section_id,title_number,title_name,chapter,subchapter,part_number,part_name,subpart,subpart_name,section_number,section_heading,agency,authority,source_citation,amendment_citations,full_text
14:14:1.0.1.1.1.0.1.1,14,Aeronautics and Space,I,A,1,PART 1—DEFINITIONS AND ABBREVIATIONS,,,,§ 1.1 General definitions.,FAA,,,"[Doc. No. 1150, 27 FR 4588, May 15, 1962]","As used in this chapter, unless the context requires otherwise:

Administrator  means the Federal Aviation Administrator or any person to whom he has delegated his authority in the matter concerned.

Aerodynamic coefficients  means non-dimensional coefficients for aerodynamic forces and moments.

Air carrier  means a person who undertakes directly by lease, or other arrangement, to engage in air transportation.

Air commerce  means interstate, overseas, or foreign air commerce or the transportation of mail by aircraft or any operation or navigation of aircraft within the limits of any Federal airway or any operation or navigation of aircraft which directly affects, or which may endanger safety in, interstate, overseas, or foreign air commerce.

Aircraft  means a device that is used or intended to be used for flight in the air.

Aircraft engine  means an engine that is used or intended to be used for propelling aircraft. It includes turbosuperchargers, appurtenances, and accessories necessary for its functioning, but does not include propellers.

Airframe  means the fuselage, booms, nacelles, cowlings, fairings, airfoil surfaces (including rotors but excluding propellers and rotating airfoils of engines), and landing gear of an aircraft and their accessories and controls.

Airplane  means an engine-driven fixed-wing aircraft heavier than air, that is supported in flight by the dynamic reaction of the air against its wings.

Airport  means an area of land or water that is used or intended to be used for the landing and takeoff of aircraft, and includes its buildings and facilities, if any.

Airship  means an engine-driven lighter-than-air aircraft that can be steered.

Air traffic  means aircraft operating in the air or on an airport surface, exclusive of loading ramps and parking areas.

Air traffic clearance  means an authorization by air traffic control, for the purpose of preventing collision between known aircraft, for an aircraft to proceed under specified traffic conditions within controlled airspace.

Air traffic control  means a service operated by appropriate authority to promote the safe, orderly, and expeditious flow of air traffic.

Air Traffic Service (ATS) route  is a specified route designated for channeling the flow of traffic as necessary for the provision of air traffic services. The term “ATS route” refers to a variety of airways, including jet routes, area navigation (RNAV) routes, and arrival and departure routes. An ATS route is defined by route specifications, which may include:

(1) An ATS route designator;

(2) The path to or from significant points;

(3) Distance between significant points;

(4) Reporting requirements; and

(5) The lowest safe altitude determined by the appropriate authority.

Air transportation  means interstate, overseas, or foreign air transportation or the transportation of mail by aircraft.

Alert Area.  An alert area is established to inform pilots of a specific area wherein a high volume of pilot training or an unusual type of aeronautical activity is conducted.

Alternate airport  means an airport at which an aircraft may land if a landing at the intended airport becomes inadvisable.

Altitude engine  means a reciprocating aircraft engine having a rated takeoff power that is producible from sea level to an established higher altitude.

Amateur rocket  means an unmanned rocket that:

(1) Is propelled by a motor or motors having a combined total impulse of 889,600 Newton-seconds (200,000 pound-seconds) or less; and

(2) Cannot reach an altitude greater than 150 kilometers (93.2 statute miles) above the earth's surface.

Appliance  means any instrument, mechanism, equipment, part, apparatus, appurtenance, or accessory, including communications equipment, that is used or intended to be used in operating or controlling an aircraft in flight, is installed in or attached to the aircraft, and is not part of an airframe, engine, or propeller.

Approved , unless used with reference to another person, means approved by the FAA or any person to whom the FAA has delegated its authority in the matter concerned, or approved under the provisions of a bilateral agreement between the United States and a foreign country or jurisdiction.

Area navigation (RNAV)  is a method of navigation that permits aircraft operations on any desired flight path.

Area navigation (RNAV) route  is an ATS route based on RNAV that can be used by suitably equipped aircraft.

Armed Forces  means the Army, Navy, Air Force, Marine Corps, and Coast Guard, including their regular and reserve components and members serving without component status.

Autorotation  means a rotorcraft or powered-lift flight condition in which the lifting rotor is driven entirely by action of the air when the rotorcraft or powered-lift is in motion.

Auxiliary rotor  means a rotor that serves either to counteract the effect of the main rotor torque on a rotorcraft or to maneuver the rotorcraft about one or more of its three principal axes.

Balloon  means a lighter-than-air aircraft that is not engine driven, and that sustains flight through the use of either gas buoyancy or an airborne heater.

Brake horsepower  means the power delivered at the propeller shaft (main drive or main output) of an aircraft engine.

Calibrated airspeed  means the indicated airspeed of an aircraft, corrected for position and instrument error. Calibrated airspeed is equal to true airspeed in standard atmosphere at sea level.

Canard  means the forward wing of a canard configuration and may be a fixed, movable, or variable geometry surface, with or without control surfaces.

Canard configuration  means a configuration in which the span of the forward wing is substantially less than that of the main wing.

Category:

(1) As used with respect to the certification, ratings, privileges, and limitations of airmen, means a broad classification of aircraft. Examples include: airplane; rotorcraft; glider; and lighter-than-air; and

(2) As used with respect to the certification of aircraft, means a grouping of aircraft based upon intended use or operating limitations. Examples include: transport, normal, utility, acrobatic, limited, restricted, and provisional.

Category A,  with respect to transport category rotorcraft, means multiengine rotorcraft designed with engine and system isolation features specified in Part 29 and utilizing scheduled takeoff and landing operations under a critical engine failure concept which assures adequate designated surface area and adequate performance capability for continued safe flight in the event of engine failure.

Category B,  with respect to transport category rotorcraft, means single-engine or multiengine rotorcraft which do not fully meet all Category A standards. Category B rotorcraft have no guaranteed stay-up ability in the event of engine failure and unscheduled landing is assumed.

Category II operations,  with respect to the operation of aircraft, means a straight-in ILS approach to the runway of an airport under a Category II ILS instrument approach procedure issued by the Administrator or other appropriate authority.

Category III operations,  with respect to the operation of aircraft, means an ILS approach to, and landing on, the runway of an airport using a Category III ILS instrument approach procedure issued by the Administrator or other appropriate authority.

Ceiling  means the height above the earth's surface of the lowest layer of clouds or obscuring phenomena that is reported as “broken”, “overcast”, or “obscuration”, and not classified as “thin” or “partial”.

Civil aircraft  means aircraft other than public aircraft.

Class:

(1) As used with respect to the certification, ratings, privileges, and limitations of airmen, means a classification of aircraft within a category having similar operating characteristics. Examples include: single engine; multiengine; land; water; gyroplane; helicopter; airship; and free balloon; and

(2) As used with respect to the certification of aircraft, means a broad grouping of aircraft having similar characteristics of propulsion, flight, or landing. Examples include: airplane; rotorcraft; glider; balloon; landplane; and seaplane.

Clearway  means:

(1) For turbine engine powered airplanes certificated after August 29, 1959, an area beyond the runway, not less than 500 feet wide, centrally located about the extended centerline of the runway, and under the control of the airport authorities. The clearway is expressed in terms of a clearway plane, extending from the end of the runway with an upward slope not exceeding 1.25 percent, above which no object nor any terrain protrudes. However, threshold lights may protrude above the plane if their height above the end of the runway is 26 inches or less and if they are located to each side of the runway.

(2) For turbine engine powered airplanes certificated after September 30, 1958, but before August 30, 1959, an area beyond the takeoff runway extending no less than 300 feet on either side of the extended centerline of the runway, at an elevation no higher than the elevation of the end of the runway, clear of all fixed obstacles, and under the control of the airport authorities.

Climbout speed,  with respect to rotorcraft, means a referenced airspeed which results in a flight path clear of the height-velocity envelope during initial climbout.

Commercial operator  means a person who, for compensation or hire, engages in the carriage by aircraft in air commerce of persons or property, other than as an air carrier or foreign air carrier or under the authority of Part 375 of this title. Where it is doubtful that an operation is for “compensation or hire”, the test applied is whether the carriage by air is merely incidental to the person's other business or is, in itself, a major enterprise for profit.

Configuration, Maintenance, and Procedures (CMP) document  means a document approved by the FAA that contains minimum configuration, operating, and maintenance requirements, hardware life-limits, and Master Minimum Equipment List (MMEL) constraints necessary for an airplane-engine combination to meet ETOPS type design approval requirements.

Controlled airspace  means an airspace of defined dimensions within which air traffic control service is provided to IFR flights and to VFR flights in accordance with the airspace classification.

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

Controlled Firing Area.  A controlled firing area is established to contain activities, which if not conducted in a controlled environment, would be hazardous to nonparticipating aircraft.

Crewmember  means a person assigned to perform duty in an aircraft during flight time.

Critical altitude  means the maximum altitude at which, in standard atmosphere, it is possible to maintain, at a specified rotational speed, a specified power or a specified manifold pressure. Unless otherwise stated, the critical altitude is the maximum altitude at which it is possible to maintain, at the maximum continuous rotational speed, one of the following:

(1) The maximum continuous power, in the case of engines for which this power rating is the same at sea level and at the rated altitude.

(2) The maximum continuous rated manifold pressure, in the case of engines, the maximum continuous power of which is governed by a constant manifold pressure.

Critical engine  means the engine whose failure would most adversely affect the performance or handling qualities of an aircraft.

Decision altitude (DA)  is a specified altitude in an instrument approach procedure at which the pilot must decide whether to initiate an immediate missed approach if the pilot does not see the required visual reference, or to continue the approach. Decision altitude is expressed in feet above mean sea level.

Decision height (DH)  is a specified height above the ground in an instrument approach procedure at which the pilot must decide whether to initiate an immediate missed approach if the pilot does not see the required visual reference, or to continue the approach. Decision height is expressed in feet above ground level.

Early ETOPS  means ETOPS type design approval obtained without gaining non-ETOPS service experience on the candidate airplane-engine combination certified for ETOPS.

EFVS operation  means an operation in which visibility conditions require an EFVS to be used in lieu of natural vision to perform an approach or landing, determine enhanced flight visibility, identify required visual references, or conduct a rollout.

Enhanced flight visibility (EFV)  means the average forward horizontal distance, from the cockpit of an aircraft in flight, at which prominent topographical objects may be clearly distinguished and identified by day or night by a pilot using an enhanced flight vision system.

Enhanced flight vision system (EFVS)  means an installed aircraft system which uses an electronic means to provide a display of the forward external scene topography (the natural or manmade features of a place or region especially in a way to show their relative positions and elevation) through the use of imaging sensors, including but not limited to forward-looking infrared, millimeter wave radiometry, millimeter wave radar, or low-light level image intensification. An EFVS includes the display element, sensors, computers and power supplies, indications, and controls.

Equivalent airspeed  means the calibrated airspeed of an aircraft corrected for adiabatic compressible flow for the particular altitude. Equivalent airspeed is equal to calibrated airspeed in standard atmosphere at sea level.

ETOPS Significant System  means an airplane system, including the propulsion system, the failure or malfunctioning of which could adversely affect the safety of an ETOPS flight, or the continued safe flight and landing of an airplane during an ETOPS diversion. Each ETOPS significant system is either an ETOPS group 1 significant system or an ETOPS group 2 significant system.

(1) An ETOPS group 1 Significant System—

(i) Has fail-safe characteristics directly linked to the degree of redundancy provided by the number of engines on the airplane.

(ii) Is a system, the failure or malfunction of which could result in an IFSD, loss of thrust control, or other power loss.

(iii) Contributes significantly to the safety of an ETOPS diversion by providing additional redundancy for any system power source lost as a result of an inoperative engine.

(iv) Is essential for prolonged operation of an airplane at engine inoperative altitudes.

(2) An ETOPS group 2 significant system is an ETOPS significant system that is not an ETOPS group 1 significant system.

Extended Operations (ETOPS)  means an airplane flight operation, other than an all-cargo operation in an airplane with more than two engines, during which a portion of the flight is conducted beyond a time threshold identified in part 121 or part 135 of this chapter that is determined using an approved one-engine-inoperative cruise speed under standard atmospheric conditions in still air.

Extended over-water operation  means—

(1) With respect to aircraft other than helicopters, an operation over water at a horizontal distance of more than 50 nautical miles from the nearest shoreline; and

(2) With respect to helicopters, an operation over water at a horizontal distance of more than 50 nautical miles from the nearest shoreline and more than 50 nautical miles from an off-shore heliport structure.

External load  means a load that is carried, or extends, outside of the aircraft fuselage.

External-load attaching means  means the structural components used to attach an external load to an aircraft, including external-load containers, the backup structure at the attachment points, and any quick-release device used to jettison the external load.

Final approach fix (FAF)  defines the beginning of the final approach segment and the point where final segment descent may begin.

Final takeoff speed  means the speed of the airplane that exists at the end of the takeoff path in the en route configuration with one engine inoperative.

Fireproof —

(1) With respect to materials and parts used to confine fire in a designated fire zone, means the capacity to withstand at least as well as steel in dimensions appropriate for the purpose for which they are used, the heat produced when there is a severe fire of extended duration in that zone; and

(2) With respect to other materials and parts, means the capacity to withstand the heat associated with fire at least as well as steel in dimensions appropriate for the purpose for which they are used.

Fire resistant —

(1) With respect to sheet or structural members means the capacity to withstand the heat associated with fire at least as well as aluminum alloy in dimensions appropriate for the purpose for which they are used; and

(2) With respect to fluid-carrying lines, fluid system parts, wiring, air ducts, fittings, and powerplant controls, means the capacity to perform the intended functions under the heat and other conditions likely to occur when there is a fire at the place concerned.

Flame resistant  means not susceptible to combustion to the point of propagating a flame, beyond safe limits, after the ignition source is removed.

Flammable,  with respect to a fluid or gas, means susceptible to igniting readily or to exploding.

Flap extended speed  means the highest speed permissible with wing flaps in a prescribed extended position.

Flash resistant  means not susceptible to burning violently when ignited.

Flightcrew member  means a pilot, flight engineer, or flight navigator assigned to duty in an aircraft during flight time.

Flight level  means a level of constant atmospheric pressure related to a reference datum of 29.92 inches of mercury. Each is stated in three digits that represent hundreds of feet. For example, flight level 250 represents a barometric altimeter indication of 25,000 feet; flight level 255, an indication of 25,500 feet.

Flight plan  means specified information, relating to the intended flight of an aircraft, that is filed orally or in writing with air traffic control.

Flight simulation training device (FSTD)  means a full flight simulator or a flight training device.

Flight time  means:

(1) Pilot time that commences when an aircraft moves under its own power for the purpose of flight and ends when the aircraft comes to rest after landing; or

(2) For a glider without self-launch capability, pilot time that commences when the glider is towed for the purpose of flight and ends when the glider comes to rest after landing.

Flight training device (FTD)  means a replica of aircraft instruments, equipment, panels, and controls in an open flight deck area or an enclosed aircraft cockpit replica. It includes the equipment and computer programs necessary to represent aircraft (or set of aircraft) operations in ground and flight conditions having the full range of capabilities of the systems installed in the device as described in part 60 of this chapter and the qualification performance standard (QPS) for a specific FTD qualification level.

Flight visibility  means the average forward horizontal distance, from the cockpit of an aircraft in flight, at which prominent unlighted objects may be seen and identified by day and prominent lighted objects may be seen and identified by night.

Foreign air carrier  means any person other than a citizen of the United States, who undertakes directly, by lease or other arrangement, to engage in air transportation.

Foreign air commerce  means the carriage by aircraft of persons or property for compensation or hire, or the carriage of mail by aircraft, or the operation or navigation of aircraft in the conduct or furtherance of a business or vocation, in commerce between a place in the United States and any place outside thereof; whether such commerce moves wholly by aircraft or partly by aircraft and partly by other forms of transportation.

Foreign air transportation  means the carriage by aircraft of persons or property as a common carrier for compensation or hire, or the carriage of mail by aircraft, in commerce between a place in the United States and any place outside of the United States, whether that commerce moves wholly by aircraft or partly by aircraft and partly by other forms of transportation.

Forward wing  means a forward lifting surface of a canard configuration or tandem-wing configuration airplane. The surface may be a fixed, movable, or variable geometry surface, with or without control surfaces.

Full flight simulator (FFS)  means a replica of a specific type; or make, model, and series aircraft cockpit. It includes the assemblage of equipment and computer programs necessary to represent aircraft operations in ground and flight conditions, a visual system providing an out-of-the-cockpit view, a system that provides cues at least equivalent to those of a three-degree-of-freedom motion system, and has the full range of capabilities of the systems installed in the device as described in part 60 of this chapter and the qualification performance standards (QPS) for a specific FFS qualification level.

Glider  means a heavier-than-air aircraft, that is supported in flight by the dynamic reaction of the air against its lifting surfaces and whose free flight does not depend principally on an engine.

Ground visibility  means prevailing horizontal visibility near the earth's surface as reported by the United States National Weather Service or an accredited observer.

Go-around power or thrust setting  means the maximum allowable in-flight power or thrust setting identified in the performance data.

Gyrodyne  means a rotorcraft whose rotors are normally engine-driven for takeoff, hovering, and landing, and for forward flight through part of its speed range, and whose means of propulsion, consisting usually of conventional propellers, is independent of the rotor system.

Gyroplane  means a rotorcraft whose rotors are not engine-driven, except for initial starting, but are made to rotate by action of the air when the rotorcraft is moving; and whose means of propulsion, consisting usually of conventional propellers, is independent of the rotor system.

Helicopter  means a rotorcraft that, for its horizontal motion, depends principally on its engine-driven rotors.

Heliport  means an area of land, water, or structure used or intended to be used for the landing and takeoff of helicopters.

Idle thrust  means the jet thrust obtained with the engine power control level set at the stop for the least thrust position at which it can be placed.

IFR conditions  means weather conditions below the minimum for flight under visual flight rules.

IFR over-the-top,  with respect to the operation of aircraft, means the operation of an aircraft over-the-top on an IFR flight plan when cleared by air traffic control to maintain “VFR conditions” or “VFR conditions on top”.

Indicated airspeed  means the speed of an aircraft as shown on its pitot static airspeed indicator calibrated to reflect standard atmosphere adiabatic compressible flow at sea level uncorrected for airspeed system errors.

In-flight shutdown (IFSD)  means, for ETOPS only, when an engine ceases to function (when the airplane is airborne) and is shutdown, whether self induced, flightcrew initiated or caused by an external influence. The FAA considers IFSD for all causes: for example, flameout, internal failure, flightcrew initiated shutdown, foreign object ingestion, icing, inability to obtain or control desired thrust or power, and cycling of the start control, however briefly, even if the engine operates normally for the remainder of the flight. This definition excludes the airborne cessation of the functioning of an engine when immediately followed by an automatic engine relight and when an engine does not achieve desired thrust or power but is not shutdown.

Instrument  means a device using an internal mechanism to show visually or aurally the attitude, altitude, or operation of an aircraft or aircraft part. It includes electronic devices for automatically controlling an aircraft in flight.

Instrument approach procedure (IAP)  is a series of predetermined maneuvers by reference to flight instruments with specified protection from obstacles and assurance of navigation signal reception capability. It begins from the initial approach fix, or where applicable, from the beginning of a defined arrival route to a point:

(1) From which a landing can be completed; or

(2) If a landing is not completed, to a position at which holding or en route obstacle clearance criteria apply.

Interstate air commerce  means the carriage by aircraft of persons or property for compensation or hire, or the carriage of mail by aircraft, or the operation or navigation of aircraft in the conduct or furtherance of a business or vocation, in commerce between a place in any State of the United States, or the District of Columbia, and a place in any other State of the United States, or the District of Columbia; or between places in the same State of the United States through the airspace over any place outside thereof; or between places in the same territory or possession of the United States, or the District of Columbia.

Interstate air transportation  means the carriage by aircraft of persons or property as a common carrier for compensation or hire, or the carriage of mail by aircraft in commerce:

(1) Between a place in a State or the District of Columbia and another place in another State or the District of Columbia;

(2) Between places in the same State through the airspace over any place outside that State; or

(3) Between places in the same possession of the United States;

Whether that commerce moves wholly by aircraft of partly by aircraft and partly by other forms of transportation.

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

Kite  means a framework, covered with paper, cloth, metal, or other material, intended to be flown at the end of a rope or cable, and having as its only support the force of the wind moving past its surfaces.

Landing gear extended speed  means the maximum speed at which an aircraft can be safely flown with the landing gear extended.

Landing gear operating speed  means the maximum speed at which the landing gear can be safely extended or retracted.

Large aircraft  means aircraft of more than 12,500 pounds, maximum certificated takeoff weight.

Light-sport aircraft  means an aircraft, other than a helicopter or powered-lift that, since its original certification, has continued to meet the following:

(1) A maximum takeoff weight of not more than—

(i) 1,320 pounds (600 kilograms) for aircraft not intended for operation on water; or

(ii) 1,430 pounds (650 kilograms) for an aircraft intended for operation on water.

(2) A maximum airspeed in level flight with maximum continuous power (V H ) of not more than 120 knots CAS under standard atmospheric conditions at sea level.

(3) A maximum never-exceed speed (V NE ) of not more than 120 knots CAS for a glider.

(4) A maximum stalling speed or minimum steady flight speed without the use of lift-enhancing devices (V S1 ) of not more than 45 knots CAS at the aircraft's maximum certificated takeoff weight and most critical center of gravity.

(5) A maximum seating capacity of no more than two persons, including the pilot.

(6) A single, reciprocating engine, if powered.

(7) A fixed or ground-adjustable propeller if a powered aircraft other than a powered glider.

(8) A fixed or feathering propeller system if a powered glider.

(9) A fixed-pitch, semi-rigid, teetering, two-blade rotor system, if a gyroplane.

(10) A nonpressurized cabin, if equipped with a cabin.

(11) Fixed landing gear, except for an aircraft intended for operation on water or a glider.

(12) Fixed or retractable landing gear, or a hull, for an aircraft intended for operation on water.

(13) Fixed or retractable landing gear for a glider.

Lighter-than-air aircraft  means aircraft that can rise and remain suspended by using contained gas weighing less than the air that is displaced by the gas.

Load factor  means the ratio of a specified load to the total weight of the aircraft. The specified load is expressed in terms of any of the following: aerodynamic forces, inertia forces, or ground or water reactions.

Long-range communication system (LRCS).  A system that uses satellite relay, data link, high frequency, or another approved communication system which extends beyond line of sight.

Long-range navigation system (LRNS).  An electronic navigation unit that is approved for use under instrument flight rules as a primary means of navigation, and has at least one source of navigational input, such as inertial navigation system or global positioning system.

Mach number  means the ratio of true airspeed to the speed of sound.

Main rotor  means the rotor that supplies the principal lift to a rotorcraft.

Maintenance  means inspection, overhaul, repair, preservation, and the replacement of parts, but excludes preventive maintenance.

Major alteration  means an alteration not listed in the aircraft, aircraft engine, or propeller specifications—

(1) That might appreciably affect weight, balance, structural strength, performance, powerplant operation, flight characteristics, or other qualities affecting airworthiness; or

(2) That is not done according to accepted practices or cannot be done by elementary operations.

Major repair  means a repair:

(1) That, if improperly done, might appreciably affect weight, balance, structural strength, performance, powerplant operation, flight characteristics, or other qualities affecting airworthiness; or

(2) That is not done according to accepted practices or cannot be done by elementary operations.

Manifold pressure  means absolute pressure as measured at the appropriate point in the induction system and usually expressed in inches of mercury.

Maximum engine overtorque , as it applies to turbopropeller and turboshaft engines incorporating free power turbines for all ratings except one engine inoperative (OEI) ratings of two minutes or less, means the maximum torque of the free power turbine rotor assembly, the inadvertent occurrence of which, for periods of up to 20 seconds, will not require rejection of the engine from service, or any maintenance action other than to correct the cause.

Maximum speed for stability characteristics, V FC /M FC  means a speed that may not be less than a speed midway between maximum operating limit speed (V MO /M MO ) and demonstrated flight diving speed (V DF /M DF ), except that, for altitudes where the Mach number is the limiting factor, M FC  need not exceed the Mach number at which effective speed warning occurs.

Medical certificate  means acceptable evidence of physical fitness on a form prescribed by the Administrator.

Military operations area.  A military operations area (MOA) is airspace established outside Class A airspace to separate or segregate certain nonhazardous military activities from IFR Traffic and to identify for VFR traffic where theses activities are conducted.

Minimum descent altitude (MDA)  is the lowest altitude specified in an instrument approach procedure, expressed in feet above mean sea level, to which descent is authorized on final approach or during circle-to-land maneuvering until the pilot sees the required visual references for the heliport or runway of intended landing.

Minor alteration  means an alteration other than a major alteration.

Minor repair  means a repair other than a major repair.

National defense airspace  means airspace established by a regulation prescribed, or an order issued under, 49 U.S.C. 40103(b)(3).

Navigable airspace  means airspace at and above the minimum flight altitudes prescribed by or under this chapter, including airspace needed for safe takeoff and landing.

Night  means the time between the end of evening civil twilight and the beginning of morning civil twilight, as published in the Air Almanac, converted to local time.

Nonprecision approach procedure  means a standard instrument approach procedure in which no electronic glide slope is provided.

Operate,  with respect to aircraft, means use, cause to use or authorize to use aircraft, for the purpose (except as provided in § 91.13 of this chapter) of air navigation including the piloting of aircraft, with or without the right of legal control (as owner, lessee, or otherwise).

Operational control,  with respect to a flight, means the exercise of authority over initiating, conducting or terminating a flight.

Overseas air commerce  means the carriage by aircraft of persons or property for compensation or hire, or the carriage of mail by aircraft, or the operation or navigation of aircraft in the conduct or furtherance of a business or vocation, in commerce between a place in any State of the United States, or the District of Columbia, and any place in a territory or possession of the United States; or between a place in a territory or possession of the United States, and a place in any other territory or possession of the United States.

Overseas air transportation  means the carriage by aircraft of persons or property as a common carrier for compensation or hire, or the carriage of mail by aircraft, in commerce:

(1) Between a place in a State or the District of Columbia and a place in a possession of the United States; or

(2) Between a place in a possession of the United States and a place in another possession of the United States; whether that commerce moves wholly by aircraft or partly by aircraft and partly by other forms of transportation.

Over-the-top  means above the layer of clouds or other obscuring phenomena forming the ceiling.

Parachute  means a device used or intended to be used to retard the fall of a body or object through the air.

Person  means an individual, firm, partnership, corporation, company, association, joint-stock association, or governmental entity. It includes a trustee, receiver, assignee, or similar representative of any of them.

Pilotage  means navigation by visual reference to landmarks.

Pilot in command  means the person who:

(1) Has final authority and responsibility for the operation and safety of the flight;

(2) Has been designated as pilot in command before or during the flight; and

(3) Holds the appropriate category, class, and type rating, if appropriate, for the conduct of the flight.

Pitch setting  means the propeller blade setting as determined by the blade angle measured in a manner, and at a radius, specified by the instruction manual for the propeller.

Portable oxygen concentrator  means a medical device that separates oxygen from other gasses in ambient air and dispenses this concentrated oxygen to the user.

Positive control  means control of all air traffic, within designated airspace, by air traffic control.

Powered parachute  means a powered aircraft comprised of a flexible or semi-rigid wing connected to a fuselage so that the wing is not in position for flight until the aircraft is in motion. The fuselage of a powered parachute contains the aircraft engine, a seat for each occupant and is attached to the aircraft's landing gear.

Powered-lift  means a heavier-than-air aircraft capable of vertical takeoff, vertical landing, and low speed flight that depends principally on engine-driven lift devices or engine thrust for lift during these flight regimes and on nonrotating airfoil(s) for lift during horizontal flight.

Precision approach procedure  means a standard instrument approach procedure in which an electronic glide slope is provided, such as ILS and PAR.

Preventive maintenance  means simple or minor preservation operations and the replacement of small standard parts not involving complex assembly operations.

Prohibited area.  A prohibited area is airspace designated under part 73 within which no person may operate an aircraft without the permission of the using agency.

Propeller  means a device for propelling an aircraft that has blades on an engine-driven shaft and that, when rotated, produces by its action on the air, a thrust approximately perpendicular to its plane of rotation. It includes control components normally supplied by its manufacturer, but does not include main and auxiliary rotors or rotating airfoils of engines.

Public aircraft  means any of the following aircraft when not being used for a commercial purpose or to carry an individual other than a crewmember or qualified non-crewmenber:

(1) An aircraft used only for the United States Government; an aircraft owned by the Government and operated by any person for purposes related to crew training, equipment development, or demonstration; an aircraft owned and operated by the government of a State, the District of Columbia, or a territory or possession of the United States or a political subdivision of one of these governments; or an aircraft exclusively leased for at least 90 continuous days by the government of a State, the District of Columbia, or a territory or possession of the United States or a political subdivision of one of these governments.

(i) For the sole purpose of determining public aircraft status,  commercial purposes  means the transportation of persons or property for compensation or hire, but does not include the operation of an aircraft by the armed forces for reimbursement when that reimbursement is required by any Federal statute, regulation, or directive, in effect on November 1, 1999, or by one government on behalf of another government under a cost reimbursement agreement if the government on whose behalf the operation is conducted certifies to the Administrator of the Federal Aviation Administration that the operation is necessary to respond to a significant and imminent threat to life or property (including natural resources) and that no service by a private operator is reasonably available to meet the threat.

(ii) For the sole purpose of determining public aircraft status,  governmental function  means an activity undertaken by a government, such as national defense, intelligence missions, firefighting, search and rescue, law enforcement (including transport of prisoners, detainees, and illegal aliens), aeronautical research, biological or geological resource management (including data collection on civil aviation systems undergoing research, development, test, or evaluation at a test range (as such term is defined in 49 U.S.C. 44801)), infrastructure inspections, or any other activity undertaken by a governmental entity that the Administrator determines is inherently governmental.

(iii) For the sole purpose of determining public aircraft status,  qualified non-crewmember  means an individual, other than a member of the crew, aboard an aircraft operated by the armed forces or an intelligence agency of the United States Government, or whose presence is required to perform, or is associated with the performance of, a governmental function.

(2) An aircraft owned or operated by the armed forces or chartered to provide transportation to the armed forces if—

(i) The aircraft is operated in accordance with title 10 of the United States Code;

(ii) The aircraft is operated in the performance of a governmental function under title 14, 31, 32, or 50 of the United States Code and the aircraft is not used for commercial purposes; or

(iii) The aircraft is chartered to provide transportation to the armed forces and the Secretary of Defense (or the Secretary of the department in which the Coast Guard is operating) designates the operation of the aircraft as being required in the national interest.

(3) An aircraft owned or operated by the National Guard of a State, the District of Columbia, or any territory or possession of the United States, and that meets the criteria of paragraph (2) of this definition, qualifies as a public aircraft only to the extent that it is operated under the direct control of the Department of Defense.

Rated 30-second OEI Power , with respect to rotorcraft turbine engines, means the approved brake horsepower developed under static conditions at specified altitudes and temperatures within the operating limitations established for the engine under part 33 of this chapter, for continuation of one flight operation after the failure or shutdown of one engine in multiengine rotorcraft, for up to three periods of use no longer than 30 seconds each in any one flight, and followed by mandatory inspection and prescribed maintenance action.

Rated 2-minute OEI Power , with respect to rotorcraft turbine engines, means the approved brake horsepower developed under static conditions at specified altitudes and temperatures within the operating limitations established for the engine under part 33 of this chapter, for continuation of one flight operation after the failure or shutdown of one engine in multiengine rotorcraft, for up to three periods of use no longer than 2 minutes each in any one flight, and followed by mandatory inspection and prescribed maintenance action.

Rated continuous OEI power , with respect to rotorcraft turbine engines, means the approved brake horsepower developed under static conditions at specified altitudes and temperatures within the operating limitations established for the engine under part 33 of this chapter, and limited in use to the time required to complete the flight after the failure or shutdown of one engine of a multiengine rotorcraft.

Rated maximum continuous augmented thrust,  with respect to turbojet engine type certification, means the approved jet thrust that is developed statically or in flight, in standard atmosphere at a specified altitude, with fluid injection or with the burning of fuel in a separate combustion chamber, within the engine operating limitations established under Part 33 of this chapter, and approved for unrestricted periods of use.

Rated maximum continuous power,  with respect to reciprocating, turbopropeller, and turboshaft engines, means the approved brake horsepower that is developed statically or in flight, in standard atmosphere at a specified altitude, within the engine operating limitations established under part 33, and approved for unrestricted periods of use.

Rated maximum continuous thrust,  with respect to turbojet engine type certification, means the approved jet thrust that is developed statically or in flight, in standard atmosphere at a specified altitude, without fluid injection and without the burning of fuel in a separate combustion chamber, within the engine operating limitations established under part 33 of this chapter, and approved for unrestricted periods of use.

Rated takeoff augmented thrust,  with respect to turbojet engine type certification, means the approved jet thrust that is developed statically under standard sea level conditions, with fluid injection or with the burning of fuel in a separate combustion chamber, within the engine operating limitations established under part 33 of this chapter, and limited in use to periods of not over 5 minutes for takeoff operation.

Rated takeoff power,  with respect to reciprocating, turbopropeller, and turboshaft engine type certification, means the approved brake horsepower that is developed statically under standard sea level conditions, within the engine operating limitations established under part 33, and limited in use to periods of not over 5 minutes for takeoff operation.

Rated takeoff thrust,  with respect to turbojet engine type certification, means the approved jet thrust that is developed statically under standard sea level conditions, without fluid injection and without the burning of fuel in a separate combustion chamber, within the engine operating limitations established under part 33 of this chapter, and limited in use to periods of not over 5 minutes for takeoff operation.

Rated 30-minute OEI power , with respect to rotorcraft turbine engines, means the approved brake horsepower developed under static conditions at specified altitudes and temperatures within the operating limitations established for the engine under part 33 of this chapter, and limited in use to one period of use no longer than 30 minutes after the failure or shutdown of one engine of a multiengine rotorcraft.

Rated 2
 1/2 -minute OEI power , with respect to rotorcraft turbine engines, means the approved brake horsepower developed under static conditions at specified altitudes and temperatures within the operating limitations established for the engine under part 33 of this chapter for periods of use no longer than 2
 1/2  minutes each after the failure or shutdown of one engine of a multiengine rotorcraft.

Rating  means a statement that, as a part of a certificate, sets forth special conditions, privileges, or limitations.

Reference landing speed  means the speed of the airplane, in a specified landing configuration, at the point where it descends through the 50 foot height in the determination of the landing distance.

Reporting point  means a geographical location in relation to which the position of an aircraft is reported.

Restricted area.  A restricted area is airspace designated under Part 73 within which the flight of aircraft, while not wholly prohibited, is subject to restriction.

Rocket  means an aircraft propelled by ejected expanding gases generated in the engine from self-contained propellants and not dependent on the intake of outside substances. It includes any part which becomes separated during the operation.

Rotorcraft  means a heavier-than-air aircraft that depends principally for its support in flight on the lift generated by one or more rotors.

Rotorcraft-load combination  means the combination of a rotorcraft and an external-load, including the external-load attaching means. Rotorcraft-load combinations are designated as Class A, Class B, Class C, and Class D, as follows:

(1)  Class A rotorcraft-load combination  means one in which the external load cannot move freely, cannot be jettisoned, and does not extend below the landing gear.

(2)  Class B rotorcraft-load combination  means one in which the external load is jettisonable and is lifted free of land or water during the rotorcraft operation.

(3)  Class C rotorcraft-load combination  means one in which the external load is jettisonable and remains in contact with land or water during the rotorcraft operation.

(4)  Class D rotorcraft-load combination  means one in which the external-load is other than a Class A, B, or C and has been specifically approved by the Administrator for that operation.

Route segment  is a portion of a route bounded on each end by a fix or navigation aid (NAVAID).

Sea level engine  means a reciprocating aircraft engine having a rated takeoff power that is producible only at sea level.

Second in command  means a pilot who is designated to be second in command of an aircraft during flight time.

Show,  unless the context otherwise requires, means to show to the satisfaction of the Administrator.

Small aircraft  means aircraft of 12,500 pounds or less, maximum certificated takeoff weight.

Small unmanned aircraft  means an unmanned aircraft weighing less than 55 pounds on takeoff, including everything that is on board or otherwise attached to the aircraft.

Small unmanned aircraft system (small UAS)  means a small unmanned aircraft and its associated elements (including communication links and the components that control the small unmanned aircraft) that are required for the safe and efficient operation of the small unmanned aircraft in the national airspace system.

Special VFR conditions  mean meteorological conditions that are less than those required for basic VFR flight in controlled airspace and in which some aircraft are permitted flight under visual flight rules.

Special VFR operations  means aircraft operating in accordance with clearances within controlled airspace in meteorological conditions less than the basic VFR weather minima. Such operations must be requested by the pilot and approved by ATC.

Standard atmosphere  means the atmosphere defined in U.S. Standard Atmosphere, 1962 (Geopotential altitude tables).

Stopway  means an area beyond the takeoff runway, no less wide than the runway and centered upon the extended centerline of the runway, able to support the airplane during an aborted takeoff, without causing structural damage to the airplane, and designated by the airport authorities for use in decelerating the airplane during an aborted takeoff.

Suitable RNAV system  is an RNAV system that meets the required performance established for a type of operation, e.g. IFR; and is suitable for operation over the route to be flown in terms of any performance criteria (including accuracy) established by the air navigation service provider for certain routes (e.g. oceanic, ATS routes, and IAPs). An RNAV system's suitability is dependent upon the availability of ground and/or satellite navigation aids that are needed to meet any route performance criteria that may be prescribed in route specifications to navigate the aircraft along the route to be flown. Information on suitable RNAV systems is published in FAA guidance material.

Supplemental restraint system  means any device that is not installed on the aircraft pursuant to an FAA approval, used to secure an individual inside an aircraft when that person is not properly secured by an FAA-approved safety belt and, if installed, shoulder harness, or an approved child restraint system. It consists of a harness secured around the torso of the individual using the supplemental restraint system and a lanyard that connects the harness to an FAA-approved airframe attachment point inside the aircraft.

Synthetic vision  means a computer-generated image of the external scene topography from the perspective of the flight deck that is derived from aircraft attitude, high-precision navigation solution, and database of terrain, obstacles and relevant cultural features.

Synthetic vision  system means an electronic means to display a synthetic vision image of the external scene topography to the flight crew.

Takeoff power:

(1) With respect to reciprocating engines, means the brake horsepower that is developed under standard sea level conditions, and under the maximum conditions of crankshaft rotational speed and engine manifold pressure approved for the normal takeoff, and limited in continuous use to the period of time shown in the approved engine specification; and

(2) With respect to turbine engines, means the brake horsepower that is developed under static conditions at a specified altitude and atmospheric temperature, and under the maximum conditions of rotor shaft rotational speed and gas temperature approved for the normal takeoff, and limited in continuous use to the period of time shown in the approved engine specification.

Takeoff safety speed  means a referenced airspeed obtained after lift-off at which the required one-engine-inoperative climb performance can be achieved.

Takeoff thrust,  with respect to turbine engines, means the jet thrust that is developed under static conditions at a specific altitude and atmospheric temperature under the maximum conditions of rotorshaft rotational speed and gas temperature approved for the normal takeoff, and limited in continuous use to the period of time shown in the approved engine specification.

Tandem wing configuration  means a configuration having two wings of similar span, mounted in tandem.

TCAS I  means a TCAS that utilizes interrogations of, and replies from, airborne radar beacon transponders and provides traffic advisories to the pilot.

TCAS II  means a TCAS that utilizes interrogations of, and replies from airborne radar beacon transponders and provides traffic advisories and resolution advisories in the vertical plane.

TCAS III  means a TCAS that utilizes interrogation of, and replies from, airborne radar beacon transponders and provides traffic advisories and resolution advisories in the vertical and horizontal planes to the pilot.

Time in service,  with respect to maintenance time records, means the time from the moment an aircraft leaves the surface of the earth until it touches it at the next point of landing.

Traffic pattern  means the traffic flow that is prescribed for aircraft landing at, taxiing on, or taking off from, an airport.

True airspeed  means the airspeed of an aircraft relative to undisturbed air. True airspeed is equal to equivalent airspeed multiplied by (ρ0/ρ)
 1/2 .

Type:

(1) As used with respect to the certification, ratings, privileges, and limitations of airmen, means a specific make and basic model of aircraft, including modifications thereto that do not change its handling or flight characteristics. Examples include: DC-7, 1049, and F-27; and

(2) As used with respect to the certification of aircraft, means those aircraft which are similar in design. Examples include: DC-7 and DC-7C; 1049G and 1049H; and F-27 and F-27F.

(3) As used with respect to the certification of aircraft engines means those engines which are similar in design. For example, JT8D and JT8D-7 are engines of the same type, and JT9D-3A and JT9D-7 are engines of the same type.

United States,  in a geographical sense, means (1) the States, the District of Columbia, Puerto Rico, and the possessions, including the territorial waters, and (2) the airspace of those areas.

United States air carrier  means a citizen of the United States who undertakes directly by lease, or other arrangement, to engage in air transportation.

Unmanned aircraft  means an aircraft operated without the possibility of direct human intervention from within or on the aircraft.

Unmanned aircraft system  means an unmanned aircraft and its associated elements (including communication links and the components that control the unmanned aircraft) that are required for the safe and efficient operation of the unmanned aircraft in the airspace of the United States.

VFR over-the-top,  with respect to the operation of aircraft, means the operation of an aircraft over-the-top under VFR when it is not being operated on an IFR flight plan.

Warning area.  A warning area is airspace of defined dimensions, extending from 3 nautical miles outward from the coast of the United States, that contains activity that may be hazardous to nonparticipating aircraft. The purpose of such warning areas is to warn nonparticipating pilots of the potential danger. A warning area may be located over domestic or international waters or both.

Weight-shift-control aircraft  means a powered aircraft with a framed pivoting wing and a fuselage controllable only in pitch and roll by the pilot's ability to change the aircraft's center of gravity with respect to the wing. Flight control of the aircraft depends on the wing's ability to flexibly deform rather than the use of control surfaces.

Winglet or tip fin  means an out-of-plane surface extending from a lifting surface. The surface may or may not have control surfaces."
14:14:1.0.1.1.1.0.1.2,14,Aeronautics and Space,I,A,1,PART 1—DEFINITIONS AND ABBREVIATIONS,,,,§ 1.2 Abbreviations and symbols.,FAA,,,"[Doc. No. 1150, 27 FR 4590, May 15, 1962]","In this chapter:

AFM  means airplane flight manual.

AGL  means above ground level.

ALS  means approach light system.

APU  means auxiliary power unit.

ASR  means airport surveillance radar.

ATC  means air traffic control.

ATS  means Air Traffic Service.

CAMP  means continuous airworthiness maintenance program.

CAS  means calibrated airspeed.

CAT II  means Category II.

CMP  means configuration, maintenance, and procedures.

DH  means decision height.

DME  means distance measuring equipment compatible with TACAN.

EAS  means equivalent airspeed.

EFVS  means enhanced flight vision system.

Equi-Time Point  means a point on the route of flight where the flight time, considering wind, to each of two selected airports is equal.

ETOPS  means extended operations.

EWIS , as defined by § 25.1701 of this chapter, means electrical wiring interconnection system.

FAA  means Federal Aviation Administration.

FFS  means full flight simulator.

FM  means fan marker.

FSTD  means flight simulation training device.

FTD  means flight training device.

GS  means glide slope.

HIRL  means high-intensity runway light system.

IAS  means indicated airspeed.

ICAO  means International Civil Aviation Organization.

IFR  means instrument flight rules.

IFSD  means in-flight shutdown.

ILS  means instrument landing system.

IM  means ILS inner marker.

INT  means intersection.

LDA  means localizer-type directional aid.

LFR  means low-frequency radio range.

LMM  means compass locator at middle marker.

LOC  means ILS localizer.

LOM  means compass locator at outer marker.

M  means mach number.

MAA  means maximum authorized IFR altitude.

MALS  means medium intensity approach light system.

MALSR  means medium intensity approach light system with runway alignment indicator lights.

MCA  means minimum crossing altitude.

MDA  means minimum descent altitude.

MEA  means minimum en route IFR altitude.

MEL  means minimum equipment list.

MM  means ILS middle marker.

MOCA  means minimum obstruction clearance altitude.

MRA  means minimum reception altitude.

MSL  means mean sea level.

NDB (ADF)  means nondirectional beacon (automatic direction finder).

NM  means nautical mile.

NOPAC  means North Pacific area of operation.

NOPT  means no procedure turn required.

OEI  means one engine inoperative.

OM  means ILS outer marker.

OPSPECS  means operations specifications.

PACOTS  means Pacific Organized Track System.

PAR  means precision approach radar.

PMA  means parts manufacturer approval.

POC  means portable oxygen concentrator.

PTRS  means Performance Tracking and Reporting System.

RAIL  means runway alignment indicator light system.

RBN  means radio beacon.

RCLM  means runway centerline marking.

RCLS  means runway centerline light system.

REIL  means runway end identification lights.

RFFS  means rescue and firefighting services.

RNAV  means area navigation.

RR  means low or medium frequency radio range station.

RVR  means runway visual range as measured in the touchdown zone area.

SALS  means short approach light system.

SATCOM  means satellite communications.

SSALS  means simplified short approach light system.

SSALSR  means simplified short approach light system with runway alignment indicator lights.

TACAN  means ultra-high frequency tactical air navigational aid.

TAS  means true airspeed.

TCAS  means a traffic alert and collision avoidance system.

TDZL  means touchdown zone lights.

TSO  means technical standard order.

TVOR  means very high frequency terminal omnirange station.

V A  means design maneuvering speed.

V B  means design speed for maximum gust intensity.

V C  means design cruising speed.

V D  means design diving speed.

V DF / M DF  means demonstrated flight diving speed.

V EF  means the speed at which the critical engine is assumed to fail during takeoff.

V F  means design flap speed.

V FC / M FC  means maximum speed for stability characteristics.

V FE  means maximum flap extended speed.

V FTO  means final takeoff speed.

V H  means maximum speed in level flight with maximum continuous power.

V LE  means maximum landing gear extended speed.

V LO  means maximum landing gear operating speed.

V LOF  means lift-off speed.

V MC  means minimum control speed with the critical engine inoperative.

V MO / M MO  means maximum operating limit speed.

V MU  means minimum unstick speed.

V NE  means never-exceed speed.

V NO  means maximum structural cruising speed.

V R  means rotation speed.

V REF  means reference landing speed.

V S  means the stalling speed or the minimum steady flight speed at which the airplane is controllable.

V S 0  means the stalling speed or the minimum steady flight speed in the landing configuration.

V S 1  means the stalling speed or the minimum steady flight speed obtained in a specific configuration.

V SR  means reference stall speed.

V SR O  means reference stall speed in the landing configuration.

V SR 1  means reference stall speed in a specific configuration.

V SW  means speed at which onset of natural or artificial stall warning occurs.

V TOSS  means takeoff safety speed for Category A rotorcraft.

V X  means speed for best angle of climb.

V Y  means speed for best rate of climb.

V 1  means the maximum speed in the takeoff at which the pilot must take the first action (e.g., apply brakes, reduce thrust, deploy speed brakes) to stop the airplane within the accelerate-stop distance. V 1  also means the minimum speed in the takeoff, following a failure of the critical engine at V EF , at which the pilot can continue the takeoff and achieve the required height above the takeoff surface within the takeoff distance.

V 2  means takeoff safety speed.

V 2min  means minimum takeoff safety speed.

VFR  means visual flight rules.

VGSI  means visual glide slope indicator.

VHF  means very high frequency.

VOR  means very high frequency omnirange station.

VORTAC  means collocated VOR and TACAN."
14:14:1.0.1.1.1.0.1.3,14,Aeronautics and Space,I,A,1,PART 1—DEFINITIONS AND ABBREVIATIONS,,,,§ 1.3 Rules of construction.,FAA,,,"[Doc. No. 1150, 27 FR 4590, May 15, 1962, as amended by Amdt. 1-10, 31 FR 5055, Mar. 29, 1966; FAA-2023-1275, Amdt. No. 1-78, 89 FR 92483, Nov. 21, 2024]","(a) In this chapter, unless the context requires otherwise:

(1) Words importing the singular include the plural;

(2) Words importing the plural include the singular; and

(3) Words importing the masculine gender include the feminine.

(b) In this chapter, the word:

(1)  Shall  is used in an imperative sense;

(2)  May  is used in a permissive sense to state authority or permission to do the act prescribed, and the words “no person may * * *” or “a person may not * * *” mean that no person is required, authorized, or permitted to do the act prescribed; and

(3)  Includes  means “includes but is not limited to”."
14:14:1.0.1.1.2.1.1.1,14,Aeronautics and Space,I,A,3,PART 3—GENERAL REQUIREMENTS,A,"Subpart A—General Requirements Concerning Type Certificated Products or Products, Parts, Appliances, or Materials That May Be Used on Type-Certificated Products",,§ 3.1 Applicability.,FAA,,,"[FAA-2003-15062, Amdt. 3-1, 70 FR 54832, Sept. 16, 2005, as amended by Amdt. 3-4, 90 FR 42524, Sept. 3, 2025]","(a) This subpart applies to any person who makes a record regarding:

(1) A type-certificated product, or

(2) A product, part, appliance or material that may be used on a type-certificated product.

(b) Section 3.5(b) does not apply to records made under part 43 of this chapter."
14:14:1.0.1.1.2.1.1.2,14,Aeronautics and Space,I,A,3,PART 3—GENERAL REQUIREMENTS,A,"Subpart A—General Requirements Concerning Type Certificated Products or Products, Parts, Appliances, or Materials That May Be Used on Type-Certificated Products",,"§ 3.5 Statements about products, parts, appliances and materials.",FAA,,,,"(a)  Definitions.  The following terms will have the stated meanings when used in this section:

Airworthy  means the aircraft conforms to its type design and is in a condition for safe operation.

Product  means an aircraft, aircraft engine, or aircraft propeller.

Record  means any writing, drawing, map, recording, tape, film, photograph or other documentary material by which information is preserved or conveyed in any format, including, but not limited to, paper, microfilm, identification plates, stamped marks, bar codes or electronic format, and can either be separate from, attached to or inscribed on any product, part, appliance or material.

(b)  Prohibition against fraudulent and intentionally false statements.  When conveying information related to an advertisement or sales transaction, no person may make or cause to be made:

(1) Any fraudulent or intentionally false statement in any record about the airworthiness of a type-certificated product, or the acceptability of any product, part, appliance, or material for installation on a type-certificated product.

(2) Any fraudulent or intentionally false reproduction or alteration of any record about the airworthiness of any type-certificated product, or the acceptability of any product, part, appliance, or material for installation on a type-certificated product.

(c)  Prohibition against intentionally misleading statements.  (1) When conveying information related to an advertisement or sales transaction, no person may make, or cause to be made, a material representation that a type-certificated product is airworthy, or that a product, part, appliance, or material is acceptable for installation on a type-certificated product in any record if that representation is likely to mislead a consumer acting reasonably under the circumstances.

(2) When conveying information related to an advertisement or sales transaction, no person may make, or cause to be made, through the omission of material information, a representation that a type-certificated product is airworthy, or that a product, part, appliance, or material is acceptable for installation on a type-certificated product in any record if that representation is likely to mislead a consumer acting reasonably under the circumstances.

(d) The provisions of § 3.5(b) and § 3.5(c) shall not apply if a person can show that the product is airworthy or that the product, part, appliance or material is acceptable for installation on a type-certificated product."
14:14:1.0.1.1.2.2.1.1,14,Aeronautics and Space,I,A,3,PART 3—GENERAL REQUIREMENTS,B,Subpart B—Security Threat Disqualification,,§ 3.200 Effect of Transportation Security Administration notification on a certificate or any part of a certificate held by an individual.,FAA,,,,"When the Transportation Security Administration (TSA) notifies the FAA that an individual holding a certificate or part of a certificate issued by the FAA poses, or is suspected of posing, a risk of air piracy or terrorism or a threat to airline or passenger safety, the FAA will issue an order amending, modifying, suspending, or revoking any certificate or part of a certificate issued by the FAA."
14:14:1.0.1.1.2.2.1.2,14,Aeronautics and Space,I,A,3,PART 3—GENERAL REQUIREMENTS,B,Subpart B—Security Threat Disqualification,,§ 3.205 Effect of Transportation Security Administration notification on applications by individuals for a certificate or any part of a certificate.,FAA,,,,"(a) When the TSA notifies the FAA that an individual who has applied for a certificate or any part of a certificate issued by the FAA poses, or is suspected of posing, a risk of air piracy or terrorism or a threat to airline or passenger safety, the FAA will hold the individual's certificate applications in abeyance pending further notification from the TSA.

(b) When the TSA notifies the FAA that the TSA has made a final security threat determination regarding an individual, the FAA will deny all the individual's certificate applications. Alternatively, if the TSA notifies the FAA that it has withdrawn its security threat determination, the FAA will continue processing the individual's applications."
14:14:1.0.1.1.2.3.1.1,14,Aeronautics and Space,I,A,3,PART 3—GENERAL REQUIREMENTS,C,Subpart C—Designated U.S. Agents for Service,,§ 3.301 Applicability.,FAA,,,,"This subpart applies to individuals who:

(a) Do not have a U.S. physical address of record on file with the FAA;

(b) Have a foreign address of record on file with the FAA; and

(c) Hold or apply for certificates, ratings, or authorizations under part 47, 61, 63, 65, 67, or 107 of this chapter."
14:14:1.0.1.1.2.3.1.2,14,Aeronautics and Space,I,A,3,PART 3—GENERAL REQUIREMENTS,C,Subpart C—Designated U.S. Agents for Service,,§ 3.302 Definitions.,FAA,,,,"U.S. agent address  is an address in the States of the United States, the District of Columbia, or any U.S. territory or possession. If the U.S. agent is an entity, the address must be the U.S. agent's office address. If the U.S. agent is an individual, the address must be the U.S. agent's usual place of residence or, if applicable, the individual's U.S. military office address. If the U.S. agent is serving as a U.S. agent in their official capacity with the military, the address may be a military office address. A U.S. agent address may not be a post office box, military post office box, or a mail drop box.

U.S. agent for service (U.S. agent)  is an entity or an adult (individual who is 18 or older) with a U.S. address who a certificate, rating, or authorization holder or applicant designates to receive FAA service on their behalf.

U.S. physical address  is an address in the States of the United States, the District of Columbia, or any U.S. territory or possession, but excludes post office boxes, military post office boxes, mail drop boxes, and commercial addresses that are not also residential addresses."
14:14:1.0.1.1.2.3.1.3,14,Aeronautics and Space,I,A,3,PART 3—GENERAL REQUIREMENTS,C,Subpart C—Designated U.S. Agents for Service,,§ 3.303 Designation of a U.S. agent for service.,FAA,,,"[Amt. 3-3, 89 FR 81312, Oct. 8, 2024, as amended by Amt. 3-3A, 90 FR 215, Jan. 3, 2025]","(a) Individuals must designate a U.S. agent for service within the U.S. in writing to the FAA in a form and manner prescribed by the Administrator. Individuals designating a U.S. agent must ensure that the U.S. agent understands the requirements for receiving FAA service on behalf of the individual and is competent to perform that responsibility.

(b) The designation must include the U.S. agent's full name, U.S. agent address, email address, and certification by the individual that the U.S. agent has accepted responsibility for receiving FAA service on behalf of the individual. It may also include the U.S. agent's fax number and phone number.

(c) Individuals must notify the FAA in a form and manner prescribed by the Administrator of any change to their U.S. agent designation or the U.S. agent's contact information within 30 days of the change.

(d) No individual shall exercise the privileges of any certificate, rating, or authorization issued under part 47, 61, 63, 65, 67, or 107 of this chapter unless the individual has designated a U.S. agent as required under this subpart. Aircraft registration certificates issued to individuals who fail to designate a U.S. agent as required under this subpart will be ineffective.

(e) No individual shall be issued a certificate, rating, or authorization under part 47, 61, 63, 65, 67, or 107 of this chapter unless the individual has designated a U.S. agent as required under this subpart."
14:14:1.0.1.1.2.4.1.1,14,Aeronautics and Space,I,A,3,PART 3—GENERAL REQUIREMENTS,D,"Subpart D—Falsification, Reproduction, Alteration, Omission, or Incorrect Statements",,§ 3.401 Applicability and definitions.,FAA,,,,"(a) This subpart applies to any person subject to the requirements in subchapter A (except parts 1 and 3), subchapter C (except part 39), subchapter D, subchapter E (except parts 71 and 73), subchapter F (except parts 95 and 97), subchapter G (except part 110), subchapter H, and subchapter K (except parts 185, 187, 189, and 193), of this chapter.

(b) For purposes of this part, “document in any format” includes documents (electronic or physical), and also other tangible items, such as data plates or marked parts."
14:14:1.0.1.1.2.4.1.2,14,Aeronautics and Space,I,A,3,PART 3—GENERAL REQUIREMENTS,D,"Subpart D—Falsification, Reproduction, Alteration, Omission, or Incorrect Statements",,"§ 3.403 Falsification, reproduction, alteration, or omission.",FAA,,,,"(a) No person may make or cause to be made any fraudulent or intentionally false statement in:

(1) Any document in any format, submitted under any provision referenced in § 3.401, consisting of or related to any acceptance, application, approval, authorization, certificate, rating, declaration, designation, qualification, record, report, request for reconsideration, or similar; or

(2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 3.401.

(b) No person may make or cause to be made any production, reproduction, or alteration, for fraudulent purpose, of:

(1) Any document in any format, submitted or granted under any provision referenced in § 3.401, consisting of or related to any acceptance, application, approval, authorization, certificate, rating, declaration, designation, qualification, record, report, request for reconsideration, or similar; or

(2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 3.401.

(c) No person may knowingly omit, or cause to be omitted, a material fact in:

(1) Any document in any format, submitted under any provision referenced in § 3.401, consisting of or related to any acceptance, application, approval, authorization, certificate, rating, declaration, designation, qualification, record, report, request for reconsideration, or similar; or

(2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 3.401.

(d) The commission by any person of an act prohibited under paragraphs (a) through (c) of this section is a basis for:

(1) Denying, suspending, modifying, revoking, rescinding, removing, or withdrawing any acceptance, application, approval, authorization, certificate, rating, declaration, designation, qualification, request for reconsideration, or similar, issued or granted by the Administrator and held by that person; or

(2) A civil penalty."
14:14:1.0.1.1.2.4.1.3,14,Aeronautics and Space,I,A,3,PART 3—GENERAL REQUIREMENTS,D,"Subpart D—Falsification, Reproduction, Alteration, Omission, or Incorrect Statements",,§ 3.405 Incorrect statement or omission,FAA,,,,"(a) The following may serve as a basis for suspending, modifying, revoking, rescinding, removing, or withdrawing an acceptance, approval, authorization, certificate, rating, declaration, designation, qualification, or similar, or denying an application or request for reconsideration, or similar, issued or granted by the Administrator:

(1) An incorrect statement or omission of fact by any person, in or from any document in any format, submitted under any provision referenced in § 3.401, that was material to the issuance, validity, or granting of that acceptance, application, approval, authorization, certificate, rating, declaration, designation, qualification, request for reconsideration, or similar; or

(2) An incorrect statement or omission of fact by any person, in or from any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 3.401, that was material to the issuance, validity, or granting of that acceptance, approval, authorization, certificate, rating, declaration, designation, qualification, request for reconsideration, or similar.

(b) [Reserved]"
14:14:1.0.1.1.3.1.1.1,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,A,Subpart A—General,,§ 5.1 Applicability.,FAA,,,,"This part applies to all of the following:

(a) Any person that holds or applies for a certificate issued under part 119 of this chapter authorizing the person to conduct operations under part 121 of this chapter.

(b) Any person that holds or applies for a certificate issued under part 119 of this chapter authorizing the person to conduct operations under part 135 of this chapter.

(c) Any person that holds or applies for a Letter of Authorization issued under § 91.147 of this chapter.

(d) Any person that holds both a type certificate and a production certificate issued under part 21 of this chapter for the same product.

(e) Any person that holds a production certificate issued under part 21 of this chapter for a product for which the person is a licensee of the type certificate for the same product.

(f) Any person that applies for a production certificate under part 21 of this chapter for a product for which the person is the holder or licensee of the type certificate for the same product.

(g) Any person that holds a type certificate issued under part 21 of this chapter for a product, except for persons that hold only type certificates issued under § 21.29 of this chapter, that allows another person to use the type certificate to manufacture the same product under a production certificate."
14:14:1.0.1.1.3.1.1.10,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,A,Subpart A—General,,§ 5.19 Implementation plan.,FAA,,,,"(a) An implementation plan filed under this part must be based on the organizational system description as defined in § 5.17 and describe the means of compliance (including, but not limited to, new or existing policies, processes, or procedures) used to meet the requirements of this part.

(b) A person required to submit an implementation plan under this part must make available to the Administrator, upon request, all necessary information and data that demonstrates that the SMS has been or will be implemented in accordance with the implementation plan."
14:14:1.0.1.1.3.1.1.2,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,A,Subpart A—General,,§ 5.3 Definitions.,FAA,,,,"Hazard  means a condition or an object that could foreseeably cause or contribute to an incident or aircraft accident, as defined in 49 CFR 830.2.

Risk  means the composite of predicted severity and likelihood of the potential effect of a hazard.

Risk control  means a means to reduce or eliminate the effects of hazards.

Safety assurance  means processes within the SMS that function systematically to ensure the performance and effectiveness of safety risk controls and that the organization meets or exceeds its safety objectives through the collection, analysis, and assessment of information.

Safety Management System (SMS)  means the formal, top-down, organization-wide approach to managing safety risk and assuring the effectiveness of safety risk controls. It includes systematic procedures, practices, and policies for the management of safety risk.

Safety objective  means a measurable goal or desirable outcome related to safety.

Safety performance  means realized or actual safety accomplishment relative to the organization's safety objectives.

Safety policy  means the person's documented commitment to safety, which defines its safety objectives and the accountabilities and responsibilities of its employees in regards to safety.

Safety promotion  means a combination of training and communication of safety information to support the implementation and operation of an SMS in an organization.

Safety Risk Management  means a process within the SMS composed of describing the system, identifying the hazards, and analyzing, assessing, and controlling risk."
14:14:1.0.1.1.3.1.1.3,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,A,Subpart A—General,,§ 5.5 General requirements.,FAA,,,,"(a)  SMS components.  An SMS under this part must be appropriate to the size, scope, and complexity of the person's organization and include, at a minimum, all of the following components:

(1) Safety policy that meets the requirements of subpart B of this part.

(2) Safety risk management that meets the requirements of subpart C of this part.

(3) Safety assurance that meets the requirements of subpart D of this part.

(4) Safety promotion that meets the requirements of subpart E of this part.

(b)  Continuing requirements.  Any person required to develop and implement an SMS under this part must maintain the SMS in accordance with this part."
14:14:1.0.1.1.3.1.1.4,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,A,Subpart A—General,,"§ 5.7 Requirements for domestic, flag, and supplemental operations.",FAA,,,,"(a) Any person authorized to conduct operations under part 121 of this chapter that has an SMS acceptable to the FAA on or before May 28, 2024, must revise its SMS to meet the requirements of this part no later than May 28, 2025.

(b) Any person applying for authorization to conduct operations under part 121 of this chapter or with such application pending on or after May 28, 2024, must develop and implement an SMS that meets the requirements of this part.

(c) Any person required to develop and implement an SMS under this section must maintain the SMS as long as the person is authorized to conduct operations under part 121 of this chapter.

(d) Any person required to develop and implement an SMS under this section must make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part."
14:14:1.0.1.1.3.1.1.5,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,A,Subpart A—General,,§ 5.9 Requirements for commuter and on-demand operations or passenger-carrying flights for compensation or hire.,FAA,,,,"(a) Any person authorized to conduct operations under part 135 of this chapter or that holds a Letter of Authorization issued under § 91.147 of this chapter before May 28, 2024, must:

(1) Develop and implement an SMS that meets the requirements of this part no later than May 28, 2027.

(2) Submit to the FAA, a declaration of compliance with this part in a form and manner acceptable to the Administrator no later than May 28, 2027.

(b) Any person applying for authorization to conduct operations under part 135 of this chapter or a Letter of Authorization under § 91.147 of this chapter, or with such application pending on or after May 28, 2024, must develop and implement an SMS that meets the requirements of this part.

(c) Any person required to develop and implement an SMS under this section must maintain the SMS as long as the person is authorized to conduct operations under either part 135 or § 91.147 of this chapter.

(d) Any person required to develop and implement an SMS under this section must make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.

(e) The following requirements do not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft: §§ 5.21(a)(4), 5.21(a)(5), 5.21(c), 5.23(a)(2), 5.23(a)(3), 5.23(b), 5.25(b)(3), 5.25(c), 5.27(a), 5.27(b), 5.71(a)(7), 5.93, and 5.97(d) of this part."
14:14:1.0.1.1.3.1.1.6,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,A,Subpart A—General,,§ 5.11 Requirements for production certificate holders that are holders or licensees of a type certificate for the same product.,FAA,,,,"Any person that holds a production certificate issued under part 21 of this chapter for a product for which the person is the holder or licensee of the type certificate for the same product on or before May 28, 2024, must:

(a) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart.

(b) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator no later than November 28, 2024.

(c) Develop an SMS that meets the requirements of this part.

(d) Implement the SMS in accordance with this part no later than May 28, 2027.

(e) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.

(f) Maintain the SMS as long as the person is both a holder of a production certificate and a holder or licensee of a type certificate for the same product."
14:14:1.0.1.1.3.1.1.7,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,A,Subpart A—General,,§ 5.13 Requirements for type certificate holders or licensees applying for a production certificate for the same product.,FAA,,,,"(a) This section applies to any holder or licensee of a type certificate for a product who either:

(1) Applies for a production certificate for that same product under part 21 of this chapter on or after May 28, 2024, or

(2) Has an application for a production certificate for that same product under part 21 of this chapter pending on May 28, 2024.

(b) Any person that meets paragraph (a) of this section must:

(1) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart.

(2) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator during the certification process.

(3) Develop an SMS that meets the requirements of this part.

(4) Implement the SMS in accordance with this part no later than 36 months after submission of the implementation plan.

(5) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.

(6) Maintain the SMS as long as the person is both a holder of a production certificate and a holder or licensee of a type certificate for the same product."
14:14:1.0.1.1.3.1.1.8,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,A,Subpart A—General,,§ 5.15 Requirements for type certificate holders that allow another person to use the type certificate to obtain a production certificate for the same product.,FAA,,,,"(a) This section applies to any person that holds a type certificate issued under part 21 of this chapter for a product, except for persons that hold only type certificates issued under § 21.29 of this chapter, that allows another person to use the type certificate to manufacture the same product under a production certificate.

(b) Any person that meets paragraph (a) of this section and has a licensing agreement in accordance with § 21.55 of this chapter on May 28, 2024, must:

(1) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart.

(2) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator no later than November 28, 2024.

(3) Develop an SMS that meets the requirements of this part.

(4) Implement the SMS in accordance with this part no later than May 28, 2027.

(5) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.

(6) Maintain the SMS as long as the person continues to meet paragraph (a) of this section.

(c) Any person that meets paragraph (a) of this section and enters into a licensing agreement in accordance with § 21.55 of this chapter after May 28, 2024, must:

(1) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart.

(2) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator when providing written licensing agreements in accordance with § 21.55 of this chapter.

(3) Develop an SMS that meets the requirements of this part.

(4) Implement the SMS in accordance with this part no later than 36 months after submission of the person's implementation plan.

(5) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.

(6) Maintain the SMS as long as the person continues to meet paragraph (a) of this section."
14:14:1.0.1.1.3.1.1.9,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,A,Subpart A—General,,§ 5.17 Organizational system description.,FAA,,,,"An organizational system description developed and maintained under this part must include a summary of the following information about the safety of the aviation products or services provided by the person:

(a) The person's aviation-related processes, procedures, and activities.

(b) The function and purpose of the aviation products or services.

(c) The operating environment.

(d) The personnel, equipment, and facilities necessary for operation."
14:14:1.0.1.1.3.2.1.1,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,B,Subpart B—Safety Policy,,§ 5.21 Safety policy.,FAA,,,"[Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33106, Apr. 26, 2024]","(a) Any person required to have an SMS under this part must have a safety policy that includes at least the following:

(1) The person's safety objectives.

(2) The person's commitment to fulfill the safety objectives.

(3) A clear statement about the provision of the necessary resources for the implementation of the SMS.

(4) A safety reporting policy that defines requirements for employee reporting of safety hazards or issues.

(5) A policy that defines unacceptable behavior and conditions for disciplinary action.

(6) An emergency response plan that provides for the safe transition from normal to emergency operations in accordance with the requirements of § 5.27.

(7) A code of ethics that is applicable to all employees, including management personnel and officers, which clarifies that safety is the organization's highest priority.

(b) The safety policy must be signed by the accountable executive described in § 5.25.

(c) The safety policy must be documented and communicated throughout the person's organization.

(d) The safety policy must be regularly reviewed by the accountable executive to ensure it remains relevant and appropriate to the person."
14:14:1.0.1.1.3.2.1.2,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,B,Subpart B—Safety Policy,,§ 5.23 Safety accountability and authority.,FAA,,,"[Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33106, Apr. 26, 2024]","(a) Any person required to have an SMS under this part must define in its safety policy the accountability for safety of the following individuals:

(1) Accountable executive, as described in § 5.25.

(2) All members of management in regard to developing, implementing, and maintaining SMS processes within their area of responsibility, including, but not limited to:

(i) Hazard identification and safety risk assessment.

(ii) Assuring the effectiveness of safety risk controls.

(iii) Promoting safety as required in subpart E of this part.

(iv) Advising the accountable executive on the performance of the SMS and on any need for improvement.

(3) Employees relative to the person's safety performance.

(b) The person must identify the levels of management with the authority to make decisions regarding safety risk acceptance."
14:14:1.0.1.1.3.2.1.3,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,B,Subpart B—Safety Policy,,§ 5.25 Designation and responsibilities of required safety management personnel.,FAA,,,"[Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33106, Apr. 26, 2024]","(a)  Designation of the accountable executive.  Any person required to have an SMS under this part must identify an accountable executive who, irrespective of other functions, satisfies the following:

(1) Is the final authority over operations authorized to be conducted under the person's certificate(s) or Letter(s) of Authorization.

(2) Controls the financial resources required for the operations to be conducted under the person's certificate(s) or Letter(s) of Authorization.

(3) Controls the human resources required for the operations authorized to be conducted under the person's certificate(s) or Letter(s) of Authorization.

(4) Retains ultimate responsibility for the safety performance of the operations conducted under the person's certificate(s) or Letter(s) of Authorization.

(b)  Responsibilities of the accountable executive.  The accountable executive must accomplish the following:

(1) Ensure that the SMS is properly implemented and is performing across all pertinent areas.

(2) Develop and sign the safety policy.

(3) Communicate the safety policy throughout the person's organization.

(4) Regularly review the safety policy to ensure it remains relevant and appropriate to the person.

(5) Regularly review the safety performance and direct actions necessary to address substandard safety performance in accordance with § 5.75.

(c)  Designation of management personnel.  The accountable executive must designate sufficient management personnel who, on behalf of the accountable executive, are responsible for the following:

(1) Coordinate implementation, maintenance, and integration of the SMS throughout the person's organization.

(2) Facilitate hazard identification and safety risk analysis.

(3) Monitor the effectiveness of safety risk controls.

(4) Ensure safety promotion throughout the person's organization as required in subpart E of this part.

(5) Regularly report to the accountable executive on the performance of the SMS and on any need for improvement."
14:14:1.0.1.1.3.2.1.4,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,B,Subpart B—Safety Policy,,§ 5.27 Coordination of emergency response planning.,FAA,,,"[Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33106, Apr. 26, 2024]","Where emergency response procedures are necessary, any person required to have an SMS under this part must develop, and the accountable executive must approve as part of the safety policy, an emergency response plan that addresses at least the following:

(a) Delegation of emergency authority throughout the person's organization.

(b) Assignment of employee responsibilities during the emergency.

(c) Coordination of the emergency response plans with the emergency response plans of other organizations it must interface with during the provision of its services."
14:14:1.0.1.1.3.3.1.1,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,C,Subpart C—Safety Risk Management,,§ 5.51 Applicability.,FAA,,,"[Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33107, Apr. 26, 2024]","Any person required to have an SMS under this part must apply safety risk management to the following:

(a) Implementation of new systems.

(b) Revision of existing systems.

(c) Development of operational procedures.

(d) Identification of hazards or ineffective risk controls through the safety assurance processes in subpart D of this part."
14:14:1.0.1.1.3.3.1.2,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,C,Subpart C—Safety Risk Management,,§ 5.53 System analysis and hazard identification.,FAA,,,"[Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33106, Apr. 26, 2024]","(a) When applying safety risk management, any person required to have an SMS under this part must analyze the systems identified in § 5.51. Those system analyses must be used to identify hazards under paragraph (c) of this section and in developing and implementing risk controls related to the system under § 5.55(c).

(b) In conducting the system analysis, the following information must be considered:

(1) Function and purpose of the system.

(2) The system's operating environment.

(3) An outline of the system's processes and procedures.

(4) The personnel, equipment, and facilities necessary for operation of the system.

(5) The interfaces of the system.

(c) Any person required to have an SMS under this part must develop and maintain processes to identify hazards within the context of the system analysis."
14:14:1.0.1.1.3.3.1.3,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,C,Subpart C—Safety Risk Management,,§ 5.55 Safety risk assessment and control.,FAA,,,"[Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33107, Apr. 26, 2024]","Any person required to have an SMS under this part must:

(a) Develop and maintain processes to analyze safety risk associated with the hazards identified in § 5.53(c).

(b) Define a process for conducting risk assessment that allows for the determination of acceptable safety risk.

(c) Develop and maintain processes to develop safety risk controls that are necessary as a result of the safety risk assessment process under paragraph (b) of this section.

(d) Evaluate whether the risk will be acceptable with the proposed safety risk control applied before the safety risk control is implemented."
14:14:1.0.1.1.3.3.1.4,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,C,Subpart C—Safety Risk Management,,§ 5.57 Notification of hazards to interfacing persons.,FAA,,,"[Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33107, Apr. 26, 2024]","If a person required to have an SMS under this part identifies a hazard in the operating environment, the person must provide notice of the hazard to any interfacing person that, to the best of the person's knowledge, could address the hazard or mitigate the risk. For the purpose of this section, interfacing persons are those that contribute to the safety of the certificate or Letter of Authorization holder's aviation-related products and services."
14:14:1.0.1.1.3.4.1.1,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,D,Subpart D—Safety Assurance,,§ 5.71 Safety performance monitoring and measurement.,FAA,,,"[Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33107, Apr. 26, 2024]","(a) Any person required to have an SMS under this part must develop and maintain processes and systems to acquire data with respect to its operations, products, and services to monitor the safety performance of the organization. These processes and systems must include, at a minimum, the following:

(1) Monitoring of operational processes.

(2) Monitoring of the operational environment to detect changes.

(3) Auditing of operational processes and systems.

(4) Evaluations of the SMS and operational processes and systems.

(5) Investigations of incidents and accidents.

(6) Investigations of reports regarding potential non-compliance with regulatory standards or other safety risk controls established by the person through the safety risk management process established in subpart C of this part.

(7) A confidential employee reporting system in which employees can report hazards, issues, concerns, occurrences, incidents, as well as propose solutions and safety improvements, without concern of reprisal for reporting.

(8) Investigations of hazard notifications that have been received from external sources.

(b) Any person required to have an SMS under this part must develop and maintain processes that analyze the data acquired through the processes and systems identified under paragraph (a) of this section and any other relevant data with respect to its operations, products, and services.

(c) Any person that holds both a type certificate and a production certificate issued under part 21 of this chapter for the same product must submit a summary of the confidential employee reports received under paragraph (a)(7) of this section to the Administrator once every 6 months."
14:14:1.0.1.1.3.4.1.2,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,D,Subpart D—Safety Assurance,,§ 5.73 Safety performance assessment.,FAA,,,"[Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33108, Apr. 26, 2024]","(a) Any person required to have an SMS under this part must conduct assessments of its safety performance against its safety objectives, which include reviews by the accountable executive, to:

(1) Ensure compliance with the safety risk controls established by the person.

(2) Evaluate the performance of the SMS.

(3) Evaluate the effectiveness of the safety risk controls established under § 5.55(c) and identify any ineffective controls.

(4) Identify changes in the operational environment that may introduce new hazards.

(5) Identify new hazards.

(b) Upon completion of the assessment, if ineffective controls or new hazards are identified under paragraphs (a)(2) through (5) of this section, the person must use the safety risk management process described in subpart C of this part."
14:14:1.0.1.1.3.4.1.3,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,D,Subpart D—Safety Assurance,,§ 5.75 Continuous improvement.,FAA,,,"[Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33108, Apr. 26, 2024]",Any person required to have an SMS under this part must establish and implement processes to correct safety performance deficiencies identified in the assessments conducted under § 5.73.
14:14:1.0.1.1.3.5.1.1,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,E,Subpart E—Safety Promotion,,§ 5.91 Competencies and training.,FAA,,,"[Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33108, Apr. 26, 2024]",Any person required to have an SMS under this part must provide training to each individual identified in § 5.23 of this part to ensure the individuals attain and maintain the competencies necessary to perform their duties relevant to the operation and performance of the SMS.
14:14:1.0.1.1.3.5.1.2,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,E,Subpart E—Safety Promotion,,§ 5.93 Safety communication.,FAA,,,"[Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33108, Apr. 26, 2024]","Any person required to have an SMS under this part must develop and maintain means for communicating safety information that, at a minimum:

(a) Ensures that employees are aware of the SMS policies, processes, and tools that are relevant to their responsibilities.

(b) Conveys hazard information relevant to the employee's responsibilities.

(c) Explains why safety actions have been taken.

(d) Explains why safety procedures are introduced or changed."
14:14:1.0.1.1.3.6.1.1,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,F,Subpart F—SMS Documentation and Recordkeeping,,§ 5.95 SMS documentation.,FAA,,,"[Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33108, Apr. 26, 2024]","Any person required to have an SMS under this part must develop and maintain the following SMS documentation:

(a) Safety policy.

(b) SMS processes and procedures."
14:14:1.0.1.1.3.6.1.2,14,Aeronautics and Space,I,A,5,PART 5—SAFETY MANAGEMENT SYSTEMS,F,Subpart F—SMS Documentation and Recordkeeping,,§ 5.97 SMS records.,FAA,,,"[Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33108, Apr. 26, 2024]","Any person required to have an SMS under this part must:

(a) Maintain records of outputs of safety risk management processes as described in subpart C of this part. Such records must be retained for as long as the control remains relevant to the operation.

(b) Maintain records of outputs of safety assurance processes as described in subpart D of this part. Such records must be retained for a minimum of 5 years.

(c) Maintain a record of all training provided under § 5.91 for each individual. Such records must be retained for as long as the individual is employed by the person.

(d) Retain records of all communications provided under § 5.93 or § 5.57 for a minimum of 24 consecutive calendar months."
14:14:1.0.1.2.4.1.10.29,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,"§ 11.61 May I ask FAA to adopt, amend, or repeal a regulation, or grant relief from the requirements of a current regulation?",FAA,,,,"(a) Using a petition for rulemaking, you may ask FAA to add a new regulation to title 14 of the Code of Federal Regulations (14 CFR) or ask FAA to amend or repeal a current regulation in 14 CFR.

(b) Using a petition for exemption, you may ask FAA to grant you relief from current regulations in 14 CFR."
14:14:1.0.1.2.4.1.10.30,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.63 How and to whom do I submit my petition for rulemaking or petition for exemption?,FAA,,,"[Amdt. 11-50, 69 FR 22386, Apr. 26, 2004, as amended at 72 FR 68474, Dec. 5, 2007; Amdt. 11-55, 74 FR 202, Jan. 5, 2009; FAA-2016-6761, Amdt. No. 11-62, 83 FR 28534, June 20, 2016]","(a) To submit a petition for rulemaking or exemption—

(1) By electronic submission, submit your petition for rulemaking or exemption to the FAA through the internet at  http://www.regulations.gov,  the Federal Docket Management System website. For additional instructions, you may visit  http://www.faa.gov,  and navigate to the Rulemaking home page.

(2) By paper submission, send the original signed copy of your petition for rulemaking or exemption to this address: U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590.

(b) Submit a petition for rulemaking or exemption from part 139 of this chapter—

(1) To the appropriate FAA airport field office in whose area your airport is, or will be, established; and

(2) To the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590 or by electronic submission to this Internet address:  http://www.regulations.gov.

(c) The FAA may designate other means by which you can submit petitions in the future.

(d) Submit your petition for exemption 120 days before you need the exemption to take effect."
14:14:1.0.1.2.4.1.10.31,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.71 What information must I include in my petition for rulemaking?,FAA,,,,"(a) You must include the following information in your petition for rulemaking:

(1) Your name and mailing address and, if you wish, other contact information such as a fax number, telephone number, or e-mail address.

(2) An explanation of your proposed action and its purpose.

(3) The language you propose for a new or amended rule, or the language you would remove from a current rule.

(4) An explanation of why your proposed action would be in the public interest.

(5) Information and arguments that support your proposed action, including relevant technical and scientific data available to you.

(6) Any specific facts or circumstances that support or demonstrate the need for the action you propose.

(b) In the process of considering your petition, we may ask that you provide information or data available to you about the following:

(1) The costs and benefits of your proposed action to society in general, and identifiable groups within society in particular.

(2) The regulatory burden of your proposed action on small businesses, small organizations, small governmental jurisdictions, and Indian tribes.

(3) The recordkeeping and reporting burdens of your proposed action and whom the burdens would affect.

(4) The effect of your proposed action on the quality of the natural and social environments."
14:14:1.0.1.2.4.1.10.32,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.73 How does FAA process petitions for rulemaking?,FAA,,,,"After we have determined the disposition of your petition, we will contact you in writing about our decision. The FAA may respond to your petition for rulemaking in one of the following ways:

(a) If we determine that your petition justifies our taking the action you suggest, we may issue an NPRM or ANPRM. We will do so no later than 6 months after the date we receive your petition. In making our decision, we consider:

(1) The immediacy of the safety or security concerns you raise;

(2) The priority of other issues the FAA must deal with; and

(3) The resources we have available to address these issues.

(b) If we have issued an ANPRM or NPRM on the subject matter of your petition, we will consider your arguments for a rule change as a comment in connection with the rulemaking proceeding. We will not treat your petition as a separate action.

(c) If we have begun a rulemaking project in the subject area of your petition, we will consider your comments and arguments for a rule change as part of that project. We will not treat your petition as a separate action.

(d) If we have tasked ARAC to study the general subject area of your petition, we will ask ARAC to review and evaluate your proposed action. We will not treat your petition as a separate action.

(e) If we determine that the issues you identify in your petition may have merit, but do not address an immediate safety concern or cannot be addressed because of other priorities and resource constraints, we may dismiss your petition. Your comments and arguments for a rule change will be placed in a database, which we will examine when we consider future rulemaking."
14:14:1.0.1.2.4.1.10.33,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.75 Does FAA invite public comment on petitions for rulemaking?,FAA,,,,"Generally, FAA does not invite public comment on petitions for rulemaking."
14:14:1.0.1.2.4.1.10.34,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.77 Is there any additional information I must include in my petition for designating airspace?,FAA,,,,"In petitions asking FAA to establish, amend, or repeal a designation of airspace, including special use airspace, you must include all the information specified by § 11.71 and also:

(a) The location and a description of the airspace you want assigned or designated;

(b) A complete description of the activity or use to be made of that airspace, including a detailed description of the type, volume, duration, time, and place of the operations to be conducted in the area;

(c) A description of the air navigation, air traffic control, surveillance, and communication facilities available and to be provided if we grant the designation; and

(d) The name and location of the agency, office, facility, or person who would have authority to permit the use of the airspace when it was not in use for the purpose to which you want it assigned."
14:14:1.0.1.2.4.1.10.35,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.81 What information must I include in my petition for an exemption?,FAA,,,,"You must include the following information in your petition for an exemption and submit it to FAA as soon as you know you need an exemption.

(a) Your name and mailing address and, if you wish, other contact information such as a fax number, telephone number, or e-mail address;

(b) The specific section or sections of 14 CFR from which you seek an exemption;

(c) The extent of relief you seek, and the reason you seek the relief;

(d) The reasons why granting your request would be in the public interest; that is, how it would benefit the public as a whole;

(e) The reasons why granting the exemption would not adversely affect safety, or how the exemption would provide a level of safety at least equal to that provided by the rule from which you seek the exemption;

(f) A summary we can publish in the  Federal Register,  stating:

(1) The rule from which you seek the exemption; and

(2) A brief description of the nature of the exemption you seek;

(g) Any additional information, views or arguments available to support your request; and

(h) If you want to exercise the privileges of your exemption outside the United States, the reason why you need to do so."
14:14:1.0.1.2.4.1.10.36,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.83 How can I operate under an exemption outside the United States?,FAA,,,,"If you want to be able to operate under your exemption outside the United States, you must request this when you petition for relief and give us the reason for this use. If you do not provide your reason or we determine that it does not justify this relief, we will limit your exemption to use within the United States. Before we extend your exemption for use outside the United States, we will verify that the exemption would be in compliance with the Standards of the International Civil Aviation Organization (ICAO). If it would not, but we still believe it would be in the public interest to allow you to do so, we will file a difference with ICAO. However, a foreign country still may not allow you to operate in that country without meeting the ICAO standard."
14:14:1.0.1.2.4.1.10.37,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.85 Does FAA invite public comment on petitions for exemption?,FAA,,,,"Yes, FAA publishes information about petitions for exemption in the  Federal Register.  The information includes—

(a) The docket number of the petition;

(b) The citation to the rule or rules from which the petitioner requested relief;

(c) The name of the petitioner;

(d) The petitioner's summary of the action requested and the reasons for requesting it; and

(e) A request for comments to assist FAA in evaluating the petition."
14:14:1.0.1.2.4.1.10.38,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.87 Are there circumstances in which FAA may decide not to publish a summary of my petition for exemption?,FAA,,,,"The FAA may not publish a summary of your petition for exemption and request comments if you present or we find good cause why we should not delay action on your petition. The factors we consider in deciding not to request comment include:

(a) Whether granting your petition would set a precedent.

(b) Whether the relief requested is identical to exemptions granted previously.

(c) Whether our delaying action on your petition would affect you adversely.

(d) Whether you filed your petition in a timely manner."
14:14:1.0.1.2.4.1.10.39,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.89 How much time do I have to submit comments to FAA on a petition for exemption?,FAA,,,,The FAA states the specific time allowed for comments in the  Federal Register  notice about the petition. We usually allow 20 days to comment on a petition for exemption.
14:14:1.0.1.2.4.1.10.40,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.91 How does FAA inform me of its decision on my petition for exemption?,FAA,,,"[Doc. No. FAA-2005-22982, 71 FR 1485, Jan. 10, 2006]",The FAA will notify you in writing about its decision on your petition. A copy of this decision is also placed in the public docket. We will include the docket number associated with your petition in our letter to you.
14:14:1.0.1.2.4.1.10.41,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.101 May I ask FAA to reconsider my petition for rulemaking or petition for exemption if it is denied?,FAA,,,,"Yes, you may petition FAA to reconsider your petition denial. You must submit your request to the address to which you sent your original petition, and FAA must receive it within 60 days after we issued the denial. For us to accept your petition, show the following:

(a) That you have a significant additional fact and why you did not present it in your original petition;

(b) That we made an important factual error in our denial of your original petition; or

(c) That we did not correctly interpret a law, regulation, or precedent."
14:14:1.0.1.2.4.1.10.42,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,"§ 11.103 What exemption relief may be available to federal, state, and local governments when operating aircraft that are not public aircraft?",FAA,,,"[68 FR 25488, May 13, 2003]","The Federal Aviation Administration may grant a federal, state, or local government an exemption from part A of subtitle VII of title 49 United States Code, and any regulation issued under that authority that is applicable to an aircraft as a result of the Independent Safety Board Act Amendments of 1994, Public Law 103-411, if—

(a) The Administrator finds that granting the exemption is necessary to prevent an undue economic burden on the unit of government; and

(b) The Administrator certifies that the aviation safety program of the unit of government is effective and appropriate to ensure safe operations of the type of aircraft operated by the unit of government."
14:14:1.0.1.2.4.1.6.1,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.1 To what does this part apply?,FAA,,,,"This part applies to the issuance, amendment, and repeal of any regulation for which FAA (“we”) follows public rulemaking procedures under the Administrative Procedure Act (“APA”) (5 U.S.C. 553)."
14:14:1.0.1.2.4.1.6.10,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.19 What is a special condition?,FAA,,,,"A special condition is a regulation that applies to a particular aircraft design. The FAA issues special conditions when we find that the airworthiness regulations for an aircraft, aircraft engine, or propeller design do not contain adequate or appropriate safety standards, because of a novel or unusual design feature."
14:14:1.0.1.2.4.1.6.2,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.3 What is an advance notice of proposed rulemaking?,FAA,,,,An advance notice of proposed rulemaking (ANPRM) tells the public that FAA is considering an area for rulemaking and requests written comments on the appropriate scope of the rulemaking or on specific topics. An advance notice of proposed rulemaking may or may not include the text of potential changes to a regulation.
14:14:1.0.1.2.4.1.6.3,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.5 What is a notice of proposed rulemaking?,FAA,,,,A notice of proposed rulemaking (NPRM) proposes FAA's specific regulatory changes for public comment and contains supporting information. It includes proposed regulatory text.
14:14:1.0.1.2.4.1.6.4,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.7 What is a supplemental notice of proposed rulemaking?,FAA,,,,"On occasion, FAA may decide that it needs more information on an issue, or that we should take a different approach than we proposed. Also, we may want to follow a commenter's suggestion that goes beyond the scope of the original proposed rule. In these cases, FAA may issue a supplemental notice of proposed rulemaking (SNPRM) to give the public an opportunity to comment further or to give us more information."
14:14:1.0.1.2.4.1.6.5,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.9 What is a final rule?,FAA,,,,"A final rule sets out new or revised requirements and their effective date. It also may remove requirements. When preceded by an NPRM, a final rule will also identify significant substantive issues raised by commenters in response to the NPRM and will give the agency's response."
14:14:1.0.1.2.4.1.6.6,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.11 What is a final rule with request for comments?,FAA,,,,"A final rule with request for comment is a rule that the FAA issues in final (with an effective date) that invites public comment on the rule. We usually do this when we have not first issued an ANPRM or NPRM, because we have found that doing so would be impracticable, unnecessary, or contrary to the public interest. We give our reasons for our determination in the preamble. The comment period often ends after the effective date of the rule. A final rule not preceded by an ANPRM or NPRM is commonly called an “immediately adopted final rule.” We invite comments on these rules only if we think that we will receive useful information. For example, we would not invite comments when we are just making an editorial clarification or correction."
14:14:1.0.1.2.4.1.6.7,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.13 What is a direct final rule?,FAA,,,"[Docket No. FAA-1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 84 FR 71717, Dec. 27, 2019]","A direct final rule is a type of final rule with request for comments. Our reason for issuing a direct final rule without an NPRM is that we would not expect to receive any adverse comments, and so an NPRM is unnecessary. However, to be certain that we are correct, we set the comment period to end before the effective date. 

If we receive an adverse comment, we will either publish a document withdrawing the direct final rule before it becomes effective and may issue an NPRM, or proceed by any other means permitted under the Administrative Procedure Act, 5 U.S.C. 551  et seq.,  consistent with procedures at 49 CFR 5.13(l)."
14:14:1.0.1.2.4.1.6.8,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.15 What is a petition for exemption?,FAA,,,"[FAA-2016-6761, Amdt. No. 11-62, 83 FR 28534, June 20, 2016]","A petition for exemption is a request to the FAA by an individual or entity asking for relief from the requirements of a current regulation. For petitions for waiver of commercial space transportation regulations, see part 404 of this title."
14:14:1.0.1.2.4.1.6.9,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.17 What is a petition for rulemaking?,FAA,,,,"A petition for rulemaking is a request to FAA by an individual or entity asking the FAA to adopt, amend, or repeal a regulation."
14:14:1.0.1.2.4.1.7.11,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.21 What are the most common kinds of rulemaking actions for which FAA follows the Administrative Procedure Act?,FAA,,,,"FAA follows the Administrative Procedure Act (APA) procedures for these common types of rules:

(a) Rules found in the Code of Federal Regulations;

(b) Airworthiness directives issued under part 39 of this chapter; and

(c) Airspace Designations issued under various parts of this chapter."
14:14:1.0.1.2.4.1.7.12,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.23 Does FAA follow the same procedures in issuing all types of rules?,FAA,,,,"Yes, in general, FAA follows the same procedures for all rule types. There are some differences as to which FAA official has authority to issue each type, and where you send petitions for FAA to adopt, amend, or repeal each type. Assume that the procedures in this subpart apply to all rules, except where we specify otherwise."
14:14:1.0.1.2.4.1.7.13,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.25 How does FAA issue rules?,FAA,,,"[Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]","(a) The FAA uses APA rulemaking procedures to adopt, amend, or repeal regulations. To propose or adopt a new regulation, or to change a current regulation, FAA will issue one or more of the following documents. We publish these rulemaking documents in the  Federal Register  unless we name and personally serve a copy of a rule on every person subject to it. We also make all documents available to the public by posting them in the Federal Docket Management System at  http://www.regulations.gov.

(1) An advance notice of proposed rulemaking (ANPRM).

(2) A notice of proposed rulemaking (NPRM).

(3) A supplemental notice of proposed rulemaking (SNPRM).

(4) A final rule.

(5) A final rule with request for comments.

(6) A direct final rule.

(b) Each of the rulemaking documents in paragraph (a) of this section generally contains the following information:

(1) The topic involved in the rulemaking document.

(2) FAA's legal authority for issuing the rulemaking document.

(3) How interested persons may participate in the rulemaking proceeding (for example, by filing written comments or making oral presentations at a public meeting).

(4) Whom to call if you have questions about the rulemaking document.

(5) The date, time, and place of any public meetings FAA will hold to discuss the rulemaking document.

(6) The docket number and regulation identifier number (RIN) for the rulemaking proceeding."
14:14:1.0.1.2.4.1.7.14,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.27 Are there other ways FAA collects specific rulemaking recommendations before we issue an NPRM?,FAA,,,,"Yes, the FAA obtains advice and recommendations from rulemaking advisory committees. One of these committees is the Aviation Rulemaking Advisory Committee (ARAC), which is a formal standing committee comprised of representatives of aviation associations and industry, consumer groups, and interested individuals. In conducting its activities, ARAC complies with the Federal Advisory Committee Act and the direction of FAA. We task ARAC with providing us with recommended rulemaking actions dealing with specific areas and problems. If we accept an ARAC recommendation to change an FAA rule, we ordinarily publish an NPRM using the procedures in this part. The FAA may establish other rulemaking advisory committees as needed to focus on specific issues for a limited period of time."
14:14:1.0.1.2.4.1.7.15,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.29 May FAA change its regulations without first issuing an ANPRM or NPRM?,FAA,,,,"The FAA normally adds or changes a regulation by issuing a final rule after an NPRM. However, FAA may adopt, amend, or repeal regulations without first issuing an ANPRM or NPRM in the following situations:

(a) We may issue a final rule without first requesting public comment if, for good cause, we find that an NPRM is impracticable, unnecessary, or contrary to the public interest. We place that finding and a brief statement of the reasons for it in the final rule. For example, we may issue a final rule in response to a safety emergency.

(b) If an NPRM would be unnecessary because we do not expect to receive adverse comment, we may issue a direct final rule."
14:14:1.0.1.2.4.1.7.16,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.31 How does FAA process direct final rules?,FAA,,,"[Docket No. FAA-1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 84 FR 71717, Dec. 27, 2019]","(a) A direct final rule will take effect on a specified date unless FAA receives an adverse comment within the comment period—generally 60 days after the direct final rule is published in the  Federal Register.  An adverse comment explains why a rule would be inappropriate, or would be ineffective or unacceptable without a change. It may challenge the rule's underlying premise or approach. Under the direct final rule process, we do not consider the following types of comments to be adverse:

(1) A comment recommending another rule change, in addition to the change in the direct final rule at issue. We consider the comment adverse, however, if the commenter states why the direct final rule would be ineffective without the change.

(2) A frivolous or insubstantial comment.

(b) If FAA has not received an adverse comment, we will publish a confirmation document in the  Federal Register,  generally within 15 days after the comment period closes. The confirmation document tells the public the effective date of the rule.

(c) If we receive an adverse comment, we will advise the public by publishing a document in the  Federal Register  before the effective date of the direct final rule. This document may withdraw the direct final rule in whole or in part. If we withdraw a direct final rule because of an adverse comment, we may incorporate the commenter's recommendation into another direct final rule or may publish a notice of proposed rulemaking."
14:14:1.0.1.2.4.1.7.17,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.33 How can I track FAA's rulemaking activities?,FAA,,,"[Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]","The best ways to track FAA's rulemaking activities are with the docket number or the regulation identifier number.

(a)  Docket ID.  We assign a docket ID to each rulemaking document proceeding. Each rulemaking document FAA issues in a particular rulemaking proceeding, as well as public comments on the proceeding, will display the same docket ID. This ID allows you to search the Federal Docket Management System (FDMS) for information on most rulemaking proceedings. You can view and copy docket materials during regular business hours at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. Or you can view and download docketed materials through the Internet at  http://www.regulations.gov.  If you can't find the material in the electronic docket, contact the person listed under  FOR FURTHER INFORMATION CONTACT  in the document you are interested in.

(b)  Regulation identifier number.  DOT publishes a semiannual agenda of all current and projected DOT rulemakings, reviews of existing regulations, and completed actions. This semiannual agenda appears in the Unified Agenda of Federal Regulations, published in the  Federal Register  in April and October of each year. The semiannual agenda tells the public about DOT's—including FAA's—regulatory activities. DOT assigns a regulation identifier number (RIN) to each individual rulemaking proceeding in the semiannual agenda. This number appears on all rulemaking documents published in the  Federal Register  and makes it easy for you to track those rulemaking proceedings in both the  Federal Register  and the semiannual regulatory agenda."
14:14:1.0.1.2.4.1.7.18,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.35 Does FAA include sensitive security information and proprietary information in the Federal Docket Management System (FDMS)?,FAA,,,"[Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]","(a)  Sensitive security information.  You should not submit sensitive security information to the rulemaking docket, unless you are invited to do so in our request for comments. If we ask for this information, we will tell you in the specific document how to submit this information, and we will provide a separate non-public docket for it. For all proposed rule changes involving civil aviation security, we review comments as we receive them, before they are placed in the docket. If we find that a comment contains sensitive security information, we remove that information before placing the comment in the general docket.

(b)  Proprietary information.  When we are aware of proprietary information filed with a comment, we do not place it in the docket. We hold it in a separate file to which the public does not have access, and place a note in the docket that we have received it. If we receive a request to examine or copy this information, we treat it as any other request under the Freedom of Information Act (5 U.S.C. 552). We process such a request under the DOT procedures found in 49 CFR part 7."
14:14:1.0.1.2.4.1.7.19,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,"§ 11.37 Where can I find information about an Airworthiness Directive, an airspace designation, or a petition handled in a region?",FAA,,,,"The FAA includes most documents concerning Airworthiness Directives, airspace designations, or petitions handled in a region in the electronic docket. If the information isn't in the docket, contact the person listed under  FOR FURTHER INFORMATION CONTACT  in the  Federal Register  document about the action."
14:14:1.0.1.2.4.1.7.20,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.38 What public comment procedures does the FAA follow for Special Conditions?,FAA,,,,"Even though the Administrative Procedure Act does not require notice and comment for rules of particular applicability, FAA does publish proposed special conditions for comment. In the following circumstances we may not invite comment before we issue a special condition. If we don't, we will invite comment when we publish the final special condition.

(a) The FAA considers prior notice to be impracticable if issuing a design approval would significantly delay delivery of the affected aircraft. We consider such a delay to be contrary to the public interest.

(b) The FAA considers prior notice to be unnecessary if we have provided previous opportunities to comment on substantially identical proposed special conditions, and we are satisfied that new comments are unlikely."
14:14:1.0.1.2.4.1.7.21,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.39 How may I participate in FAA's rulemaking process?,FAA,,,,"You may participate in FAA's rulemaking process by doing any of the following:

(a) File written comments on any rulemaking document that asks for comments, including an ANPRM, NPRM, SNPRM, a final rule with request for comments, or a direct final rule. Follow the directions for commenting found in each rulemaking document.

(b) Ask that we hold a public meeting on any rulemaking, and participate in any public meeting that we hold.

(c) File a petition for rulemaking that asks us to adopt, amend, or repeal a regulation."
14:14:1.0.1.2.4.1.7.22,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.40 Can I get more information about a rulemaking?,FAA,,,"[Docket No. FAA-1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 84 FR 71717, Dec. 27, 2019]","You can contact the person listed under  FOR FURTHER INFORMATION CONTACT  in the preamble of a rule. That person can explain the meaning and intent of a proposed rule, the technical aspects of a document, the terminology in a document, and can tell you our published schedule for the rulemaking process. We cannot give you information that is not already available to other members of the public. 

The Department of Transportation policy regarding public contacts during rulemaking appears at 49 CFR 5.19."
14:14:1.0.1.2.4.1.8.23,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.41 Who may file comments?,FAA,,,,Anyone may file written comments about proposals and final rules that request public comments.
14:14:1.0.1.2.4.1.8.24,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.43 What information must I put in my written comments?,FAA,,,,"(a) Your written comments must be in English and must contain the following:

(1) The docket number of the rulemaking document you are commenting on, clearly set out at the beginning of your comments.

(2) Your name and mailing address, and, if you wish, other contact information, such as a fax number, telephone number, or e-mail address.

(3) Your information, views, or arguments, following the instructions for participation in the rulemaking document on which you are commenting.

(b) You should also include all material relevant to any statement of fact or argument in your comments, to the extent that the material is available to you and reasonable for you to submit. Include a copy of the title page of the document. Whether or not you submit a copy of the material to which you refer, you should indicate specific places in the material that support your position."
14:14:1.0.1.2.4.1.8.25,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.45 Where and when do I file my comments?,FAA,,,"[Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007]","(a) Send your comments to the location specified in the rulemaking document on which you are commenting. If you are asked to send your comments to the Federal Document Management System, you may send them in either of the following ways:

(1) By mail to: U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590.

(2) Through the Internet to  http://www.regulations.gov.

(3) In any other manner designated by FAA.

(b) Make sure that your comments reach us by the deadline set out in the rulemaking document on which you are commenting. We will consider late-filed comments to the extent possible only if they do not significantly delay the rulemaking process.

(c) We may reject your paper or electronic comments if they are frivolous, abusive, or repetitious. We may reject comments you file electronically if you do not follow the electronic filing instructions at the Federal Docket Management System Web site."
14:14:1.0.1.2.4.1.8.26,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.47 May I ask for more time to file my comments?,FAA,,,,"Yes, if FAA grants your request for more time to file comments, we grant all persons the same amount of time. We will notify the public of the extension by a document in the  Federal Register.  If FAA denies your request, we will notify you of the denial. To ask for more time, you must file a written or electronic request for extension at least 10 days before the end of the comment period. Your letter or message must—

(a) Show the docket number of the rule at the top of the first page;

(b) State, at the beginning, that you are requesting an extension of the comment period;

(c) Show that you have good cause for the extension and that an extension is in the public interest;

(d) Be sent to the address specified for comments in the rulemaking document on which you are commenting."
14:14:1.0.1.2.4.1.9.27,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.51 May I request that FAA hold a public meeting on a rulemaking action?,FAA,,,,"Yes, you may request that we hold a public meeting. FAA holds a public meeting when we need more than written comments to make a fully informed decision. Submit your written request to the address specified in the rulemaking document on which you are commenting. Specify at the top of your letter or message that you are requesting that the agency hold a public meeting. Submit your request no later than 30 days after our rulemaking notice. If we find good cause for a meeting, we will notify you and publish a notice of the meeting in the  Federal Register."
14:14:1.0.1.2.4.1.9.28,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,A,Subpart A—Rulemaking Procedures,,§ 11.53 What takes place at a public meeting?,FAA,,,,"A public meeting is a non-adversarial, fact-finding proceeding conducted by an FAA representative. Public meetings are announced in the  Federal Register.  We invite interested persons to attend and to present their views to the agency on specific issues. There are no formal pleadings and no adverse parties, and any regulation issued afterward is not necessarily based exclusively on the record of the meeting."
14:14:1.0.1.2.4.2.11.1,14,Aeronautics and Space,I,B,11,PART 11—GENERAL RULEMAKING PROCEDURES,B,Subpart B—Paperwork Reduction Act Control Numbers,,§ 11.201 Office of Management and Budget (OMB) control numbers assigned under the Paperwork Reduction Act.,FAA,,,"[Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended by Amdt. 11-47, 67 FR 9553, Mar. 1, 2002; Amdt. 11-49, 68 FR 61321, Oct. 27, 2003; Amdt. 11-49, 68 FR 70132, Dec. 17, 2003; 70 FR 40163, July 12, 2005; 71 FR 63426, Oct. 30, 2006; 72 FR 59599, Oct. 22, 2007; Amdt. 11-56, 79 FR 12937, Mar. 7, 2014; Amdt. 11-57, 80 FR 58586, Sept. 30, 2015; Doc. FAA-2015-7396, Amdt. 11-58, 80 FR 79255, Dec. 21, 2015; Doc. FAA-2011-1136, Amdt. 11-59, 81 FR 13969, Mar. 16, 2016; Doc. FAA-2014-0554, Amdt. 11-60, 81 FR 33117, May 24, 2016; 81 FR 38573, June 14, 2016; Doc. FAA-2016-9064, Amdt. 11-61, 81 FR 59129, Aug. 29, 2016; FAA-2018-1087, Amdt. 11-64, 86 FR 4381, Jan. 15, 2021; Docket No. FAA-2019-1100, Amdt. 11-63, 86 FR 4503, Jan. 15, 2021; FAA-2020-0246, Amdt. 11-65, 86 FR 31060, June 10, 2021; FAA-2018-1051, Amdt. 13-40A, 87 FR 61233, Oct. 11, 2022; FAA-2023-2250, Amdt. 11-66, 89 FR 67849, Aug. 22, 2024; FAA-2023-0825; Amdt. No. 11-67, 89 FR 80049, Oct. 1, 2024; FAA-2023-1351; Amdt. No. 11-68, 89 FR 80339, Oct. 2, 2024; FAA-2024-2580; Amdt. No. 11-70, 89 FR 90577, Nov. 18, 2024; 90 FR 215, Jan. 3, 2025; FAA-2023-1275, Amdt. No. 11-69, 89 FR 92483, Nov. 21, 2024]","(a) The Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) requires FAA to get approval from OMB for our information collection activities, and to list a record of those approvals in the  Federal Register.  This subpart lists the control numbers OMB assigned to FAA's information collection activities.

(b) The table listing OMB control numbers assigned to FAA's information collection activities follows:"
14:14:1.0.1.2.5.1.11.1,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,A,Subpart A—General Authority to Re-Delegate and Investigative Procedures,,§ 13.1 Re-delegation.,FAA,,,,"Unless otherwise specified, the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement may re-delegate the authority delegated to them under this part."
14:14:1.0.1.2.5.1.11.2,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,A,Subpart A—General Authority to Re-Delegate and Investigative Procedures,,§ 13.2 Reports of violations.,FAA,,,,"(a) Any person who knows of any violation of 49 U.S.C. subtitle VII, 49 U.S.C. chapter 51, or any rule, regulation, or order issued under those statutes, should report the violation to FAA personnel.

(b) FAA personnel will review each report made under this section to determine whether any additional investigation or action is warranted."
14:14:1.0.1.2.5.1.11.3,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,A,Subpart A—General Authority to Re-Delegate and Investigative Procedures,,§ 13.3 Investigations (general).,FAA,,,,"(a) The Administrator may conduct investigations; hold hearings; issue subpoenas; require the production of relevant documents, records, and property; and take evidence and depositions.

(b) The Administrator has delegated the authority to conduct investigations to the various services and offices for matters within their respective areas.

(c) The Administrator delegates to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement the authority to:

(1) Issue orders;

(2) Conduct formal investigations;

(3) Subpoena witnesses and records in conducting a hearing or investigation;

(4) Order depositions and production of records in a proceeding or investigation; and

(5) Petition a court of the United States to enforce a subpoena or order described in paragraphs (c)(3) and (4) of this section.

(d) A complaint against the sponsor, proprietor, or operator of a federally assisted airport involving violations of the legal authorities listed in § 16.1 of this chapter must be filed in accordance with the provisions of part 16 of this chapter."
14:14:1.0.1.2.5.1.11.4,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,A,Subpart A—General Authority to Re-Delegate and Investigative Procedures,,§ 13.5 Formal complaints.,FAA,,,,"(a) Any person may file a complaint with the Administrator with respect to a violation by a person of any requirement under 49 U.S.C. subtitle VII, 49 U.S.C. chapter 51, or any rule, regulation, or order issued under those statutes, as to matters within the jurisdiction of the Administrator. This section does not apply to complaints against the Administrator or employees of the FAA acting within the scope of their employment.

(b) Complaints filed under this section must—

(1) Be submitted in writing and identified as a complaint seeking an appropriate order or other enforcement action;

(2) Be submitted to the Federal Aviation Administration, Office of the Chief Counsel, Attention: Formal Complaint Clerk (AGC-300), 800 Independence Avenue SW, Washington, DC 20591;

(3) Set forth the name and address, if known, of each person who is the subject of the complaint and, with respect to each person, the specific provisions of the statute, rule, regulation, or order that the complainant believes were violated;

(4) Contain a concise but complete statement of the facts relied upon to substantiate each allegation;

(5) State the name, address, telephone number, and email of the person filing the complaint; and

(6) Be signed by the person filing the complaint or an authorized representative.

(c) A complaint that does not meet the requirements of paragraph (b) of this section will be considered a report under § 13.2.

(d) The FAA will send a copy of a complaint that meets the requirements of paragraph (b) of this section to the subject(s) of the complaint by certified mail.

(e) A subject of the complaint may serve a written answer to the complaint to the Formal Complaint Clerk at the address specified in paragraph (b)(2) of this section no later than 20 days after service of a copy of the complaint. For purposes of this paragraph (e), the date of service is the date on which the FAA mailed a copy of the complaint to the subject of the complaint.

(f) After the subject(s) of the complaint have served a written answer or after the allotted time to serve an answer has expired, the Administrator will determine if there are reasonable grounds for investigating the complaint, and—

(1) If the Administrator determines that a complaint does not state facts that warrant an investigation or action, the complaint may be dismissed without a hearing and the reason for the dismissal will be given, in writing, to the person who filed the complaint and the subject(s) of the complaint; or

(2) If the Administrator determines that reasonable grounds exist, an informal investigation may be initiated or an order of investigation may be issued in accordance with subpart F of this part, or both. The subject(s) of a complaint will be advised which official has been delegated the responsibility under § 13.3(b) or (c), as applicable, for conducting the investigation.

(g) If the investigation substantiates the allegations set forth in the complaint, the Administrator may take action in accordance with applicable law and FAA policy.

(h) The complaint and other records relating to the disposition of the complaint are maintained in the Formal Complaint Docket (AGC-300), Office of the Chief Counsel, Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591. Any interested person may examine any docketed material at that office at any time after the docket is established, except material that is required to be withheld from the public under applicable law, and may obtain a copy upon paying the cost of the copy."
14:14:1.0.1.2.5.1.11.5,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,A,Subpart A—General Authority to Re-Delegate and Investigative Procedures,,"§ 13.7 Records, documents, and reports.",FAA,,,,"Each record, document, and report that FAA regulations require to be maintained, exhibited, or submitted to the Administrator may be used in any investigation conducted by the Administrator; and, except to the extent the use may be specifically limited or prohibited by the section which imposes the requirement, the records, documents, and reports may be used in any civil penalty action, certificate action, or other legal proceeding."
14:14:1.0.1.2.5.2.11.1,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,B,Subpart B—Administrative Actions,,§ 13.11 Administrative disposition of certain violations.,FAA,,,,"(a) If, after an investigation, FAA personnel determine that an apparent violation of 49 U.S.C. subtitle VII, 49 U.S.C. chapter 51, or any rule, regulation, or order issued under those statutes, does not require legal enforcement action, an appropriate FAA official may take administrative action to address the apparent violation.

(b) An administrative action under this section does not constitute a formal adjudication of the matter, and may take the form of—

(1) A Warning Notice that recites available facts and information about the incident or condition and indicates that it may have been a violation; or

(2) A Letter of Correction that states the corrective action the apparent violator has taken or agrees to take. If the apparent violator does not complete the agreed corrective action, the FAA may take legal enforcement action."
14:14:1.0.1.2.5.3.11.1,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,C,Subpart C—Legal Enforcement Actions,,§ 13.13 Consent orders.,FAA,,,,"(a) The Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement may issue a consent order to resolve any matter with a person that may be subject to legal enforcement action.

(b) A person that may be subject to legal enforcement action may propose a consent order. The proposed consent order must include—

(1) An admission of all jurisdictional facts;

(2) An express waiver of the right to further procedural steps and of all rights to legal review in any forum;

(3) An express waiver of attorney's fees and costs;

(4) If a notice or order has been issued prior to the proposed consent order, an incorporation by reference of the notice or order and an acknowledgment that the notice or order may be used to construe the terms of the consent order; and

(5) If a request for hearing or appeal is pending in any forum, a provision that the person will withdraw the request for hearing or notice of appeal."
14:14:1.0.1.2.5.3.11.2,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,C,Subpart C—Legal Enforcement Actions,,§ 13.14 [Reserved],FAA,,,,
14:14:1.0.1.2.5.3.11.3,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,C,Subpart C—Legal Enforcement Actions,,§ 13.15 Civil penalties: Other than by administrative assessment.,FAA,,,,"(a) The FAA uses the procedures in this section when it seeks a civil penalty other than by the administrative assessment procedures in § 13.16 or § 13.18.

(b) The authority of the Administrator to seek a civil penalty, and the ability to refer cases to the United States Attorney General, or the delegate of the Attorney General, for prosecution of civil penalty actions sought by the Administrator is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement. This delegation applies to cases involving one or more of the following:

(1) An amount in controversy in excess of:

(i) $400,000, if the violation was committed by a person other than an individual or small business concern; or

(ii) $50,000, if the violation was committed by an individual or small business concern.

(2) An in rem action, seizure of aircraft subject to lien, suit for injunctive relief, or for collection of an assessed civil penalty.

(c) The Administrator may compromise any civil penalty proposed under this section, before referral to the United States Attorney General, or the delegate of the Attorney General, for prosecution.

(1) The Administrator, through the Chief Counsel, a Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement sends a civil penalty letter to the person charged with a violation. The civil penalty letter contains a statement of the charges; the applicable law, rule, regulation, or order; and the amount of civil penalty that the Administrator will accept in full settlement of the action or an offer to compromise the civil penalty.

(2) Not later than 30 days after receipt of the civil penalty letter, the person cited with an alleged violation may respond to the civil penalty letter by—

(i) Submitting electronic payment, a certified check, or money order in the amount offered by the Administrator in the civil penalty letter. The agency attorney will send a letter to the person charged with the violation stating that payment is accepted in full settlement of the civil penalty action; or

(ii) Submitting one of the following to the agency attorney:

(A) Written material or information that may explain, mitigate, or deny the violation or that may show extenuating circumstances; or

(B) A written request for an informal conference to discuss the matter with the agency attorney and to submit any relevant information or documents that may explain, mitigate, or deny the violation; or that may show extenuating circumstances.

(3) The documents, material, or information submitted under paragraph (c)(2)(ii) of this section may include support for any claim of inability to pay the civil penalty in whole or in part, or for any claim of small business status as defined in 49 U.S.C. 46301(i).

(4) The Administrator will consider any material or information submitted under paragraph (c)(2)(ii) of this section to determine whether the person is subject to a civil penalty or to determine the amount for which the Administrator will compromise the action.

(5) If the parties cannot agree to compromise the civil penalty, the Administrator may refer the civil penalty action to the United States Attorney General, or the delegate of the Attorney General, to begin proceedings in a U.S. district court to prosecute and collect a civil penalty."
14:14:1.0.1.2.5.3.11.4,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,C,Subpart C—Legal Enforcement Actions,,"§ 13.16 Civil penalties: Administrative assessment against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman; administrative assessment against all persons for hazardous materials violations.",FAA,,,,"(a)  General.  The FAA uses the procedures in this section when it assesses a civil penalty against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman for a violation cited in the first sentence of 49 U.S.C. 46301(d)(2), or in 49 U.S.C. 47531, or any implementing rule, regulation, or order, except when the U.S. district courts have exclusive jurisdiction.

(b)  District court jurisdiction.  The U.S. district courts have exclusive jurisdiction of any civil penalty action initiated by the FAA for violations described in paragraph (a) of this section if—

(1) The amount in controversy is more than $400,000 for a violation committed by a person other than an individual or small business concern;

(2) The amount in controversy is more than $50,000 for a violation committed by an individual or a small business concern;

(3) The action is in rem or another action in rem based on the same violation has been brought;

(4) The action involves an aircraft subject to a lien that has been seized by the Government; or

(5) Another action has been brought for an injunction based on the same violation.

(c)  Hazardous materials violations.  An order assessing a civil penalty for a violation under 49 U.S.C. chapter 51, or a rule, regulation, or order issued under 49 U.S.C. chapter 51, is issued only after the following factors have been considered:

(1) The nature, circumstances, extent, and gravity of the violation;

(2) With respect to the violator, the degree of culpability, any history of prior violations, the ability to pay, and any effect on the ability to continue to do business; and

(3) Other matters that justice requires.

(d)  Delegation of authority.  The authority of the Administrator is delegated to each Deputy Chief Counsel and the Assistant Chief Counsel for Enforcement, as follows:

(1) Under 49 U.S.C. 46301(d), 47531, and 5123, and 49 CFR 1.83, to initiate and assess civil penalties for a violation of those statutes or a rule, regulation, or order issued under those provisions;

(2) Under 49 U.S.C. 5123, 49 CFR 1.83, 49 U.S.C. 46301(d), and 49 U.S.C. 46305, to refer cases to the Attorney General of the United States or a delegate of the Attorney General for collection of civil penalties;

(3) Under 49 U.S.C. 46301(f), to compromise the amount of a civil penalty imposed; and

(4) Under 49 U.S.C. 5123(e) and (f) and 49 CFR 1.83, to compromise the amount of a civil penalty imposed.

(e)  Order assessing civil penalty.  (1) An order assessing civil penalty may be issued for a violation described in paragraph (a) or (c) of this section, or as otherwise provided by statute, after notice and opportunity for a hearing, when:

(i) A person charged with a violation agrees to pay a civil penalty for a violation; or

(ii) A person charged with a violation does not request a hearing under paragraph (g)(2)(ii) of this section within 15 days after receipt of a final notice of proposed civil penalty.

(2) The following also serve as an order assessing civil penalty:

(i) An initial decision or order issued by an administrative law judge as described in § 13.232(e).

(ii) A decision or order issued by the FAA decisionmaker as described in § 13.233(j).

(f)  Notice of proposed civil penalty.  A civil penalty action is initiated by sending a notice of proposed civil penalty to the person charged with a violation, the designated agent for the person, or if there is no such designated agent, the president of the company charged with a violation. In response to a notice of proposed civil penalty, a company may designate in writing another person to receive documents in that civil penalty action. The notice of proposed civil penalty contains a statement of the charges and the amount of the proposed civil penalty. Not later than 30 days after receipt of the notice of proposed civil penalty, the person charged with a violation may—

(1) Submit the amount of the proposed civil penalty or an agreed-upon amount, in which case either an order assessing civil penalty or compromise order under paragraph (n) of this section may be issued in that amount;

(2) Submit to the agency attorney one of the following:

(i) Written information, including documents and witness statements, demonstrating that a violation of the regulations did not occur or that a penalty or the amount of the penalty is not warranted by the circumstances.

(ii) A written request to reduce the proposed civil penalty, stating the amount of reduction and the reasons and providing any documents supporting a reduction of the proposed civil penalty, including records indicating a financial inability to pay or records showing that payment of the proposed civil penalty would prevent the person from continuing in business.

(iii) A written request for an informal conference to discuss the matter with the agency attorney and to submit relevant information or documents; or

(3) Request a hearing conducted in accordance with subpart G of this part.

(g)  Final notice of proposed civil penalty.  A final notice of proposed civil penalty will be sent to the person charged with a violation, the designated agent for the person, the designated agent named in accordance with paragraph (f) of this section, or the president of the company charged with a violation. The final notice of proposed civil penalty contains a statement of the charges and the amount of the proposed civil penalty and, as a result of information submitted to the agency attorney during informal procedures, may modify an allegation or a proposed civil penalty contained in a notice of proposed civil penalty.

(1) A final notice of proposed civil penalty may be issued—

(i) If the person charged with a violation fails to respond to the notice of proposed civil penalty within 30 days after receipt of that notice; or

(ii) If the parties participated in any procedures under paragraph (f)(2) of this section and the parties have not agreed to compromise the action or the agency attorney has not agreed to withdraw the notice of proposed civil penalty.

(2) Not later than 15 days after receipt of the final notice of proposed civil penalty, the person charged with a violation may do one of the following:

(i) Submit the amount of the proposed civil penalty or an agreed-upon amount, in which case either an order assessing civil penalty or a compromise order under paragraph (n) of this section may be issued in that amount; or

(ii) Request a hearing conducted in accordance with subpart G of this part.

(h)  Request for a hearing.  Any person requesting a hearing, under paragraph (f)(3) or (g)(2)(ii) of this section must file the request with the FAA Hearing Docket Clerk and serve the request on the agency attorney in accordance with the requirements in subpart G of this part.

(i)  Hearing.  The procedural rules in subpart G of this part apply to the hearing.

(j)  Appeal.  Either party may appeal the administrative law judge's initial decision to the FAA decisionmaker under the procedures in subpart G of this part. The procedural rules in subpart G of this part apply to the appeal.

(k)  Judicial review.  A person may seek judicial review only of a final decision and order of the FAA decisionmaker in accordance with § 13.235.

(l)  Payment.  (1) A person must pay a civil penalty by:

(i) Sending a certified check or money order, payable to the Federal Aviation Administration, to the FAA office identified in the notice of proposed civil penalty, the final notice of proposed civil penalty, or the order assessing civil penalty; or

(ii) Making an electronic payment according to the directions specified in the notice of proposed civil penalty, the final notice of proposed civil penalty, or the order assessing civil penalty.

(2) The civil penalty must be paid within 30 days after service of the order assessing civil penalty, unless otherwise agreed to by the parties. In cases where a hearing is requested, an appeal to the FAA decisionmaker is filed, or a petition for review of the FAA decisionmaker's decision is filed in a U.S. court of appeals, the civil penalty must be paid within 30 days after all litigation in the matter is completed and the civil penalty is affirmed in whole or in part.

(m)  Collection of civil penalties.  If an individual does not pay a civil penalty imposed by an order assessing civil penalty or other final order, the Administrator may take action to collect the penalty.

(n)  Compromise.  The FAA may compromise the amount of any civil penalty imposed under this section under 49 U.S.C. 5123(e), 46301(f), or 46318 at any time before referring the action to the United States Attorney General, or the delegate of the Attorney General, for collection.

(1) When a civil penalty is compromised with a finding of violation, an agency attorney issues an order assessing civil penalty.

(2) When a civil penalty is compromised without a finding of violation, the agency attorney issues a compromise order that states the following:

(i) The person has paid a civil penalty or has signed a promissory note providing for installment payments.

(ii) The FAA makes no finding of a violation.

(iii) The compromise order will not be used as evidence of a prior violation in any subsequent civil penalty proceeding or certificate action proceeding."
14:14:1.0.1.2.5.3.11.5,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,C,Subpart C—Legal Enforcement Actions,,§ 13.17 Seizure of aircraft.,FAA,,,,"(a) The Chief Counsel, or a Regional Administrator for an aircraft within the region, may issue an order authorizing a State or Federal law enforcement officer or a Federal Aviation Administration safety inspector to seize an aircraft that is involved in a violation for which a civil penalty may be imposed on its owner or the individual commanding the aircraft.

(b) Each person seizing an aircraft under this section places it in the nearest available and adequate public storage facility in the judicial district in which it was seized.

(c) The Regional Administrator or Chief Counsel, without delay, sends a written notice and a copy of this section to the registered owner of the seized aircraft and to each other person shown by FAA records to have an interest in it, stating the—

(1) Time, date, and place of seizure;

(2) Name and address of the custodian of the aircraft;

(3) Reasons for the seizure, including the violations alleged or proven to have been committed; and

(4) Amount that may be tendered as—

(i) A compromise of a civil penalty for the alleged violation; or

(ii) Payment for a civil penalty imposed for a proven violation.

(d) The Chief Counsel or Assistant Chief Counsel for Enforcement immediately sends a report to the United States Attorney for the judicial district in which it was seized, requesting the United States Attorney to institute proceedings to enforce a lien against the aircraft.

(e) The Regional Administrator or Chief Counsel directs the release of a seized aircraft when—

(1) The alleged violator pays a civil penalty or an amount agreed upon in compromise, and the costs of seizing, storing, and maintaining the aircraft;

(2) The aircraft is seized under an order of a court of the United States in proceedings in rem initiated under 49 U.S.C. 46305 to enforce a lien against the aircraft;

(3) The United States Attorney General, or the delegate of the Attorney General, notifies the FAA that the United States Attorney General, or the delegate of the Attorney General, refuses to institute proceedings in rem under 49 U.S.C. 46305 to enforce a lien against the aircraft; or

(4) A bond in the amount and with the sureties prescribed by the Chief Counsel or the Assistant Chief Counsel for Enforcement is deposited, conditioned on payment of the penalty or the compromise amount, and the costs of seizing, storing, and maintaining the aircraft."
14:14:1.0.1.2.5.3.11.6,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,C,Subpart C—Legal Enforcement Actions,,"§ 13.18 Civil penalties: Administrative assessment against an individual acting as a pilot, flight engineer, mechanic, or repairman.",FAA,,,,"(a)  General.  (1) This section applies to each action in which the FAA seeks to assess a civil penalty by administrative procedures against an individual acting as a pilot, flight engineer, mechanic, or repairman under 49 U.S.C. 46301(d)(5) for a violation listed in 49 U.S.C. 46301(d)(2). This section does not apply to a civil penalty assessed for a violation of 49 U.S.C. chapter 51, or a rule, regulation, or order issued thereunder.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, the U.S. district courts have exclusive jurisdiction of any civil penalty action involving an individual acting as a pilot, flight engineer, mechanic, or repairman for violations described in paragraph (a)(1), or under 49 U.S.C. 46301(d)(4), if:

(i) The amount in controversy is more than $50,000;

(ii) The action involves an aircraft subject to a lien that has been seized by the government; or

(iii) Another action has been brought for an injunction based on the same violation.

(b)  Definitions.  As used in this part, the following definitions apply:

(1)  Flight engineer  means an individual who holds a flight engineer certificate issued under part 63 of this chapter.

(2)  Individual acting as a pilot, flight engineer, mechanic, or repairman  means an individual acting in such capacity, whether or not that individual holds the respective airman certificate issued by the FAA.

(3)  Mechanic  means an individual who holds a mechanic certificate issued under part 65 of this chapter.

(4)  Pilot  means an individual who holds a pilot certificate issued under part 61 of this chapter.

(5)  Repairman  means an individual who holds a repairman certificate issued under part 65 of this chapter.

(c)  Delegation of authority.  The authority of the Administrator is delegated to the Chief Counsel and each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement, as follows:

(1) To initiate and assess civil penalties under 49 U.S.C. 46301(d)(5);

(2) To refer cases to the Attorney General of the United States, or the delegate of the Attorney General, for collection of civil penalties; and

(3) To compromise the amount of a civil penalty under 49 U.S.C. 46301(f).

(d)  Notice of proposed assessment.  A civil penalty action is initiated by sending a notice of proposed assessment to the individual charged with a violation specified in paragraph (a) of this section. The notice of proposed assessment contains a statement of the charges and the amount of the proposed civil penalty. The individual charged with a violation may do the following:

(1) Submit the amount of the proposed civil penalty or an agreed-upon amount, in which case either an order of assessment or a compromise order will be issued in that amount.

(2) Answer the charges in writing by submitting information, including documents and witness statements, demonstrating that a violation of the regulations did not occur or that a penalty, or the amount of the penalty, is not warranted by the circumstances.

(3) Submit a written request to reduce the proposed civil penalty, stating the amount of reduction and the reasons, and providing any documents supporting a reduction of the proposed civil penalty, including records indicating a financial inability to pay.

(4) Submit a written request for an informal conference to discuss the matter with an agency attorney and submit relevant information or documents.

(5) Request that an order of assessment be issued so that the individual charged may appeal to the National Transportation Safety Board.

(e)  Failure to respond to notice of proposed assessment.  An order of assessment may be issued if the individual charged with a violation fails to respond to the notice of proposed assessment within 15 days after receipt of that notice.

(f)  Order of assessment.  An order of assessment, which imposes a civil penalty, may be issued for a violation described in paragraph (a) of this section after notice and an opportunity to answer any charges and be heard as to why such order should not be issued.

(g)  Appeal.  Any individual who receives an order of assessment issued under this section may appeal the order to the National Transportation Safety Board. The appeal stays the effectiveness of the Administrator's order.

(h)  Judicial review.  A party may seek judicial review only of a final decision and order of the National Transportation Safety Board under 49 U.S.C. 46301(d)(6) and 46110. Neither an initial decision, nor an order issued by an administrative law judge that has not been appealed to the National Transportation Safety Board, nor an order compromising a civil penalty action, may be appealed under any of those sections.

(i)  Compromise.  The FAA may compromise any civil penalty imposed under this section at any time before referring the action to the United States Attorney General, or the delegate of the Attorney General, for collection.

(1) When a civil penalty is compromised with a finding of violation, an agency attorney issues an order of assessment.

(2) When a civil penalty is compromised without a finding of violation, the agency attorney issues a compromise order of assessment that states the following:

(i) The individual has paid a civil penalty or has signed a promissory note providing for installment payments;

(ii) The FAA makes no finding of violation; and

(iii) The compromise order will not be used as evidence of a prior violation in any subsequent civil penalty proceeding or certificate action proceeding.

(j)  Payment.  (1) An individual must pay a civil penalty by:

(i) Sending a certified check or money order, payable to the Federal Aviation Administration, to the FAA office identified in the order of assessment; or

(ii) Making an electronic payment according to the directions specified in the order of assessment.

(2) The civil penalty must be paid within 30 days after service of the order of assessment, unless an appeal is filed with the National Transportation Safety Board. In cases where an appeal is filed with the National Transportation Safety Board, or a petition for review is filed with a U.S. court of appeals, the civil penalty must be paid within 30 days after all litigation in the matter is completed and the civil penalty is affirmed in whole or in part.

(k)  Collection of civil penalties.  If an individual does not pay a civil penalty imposed by an order of assessment or other final order, the Administrator may take action provided under the law to collect the penalty."
14:14:1.0.1.2.5.3.11.7,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,C,Subpart C—Legal Enforcement Actions,,§ 13.19 Certificate actions appealable to the National Transportation Safety Board.,FAA,,,"[Docket FAA-2018-1051, Amdt. 13-40, 86 FR 54527, Oct. 1, 2021, as amended by Docket FAA-2018-1051, Amdt. 13-40A, 87 FR 61233, Oct. 11, 2022]","(a) This section applies to certificate actions by the Administrator that are appealable to the National Transportation Safety Board.

(1) Under 49 U.S.C. 44709(b) the Administrator may issue an order amending, modifying, suspending, or revoking all or part of any type certificate, production certificate, airworthiness certificate, airman certificate, air carrier operating certificate, air navigation facility certificate, or air agency certificate if as a result of a reinspection, reexamination, or other investigation, the Administrator determines that the public interest and safety in air commerce requires it, if a certificate holder has violated an aircraft noise or sonic boom standard or regulation prescribed under 49 U.S.C. 44715(a), or if the holder of the certificate is convicted of violating 16 U.S.C. 742j-1(a).

(2) The authority of the Administrator to issue orders under 49 U.S.C. 44709(b)(1)(A) and (b)(2) is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement.

(b) The agency attorney will issue a notice before issuing a non-immediately effective order to amend, modify, suspend, or revoke a type certificate, production certificate, airworthiness certificate, airman certificate, air carrier operating certificate, air navigation facility certificate, air agency certificate, or to revoke an aircraft certificate of registration because the aircraft was used to carry out or facilitate an activity punishable under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), by death or imprisonment for more than one year, and the owner of the aircraft permitted the use of the aircraft knowing that the aircraft was to be used for the activity.

(1) A notice of proposed certificate action will advise the certificate holder or aircraft owner of the charges or other reasons upon which the Administrator bases the proposed action, and allows the holder to answer any charges and to be heard as to why the certificate should not be amended, suspended, modified, or revoked.

(2) In response to a notice of proposed certificate action described in paragraph (b)(1) of this section, the certificate holder or aircraft owner, within 15 days of the date of receipt of the notice, may—

(i) Surrender the certificate and waive any right to contest or appeal the charged violations and sanction, in which case the Administrator will issue an order;

(ii) Answer the charges in writing by submitting information, including documents and witness statements, demonstrating that a violation of the regulations did not occur or that the proposed sanction is not warranted by the circumstances;

(iii) Submit a written request for an informal conference to discuss the matter with an agency attorney and submit relevant information or documents; or

(iv) Request that an order be issued in accordance with the notice of proposed certificate action so that the certificate holder or aircraft owner may appeal to the National Transportation Safety Board.

(c) In the case of an emergency order amending, modifying, suspending, or revoking a type certificate, production certificate, airworthiness certificate, airman certificate, air carrier operating certificate, air navigation facility certificate, or air agency certificate, a person affected by the immediate effectiveness of the Administrator's order may petition the National Transportation Safety Board for a review of the Administrator's determination that an emergency exists.

(d) A person may not petition the National Transportation Safety Board for a review of the Administrator's determination that safety in air transportation or air commerce requires the immediate effectiveness of an order where the action is based on the circumstances described in paragraph (d)(1), (2), or (3) of this section.

(1) The revocation of an individual's airman certificates for the reasons stated in paragraph (d)(1)(i) or (ii) of this section:

(i) A conviction under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), of an offense punishable by death or imprisonment for more than one year if the Administrator finds that—

(A) An aircraft was used to commit, or facilitate the commission of the offense; and

(B) The individual served as an airman, or was on the aircraft, in connection with committing, or facilitating the commission of, the offense.

(ii) Knowingly carrying out an activity punishable, under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), by death or imprisonment for more than one year; and—

(A) An aircraft was used to carry out or facilitate the activity; and

(B) The individual served as an airman, or was on the aircraft, in connection with carrying out, or facilitating the carrying out of, the activity.

(2) The revocation of a certificate of registration for an aircraft, and any other aircraft the owner of that aircraft holds, if the Administrator finds that—

(i) The aircraft was used to carry out or facilitate an activity punishable, under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), by death or imprisonment for more than one year; and

(ii) The owner of the aircraft permitted the use of the aircraft knowing that the aircraft was to be used for the activity described in paragraph (d)(2)(i) of this section.

(3) The revocation of an airman certificate, design organization certificate, type certificate, production certificate, airworthiness certificate, air carrier operating certificate, airport operating certificate, air agency certificate, or air navigation facility certificate if the Administrator finds that the holder of the certificate or an individual who has a controlling or ownership interest in the holder—

(i) Was convicted in a court of law of a violation of a law of the United States relating to the installation, production, repair, or sale of a counterfeit or fraudulently-represented aviation part or material; or

(ii) Knowingly, and with the intent to defraud, carried out or facilitated an activity described in paragraph (d)(3)(i) of this section."
14:14:1.0.1.2.5.3.11.8,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,C,Subpart C—Legal Enforcement Actions,,"§ 13.20 Orders of compliance, cease and desist orders, orders of denial, and other orders.",FAA,,,,"(a)  General.  This section applies to all of the following:

(1) Orders of compliance;

(2) Cease and desist orders;

(3) Orders of denial;

(4) Orders suspending or revoking a certificate of registration (but not revocation of a certificate of registration because the aircraft was used to carry out or facilitate an activity punishable, under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), by death or imprisonment for more than one year and the owner of the aircraft permitted the use of the aircraft knowing that the aircraft was to be used for the activity); and

(5) Other orders issued by the Administrator to carry out the provisions of the Federal aviation statute codified at 49 U.S.C. subtitle VII that apply this section by statute, rule, regulation, or order, or for which there is no specific administrative process provided by statute, rule, regulation, or order.

(b)  Applicability of procedures.  (1) Prior to the issuance of a non-immediately effective order covered by this section, the Administrator will provide the person who would be subject to the order with notice, advising the person of the charges or other reasons upon which the proposed action is based, and the provisions in paragraph (c) of this section apply.

(2) If the Administrator is of the opinion that an emergency exists related to safety in air commerce and requires immediate action and issues an order covered by this section that is immediately effective, the provisions of paragraph (d) of this section apply.

(c)  Non-emergency procedures.  (1) Within 30 days after service of the notice, the person subject to the notice may:

(i) Submit a written reply;

(ii) Agree to the issuance of the order as proposed in the notice of proposed action, waiving any right to contest or appeal the agreed-upon order issued under this option in any administrative or judicial forum;

(iii) Submit a written request for an informal conference to discuss the matter with an agency attorney; or

(iv) Request a hearing in accordance with the non-emergency procedures of subpart D of this part.

(2) After an informal conference is held or a reply is filed, if the agency attorney notifies the person that some or all of the proposed agency action will not be withdrawn, the person may, within 10 days after receiving the agency attorney's notification, request a hearing on the parts of the proposed agency action not withdrawn, in accordance with the non-emergency procedures of subpart D of this part.

(3) If a hearing is requested in accordance with paragraph (c)(1)(iv) or (c)(2) of this section, the non-emergency procedures of subpart D of this part apply.

(4) Failure to request a hearing within the periods provided in paragraph (c)(1)(iv) or (c)(2) of this section:

(i) Constitutes a waiver of the right to a hearing and appeal; and

(ii) Authorizes the agency to make appropriate findings of fact and to issue an appropriate order without further notice or proceedings.

(d)  Emergency procedures.  (1) If the Administrator is of the opinion that an emergency exists related to safety in air commerce and requires immediate action, the Administrator issues simultaneously:

(i) An immediately effective order that expires 80 days after the date of issuance and sets forth the charges or other reasons upon which the order is based; and

(ii) A notice of proposed action that:

(A) Sets forth the charges or other reasons upon which the notice of proposed action is based; and

(B) Advises that within 10 days after service of the notice, the person may appeal the notice by requesting an expedited hearing in accordance with the emergency procedures of subpart D of this part.

(2) The Administrator will serve the immediately effective order and the notice of proposed action together by personal or overnight delivery and by certified or registered mail to the person subject to the order and notice of proposed action.

(3) Failure to request a hearing challenging the notice of proposed action under the expedited procedures in subpart D of this part within 10 days after service of the notice:

(i) Constitutes a waiver of the right to a hearing and appeal under subpart D of this part; and

(ii) Authorizes the Administrator, without further notice or proceedings, to make appropriate findings of fact, issue an immediately effective order without expiration, and withdraw the 80-day immediately effective order.

(4) The filing of a request for hearing under subpart D of this part does not stay the effectiveness of the 80-day immediately effective order issued under this section.

(e)  Delegation of authority.  The authority of the Administrator under this section is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement."
14:14:1.0.1.2.5.3.11.9,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,C,Subpart C—Legal Enforcement Actions,,§§ 13.21 -13.29 [Reserved],FAA,,,,
14:14:1.0.1.2.5.4.11.1,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,D,Subpart D—Rules of Practice for FAA Hearings,,§ 13.31 Applicability.,FAA,,,,This subpart applies to proceedings in which a hearing has been requested in accordance with § 13.20 or § 13.75. Hearings under this subpart are considered informal and are provided through the Office of Adjudication.
14:14:1.0.1.2.5.4.11.10,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,D,Subpart D—Rules of Practice for FAA Hearings,,"§ 13.47 Withdrawal or amendment of the complaint, answer, or other filings.",FAA,,,,"(a)  Withdrawal.  At any time before the hearing, the complainant may withdraw the complaint, and the respondent may withdraw the request for hearing.

(b)  Amendments.  At any time more than 10 days before the date of hearing, any party may amend its complaint, answer, or other pleading, by filing the amendment with the FAA Hearing Docket and serving a copy of it on every other party. After that time, amendment requires approval of the hearing officer. If an initial pleading is amended, the hearing officer must allow the other parties a reasonable opportunity to respond."
14:14:1.0.1.2.5.4.11.11,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,D,Subpart D—Rules of Practice for FAA Hearings,,§ 13.49 Motions.,FAA,,,,"(a)  Motions in lieu of an answer.  A respondent may file a motion to dismiss or a motion for a more definite statement in place of an answer. If the hearing officer denies the motion, the respondent must file an answer within 10 days.

(1)  Motion to dismiss.  The respondent may file a motion asserting that the allegations in the complaint fail to state a violation of Federal aviation statutes, a violation of regulations in this chapter, lack of qualification of the respondent, or other appropriate grounds.

(2)  Motion for more definite statement.  The respondent may file a motion that the allegations in the notice be made more definite and certain.

(b)  Motion to dismiss request for hearing.  The FAA may file a motion to dismiss a request for hearing based on jurisdiction, timeliness, or other appropriate grounds.

(c)  Motion for decision on the pleadings or for summary decision.  After the complaint and answer are filed, either party may move for a decision on the pleadings or for a summary decision, in the manner provided by Rules 12 and 56, respectively, of the Federal Rules of Civil Procedure.

(d)  Motion to strike.  Upon motion of either party, the hearing officer may order stricken, from any pleadings, any insufficient allegation or defense, or any redundant, immaterial, impertinent, or scandalous matter.

(e)  Motion to compel.  Any party may file a motion asking the hearing officer to order any other party to produce discovery requested in accordance with § 13.53 if—

(1) The other party has failed to timely produce the requested discovery; and

(2) The moving party certifies it has in good faith conferred with the other party in an attempt to obtain the requested discovery prior to filing the motion to compel.

(f)  Motion for protective order.  The hearing officer may order information contained in anything filed, or in any testimony given pursuant to this subpart withheld from public disclosure when, in the judgment of the hearing officer, disclosure would be detrimental to aviation safety; disclosure would not be in the public interest; or the information is not otherwise required to be made available to the public. Any person may make written objection to the public disclosure of any information, stating the ground for such objection.

(g)  Other motions.  Any application for an order or ruling not otherwise provided for in this subpart must be made by motion.

(h)  Responses to motions.  Any party may file a response to any motion under this subpart within 10 days after service of the motion."
14:14:1.0.1.2.5.4.11.12,14,Aeronautics and Space,I,B,13,PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES,D,Subpart D—Rules of Practice for FAA Hearings,,§ 13.51 Intervention.,FAA,,,,"Any person may move for leave to intervene in a proceeding and may become a party thereto, if the hearing officer, after the case is sent to the hearing officer for hearing, finds that the person may be bound by the order to be issued in the proceedings or has a property or financial interest that may not be adequately represented by existing parties, and that the intervention will not unduly broaden the issues or delay the proceedings. Except for good cause shown, a motion for leave to intervene may not be considered if it is filed less than 10 days before the hearing."