
[Federal Register Volume 76, Number 235 (Wednesday, December 7, 2011)]
[Proposed Rules]
[Pages 76333-76335]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-31430]


-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 77

[Docket No.: FAA-2011-1279; Notice No. 11-07]


Notification for Airborne Wind Energy Systems (AWES)

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of policy and request for information.

-----------------------------------------------------------------------

SUMMARY: The FAA seeks comments on revising its policy regarding the 
application of Title 14 of the Code of Federal Regulations (14 CFR) 
part 77, ``Safe, Efficient Use and Preservation of the Navigable 
Airspace,'' to airborne wind energy systems (AWES). In addition, this 
notice requests information from airborne wind energy system developers 
and the public related to these systems so that the FAA can 
comprehensively analyze the AWES and their integration into the 
National Airspace System (NAS).

DATES: Written comments must be received on or before February 6, 2012.

ADDRESSES: Send comments identified by docket number 2011-1279 using 
any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for sending your 
comments electronically.
     Mail: Send comments to Docket Operations, M-30; U.S. 
Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room 
W12-140, West Building Ground Floor, Washington, DC 20590-0001.
     Hand Delivery or Courier: Take comments to Docket 
Operations in Room W12-140 of the West Building Ground Floor at 1200 
New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., 
Monday through Friday, except Federal holidays.
     Fax: Fax comments to Docket Operations at (202) 493-2251.
    Privacy: The FAA will post all comments it receives, without 
change, to http://www.regulations.gov, including any personal 
information the commenter provides. Using the search function of the 
docket web site, anyone can find and read the electronic form of all 
comments received into any FAA dockets, including the name of the 
individual sending the comment (or signing the comment for an 
association, business, labor union, etc.). DOT's complete Privacy Act 
Statement can be found in the Federal Register published on April 11, 
2000 (65 FR 19477-19478), as well as at http://DocketsInfo.dot.gov.
    Docket: Background documents or comments received may be read at 
http://www.regulations.gov at any time. Follow the online instructions 
for accessing the docket or Docket Operations in Room W12-140 of the 
West Building Ground Floor at 1200 New Jersey Avenue SE., Washington, 
DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal 
holidays.

FOR FURTHER INFORMATION CONTACT: For questions concerning this action, 
contact Mr. Ren[eacute] Joseph (RJ) Balanga, Mission Support Services, 
Airspace, Regulations and ATC Procedures Group, Air Traffic 
Organization, AJV-11, Federal Aviation Administration, 800 Independence 
Avenue SW., Washington, DC 20591; telephone (202) 267-8783, email 
rene.balanga@faa.gov.

SUPPLEMENTARY INFORMATION:

Authority

    Title 49 of the United States Code, section 40103 vests the 
Administrator with broad authority to regulate the safe and efficient 
use of the navigable airspace. The Administrator is authorized to issue 
rules and regulations to govern the flight, navigation, protection, and 
identification of aircraft for the protection of persons and property 
on the ground, and for the efficient use of the navigable airspace (49 
U.S.C. 40103(b)). The Administrator also is authorized under Sec.  
44701(a)(5) to promote safe flight of civil aircraft in air commerce by 
prescribing regulations and minimum standards for other practices, 
methods, and procedures necessary for safety in air commerce and 
national security.

Background

    During the past decade, there has been an increased focus on the 
use of clean renewable energy resources, including wind energy. The FAA 
has been approached by various entities, including manufacturers, 
scientists, engineers, and advocacy groups representing the wind energy 
community, who are researching the use of more sustained and consistent 
winds at higher altitudes where conventional ground-based wind turbines 
cannot reach. As part of their research, the energy community is 
examining various concepts for system designs to harness high altitude 
winds as a potential source of energy.
    Airborne Wind Energy Systems (AWES) are described broadly as 
mechanical devices that are moored to the ground, via a tether or 
cabling component, for the purpose of capturing the fluid stream 
kinetic energy of winds. The kinetic energy captured by the device is 
then utilized in various fashions to generate electricity. In one 
option, the wind energy is immediately converted into consumable power, 
at the system component keeping the system aloft, and then transferred 
to the ground by a mechanical tether, cabling conductor, or other 
method. In another option, the combination of the wind, the aloft 
device, and the mooring cables are systematically utilized to drive an 
electrical generator located on the ground.
    The basic overall components that comprise various AWESs are fairly 
similar in concept, however, the technologies and the specific devices 
that keep them aloft differ dramatically. Such devices have leveraged 
on similar engineering designs that apply to kites, balloons, kytoons, 
aircraft wings, aircraft, airfoils, as well as others.\1\
---------------------------------------------------------------------------

    \1\ 14 CFR 1.1 defines a balloon as 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,'' and defines 
a kite as 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.''
---------------------------------------------------------------------------

    Although some of these AWES components could be covered by 14 CFR 
part 101, Moored balloons, kites, amateur rockets and unmanned free 
balloons, some conceptual designs include hybrid concepts or utilize 
new innovative techniques that are not as easily classifiable. For 
example, the FAA identified some AWESs employing ``balloon-like'' 
design structures with

[[Page 76334]]

motorized rotors for vertical and/or horizontal control, resembling a 
moored airship which does not fall within the category of 14 CFR part 
101 devices.\2\ Additionally, the FAA also identified some AWESs that 
employ a moored kite or balloon with one or more wind capturing devices 
(wings or blades) attached along the mooring cable that spin a separate 
cable and activate ground-based power generators. Consequently, the FAA 
has determined that AWES are unique and would not fall under 14 CFR 
part 101.
---------------------------------------------------------------------------

    \2\ 14 CFR 1.1 defines an airship as, ``an engine-driven 
lighter-than-air aircraft that can be steered.''
---------------------------------------------------------------------------

    Furthermore, since AWES is a relatively new technology that will be 
used to support clean, renewable energy initiatives, the FAA finds that 
part 101 does not currently contain the necessary provisions to address 
these systems.
    Whether designed with conventional 14 CFR part 101 type devices or 
non-conventional hybrid-type components, each AWES possesses differing 
attributes. These attributes include, but are not limited to, its 
physical design, how it operates, necessary airspace utilized, radar 
cross-section, and reflection coefficient. The FAA is concerned with 
these differing attributes and their unknown impacts to the NAS, 
navigable airspace, and to the flying public. Therefore, the FAA 
concludes that each AWES deployment needs to be studied on a case-by-
case basis with respect to the surrounding aviation environment to 
ensure aviation safety.

Policy

    Given the altitudes that these structures can operate and their 
operating characteristics, the FAA concludes that they should be 
studied and the potential impacts to the navigable airspace must be 
identified and addressed. Presently, the FAA has an existing regulatory 
framework that outlines standards for determining obstructions to air 
navigation or navigational aids or facilities (see 14 CFR part 77). 14 
CFR part 77 is utilized to evaluate the impact of wind turbines and 
other forms of renewable energy on the navigable airspace. Therefore, 
we conclude that any new forms of wind gathering devices would be 
included in the Obstruction Evaluation Process, which is administered 
under 14 CFR part 77.
    Accordingly, the FAA announces that the provision of part 77 will 
apply to temporary AWES proposals that will be used for data collection 
purposes. The FAA finds that the provisions of 14 CFR part 77 can be 
applied to these ``structures'' without the need to amend the 
regulations. Permanent and operational AWES may be addressed in the 
future upon further evaluations and risk assessments are performed. The 
purpose of this change in policy is to allow for the continued 
development of this emerging technology and to provide the FAA with 
data regarding these devices so that the safety and integrity of the 
NAS is maintained. Persons proposing to conduct temporary airborne 
testing of AWES for data collection purposes must provide notice to the 
FAA pursuant to 14 CFR 77.13(a)(1), which requires notice of any 
construction or alternation of more than 200 feet above ground level.
    In order to facilitate the timely manner in which AWES proposals 
are reviewed, AWES developers and operators are requested to limit 
temporary operations to the following:
    (1) Airborne operations of AWES should be temporary in nature for 
testing and data collection purposes only;
    (2) Single AWES devices only (e.g.--no ``farms'' or multiple 
simultaneous testing);
    (3) AWES should be limited to a single fixed location (e.g.--no 
mobile ground facilities);
    (4) Testing is confined to heights at or below 499 feet above 
ground level (AGL);
    (5) Airborne flight testing of AWES will only occur during daylight 
hours; and
    (6) AWES will be made conspicuous to the flying public. (The 
sponsor of the AWES will provide the FAA with their marking and 
lighting scheme. FAA Advisory Circular 70/7460-1K (AC 70/7460-1K), 
Obstruction Marking and Lighting, currently does not address AWES, but 
may be used as a guide, as some portions may be applicable.)

Request for Information

    The FAA is working jointly with industry, the Department of Energy, 
as well as other airspace stakeholders, and believes that additional 
information from AWES developers would be beneficial. The information 
will assist the FAA as it considers long-term policies and guidance to 
integrate the AWES safely into the NAS.
    The FAA has several concerns regarding AWES operations in the NAS, 
including:
    (1) Impact(s) to various surveillance systems (radars);
    (2) Conspicuity to aircraft (marking and lighting);
    (3) Overall safety--safety to other airspace users, safety to 
persons and property on the ground, safety to the efficient and 
effective use of NAS facilities, safety to airports, safety to air 
commerce, and safety to the efficient operations and managing of the 
NAS;
    (4) AWES fly-away protection (mooring cable is severed);
    (5) AWES physical dimensions per unit and per farm;
    (6) AWES operating dimensions per unit and per farm (amt. of 
airspace it may require);
    (7) AWES mobility (potential for AWES to relocate from physical 
ground location to a different ground location); and
    (8) Wake turbulence or vortices of wind capturing component(s).
    The FAA recognizes the various design concepts utilized by AWES 
developers for components of their overall AWES. These may include the 
components that keep the system aloft, the power generating equipment, 
the energy transferring equipment, the maneuvering controls, and the 
physical and operational dimensions, amongst others. Given these 
variations in technologies, the FAA seeks information from the industry 
to help us evaluate the potential risks of permanent AWES and AWES 
farms operating in the NAS.
    The FAA is requesting AWES sponsors provide information on the 
following. Additional information may be requested upon further contact 
and coordination. This information must be submitted by February 6, 
2012.
     General information on a developer's specific AWES design 
concept and plans for operation.
    [cir] What type(s) of mechanical devices are you employing to keep 
the system aloft?
    [cir] What are the physical dimensions of the device(s) with 
relation to the above?
    [cir] What kind of materials will comprise this device?
    [cir] What are the operational dimensions (requirement for 
airspace) for the system?
    [cir] Is there a requirement to operate more than one device in the 
air?
    [cir] What are your long-term plans for this system?
     Marking and lighting.
    [cir] Can you comply with marking and lighting requirements?
    [cir] Can you identify any impacts to your system when complying 
with current guidance for marking and lighting standards?
    [cir] What are your plans or how is your system designed to make 
the system conspicuous to the flying public?
     Safety to other airspace users and persons and property on 
the ground.
    [cir] What safety mechanisms or devices have you designed into the 
system to ensure all aspects of aviation safety?

[[Page 76335]]

    [cir] What safety mechanisms or devices have you designed into the 
system to minimize or mitigate hazards to persons or property on the 
ground?
     Minimized impacts to NAS facilities.
    [cir] What are your plans or how is your system designed to reduce 
a large radar cross-section and become less conspicuous to surveillance 
systems?
    [cir] What are your plans or how is your system designed to reduce 
impacts to any communication or navigation systems supporting the NAS?
    In addition, the FAA is requesting input from airspace users 
regarding the impact AWES would have on the NAS. Specifically, we 
request airspace users provide comments to the following. Additional 
information may be requested upon further contact and coordination. 
This information must be submitted by February 6, 2012.
     What safety implications do you foresee of AWES operations 
with respect to your use of the airspace or your interest to the NAS?
     Would you have any concerns about AWES permanently 
operating at altitudes above 500 feet AGL, but, under 1,999 feet AGL? 
If so, what and why?
     If AWES were permitted to permanently operate in altitudes 
at or above 2,000 feet AGL, how do you foresee this as negatively 
impacting your missions, use of the airspace, or other interests in the 
NAS?
     What other concerns and/or issues might you have with 
respect to AWES co-existing in the NAS?

Comments Invited

    The FAA invites interested persons to submit written comments, 
data, or views. The agency also invites comments relating to the 
economic, environmental, energy, or federalism impacts that might 
result from adopting the proposals in this document. The most helpful 
comments reference a specific portion of the proposal, explain the 
reason for any recommended change, and include supporting data. To 
ensure the docket does not contain duplicate comments, commenters 
should send only one copy of written comments, or if comments are filed 
electronically, commenters should submit only one time.
    The FAA will file in the docket all comments it receives. Before 
acting on this proposal, the FAA will consider all comments it receives 
on or before the closing date for comments. The FAA will consider 
comments filed after the comment period has closed if it is possible to 
do so without incurring expense or delay. The agency may change this 
proposal in light of the comments it receives.
    Proprietary or Confidential Business Information: Commenters should 
not file proprietary or confidential business information in the 
docket. Such information must be sent or delivered directly to the 
person identified in the FOR FURTHER INFORMATION CONTACT section of 
this document, and marked as proprietary or confidential. If submitting 
information on a disk or CD-ROM, mark the outside of the disk or CD-
ROM, and identify electronically within the disk or CD-ROM the specific 
information that is proprietary or confidential.
    Under 14 CFR 11.35(b), the FAA is aware of proprietary information 
filed with a comment, the agency does not place it in the docket. It is 
held in a separate file to which the public does not have access, and 
the FAA places a note in the docket that it has received it. If the FAA 
receives a request to examine or copy this information, it treats it as 
any other request under the Freedom of Information Act (5 U.S.C. 552). 
The FAA processes such a request under Department of Transportation 
procedures found in 49 CFR part 7.

    Issued in Washington, DC, on November 30, 2011.
Dennis E. Roberts,
Director of Airspace Services.
[FR Doc. 2011-31430 Filed 12-6-11; 8:45 am]
BILLING CODE 4910-13-P


