3-1 CHAPTER 3. OPERATIONAL CONSIDERATIONS
3.1 U.S. ADS-B Airspace and Equipment Performance Requirements. Since January 1, 2020, unless authorized by air traffic control (ATC), all aircraft operating in the airspace specified in 14 CFR § 91.225 must meet the equipment performance requirements defined in 14 CFR § 91.227. This chapter describes both the airspace and equipment performance requirements of 14 CFR §§ 91.225 and 91.227. Operators should consider the need to access ADS-B-required airspace and the performance requirements of that airspace when equipping for compliance with 14 CFR §§ 91.225 and 91.227.
3.1.1 Inside Class A Airspace. Operations in Class A airspace must:
1. Meet the equipment performance requirements in:
a. Technical Standard Order (TSO)-C166b, Extended Squitter Automatic Dependent Surveillance - Broadcast (ADS-B) and Traffic Information Service - Broadcast (TIS-B) Equipment Operating on the Radio Frequency of 1090 Megahertz (MHz) (1090ES), and Section 2 of RTCA DO-260B, Minimum Operational Performance Standards for 1090 MHz Extended Squitter Automatic Dependent Surveillance - Broadcast (ADS-B) and Traffic Information Services - Broadcast (TIS-B) (as referenced in TSO-C166b); or
b. TSO-C166c and Section 2 of RTCA DO-260C as modified by RTCA DO-260C Change 1 (as referenced in TSO-C166c).
2. Meet the requirements of 14 CFR § 91.227.
Note: Although TSO-C166b and later revisions incorporate standards for TIS-B equipment, TIS-B equipage (ADS-B In) is not required for compliance with 14 CFR §§ 91.225 and 91.227.
3.1.2 Outside Class A Airspace. Operations within airspace defined in 14 CFR § 91.225, but outside Class A airspace must:
1. Meet the requirements of 14 CFR § 91.227; and
2. Meet the performance requirements in:
a. TSO-C166b and Section 2 of RTCA DO-260B (as referenced in TSO-C166b);
b. TSO-C166c and Section 2 of RTCA DO-260C as modified by RTCA DO-260C Change 1 (as referenced in TSO-C166c);
c. TSO-C154c, Universal Access Transceiver (UAT) Automatic Dependent Surveillance-Broadcast (ADS-B) Equipment Operating on Frequency of 978 MHz, and Section 2 of RTCA DO-282B, Minimum Operational Performance Standards for Universal Access Transceiver (UAT) Automatic Dependent Surveillance - Broadcast (ADS-B) (as referenced in TSO-C154c); or
d. TSO-C154d and Section 2 of RTCA DO-282C (as referenced in TSO-C154d).
3.1.3 Operation of Aircraft With Dual ADS-B Out Links. Operators of aircraft equipped with both 1090 Extended Squitter (ES) and UAT ADS-B systems should be aware that broadcasting only on 978 MHz (UAT) in Class A airspace is not sufficient to meet the requirements of 14 CFR § 91.225. Before operating in Class A airspace, operators of such aircraft should verify that their 1090ES equipment is broadcasting properly.
3.1.4 Operation of Unmanned Aircraft. For unmanned aircraft:
1. No person may operate an unmanned aircraft under a flight plan (FP) and in two-way communication with ATC unless:
a. That aircraft has equipment installed that meets the performance requirements in TSO-C166b (including Section 2 of RTCA DO-260B, as referenced in TSO-C166b), TSO-C166c (including Section 2 of RTCA DO-260C as modified by RTCA DO-260C Change 1, as referenced in TSO-C166c), TSO-C154c (including Section 2 of RTCA DO-282B, as referenced in TSO-C154c), or TSO-C154d (including Section 2 of RTCA DO-282C, as referenced in TSO-C154d); and
b. The equipment meets the requirements of 14 CFR § 91.227.
2. No person may operate an unmanned aircraft under 14 CFR part 91 with ADS-B Out equipment in transmit mode unless:
a. The operation is conducted under an FP, and the person operating that unmanned aircraft maintains two-way communication with ATC; or
b. The use of ADS-B Out is otherwise authorized by the Administrator.
Figure 3-1. Automatic Dependent Surveillance-Broadcast Airspace Rule (14 CFR § 91.225) Diagram FL 600 18,000 MSL CLASS A | ADS-B 1090 ES Required 2,500 AGL ADS-B Not Required CLASS E | 10,000 MSL and above ADS-B Required
CLASS E
ADS-B CLASS B Required
CLASS C
10.000 MSL 3,000 MSL ADS-B ADS-B Required Required 12NM From Coastline 10,000 MSL Surface 10,000 MSL Surface Mode C Veil ADS-B Required Gulf of Mexico 10,000 MSL Surface AGL: Above Ground Level; FL: Flight Level; MSL: Mean Sea Level; NM: Nautical Miles 3-2
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3.2 Exceptions to Airspace Requirements. The requirements of 14 CFR § 91.225(b) do not apply to any aircraft that was not originally certified with an engine-driven electrical system or that has not subsequently been certified with such a system installed, including balloons and gliders. The FAA has previously determined that the same aircraft excluded from the transponder requirement are excluded from the ADS-B Out equipage.
Accordingly, an aircraft that subsequently has been installed with batteries or an electric starter would not be required to equip for ADS-B Out. These aircraft may conduct operations without ADS-B Out in the airspace specified in 14 CFR § 91.225(d)(2) and (4). However, for other aircraft without ADS-B Out, 14 CFR § 91.225(g) requires ATC authorization prior to operation in ADS-B Out-required airspace.
3.3 Traffic Awareness Beacon System (TABS). Operators of aircraft exempt from carrying a transponder or ADS-B equipment may wish to consider installing a TABS transponder or a transponder with a TABS-compliant position source (refer to TSO-C199, Traffic Awareness Beacon System (TABS)). TABS transponders do not meet the transponder requirements defined in 14 CFR § 91.215, and TABS-compliant position sources do not meet the requirements defined in 14 CFR § 91.227. However, they will allow TABS-equipped aircraft to be electronically “visible” to aircraft equipped with Airborne Collision Avoidance Systems (ACAS), traffic advisory systems (TAS), and ADS-B In systems. TABS-equipped aircraft that are broadcasting an ADS-B In capability will also become TIS-B clients.
4-1 CHAPTER 4. OPERATING PROCEDURES
4.1 General Operating Procedures. This chapter describes the general procedures for ADS-B Out operations in accordance with 14 CFR §§ 91.225 and 91.227. All operators should use this information when planning and conducting operations requiring ADS-B Out performance.
4.2 Operator Familiarity of the Installed ADS-B System.
4.2.1 System Operation Familiarity. All operators should use the applicable Airplane Flight Manual (AFM), Aircraft/Airplane Flight Manual Supplement (AFMS), Rotorcraft Flight Manual (RFM), Rotorcraft Flight Manual Supplement (RFMS), pilot’s operating handbook (POH), or other required operating handbooks or manuals to become familiar with the proper operation of the installed ADS-B system and any procedures expected of the user for indications of reduced performance or failures within the system.
4.2.2 Understanding Failure Indicators Within the System. Because many ADS-B system installations are upgrades of transponders (Mode S), there are limited abilities to indicate ADS-B failures. Mode S transponders with ADS-B functionality may indicate a device failure (loss of transponder/ADS-B) and input failures (loss of position source, such as the Global Navigation Satellite System (GNSS)) with the same indicator light. Operators should refer to their AFM, AFMS, RFM, RFMS, POH, and other handbooks and manuals for information on the differences between device failures and function failures and the implications and procedures associated with each failure type. In particular, normal GNSS signal interference on the ground caused by nearby obstacles, such as a large hangar, may be incorrectly interpreted as a failure of the ADS-B system. Moving the aircraft clear of obstructions may be all that is needed to clear an indicated malfunction caused by GNSS multipath signals.
4.2.3 Transponder Operation and ADS-B Transmissions. For ADS-B system installations integrated within a transponder that share control features, operators should be aware that disabling the transponder will also disable ADS-B transmissions, as well as result in a loss of Secondary Surveillance Radar (SSR) services and Airborne Collision Avoidance System (ACAS)/ACAS II operation, if so equipped.
4.3 ADS-B Equipment Operations (U.S. Airspace).
4.3.1 Transmit Requirements. In accordance with 14 CFR § 91.225(f), each person operating an aircraft equipped with ADS-B Out must operate this equipment in the transmit mode at all times, unless authorized by the FAA or directed by air traffic control (ATC). This equipment operation requirement pertains to all phases of flight operation, including airport surface movement area operations. Pilots should select the transponder mode that enables the altitude reporting and ADS-B Out transmissions any time their aircraft is positioned on any portion of an airport movement area.
Note: Aircraft must comply with the appropriate Technical Standard Order (TSO) performance requirements when transmitting ADS-B data.
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4.3.1.1 Departures. Select the transponder mode that allows altitude reporting and enable ADS-B Out during pushback or taxi-out from parking spot. Select traffic advisory (TA) or TA/Resolution Advisory (RA) (if equipped with ACAS) when taking the active runway.
4.3.1.2 Arrivals. After clearing the active runway, if ACAS-equipped (TA or TA/RA), select the transponder to altitude reporting mode, and maintain ADS-B Out transmissions. Select “STBY” or “OFF” for the transponder and ADS-B only upon arriving at the aircraft’s parking spot or gate.
4.3.1.3 Formation Operations. ATC uses established transponder and ADS-B transmission procedures when participating in formation operations. Refer to the Aeronautical Information Manual (AIM), Paragraph 4-1-20, Transponder and ADS-B Out Operation, for specific procedures for both formation flights receiving ATC services, and visual flight rules (VFR) formation flights not receiving ATC services.
4.3.1.4 Inoperative ADS-B Out. For operations with inoperative ADS-B Out, comply with the requirements of 14 CFR § 91.213 as appropriate for your aircraft. If you intend to operate in airspace described in 14 CFR § 91.225, see paragraph 4.3.3 and comply with 14 CFR § 91.225(g)(1).
4.3.2 Equipment Qualification Requirements. In order to operate an aircraft in airspace defined in 14 CFR § 91.225, the installed ADS-B Out equipment, and its connected or internal position source, must meet the performance requirements of the applicable TSOs and meet the requirements of 14 CFR § 91.227. Since 14 CFR § 91.225 requires the equipment components to be installed, portable ADS-B Out equipment, including system components and antennas, do not comply with the rule. Operators should also note that FAA regulations require installed equipment to function as intended. Under 14 CFR part 21, installed equipment need not be manufactured under a TSO Authorization (TSOA), but must be approved or qualified according to the type of aircraft as follows:
4.3.2.1 Type-Certificated Aircraft. ADS-B Out systems and equipment (including the connected position source) installed or used in type-certificated aircraft must have a design approval issued under 14 CFR part 21 or must be installed by field approval, if appropriate. AC 20-165, Airworthiness Approval of Automatic Dependent Surveillance - Broadcast OUT Systems, provides guidance on installation of ADS-B Out systems. FAA Policy Memorandum, Installation Approval for ADS-B OUT Systems, dated March 2, 2016, provides information on how ADS-B systems may be installed by field approval.
4.3.2.2 Special Light-Sport Category Aircraft (SLSA). Equipment installed on SLSA must be installed in accordance with an applicable consensus standard and must be authorized by the aircraft’s manufacturer or a person acceptable to the FAA (refer to 14 CFR § 21.181). For equipment to be installed in SLSA, manufacturers should develop installation instructions to facilitate the
4-3 equipment’s installation in accordance with applicable consensus standards for SLSA.
4.3.2.3 Experimental Aircraft, Including Experimental Light-Sport Aircraft (ELSA).
4.3.2.3.1 For experimental category aircraft, including ELSA, there is no FAA approval required for the ADS-B Out system installation. However, to protect all users of the National Airspace System (NAS), it is essential for all aircraft, including experimental and ELSA, to install equipment that has been adequately designed and tested to meet the equipment’s intended functions of supporting safe ATC separation services and providing accurate traffic awareness to other aircraft. To meet this requirement, owners of these aircraft may elect to install equipment manufactured under a TSOA, in accordance with the installation instructions provided by the manufacturer. Alternatively, owners of these aircraft may elect to install equipment that are not approved under a TSOA. For non-TSOA equipment, the owner should obtain installation instructions that include a statement of compliance (SOC) from the applicable avionics manufacturer(s). To qualify non-TSOA equipment as compliant for operations in ADS-B airspace defined in 14 CFR § 91.225, the SOC should indicate that when installed in accordance with the installation instructions, the equipment complies with all requirements of 14 CFR § 91.227, and with the performance requirements of the appropriate TSO.
While the SOC is important for showing compliance of the installation to 14 CFR § 91.225, it is critical to perform the installation correctly for the equipment to operate properly.
4.3.2.3.2 Owners of experimental aircraft should retain the installation instructions from the equipment supplier, including the SOC, in the aircraft records. The SOC documents the equipment’s compliance with the requirements of 14 CFR §§ 91.225 and 91.227, and retaining the installation instructions will assist in resolving in-service issues if necessary.
4.3.2.4 All Aircraft—Importance of Proper Installation. Experience with FAA compliance monitoring of ADS-B Out-equipped aircraft to date has revealed that many equipped aircraft have deficiencies with ADS-B Out system performance following initial installations. Many of these deficiencies have been traced to improper installation and incorrect system configuration.
Therefore, the FAA considers it particularly important for equipment manufacturers to provide installation instructions that are as clear and easy to follow as possible and to revise these instructions when deficiencies in the instructions are discovered. Installers should adhere to the manufacturer’s installation instructions and employ practices that consistently result in ADS-B Out system installations that comply with 14 CFR § 91.227 equipment performance requirements.
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4.3.2.5 All Aircraft—ADS-B Out Equipment Performance and FAA Monitoring.
4.3.2.5.1 The ADS-B Out rule does not impose additional continued/recurrent airworthiness inspection requirements for applicable equipment. Therefore, owners/operators of ADS-B Out-equipped aircraft should ensure continued compliance of applicable equipment performance requirements following initial installation or any subsequent alteration to the system.
Note: Transponder-based ADS-B Out systems (i.e., 1090ES) are still required to meet the requirements of 14 CFR § 91.413.
4.3.2.5.2 The FAA continuously monitors the equipment performance of all ADS-B Out-equipped aircraft operating in U.S. airspace for compliance of regulatory requirements specified in 14 CFR § 91.227. Applicable equipment performance monitoring is conducted by a tool known as the ADS-B Performance Monitor (APM).
4.3.2.5.3 The APM collects data transmitted by ADS-B Out-equipped aircraft monitored on the surface and airborne. The APM applies established compliance criteria to collected data for more than 40 individual equipment performance checks, assembles relevant information into a flight record, and identifies exceptions to applicable regulations to support various internal and external reporting requirements. Aircraft identified by the APM with exceptions are referred to as non-performing equipment (NPE).
4.3.2.5.4 While the term NPE is generally used to describe aircraft with ADS-B Out equipment performance exceptions, certain pilot actions can result in NPE conditions. Such pilot actions may include the following:
1. Movement of aircraft on the surface (under its own power) or while airborne with ADS-B Out equipment turned off;
2. Operating with a nonconforming or unauthorized local call sign or flight identification (FLT ID) code;
3. Operating with an FLT ID code that does not correspond to the code filed on an associated flight plan (FP) (as applicable);
4. Operating with barometric altitude reporting off (when not directed to do so by ATC);
5. Operating a Universal Access Transceiver (UAT) transponder-dependent device with the transponder turned off (no barometric altitude or Mode A code present in ADS-B messages); and
6. Operating ADS-B Out equipment in any manner contrary to applicable regulations.
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4.3.2.5.5 As discussed in paragraph 4.2, pilots should be familiar with the operation of ADS-B Out equipment, including any associated failure indications provided by the system. It is important for pilots to understand that most ADS-B failure indications are limited to system component failures; and indications associated with equipment performance required by regulation are not provided.
4.3.2.5.6 To enable public access to ADS-B equipment performance data needed for owners/operators to verify compliance with 14 CFR § 91.227 requirements, the FAA provides a free, web-based service called the Public ADS-B Performance Report (PAPR) at https://adsbperformance.faa.gov/PAPRReques
t.aspx. Additional information on the PAPR service can be found at https://www.faa.gov/air_traffic/technology/equipadsb.
4.3.2.5.7 The FAA recommends that owners/operators of ADS-B Out-equipped aircraft verify equipment performance through frequent use of the PAPR request service, especially following initial equipment installation, modification, or maintenance of existing ADS-B Out systems (including component software updates/changes).
4.3.2.6 Handling of Aircraft With NPE.
4.3.2.6.1 When ADS-B Out equipment performance becomes deficient during flight, ATC may direct the pilot to discontinue ADS-B Out transmissions pursuant to 14 CFR § 91.225(f)(2). The pilot should comply with the procedures established for that aircraft or notify ATC if unable. If necessary, ATC may direct the aircraft to exit 14 CFR § 91.225 airspace.
4.3.2.6.2 FAA flight monitoring has shown that aircraft engaged in aerobatic and agricultural operations may fail to meet applicable equipment performance requirements due to maneuvering that exceeds the design limits of the installed GNSS equipment. Aircraft identified by the APM with exceptions to 14 CFR § 91.227 resulting from maneuvering characteristics of aerobatic and/or agricultural operations are not considered NPE by the FAA. When not actively engaged in aerobatics or agricultural operations (e.g., when transiting to and from applicable areas of operation), these aircraft are expected to meet ADS-B Out equipment performance requirements.
4.3.2.6.3 In late 2017, the FAA published a notice to the Federal Register (FR) announcing changes to ADS-B services, including the Traffic Information Service-Broadcast (TIS-B) (refer to 82 FR 60302, Docket Number FAA-2017-1194, Change to Automatic Dependent Surveillance Broadcast Services, at https://www.federalregister.gov). These changes included implementation of a filter within the FAA ATC automation system to prevent processing of data transmitted by certain NPE aircraft. Application of the filter is enabled by restricting use of the 24-bit International Civil Aviation Organization (ICAO) address (Mode S code) transmitted from NPE aircraft
4-6 and managed through a list referred to as the No Services Aircraft List (NSAL). NPE aircraft on the NSAL cannot be provided ATC services via the ADS-B data network and do not meet the equipment performance requirements necessary to qualify for TIS-B client services. Owners/operators of aircraft on the NSAL must seek authorization from ATC to operate in the airspace specified by 14 CFR § 91.225.
4.3.2.6.4 Prior to listing NPE aircraft on the NSAL, the FAA will provide written notification of relevant ADS-B equipment issues to the owner/operator at the address associated with the aircraft’s registry in an effort to coordinate NPE corrective action. In cases where the FAA makes notification of NPE to an owner/operator via an individual FAA letter of finding (LOF), the owner/operator has 45 days from the date of the LOF to respond to the FAA to establish a plan of corrective action for the NPE. All NPE aircraft are subject to being placed on the NSAL if contact is not established with the FAA to communicate a plan for corrective action within the 45-day period.
Note: NPE notifications mailed to unmonitored mailboxes may result in aircraft being listed to the NSAL (after 45 days) without owner/operator awareness. Owners/operators with addresses associated with an unmonitored mailbox (e.g., LLC or nonresident addresses) are advised to request a PAPR for awareness of ADS-B Out equipment performance and the NSAL status of their aircraft.
4.3.2.6.5 Additionally, the FAA has implemented a process to provide an automated report indicating potential NPE for aircraft operated by a specific certificate holder (CH). The report is called the Fleet Report Avionics Trend Analysis Tool (ATAT). In cases where the FAA makes notification of NPE (or potential NPE) via this report, the receiving CH, along with the FAA Certificate Management Team (CMT), should coordinate with the appropriate office within the FAA Flight Standards Aircraft Maintenance Division to discuss the identified potential NPE in the report, as necessary. This coordination should occur in a timely manner as much as practical. The 45-day period that is associated with the individual LOF sent to an aircraft owner/operator does not apply to those receiving the automated Fleet Report ATAT.
4.3.2.6.6 The operation of aircraft with certain NPE characteristics (e.g., erroneous position reports) present a significant safety hazard to surrounding airspace and ATC services. Hazardous NPE aircraft may require immediate placement on the NSAL to mitigate applicable safety risks prior to owner/operator notification.
4.3.2.6.7 In rare cases, it is necessary for the FAA to issue an Aircraft Condition Notice (FAA Form 8620-1) to prevent operation of aircraft with hazardous NPE characteristics.
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4.3.2.6.8 Owners/operators receiving an NPE notification letter and/or Aircraft Condition Notice should follow the instructions provided in those documents and contact the handling aviation safety inspector (ASI) as soon as possible to coordinate required corrective action. Following NPE corrective action, a verification flight must be conducted pursuant to 14 CFR § 91.407(b), and the handling ASI should be notified, to validate equipment performance. When the handling ASI determines the NPE condition has been corrected, they will notify the owner/operator and, when applicable, initiate the process for removal of the aircraft from the NSAL.
Note: Once requested, removal of aircraft from the NSAL can take up to 30 days.
4.3.2.6.9 Aircraft on the NSAL are identified on the cover page of an applicable PAPR with the following language (in red font): Aircraft is on No Services List. This language is omitted from a PAPR associated with aircraft not currently on the NSAL. See paragraph 4.3.2.5.6 for information on obtaining a PAPR.
4.3.3 Operation of Aircraft With Inoperative ADS-B. Title 14 CFR § 91.225(g) permits ATC to authorize the operation of aircraft with inoperative ADS-B or that do not have ADS-B installed into airspace where it is required. Under 14 CFR § 91.225(g), operators must make requests for ATC-authorized deviations from the requirements in 14 CFR § 91.225 to the ATC facility that has jurisdiction over the concerned airspace or airport movement area within the time periods specified below:
1. For operation of an aircraft with inoperative ADS-B equipment to the airport of ultimate destination (including any intermediate stops) or to proceed to a place where suitable repairs can be made, or both, the request may be made at any time.
2. For operation of an aircraft that is not equipped with ADS-B, operators must make the request at least 1 hour before the proposed operation.
4.3.4 Procedures for Requesting and Authorizing Deviations. In order to standardize the process for requests and document authorized deviations, the FAA has established the following sets of procedures: one for air carrier operators and another for all others.
4.3.4.1 Air Carriers Procedures. For departures within 2 hours of the request, the air carrier should contact the FAA Joint Air Traffic Operations Command (JATOC) telephonically (540-422-HELP (4357)) for approval of the immediate operation. For departures that are more than 2 hours from the request, email the ADS-B Deviation Authorization Preflight Tool (ADAPT) Help Desk (adapthelp@faa.gov) and include the following information:
aircraft registration number (and flight number(s)), proposed departure and destination airport(s), flight dates, number of operating days, planned date of repair, confirmation that the aircraft transponder is functioning, and air carrier email point of contact (POC). The JATOC will relay the approval or denial by email.
4-8 Note: To request an authorized deviation for inoperative ADS-B between the hours of 2201–0559 eastern time, make the request directly with the appropriate ATC facility, as directed by regulation (summarized in paragraph 4.3.3).
4.3.4.2 All Other Operators. All other operators are encouraged to use ADAPT to document your request and authorization (see paragraph 4.3.6). You may also request coordination through the departure airport ATC tower.
Note 1: Aircraft must have an operable transponder with Mode C altitude reporting capability to use ADAPT. If the failure results in the loss of all transponder functions, you must coordinate through the Air Traffic Control System Command Center (ATCSCC) or the local facility, as appropriate, or use your existing procedures for an inoperative transponder.
Note 2: All airborne failures will be handled by the FAA facility where the failure occurs. The FAA facility will coordinate through the ATCSCC if necessary, which will then coordinate with all FAA facilities along the remaining route of flight.
4.3.5 Operation of Aircraft Not Equipped With ADS-B. In April 2019, the FAA published a notice to the FR clarifying policy for authorizations to operators of aircraft not equipped with ADS-B (refer to 84 FR 12062, Docket Number FAA-2019-0239, Statement of Policy for Authorizations to Operators of Aircraft That Are Not Equipped With Automatic Dependent Surveillance-Broadcast (ADS-B) Out Equipment, at https://www.federalregister.gov). Operators are encouraged to review the notice, summarized below.
4.3.5.1 To operate in ADS-B airspace, an operator whose aircraft is not equipped with ADS-B Out equipment must obtain a preflight authorization in accordance with 14 CFR § 91.225(g). The operator has the responsibility to obtain a preflight authorization from ATC for all ADS-B Out airspace on the planned flightpath. For the reasons explained in the policy, however, the FAA will be very unlikely to issue routine and regular authorizations to scheduled operators seeking to operate nonequipped aircraft in rule airspace. Likewise, although unscheduled operators may request authorizations for airspace at capacity constrained airports as defined in the policy, issuance of an authorization may prove difficult to obtain.
4.3.5.2 Note that the provision of air traffic services to a non-ADS-B-equipped aircraft whose flight transits ADS-B Out airspace will not constitute authorization under 14 CFR § 91.225(g). Although ATC will be able to observe that an aircraft is not equipped with ADS-B Out equipment, ATC will not be responsible for determining whether nonequipped aircraft operating in the NAS are properly authorized to operate in ADS-B Out airspace. The provision of air traffic services is separate from and will not constitute an
4-9 authorization to deviate from the ADS-B Out equipage requirements while operating in that airspace. The nonequipped operator, as always, will have the responsibility to ensure compliance with the regulations, which includes obtaining a preflight authorization in accordance with 14 CFR § 91.225(g).
4.3.6 ADAPT. The FAA developed ADAPT, a web-based mechanism for requesting authorization in accordance with the regulation and this policy. You may access ADAPT at https://sapt.faa.gov. While ADAPT is intended primarily for requests to operate without ADS-B, you may also choose to use it as a means to request an authorization to operate with inoperative ADS-B. Refer to the ADAPT User Guide for additional information. Air carriers are not precluded from using ADAPT; however, there is no guarantee that an automatic authorized deviation will be issued.
4.4 Flight Plans (FP). The information to complete the ICAO FP continues to evolve with the introduction of Next Generation Air Transportation System (NextGen) equipment and capabilities. The information provided here represents just some of the ADS-B specific information elements. For the most current and complete instructions and descriptions of FP filing codes, refer to AIM, Paragraph 5-1-9, Single Flights Conducted With Both VFR and IFR Flight Plans, and the FAA Flight Planning Information web page at https://www.
faa.gov/about/office_org/headquarters_offices/ato/service_units/air_traffic_services/fligh t_plan_filing.
4.4.1 ICAO FP Item 10, Equipment. When operating aircraft equipped with ADS-B you should indicate surveillance equipment in Item 10 of the ICAO FP (FAA Form 7233-4, Pre-Flight Pilot Checklist and International Flight Plan). In addition to the transponder codes (refer to AIM, paragraph 5-1-9), you should include an ADS-B capability code from the following list. Note that FAA automation does not process ADS-B reports on Very High Frequency (VHF) Digital Link Mode 4, so those codes are not listed here.
4.4.2 ADS-B Capability Codes. The ADS-B capability codes are as follows:
• B1: ADS-B with dedicated 1090-megahertz (MHz) ADS-B Out capability.
• B2: ADS-B with dedicated 1090 MHz ADS-B Out and In capability.
• U1: ADS-B Out capability using UAT.
• U2: ADS-B Out and In capability using UAT.
Note 1: Only include an ADS-B capability code when at least one serviceable ADS-B Out system is installed.
Note 2: Do not file an ADS-B code for “in” capability only. There is currently no way to indicate that an aircraft has “in” capability but no “out” capability. For aircraft with ADS-B “out” on one frequency and “in” on another, include only the ADS-B “out” code. (e.g., B1 or U1).