5-6-3. Definitions

1. Air Defense Identification Zone (ADIZ) means an area of airspace over land or water, in which the ready identification, location, and control of all aircraft (except Department of Defense and law enforcement aircraft) is required in the interest of national security.
2. Defense Area means any airspace of the contiguous U.S. that is not an ADIZ in which the control of aircraft is required for reasons of national security.
3. U.S. territorial airspace, for the purposes of this section,means the airspace over the U.S., its territories, and possessions, and the airspace over the territorial sea of the U.S., which extends 12 nautical miles from the baselines of the U.S., determined in accordance with international law.
4. To U.S. territorial airspace means any flight that enters U.S. territorial airspace after departure from a location outside of the U.S., its territories or possessions, for landing at a destination in the U.S., its territories or possessions.
5. From U.S. territorial airspace means any flight that exits U.S. territorial airspace after departure from a location in the U.S., its territories or possessions, and lands at a destination outside the U.S., its territories or possessions.
6. Within U.S. territorial airspace means any flight departing from a location inside of the U.S., its territories or possessions, which operates en route to a location inside the U.S., its territories or possessions.
7. Transit or transiting U.S. territorial airspace means any flight departing from a location outside of the U.S., its territories or possessions, which operates in U.S. territorial airspace en route to a location outside the U.S., its territories or possessions without landing at a destination in the U.S., its territories or possessions.
8. Aeronautical facility, for the purposes of this section, means a communications facility where flight plans or position reports are normally filed during flight operations.

5-6-4. ADIZ Requirements

1. To facilitate early identification of all aircraft in the vicinity of U.S. airspace boundaries, Air Defense Identification Zones (ADIZ) have been established. All aircraft must meet certain requirements to facilitate early identification when operating into, within, and across an ADIZ, as described in 14 CFR 99.
2. Requirements for aircraft operations are as follows:
   1. Transponder Requirements. Unless otherwise authorized by ATC, each aircraft conducting operations into, within, or across the contiguous U.S. ADIZ must be equipped with an operable radar beacon transponder. The transponder must be turned on and squawking a discrete beacon code assigned by ATC or issued by FSS and displaying the aircraft altitude. Use of beacon code 1200 is not authorized. Use of the Universal Access Transceiver (UAT) anonymity mode is not authorized.
      1. For air defense purposes, aircraft equipped with an operable 1090es (DO-260b) ADS-B system operating outbound across the contiguous U.S. ADIZ may also be identified by the ICAO aircraft address (otherwise known as the aircraft Mode S code). Therefore, use of a privacy ICAO aircraft address by outbound aircraft is not authorized.
      2. Pilots of outbound VFR aircraft must squawk a discrete beacon code assigned by ATC or issued by FSS.
      3. Nothing in this section changes the ADS-B OUT requirements of 14 CFR 91.225.
   2. Two-way Radio. In accordance with 14 CFR 99.9, Radio Requirements, any person operating in an ADIZ must maintain two-way radio communication with an appropriate aeronautical facility. For two-way radio communications failure, follow instructions contained in 14 CFR 99.9.
   3. Flight Plan. In accordance with 14 CFR 99.11, Flight Plan Requirements, and 14 CFR 99.9, except as specified in subparagraph 5-6-4e, no person may operate an aircraft into, within, or from a departure point within an ADIZ, unless the person files, activates, and closes a flight plan with an appropriate aeronautical facility, or is otherwise authorized by air traffic control as follows:
      1. Pilots must file an Instrument Flight Rules (IFR) flight plan or file a Defense Visual Flight Rules (DVFR) flight plan containing the time and point of ADIZ penetration;
      2. The pilot must activate the DVFR flight plan with U.S. Flight Service and set the aircraft transponder to the assigned discrete beacon code prior to entering the ADIZ;
      3. The IFR or DVFR aircraft must depart within 5 minutes of the estimated departure time contained in the flight plan, except for (d) below;
      4. If the airport of departure within the Alaskan ADIZ has no facility for filing a flight plan, the flight plan must be filed immediately after takeoff or when within range of an appropriate aeronautical facility;
      5. State aircraft (U.S. or foreign) planning to operate through an ADIZ should enter ICAO Code M in Item 8 of the flight plan to assist in identification of the aircraft as a state aircraft.
3. Position Reporting Before Penetration of ADIZ.

   In accordance with 14 CFR 99.15, Position Reports, before entering the ADIZ, the pilot must report to an appropriate aeronautical facility as follows:

   1. IFR flights in controlled airspace. The pilot must maintain a continuous watch on the appropriate frequency and report the time and altitude of passing each designated reporting point or those reporting points specified or requested by ATC, except that while the aircraft is under radar control, only the passing of those reporting points specifically requested by ATC need be reported. (See 14 CFR 91.183(a), IFR Communications.)
   2. DVFR flights and IFR flights in uncontrolled airspace:
      1. The time, position, and altitude at which the aircraft passed the last reporting point before penetration and the estimated time of arrival over the next appropriate reporting point along the flight route;
      2. If there is no appropriate reporting point along the flight route, the pilot reports at least 15 minutes before penetration: the estimated time, position, and altitude at which the pilot will penetrate; or
      3. If the departure airport is within an ADIZ or so close to the ADIZ boundary that it prevents the pilot from complying with (a) or (b) above, the pilot must report immediately after departure: the time of departure, the altitude, and the estimated time of arrival over the first reporting point along the flight route.
   3. Foreign civil aircraft. If the pilot of a foreign civil aircraft that intends to enter the U.S. through an ADIZ cannot comply with the reporting requirements in subparagraphs c1 or c2 above, as applicable, the pilot must report the position of the aircraft to the appropriate aeronautical facility not less than 1 hour and not more than 2 hours average direct cruising distance from the U.S.
4. Land-Based ADIZ. Land-Based ADIZ are activated and deactivated over U.S. metropolitan areas as needed, with dimensions, activation dates and other relevant information disseminated via NOTAM. Pilots unable to comply with all NOTAM requirements must remain clear of Land-Based ADIZ. Pilots entering a Land-Based ADIZ without authorization or who fail to follow all requirements risk interception by military fighter aircraft.
5. Exceptions to ADIZ requirements.
   1. Except for the national security requirements in paragraph 5-6-2, transponder requirements in subparagraph 5-6-4b1, and position reporting in subparagraph 5-6-4c, the ADIZ requirements in 14 CFR part 99 described in this section do not apply to the following aircraft operations pursuant to section 99.1(b), Applicability:
      1. Within the 48 contiguous States or within the State of Alaska, on a flight which remains within 10 NM of the point of departure;
      2. Operating at true airspeed of less than 180 knots in the Hawaii ADIZ or over any island, or within 12 NM of the coastline of any island, in the Hawaii ADIZ;
      3. Operating at true airspeed of less than 180 knots in the Alaska ADIZ while the pilot maintains a continuous listening watch on the appropriate frequency; or
      4. Operating at true airspeed of less than 180 knots in the Guam ADIZ.
   2. An FAA air route traffic control center (ARTCC) may exempt certain aircraft operations on a local basis in concurrence with the DoD or pursuant to an agreement with a U.S. Federal security or intelligence agency. (See 14 CFR 99.1 for additional information.)
6. A VFR flight plan filed inflight makes an aircraft subject to interception for positive identification when entering an ADIZ. Pilots are therefore urged to file the required DVFR flight plan either in person or by telephone prior to departure when able.

5-6-5. Civil Aircraft Operations To or From U.S. Territorial Airspace

1. Civil aircraft, except as described in subparagraph 5-6-5b below, are authorized to operate to or from U.S. territorial airspace if in compliance with all of the following conditions:
   1. File and are on an active flight plan (IFR, VFR, or DVFR);
   2. Are equipped with an operational transponder with altitude reporting capability, and continuously squawk an ATC assigned transponder code;
   3. Maintain two-way radio communications with ATC;
   4. Comply with all other applicable ADIZ requirements described in paragraph 5-6-4 and any other national security requirements in paragraph 5-6-2;
   5. Comply with all applicable U.S. Customs and Border Protection (CBP) requirements, including Advance Passenger Information System (APIS) requirements (see subparagraph 5-6-5c below for CBP APIS information), in accordance with 19 CFR part 122, Air Commerce Regulations; and
   6. Are in receipt of, and are operating in accordance with, an FAA routing authorization if the aircraft is registered in a U.S. State Department-designated special interest country or is operating with the ICAO three letter designator (3LD) of a company in a country listed as a U.S. State Department-designated special interest country, unless the operator holds valid FAA part 129 operations specifications. VFR and DVFR flight operations are prohibited for any aircraft requiring an FAA routing authorization. (See paragraph 5-6-11 for FAA routing authorization information).
2. Civil aircraft registered in the U.S., Canada, or Mexico with a maximum certificated takeoff gross weight of 100,309 pounds (45,500 kgs) or less that are operating without an operational transponder, and/or the ability to maintain two-way radio communications with ATC, are authorized to operate to or from U.S. territorial airspace over Alaska if in compliance with all of the following conditions:
   1. Depart and land at an airport within the U.S. or Canada;
   2. Enter or exit U.S. territorial airspace over Alaska north of the fifty-fourth parallel;
   3. File and are on an active flight plan;
   4. Comply with all other applicable ADIZ requirements described in paragraph 5-6-4 and any other national security requirements in paragraph 5-6-2;
   5. Squawk 1200 if VFR and equipped with a transponder; and
   6. Comply with all applicable U.S. CBP requirements, including Advance Passenger Information System (APIS) requirements (see subparagraph 5-6-5c below for CBP APIS information), in accordance with 19 CFR part 122, Air Commerce Regulations.
3. CBP APIS Information. Information about U.S. CBP APIS requirements is available at http://www.cbp.gov.

5-6-6. Civil Aircraft Operations Within U.S. Territorial Airspace

1. Civil aircraft with a maximum certificated takeoff gross weight less than or equal to 100,309 pounds (45,500 kgs) are authorized to operate within U.S. territorial airspace in accordance with all applicable regulations and VFR in airport traffic pattern areas of U.S. airports near the U.S. border, except for those described in subparagraph 5-6-6b below.
2. Civil aircraft with a maximum certificated takeoff gross weight less than or equal to 100,309 pounds (45,500 kgs) and registered in a U.S. State Department-designated special interest country or operating with the ICAO 3LD of a company in a country listed as a U.S. State Department-designated special interest country, unless the operator holds valid FAA part 129 operations specifications, must operate within U.S. territorial airspace in accordance with the same requirements as civil aircraft with a maximum certificated takeoff gross weight greater than 100,309 pounds (45,500 kgs), as described in subparagraph 5-6-6c below.
3. Civil aircraft with a maximum certificated takeoff gross weight greater than 100,309 pounds (45,500 kgs) are authorized to operate within U.S. territorial airspace if in compliance with all of the following conditions:
   1. File and are on an active flight plan (IFR or VFR);
   2. Equipped with an operational transponder with altitude reporting capability, and continuously squawk an ATC assigned transponder code;
   3. Equipped with an operational ADS-B Out when operating in airspace specified in 14 CFR 91.225;
   4. Maintain two-way radio communications with ATC;
   5. Aircraft not registered in the U.S. must operate under an approved Transportation Security Administration (TSA) aviation security program (see paragraph 5-6-10 for TSA aviation security program information) or in accordance with an FAA/TSA airspace waiver (see paragraph 5-6-9 for FAA/TSA airspace waiver information), except as authorized in 5-6-6c7. below;
   6. Are in receipt of, and are operating in accordance with an FAA routing authorization and an FAA/TSA airspace waiver if the aircraft is registered in a U.S. State Department-designated special interest country or is operating with the ICAO 3LD of a company in a country listed as a U.S. State Department-designated special interest country, unless the operator holds valid FAA part 129 operations specifications. VFR and DVFR flight operations are prohibited for any aircraft requiring an FAA routing authorization. (See paragraph 5-6-11 for FAA routing authorization information.); and
   7. Aircraft not registered in the U.S., when conducting post-maintenance, manufacturer, production, or acceptance flight test operations, are exempt from the requirements in 5-6-6c5 above if all of the following requirements are met:
      1. A U.S. company must have operational control of the aircraft;
      2. An FAA-certificated pilot must serve as pilot in command;
      3. Only crewmembers are permitted onboard the aircraft; and
      4. “Maintenance Flight” is included in the remarks section of the flight plan.

5-6-7. Civil Aircraft Operations Transiting U.S. Territorial Airspace

1. Civil aircraft (except those operating in accordance with subparagraphs 5-6-7b, 5-6-7c, 5-6-7d, and 5-6-7e) are authorized to transit U.S. territorial airspace if in compliance with all of the following conditions:
   1. File and are on an active flight plan (IFR, VFR, or DVFR);
   2. Equipped with an operational transponder with altitude reporting capability and continuously squawk an ATC assigned transponder code;
   3. Equipped with an operational ADS-B Out when operating in airspace specified in 14 CFR 91.225;
   4. Maintain two-way radio communications with ATC;
   5. Comply with all other applicable ADIZ requirements described in paragraph 5-6-4 and any other national security requirements in paragraph 5-6-2;
   6. Are operating under an approved TSA aviation security program (see paragraph 5-6-10 for TSA aviation security program information) or are operating with and in accordance with an FAA/TSA airspace waiver (see paragraph 5-6-9 for FAA/TSA airspace waiver information), if:
      1. The aircraft is not registered in the U.S.; or
      2. The aircraft is registered in the U.S. and its maximum takeoff gross weight is greater than 100,309 pounds (45,500 kgs);
   7. Are in receipt of, and are operating in accordance with, an FAA routing authorization if the aircraft is registered in a U.S. State Department-designated special interest country or is operating with the ICAO 3LD of a company in a country listed as a U.S. State Department-designated special interest country, unless the operator holds valid FAA part 129 operations specifications. VFR and DVFR flight operations are prohibited for any aircraft requiring an FAA routing authorization. (See paragraph 5-6-11 for FAA routing authorization information.)
2. Civil aircraft registered in Canada or Mexico, and engaged in operations for the purposes of air ambulance, firefighting, law enforcement, search and rescue, or emergency evacuation are authorized to transit U.S. territorial airspace within 50 NM of their respective borders with the U.S., with or without an active flight plan, provided they have received and continuously transmit an ATC-assigned transponder code.
3. Civil aircraft registered in Canada, Mexico, Bahamas, Bermuda, Cayman Islands, or the British Virgin Islands with a maximum certificated takeoff gross weight of 100,309 pounds (45,500 kgs) or less are authorized to transit U.S. territorial airspace if in compliance with all of the following conditions:
   1. File and are on an active flight plan (IFR, VFR, or DVFR) that enters U.S. territorial airspace directly from any of the countries listed in this subparagraph 5-6-7c. Flights that include a stop in a non-listed country prior to entering U.S. territorial airspace must comply with the requirements prescribed by subparagraph 5-6-7a above, including operating under an approved TSA aviation security program (see paragraph 5-6-10 for TSA aviation program information) or operating with, and in accordance with, an FAA/TSA airspace waiver (see paragraph 5-6-9 for FAA/TSA airspace waiver information).
   2. Equipped with an operational transponder with altitude reporting capability and continuously squawk an ATC assigned transponder code;
   3. Equipped with an operational ADS-B Out when operating in airspace specified in 14 CFR 91.225;
   4. Maintain two-way radio communications with ATC; and
   5. Comply with all other applicable ADIZ requirements described in paragraph 5-6-4 and any other national security requirements in paragraph 5-6-2.
4. Civil aircraft registered in Canada, Mexico, Bahamas, Bermuda, Cayman Islands, or the British Virgin Islands with a maximum certificated takeoff gross weight greater than 100,309 pounds (45,500 kgs) must comply with the requirements subparagraph 5-6-7a, including operating under an approved TSA aviation security program (see paragraph 5-6-10 for TSA aviation program information) or operating with, and in accordance with, an FAA/TSA airspace waiver (see paragraph 5-6-9 for FAA/TSA airspace waiver information).
5. Civil aircraft registered in the U.S., Canada, or Mexico with a maximum certificated takeoff gross weight of 100,309 pounds (45,500 kgs) or less that are operating without an operational transponder and/or the ability to maintain two-way radio communications with ATC, are authorized to transit U.S. territorial airspace over Alaska if in compliance with all of the following conditions:
   1. Enter and exit U.S. territorial airspace over Alaska north of the fifty-fourth parallel;
   2. File and are on an active flight plan;
   3. Squawk 1200 if VFR and equipped with a transponder.
   4. Comply with all other applicable ADIZ requirements described in paragraph 5-6-4 and any other national security requirements in paragraph 5-6-2.

5-6-8. Foreign State Aircraft Operations

1. Foreign state aircraft are authorized to operate in U.S. territorial airspace if in compliance with all of the following conditions:
   1. File and are on an active IFR flight plan;
   2. Equipped with an operational transponder with altitude reporting capability and continuously squawk an ATC assigned transponder code;
   3. Equipped with an operational ADS-B Out when operating in airspace specified in 14 CFR 91.225;
   4. Maintain two-way radio communications with ATC; and
   5. Comply with all other applicable ADIZ requirements described in paragraph 5-6-4 and any other national security requirements in paragraph 5-6-2.
2. Diplomatic Clearances. Foreign state aircraft may operate to or from, within, or in transit of U.S. territorial airspace only when authorized by the U.S. State Department by means of a diplomatic clearance, except as described in subparagraph 5-6-8i below.
   1. Information about diplomatic clearances is available at the U.S. State Department website https://www.state.gov/diplomatic-aircraft-clearance-procedures-for-foreign-state-aircraft-to-operate-in-united-states-national-airspace/ (lower case only).
   2. A diplomatic clearance may be initiated by contacting the U.S. State Department via email at DCAS@state.gov or via phone at (202) 453-8390.
3. An FAA routing authorization for state aircraft operations of special interest countries listed in subparagraph 5-6-11b. is required before the U.S. State Department will issue a diplomatic clearance for such operations. (See subparagraph 5-6-11 for FAA routing authorizations information).
4. Foreign state aircraft operating with a diplomatic clearance must navigate U.S. territorial airspace on an active IFR flight plan, unless specifically approved for VFR flight operations by the U.S. State Department in the diplomatic clearance.
5. A foreign aircraft that operates to or from, within, or in transit of U.S. territorial airspace while conducting a state aircraft operation is not authorized to change its status as a state aircraft during any portion of the approved, diplomatically cleared itinerary.
6. A foreign aircraft described in subparagraph 5-6-8e above may operate from or within U.S. territorial airspace as a civil aircraft operation, once it has completed its approved, diplomatically cleared itinerary, if the aircraft operator is:
   1. A foreign air carrier that holds valid FAA part 129 operations specifications; and
   2. Is in compliance with all other requirements applied to foreign civil aircraft operations from or within U.S. territorial airspace. (See paragraphs 5-6-5 and 5-6-6.)
7. Foreign state aircraft operations are not authorized to or from Ronald Reagan Washington National Airport (KDCA).
8. Foreign state aircraft operating with a U.S. Department of State issued Diplomatic Clearance Number in the performance of official missions are authorized to deviate from the Automatic Dependent Surveillance-Broadcast (ADS-B) Out requirements contained in 14 CFR §§ 91.225 and 91.227. All foreign state aircraft and/or operators associated with Department of Defense missions should contact their respective offices for further information on handling. Foreign state aircraft not associated with Department of Defense should coordinate with U.S. Department of State through the normal diplomatic clearance process.
9. Diplomatic Clearance Exceptions. State aircraft operations on behalf of the governments of Canada and Mexico conducted for the purposes of air ambulance, firefighting, law enforcement, search and rescue, or emergency evacuation are authorized to transit U.S. territorial airspace within 50 NM of their respective borders with the U.S., with or without an active flight plan, provided they have received and continuously transmit an ATC assigned transponder code. State aircraft operations on behalf of the governments of Canada and Mexico conducted under this subparagraph 5-6-8h are not required to obtain a diplomatic clearance from the U.S. State Department.

5-6-9. FAA/TSA Airspace Waivers

1. Operators may submit requests for FAA/TSA airspace waivers at https://waivers.faa.gov by selecting “international” as the waiver type.
2. Information regarding FAA/TSA airspace waivers can be found at:
   http://www.tsa.gov/for-industry/general-aviation or can be obtained by contacting TSA at (571) 227-2071.
3. All existing FAA/TSA waivers issued under previous FDC NOTAMS remain valid until the expiration date specified in the waiver, unless sooner superseded or rescinded.

5-6-10. TSA Aviation Security Programs

1. Applicants for U.S. air operator certificates will be provided contact information for TSA aviation security programs by the U.S. Department of Transportation during the certification process.
2. For information about applicable TSA security programs:
   1. U.S. air carriers and commercial operators must contact their TSA Principal Security Specialist (PSS); and
   2. Foreign air carriers must contact their International Industry Representative (IIR).

5-6-11. FAA Flight Routing Authorizations

1. Information about FAA routing authorizations for U.S. State Department-designated special interest country flight operations to or from, within, or transiting U.S. territorial airspace is available by country at:
   1. FAA website http://www.faa.gov/air_traffic/publications/us_restrictions/; or
   2. Phone by contacting the FAA System Operations Support Center (SOSC) at (202) 267-8115.
2. Special Interest Countries. The U.S. State Department-designated special interest countries are Cuba, Iran, The Democratic People's Republic of Korea (North Korea), The People's Republic of China, The Russian Federation, Sudan, and Syria.
3. Aircraft operating with the ICAO 3LD assigned to a company or entity from a country listed as a State Department-designated special interest country and holding valid FAA part 129 operations specifications do not require FAA flight routing authorization.
4. FAA routing authorizations will only be granted for IFR operations. VFR and DVFR flight operations are prohibited for any aircraft requiring an FAA routing authorization.