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CFR Final Rule
 Federal Register Information
[Federal Register: April 6, 2007 (Volume 72, Number 66)]
[Page 17001-17024]
Header Information
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 401, 404, 405, 406, 413, 415, 420, 431, and 437
[Docket No. FAA-2006-24197; Amendment Nos. 401-5, 404-4, 405-3, 406-4,
413-9, 420-3, 431-2, 437-0]
RIN 2120-AI56
Experimental Permits for Reusable Suborbital Rockets
 Preamble Information
Regulatory Information
IV. Regulatory Text
For the reasons discussed above, the Federal Aviation Administration amends Chapter III of Title 14, Code of Federal Regulations, as follows:
TITLE 14--AERONAUTICS AND SPACE
CHAPTER III--COMMERCIAL SPACE TRANSPORTATION FEDERAL AVIATION ADMINISTRATION DEPARTMENT OF TRANSPORTATION
PART 401--ORGANIZATION AND DEFINITIONS
1. The authority citation for part 401 continues to read as follows:
Authority: 49 U.S.C. 70101-70121.
2. Revise Sec. 401.3 to read as follows:
Sec. 401.3 The Associate Administrator for Commercial Space Transportation.
The Office is headed by an Associate Administrator to exercise the Secretary's authority to license or permit and otherwise regulate commercial space transportation and to discharge the Secretary's responsibility to encourage, facilitate, and promote commercial space transportation by the United States private sector.
3. Amend Sec. 401.5 as follows:
A. Add definitions for ``experimental permit'', ``validation'', and ``verification'' in alphabetical order to read as set forth below.
B. Revise the definitions for ``amateur rocket activities'', ``launch'', ``launch incident'', and ``reentry incident'' to read as set forth below.
Sec. 401.5 Definitions.
* * * * *
Amateur rocket activities means unmanned launch activities conducted at private sites involving rockets--
(1) Powered by a motor or motors having a total impulse of 200,000 pound-seconds or less;
(2) Powered by a motor or motors having a total burning or operating time of less than 15 seconds; and
(3) Having a ballistic coefficient--that is, gross weight in pounds
divided by frontal area of rocket vehicle--less than 12 pounds per square inch.
* * * * *
Experimental permit or permit means an authorization by the FAA to a person to launch or reenter a reusable suborbital rocket.
* * * * *
Launch means to place or try to place a launch vehicle or reentry vehicle and any payload from Earth in a suborbital trajectory, in Earth orbit in outer space, or otherwise in outer space, and includes preparing a launch vehicle for flight at a launch site in the United States. Launch includes the flight of a launch vehicle and includes pre- and post-flight ground operations as follows:
(1) Beginning of launch.
(i) Under a license, launch begins with the arrival of a launch vehicle or payload at a U.S. launch site.
(ii) Under a permit, launch begins when any pre-flight ground operation at a U.S. launch site meets all of the following criteria:
(A) Is closely proximate in time to flight,
(B) Entails critical steps preparatory to initiating flight,
(C) Is unique to space launch, and
(D) Is inherently so hazardous as to warrant the FAA's regulatory oversight.
(2) End of launch.
(i) For launch of an orbital expendable launch vehicle (ELV), launch ends after the licensee's last exercise of control over its launch vehicle.
(ii) For launch of an orbital reusable launch vehicle (RLV) with a payload, launch ends after deployment of the payload. For any other orbital RLV, launch ends upon completion of the first sustained, steady-state orbit of an RLV at its intended location.
(iii) For a suborbital ELV or RLV launch, launch ends after reaching apogee if the flight includes a reentry, or otherwise after vehicle landing or impact on Earth, and after activities necessary to return the vehicle to a safe condition on the ground.
* * * * *
Launch incident means an unplanned event during the flight of a launch vehicle, other than a launch accident, involving a malfunction of a flight safety system or safety-critical system, or a failure of the licensee's or permittee's safety organization, design, or operations.
* * * * *
Reentry incident means any unplanned event occurring during the reentry of a reentry vehicle, other than a reentry accident, involving a malfunction of a reentry safety-critical system or failure of the licensee's or permittee's safety organization, procedures, or operations.
* * * * *
Validation means an evaluation to determine that each safety measure derived from a system safety process is correct, complete, consistent, unambiguous, verifiable, and technically feasible.
Validation ensures that the right safety measure is implemented, and that the safety measure is well understood.
Verification means an evaluation to determine that safety measures derived from a system safety process are effective and have been properly implemented. Verification provides measurable evidence that a safety measure reduces risk to acceptable levels.
PART 404--REGULATIONS AND LICENSING REQUIREMENTS
4. The authority citation for part 404 continues to read as follows:
Authority: 49 U.S.C. 70101-70121.
5. Revise Sec. 404.1 to read as follows:
Sec. 404.1 Scope.
This part establishes procedures for issuing regulations to implement 49 U.S.C. Subtitle IX, chapter 701, and for eliminating or waiving requirements for licensing or permitting of commercial space transportation activities under that statute.
6. Revise Sec. 404.17 to read as follows:
Sec. 404.17 Additional rulemaking proceedings.
The FAA may initiate other rulemaking proceedings, if necessary or desirable. For example, it may invite interested people to present oral arguments, participate in conferences, appear at informal hearings, or participate in any other proceedings.
PART 405--INVESTIGATIONS AND ENFORCEMENT
7. The authority citation for part 405 continues to read as follows:
Authority: 49 U.S.C. 70101-70121.
8. Revise Sec. 405.1 to read as follows:
Sec. 405.1 Monitoring of licensed, permitted, and other activities.
Each licensee or permittee must allow access by and cooperate with Federal officers or employees or other individuals authorized by the Associate Administrator to observe licensed facilities and activities, including launch sites and reentry sites, as well as manufacturing, production, testing, and training facilities, or assembly sites used by any contractor, licensee, or permittee to produce, assemble, or test a launch or reentry vehicle and to integrate a payload with its launch or reentry vehicle. Observations are conducted to monitor the activities of the licensee, permittee, or contractor at such time and to such
extent as the Associate Administrator considers reasonable and necessary to determine compliance with the license or permit or to perform the Associate Administrator's responsibilities pertaining to payloads for which no Federal license, authorization, or permit is required.
9. Revise Sec. 405.3(a), (b), and (d) to read as follows:
Sec. 405.3 Authority to modify, suspend or revoke.
(a) The FAA may modify a license or permit issued under this chapter upon application by the licensee or permittee or upon the FAA's own initiative, if the FAA finds that the modification is consistent with the requirements of the Act.
(b) The FAA may suspend or revoke any license or permit issued to such licensee or permittee under this chapter if the FAA finds that a licensee or permittee has substantially failed to comply with any requirement of the Act, any regulation issued under the Act, the terms and conditions of a license or permit, or any other applicable requirement; or that public health and safety, the safety of property, or any national security or foreign policy interest of the United
States so require.
* * * * *
(d) Whenever the FAA takes any action under this section, the FAA immediately notifies the licensee or permittee in writing of the FAA's finding and the action, which the FAA has taken or proposes to take regarding such finding.
10. Revise Sec. 405.5 introductory text and paragraph (a) to read as follows:
Sec. 405.5 Emergency orders.
The Associate Administrator may immediately terminate, prohibit, or suspend a licensed or permitted launch, reentry, or operation of a launch or reentry site if the Associate Administrator determines that--
(a) The licensed or permitted launch, reentry, or operation of a launch or reentry site is detrimental to public health and safety, the safety of property, or any national security or foreign policy interest of the United States; and
* * * * *
PART 406--INVESTIGATIONS, ENFORCEMENT, AND ADMINISTRATIVE REVIEW
11. The authority citation for part 406 continues to read as follows:
Authority: 49 U.S.C. 70101-70121.
12. Revise Sec. 406.1 heading and paragraphs (a)(2) and (3), and add paragraphs (a)(4) and (5) to read as follows:
Sec. 406.1 Hearings in license, permit, and payload actions.
(a) * * *
(2) An owner or operator of a payload regarding any decision to prevent the launch or reentry of the payload;
(3) A licensee regarding any decision to suspend, modify, or revoke a license or to terminate, prohibit, or suspend any licensed activity;
(4) An applicant for a permit regarding an FAA decision to issue a permit with conditions or to deny the issuance of the permit; and
(5) A permittee regarding any decision to suspend, modify, or revoke a permit or to terminate, prohibit, or suspend any permitted activity.
* * * * *
0
13. Revise Sec. 406.3 heading and paragraph (a) to read as follows:
Sec. 406.3 Submissions; oral presentation in license, permit, and payload actions.
(a) The FAA will make decisions about license, permit, and payload actions under this subpart based on written submissions unless the administrative law judge requires an oral presentation.
* * * * *
14. Revise Sec. 406.5 heading to read as follows.
Sec. 406.5 Administrative law judge's recommended decision in license, permit, and payload actions.
* * * * *
15. Revise Sec. 406.9(a), (c) introductory text, and (f)(3) to read as follows:
Sec. 406.9 Civil penalties.
(a) Civil penalty liability. Under 49 U.S.C. 70115(c), a person found by the FAA to have violated a requirement of the Act, a regulation issued under the Act, or any term or condition of a license or permit issued or transferred under the Act, is liable to the United States for a civil penalty of not more than $100,000 for each
violation, as adjusted for inflation. A separate violation occurs for each day the violation continues.
* * * * *
(c) Notice of proposed civil penalty. A civil penalty action is initiated when the agency attorney advises a person, referred to as the respondent, of the charges or other reasons upon which the FAA bases the proposed action and allows the respondent to answer the charges and to be heard as to why the civil penalty should not be imposed. A notice of proposed civil penalty states the facts alleged; any requirement of the Act, a regulation issued under the Act, or any term or condition of a license or permit issued or transferred under the Act allegedly violated by the respondent; and the amount of the proposed civil
penalty. Not later than 30 days after receipt of the notice of proposed civil penalty the respondent may elect to proceed by one or more of the
following:
* * * * *
(f) * * *
(3) The compromise order may not be used as evidence of a prior violation in any subsequent civil penalty action, license, or permit action.
* * * * *
0
16. Revise Sec. 406.127(a)(3)(ii) to read as follows:
Sec. 406.127 Complaint and answer in civil penalty adjudications.
(a) * * *
(3) * * *
(ii) Any requirement of the Act, a regulation issued under the Act, or any term or condition of a license or permit issued or transferred under the Act allegedly violated by the respondent.
* * * * *
PART 413--LICENSE AND EXPERIMENTAL PERMIT APPLICATION PROCEDURES
17. The authority citation for part 413 continues to read as follows:
Authority: 49 U.S.C. 70101-70121.
18. Revise Sec. 413.1 to read as follows:
Sec. 413.1 Scope of this part.
(a) This part explains how to apply for a license or experimental permit. These procedures apply to all applications for issuing a license or permit, transferring a license, and renewing a license or permit.
(b) Use the following table to locate specific requirements:
19. Revise Sec. 413.3 to read as follows:
Sec. 413.3 Who must obtain a license or permit.
(a) A person must obtain a license in accordance with this section, unless eligible for an experimental permit under paragraph (f) of this section.
(b) A person must obtain a license to--
(1) Launch a launch vehicle from the United States;
(2) Operate a launch site within the United States;
(3) Reenter a reentry vehicle in the United States; or
(4) Operate a reentry site within the United States.
(c) A person who is a U.S. citizen or an entity organized under the laws of the United States or any State must obtain a license to--
(1) Launch a launch vehicle outside the United States;
(2) Operate a launch site outside the United States;
(3) Reenter a reentry vehicle outside the United States; or
(4) Operate a reentry site outside the United States.
(d) A foreign entity in which a United States citizen has a controlling interest must obtain a license to launch a launch vehicle from or to operate a launch site in--
(1) Any place that is outside the territory or territorial waters of any nation, unless there is an agreement in force between the United States and a foreign nation providing that such foreign nation has jurisdiction over the launch or the operation of the launch site; or
(2) The territory of any foreign nation, including its territorial waters, if there is an agreement in force between the United States and that foreign nation providing that the United States has jurisdiction over the launch or the operation of the launch site.
(e) A foreign entity in which a U.S. citizen has a controlling interest must obtain a license to reenter a reentry vehicle or to operate a reentry site in--
(1) Any place that is outside the territory or territorial waters of any nation, unless there is an agreement in force between the United States and a foreign nation providing that such foreign nation has jurisdiction over the reentry or the operation of the reentry site; or
(2) The territory of any foreign nation if there is an agreement in force between the United States and that foreign nation providing that the United States has jurisdiction over the reentry or the operation of the reentry site.
(f) A person, individual, or foreign entity otherwise requiring a license under this section may instead obtain an experimental permit to launch or reenter a reusable suborbital rocket under part 437 of this chapter.
20. Revise Sec. 413.5 to read as follows:
Sec. 413.5 Pre-application consultation.
A prospective applicant must consult with the FAA before submitting an application to discuss the application process and possible issues relevant to the FAA's licensing or permitting decision. Early consultation helps an applicant to identify possible regulatory issues at the planning stage when changes to an application or to proposed licensed or permitted activities are less likely to result in significant delay or costs to the applicant.
21. Revise Sec. 413.7(a), (b)(3), and (c)(1) and (3) to read as follows:
Sec. 413.7 Application.
(a) Form. An application must be in writing, in English and filed in duplicate with the Federal Aviation Administration, Associate Administrator for Commercial Space Transportation, Room 331, 800 Independence Avenue, SW., Washington, DC 20591. Attention: Application Review.
(b) * * *
(3) The type of license or permit for which the applicant is applying.
(c) * * *
(1) For a corporation: An officer or other individual authorized to act for the corporation in licensing or permitting matters.
* * * * *
(3) For a joint venture, association, or other entity: An officer or other individual authorized to act for the joint venture, association, or other entity in licensing or permitting matters.
* * * * *
22. Revise Sec. 1A413.11 to read as follows:
Sec. 413.11 Acceptance of an application.
The FAA will initially screen an application to determine whether it is complete enough for the FAA to start its review. After completing the initial screening, the FAA will notify the applicant in writing of one of the following:
(a) The FAA accepts the application and will initiate the reviews required to make a decision about the license or permit; or
(b) The application is so incomplete or indefinite that the FAA cannot start to evaluate it. The FAA will reject it and notify the applicant, stating each reason for rejecting it and what action the applicant must take for the FAA to accept the application. The FAA may return a rejected application to the applicant or may hold it until the applicant takes the required actions.
23. Revise Sec. 413.13 to read as follows:
Sec. 413.13 Complete application.
The FAA's acceptance of an application does not mean it has determined that the application is complete. If, in addition to the information required by this chapter, the FAA requires other information necessary for a determination that public health and safety, safety of property, and national security and foreign policy interests of the United States are protected during the conduct of a licensed or permitted activity, an applicant must submit the additional information.
24. Revise Sec. 413.15 to read as follows:
Sec. 413.15 Review period.
(a) Review period duration. Unless otherwise specified in this chapter, the FAA reviews and makes a decision on an application within 180 days of receiving an accepted license application or within 120 days of receiving an accepted permit application.
(b) Review period tolled. If an accepted application does not
provide sufficient information to continue or complete the reviews or evaluations required by this chapter for a licensing or permitting determination, or an issue exists that would affect a determination, the FAA notifies the applicant, in writing, and informs the applicant of any information required to complete the application. If the FAA cannot review an accepted application because of lack of information or for any other reason, the FAA will toll the 180-day or 120-day review period until the FAA receives the information it needs or the applicant resolves the issue.
(c) Notice. If the FAA does not make a decision within 120 days of receiving an accepted license application or within 90 days of receiving an accepted permit application, the FAA informs the applicant, in writing, of any outstanding information needed to complete the review, or of any issues that would affect the decision.
25. Revise Sec. 413.17 to read as follows:
Sec. 413.17 Continuing accuracy of application; supplemental information; amendment.
(a) An applicant must ensure the continuing accuracy and completeness of information furnished to the FAA as part of a pending license or permit application. If at any time the information an applicant provides is no longer accurate and complete in all material respects, the applicant must submit new or corrected information. As part of this submission, the applicant must recertify the accuracy and completeness of the application under Sec. 413.7. If an applicant does not comply with any of the requirements set forth in this paragraph, the FAA can deny the license or permit application.
(b) An applicant may amend or supplement a license or permit application at any time before the FAA issues or transfers the license or permit.
(c) Willful false statements made in any application or document relating to an application, license, or permit are punishable by fine and imprisonment under section 1001 of Title 18, United States Code, and by administrative sanctions in accordance with part 405 of this chapter.
26. Revise Sec. 413.19 to read as follows:
Sec. 413.19 Issuing a license or permit.
After the FAA completes its reviews and makes the decisions required by this chapter, the FAA issues a license or permit to the applicant.
27. Revise Sec. 413.21 (a), (b) introductory text, and (b)(1) to read as follows:
Sec. 413.21 Denial of a license or permit application.
(a) The FAA informs an applicant, in writing, if it denies an application and states the reasons for denial.
(b) If the FAA has denied an application, the applicant may either:
(1) Attempt to correct any deficiencies identified and ask the FAA to reconsider the revised application. The FAA has 60 days or the number of days remaining in the review period, whichever is greater, within which to reconsider the decision; or
* * * * *
28. Revise Sec. 413.23 to read as follows:
Sec. 413.23 License or permit renewal.
(a) Eligibility. A licensee or permittee may apply to renew its license or permit by submitting to the FAA a written application for renewal at least 90 days before the license expires or at least 60 days before the permit expires.
(b) Application. (1) A license or permit renewal application must satisfy the requirements set forth in this part and any other applicable part of this chapter.
(2) The application may incorporate by reference information provided as part of the application for the expiring license or permit, including any modifications to the license or permit.
(3) An applicant must describe any proposed changes in its conduct of licensed or permitted activities and provide any additional clarifying information required by the FAA.
(c) Review of application. The FAA reviews the application to determine whether to renew the license or permit for an additional term. The FAA may incorporate by reference any findings that are part of the record for the expiring license or permit.
(d) Renewal of license or permit. After the FAA finishes its reviews, the FAA issues an order modifying the expiration date of the license or permit. The FAA may impose additional or revised terms and conditions necessary to protect public health and safety and the safety of property and to protect U.S. national security and foreign policy interests.
(e) Denial of license or permit renewal. The FAA informs a licensee or permittee, in writing, if the FAA denies the application for renewal and states the reasons for denial. If the FAA denies an application, the licensee or permittee may follow the procedures of Sec. 413.21 of this part.
PART 415--LAUNCH LICENSE
29. The authority citation for part 415 continues to read as follows:
Authority: 49 U.S.C. 70101-70121.
30. Revise Sec. 415.1 to read as follows:
Sec. 415.1 Scope.
This part prescribes requirements for obtaining a license to launch a launch vehicle, other than a reusable launch vehicle (RLV), and post-licensing requirements with which a licensee must comply to remain licensed. Requirements for preparing a license application are in part 413 of this subchapter.
PART 420--LICENSE TO OPERATE A LAUNCH SITE
31. The authority citation for part 420 continues to read as follows:
Authority: 49 U.S.C. 70101-70121.
32. Revise the definition of ``public'' in Sec. 420.5 to read as follows:
Sec. 420.5 Definitions.
* * * * *
Public means people and property that are not involved in supporting a licensed or permitted launch, and includes those people and property that may be located within the boundary of a launch site, such as visitors, any individual providing goods or services not related to launch processing or flight, and any other launch operator and its personnel.
* * * * *
33. Revise Sec. 420.25(b) to read as follows:
Sec. 420.25 Launch site location review--risk analysis.
* * * * *
(b) For licensed launches, the FAA will not approve the location of the proposed launch point if the estimated expected casualty exceeds 30 x 10-6.
34. Add Sec. 420.30 to read as follows:
Sec. 420.30 Launch site location review for permitted launch vehicles.
If an applicant plans to use its proposed launch site solely for launches conducted under an experimental permit, the FAA will approve a launch site location if the FAA has approved an operating area under part 437 for launches from that site.
PART 431--LICENSE FOR LAUNCH AND REENTRY OF A REUSABLE LAUNCH VEHICLE (RLV)
35. The authority citation for part 431 continues to read as follows:
Authority: 49 U.S.C. 70101-70121.
36. Revise Sec. 431.35(d)(7) to read as follows:
Sec. 431.35 Acceptable reusable launch vehicle mission risk.
* * * * *
(d) * * *
(7) Provide data that verifies the risk elimination and mitigation measures resulting from the applicant's system safety analyses required by paragraph (c) of this section; and
* * * * *
0
37. Add part 437 to read as follows:
PART 437--EXPERIMENTAL PERMITS
Subpart A--General InformationSec.
437.1 Scope and organization of this part.
437.3 Definitions.
437.5 Eligibility for an experimental permit.
437.7 Scope of an experimental permit.
437.9 Issuance of an experimental permit.
437.11 Duration of an experimental permit.
437.13 Additional experimental permit terms and conditions.
437.15 Transfer of an experimental permit.
437.17 Rights not conferred by an experimental permit.
Subpart B--Requirements to Obtain an Experimental Permit
437.21 General.
Program Description
437.23 Program description.
Flight Test Plan
437.25 Flight test plan.
Operational Safety Documentation
437.27 Pre-flight and post-flight operations.
437.29 Hazard analysis.
437.31 Verification of operating area containment and key flight-safety event limitations.
437.33 Landing and impact locations.
437.35 Agreements.
437.37 Tracking.
437.39 Flight rules.
437.41 Mishap response plan.
Subpart C--Safety Requirements
437.51 Rest rules for vehicle safety operations personnel.
437.53 Pre-flight and post-flight operations.
437.55 Hazard analysis.
437.57 Operating area containment.
437.59 Key flight-safety event limitations.
437.61 Landing and impact locations.
437.63 Agreements with other entities involved in a launch or reentry.
437.65 Collision avoidance analysis.
437.67 Tracking a reusable suborbital rocket.
437.69 Communications.
437.71 Flight rules.
437.73 Anomaly recording, reporting and implementation of corrective actions.
437.75 Mishap reporting, responding, and investigating.
437.77 Additional safety requirements.
Subpart D--Terms and Conditions of an Experimental Permit
437.81 Public safety responsibility.
437.83 Compliance with experimental permit.
437.85 Allowable design changes; modification of an experimental permit.
437.87 Records.
437.89 Pre-flight reporting.
437.91 For-hire prohibition.
437.93 Compliance monitoring.
437.95 Inspection of additional reusable suborbital rockets.
Authority: 49 U.S.C. 70101-70102.
Subpart A--General Information
Sec. 437.1 Scope and organization of this part.
(a) This part prescribes requirements for obtaining an experimental permit. It also prescribes post-permitting requirements with which a permittee must comply to maintain its permit. Part 413 of this subchapter contains procedures for applying for an experimental permit.
(b) Subpart A contains general information about an experimental permit. Subpart B contains requirements to obtain an experimental permit. Subpart C contains the safety requirements with which a permittee must comply while conducting permitted activities. Subpart D contains terms and conditions of an experimental permit.
Sec. 437.3 Definitions.
Anomaly means a problem that occurs during verification or operation of a system, subsystem, process, facility, or support equipment.
Envelope expansion means any portion of a flight where planned operations will subject a reusable suborbital rocket to the effects of altitude, velocity, acceleration, or burn duration that exceed a level or duration successfully verified during an earlier flight.
Exclusion area means an area, within an operating area, that a reusable suborbital rocket's instantaneous impact point may not traverse.
Key flight-safety event means a permitted flight activity that has an increased likelihood of causing a launch accident compared with other portions of flight.
Operating area means a three-dimensional region where permitted flights may take place.
Permitted vehicle means a reusable suborbital rocket operated by a launch or reentry operator under an experimental permit.
Reentry impact point means the location of a reusable suborbital rocket's instantaneous impact point during its unpowered exoatmospheric
suborbital flight.
Sec. 437.5 Eligibility for an experimental permit.
The FAA will issue an experimental permit to a person to launch or reenter a reusable suborbital rocket only for--
(a) Research and development to test new design concepts, new equipment, or new operating techniques;
(b) A showing of compliance with requirements for obtaining a license under this subchapter; or
(c) Crew training before obtaining a license for a launch or reentry using the design of the rocket for which the permit would be
issued.
Sec. 437.7 Scope of an experimental permit.
An experimental permit authorizes launch or reentry of a reusable suborbital rocket. The authorization includes pre- and post-flight
ground operations as defined in this section.
(a) A pre-flight ground operation includes each operation that--
(1) Takes place at a U.S. launch site; and
(2) Meets the following criteria:
(i) Is closely proximate in time to flight,
(ii) Entails critical steps preparatory to initiating flight,
(iii) Is unique to space launch, and
(iv) Is inherently so hazardous as to warrant the FAA's regulatory oversight.
(b) A post-flight ground operation includes each operation necessary to return the reusable suborbital rocket to a safe condition after it lands or impacts.
Sec. 437.9 Issuance of an experimental permit.
The FAA issues an experimental permit authorizing an unlimited number of launches or reentries for a suborbital rocket design for the uses described in Sec. 437.5.
Sec. 437.11 Duration of an experimental permit.
An experimental permit lasts for one year from the date it is issued. A permittee may apply to renew a permit yearly under part 413 of this subchapter.
Sec. 437.13 Additional experimental permit terms and conditions.
The FAA may modify an experimental permit at any time by modifying or adding permit terms and conditions to ensure compliance with 49 U.S.C. Subtitle IX, ch. 701.
Sec. 437.15 Transfer of an experimental permit.
An experimental permit is not transferable.
Sec. 437.17 Rights not conferred by an experimental permit.
Issuance of an experimental permit does not relieve a permittee of its obligation to comply with any requirement of law that applies to its activities.
Subpart B--Requirements To Obtain an Experimental Permit
Sec. 437.21 General.
To obtain an experimental permit an applicant must make the demonstrations and provide the information required by this section.
(a) This subpart. An applicant must provide a program description, a flight test plan, and operational safety documentation as required by this subpart.
(b) Other regulations. (1) Environmental. An applicant must provide enough information for the FAA to analyze the environmental impacts associated with proposed reusable suborbital rocket launches or reentries. The information provided by an applicant must be sufficient to enable the FAA to comply with the requirements of the National Environmental Policy Act, 42 U.S.C. 4321 et seq., and the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of the National Environmental Policy Act, 40 CFR parts 1500-1508.
(2) Financial responsibility. An applicant must provide the information required by part 3 of appendix A of part 440 for the FAA to conduct a maximum probable loss analysis.
(3) Human space flight. An applicant proposing launch or reentry with flight crew or a space flight participant on board a reusable suborbital rocket must demonstrate compliance with Sec. Sec. 460.5, 460.7, 460.11, 460.13, 460.15, 460.17, 460.51 and 460.53 of this subchapter.
(c) Use of a safety approval. If an applicant proposes to use any reusable suborbital rocket, safety system, process, service, or personnel for which the FAA has issued a safety approval under part 414 of this subchapter, the FAA will not reevaluate that safety element to the extent its use is within its approved
envelope. As part of the application process, the FAA will evaluate the integration of that safety element into vehicle systems or operations.
(d) Inspection before issuing a permit. Before the FAA issues an experimental permit, an applicant must make each reusable suborbital rocket planned to be flown available to the FAA for inspection. The FAA will determine whether each reusable suborbital rocket is built as represented in the application.
(e) Other requirements. The FAA may require additional analyses, information, or agreements if necessary to protect public health and safety, safety of property, and national security and foreign policy interests of the United States.
Program Description
Sec. 437.23 Program description.
(a) An applicant must provide--
(1) Dimensioned three-view drawings or photographs of the reusable suborbital rocket; and
(2) Gross liftoff weight and thrust profile of the reusable suborbital rocket.
(b) An applicant must describe--
(1) All reusable suborbital rocket systems, including any structural, flight control, thermal, pneumatic, hydraulic, propulsion, electrical, environmental control, software and computing systems, avionics, and guidance systems used in the reusable suborbital rocket;
(2) The types and quantities of all propellants used in the reusable suborbital rocket;
(3) The types and quantities of any hazardous materials used in the reusable suborbital rocket;
(4) The purpose for which a reusable suborbital rocket is to be flown; and
(5) Each payload or payload class planned to be flown.
(c) An applicant must identify any foreign ownership of the applicant as follows:
(1) For a sole proprietorship or partnership, identify all foreign ownership,
(2) For a corporation, identify any foreign ownership interests of 10% or more, and
(3) For a joint venture, association, or other entity, identify any participating foreign entities.
Flight Test Plan
Sec. 437.25 Flight test plan.
An applicant must--
(a) Describe any flight test program, including estimated number of flights and key flight-safety events.
(b) Identify and describe the geographic coordinates of the boundaries of one or more proposed operating areas where it plans to perform its flights and that satisfy Sec. 437.57(b) of subpart C. The FAA may designate one or more exclusion areas in accordance with Sec. 437.57(c) of subpart C.
(c) For each operating area, provide the planned maximum altitude of the reusable suborbital rocket.
Operational Safety Documentation
Sec. 437.27 Pre-flight and post-flight operations.
An applicant must demonstrate how it will meet the requirements of Sec. 437.53(a) and (b) to establish a safety clear zone and verify that the public is outside that zone before and during any hazardous operation.
Sec. 437.29 Hazard analysis.
(a) An applicant must perform a hazard analysis that complies with Sec. 437.55(a).
(b) An applicant must provide to the FAA all the results of each step of the hazard analysis required by paragraph (a) of this section.
Sec. 437.31 Verification of operating area containment and key flight-safety event limitations.
(a) An applicant must identify, describe, and provide verification evidence of the methods and systems used to meet the requirement of Sec. 437.57(a) to contain its reusable suborbital rocket's instantaneous impact point within an operating area and outside any exclusion area. The description must include, at a minimum--
(1) Proof of physical limits on the ability of the reusable suborbital rocket to leave the operating area; or
(2) Abort procedures and other safety measures derived from a system safety engineering process.
(b) An applicant must identify, describe, and provide verification evidence of the methods and systems used to meet the requirements of Sec. 437.59 to conduct any key flight-safety event so that the reusable suborbital rocket's instantaneous impact point, including its expected dispersions, is over unpopulated or sparsely populated areas, and to conduct each reusable suborbital rocket flight so that the reentry impact point does not loiter over a populated area.
Sec. 437.33 Landing and impact locations.
An applicant must demonstrate that each location for nominal landing or any contingency abort landing of the reusable suborbital rocket, and each location for any nominal or contingency impact or landing of a component of that rocket, satisfies Sec. 437.61.
Sec. 437.35 Agreements.
An applicant must enter into the agreements required by Sec. 437.63, and provide a copy to the FAA.
Sec. 437.37 Tracking.
An applicant must identify and describe each method or system used to meet the tracking requirements of Sec. 437.67.
Sec. 437.39 Flight rules.
An applicant must provide flight rules as required by Sec. 437.71.
Sec. 437.41 Mishap response plan.
An applicant must provide a mishap response plan that meets the requirements of Sec. 437.75(b).
Subpart C--Safety Requirements
Sec. 437.51 Rest rules for vehicle safety operations personnel.
A permittee must ensure that all vehicle safety operations personnel adhere to the work and rest standards in this section during permitted activities.
(a) No vehicle safety operations personnel may work more than:
(1) 12 consecutive hours,
(2) 60 hours in the 7 days preceding a permitted activity, or
(3) 14 consecutive work days.
(b) All vehicle safety operations personnel must have at least 8 hours of rest after 12 hours of work.
(c) All vehicle safety operations personnel must receive a minimum 48-hour rest period after 5 consecutive days of 12-hour shifts.
Sec. 437.53 Pre-flight and post-flight operations.
A permittee must protect the public from adverse effects of hazardous operations and systems in preparing a reusable suborbital rocket for flight at a launch site in the United States and returning the reusable suborbital rocket and any support equipment to a safe
condition after flight. At a minimum, a permittee must--
(a) Establish a safety clear zone that will contain the adverse effects of each operation involving a hazard; and
(b) Verify that the public is outside of the safety clear zone before and during any hazardous operation.
Sec. 437.55 Hazard analysis.
(a) A permittee must identify and characterize each of the hazards and assess the risk to public health and safety and the safety of property resulting from each permitted flight. This hazard analysis must--
(1) Identify and describe hazards, including but not limited to each of those that result from--
(i) Component, subsystem, or system failures or faults;
(ii) Software errors;
(iii) Environmental conditions;
(iv) Human errors;
(v) Design inadequacies; or
(vi) Procedural deficiencies.
(2) Determine the likelihood of occurrence and consequence for each hazard before risk elimination or mitigation.
(3) Ensure that the likelihood and consequence of each hazard meet the following criteria through risk elimination and mitigation measures:
(i) The likelihood of any hazardous condition that may cause death or serious injury to the public must be extremely remote.
(ii) The likelihood of any hazardous condition that may cause major property damage to the public, major safety-critical system damage or reduced capability, a significant reduction in safety margins, or a significant increase in crew workload must be remote.
(4) Identify and describe the risk elimination and mitigation measures required to satisfy paragraph (a)(3) of this section. The measures must include one or more of the following:
(i) Designing for minimum risk,
(ii) Incorporating safety devices,
(iii) Providing warning devices, or
(iv) Implementing procedures and training.
(5) Demonstrate that the risk elimination and mitigation measures achieve the risk levels of paragraph (a)(3)(i) of this section through validation and verification. Verification includes:
(i) Test data,
(ii) Inspection results, or
(iii) Analysis.
(b) A permittee must carry out the risk elimination and mitigation measures derived from its hazard analysis.
(c) A permittee must ensure the continued accuracy and validity of its hazard analysis throughout the term of its permit.
Sec. 437.57 Operating area containment.
(a) During each permitted flight, a permittee must contain its reusable suborbital rocket's instantaneous impact point within an operating area determined in accordance with paragraph (b) and outside any exclusion area defined by the FAA in accordance with paragraph (c) of this section.
(b) An operating area--
(1) Must be large enough to contain each planned trajectory and all expected vehicle dispersions;
(2) Must contain enough unpopulated or sparsely populated area to perform key flight-safety events as required by Sec. 437.59;
(3) May not contain or be adjacent to a densely populated area or large concentrations of members of the public; and
(4) May not contain or be adjacent to significant automobile traffic, railway traffic, or waterborne vessel traffic.
(c) The FAA may prohibit a reusable suborbital rocket's instantaneous impact point from traversing certain areas within an operating area by designating one or more areas as exclusion areas, if necessary to protect public health and safety, safety of property, or foreign policy or national security interests of the United States. An exclusion area may be confined to a specific phase of flight.
Sec. 437.59 Key flight-safety event limitations.
(a) A permittee must conduct any key flight-safety event so that the reusable suborbital rocket's instantaneous impact point, including its expected dispersion, is over an unpopulated or sparsely populated area. At a minimum, a key flight-safety event includes:
(1) Ignition of any primary rocket engine,
(2) Any staging event, or
(3) Any envelope expansion.
(b) A permittee must conduct each reusable suborbital rocket flight so that the reentry impact point does not loiter over a populated area.
Sec. 437.61 Landing and impact locations.
For a nominal or any contingency abort landing of a reusable suborbital rocket, or for any nominal or contingency impact or landing of a component of that rocket, a permittee must use a location that--
(a) Is big enough to contain an impact, including debris dispersion upon impact; and
(b) At the time of landing or impact, does not contain any members of the public.
Sec. 437.63 Agreements with other entities involved in a launch or reentry.
A permittee must comply with the agreements required by this section.
(a) A permittee must have an agreement in writing with a Federal launch range operator, a licensed launch site operator, or any other party that provides access to or use of property and services required to support the safe launch or reentry under a permit.
(b) Unless otherwise addressed in agreements with a licensed launch site operator or a Federal launch range, a permittee must have an
agreement in writing with the following:
(1) For overflight of navigable water, a written agreement between the applicant and the local United States Coast Guard district to establish procedures for issuing a Notice to Mariners before a permitted flight, and
(2) A written agreement between the applicant and responsible Air Traffic Control authority having jurisdiction over the airspace through which a permitted launch or reentry is to take place, for measures necessary to ensure the safety of aircraft. The agreement must, at a minimum, demonstrate satisfaction of Sec. Sec. 437.69(a) and 437.71(d).
Sec. 437.65 Collision avoidance analysis.
(a) For a permitted flight with a planned maximum altitude greater than 150 kilometers, a permittee must obtain a collision avoidance analysis from United States Strategic Command.
(b) The collision avoidance analysis must establish each period during which a permittee may not initiate flight to ensure that a permitted vehicle and any jettisoned components do not pass closer than 200 kilometers to a manned or mannable orbital object. A distance of less than 200 kilometers may be used if the distance provides an equivalent level of safety, and if the distance accounts for all uncertainties in the analysis.
Sec. 437.67 Tracking a reusable suborbital rocket.
A permittee must--
(a) During permitted flight, measure in real time the position and velocity of its reusable suborbital rocket; and
(b) Provide position and velocity data to the FAA for post-flight use.
Sec. 437.69 Communications.
(a) A permittee must be in communication with Air Traffic Control during all phases of flight.
(b) A permittee must record communications affecting the safety of the flight.
Sec. 437.71 Flight rules.
(a) Before initiating rocket-powered flight, a permittee must confirm that all systems and operations necessary to ensure that safety measures derived from Sec. Sec. 437.55, 437.57, 437.59, 437.61, 437.63, 437.65, 437.67, and 437.69 are within acceptable limits.
(b) During all phases of flight, a permittee must--
(1) Follow flight rules that ensure compliance with Sec. Sec. 437.55, 437.57, 437.59, and 437.61; and
(2) Abort the flight if it would endanger the public.
(c) A permittee may not operate a reusable suborbital rocket in a careless or reckless manner that would endanger any member of the public during
any phase of flight.
(d) A permittee may not operate a reusable suborbital rocket in areas designated in a Notice to Airmen under Sec. 91.137, Sec. 91.138, Sec. 91.141, or Sec. 91.145 of this title, unless authorized by:
(1) Air Traffic Control; or
(2) A Flight Standards Certificate of Waiver or Authorization.
(e) For any phase of flight where a permittee operates a reusable suborbital rocket like an aircraft in the National Airspace System, a permittee must comply with the provisions of part 91 of this title specified in an experimental permit issued under this part.
Sec. 437.73 Anomaly recording, reporting and implementation of corrective actions.
(a) A permittee must record each anomaly that affects a safety-critical system, subsystem, process, facility, or support equipment.
(b) A permittee must identify all root causes of each anomaly, and implement all corrective actions for each anomaly.
(c) A permittee must report to the FAA any anomaly of any system that is necessary for complying with Sec. Sec. 437.55(a)(3), 437.57, and 437.59, and must report the corrective action for each reported anomaly.
(d) A permittee must implement each corrective action before the next flight.
Sec. 437.75 Mishap reporting, responding, and investigating.
A permittee must report, respond to, and investigate mishaps that occur during permitted activities, in accordance with this section.
(a) Reporting requirements. A permittee must--
(1) Immediately notify the FAA Washington Operations Center if there is a launch or reentry accident or incident or a mishap that involves a fatality or serious injury, as defined in 49 CFR 830.2;
(2) Notify within 24 hours the FAA's Office of Commercial Space Transportation if there is a mishap that does not involve a fatality or serious injury, as defined in 49 CFR 830.2; and
(3) Submit within 5 days of the event a written preliminary report to the FAA's Office of Commercial Space Transportation if there is a launch or reentry accident or incident during a permitted flight. The report must identify the event as a launch or reentry accident or incident, and must include:
(i) The date and time of occurrence,
(ii) A description of the event and sequence of events leading to the launch or reentry accident, or launch or reentry incident, to the extent known,
(iii) The intended and actual location of launch or reentry, including landing or impact on Earth,
(iv) A description of any payload,
(v) The number and general description of any fatalities and injuries,
(vi) Property damage, if any, and an estimate of its value,
(vii) A description of any hazardous materials involved in the event, whether on the reusable suborbital rocket or on the ground,
(viii) Action taken by any person to contain the consequences of the event, and
(ix) Weather conditions at the time of the event.
(b) Response requirements. A permittee must--
(1) Immediately--
(i) Ensure the consequences of a mishap are contained and minimized; and
(ii) Ensure data and physical evidence are preserved.
(2) Report to and cooperate with FAA and National Transportation Safety Board (NTSB) investigations and designate one or more points of contact for the FAA or NTSB; and
(3) Identify and adopt preventive measures for avoiding a recurrence of the event.
(c) Investigation requirements. A permittee must--
(1) Investigate the root cause of an event described in paragraph (a) of this section;
(2) Report investigation results to the FAA upon completion; and
(3) Identify responsibilities, including reporting responsibilities, for personnel assigned to conduct investigations and for any unrelated persons that the permittee retains to conduct or participate in investigations.
Sec. 437.77 Additional safety requirements.
The FAA may impose additional safety requirements on an applicant or permittee proposing an activity with a hazard not otherwise addressed in this part. This may include a toxic hazard or the use of solid propellants. The FAA may also require the permittee to conduct additional analyses of the cause of any anomaly and corrective actions.
Subpart D--Terms and Conditions of an Experimental Permit
Sec. 437.81 Public safety responsibility.
A permittee must ensure that a launch or reentry conducted under an experimental permit is safe, and must protect public health and safety and the safety of property.
Sec. 437.83 Compliance with experimental permit.
A permittee must conduct any launch or reentry under an experimental permit in accordance with representations made in its permit application, with subparts C and D of this part, and with terms and conditions contained in the permit.
Sec. 437.85 Allowable design changes; modification of an experimental permit.
(a) The FAA will identify in the experimental permit the type of changes that the permittee may make to the reusable suborbital rocket design without invalidating the permit.
(b) Except for design changes made under paragraph (a) of this section, a permittee must ask the FAA to modify the experimental permit if--
(1) It proposes to conduct permitted activities in a manner not authorized by the permit; or
(2) Any representation in its permit application that is material to public health and safety or the safety of property is no longer accurate or complete.
(c) A permittee must prepare an application to modify an experimental permit and submit it in accordance with part 413 of this subchapter. If requested during the application process, the FAA may approve an alternate method for requesting permit modifications. The permittee must indicate any part of its permit that would be changed or affected by a proposed modification.
(d) When a permittee proposes a modification, the FAA reviews the determinations made on the experimental permit to decide whether they remain valid.
(e) When the FAA approves a modification, it issues the permittee either a written approval or a permit order modifying the permit if a stated term or condition of the permit is changed, added, or deleted.
An approval has the full force and effect of a permit order and is part of the permit record.
Sec. 437.87 Records.
(a) Except as required by paragraph (b) of this section, a permittee must maintain for 3 years all records, data, and other material necessary to verify that a permittee conducted its launch or reentry in accordance with its permit.
(b) If there is a launch or reentry accident or incident, a permittee must preserve all records related to the event. A permittee must keep the records until after any Federal investigation and the FAA advises the permittee that it may dispose of them.
(c) A permittee must make all records that it must maintain under this section available to Federal officials for inspection and copying.
Sec. 437.89 Pre-flight reporting.
(a) Not later than 30 days before each flight or series of flights conducted under an experimental permit, a permittee must provide the FAA with the following information:
(1) Any payload to be flown, including any payload operations during the flight,
(2) When the flight or series of flights are planned,
(3) The operating area for each flight, and
(4) The planned maximum altitude for each flight.
(b) Not later than 15 days before each permitted flight planned to reach greater than 150 km altitude, a permittee must provide the FAA its planned trajectory for a collision avoidance analysis.
Sec. 437.91 For-hire prohibition.
No permittee may carry any property or human being for compensation or hire on a reusable suborbital rocket.
Sec. 437.93 Compliance monitoring.
A permittee must allow access by, and cooperate with, federal officers or employees or other individuals authorized by the FAA to observe any activities of the permittee, or of its contractors or subcontractors, associated with the conduct of permitted activities.
Sec. 437.95 Inspection of additional reusable suborbital rockets.
A permittee may launch or reenter additional reusable suborbital rockets of the same design under the permit after the FAA inspects each additional reusable suborbital rocket.
Footer Information
Issued in Washington, DC, on March 23, 2007.
Marion C. Blakey,
Administrator.
[FR Doc. E7-6194 Filed 4-5-07; 8:45 am]
BILLING CODE 4910-13-P
Comments
Document History
Notice of Proposed Rulemaking Actions:
Not Applicable.
Other Final Rule Actions:
Not Applicable.
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