Combining Mixed-Use Flight Operations Safely at Airports (2016)

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31 A balloon is defined by the FAA as a lighter-than-air (LTA) aircraft that is not engine driven, and that sustains flight through the use of either gas buoyancy or an airborne heater (14 CFR 1 Part 1.1). LTA can be powered or unpowered. Unpowered balloons are still an aeronautical activity. As an aircraft, a balloon is issued an airworthiness certificate, is registered as an aircraft, and is assigned a registration “N” number. A licensed pilot operating a balloon would have an LTA rating with a class specification of balloon, provided he or she is not a student pilot. Balloon pilots are also known as aeronauts. Two types of balloons exist: hot air or gas-filled. The type used most commonly at U.S. airports for transporting people is the hot-air type, in which air is heated by a burner system. The rising hot air is captured in the balloon envelope. The difference in air density inside the balloon versus outside the envelope causes the balloon to ascend or descend. Balloons can carry water ballast. Releasing water ballast allows the balloon to arrest its descent or to rise. Gas-filled balloons are generally used for high-altitude, extended flights, or long-distance travel. They are commonly used for transporting weather and communication devices. They ascend or descend as a consequence of the gas being lighter than the surrounding air and being able to sup- port the weight of the gondola or equipment. Gas balloon designs are generally classified as netted or quick fill. Helium or hydrogen is commonly used as the lifting gas. Anhydrous ammonia and methane are two less common options. Helium is an inert gas and is relatively expensive owing to a limited supply. Hydrogen is more readily available, but when combined in proper ratio with air, it is a flammable mixture. Unless otherwise noted, the discussion below primarily applies to hot air balloon operation. The FAA describes the regulatory class as that of balloons with airborne heaters. AIRSPACE ACCOMMODATION Aeronauts have the same duty as pilots of other aircraft to be alert to the potential for midair collision and near midair collisions. Sections of Part 91 regulate flight over populated or congested areas and establish the concept of “see and avoid” as a provision of VFR flight. Because of the lack of maneuverability of balloons, the regulations also provide them with the right-of-way over other aircraft, except for those experiencing an emergency. When operating in the vicinity of an airport, an aeronaut will generally maneuver the balloon below the traffic pattern of other aircraft. Its speed and direction are dictated by the wind. Because balloons are certificated without an electrical system, the aeronaut is not required to carry a radio or a transponder. However, certain airspace rules require two-way communication with ATC. The availability and use of an aviation radio is therefore considered an effective practice for balloon operators. Depending on the expected airspace, a pilot will often carry at least one handheld radio to communicate with the ground crew and an aviation radio to communicate with ATC or other pilots in the air. Cell phones often act as a backup emergency communication source, although they are not supposed to be used when airborne, according to FCC rules (47 CFR 22.925). Procedures for the use of radios at both controlled and uncontrolled airports are summarized in the Balloon Flying Handbook (FAA 2008a) and the AIM. The procedures focus on making appropriate announcements on Unicom or CTAF. chapter six BALLOONS

32 Balloon operations are primarily conducted in Class G or E airspace. Class G airspace is typical of small, uncontrolled airports that do not have an instrument approach, and class E is typical of small, uncontrolled airports that do have an instrument approach. Class G airspace does not require a radio or transponder. Ceiling and visibility requirements in Class G require a balloon pilot to remain clear of clouds and have at least 1-mi visibility. Glass E airspace has higher visibility requirements. Balloon access to airspace controlled by ATC requires two-way radio communication, greater minimum ceiling and/or visibility restrictions, and possibly transponder equipment. Because a balloon is not certificated with an electrical system, a balloon can operate beneath the veil of Class C or B airspace without a transponder or radio. To enter into any Class B airspace, either prior arrangement with ATC is necessary, or the balloon requires a transponder. Balloons do not show up well on ATC radar because they reflect a poor radar signal. Aeronauts use maps that portray terrain elevation highlights, forested and swamp areas, congested or densely populated areas, power transmission lines, cell or other towers, windmills, and similar features. A local satellite view of the earth is an important navigation tool for an aeronaut. Marked with color-coded areas that identify various balloon restricted areas, the map can help the aeronaut operate in safe areas and avoid community complaints. AIRFIELD ACCOMMODATION An airport is not required for a balloon to either take off or land. The advantages of using an airport are the general availability of clear space and the expected accommodation of an aeronautical activity. However, interviews and the literature search indicate airport management’s primary con- cerns with balloon operation were related to airfield access for support crew, slow launch or retrieval operation affecting other aircraft operations, and the possibilities of experiencing a reportable runway incursion. Airport management’s use of operating procedures for ground access can help mitigate incursion possibilities. Management can also assist balloon operators by reviewing the locale area and pointing out local hazards, sensitive community areas to avoid, and procedures to be used on the airport. Educating local emergency response personnel and the community to the operational aspects of ballooning can be beneficial. Balloons are used for recreational, sport competition, and commercial purposes. Typical recreational and competition balloons range 65 to 80 ft in height with a girth of 50 to 60 ft. Special shapes or designs can increase the height and width substantially. The same amount of ground area is needed for layout and inflation, plus added area for support vehicles and personnel. Figure 6 shows an example of the area needed for balloon inflation and deflation. The recommended amount of ground area is generally 100 ft by 100 ft for one regular-sized balloon; more area is needed for specialty balloons or for stronger wind conditions. A common rule related to the distance of a balloon launch FIGURE 6 Space required for balloon and support vehicles (Credit: S. Quilty, SMQ Airport Services, Lutz, Florida. Used with permission.).

33 from an object in the line of flight is to add 100 ft of distance from the object for each 1 mph of wind speed. Objects or obstructions could be trees, fences, poles, aircraft, or livestock. The amount of time to prepare and inflate a balloon for flight and the subsequent deflation and pack- ing can range from 20 to 45 min for each, depending on the number of support crew and their level of skill. The number of crew can range from two to six ground handlers or more. Landing and lifting off from an area away from the runway will allow for regular aircraft activity to continue, provided the flight path is away from the runway. The duration of a balloon flight is conditioned upon the amount of fuel available, winds, weight carried, and the skill of the pilot. Flight duration of 1 to 1½ h is typical. Because both gas and hot air balloons are subject to wind conditions, aeronauts more often conduct flights when wind conditions are calm, normally found during the 2 h around dawn or dusk. Winds exceeding 8 knots (9.2 mph) make liftoffs and landings more difficult. “Weigh-off” describes the point at which an inflated balloon reaches neutral buoyancy with the surrounding air. With the addition of more heat or gas the balloon will ascend unless held down by a tether or ground crew. When ready for lift-off, the crew releases its hold on the balloon (weigh-off), and it will rise into the air. A hot air balloon intending to lift off from an airport or elsewhere has a number of different requirements for accommodation: • Gate and field access • Cleared ground area for transport or chase vehicle, trailer, and/or dolly • Cleared ground area for basket and balloon layout, normally a 100- by 100-ft area, though larger for specialty balloons • Ground area free of anything that could tear the fabric • Generally, four to six individuals or more to set up and inflate the balloon • Common rule is to inflate 100 ft from any object for each 1 mph of wind speed. • Launch site to have no obstacle in the direction of balloon track following liftoff • Gas-powered inflation fan and other equipment • If a tether operation, additional vehicles or other suitable heavy ground objects needed. Standard support equipment for ballooning includes a transport or chase vehicle. The most common vehicles are a van with the balloon carried inside, a pickup truck with the balloon carried in the bed, or a van or pickup truck with a small trailer (flatbed or covered) (Figure 7). Unless properly trained and controlled, support personnel and vehicles operating in, adjacent, and close to a runway can be cause for an incursion report. Airport management’s use of operating procedures or rules and regulations can help mitigate incursion possibilities. Most refueling of portable fuel tanks used for balloons is performed at off-airport private or commercial propane refilling sites. The balloon operator normally transports the refill tanks in a FIGURE 7 Balloon basket and transport vehicles (Credit: S. Quilty, SMQ Airport Services, Lutz, Florida. Used with permission.).

34 personal vehicle. One airport operator in this study allowed local balloon operators to place a tank at the airport (Figure 8). Local building and fire codes apply in most cases. Other airports address refueling in their minimum standards or operating procedures. Local propane dealers can provide safety information, including material safety data sheets. The Balloon Federation of America’s Balloon Event Guidelines contains suggestions for propane refueling rules and policies at competition events (Balloon Federation of America 2011). NOTICES TO AIRMEN Activities that will affect or prohibit the use of airspace require the issuance of a NOTAM. Examples of NOTAMs issued for balloon activity are (FAA 2015i): • AIRSPACE HOT AIR BALLOON WITHIN AREA DEFINED AS 2NM RADIUS OF 13M SFC-1500FT 1312291600-1312291800EST • HOT AIR BALLOONS 8NM RADIUS OF ABQ SFC-8000FT 1310141400-1310141830EST Appendix G contains a list of permanent NOTAMs listed in the AFD and applicable to balloon opera- tions. There is no standard phrasing. Airport operators can view the remarks and choose a phrase that best conveys the safety message for their airport. SAFETY CONSIDERATIONS Most balloon flight operations are conducted away from an airport or at airports without an operating control tower. There may be circumstances that require the use of airport property, either for launch or for landing and recovery of the balloon. These activities can be safely conducted at an airport, if the bal- loon pilot remains aware of the movement and location of other aircraft and ground vehicles. No airports reviewed for this study had operating procedures and practices established for balloons. Instead, several had a common clause that any aeronautical activity not listed would be evaluated on a case-by-case basis. Appendix J provides a list of hazards and risks associated with balloon activity compiled from the literature and interviews. The list can also be used to inform fire, police, and other emergency response personnel not familiar with balloon operations, or for inclusion in an emergency response plan. ACCIDENTS AND INCIDENTS Accident and incident data for balloons are not fully represented in the literature, because many accidents or incidents are not reported. The accident data that exist do not break out the data as to those occurring on airports or near airports. A 2013 study reviewed NTSB accident data and found FIGURE 8 Propane storage tank located at an airport (Credit: S. Quilty, SMQ Airport Services, Lutz, Florida. Used with permission.).

35 the vast majority of ballooning accidents and injuries occur on landing (Ballard et al. 2013) Most of the accidents reviewed were associated with pilot error, strong wind conditions encountered during landing, and striking power lines, structures, or trees. A fire is considered the most dangerous situation for an aeronaut. An Australian report evaluated hot air balloon accidents in Australia, the United Kingdom, and the United States from June 1985 to June 2009 (http://www.brisbanehotairballooning.com.au/hot-air-balloon-accidents/). Another study reported that a range of causal factors affect ballooning outcomes (Filtness et al. 2014). Aeronaut errors were cited as the leading cause of incidents, with weather, inexperience, and poor or inappropriate decisions rated as having greatest perceived risks. On the ground, the use of the inflation fan was a source of accidents and injuries. None of the news or other reports reviewed cited a collision between a balloon and an aircraft. RELATED INFORMATION Most paid passenger-carrying flights in unscheduled small aircraft are regulated by 14 CFR Part 135. Balloon sightseeing flights are exempt from those rules. Instead, balloon operations are conducted under Part 91, General Operating Rules [14 CFR 119, 119.1(e)(5)]. Whereas aerial advertising is more commonly associated with a fixed-wing banner tow operation, other types of aerial advertising include balloons and blimps. FAA has stated that a balloon or blimp that carries a banner can also be considered a commercial aeronautical activity. In a 1992 request for legal interpretation, FAA provided an interpretation of a number of different scenarios addressing balloon operations as a commercial operation (Terasaki 1992). If conducting a special event such as an airshow or balloon festival, an airport manager can refer to ACRP Synthesis 41 and ACRP Synthesis 57 for more detailed information (Prather 2013; Kramer and Moore 2014). Information about completing an Application for Waiver, which is required for special events, is available from Flight Standards Information Management System (FSIMS) (FAA 2015b; Advisory Circular AC 91-45C (FAA 1990b); and FAA Compliance and Enforcement Program Order 2150.3B (FAA 2007a). Occasionally, a balloon operator will sponsor a walk-in balloon event. The public is able to gain entry into a balloon that has been laid out on the ground and is partially inflated. An airport manager may be surprised to learn that entry into an enclosed space such as a partially inflated balloon may be governed by state or local regulations related to carnival activity.