Narrative:

We had been planning this altitude flight for some 6 months. We as a team wanted to break the AM8-AM15 record, meaning that I had to fly to an altitude of FL410. Any paperwork not in order would render the record void. We chose greeley, co. Another balloonist completed 5 similar altitude record attempts from this location. 3 weeks prior to the attempt, mr Y confirmed that the TRACON had been informed. Mr Y was advised to contact TRACON the day prior to the flight. He was also asked to call them again on the morning of the flight in order to receive the designated transponder code and VHF frequency. The support group, who sponsored the attempt, also e-mailed me to confirm that permission had been granted. Having consulted the meteorologist, it was decided to fly on the morning of tuesday. I was present when he phoned TRACON that evening to inform them that we would be flying in the morning. At XA30 on tuesday morning, I arrived at the office set up for the launch site. Mr Y again checked with the meteorologist, who confirmed that the flying conditions were perfect. He then talked to an individual at TRACON, advising him of the approximately time of the flight, again reiterating that the flight would be to FL410. A transponder code was issued, and the radio frequencys to be used in the basket were agreed. I took off at XC32. I initiated a rate of ascent of 500 FPM, and contacted denver on 127.05. ATC asked if I had a waiver during the flight. As I was confident that we had full permission for the flight to continue to FL410, I informed them that my control/retrieve would contact them with further information. It is true that I was asked to remain below FL180. However, as you may be aware, unlike a hot air balloon that can be stopped immediately, a roziere balloon is a mixture of gas and hot air. The balloon was configured to fly to a pre-established altitude of FL410, consistent with the permission that we were led to believe we had established. Because of the way in which the balloon was configured, it was not possible to interrupt the flight in this way, unless in an emergency. Given the care with which we had planned the flight, I assumed that ATC were unclr regarding the fact that we did have permission to proceed to FL410 and that had they known this they would not have issued a request that I remain below FL180. I, therefore, continued. Having reached FL410, the temperature was in the region of -70 degrees C, and it is possible that my voice became difficult to understand at this point. However, I contacted ATC and advised them that I was initiating a descent of 500 FPM, and proceeded to make a safe landing. I realize that considerable inconvenience has been caused, and am extremely apologetic for this. Moreover, I would have considered it extremely unprofessional to have attempted such a flight without having first sought the proper set of permissions.

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Original NASA ASRS Text

Title: A HOT AIR BALLOONIST'S RPT ON ATC HANDLING AND AN ALTDEV DURING ASCENT TO FL410 N OF DEN, CO.

Narrative: WE HAD BEEN PLANNING THIS ALT FLT FOR SOME 6 MONTHS. WE AS A TEAM WANTED TO BREAK THE AM8-AM15 RECORD, MEANING THAT I HAD TO FLY TO AN ALT OF FL410. ANY PAPERWORK NOT IN ORDER WOULD RENDER THE RECORD VOID. WE CHOSE GREELEY, CO. ANOTHER BALLOONIST COMPLETED 5 SIMILAR ALT RECORD ATTEMPTS FROM THIS LOCATION. 3 WKS PRIOR TO THE ATTEMPT, MR Y CONFIRMED THAT THE TRACON HAD BEEN INFORMED. MR Y WAS ADVISED TO CONTACT TRACON THE DAY PRIOR TO THE FLT. HE WAS ALSO ASKED TO CALL THEM AGAIN ON THE MORNING OF THE FLT IN ORDER TO RECEIVE THE DESIGNATED XPONDER CODE AND VHF FREQ. THE SUPPORT GROUP, WHO SPONSORED THE ATTEMPT, ALSO E-MAILED ME TO CONFIRM THAT PERMISSION HAD BEEN GRANTED. HAVING CONSULTED THE METEOROLOGIST, IT WAS DECIDED TO FLY ON THE MORNING OF TUESDAY. I WAS PRESENT WHEN HE PHONED TRACON THAT EVENING TO INFORM THEM THAT WE WOULD BE FLYING IN THE MORNING. AT XA30 ON TUESDAY MORNING, I ARRIVED AT THE OFFICE SET UP FOR THE LAUNCH SITE. MR Y AGAIN CHKED WITH THE METEOROLOGIST, WHO CONFIRMED THAT THE FLYING CONDITIONS WERE PERFECT. HE THEN TALKED TO AN INDIVIDUAL AT TRACON, ADVISING HIM OF THE APPROX TIME OF THE FLT, AGAIN REITERATING THAT THE FLT WOULD BE TO FL410. A XPONDER CODE WAS ISSUED, AND THE RADIO FREQS TO BE USED IN THE BASKET WERE AGREED. I TOOK OFF AT XC32. I INITIATED A RATE OF ASCENT OF 500 FPM, AND CONTACTED DENVER ON 127.05. ATC ASKED IF I HAD A WAIVER DURING THE FLT. AS I WAS CONFIDENT THAT WE HAD FULL PERMISSION FOR THE FLT TO CONTINUE TO FL410, I INFORMED THEM THAT MY CTL/RETRIEVE WOULD CONTACT THEM WITH FURTHER INFO. IT IS TRUE THAT I WAS ASKED TO REMAIN BELOW FL180. HOWEVER, AS YOU MAY BE AWARE, UNLIKE A HOT AIR BALLOON THAT CAN BE STOPPED IMMEDIATELY, A ROZIERE BALLOON IS A MIXTURE OF GAS AND HOT AIR. THE BALLOON WAS CONFIGURED TO FLY TO A PRE-ESTABLISHED ALT OF FL410, CONSISTENT WITH THE PERMISSION THAT WE WERE LED TO BELIEVE WE HAD ESTABLISHED. BECAUSE OF THE WAY IN WHICH THE BALLOON WAS CONFIGURED, IT WAS NOT POSSIBLE TO INTERRUPT THE FLT IN THIS WAY, UNLESS IN AN EMER. GIVEN THE CARE WITH WHICH WE HAD PLANNED THE FLT, I ASSUMED THAT ATC WERE UNCLR REGARDING THE FACT THAT WE DID HAVE PERMISSION TO PROCEED TO FL410 AND THAT HAD THEY KNOWN THIS THEY WOULD NOT HAVE ISSUED A REQUEST THAT I REMAIN BELOW FL180. I, THEREFORE, CONTINUED. HAVING REACHED FL410, THE TEMP WAS IN THE REGION OF -70 DEGS C, AND IT IS POSSIBLE THAT MY VOICE BECAME DIFFICULT TO UNDERSTAND AT THIS POINT. HOWEVER, I CONTACTED ATC AND ADVISED THEM THAT I WAS INITIATING A DSCNT OF 500 FPM, AND PROCEEDED TO MAKE A SAFE LNDG. I REALIZE THAT CONSIDERABLE INCONVENIENCE HAS BEEN CAUSED, AND AM EXTREMELY APOLOGETIC FOR THIS. MOREOVER, I WOULD HAVE CONSIDERED IT EXTREMELY UNPROFESSIONAL TO HAVE ATTEMPTED SUCH A FLT WITHOUT HAVING FIRST SOUGHT THE PROPER SET OF PERMISSIONS.

Data retrieved from NASA's ASRS site as of July 2007 and automatically converted to unabbreviated mixed upper/lowercase text. This report is for informational purposes with no guarantee of accuracy. See NASA's ASRS site for official report.