flight participant in an flight incidents that occurred during
activity authorized under this chapter. and after vehicle verification per-
formed in accordance with § 460.17, and
§ 460.45 Operator informing space include—
flight participant of risk. (1) The number of vehicle flights;
(a) Before receiving compensation or (2) The number of accidents and
making an agreement to fly a space human space flight incidents as defined
flight participant, an operator must by section 401.5; and
satisfy the requirements of this sec- (3) Whether any corrective actions
tion. An operator must inform each were taken to resolve these accidents
space flight participant in writing and human space flight incidents.
about the risks of the launch and re- (e) An operator must inform a space
entry, including the safety record of flight participant that he or she may
the launch or reentry vehicle type. An request additional information regard-
operator must present this information
ing any accidents and human space
in a manner that can be readily under-
stood by a space flight participant with flight incidents reported.
no specialized education or training, (f) Before flight, an operator must
and must disclose in writing— provide each space flight participant
(1) For each mission, each known an opportunity to ask questions orally
hazard and risk that could result in a to acquire a better understanding of
serious injury, death, disability, or the hazards and risks of the mission,
total or partial loss of physical and and each space flight participant must
mental function; then provide consent in writing to par-
(2) That there are hazards that are ticipate in a launch or reentry. The
not known; and consent must—
(3) That participation in space flight (1) Identify the specific launch vehi-
may result in death, serious injury, or cle the consent covers;
total or partial loss of physical or men- (2) State that the space flight partici-
tal function. pant understands the risk, and his or
(b) An operator must inform each her presence on board the launch vehi-
space flight participant that the
cle is voluntary; and
United States Government has not cer-
tified the launch vehicle and any re- (3) Be signed and dated by the space
entry vehicle as safe for carrying crew flight participant.
or space flight participants.
(c) An operator must inform each
space flight participant of the safety

936
Commercial Space Transportation, FAA, DOT § 460.53

§ 460.47 [Reserved] to respond to emergency situations, in-

cluding smoke, fire, loss of cabin pres-
§ 460.49 Space flight participant waiv- sure, and emergency exit.
er of claims against U.S. Govern-
ment. § 460.53 Security.
Each space flight participant must An operator must implement secu-
execute a reciprocal waiver of claims rity requirements to prevent any space
with the Federal Aviation Administra-
flight participant from jeopardizing
tion of the Department of Transpor-
the safety of the flight crew or the pub-
tation in accordance with the require-
ments of part 440 of this chapter. lic. A space flight participant may not
carry on board any explosives, fire-
§ 460.51 Space flight participant train- arms, knives, or other weapons.
ing.
An operator must train each space PARTS 461–1199 [RESERVED]
flight participant before flight on how

937
 FINDING AIDS

A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabet-
ical 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 sepa-
rately and revised annually.
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected

939
 Table of CFR Titles and Chapters
(Revised as of January 1, 2019)

Title 1—General Provisions

I Administrative Committee of the Federal Register (Parts 1—49)

II Office of the Federal Register (Parts 50—299)
III Administrative Conference of the United States (Parts 300—399)
IV Miscellaneous Agencies (Parts 400—599)
VI National Capital Planning Commission (Parts 600—699)

Title 2—Grants and Agreements

SUBTITLE A—OFFICE OF M ANAGEMENT AND BUDGET GUIDANCE FOR

G RANTS AND A GREEMENTS
I Office of Management and Budget Governmentwide Guidance for
Grants and Agreements (Parts 2—199)
II Office of Management and Budget Guidance (Parts 200—299)
S UBTITLE B—FEDERAL A GENCY R EGULATIONS FOR GRANTS AND
A GREEMENTS
III Department of Health and Human Services (Parts 300—399)
IV Department of Agriculture (Parts 400—499)
VI Department of State (Parts 600—699)
VII Agency for International Development (Parts 700—799)
VIII Department of Veterans Affairs (Parts 800—899)
IX Department of Energy (Parts 900—999)
X Department of the Treasury (Parts 1000—1099)
XI Department of Defense (Parts 1100—1199)
XII Department of Transportation (Parts 1200—1299)
XIII Department of Commerce (Parts 1300—1399)
XIV Department of the Interior (Parts 1400—1499)
XV Environmental Protection Agency (Parts 1500—1599)
XVIII National Aeronautics and Space Administration (Parts 1800—
1899)
XX United States Nuclear Regulatory Commission (Parts 2000—2099)
XXII Corporation for National and Community Service (Parts 2200—
2299)
XXIII Social Security Administration (Parts 2300—2399)
XXIV Department of Housing and Urban Development (Parts 2400—
2499)
XXV National Science Foundation (Parts 2500—2599)
XXVI National Archives and Records Administration (Parts 2600—2699)

941
 Title 2—Grants and Agreements—Continued
Chap.

XXVII Small Business Administration (Parts 2700—2799)

XXVIII Department of Justice (Parts 2800—2899)
XXIX Department of Labor (Parts 2900—2999)
XXX Department of Homeland Security (Parts 3000—3099)
XXXI Institute of Museum and Library Services (Parts 3100—3199)
XXXII National Endowment for the Arts (Parts 3200—3299)
XXXIII National Endowment for the Humanities (Parts 3300—3399)
XXXIV Department of Education (Parts 3400—3499)
XXXV Export-Import Bank of the United States (Parts 3500—3599)
XXXVI Office of National Drug Control Policy, Executive Office of the
President (Parts 3600—3699)
XXXVII Peace Corps (Parts 3700—3799)
LVIII Election Assistance Commission (Parts 5800—5899)
LIX Gulf Coast Ecosystem Restoration Council (Parts 5900—5999)

Title 3—The President

I Executive Office of the President (Parts 100—199)

Title 4—Accounts

I Government Accountability Office (Parts 1—199)

Title 5—Administrative Personnel

I Office of Personnel Management (Parts 1—1199)

II Merit Systems Protection Board (Parts 1200—1299)
III Office of Management and Budget (Parts 1300—
1399)
IV Office of Personnel Management and Office of the Director of
National Intelligence (Parts 1400—1499)
V The International Organizations Employees Loyalty Board
(Parts 1500—1599)
VI Federal Retirement Thrift Investment Board (Parts 1600—1699)
VIII Office of Special Counsel (Parts 1800—1899)
IX Appalachian Regional Commission (Parts 1900—1999)
XI Armed Forces Retirement Home (Parts 2100—2199)
XIV Federal Labor Relations Authority, General Counsel of the Fed-
eral Labor Relations Authority and Federal Service Impasses
Panel (Parts 2400—2499)
XVI Office of Government Ethics (Parts 2600—2699)
XXI Department of the Treasury (Parts 3100—3199)
XXII Federal Deposit Insurance Corporation (Parts 3200—3299)
XXIII Department of Energy (Parts 3300—3399)
XXIV Federal Energy Regulatory Commission (Parts 3400—3499)
XXV Department of the Interior (Parts 3500—3599)

942
XXVI Department of Defense (Parts 3600—3699)

943
 Title 5—Administrative Personnel—Continued
Chap.

XXVIII Department of Justice (Parts 3800—3899)

XXIX Federal Communications Commission (Parts 3900—3999)
XXX Farm Credit System Insurance Corporation (Parts 4000—4099)
XXXI Farm Credit Administration (Parts 4100—4199)
XXXIII Overseas Private Investment Corporation (Parts 4300—4399)
XXXIV Securities and Exchange Commission (Parts 4400—4499)
XXXV Office of Personnel Management (Parts 4500—4599)
XXXVI Department of Homeland Security (Parts 4600—4699)
XXXVII Federal Election Commission (Parts 4700—4799)
XL Interstate Commerce Commission (Parts 5000—5099)
XLI Commodity Futures Trading Commission (Parts 5100—5199)
XLII Department of Labor (Parts 5200—5299)
XLIII National Science Foundation (Parts 5300—5399)
XLV Department of Health and Human Services (Parts 5500—5599)
XLVI Postal Rate Commission (Parts 5600—5699)
XLVII Federal Trade Commission (Parts 5700—5799)
XLVIII Nuclear Regulatory Commission (Parts 5800—5899)
XLIX Federal Labor Relations Authority (Parts 5900—5999)
L Department of Transportation (Parts 6000—6099)
LII Export-Import Bank of the United States (Parts 6200—6299)
LIII Department of Education (Parts 6300—6399)
LIV Environmental Protection Agency (Parts 6400—6499)
LV National Endowment for the Arts (Parts 6500—6599)
LVI National Endowment for the Humanities (Parts 6600—6699)
LVII General Services Administration (Parts 6700—6799)
LVIII Board of Governors of the Federal Reserve System (Parts 6800—
6899)
LIX National Aeronautics and Space Administration (Parts 6900—
6999)
LX United States Postal Service (Parts 7000—7099)
LXI National Labor Relations Board (Parts 7100—7199)
LXII Equal Employment Opportunity Commission (Parts 7200—7299)
LXIII Inter-American Foundation (Parts 7300—7399)
LXIV Merit Systems Protection Board (Parts 7400—7499)
LXV Department of Housing and Urban Development (Parts 7500—
7599)
LXVI National Archives and Records Administration (Parts 7600—7699)
LXVII Institute of Museum and Library Services (Parts 7700—7799)
LXVIII Commission on Civil Rights (Parts 7800—7899)
LXIX Tennessee Valley Authority (Parts 7900—7999)
LXX Court Services and Offender Supervision Agency for the District
of Columbia (Parts 8000—8099)
LXXI Consumer Product Safety Commission (Parts 8100—8199)
LXXIII Department of Agriculture (Parts 8300—8399)

944
 Title 5—Administrative Personnel—Continued
Chap.

LXXIV Federal Mine Safety and Health Review Commission (Parts

8400—8499)
LXXVI Federal Retirement Thrift Investment Board (Parts 8600—8699)
LXXVII Office of Management and Budget (Parts 8700—8799)
LXXX Federal Housing Finance Agency (Parts 9000—9099)
LXXXIII Special Inspector General for Afghanistan Reconstruction (Parts
9300—9399)
LXXXIV Bureau of Consumer Financial Protection (Parts 9400—9499)
LXXXVI National Credit Union Administration (Parts 9600—9699)
XCVII Department of Homeland Security Human Resources Manage-
ment System (Department of Homeland Security—Office of
Personnel Management) (Parts 9700—9799)
XCVIII Council of the Inspectors General on Integrity and Efficiency
(Parts 9800—9899)
XCIX Military Compensation and Retirement Modernization Commis-
sion (Parts 9900—9999)
C National Council on Disability (Parts 10000—10049)
CI National Mediation Board (Part 10101)

Title 6—Domestic Security

I Department of Homeland Security, Office of the Secretary

(Parts 1—199)
X Privacy and Civil Liberties Oversight Board (Parts 1000—1099)

Title 7—Agriculture

S UBTITLE A—OFFICE OF THE S ECRETARY OF A GRICULTURE (P ARTS

0—26)
SUBTITLE B—REGULATIONS OF THE DEPARTMENT OF AGRICULTURE
I Agricultural Marketing Service (Standards, Inspections, Mar-
keting Practices), Department of Agriculture (Parts 27—209)
II Food and Nutrition Service, Department of Agriculture (Parts
210—299)
III Animal and Plant Health Inspection Service, Department of Ag-
riculture (Parts 300—399)
IV Federal Crop Insurance Corporation, Department of Agriculture
(Parts 400—499)
V Agricultural Research Service, Department of Agriculture
(Parts 500—599)
VI Natural Resources Conservation Service, Department of Agri-
culture (Parts 600—699)
VII Farm Service Agency, Department of Agriculture (Parts 700—
799)
VIII Grain Inspection, Packers and Stockyards Administration (Fed-
eral Grain Inspection Service), Department of Agriculture
(Parts 800—899)

945
 Title 7—Agriculture—Continued
Chap.

IX Agricultural Marketing Service (Marketing Agreements and Or-

ders; Fruits, Vegetables, Nuts), Department of Agriculture
(Parts 900—999)
X Agricultural Marketing Service (Marketing Agreements and Or-
ders; Milk), Department of Agriculture (Parts 1000—1199)
XI Agricultural Marketing Service (Marketing Agreements and Or-
ders; Miscellaneous Commodities), Department of Agriculture
(Parts 1200—1299)
XIV Commodity Credit Corporation, Department of Agriculture
(Parts 1400—1499)
XV Foreign Agricultural Service, Department of Agriculture (Parts
1500—1599)
XVI Rural Telephone Bank, Department of Agriculture (Parts 1600—
1699)
XVII Rural Utilities Service, Department of Agriculture (Parts 1700—
1799)
XVIII Rural Housing Service, Rural Business-Cooperative Service,
Rural Utilities Service, and Farm Service Agency, Depart-
ment of Agriculture (Parts 1800—2099)
XX Local Television Loan Guarantee Board (Parts 2200—2299)
XXV Office of Advocacy and Outreach, Department of Agriculture
(Parts 2500—2599)
XXVI Office of Inspector General, Department of Agriculture (Parts
2600—2699)
XXVII Office of Information Resources Management, Department of
Agriculture (Parts 2700—2799)
XXVIII Office of Operations, Department of Agriculture (Parts 2800—
2899)
XXIX Office of Energy Policy and New Uses, Department of Agri-
culture (Parts 2900—2999)
XXX Office of the Chief Financial Officer, Department of Agriculture
(Parts 3000—3099)
XXXI Office of Environmental Quality, Department of Agriculture
(Parts 3100—3199)
XXXII Office of Procurement and Property Management, Department
of Agriculture (Parts 3200—3299)
XXXIII Office of Transportation, Department of Agriculture (Parts
3300—3399)
XXXIV National Institute of Food and Agriculture (Parts 3400—3499)
XXXV Rural Housing Service, Department of Agriculture (Parts 3500—
3599)
XXXVI National Agricultural Statistics Service, Department of Agri-
culture (Parts 3600—3699)
XXXVII Economic Research Service, Department of Agriculture (Parts
3700—3799)
XXXVIII World Agricultural Outlook Board, Department of Agriculture
(Parts 3800—3899)
XLI [Reserved]
XLII Rural Business-Cooperative Service and Rural Utilities Service,
Department of Agriculture (Parts 4200—4299)

946
 Title 8—Aliens and Nationality
Chap.

I Department of Homeland Security (Immigration and Naturaliza-

tion) (Parts 1—499)
V Executive Office for Immigration Review, Department of Justice
(Parts 1000—1399)

Title 9—Animals and Animal Products

I Animal and Plant Health Inspection Service, Department of Ag-

riculture (Parts 1—199)
II Grain Inspection, Packers and Stockyards Administration
(Packers and Stockyards Programs), Department of Agri-
culture (Parts 200—299)
III Food Safety and Inspection Service, Department of Agriculture
(Parts 300—599)

Title 10—Energy

I Nuclear Regulatory Commission (Parts 0—199)

II Department of Energy (Parts 200—699)
III Department of Energy (Parts 700—999)
X Department of Energy (General Provisions) (Parts 1000—1099)
XIII Nuclear Waste Technical Review Board (Parts 1300—1399)
XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799)
XVIII Northeast Interstate Low-Level Radioactive Waste Commission
(Parts 1800—1899)

Title 11—Federal Elections

I Federal Election Commission (Parts 1—9099)

II Election Assistance Commission (Parts 9400—9499)

Title 12—Banks and Banking

I Comptroller of the Currency, Department of the Treasury (Parts

1—199)
II Federal Reserve System (Parts 200—299)
III Federal Deposit Insurance Corporation (Parts 300—399)
IV Export-Import Bank of the United States (Parts 400—
499) V (Parts 500—599) [Reserved]
VI Farm Credit Administration (Parts 600—699)
VII National Credit Union Administration (Parts 700—799)
VIII Federal Financing Bank (Parts 800—899)
IX Federal Housing Finance Board (Parts 900—999)
X Bureau of Consumer Financial Protection (Parts 1000—1099)
XI Federal Financial Institutions Examination Council (Parts
1100—1199)
XII Federal Housing Finance Agency (Parts 1200—1299)
XIII Financial Stability Oversight Council (Parts 1300—1399)

947
 Title 12—Banks and Banking—Continued
Chap.

XIV Farm Credit System Insurance Corporation (Parts 1400—1499)

XV Department of the Treasury (Parts 1500—1599)
XVI Office of Financial Research (Parts 1600—1699)
XVII Office of Federal Housing Enterprise Oversight, Department of
Housing and Urban Development (Parts 1700—1799)
XVIII Community Development Financial Institutions Fund, Depart-
ment of the Treasury (Parts 1800—1899)

Title 13—Business Credit and Assistance

I Small Business Administration (Parts 1—199)

III Economic Development Administration, Department of Com-
merce (Parts 300—399)
IV Emergency Steel Guarantee Loan Board (Parts 400—499)
V Emergency Oil and Gas Guaranteed Loan Board (Parts 500—599)

Title 14—Aeronautics and Space

I Federal Aviation Administration, Department of Transportation

(Parts 1—199)
II Office of the Secretary, Department of Transportation (Aviation
Proceedings) (Parts 200—399)
III Commercial Space Transportation, Federal Aviation Adminis-
tration, Department of Transportation (Parts 400—1199)
V National Aeronautics and Space Administration (Parts 1200—
1299)
VI Air Transportation System Stabilization (Parts 1300—1399)

Title 15—Commerce and Foreign Trade

SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (P ARTS 0—

29)
S UBTITLE B—REGULATIONS R ELATING TO COMMERCE AND FOREIGN
TRADE
I Bureau of the Census, Department of Commerce (Parts 30—199)
II National Institute of Standards and Technology, Department of
Commerce (Parts 200—299)
III International Trade Administration, Department of Commerce
(Parts 300—399)
IV Foreign-Trade Zones Board, Department of Commerce (Parts
400—499)
VII Bureau of Industry and Security, Department of Commerce
(Parts 700—799)
VIII Bureau of Economic Analysis, Department of Commerce (Parts
800—899)
IX National Oceanic and Atmospheric Administration, Department
of Commerce (Parts 900—999)
XI National Technical Information Service, Department of Com-
merce (Parts 1100—1199)

948
 Title 15—Commerce and Foreign Trade—Continued
Chap.

XIII East-West Foreign Trade Board (Parts 1300—1399)

XIV Minority Business Development Agency (Parts 1400—1499)
S UBTITLE C—R EGULATIONS R ELATING TO F OREIGN T RADE A GREE-
MENTS
XX Office of the United States Trade Representative (Parts 2000—
2099)
SUBTITLE D—REGULATIONS RELATING TO T ELECOMMUNICATIONS
AND INFORMATION
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 2300—2399) [Reserved]

Title 16—Commercial Practices

I Federal Trade Commission (Parts 0—999)

II Consumer Product Safety Commission (Parts 1000—1799)

Title 17—Commodity and Securities Exchanges

I Commodity Futures Trading Commission (Parts 1—199)

II Securities and Exchange Commission (Parts 200—399)
IV Department of the Treasury (Parts 400—499)

Title 18—Conservation of Power and Water Resources

I Federal Energy Regulatory Commission, Department of Energy

(Parts 1—399)
III Delaware River Basin Commission (Parts 400—499)
VI Water Resources Council (Parts 700—799)
VIII Susquehanna River Basin Commission (Parts 800—899)
XIII Tennessee Valley Authority (Parts 1300—1399)

Title 19—Customs Duties

I U.S. Customs and Border Protection, Department of Homeland

Security; Department of the Treasury (Parts 0—199)
II United States International Trade Commission (Parts 200—299)
III International Trade Administration, Department of Commerce
(Parts 300—399)
IV U.S. Immigration and Customs Enforcement, Department of
Homeland Security (Parts 400—599) [Reserved]

Title 20—Employees’ Benefits

I Office of Workers’ Compensation Programs, Department of

Labor (Parts 1—199)
II Railroad Retirement Board (Parts 200—399)
III Social Security Administration (Parts 400—499)

949
 Title 20—Employees’ Benefits—Continued
Chap.

IV Employees’ Compensation Appeals Board, Department of Labor

(Parts 500—599)
V Employment and Training Administration, Department of Labor
(Parts 600—699)
VI Office of Workers’ Compensation Programs, Department of
Labor (Parts 700—799)
VII Benefits Review Board, Department of Labor (Parts 800—899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900—999)
IX Office of the Assistant Secretary for Veterans’ Employment and
Training Service, Department of Labor (Parts 1000—1099)

Title 21—Food and Drugs

I Food and Drug Administration, Department of Health and

Human Services (Parts 1—1299)
II Drug Enforcement Administration, Department of Justice (Parts
1300—1399)
III Office of National Drug Control Policy (Parts 1400—1499)

Title 22—Foreign Relations

I Department of State (Parts 1—199)

II Agency for International Development (Parts 200—299)
III Peace Corps (Parts 300—399)
IV International Joint Commission, United States and Canada
(Parts 400—499)
V Broadcasting Board of Governors (Parts 500—599)
VII Overseas Private Investment Corporation (Parts 700—799)
IX Foreign Service Grievance Board (Parts 900—999)
X Inter-American Foundation (Parts 1000—1099)
XI International Boundary and Water Commission, United States
and Mexico, United States Section (Parts 1100—1199)
XII United States International Development Cooperation Agency
(Parts 1200—1299)
XIII Millennium Challenge Corporation (Parts 1300—1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations
Authority; General Counsel of the Federal Labor Relations
Authority; and the Foreign Service Impasse Disputes Panel
(Parts 1400—1499)
XV African Development Foundation (Parts 1500—1599)
XVI Japan-United States Friendship Commission (Parts 1600—1699)
XVII United States Institute of Peace (Parts 1700—1799)

Title 23—Highways

I Federal Highway Administration, Department of Transportation

(Parts 1—999)

950
 Title 23—Highways—Continued
Chap.

II National Highway Traffic Safety Administration and Federal

Highway Administration, Department of Transportation
(Parts 1200—1299)
III National Highway Traffic Safety Administration, Department of
Transportation (Parts 1300—1399)

Title 24—Housing and Urban Development

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING

AND U RBAN DEVELOPMENT (P ARTS 0—99)
SUBTITLE B—REGULATIONS RELATING TO HOUSING AND U RBAN DE-
VELOPMENT
I Office of Assistant Secretary for Equal Opportunity, Department
of Housing and Urban Development (Parts 100—199)
II Office of Assistant Secretary for Housing-Federal Housing Com-
missioner, Department of Housing and Urban Development
(Parts 200—299)
III Government National Mortgage Association, Department of
Housing and Urban Development (Parts 300—399)
IV Office of Housing and Office of Multifamily Housing Assistance
Restructuring, Department of Housing and Urban Develop-
ment (Parts 400—499)
V Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 500—599)
VI Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 600—699) [Reserved]
VII Office of the Secretary, Department of Housing and Urban Devel-
opment (Housing Assistance Programs and Public and Indian
Housing Programs) (Parts 700—799)
VIII Office of the Assistant Secretary for Housing—Federal Housing
Commissioner, Department of Housing and Urban Develop-
ment (Section 8 Housing Assistance Programs, Section 202 Di-
rect Loan Program, Section 202 Supportive Housing for the El-
derly Program and Section 811 Supportive Housing for Persons
With Disabilities Program) (Parts 800—899)
IX Office of Assistant Secretary for Public and Indian Housing, De-
partment of Housing and Urban Development (Parts 900—1699)
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 2000—2099)
XV Emergency Mortgage Insurance and Loan Programs, Depart-
ment of Housing and Urban Development (Parts 2700—2799)
[Reserved]
XX Office of Assistant Secretary for Housing—Federal Housing
Commissioner, Department of Housing and Urban Develop-
ment (Parts 3200—3899)
XXIV Board of Directors of the HOPE for Homeowners Program (Parts
4000—4099) [Reserved]
XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)

951
 Title 25—Indians
Chap.

I Bureau of Indian Affairs, Department of the Interior (Parts 1—

299)
II Indian Arts and Crafts Board, Department of the Interior (Parts
300—399)
III National Indian Gaming Commission, Department of the Inte-
rior (Parts 500—599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700—899)
V Bureau of Indian Affairs, Department of the Interior, and Indian
Health Service, Department of Health and Human Services
(Part 900—999)
VI Office of the Assistant Secretary, Indian Affairs, Department of
the Interior (Parts 1000—1199)
VII Office of the Special Trustee for American Indians, Department
of the Interior (Parts 1200—1299)

Title 26—Internal Revenue

I Internal Revenue Service, Department of the Treasury (Parts 1—

End)

Title 27—Alcohol, Tobacco Products and Firearms

I Alcohol and Tobacco Tax and Trade Bureau, Department of the

Treasury (Parts 1—399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives, Depart-
ment of Justice (Parts 400—699)

Title 28—Judicial Administration

I Department of Justice (Parts 0—299)

III Federal Prison Industries, Inc., Department of Justice (Parts
300—399)
V Bureau of Prisons, Department of Justice (Parts 500—599)
VI Offices of Independent Counsel, Department of Justice (Parts
600—699)
VII Office of Independent Counsel (Parts 700—799)
VIII Court Services and Offender Supervision Agency for the District
of Columbia (Parts 800—899)
IX National Crime Prevention and Privacy Compact Council (Parts
900—999)
XI Department of Justice and Department of State (Parts 1100—
1199)

Title 29—Labor

SUBTITLE A—OFFICE OF THE SECRETARY OF L ABOR (PARTS 0—99)

SUBTITLE B—REGULATIONS RELATING TO L ABOR
I National Labor Relations Board (Parts 100—199)

952
 Title 29—Labor—Continued
Chap.

II Office of Labor-Management Standards, Department of Labor

(Parts 200—299)
III National Railroad Adjustment Board (Parts 300—399)
IV Office of Labor-Management Standards, Department of Labor
(Parts 400—499)
V Wage and Hour Division, Department of Labor (Parts 500—899) IX
Construction Industry Collective Bargaining Commission (Parts
900—999)
X National Mediation Board (Parts 1200—1299)
XII Federal Mediation and Conciliation Service (Parts 1400—1499) XIV
Equal Employment Opportunity Commission (Parts 1600—1699)
XVII Occupational Safety and Health Administration, Department of
Labor (Parts 1900—1999)
XX Occupational Safety and Health Review Commission (Parts
2200—2499)
XXV Employee Benefits Security Administration, Department of
Labor (Parts 2500—2599)
XXVII Federal Mine Safety and Health Review Commission (Parts
2700—2799)
XL Pension Benefit Guaranty Corporation (Parts 4000—4999)

Title 30—Mineral Resources

I Mine Safety and Health Administration, Department of Labor

(Parts 1—199)
II Bureau of Safety and Environmental Enforcement, Department
of the Interior (Parts 200—299)
IV Geological Survey, Department of the Interior (Parts 400—499)
V Bureau of Ocean Energy Management, Department of the Inte-
rior (Parts 500—599)
VII Office of Surface Mining Reclamation and Enforcement, Depart-
ment of the Interior (Parts 700—999)
XII Office of Natural Resources Revenue, Department of the Interior
(Parts 1200—1299)

Title 31—Money and Finance: Treasury

SUBTITLE A—OFFICE OF THE SECRETARY OF THE T REASURY (P ARTS

0—50)
SUBTITLE B—REGULATIONS RELATING TO MONEY AND F INANCE
I Monetary Offices, Department of the Treasury (Parts 51—199)
II Fiscal Service, Department of the Treasury (Parts 200—399)
IV Secret Service, Department of the Treasury (Parts 400—499)
V Office of Foreign Assets Control, Department of the Treasury
(Parts 500—599)
VI Bureau of Engraving and Printing, Department of the Treasury
(Parts 600—699)
VII Federal Law Enforcement Training Center, Department of the
Treasury (Parts 700—799)

953
 Title 31—Money and Finance: Treasury—Continued
Chap.

VIII Office of Investment Security, Department of the Treasury

(Parts 800—899)
IX Federal Claims Collection Standards (Department of the Treas-
ury—Department of Justice) (Parts 900—999)
X Financial Crimes Enforcement Network, Department of the
Treasury (Parts 1000—1099)

Title 32—National Defense

S UBTITLE A—D EPARTMENT OF D EFENSE

I Office of the Secretary of Defense (Parts 1—399)
V Department of the Army (Parts 400—699)
VI Department of the Navy (Parts 700—799)
VII Department of the Air Force (Parts 800—1099)
S UBTITLE B—O THER R EGULATIONS R ELATING TO N ATIONAL D E-
FENSE
XII Defense Logistics Agency (Parts 1200—1299)
XVI Selective Service System (Parts 1600—1699)
XVII Office of the Director of National Intelligence (Parts 1700—1799)
XVIII National Counterintelligence Center (Parts 1800—1899)
XIX Central Intelligence Agency (Parts 1900—1999)
XX Information Security Oversight Office, National Archives and
Records Administration (Parts 2000—2099)
XXI National Security Council (Parts 2100—2199)
XXIV Office of Science and Technology Policy (Parts 2400—2499)
XXVII Office for Micronesian Status Negotiations (Parts 2700—2799)
XXVIII Office of the Vice President of the United States (Parts 2800—
2899)

Title 33—Navigation and Navigable Waters

I Coast Guard, Department of Homeland Security (Parts 1—199)

II Corps of Engineers, Department of the Army, Department of De-
fense (Parts 200—399)
IV Saint Lawrence Seaway Development Corporation, Department
of Transportation (Parts 400—499)

Title 34—Education

S UBTITLE A—OFFICE OF THE SECRETARY, D EPARTMENT OF E DU-

CATION (P ARTS 1—99)
SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENT
OF E DUCATION
I Office for Civil Rights, Department of Education (Parts 100—199)
II Office of Elementary and Secondary Education, Department of
Education (Parts 200—299)
III Office of Special Education and Rehabilitative Services, Depart-
ment of Education (Parts 300—399)

954
 Title 34—Education—Continued
Chap.

IV Office of Career, Technical and Adult Education, Department of

Education (Parts 400—499)
V Office of Bilingual Education and Minority Languages Affairs,
Department of Education (Parts 500—599) [Reserved]
VI Office of Postsecondary Education, Department of Education
(Parts 600—699)
VII Office of Educational Research and Improvement, Department of
Education (Parts 700—799) [Reserved]
SUBTITLE C—REGULATIONS RELATING TO EDUCATION
XI (Parts 1100—1199) [Reserved]
XII National Council on Disability (Parts 1200—1299)

Title 35 [Reserved]

Title 36—Parks, Forests, and Public Property

I National Park Service, Department of the Interior (Parts 1—199)

II Forest Service, Department of Agriculture (Parts 200—299)
III Corps of Engineers, Department of the Army (Parts 300—399)
IV American Battle Monuments Commission (Parts 400—499)
V Smithsonian Institution (Parts 500—599)
VI [Reserved]
VII Library of Congress (Parts 700—799)
VIII Advisory Council on Historic Preservation (Parts 800—899)
IX Pennsylvania Avenue Development Corporation (Parts 900—999)
X Presidio Trust (Parts 1000—1099)
XI Architectural and Transportation Barriers Compliance Board
(Parts 1100—1199)
XII National Archives and Records Administration (Parts 1200—1299)
XV Oklahoma City National Memorial Trust (Parts 1500—1599)
XVI Morris K. Udall Scholarship and Excellence in National Environ-
mental Policy Foundation (Parts 1600—1699)

Title 37—Patents, Trademarks, and Copyrights

I United States Patent and Trademark Office, Department of

Commerce (Parts 1—199)
II U.S. Copyright Office, Library of Congress (Parts 200—299)
III Copyright Royalty Board, Library of Congress (Parts 300—399)
IV National Institute of Standards and Technology, Department of
Commerce (Parts 400—599)

Title 38—Pensions, Bonuses, and Veterans’ Relief

I Department of Veterans Affairs (Parts 0—199)

II Armed Forces Retirement Home (Parts 200—299)

955
 Title 39—Postal Service
Chap.

I United States Postal Service (Parts 1—999)

III Postal Regulatory Commission (Parts 3000—3099)

Title 40—Protection of Environment

I Environmental Protection Agency (Parts 1—1099)

IV Environmental Protection Agency and Department of Justice
(Parts 1400—1499)
V Council on Environmental Quality (Parts 1500—1599)
VI Chemical Safety and Hazard Investigation Board (Parts 1600—
1699)
VII Environmental Protection Agency and Department of Defense;
Uniform National Discharge Standards for Vessels of the
Armed Forces (Parts 1700—1799)
VIII Gulf Coast Ecosystem Restoration Council (Parts 1800—1899)

Title 41—Public Contracts and Property Management

S UBTITLE A—F EDERAL P ROCUREMENT R EGULATIONS S YSTEM

[NOTE]
S UBTITLE B—O THER P ROVISIONS R ELATING TO P UBLIC C ONTRACTS
50 Public Contracts, Department of Labor (Parts 50–1—50–999)
51 Committee for Purchase From People Who Are Blind or Severely
Disabled (Parts 51–1—51–99)
60 Office of Federal Contract Compliance Programs, Equal Employ-
ment Opportunity, Department of Labor (Parts 60–1—60–999)
61 Office of the Assistant Secretary for Veterans’ Employment and
Training Service, Department of Labor (Parts 61–1—61–999)
62—100 [Reserved]
S UBTITLE C—FEDERAL P ROPERTY M ANAGEMENT R EGULATIONS
S YSTEM
101 Federal Property Management Regulations (Parts 101–1—101–99)
102 Federal Management Regulation (Parts 102–1—102–299)
103—104 [Reserved]
105 General Services Administration (Parts 105–1—105–999)
109 Department of Energy Property Management Regulations (Parts
109–1—109–99)
114 Department of the Interior (Parts 114–1—114–99)
115 Environmental Protection Agency (Parts 115–1—115–99)
128 Department of Justice (Parts 128–1—128–99)
129—200 [Reserved]
S UBTITLE D—OTHER P ROVISIONS RELATING TO PROPERTY M ANAGE-
MENT [RESERVED]
S UBTITLE E—F EDERAL I NFORMATION R ESOURCES M ANAGEMENT
R EGULATIONS S YSTEM [R ESERVED]
S UBTITLE F—F EDERAL TRAVEL R EGULATION S YSTEM
300 General (Parts 300–1—300–99)
301 Temporary Duty (TDY) Travel Allowances (Parts 301–1—301–99)

956
Title 41—Public Contracts and Property Management—Continued
Chap.

302 Relocation Allowances (Parts 302–1—302–99)

303 Payment of Expenses Connected with the Death of Certain Em-
ployees (Part 303–1—303–99)
304 Payment of Travel Expenses from a Non-Federal Source (Parts
304–1—304–99)

Title 42—Public Health

I Public Health Service, Department of Health and Human Serv-

ices (Parts 1—199)
II—III [Reserved]
IV Centers for Medicare & Medicaid Services, Department of Health
and Human Services (Parts 400—699)
V Office of Inspector General-Health Care, Department of Health
and Human Services (Parts 1000—1099)

Title 43—Public Lands: Interior

SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (P ARTS

1—199)
S UBTITLE B—REGULATIONS R ELATING TO P UBLIC LANDS
I Bureau of Reclamation, Department of the Interior (Parts 400—
999)
II Bureau of Land Management, Department of the Interior (Parts
1000—9999)
III Utah Reclamation Mitigation and Conservation Commission
(Parts 10000—10099)

Title 44—Emergency Management and Assistance

I Federal Emergency Management Agency, Department of Home-

land Security (Parts 0—399)
IV Department of Commerce and Department of Transportation
(Parts 400—499)

Title 45—Public Welfare

S UBTITLE A—D EPARTMENT OF H EALTH AND H UMAN S ERVICES

(P ARTS 1—199)
S UBTITLE B—R EGULATIONS R ELATING TO P UBLIC W ELFARE
II Office of Family Assistance (Assistance Programs), Administra-
tion for Children and Families, Department of Health and
Human Services (Parts 200—299)
III Office of Child Support Enforcement (Child Support Enforce-
ment Program), Administration for Children and Families,
Department of Health and Human Services (Parts 300—399)
IV Office of Refugee Resettlement, Administration for Children and
Families, Department of Health and Human Services (Parts
400—499)

957
 Title 45—Public Welfare—Continued
Chap.

V Foreign Claims Settlement Commission of the United States,

Department of Justice (Parts 500—599)
VI National Science Foundation (Parts 600—699)
VII Commission on Civil Rights (Parts 700—799)
VIII Office of Personnel Management (Parts 800—899)
IX Denali Commission (Parts 900—999)
X Office of Community Services, Administration for Children and
Families, Department of Health and Human Services (Parts
1000—1099)
XI National Foundation on the Arts and the Humanities (Parts
1100—1199)
XII Corporation for National and Community Service (Parts 1200—
1299)
XIII Administration for Children and Families, Department of Health
and Human Services (Parts 1300—1399)
XVI Legal Services Corporation (Parts 1600—1699)
XVII National Commission on Libraries and Information Science
(Parts 1700—1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800—1899)
XXI Commission of Fine Arts (Parts 2100—2199)
XXIII Arctic Research Commission (Parts 2300—2399)
XXIV James Madison Memorial Fellowship Foundation (Parts 2400—
2499)
XXV Corporation for National and Community Service (Parts 2500—
2599)

Title 46—Shipping

I Coast Guard, Department of Homeland Security (Parts 1—199)

II Maritime Administration, Department of Transportation (Parts
200—399)
III Coast Guard (Great Lakes Pilotage), Department of Homeland
Security (Parts 400—499)
IV Federal Maritime Commission (Parts 500—599)

Title 47—Telecommunication

I Federal Communications Commission (Parts 0—199)

II Office of Science and Technology Policy and National Security
Council (Parts 200—299)
III National Telecommunications and Information Administration,
Department of Commerce (Parts 300—399)
IV National Telecommunications and Information Administration,
Department of Commerce, and National Highway Traffic Safe-
ty Administration, Department of Transportation (Parts 400—
499)
V The First Responder Network Authority (Parts 500—599)

958
 Title 48—Federal Acquisition Regulations System
Chap.

1 Federal Acquisition Regulation (Parts 1—99)

2 Defense Acquisition Regulations System, Department of Defense
(Parts 200—299)
3 Department of Health and Human Services (Parts 300—399)
4 Department of Agriculture (Parts 400—499)
5 General Services Administration (Parts 500—599)
6 Department of State (Parts 600—699)
7 Agency for International Development (Parts 700—799)
8 Department of Veterans Affairs (Parts 800—899)
9 Department of Energy (Parts 900—999)
10 Department of the Treasury (Parts 1000—1099)
12 Department of Transportation (Parts 1200—1299)
13 Department of Commerce (Parts 1300—1399)
14 Department of the Interior (Parts 1400—1499)
15 Environmental Protection Agency (Parts 1500—1599)
16 Office of Personnel Management, Federal Employees Health
Benefits Acquisition Regulation (Parts 1600—1699)
17 Office of Personnel Management (Parts 1700—1799)
18 National Aeronautics and Space Administration (Parts 1800—
1899)
19 Broadcasting Board of Governors (Parts 1900—1999)
20 Nuclear Regulatory Commission (Parts 2000—2099)
21 Office of Personnel Management, Federal Employees Group Life
Insurance Federal Acquisition Regulation (Parts 2100—2199)
23 Social Security Administration (Parts 2300—2399)
24 Department of Housing and Urban Development (Parts 2400—
2499)
25 National Science Foundation (Parts 2500—2599)
28 Department of Justice (Parts 2800—2899)
29 Department of Labor (Parts 2900—2999)
30 Department of Homeland Security, Homeland Security Acquisi-
tion Regulation (HSAR) (Parts 3000—3099)
34 Department of Education Acquisition Regulation (Parts 3400—
3499)
51 Department of the Army Acquisition Regulations (Parts 5100—
5199)
52 Department of the Navy Acquisition Regulations (Parts 5200—
5299)
53 Department of the Air Force Federal Acquisition Regulation
Supplement (Parts 5300—5399) [Reserved]
54 Defense Logistics Agency, Department of Defense (Parts 5400—
5499)
57 African Development Foundation (Parts 5700—5799)
61 Civilian Board of Contract Appeals, General Services Adminis-
tration (Parts 6100—6199)
99 Cost Accounting Standards Board, Office of Federal Procure-
ment Policy, Office of Management and Budget (Parts 9900—
9999)

959
 Title 49—Transportation
Chap.

S UBTITLE A—O FFICE OF THE SECRETARY OF TRANSPORTATION

(P ARTS 1—99)
S UBTITLE B—O THER R EGULATIONS R ELATING TO TRANSPORTATION
I Pipeline and Hazardous Materials Safety Administration, De-
partment of Transportation (Parts 100—199)
II Federal Railroad Administration, Department of Transportation
(Parts 200—299)
III Federal Motor Carrier Safety Administration, Department of
Transportation (Parts 300—399)
IV Coast Guard, Department of Homeland Security (Parts 400—499)
V National Highway Traffic Safety Administration, Department of
Transportation (Parts 500—599)
VI Federal Transit Administration, Department of Transportation
(Parts 600—699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts
700—799)
VIII National Transportation Safety Board (Parts 800—999)
X Surface Transportation Board (Parts 1000—1399)
XI Research and Innovative Technology Administration, Depart-
ment of Transportation (Parts 1400—1499) [Reserved]
XII Transportation Security Administration, Department of Home-
land Security (Parts 1500—1699)

Title 50—Wildlife and Fisheries

I United States Fish and Wildlife Service, Department of the Inte-

rior (Parts 1—199)
II National Marine Fisheries Service, National Oceanic and Atmos-
pheric Administration, Department of Commerce (Parts 200—
299)
III International Fishing and Related Activities (Parts 300—399)
IV Joint Regulations (United States Fish and Wildlife Service, De-
partment of the Interior and National Marine Fisheries Serv-
ice, National Oceanic and Atmospheric Administration, De-
partment of Commerce); Endangered Species Committee Reg-
ulations (Parts 400—499)
V Marine Mammal Commission (Parts 500—599)
VI Fishery Conservation and Management, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts
600—699)

960
 Alphabetical List of Agencies Appearing in the CFR
(Revised as of January 1, 2019)

CFR Title, Subtitle or

Agency Chapter
Administrative Conference of the United States 1, III
Advisory Council on Historic Preservation 36, VIII
Advocacy and Outreach, Office of 7, XXV
Afghanistan Reconstruction, Special Inspector General for 5, LXXXIII
African Development Foundation 22, XV
Federal Acquisition Regulation 48, 57
Agency for International Development 2, VII; 22, II
Federal Acquisition Regulation 48, 7
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agriculture, Department of 2, IV; 5, LXXIII
Advocacy and Outreach, Office of 7, XXV
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Animal and Plant Health Inspection Service 7, III; 9, I
Chief Financial Officer, Office of 7, XXX
Commodity Credit Corporation 7, XIV
Economic Research Service 7, XXXVII
Energy Policy and New Uses, Office of 2, IX; 7, XXIX
Environmental Quality, Office of 7, XXXI
Farm Service Agency 7, VII, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Forest Service 36, II
Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Institute of Food and Agriculture 7, XXXIV
Natural Resources Conservation Service 7, VI
Operations, Office of 7, XXVIII
Procurement and Property Management, Office of 7, XXXII
Rural Business-Cooperative Service 7, XVIII, XLII
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV
Rural Telephone Bank 7, XVI
Rural Utilities Service 7, XVII, XVIII, XLII
Secretary of Agriculture, Office of 7, Subtitle A
Transportation, Office of 7, XXXIII
World Agricultural Outlook Board 7, XXXVIII
Air Force, Department of 32, VII
Federal Acquisition Regulation Supplement 48, 53
Air Transportation Stabilization Board 14, VI
Alcohol and Tobacco Tax and Trade Bureau 27, I
Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II
AMTRAK 49, VII
American Battle Monuments Commission 36, IV
American Indians, Office of the Special Trustee 25, VII
Animal and Plant Health Inspection Service 7, III; 9, I

961
 CFR Title, Subtitle or
Agency Chapter
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers Compliance Board 36, XI
Arctic Research Commission 45, XXIII
Armed Forces Retirement Home 5, XI
Army, Department of 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51
Bilingual Education and Minority Languages Affairs, Office of 34, V
Blind or Severely Disabled, Committee for Purchase from 41, 51
People Who Are
Broadcasting Board of Governors 22, V
Federal Acquisition Regulation 48, 19
Career, Technical, and Adult Education, Office of 34, IV
Census Bureau 15, I
Centers for Medicare & Medicaid Services 42, IV
Central Intelligence Agency 32, XIX
Chemical Safety and Hazardous Investigation Board 40, VI
Chief Financial Officer, Office of 7, XXX
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X, XIII
Civil Rights, Commission on 5, LXVIII; 45, VII
Civil Rights, Office for 34, I
Council of the Inspectors General on Integrity and Efficiency 5, XCVIII
Court Services and Offender Supervision Agency for the 5, LXX
District of Columbia
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Commerce, Department of 2, XIII; 44, IV; 50, VI
Census Bureau 15, I
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 13
Foreign-Trade Zones Board 15, IV
Industry and Security, Bureau of 15, VII
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II; 37, IV
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VI
National Technical Information Service 15, XI
National Telecommunications and Information 15, XXIII; 47, III, IV
Administration
National Weather Service 15, IX
Patent and Trademark Office, United States 37, I
Secretary of Commerce, Office of 15, Subtitle A
Commercial Space Transportation 14, III
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 5, XLI; 17, I
Community Planning and Development, Office of Assistant 24, V, VI
Secretary for
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining Commission 29, IX
Consumer Financial Protection Bureau 5, LXXXIV; 12, X
Consumer Product Safety Commission 5, LXXI; 16, II
Copyright Royalty Board 37, III
Corporation for National and Community Service 2, XXII; 45, XII, XXV
Cost Accounting Standards Board 48, 99
Council on Environmental Quality 40, V
Court Services and Offender Supervision Agency for the 5, LXX; 28, VIII
District of Columbia
Customs and Border Protection 19, I
Defense Contract Audit Agency 32, I
Defense, Department of 2, XI; 5, XXVI; 32,
Subtitle A; 40, VII
Advanced Research Projects Agency 32, I
Air Force Department 32, VII

962
 CFR Title, Subtitle or
Agency Chapter
Army Department 32, V; 33, II; 36, III; 48,
51
Defense Acquisition Regulations System 48, 2
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, I, XII; 48, 54
Engineers, Corps of 33, II; 36, III
National Imagery and Mapping Agency 32, I
Navy Department 32, VI; 48, 52
Secretary of Defense, Office of 2, XI; 32, I
Defense Contract Audit Agency 32, I
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, XII; 48, 54
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Denali Commission 45, IX
Disability, National Council on 5, C; 34, XII
District of Columbia, Court Services and Offender Supervision 5, LXX; 28, VIII
Agency for the
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Economic Research Service 7, XXXVII
Education, Department of 2, XXXIV; 5, LIII
Bilingual Education and Minority Languages Affairs, Office 34, V
of
Career, Technical, and Adult Education, Office of 34, IV
Civil Rights, Office for 34, I
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Federal Acquisition Regulation 48, 34
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, Office of 34, III
Educational Research and Improvement, Office of 34, VII
Election Assistance Commission 2, LVIII; 11, II
Elementary and Secondary Education, Office of 34, II
Emergency Oil and Gas Guaranteed Loan Board 13, V
Emergency Steel Guarantee Loan Board 13, IV
Employee Benefits Security Administration 29, XXV
Employees’ Compensation Appeals Board 20, IV
Employees Loyalty Board 5, V
Employment and Training Administration 20, V
Employment Policy, National Commission for 1, IV
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 2, IX; 5, XXIII; 10, II,
III, X
Federal Acquisition Regulation 48, 9
Federal Energy Regulatory Commission 5, XXIV; 18, I
Property Management Regulations 41, 109
Energy, Office of 7, XXIX
Engineers, Corps of 33, II; 36, III
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 2, XV; 5, LIV; 40, I, IV,
VII
Federal Acquisition Regulation 48, 15
Property Management Regulations 41, 115
Environmental Quality, Office of 7, XXXI
Equal Employment Opportunity Commission 5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary for 24, I
Executive Office of the President 3, I
Environmental Quality, Council on 40, V
Management and Budget, Office of 2, Subtitle A; 5, III,
LXXVII; 14, VI; 48, 99
National Drug Control Policy, Office of 2, XXXVI; 21, III
National Security Council 32, XXI; 47, 2

963
 CFR Title, Subtitle or
Agency Chapter
Presidential Documents 3
Science and Technology Policy, Office of 32, XXIV; 47, II
Trade Representative, Office of the United States 15, XX
Export-Import Bank of the United States 2, XXXV; 5, LII; 12, IV
Family Assistance, Office of 45, II
Farm Credit Administration 5, XXXI; 12, VI
Farm Credit System Insurance Corporation 5, XXX; 12, XIV
Farm Service Agency 7, VII, XVIII
Federal Acquisition Regulation 48, 1
Federal Aviation Administration 14, I
Commercial Space Transportation 14, III
Federal Claims Collection Standards 31, IX
Federal Communications Commission 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 5, XXII; 12, III
Federal Election Commission 5, XXXVII; 11, I
Federal Emergency Management Agency 44, I
Federal Employees Group Life Insurance Federal Acquisition 48, 21
Regulation
Federal Employees Health Benefits Acquisition Regulation 48, 16
Federal Energy Regulatory Commission 5, XXIV; 18, I
Federal Financial Institutions Examination Council 12, XI
Federal Financing Bank 12, VIII
Federal Highway Administration 23, I, II
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Enterprise Oversight Office 12, XVII
Federal Housing Finance Agency 5, LXXX; 12, XII
Federal Housing Finance Board 12, IX
Federal Labor Relations Authority 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Management Regulation 41, 102
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration 49, III
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Board of Governors 5, LVIII
Federal Retirement Thrift Investment Board 5, VI, LXXVI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 5, XLVII; 16, I
Federal Transit Administration 49, VI
Federal Travel Regulation System 41, Subtitle F
Financial Crimes Enforcement Network 31, X
Financial Research Office 12, XVI
Financial Stability Oversight Council 12, XIII
Fine Arts, Commission of 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Food and Drug Administration 21, I
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of the United States 45, V
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV
Forest Service 36, II
General Services Administration 5, LVII; 41, 105

964
 CFR Title, Subtitle or
Agency Chapter
Contract Appeals, Board of 48, 61
Federal Acquisition Regulation 48, 5
Federal Management Regulation 41, 102
Federal Property Management Regulations 41, 101
Federal Travel Regulation System 41, Subtitle F
General 41, 300
Payment From a Non-Federal Source for Travel Expenses 41, 304
Payment of Expenses Connected With the Death of Certain 41, 303
Employees
Relocation Allowances 41, 302
Temporary Duty (TDY) Travel Allowances 41, 301
Geological Survey 30, IV
Government Accountability Office 4, I
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II
Gulf Coast Ecosystem Restoration Council 2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 2, III; 5, XLV; 45,
Subtitle A
Centers for Medicare & Medicaid Services 42, IV
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X, XIII
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Indian Health Service 25, V
Inspector General (Health Care), Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Homeland Security, Department of 2, XXX; 5, XXXVI; 6, I;
8, I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Customs and Border Protection 19, I
Federal Emergency Management Agency 44, I
Human Resources Management and Labor Relations 5, XCVII
Systems
Immigration and Customs Enforcement Bureau 19, IV
Transportation Security Administration 49, XII
HOPE for Homeowners Program, Board of Directors of 24, XXIV
Housing and Urban Development, Department of 2, XXIV; 5, LXV; 24,
Subtitle B
Community Planning and Development, Office of Assistant 24, V, VI
Secretary for
Equal Opportunity, Office of Assistant Secretary for 24, I
Federal Acquisition Regulation 48, 24
Federal Housing Enterprise Oversight, Office of 12, XVII
Government National Mortgage Association 24, III
Housing—Federal Housing Commissioner, Office of 24, II, VIII, X, XX
Assistant Secretary for
Housing, Office of, and Multifamily Housing Assistance 24, IV
Restructuring, Office of
Inspector General, Office of 24, XII
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Secretary, Office of 24, Subtitle A, VII
Housing—Federal Housing Commissioner, Office of Assistant 24, II, VIII, X, XX
Secretary for
Housing, Office of, and Multifamily Housing Assistance 24, IV
Restructuring, Office of
Immigration and Customs Enforcement Bureau 19, IV
Immigration Review, Executive Office for 8, V
Independent Counsel, Office of 28, VII
Independent Counsel, Offices of 28, VI
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant Secretary 25, VI

965
 CFR Title, Subtitle or
Agency Chapter
Indian Arts and Crafts Board 25, II
Indian Health Service 25, V
Industry and Security, Bureau of 15, VII
Information Resources Management, Office of 7, XXVII
Information Security Oversight Office, National Archives and 32, XX
Records Administration
Inspector General
Agriculture Department 7, XXVI
Health and Human Services Department 42, V
Housing and Urban Development Department 24, XII, XV
Institute of Peace, United States 22, XVII
Inter-American Foundation 5, LXIII; 22, X
Interior, Department of 2, XIV
American Indians, Office of the Special Trustee 25, VII
Endangered Species Committee 50, IV
Federal Acquisition Regulation 48, 14
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant Secretary 25, VI
Indian Arts and Crafts Board 25, II
Land Management, Bureau of 43, II
National Indian Gaming Commission 25, III
National Park Service 36, I
Natural Resource Revenue, Office of 30, XII
Ocean Energy Management, Bureau of 30, V
Reclamation, Bureau of 43, I
Safety and Enforcement Bureau, Bureau of 30, II
Secretary of the Interior, Office of 2, XIV; 43, Subtitle A
Surface Mining Reclamation and Enforcement, Office of 30, VII
Internal Revenue Service 26, I
International Boundary and Water Commission, United States 22, XI
and Mexico, United States Section
International Development, United States Agency for 22, II
Federal Acquisition Regulation 48, 7
International Development Cooperation Agency, United 22, XII
States
International Joint Commission, United States and Canada 22, IV
International Organizations Employees Loyalty Board 5, V
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 5, XL
Investment Security, Office of 31, VIII
James Madison Memorial Fellowship Foundation 45, XXIV
Japan–United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice, Department of 2, XXVIII; 5, XXVIII;
28, I, XI; 40, IV
Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 31, IX
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the United 45, V
States
Immigration Review, Executive Office for 8, V
Independent Counsel, Offices of 28, VI
Prisons, Bureau of 28, V
Property Management Regulations 41, 128
Labor, Department of 2, XXIX; 5, XLII
Employee Benefits Security Administration 29, XXV
Employees’ Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office of 41, 60

966
 CFR Title, Subtitle or
Agency Chapter
Federal Procurement Regulations System 41, 50
Labor-Management Standards, Office of 29, II, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans’ Employment and Training Service, Office of the 41, 61; 20, IX
Assistant Secretary for
Wage and Hour Division 29, V
Workers’ Compensation Programs, Office of 20, I, VII
Labor-Management Standards, Office of 29, II, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Libraries and Information Science, National Commission on 45, XVII
Library of Congress 36, VII
Copyright Royalty Board 37, III
U.S. Copyright Office 37, II
Local Television Loan Guarantee Board 7, XX
Management and Budget, Office of 5, III, LXXVII; 14, VI;
48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II, LXIV
Micronesian Status Negotiations, Office for 32, XXVII
Military Compensation and Retirement Modernization 5, XCIX
Commission
Millennium Challenge Corporation 22, XIII
Mine Safety and Health Administration 30, I
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Morris K. Udall Scholarship and Excellence in National 36, XVI
Environmental Policy Foundation
Museum and Library Services, Institute of 2, XXXI
National Aeronautics and Space Administration 2, XVIII; 5, LIX; 14, V
Federal Acquisition Regulation 48, 18
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National and Community Service, Corporation for 2, XXII; 45, XII, XXV
National Archives and Records Administration 2, XXVI; 5, LXVI; 36,
XII
Information Security Oversight Office 32, XX
National Capital Planning Commission 1, IV, VI
National Counterintelligence Center 32, XVIII
National Credit Union Administration 5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact Council 28, IX
National Drug Control Policy, Office of 2, XXXVI; 21, III
National Endowment for the Arts 2, XXXII
National Endowment for the Humanities 2, XXXIII
National Foundation on the Arts and the Humanities 45, XI
National Geospatial-Intelligence Agency 32, I
National Highway Traffic Safety Administration 23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency 32, I
National Indian Gaming Commission 25, III
National Institute of Food and Agriculture 7, XXXIV
National Institute of Standards and Technology 15, II; 37, IV
National Intelligence, Office of Director of 5, IV; 32, XVII
National Labor Relations Board 5, LXI; 29, I
National Marine Fisheries Service 50, II, IV
National Mediation Board 5, CI; 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VI
National Park Service 36, I
National Railroad Adjustment Board 29, III
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 2, XXV; 5, XLIII; 45, VI
Federal Acquisition Regulation 48, 25
National Security Council 32, XXI

967
 CFR Title, Subtitle or
Agency Chapter
National Security Council and Office of Science and 47, II
Technology Policy
National Technical Information Service 15, XI
National Telecommunications and Information 15, XXIII; 47, III, IV, V
Administration
National Transportation Safety Board 49, VIII
Natural Resources Conservation Service 7, VI
Natural Resource Revenue, Office of 30, XII
Navajo and Hopi Indian Relocation, Office of 25, IV
Navy, Department of 32, VI
Federal Acquisition Regulation 48, 52
Neighborhood Reinvestment Corporation 24, XXV
Northeast Interstate Low-Level Radioactive Waste 10, XVIII
Commission
Nuclear Regulatory Commission 2, XX; 5, XLVIII; 10, I
Federal Acquisition Regulation 48, 20
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Ocean Energy Management, Bureau of 30, V
Oklahoma City National Memorial Trust 36, XV
Operations Office 7, XXVIII
Overseas Private Investment Corporation 5, XXXIII; 22, VII
Patent and Trademark Office, United States 37, I
Payment From a Non-Federal Source for Travel Expenses 41, 304
Payment of Expenses Connected With the Death of Certain 41, 303
Employees
Peace Corps 2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension Benefit Guaranty Corporation 29, XL
Personnel Management, Office of 5, I, XXXV; 5, IV; 45,
VIII
Human Resources Management and Labor Relations 5, XCVII
Systems, Department of Homeland Security
Federal Acquisition Regulation 48, 17
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition Regulation 48, 16
Pipeline and Hazardous Materials Safety Administration 49, I
Postal Regulatory Commission 5, XLVI; 39, III
Postal Service, United States 5, LX; 39, I
Postsecondary Education, Office of 34, VI
President’s Commission on White House Fellowships 1, IV
Presidential Documents 3
Presidio Trust 36, X
Prisons, Bureau of 28, V
Privacy and Civil Liberties Oversight Board 6, X
Procurement and Property Management, Office of 7, XXXII
Public Contracts, Department of Labor 41, 50
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation, Bureau of 43, I
Refugee Resettlement, Office of 45, IV
Relocation Allowances 41, 302
Research and Innovative Technology Administration 49, XI
Rural Business-Cooperative Service 7, XVIII, XLII
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV
Rural Telephone Bank 7, XVI
Rural Utilities Service 7, XVII, XVIII, XLII
Safety and Environmental Enforcement, Bureau of 30, II
Saint Lawrence Seaway Development Corporation 33, IV
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and National 47, II
Security Council
Secret Service 31, IV
Securities and Exchange Commission 5, XXXIV; 17, II

968
 CFR Title, Subtitle or
Agency Chapter
Selective Service System 32, XVI
Small Business Administration 2, XXVII; 13, I
Smithsonian Institution 36, V
Social Security Administration 2, XXIII; 20, III; 48, 23
Soldiers’ and Airmen’s Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, Office of 34, III
State, Department of 2, VI; 22, I; 28, XI
Federal Acquisition Regulation 48, 6
Surface Mining Reclamation and Enforcement, Office of 30, VII
Surface Transportation Board 49, X
Susquehanna River Basin Commission 18, VIII
Tennessee Valley Authority 5, LXIX; 18, XIII
Trade Representative, United States, Office of 15, XX
Transportation, Department of 2, XII; 5, L
Commercial Space Transportation 14, III
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II
Federal Motor Carrier Safety Administration 49, III
Federal Railroad Administration 49, II
Federal Transit Administration 49, VI
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 47, IV; 49, V
Pipeline and Hazardous Materials Safety Administration 49, I
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Transportation Statistics Bureau 49, XI
Transportation, Office of 7, XXXIII
Transportation Security Administration 49, XII
Transportation Statistics Bureau 49, XI
Travel Allowances, Temporary Duty (TDY) 41, 301
Treasury, Department of the 2, X;5, XXI; 12, XV; 17,
IV; 31, IX
Alcohol and Tobacco Tax and Trade Bureau 27, I
Community Development Financial Institutions Fund 12, XVIII
Comptroller of the Currency 12, I
Customs and Border Protection 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Claims Collection Standards 31, IX
Federal Law Enforcement Training Center 31, VII
Financial Crimes Enforcement Network 31, X
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Investment Security, Office of 31, VIII
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Truman, Harry S. Scholarship Foundation 45, XVIII
United States and Canada, International Joint Commission 22, IV
United States and Mexico, International Boundary and Water 22, XI
Commission, United States Section
U.S. Copyright Office 37, II
Utah Reclamation Mitigation and Conservation Commission 43, III
Veterans Affairs, Department of 2, VIII; 38, I
Federal Acquisition Regulation 48, 8
Veterans’ Employment and Training Service, Office of the 41, 61; 20, IX
Assistant Secretary for
Vice President of the United States, Office of 32, XXVIII
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers’ Compensation Programs, Office of 20, I, VII
World Agricultural Outlook Board 7, XXXVIII

969
 List of CFR Sections Affected
All changes in this volume of the Code of Federal Regulations (CFR)
that were made by documents published in the FEDERAL REGISTER since
January 1, 2014 are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to FEDERAL REGISTER
pages. The user should consult the entries for chapters, parts and sub-
parts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult
the annual edition of the monthly List of CFR Sections Affected (LSA).
The LSA is available at www.fdsys.gov. For changes to this volume of
the CFR prior to 2001, see the ‘‘List of CFR Sections Affected, 1949–1963,
1964–1972, 1973–1985, and 1986–2000’’ published in 11 separate volumes. The
‘‘List of CFR Sections Affected 1986–2000’’ is available at www.fdsys.gov.

2014 2016
14 CFR 79 FR 14 CFR 81 FR
Page Page

Chapter II Chapter II
234.13 Removed............................. 37945 234 Authority citation revised ...... 76306
235 Added ..................................... 37945 234.2 Amended ..................... 76306, 76826
398 Policy statement .................... 60951 234.3 Revised ................................ 76826
234.4 (a) introductory text re- vised;
Chapter III (k) added ......................... 76826
406.9 (a) revised............................. 61992 234.6 Revised ................................ 76306
(b) revised ....................................76827
2015 244.2 (a) amended .......................... 76827
244.3 (a) introductory text re-
14 CFR 80 FR
vised......................................... 76827
Page
250.2b (c) revised ........................... 76827
Chapter II 250.5 (c)(3) amended ...................... 76827
250.5 Amended; (e)(3) added ........... 30147 250.10 Revised ............................... 76827
250.9 Amended .............................. 30147 252 Authority citation revised ...... 11427
251 Added ................................................. 166 252.1 Revised ................................ 11427
254.4 Amended .............................. 30147 252.2 Revised ................................ 11427
254.5 (b) amended .......................... 30147 252.3 Revised ................................ 11427
375.11 Revised; interim ................. 78648 252.4 Added ................................... 11427
375.38 Added; interim.................... 78648 252.5 Revised ................................ 11427
383.2 (b)(3) amended ...................... 30147 252.7 Removed .............................. 11428
252.8 Revised ................................ 11428
Chapter III
252.13 Removed............................. 11428
400.2 Revised ................................ 31834 252.15 Removed............................. 11428
401.5 Amended ..................... 30151, 31834 252.17 Revised ............................... 11428
Regulation at 80 FR 30151 eff. 252.19 Removed............................. 11428
date confirmed..........................45051 255 Removed................................. 76828
413.7 (a) revised............................. 30151 256 Added ..................................... 76828
Regulation at 80 FR 30151 eff. 257.3 Amended .............................. 76828
date confirmed..........................45051 257.5 Revised ................................ 76828
414.11 (a) revised ........................... 30151 259.8 (a) introductory text
Regulation at 80 FR 30151 eff. amended; (a)(1) revised ............. 76829
date confirmed..........................45051 382 Technical correction...... 38573, 43463

971
 14 CFR (1–1–19 Edition)
14 CFR—Continued 81 FR 14 CFR—Continued 82 FR
Page Page
Chapter II—Continued Chapter III
382.27 (a) revised ........................... 33120 406.9 (a) revised............................. 17101
382.133 Revised ............................. 33120
383 Authority citation revised ...... 52765
383.1 Revised; interim................... 52765 2018
383.2 Revised; interim................... 52766 14 CFR 83 FR
399.80 (h) removed......................... 76829 Page
Chapter III Chapter II
406.9 (a) revised; interim ............... 43469 Chapter II Policy statement ......... 53991
415.35 (a) amended ........................ 59439 205 Notification............................ 18734
415.37 (a)(1) amended..................... 59439 295 Added; eff. 2-14-19..................... 46874
415.41 Amended............................. 59439 298 Authority citation revised;
415.55 Amended............................. 59439
eff. 2-14-19 ................................. 46877
417.15 (b) amended ........................ 59439
298 Notification............................ 18734
417.107 (b)(1) through (4) re-
vised......................................... 47026 298.80 Revised; eff. 2-14-19 .............. 46877
(e)(2) amended..............................59439 298.90—298.92 (Subpart I) Added;
417.121 (c) amended ....................... 59439 eff. 2-14-19 ................................. 46877
417.231 (a) amended ....................... 59439 382 Policy statement .................... 23804
417.301 Duplicate (d)(1) re- 383 Revised ................................... 60743
moved ...................................... 59439 Chapter III
417.303 (j) amended........................ 59439 404 Heading revised ...................... 28534
417.305 Duplicate (c)(1) re- 404.1—404.9 (Subpart A) Heading
moved ...................................... 59439 removed ................................... 28534
417 Appendices A, E and I 404.1 Revised ................................ 28534
amended................................... 59439
404.3 Heading, (a)(3), (b), (c), and
420.19 (a)(1) revised ....................... 47026
(d) revised; (e), (f), and (g)
420.23 (a)(2), (b)(3) and (c)(1)(ii) re-
vised......................................... 47026 added........................................ 28534
420.25 (b) revised ........................... 47027 404.5 Revised ................................ 28534
420 Appendices C and D amend- 404.7 Added ................................... 28534
ed ............................................. 47027 404.9 Added ................................... 28534
431.35 (b)(1) revised..................... 47027 404.11—404.19 (Subpart B) Head-
431.43 (d)(2) revised ....................... 47027 ing removed.............................. 28534
431.79 (a)(3) amended..................... 59440 404.11 Revised ............................... 28534
435.35 Revised ............................... 47027 404.13 Revised ............................... 28534
440.3 Amended .............................. 55122 404.15 Removed............................. 28535
440.17 (b) through (f) revised .......... 55122 405 Heading revised ...................... 28535
440 Appendix B revised.................. 55124 406.9 (a) revised............................. 60743
Appendix C revised.......................55130 420.1 Revised ................................ 28535
420.23 (a)(3), (b)(4), and (c)(2) re-
2017 vised; (c)(3) removed ................. 28535
14 CFR 82 FR 420.25 (a) revised ........................... 28535
Page 431.1 Revised ................................ 28535
Chapter II 435.1 Revised ................................ 28535
234.6 (a) and (b) introductory text 437.1 Revised ................................ 28535
amended................................... 14438 437.65 (b) revised ........................... 28535
Revised........................................14605 460.5 (d) revised............................. 28535

972