11/1/17

 

8900.1 CHG 559

Volume 3  GENERAL TECHNICAL ADMINISTRATION

CHAPTER 4  ISSUE A CERTIFICATE OF WAIVER FOR RESTRICTED CATEGORY CIVIL AIRCRAFT

Section 1  Issue a Certificate of Waiver for Restricted Category Civil Aircraft

3-86    PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODE. 1230.

3-87    OJECTIVE.The objective of this task is to determine whether or not an applicant is eligible for a Certificate of Waiver (CoW), in accordance with Title 14 of the Code of Federal Regulations (14 CFR) part 91, § 91.313(e), for operating a restricted category civil aircraft. Successful completion of this task results in the issuance of a CoW or disapproval of the waiver application.

Indicates new/changed information.

3-88    GENERAL.

A.    Responsible Flight Standards Office. The use of the term “responsible Flight Standards office” used throughout this policy refers to the office having jurisdiction over the area where the applicant’s principal business office is located.

B.    Waiver Guidance. Volume 3, Chapter 2, Section 1 provides general guidance used to process waiver requests.

C.    Background.

1)    CoW Assessment. Restricted category aircraft are prohibited by § 91.313 from operations over a densely populated area, in a congested airway, or near a busy airport where passenger transport operations are conducted. An inspector may issue CoW J551, Restricted Category Civil Aircraft Operating Limitations, to allow operations within these areas. Prior to issuing a CoW, inspectors should perform a risk-based assessment of these operations on a case-by-case basis.
a)    Areas of consideration include evaluation of hazards, associated risks and outcomes, and the operator’s risk mitigation plan for these hazards and risks. Examples of items to consider include:

    Inadvertent dumping of fuel over a densely populated area.

    Prevention of fuel spill or fire from fuel hauling operations near densely populated areas or busy airports.

    Aircraft and equipment reliability; new modern aircraft usually have a higher reliability record than older aircraft.

    Aircraft flight paths, routes, and altitudes for proposed operations.

    What runways can be used.

    What airports may be used.

    The number of operations where applicable.

    Minimum weather criteria.

    Considerations for diminished aircraft performance.

    Evaluation of operating limitations issued for the aircraft.

Indicates new/changed information.
b)    Refer to Advisory Circular (AC) 133-1, Rotorcraft External-Load Operations, Chapter 3, Operating Rules and Requirements, for an explanation of congested area, densely populated area, and operations near a busy airport where passenger transport operations are conducted.
2)    Restricted Category Civil Aircraft. In many cases, only minor modifications of a standard category aircraft are made to install special equipment, which places the aircraft in the restricted category. In some cases, a standard aircraft or a Surplus Military Aircraft (SMA) may have extensive modifications to install special equipment or to increase its operating weight, which places the aircraft in the restricted category. In either case, a detailed document review is required before a waiver may be issued. Any questions regarding airworthiness, such as performance, structural integrity, etc., should be referred to an Airworthiness inspector or the Aircraft Certification Service (AIR).
3)    Special Purpose Operations. Federal Aviation Administration (FAA) Order 8130.2, Airworthiness Certification of Aircraft, and 14 CFR part 21, § 21.25 list the special purpose operations for restricted category civil aircraft. No person may operate a restricted category civil aircraft for other than the special purpose for which it is certificated.

D.    Public Aircraft Operations (PAO). AC 00-1.1, Public Aircraft Operations, includes the FAA’s interpretation of key statutory terms in reference to the definition in Title 49 of the United States Code (49 U.S.C.) § 40102(a)(41). AC 00-1.1 assists operators of government owned aircraft in determining whether their operations are public under the statutory definition of “public aircraft” and the statutory qualification in 49 U.S.C. § 40125. PAO are exempt from many types of FAA regulations. In general, regulations that include the term “civil aircraft” in their applicability do not apply to PAO. When a restricted category aircraft is used during eligible PAO, the operating rule § 91.313 does not apply. For further information on PAO, refer to the appropriate policy and AC 00-1.1.

E.    Authority. Restricted category civil aircraft may not be operated over a densely populated area, in a congested airway, or near a busy airport where passenger transport operations are conducted, except when operating in accordance with the terms and conditions of a CoW to § 91.313(e) or special operating limitations issued by the Administrator. Restricted category civil aircraft must be operated in accordance with FAA Form 8130-7 and its associated operating limitations.

F.    Waiver Application and Approval. Applications for waiver requests to § 91.313(e) are processed at the responsible Flight Standards office that has jurisdiction over the area where the applicant’s principal business office is located.

G.    Forms Used. FAA Form 7711-2, Application for Certificate of Waiver or Authorization (see Figure 3-15), is a multi-purpose form used to apply for a CoW. All Blocks on the form may not be applicable to the application.

H.    Regulations to be Waived. This application may be used to request more than one regulation be waived. The CoW J551 is issued to waive § 91.313(e) only. For any other regulations requested, the inspector may issue waivers separately in accordance with national policy.

I.    Submission. The completion and submission of FAA Form 7711-2 is the responsibility of the applicant. FAA Form 7711-2 should be submitted at least 45 calendar-days before the proposed operation.

Indicates new/changed information.

J.    Approval or Disapproval. The aviation safety inspector (ASI) will approve or disapprove the application within a reasonable amount of time. Disapprovals should be completed in a timeframe that will allow the operator time to address the discrepancies prior to the proposed operations. Once approved, FAA Form 7711-2 becomes a part of the CoW J551. The responsible Flight Standards office manager or his or her designated representative, which may be either the assistant manager or a supervisor, signs CoW J551 in the Web-Based Operations Safety System (WebOPSS). However, an inspector may sign on behalf of the manager or supervisor so long as the manager or supervisor has final review.

K.    Effective Date and Expiration. This CoW shall expire no later than 24 calendar-months from the effective date and is subject to cancellation at any time upon notice by the Administrator or his or her authorized representative. The operator may request renewal of this CoW by submitting a new application to the responsible Flight Standards office at least 45 calendar-days prior to the expiration date.

L.    Enhanced Vital Information Database (eVID) Office File. The inspector should establish an operator eVID record for CoWs issued for a duration of 12 months or greater. When the duration of the CoW is less than 12 months, or the CoW is for a one-time event, an eVID record is not required.

M.    Assistance. Questions concerning policy or requests for legal interpretations may be forwarded to the General Aviation and Commercial Division (AFS-800).

3-89    PREREQUISITES AND COORDINATION REQUIREMENTS.

A.    Prerequisites. This task requires knowledge of regulatory requirements in part 91 and FAA policies and qualifications as an Operations ASI.

Indicates new/changed information.

B.    Coordination. This task requires coordination with the airworthiness unit within the responsible Flight Standards office.

3-90    REFERENCES, FORMS, AND JOB AIDS.

A.    References:

    PTRS Procedures Manual (PPM).

    Appropriate chapters in this order.

Indicates new/changed information. Indicates new/changed information.

B.    Forms:

    FAA Form 7711-2, Application for Certificate of Waiver or Authorization (see Figure 3-15).

    WebOPSS CoW J551.

    FAA Form 8000-36, PTRS Data Sheet.

C.    Job Aids. Sample letters and figures.

Indicates new/changed information.

3-91    PROCEDURES.

A.    Initial Contact.

1)    Provide the applicant with a copy of FAA Form 7711-2 and Instructions for Completing FAA Form 7711-2 (see Figure 3-15).
2)    Advise the applicant to complete Blocks 1 through 10 and Block 17 on FAA Form 7711-2. Blocks 11 through 16 are not required.
Indicates new/changed information.
3)    Inform the applicant that FAA Form 7711-2 must be submitted to the responsible Flight Standards office at least 45 calendar-days before the proposed operation.

B.    Open PTRS. Make appropriate PTRS entries.

Indicates new/changed information.

C.    Review FAA Form 7711-2. Using the information provided by the applicant, review FAA Form 7711-2 for all pertinent information for the proposed operation. Pertinent Blocks are discussed below for purposes of clarity and standardization. The application should be reviewed upon receipt for obvious discrepancies. The information submitted by the applicant on FAA Form 7711-2 must not be altered by the issuing office.

1)    Blocks 1 and 2—Name of Organization/Name of Responsible Person. Ensure that the applicant has indicated either the name of the organization and responsible person or the individual applying for matters concerning the application. If the applicant is a representative of an organization, the organization’s name should appear in Block 1 and the name of the individual and his or her position or authority to represent the organization (e.g., the “responsible person”) should appear in Block 2. If the applicant is not representing others, the term “N/A” should be entered in Block 1 and the applicant’s name entered in Block 2.
Indicates new/changed information.
2)    Block 3—Permanent Mailing Address. Ensure that the applicant indicates the permanent mailing address of the organization or individual named in Blocks 1 and 2.
3)    Block 4—Pending Waiver Application. When any other waiver application(s) are pending, those pending waiver application(s) should also be reviewed when considering whether a waiver is appropriate.
4)    Block 5—Denial and/or Withdrawal of Previous Application. When any other waiver application(s) were denied or withdrawn, those denied/withdrawn waiver application(s) should also be reviewed when considering whether a waiver is appropriate.
Indicates new/changed information.
5)    Block 6—14 CFR Section and Number to be Waived. Ensure that the applicant has listed the applicable 14 CFR sections that need to be waived. Ensure that the applicant has listed § 91.313(e) as a minimum. In many instances the applicant does not know or is not sure which sections of the regulations are involved. A conference with the applicant before acceptance of the application may be necessary.
6)    Block 7—Detailed Description of Proposed Operations. Determine that the applicant has indicated the type of operation to be conducted under the waiver. It is sufficient for the applicant to use the terms “agricultural,” “forest and wildlife,” “aerial surveying,” “patrolling,” “weather control,” “aerial advertising,” or other special purpose operations listed in Order 8130.2. However, the applicant should include detailed information on the type of operation.
7)    Block 8—Area of Operation. If only § 91.313(e) is requested to be waived, the applicant need only describe the geographic area where operations are requested (e.g., a city, town, district, state, or the 48 contiguous United States). When additional regulations are requested to be waived, the inspector must refer to the respective guidance for this requirement.
8)    Block 9—Time Period. Check for a beginning and ending date for the operation. The applicant should list beginning and ending dates for the operation in this Block. In cases involving one-time operations, where the applicant has not indicated an alternate date, the inspector should advise the applicant to request alternate dates in order to save time and unnecessary paperwork.
9)    Block 10—Aircraft and Pilots. For restricted category operations, an aircraft must always be specified. Verify that this information includes the make, model, and registration number. Verify for each pilot listed that the information includes their certificate numbers, ratings, and full home addresses. When the names of the pilots are not known at the time the application is received, accept the application with the statement, “A list containing pilot information will be furnished on [insert date.]”
Indicates new/changed information.
10)    Block 17—Certification. Ensure that the applicant has signed and dated the application.

D.    Document Review. The Operations ASI should coordinate with an Airworthiness ASI to review the following documents: the Special Airworthiness Certificate, the operating limitations, and the aircraft’s Type Certificate Data Sheet (TCDS), in order to determine whether a waiver is necessary or appropriate.

E.    Unsatisfactory Document Review. If the review is unsatisfactory:

1)    Mark the application “Disapproved,” and explain the reasons for disapproval in the “Remarks” section of FAA Form 7711-2.
2)    Prepare a letter of disapproval (see Figure 3-17, Sample Letter of Disapproval) of any discrepancies found during the review.
Indicates new/changed information.
3)    Retain a copy of the application for future comparison.
4)    Return the original application and the letter of disapproval to the operator.
5)    Make appropriate PTRS entries.

F.    Satisfactory Document Review. If the review is satisfactory:

1)    Approved Section. Mark the appropriate section of FAA Form 7711-2 “Approved” and date and sign it.
2)    WebOPSS. If the operator conducting restricted category operations is not already established in WebOPSS as a part 91 operator, he or she must first be added in WebOPSS as a part 91 operator. When issuing a part 91 CoW J551 from WebOPSS, at a minimum, the A001, Issuance and Applicability, and A004, Summary of Special Authorizations and Limitations, Letters of Authorization (LOA) must be included in the operator’s package.
3)    Signature of CoW J551. Prepare the appropriate sections of CoW J551 for review and signature by the responsible FAA manager or his or her designated representative. An inspector may sign on behalf of the manager or supervisor so long as the manager or supervisor has final review.
4)    Review. Attach to CoW J551 the A001 and A004 LOAs, a copy of the approved FAA Form 7711-2, and its supporting documents for management review.

G.    Responsible Flight Standards Office File.

1)    File Preparation. Prepare the responsible Flight Standards office file on the applicant that includes a copy of the following documents:

    Applicable LOAs (A001 and A004) and CoW J551 from WebOPSS;

    FAA Form 7711-2;

    Letter of disapproval, if applicable; and

    Any other correspondence.

2)    Send File to the Operator. Send the signed FAA Form 7711-2, the A001 and A004 LOAs, and the CoW J551, which includes the standard provisions, with a “file copy” to the operator. The operator must sign and return copies of A001, A004, and J551 to the responsible Flight Standards office, unless signing the documents electronically in WebOPSS.

H.    Complete the PTRS Record. Make appropriate PTRS entries.

I.    eVID. Complete the part 91 operator eVID record.

3-92    TASK OUTCOMES. Completion of this task results in one or more of the following:

    Issuance of a CoW and LOAs from WebOPSS,

    Disapproval of an application, and/or

    A letter of disapproval.

3-93    FUTURE ACTIVITIES.

    Reissuance of the CoW using WebOPSS,

    Update of the part 91 operator eVID entry,

    Cancellation of a CoW, and

    Surveillance of any operations approved by the CoW.

Figure 3-15.  FAA Form 7711-2, Application for Certificate of Waiver or Authorization

Figure 3-15. FAA Form 7711-2, Application for Certificate of Waiver or Authorization

Figure 3-15.  FAA Form 7711-2, Application for Certificate of Waiver or Authorization (Continued)

Figure 3-15. FAA Form 7711-2, Application for Certificate of Waiver or Authorization (Continued)

Indicates new/changed information.

Figure 3-16.  Instructions for Completing FAA Form 7711-2

1.  PREPARING FAA FORM 7711-2. Blocks from FAA Form 7711-2 are discussed below for purposes of clarity and uniformity of its use. Blocks 11 through 16 apply to air show and air race waiver requests only.

a.   Blocks 1 and 2—Name of Organization/Name of Responsible Person. If you are a representative of an organization, then the organization’s name should appear in Block 1. Your name and title or position, as the organization’s representative, for application purposes should appear in Block 2. If you are not representing an organization, the term “N/A” should be entered in Block 1 and your name in Block 2.

b.   Block 3—Permanent Mailing Address. Self-explanatory.

c.   Block 4—Pending Waiver Application. Self-explanatory.

d.   Block 5—Denial and/or Withdrawal of Previous Application. Self-explanatory.

Indicates new/changed information.

e.   Block 6—14 CFR Section and Number to be Waived. All applicable 14 CFR sections and numbers that are to be waived for the operation to be conducted must be listed in this Block. If you are unsure which 14 CFR sections will need to be waived, contact the responsible Flight Standards office for guidance.

Indicates new/changed information.

f.   Block 7—Detailed Description of Proposed Operations. It is sufficient to use the terms “agricultural,” “forest and wildlife,” “aerial surveying,” “patrolling,” “weather control,” “aerial advertising,” or other special purpose operations listed in Order 8130.2 for a description. However, additional detailed information should be included.

g.   Block 8—Area of Operation. If only § 91.313(e) is requested to be waived, the applicant need only describe the geographic area where operations are requested (e.g., a city, town, district, state, or the 48 contiguous United States). When additional regulations are requested to be waived, the applicant should refer to the respective policy for this requirement.

Indicates new/changed information.

h.   Block 9—Time Period. List the beginning dates and hours and the ending dates and hours the operation will be conducted. Maximum time period for operations is 24 calendar-months (e.g., June 12, 1996 to June 30, 1998), except for North American Free Trade Agreement (NAFTA) operations, in which the maximum time period for operations are 12 calendar-months. The application should be submitted to the responsible Flight Standards office at least 45 calendar-days before the proposed operation. For a one‑time operation, consideration should be given to alternate dates. A request for alternate dates may prevent a delay and/or unnecessary paperwork. These alternate dates should be included in this Block.

Indicates new/changed information.

i.   Block 10—Aircraft and Pilots. For restricted category operations, an aircraft must always be specified. This should include make, model, and registration number. List the names of all pilots, their certificate numbers and ratings, and full home addresses that will be used in the operation. If the names of the pilots are not known at the time the application is submitted, the FAA will accept the application with the statement, “A list containing pilot information will be furnished on [insert date.]”

j.   Block 11—Sponsorship. Not required.

k.   Block 12—Permanent Mailing Address of Sponsor. Not required.

l.   Block 13—Policing. Not required.

m.   Block 14—Emergency Facilities. Not required.

n.   Block 15—Air Traffic Control. Not required.

o.   Block 16—Schedule of Events. Not required.

Indicates new/changed information.

p.   Block 17—Certification. As the applicant or an organization’s representative, you must sign and date in this Block and on each page of the application.

Indicates new/changed information.

Figure 3-17.  Sample Letter of Disapproval

FAA Letterhead

[date]

[name of applicant]

[address of applicant]

[city, state, and zip code]

Dear [name of applicant],

This letter is to inform you that the application you submitted on [date] has been disapproved for the reasons listed in the Remarks section of FAA Form 7711-2, Application for Certificate of Waiver or Authorization.

Indicates new/changed information.

Please make the corrections noted, and return to this office.

If you have any questions or comments, please feel free to contact this office at the following telephone number [telephone number].

Sincerely,

[principal operations inspector’s (POI) signature]

Indicates new/changed information.

RESERVED. Paragraphs 3-94 through 3-115.