FAR 101 are the rules that govern High Altitude Balloon flights. It is strongly recommended that groups looking to do a HAB flight read and understand these rules. We have copied the rules to this page and have put some of my comments in red. Please understand that the comments are only are interpretations and opinion of the rules and regulations. They are not, in any way, an official statement from the FAA, or the Stratospheric Ballooning Association. If you have any questions, you may wish to contact your regional FAA representative.

Terminology

ATC - Air Traffic Control

**FAA - Federal Aviation Administration. The government agency that controls most airspace.

VOR - VHF Omnidirectional Radio Range. It is a short range radio navigational system. Although VORs are being reduced in the US, they are still often used as navigation points.**

Authority: 49 U.S.C. 106(g), 40103, 40113-40114, 45302, 44502, 44514, 44701-44702, 44721, 46308.

A.1 Sub-part A - General A.1.1 §101.1 Applicability.

(a) This part prescribes rules governing the operation in the United States, of the following:

(1) Except as provided for in §101.7, any balloon that is moored to the surface of the earth or an object thereon and that has a diameter of more than 6 feet or a gas capacity of more than 115 cubic feet.

(2) Except as provided for in §101.7, any kite that weighs more than 5 pounds and is intended to be flown at the end of a rope or cable.

(3) Any amateur rocket except aerial firework displays.

(4) Except as provided for in §101.7, any unmanned free balloon that-

(i) Carries a payload package that weighs more than four pounds and has a weight/size ratio of more than three ounces per square inch on any surface of the package, determined by dividing the total weight in ounces of the payload package by the area in square inches of its smallest surface

(ii) Carries a payload package that weighs more than six pounds;

This is the 6 lb rule. Basically, except where indicated if you fly a payload that is under six lbs, you are exempt from most FAR 101 rules. I say most as there are a few rules that apply no matter what you fly. There is also the question of what constitutes the payload package. I count the spacecraft which includes the enclosure, trackers and payload, but I do not count the parachute or balloon. Some have argued that the transmitter and cutdown are part of the "flight system" and should not count against the weight. I have found though, that you can do quite a few experiments with 6 lbs including your tracking system weight. And if you keep your tracking system light, you can still have 4-5 lbs to work with.

(iii) Carries a payload, of two or more packages, that weighs more than 12 pounds; or

This is the 12 lbs rule and it is a little vague as a "package" is not well defined. In my opinion they are referring to two separate payload boxes or containers. However, anything could really be a "package" and there is nothing to say that the package could be inside the other.

(iv) Uses a rope or other device for suspension of the payload that requires an impact force of more than 50 pounds to separate the suspended payload from the balloon.

(b) For the purposes of this part, a gyroglider attached to a vehicle on the surface of the earth is considered to be a kite.

[Doc. No. 1580, 28 FR 6721, June 29, 1963, as amended by Amdt. 101-1, 29 FR 46, Jan. 3, 1964; Amdt. 101-3, 35 FR 8213, May 26, 1970; Amdt. 101-8, 73 FR 73781, Dec. 4, 2008; 74 FR 38092, July 31, 2009]

A.1.2 §101.3 Waivers.

No person may conduct operations that require a deviation from this part except under a certificate of waiver issued by the Administrator.

[Doc. No. 1580, 28 FR 6721, June 29, 1963]

A.1.3 §101.5 Operations in prohibited or restricted areas.

No person may operate a moored balloon, kite, amateur rocket, or unmanned free balloon in a prohibited or restricted area unless he has permission from the using or controlling agency, as appropriate.

This one should be obvious, but basically you should not launch or fly if possible in any restricted area and this includes airports. Many groups however do launch from airports and even military bases, however that is with their express permission.

It should also be noted that you should choose your launch location carefully and make sure you have permission to launch from that area unless you specifically own or have rights to that area. Some groups have launched from "public" areas like parks only to get chased out by the park ranger.

The same goes for recovery. It is our policy to always ask for permission from the land owner before going on to their land to recovery your payload(s). This is just common courtesy and often most people are more than happy to help and are usually curious on what you are doing.

[Doc. No. 1457, 29 FR 46, Jan. 3, 1964, as amended at 74 FR 38092, July 31, 2009]

A.1.4 §101.7 Hazardous operations.

(a) No person may operate any moored balloon, kite, amateur rocket, or unmanned free balloon in a manner that creates a hazard to other persons, or their property.

(b) No person operating any moored balloon, kite, amateur rocket, or unmanned free balloon may allow an object to be dropped therefrom, if such action creates a hazard to other persons or their property.

These two rules allow the FAA to shut down any flight they deem to be dangerous.

(Sec. 6(c), Department of Transportation Act (49 U.S.C. 1655(c)))[Doc. No. 12800, 39 FR 22252, June 21, 1974, as amended at 74 FR 38092, July 31, 2009]

A.2 Subpart B-Moored Balloons and Kites

This section is only for tethered balloons. Most do not do tethered balloons. If you do, make sure you read up on Subpart B.

A.3 Subpart C- Amateur Rockets

Omitted does pertain to HAB Flights

A.4 Subpart D-Unmanned Free Balloons

Source: Docket No. 1457, 29 FR 47, Jan. 3, 1964, unless otherwise noted.

A.4.1 §101.31 Applicability.

This subpart applies to the operation of unmanned free balloons. However, a person operating an unmanned free balloon within a restricted area must comply only with §101.33 (d) and (e) and with any additional limitations that are imposed by the using or controlling agency, as appropriate.

Some sections of the rules do not apply if you flying exempt. Other parts apply no matter what. Generally some these rules do not apply unless you are over 6 lbs with a single payload or 12 lbs with 2 or may payloads. However, some of these rules are good rules to follow no matter what payload you fly.

A.4.2 §101.33 Operating limitations.

No person may operate an unmanned free balloon-

(a) Unless otherwise authorized by ATC, below 2,000 feet above the surface within the lateral boundaries of the surface areas of Class B, Class C, Class D, or Class E airspace designated for an airport;

Basically, do not launch or fly near an airport unless the Air Traffic Controller (ATC) at that airport has given you permission. We strongly recommend that you consult an FAA VFR Sectional. You can use a website like SkyVector to look at these as well. As outlined above, unless you are authorized by ATC, you should not be launching or flying in Class B, C, D or E. E covers a lot of areas, so it is often the one that many people are not aware they might be flying in. Also note that some Class E start at the surface and others may start at 700 ft above the ground or higher.

(b) At any altitude where there are clouds or obscuring phenomena of more than five-tenths coverage;

The 50% cloud cover rule. Basically you should fly when the sky is clear. It is hard to determine if you have "50%" cloud cover, but if the sky is overcast, you should not launch, even if you are exempt from this rule. We recommend that launches take place during VFR (Visual Flight Rules) conditions with clear skies. Not only is this safer, but it makes seeing the balloon much easier both when launched and when seeing it coming down. Remember, you are not the only one in the sky, commercial and private pilots are also flying.

(c) At any altitude below 60,000 feet standard pressure altitude where the horizontal visibility is less than five miles;

(d) During the first 1,000 feet of ascent, over a congested area of a city, town, or settlement or an open-air assembly of persons not associated with the operation; or

In general, you should try to avoid large cities or metro areas when launching, flying and recovering a HAB flight. There are a number of flight prediction software packages that can be used to help predict where your payload will end up and you should use these to avoid high population areas as much as possible.

(e) In such a manner that impact of the balloon, or part thereof including its payload, with the surface creates a hazard to persons or property not associated with the operation.

[Doc. No. 1457, 29 FR 47, Jan. 3, 1964, as amended by Amdt. 101-5, 56 FR 65662, Dec. 17, 1991]

A.4.3 §101.35 Equipment and marking requirements.

(a) No person may operate an unmanned free balloon unless-(1) It is equipped with at least two payload cut-down systems or devices that operate independently of each other;

(2) At least two methods, systems, devices, or combinations thereof, that function independently of each other, are employed for terminating the flight of the balloon envelope; and

There are a few different ways we have seen groups interrupt this. Some count the fact that the balloon will burst at a maximum altitude as one form of termination system. It is often advised to fly a secondary termination system that can cut the payload and parachute away from the balloon by either a command, based on a timer, or based on altitude. This may be important as it is possible to have a floater, or a balloon that will not burst right away even if you did not plan to have a floater.

(3) The balloon envelope is equipped with a radar reflective device(s) or material that will present an echo to surface radar operating in the 200 MHz to 2700 MHz frequency range.

The operator shall activate the appropriate devices required by paragraphs (a) (1) and (2) of this section when weather conditions are less than those prescribed for operation under this subpart, or if a malfunction or any other reason makes the further operation hazardous to other air traffic or to persons and property on the surface.

This rule is a little outdated. Most ATC centers do not track slow moving objects which makes using a radar reflector often ineffective. In addition, there is move to reduce radar installations for the Next-Gen system called ADS-B. At this time however, there is not a good transponder system that is well suited for HAB flights. Although, we have seen some ADS-B systems for UASs (though the legality of these devices have come into question). In any case, many ATC centers may not see your balloon and for this reason they often call or ask that you report where your balloon is.

(b) No person may operate an unmanned free balloon below 60,000 feet standard pressure altitude between sunset and sunrise (as corrected to the altitude of operation) unless the balloon and its attachments and payload, whether or not they become separated during the operation, are equipped with lights that are visible for at least 5 miles and have a flash frequency of at least 40, and not more than 100, cycles per minute.

Night time operation is permitted with this rule if you follow the lighting requirements. Newer ultrabright LEDs are often bright enough to meet the 5 mile viability.

(c) No person may operate an unmanned free balloon that is equipped with a trailing antenna that requires an impact force of more than 50 pounds to break it at any point, unless the antenna has coloured pennants or streamers that are attached at not more than 50 foot intervals and that are visible for at least one mile.

(d) No person may operate between sunrise and sunset an unmanned free balloon that is equipped with a suspension device (other than a highly conspicuously coloured open parachute) more than 50 feet along, unless the suspension device is colored in alternate bands of high conspicuity colors or has colored pennants or streamers attached which are visible for at least one mile.

(Sec. 6(c), Department of Transportation Act (49 U.S.C. 1655(c)))

[Doc. No. 1457, 29 FR 47, Jan. 3, 1964, as amended by Amdt. 101-2, 32 FR 5254, Mar. 29, 1967; Amdt. 101-4, 39 FR 22252, June 21, 1974]

A.4.4 §101.37 Notice requirements.

It is generally a good idea to notify the FAA and local ATCs even if you are exempt from the rules. This can help groups build a working relationship with their local ATCs and FAA office. In addition to the notification, it is advised to send status updates at 16,000 ft and 40,000 feet both on the way up and down (this may vary from mission to mission). Most ATCs seem to still prefer faxes. This may be different for your ATCs, so if you can check with them beforehand.

(a) Prelaunch notice: Except as provided in paragraph (b) of this section, no person may operate an unmanned free balloon unless, within 6 to 24 hours before beginning the operation, he gives the following information to the FAA ATC facility that is nearest to the place of intended operation:

(1) The balloon identification.

(2) The estimated date and time of launching, amended as necessary to remain within plus or minus 30 minutes.

The time should be in UTC time, not your local time.

(3) The location of the launching site.

Keep in mind that ATC does not neccessarily know Lat/Lon. In the aviation world, things are usually referenced to either the airport or a NAVAID. NAVAIDs can be VORs, another airport or other markers. The best way to find these and other items that ATC will recoginize is a FAA VFR Sectional. The FAA has PDF versions of these for free or you can use a website like SkyVector. If you do download (or even get a papercopy) keep in mind these are updated often (usually 2-3 times a year at least).

(4) The cruising altitude.

(5) The forecast trajectory and estimated time to cruising altitude or 60,000 feet standard pressure altitude, whichever is lower.

(6) The length and diameter of the balloon, length of the suspension device, weight of the payload, and length of the trailing antenna.

(7) The duration of flight.

(8) The forecast time and location of impact with the surface of the earth.

(b) For solar or cosmic disturbance investigations involving a critical time element, the information in paragraph (a) of this section shall be given within 30 minutes to 24 hours before beginning the operation.

This is where using a good flight prediction software comes in handy. Your flight prediction should be able to get you the duration of the flight and the location of landing.

(c) Cancellation notice: If the operation is canceled, the person who intended to conduct the operation shall immediately notify the nearest FAA ATC facility.

(d) Launch notice: Each person operating an unmanned free balloon shall notify the nearest FAA or military ATC facility of the launch time immediately after the balloon is launched.

A.4.5 §101.39 Balloon position reports.

Again, please keep in mind that you should use VFR sectional refereneces as Lat/Lon may not work well for some ATCs.

(a) Each person operating an unmanned free balloon shall:

(1) Unless ATC requires otherwise, monitor the course of the balloon and record its position at least every two hours; and

It should be noted that you should always track your balloon. Part 101 only requires position reports every two hours, but of course you can opt to transmit and update more frequently.

(2) Forward any balloon position reports requested by ATC.(b) One hour before beginning descent, each person operating an unmanned free balloon shall forward to the nearest FAA ATC facility the following information regarding the balloon:

1. The current geographical position
2. The altitude
3. The forecast time of penetration of 60,000 feet standard pressure altitude (if applicable)
4. The forecast trajectory for the balance of the flight.

(5) The forecast time and location of impact with the surface of the earth.

(c) If a balloon position report is not recorded for any two-hour period of flight, the person operating an unmanned free balloon shall immediately notify the nearest FAA ATC facility. The notice shall include the last recorded position and any revision of the forecast trajectory. The nearest FAA ATC facility shall be notified immediately when tracking of the balloon is re-established.

It is always good to have a backup system or plan. Groups have used several transmitters to "fox hunt" the location of the balloon. There are also other systems such as the "Spot" system that makes a good backup system.

(d) Each person operating an unmanned free balloon shall notify the nearest FAA ATC facility when the operation is ended.

And this is the end of FAA FAR 101. While FAR 101 governs the flight, always remember that other local, state and federal laws may also apply. You should not do anything that may harm another person or personal property. A good example is that you should never be speeding on local roadways to catch up to the balloon. This is where again, good prediction helps in planning for the flight. Fly safe, fly smart, and you will have many enjoyable balloon flights.