Proposed Rule: Commercial Space Transportation Safety Approvals

Wednesday,
June 1, 2005
Part III
Department of
Transportation
Federal Aviation Administration
14 CFR Part 414

Safety Approvals; Proposed Rule
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32192 Federal Register / Vol. 70, No. 104 / Wednesday, June 1, 2005 / Proposed Rules
DEPARTMENT OF TRANSPORTATION reentry vehicle, safety system, process, Room PL–401, Washington, DC 20590–
service, or personnel to prospective 001.
Federal Aviation Administration launch and reentry licensees for use • Fax: 1–202–493–2251.
within a defined and proven envelope. • Hand Delivery: Room PL–401 on
14 CFR Part 414 Those licensees would not need added the plaza level of the Nassif Building,
[Docket No. FAA–2005–21332] FAA approval of that portion of their 400 Seventh Street, SW., Washington,
license application. Proposed rules are DC, between 9 a.m. and 5 p.m., Monday
RIN 2120–AI50 needed to establish the procedures for through Friday, except Federal holidays.
obtaining a safety approval from the For more information on the
Safety Approvals FAA. rulemaking process, see the
AGENCY: Federal Aviation SUPPLEMENTARY INFORMATION section of
DATES: Send your comments on or
Administration (FAA), DOT. this document.
before August 30, 2005.
Privacy: We will post all comments
ACTION: Notice of proposed rulemaking ADDRESSES: You may send comments we receive, without change, to http://
(NPRM). identified by Docket Number FAA– dms.dot.gov, including any personal
SUMMARY: The Federal Aviation 2005–21332 using any of the following information you provide. For more
Administration proposes to amend methods: information, see the Privacy Act
commercial space transportation • DOT Docket Web site: Go to discussion in the SUPPLEMENTARY
regulations by adding procedures for http://dms.dot.gov and follow the INFORMATION section of this document.
obtaining a safety approval. Application instructions for sending your comments Docket: To read background
for a safety approval is voluntary. A electronically. documents or comments received, go to
safety approval is an FAA determination • Government-wide rulemaking Web http://dms.dot.gov at any time or to
that a licensed launch or reentry may be site: Go to http://www.regulations.gov Room PL–401 on the plaza level of the
conducted using a launch vehicle, and follow the instructions for sending Nassif Building, 400 Seventh Street,
reentry vehicle, safety system, process, your comments electronically. SW., Washington, DC, between 9 a.m.
service, or personnel approved under • Mail: Docket Management Facility; and 5 p.m., Monday through Friday,
this part. The safety approval holder U.S. Department of Transportation, 400 except Federal holidays.
could then offer a launch vehicle, Seventh Street, SW., Nassif Building, FOR FURTHER INFORMATION CONTACT:
Questions regarding: Contact Address Phone
Safety approval process Charles P. Brinkman, Licensing and Safety Di- Associate Administrator for Commercial Space (202) 267–7715.
vision (AST–200). Transportation, Federal Aviation Administra-
tion, DOT, Room 331, 800 Independence
Avenue, SW., Washington, DC 20591.
or Esta Rosenberg, Office of the Chief Counsel Federal Aviation Administration, DOT, Room (202) 366–9320.
(AGC–250). 915, 800 Independence Avenue, SW.,
Washington, DC 20591.
Technical standards ..... Jim Kabbara, System Engineering and Training Associate Administrator for Commercial Space (202) 267–8379.
Division (AST–300). Transportation, Federal Aviation Administra-
tion, DOT, Room 331, 800 Independence
Avenue, SW., Washington, DC 20591.
SUPPLEMENTARY INFORMATION: Section 414.15 How will the FAA approval or suspends, modifies, or
determine whether something is eligible revokes a safety approval?
Comments Invited
and suitable for a safety approval? Section 414.35 How do I renew a safety
Availability of Rulemaking Documents
Section 414.17 How do I prepare an approval?
Authority for this Rulemaking
application? Section 414.37 How is compliance with
Background
Section 414.19 How can I assure the terms and conditions of a safety
Safety approval benefits
Benefit to the commercial space confidentiality of the information I approval monitored?
transportation industry submit on a safety approval application? Section 414.39 How would the FAA
Benefit to the FAA Section 414.21 How does FAA handle an modify, suspend or revoke a safety
Need for a regulation initial application? approval?
General Discussion of the Proposals Section 414.23 Is there a specified Section 414.41 How do I maintain the
Section-by-Section Discussion of the timeframe for the review period? continued accuracy of the application
Proposals Section 414.25 How do I maintain the that supports a safety approval and
Subpart A—General continued accuracy of my application modify a safety approval?
Section 414.1 What is the basis and scope and provide supplemental information Section 414.43 For how long do I
of this rule? or amendments? maintain any safety approval records?
Section 414.3 To what does this rule Subpart C—Issuance of a Safety Approval Section 414.45 How would I transfer a
apply? Section 414.27 What are the technical safety approval?
Section 414.5 What is a safety approval? criteria for issuing a safety approval? Section 414.47 How will FAA make
What is eligible for a safety approval? Section 414.29 What are the terms and public the criteria by which a safety
Section 414.7 Who must obtain a safety conditions of a safety approval? approval was issued?
approval? Section 414.31 How would I incorporate Paperwork Reduction Act
Section 414.11 What rights are not a safety approval into a license International Compatibility
conferred by a safety approval? application? Executive Order 12866 and DOT Regulatory
Subpart B—Safety Approval Application Section 414.33 What is the procedure Policies and Procedures
Section 414.13 What is the pre- when the FAA denies a safety approval Economic Assessment, Regulatory Flexibility
application process? application or the transfer of a safety Determination, Trade Impact
Federal Register / Vol. 70, No. 104 / Wednesday, June 1, 2005 / Proposed Rules 32193
Assessment, and Unfunded Mandates Availability of Rulemaking Documents Background

Assessment
Regulatory Flexibility Determination You can get an electronic copy using History
Trade Impact Assessment the Internet by: The Commercial Space Launch Act of
Unfunded Mandates Assessment (1) Searching the Department of 1984, as amended and codified at 49
Executive Order 13132, Federalism Transportation’s electronic Docket U.S.C. Subtitle IX—Commercial Space
Plain English Management System (DMS) web page Transportation, Chapter 701,
Environmental Analysis (http://dms.dot.gov/search); Commercial Space Launch Activities, 49
Regulations that Significantly Affect Energy U.S.C. 70101–70121 (the Act),
Supply, Distribution, or Use
(2) Visiting the Office of Rulemaking’s
web page at http://www.faa.gov/avr/ authorizes the Department of
Comments Invited arm/index.cfm; or Transportation to oversee, license, and
regulate commercial launch and reentry
The FAA invites interested persons to (3) Accessing the Government
activities (including launch and reentry
participate in this rulemaking by Printing Office’s web page at http://
site operation) carried out by U.S.
submitting written comments, data, or www.gpoaccess.gov/fr/index.html.
citizens or within the United States. 49
views. We also invite comments relating You can also get a copy by submitting U.S.C. 70104, 70105. The Act directs the
to the economic, environmental, energy, a request to the Federal Aviation Secretary of Transportation to exercise
or federalism impacts that might result Administration, Office of Rulemaking, this responsibility consistent with
from adopting the proposals in this ARM–1, 800 Independence Avenue public health and safety, safety of
document. The most helpful comments SW., Washington, DC 20591, or by property, and the national security and
reference a specific portion of the calling (202) 267–9680. Make sure to foreign policy interests of the United
proposal, explain the reason for any identify the docket number, notice States. 49 U.S.C. 70105. By delegation,
recommended change, and include number, or amendment number of this the FAA Administrator carries out the
supporting data. We ask that you send rulemaking. Secretary’s authority.
us two copies of written comments. Authority for This Rulemaking Under the same delegated authority,
We will file in the docket all the FAA has the responsibility for
comments we receive, as well as a The Commercial Space Launch Act of encouraging, facilitating, and promoting
report summarizing each substantive 1984, as codified and amended at 49 commercial space launches by the
public contact with FAA personnel U.S.C. Subtitle IX—Commercial Space private sector. 49 U.S.C. 70103. The
concerning this proposed rulemaking. Transportation, ch. 701, Commercial 1998 amendments to the Act added
The docket is available for public Space Launch Activities, 49 U.S.C. authority for establishment of
inspection before and after the comment 70101–70121 (the Act), authorizes the procedures for ‘‘safety approvals’’ of
closing date. If you wish to review the Department of Transportation and the launch vehicles, reentry vehicles, safety
docket in person, go to the address in FAA, through delegations, to oversee, systems, processes, services, or
the ADDRESSES section of this preamble license and regulate commercial launch personnel for use in conducting
between 9 a.m. and 5 p.m., Monday and reentry activities and the operation licensed commercial space launch or
through Friday, except Federal holidays. of launch and reentry sites as carried reentry activities. (See Commercial
You may also review the docket using out by U.S. citizens or within the United Space Launch Act of 1998, Public Law
the Internet at the web address in the States. 49 U.S.C. 70104, 70105. The Act 105–303) The 2004 amendments to the
ADDRESSES section. directs the FAA to exercise this Act provided details regarding safety
responsibility consistent with public approvals for personnel to include
Privacy Act: Using the search function health and safety, safety of property, explicitly approval procedures for the
of our docket Web site, anyone can find and the national security and foreign purpose of protecting the health and
and read the comments received into policy interests of the United States. 49 safety of crews and space flight
any of our dockets, including the name U.S.C. 70105. The FAA is also participants. (See Commercial Space
of the individual sending the comment responsible for encouraging, facilitating Launch Amendments Act of 2004,
(or signing the comment on behalf of an and promoting commercial space Public Law 108–492)
association, business, labor union, etc.). launches by the private sector. 49 U.S.C.
You may review DOT’s complete A significant addition to FAA
70103. authority is the ability to issue a safety
Privacy Act Statement in the Federal
Register published on April 11, 2000 Authority for this particular approval separate from a licensing
(65 FR 19477–78) or you may visit rulemaking is derived from Section determination. A launch vehicle,
http://dms.dot.gov. 70105(a)(2) that states the Secretary may reentry vehicle, safety system, process,
establish procedures for ‘‘safety service, or personnel (including crews
Before acting on this proposal, we approvals’’ of launch vehicles, reentry and space flight participants) proposed
will consider all comments we receive vehicles, safety systems, processes, for use in a licensed launch or reentry
on or before the closing date for services, or personnel for use in may be eligible for safety approval
comments. We will consider comments conducting licensed commercial space consideration. A safety approval would
filed late if it is possible to do so launch or reentry activities. (See allow the use of an approved launch
without incurring expense or delay. We Commercial Space Launch Act of 1998, vehicle, reentry vehicle, safety system,
may change this proposal in light of the Public Law 105–303) The 2004 process, service, or personnel without
comments we receive. amendments to the Act provided details requiring reexamination of fitness for a
If you want the FAA to acknowledge regarding safety approvals for personnel particular launch or reentry proposal
receipt of your comments on this to include explicitly approval subject to FAA licensing. The decision
proposal, include with your comments procedures for the purpose of protecting to apply for a safety approval would be
a pre-addressed, stamped postcard on the health and safety of crews and space a voluntary one for an eligible applicant.
which the docket number appears. We flight participants. (See Commercial Launch or reentry licensing would not
will stamp the date on the postcard and Space Launch Amendments Act of require use of safety-approved systems
mail it to you. 2004, Public Law 108–492) or processes. Issuing a safety approval
would not represent authorization to An entity that receives a safety of property. To conduct a safety review,
conduct a launch or reentry. approval for a new system or process the FAA would require information
Reliance on a safety-approved launch would be able to offer it to a licensee. about a launch license applicant’s safety
vehicle, reentry vehicle, safety system, Historically, the launch operator has organization, vehicle design, and
process, service, or personnel could borne the risk of proposing a new operational safety practices. The FAA
simplify launch and reentry licensing by system or process. Many launch makes maximum use of the information
the FAA. A safety approval would operators have not thought the benefits a license applicant must provide to a
relieve the license applicant and the worth the cost to prove the safety of a Federal launch range. If the launch is
agency of the need to reconsider the new system or process because of the not from a Federal launch range, the
impacts of the safety-approved element small number of launches. With the license applicant must provide the FAA
of a launch or reentry proposal on proposed safety approval process in with information similar to what it
public health and safety and the safety place, the risk of approval would would have had to provide to a Federal
of property. This would hold true as transfer to the prospective safety launch range. This would allow the
long as the proposed use falls within the approval applicant, that is, the provider applicant to demonstrate a level of
terms of the safety approval. A safety of the safety-approved system or service. safety equivalent to that practiced at a
approval would allow the FAA to apply This optional process could open the Federal launch range. If a safety
findings related to safety approvals to door to new providers offering these approval has been issued, the FAA
different license applicants proposing to systems or services. The provider might would use information previously
use the approved element. elect to seek a safety approval and submitted as the basis for a safety
market the system or service to launch approval in its evaluation of a license
Safety Approval Benefits operators. This safety approval would application.
The safety approval, separate from a allow for the potential use of an
approved system or component on more Need for a Regulation
license, would allow the safety approval
holder to offer a launch vehicle, reentry than one specific launch or reentry 49 U.S.C. Subtitle IX, Commercial
vehicle, safety system, process, service, vehicle. Therefore, safety approvals Space Transportation, Chapter 701
or personnel to prospective launch and have the potential to make the industry provides that the FAA may issue
reentry vehicle operators, including more willing to adopt innovative procedures for obtaining a safety
reusable launch vehicle (RLV) mission systems and processes because costs of approval. The purpose of this regulation
operators. Those licensees would not obtaining the approval would be shared, is to provide the rules and procedures
need added FAA review of and approval rather than borne by a single launch for obtaining safety approvals, as
for that portion of the license operator. envisioned by the statutory authority.
Where appropriate, the FAA would
application. The FAA would evaluate General Discussion of the Proposals
coordinate its review of applications for
the proposed use of a safety-approved
safety approvals with other government
element for a proposed launch or The FAA has the responsibility to
agencies and especially with the
reentry activity to ensure that use of the encourage, facilitate, and promote
operators of federal launch ranges.
safety approval does not exceed its commercial space launches by the
Currently, the FAA works closely with
approved envelope. private sector. It has the authority to
the U.S. Air Force because most FAA-
establish procedures for safety
Benefit to the Commercial Space licensed launches occur at ranges
operated by the U.S. Air Force. approvals of launch vehicles, reentry
Transportation Industry
However, other federal agencies may vehicles, safety systems, processes,
The nature of the commercial space have an interest in an item under services, or personnel for use in
transportation industry makes safety consideration for a safety approval. The conducting licensed commercial space
approvals attractive to prospective FAA expects to consult with these launch or reentry activities. In this
license applicants, launch and reentry agencies to minimize the possibility of rulemaking action, FAA proposes to add
vehicle operators, and other industry a discrepancy between its evaluation part 414 to 14 CFR Chapter III. This part
representatives. Major components, and any later evaluation by another will lay out the requirements and
parts, or services are often used on federal agency. procedures for seeking a safety
different launch vehicles by different approval.
operators. Personnel involved in Benefit to the FAA
Section-by-Section Discussion of the
operational safety support such as The safety approval would also Proposals
telemetry, tracking, and range safety benefit the FAA because a portion of the
may support multiple launch or reentry documentation and analysis necessary Subpart A—General
operators. for the FAA to make a licensing Section 414.1 What is the basis and
The safety approval would benefit determination would have already been scope of this rule?
various entities, including the holder of done as part of the safety approval
the safety approval, license applicants process. The FAA would not have to This rulemaking would establish the
and licensees, and the FAA. Entities conduct that analysis anew for each procedures governing the safety
other than licensed vehicle operators license applicant proposing to use a approval application and FAA
could offer approved systems or services safety-approved system or service. The procedures for transferring an existing
to license applicants or licensees who safety approval would describe the safety approval and renewing an
might wish to use these systems or system or service and contain the existing safety approval. In addition,
services. This rule would also benefit analyses undertaken in granting it. this rulemaking outlines the criteria we
prospective licensees by allowing them As part of its licensing responsibility, would apply to safety approval
to use ‘‘approved’’ systems and services the FAA’s Commercial Space applications and the procedures for
with a minimum of added Transportation Office (AST) would approving or denying a safety approval.
documentation for the safety-approved perform a safety review to ensure the Furthermore, this rulemaking
systems and services in their license proposed activity does not jeopardize identifies what would be eligible for
applications. public health and safety and the safety safety approvals and the rights and
privileges a safety approval would proving the safety of any portion of the Section 414.9 Who may apply for a
confer. operation not covered by a safety safety approval?
approval. A safety approval of a launch Anyone may apply for a safety
Section 414.3 To what does this rule
vehicle, reentry vehicle, safety system, approval. However, the applicant
apply?
process, service, or personnel indicates should be the individual or entity
This rulemaking would apply to any the approved element could be used to
applicant seeking a safety approval for having the most direct responsibility,
support a launch or reentry proposal knowledge, and experience with the
a launch vehicle, reentry vehicle, safety and is consistent with FAA review
system, process, service, or personnel. system or service for which a safety
standards for licensing, that is, using the approval is sought. For instance, the
The safety approval would be used in approved element would not jeopardize
the conduct of a licensed launch of a manufacturer would be expected to be
public health or safety or the safety of the applicant for a safety approval for
launch vehicle or the reentry of a property. The safety approval meets the
reentry vehicle. hardware. A different applicant might
safety criteria for licensing a launch or seek a safety approval for the operation
Section 414.5 What is a safety reentry when used as intended and or maintenance of that same hardware.
approval? within the limits of the approval.
Section 414.11 What rights are not
A safety approval is an FAA What is eligible for a safety approval? conferred by a safety approval?
determination that a licensed launch or
Any safety system or service integral While a safety approval confers
reentry may be conducted using a
to launch or reentry operations is a distinct advantages to the holder, there
launch vehicle, reentry vehicle, safety
possible candidate for a safety approval, are rights that would not come with a
system, process, service, or personnel
as well as the entire vehicle and safety approval.
approved under this part. Use, when
personnel who perform key safety (a) A safety approval would not confer
occurring within a defined and proven
functions. For personnel, safety any authority to conduct launch,
envelope, would not jeopardize public
health and safety or the safety of approvals would likely be a set of reentry, or site operations.
property. It is not the equivalent of qualifications for a particular safety (b) A safety approval would not be a
certification under a design standard, function (including crews and space finding, guarantee, or warranty that a
nor is it a warranty of performance. flight participants). Candidates for a safety-approved element of a launch or
The safety approval is consistent with safety approval might include: reentry proposal will assure mission
current FAA practice. In issuing a • Launch/reentry vehicles, success or necessarily perform as
license, we routinely incorporate past • Safety systems, for example, flight represented by the manufacturer. The
findings from license evaluations for a termination systems, both on-board and safety approval means that a launch or
particular applicant in evaluating ground tracking systems, and vehicle reentry may be conducted using the
applications for new licenses or health monitoring systems, approved element without jeopardizing
renewals of licenses for that same • Safety processes, for example, a the safety of the uninvolved public.
applicant. A safety approval would method for installing flight termination (The launch or reentry proposal, in its
allow us to apply findings related to system hardware, entirety must satisfy licensing and
safety approvals to different license • Approved testing procedures by safety requirements contained in FAA
applicants proposing to use the system, Commercial Space Transportation
approved element. Therefore, a person • Approved maintenance procedures, regulations.)
offering a safety-approved vehicle, • Approved flight-testing process/ (c) Issuance of a safety approval
system, service, or personnel would procedures, would not relieve you of the
enjoy the ability to offer approved ‘‘off- responsibility to comply with all
• Flight safety analysis, such as wind
the-shelf’’ systems or services. A launch applicable requirements of law or
weighting,
operator wishing to use an approved regulation that may apply to its
• Flight safety monitoring, and
system or service could rely on its activities.
• Personnel (qualification section), (d) A safety approval would not be
approval for a particular use. License for carrying out such functions such as:
applicants for a launch or reentry certification by the FAA of a vehicle or
• Range safety officer, component design or of services
license could propose to use an
• Safety personnel, involved in a licensed launch or reentry.
approved system or service. A license
applicant for a launch or reentry license • Safety official, (e) Issuance of a safety approval
would only need to show that its • Radar operators, would not suggest that mission
proposed use is compatible with the use • Flight safety officer, assurance will be achieved or that a
and limits specified in the safety • Crew, launch system will not fail.
approval and will work as intended • Space flight participants. (f) Finally, a safety approval would
within the entire launch or reentry We would review each application not be a finding of adequacy for
system. individually to determine whether to purposes outside the stated limits of the
The ability to rely on a safety issue a safety approval for a proposed safety approval.
approval would relieve the holder of launch vehicle, reentry vehicle, safety Subpart B—Safety Approval
supplying the specific information system, process, service, or personnel Application
already provided in support of a safety based on existing performance
approval. Safety approval holders standards, accepted practice, or other Section 414.13 What is the pre-
would also not need to re-qualify an proposed criteria. application process?
approved system for each use as long as We would encourage you to consult
Section 414.7 Who must obtain a
that use is consistent with launch or with staff in the Commercial Space
safety approval?
reentry safety, as defined in the safety Transportation (AST) office before
approval parameters, terms, and No one would be required to obtain a submitting an application. This would
conditions. However, the safety safety approval. The program would be enable you and AST to identify any
approval would not relieve the holder of entirely voluntary. potential safety issues during the
planning stages of your safety approval ambient effects, such as weather evaluating the proposed system or
application. We could tell you whether conditions. The demonstration and, service.
we believe the proposal is eligible and therefore, the scope of the applicability Once we complete the screening, we
suitable for a safety approval. We could of the safety approval would not be would tell you if the application is
also provide guidance about the specific specific to a particular vehicle. complete or incomplete. If it is
information and detail required. If your Although it would be mutually complete, we would start the reviews or
application required changes, they beneficial to the safety approval evaluations required for a safety
would be easier and less costly to make applicant and the FAA to create a safety approval determination. If it is
at this stage than midway through the approval that was not specific to a incomplete, we would tell you the
process. particular vehicle, sometimes that reasons we are rejecting the application.
approach may not be possible. It is You could attempt to correct any
Section 414.15 How will the FAA always up to you to determine whether deficiencies and resubmit your
determine whether something is eligible the cost of obtaining a safety approval application for consideration.
and suitable for a safety approval? is worthwhile. This is especially true Section 414.23 Is there a specified
We would consider several factors given that we will incorporate prior timeframe for the review period?
when determining the eligibility and findings from a past licensing
suitability of something proposed for a determination in issuing a new license We propose no review period
safety approval. The following table for essentially the same or very similar deadlines for issuance or denial of a
details some of the major factors. launch activity. safety approval. There are no legislative
Identity of the applicant: requirements to make a safety approval
• Individuals or entities who Section 414.19 How can I assure determination within a specified time.
manufacture and offer the applicant confidentiality of the information I
submit on a safety approval Section 414.25 How do I maintain the
launch vehicles or reentry vehicles or continued accuracy of my application
launch or reentry services. application?
and provide supplemental information
• Individuals or entities who design We appreciate that your safety or amendments?
or develop safety systems or processes. approval application might consist of
• Personnel who perform critical some trade secrets, proprietary We would expect that companies may
safety roles used to conduct a licensed information, or other confidential continue development work on systems
launch or reentry. information. Although we cannot assure and services after we accept an
Knowledge of the applicant about confidentiality because the application, application but before we issue a safety
systems or services: in whole or in part, may be subject to approval. If improvements in the system
• Ability to show the design and disclosure under certain laws, for or service should occur during the
operation qualifies for the applicant a safety approval application process, you
example, the Freedom of Information
safety approval. would submit a statement providing the
Act, we try to maintain strict
» A manufacturer would apply for a new or corrected information. You
confidentiality. Our experience with
safety approval of a launch vehicle. would then need to follow the steps
license applications has demonstrated
» A different applicant, with outlined in § 414.17 to recertify the
our commitment to confidentiality. This
performance expertise and accuracy and completeness of the
rulemaking would outline the steps to
qualifications, would apply for a safety application. It would always be your
follow to protect trade secrets,
approval to operate the hardware. responsibility to maintain the accuracy
proprietary commercial or financial
Standards for eligibility: of your application. Failure to do so
data, or any other information you
Measure against existing performance would be a sufficient basis for denial of
regard as confidential. Some of these
standards, eligibility accepted practice, a safety approval application.
steps are: Section 414.41 proposes the
or other proposed criteria. • Make a written request for
requirements for maintaining the
Section 414.17 How do I prepare an confidentiality at the time you submit
accuracy of an application after we issue
application? information or data to the FAA.
a safety approval.
• Mark confidential information or
This section details the information You could amend or supplement a
data with an identifying legend, such as
you would include in your application safety approval application anytime
‘‘Proprietary Information,’’ ‘‘Proprietary
for a safety approval. Besides before we issue or transfer a safety
Commercial Information,’’ ‘‘Trade
administrative and technical approval.
Secret,’’ or ‘‘Confidential Treatment
information, we would request you cite Requested.’’ Subpart C—Issuance of a Safety
relevant performance standards and • Provide a cover sheet when marking Approval
criteria against which we would is not practical.
evaluate the system or service proposed Section 414.27 What are the technical
• Do not propose safety standards
for a safety approval. An acceptable criteria for issuing a safety approval?
that you consider secret, proprietary,
standard allows an applicant to show and confidential. They cannot be used The FAA considers that any of the
that public health and safety and the as a basis for issuance of safety following may provide an adequate
safety of property would be maintained approval. basis on which we can issue a safety
to the level of the safety criteria named approval; however, each case must be
in FAA regulations. The scope of the Section 414.21 How does FAA handle assessed individually before we can
approval would be based on the scope an initial application? conclude that a proposed system or
of the demonstration. For example, for If there has been pre-application service is suitable and eligible for a
a radar tracking system integral to range consultation, we would conduct an safety approval. While government and
safety, you might demonstrate the initial screening to determine the industry standards are focused on
ability of the radar to track launch system or service under consideration design and manufacture, a safety
vehicles as a function of radar cross for a safety approval. In all cases, we approval is based on whether the
section, vehicle velocity, acceleration, would then determine if the criteria you proposed use satisfies launch safety
and trajectory along with notable cited are an acceptable basis for criteria (risk acceptability). Even if a
standard is satisfied, a safety approval (4) Safety monitoring. The consensus Federal launch ranges have followed a
may not result because the proposed use standard would govern the clear practice that launch participants
does not satisfy risk acceptability characteristics of the manufacturer’s accept as ‘‘de facto’’ standards. The FAA
specified in FAA regulations. In continued operational safety monitoring would rely on historical practice where
identifying and assessing suitable system. The consensus standard would it has been shown to protect public
criteria, we would apply the following establish reference system requirements health and safety and the safety of
hierarchy: for monitoring and correcting safety property.
(1) FAA or other appropriate Federal issues. A suitable standard would Section 414.29 What are the terms and
regulations, include a process by which systems, conditions of a safety approval?
(2) Government-developed or adopted system components, and parts users
standards, would be told of instances that prevent The FAA would issue safety
(3) Industry consensus performance- hazards to safety and the corrective approvals to those applicants who meet
based criteria or standard, and finally action. In addition, it would identify all the requirements under this chapter.
(4) Applicant-developed criteria. processes that would ensure The scope of the approval would
manufacturers learn about problems depend on the scope of the
Government-Developed Standard
experienced in servicing of systems, demonstration. Where necessary, we
Government-developed standard systems components, and parts. would determine specific terms and
means a standard developed by a A suitable consensus standard would conditions of a safety approval
government agency other than the also establish the procedures by which individually, consistent with the
FAA’s Commercial Space the industry reviews and updates the intended use of the safety-approved
Transportation office. Examples of consensus standards. launch or reentry element. Those terms
acceptable Government-developed and conditions would include reporting
standards are MIL–STD–1522B ‘‘Design Applicant-Developed Criteria requirements. Reporting requirements
and Operations of Pressurized Missile Applicant-developed criteria are would be similar to those for licenses.
and Space Systems,’’ DoD–E–83578, performance criteria developed or They would be tailored to the particular
MIL–STD–1576, and MIL–I–23659 that customized by the manufacturer safety approval. For example, a safety
define in detail the necessary intending to produce the system, system approval holder who manufactures a
verifications for ordnance items in component, or part. The applicant- component might be required to report
safety critical applications. developed criteria should define: the results of quality assurance testing.
(1) Design and minimum The holder of a safety approval would
Industry Consensus Standard
performance, be required to report major failures of
Consensus standard means, for the (2) Quality assurance system the system when used in a non-FAA
purpose of a safety approval, an requirements, licensed activity.
industry-developed consensus (3) Production acceptance test We would grant safety approvals for
performance standard that addresses specifications, and five years, consistent with the current
these four topics. (4) Continued operational safety license term for launch and reentry
(1) Design and performance. The monitoring system characteristics. operator licenses, subject to renewal.
consensus standard would govern FAA would make the proposed We considered granting safety approvals
systems, system components, parts applicant-developed criteria available to for an indefinite period of time.
design, and minimum performance. An the public as part of the approval However, even though the holder of the
example of a commonly used design process. We would seek public safety approval is required to maintain
and performance standard for comment on the acceptability and the accuracy of its application, it is
pressurized space systems is AIAA S– adequacy of the criteria as a proposed possible for changes to occur that might
080–1998. The safety approval applicant performance standard for issuing a affect the safety approval. Five years is
also may choose to use other nationally safety approval. The FAA would not a reasonable interval in which to
recognized design and performance accept an application for a safety examine the approval to ensure that
standards for the consensus standards. approval unless a suitable criterion changes have been accurately reflected
(2) Quality assurance. The consensus exists or could be determined, and that in the application and that external
standard would govern the necessary criterion could be made public. The factors (for example, a modified
quality assurance system requirements FAA does not propose to develop or standard) have not negated the grounds
used in the manufacture of systems, issue standards. We would merely on which we granted the approval.
system components, and parts. The propose the criteria to evaluate an item The license applicant might discover
standard would establish quality for which an applicant seeks a safety during the licensing process that
assurance procedures for manufacturing approval. changes have occurred invalidating the
the individual system, system safety approval. A five-year renewal for
component, or part so that they meet FAA Review of Criteria a safety approval makes such an
minimum safety standards and are built The FAA would base its unexpected discovery less likely. In
as intended. determinations for safety approvals on addition, the FAA and industry would
(3) Production acceptance. The performance standards that allow the gain experience during the five-year
consensus standard would govern the FAA to find that a launch or reentry term of safety approval that could make
necessary characteristics of the may be conducted with the safety- modifying the safety approval advisable.
production acceptance test approved element under existing Therefore, FAA believes that a formal
specifications used in manufacturing licensing criteria and safety standards. reaffirmation of the currency of the
systems, system components, and parts. Technical criteria designed to achieve information in the application provides
A suitable standard would identify the FAA safety requirements may exist an opportunity for the safety approval
required final product acceptance test elsewhere in other Government holder to review its system or service
procedures that ensure a completed directives, such as EWR–127–1. and report any changes that might have
product is safe and performs as Sometimes, there may be no detailed gone unreported. The FAA could then
intended. written Government standard, but evaluate the changes to ensure the safety
approval remains valid and make any Section 414.35 How do I renew a Section 414.39 How would the FAA
changes that might be required to the safety approval? modify, suspend or revoke a safety
terms and conditions of the safety approval?
approval. The safety approval holder could
Because a safety approval has no apply for a renewal of the safety Modifying a Safety Approval
meaning independent of its use in approval just as a licensee can apply for Safety approval modifications could
facilitating the FAA licensing process, a renewal of a license. You should occur in two ways.
there would always be an opportunity to submit the renewal application at least • The safety approval holder applies
affirm its continued validity during the 90 days before the approval’s expiration to the FAA to modify the safety
licensing review process. Also, because date. The application may reference approval.
the holder of a safety approval would be information contained in the original • FAA initiates the modification
required to maintain the currency of application as part of the renewal when it finds the modification is
information in its application for the application. You should describe any consistent with the requirements of the
approval, the approval would only be proposed changes. Act.
valid for the representations made in the Any modification made under this
completed application. FAA would Section 414.37 How is compliance section would take effect immediately
have to approve material changes for the with the terms and conditions of a and continue in effect during any
safety approval to remain valid with safety approval monitored? review of the action under part 406 of
those changes. these regulations.
To maintain the validity of a safety
Section 414.31 How would I approval, a safety approval holder Suspending or Revoking a Safety
incorporate a safety approval into a would have to allow access by and Approval
license application? cooperate with Federal officers or Conditions could arise when the FAA
The launch or reentry license employees or other individuals would suspend or revoke a safety
applicant would need to reference the authorized by the FAA, to observe approval issued under this chapter. The
safety approval and show that its use in safety-approved activities. These following list gives examples of those
the launch of the particular launch activities include manufacturing, conditions:
vehicle or the reentry of a particular production, testing facilities, or • Safety approval holder fails to
reentry vehicle falls within the assembly sites used by a safety approval comply with any requirement of the
parameters for which the safety holder or any contractor in the Act.
approval was granted. The FAA would • Safety approval holder fails to
production, assembly, or testing of a
expect that, in arranging to obtain comply with any regulation issued
launch or reentry vehicle or a safety
hardware, processes, or services, the under the Act.
system associated with the launch or • Safety approval holder fails to
license applicant would be in contact
reentry of such a vehicle. Officials might comply with a term or condition of the
with the holder of the safety approval.
The license applicant could obtain also observe a safety-approved process safety approval or any other applicable
detailed information, including or service, including training programs requirement.
proprietary information from the safety and personnel qualifications. • Public health and safety or safety of
approval holder, in order to verify that We considered the need for property so requires.
the proposed use falls within the safety monitoring activities related to safety Any modification made under this
approval parameters. We would not approvals. We have authority to monitor section would take effect immediately
make the proprietary data included in these types of activities when they are and continue in effect during any
your application public. associated with FAA licensed launch, review of the action.
reentry, or site operations. However, we Whenever the FAA would take any
Section 414.33 What is the procedure action under this section, we would
when the FAA denies a safety approval have not monitored these activities
immediately tell you in writing of our
application or the transfer of a safety- absent a license. Although activities
finding and the action that we have
approval or suspends, modifies, or performed before issuing a license might
taken or propose to take on such
revokes a safety approval? be critical to safety, the FAA has relied
finding.
First, we would tell you, in writing, solely on post-licensing monitoring. We
verify the satisfactory performance of Section 414.41 How do I maintain the
that we have denied your safety
any safety critical activities before continued accuracy of the application
approval application or request to
issuing a license. However, we believe that supports a safety approval and
transfer a safety approval or that we
that a safety approval is a different modify a safety approval?
have suspended, modified, or revoked
your safety approval and state the situation. By voluntarily obtaining a Once you hold a safety approval for
reasons. safety approval, the approval holder a system or service, you would be
You may try to correct any would set itself up to offer hardware, responsible for maintaining the
deficiencies identified by the FAA and processes, or services to others, and accuracy of representations contained in
request reconsideration of the revised become a contractor to a licensee. By the safety approval application for the
application or of the FAA action to monitoring these activities, as entire term of the safety approval. If you
suspend, modify, or revoke your safety necessary, we would be provided some make material changes in the safety-
approval. assurance about the continued validity approved system or service that could
You may also apply for administrative of the safety approval. Therefore, there affect public health and safety or safety
review of a denial in the same manner would be a benefit to the holder and to of property, you would have to apply to
that an applicant for a license and a the potential user under a licensed the FAA to modify the safety approval.
proposed transferee of a license or an activity. The FAA anticipates that safety
owner or operator of a payload may approval holders would upgrade their
currently apply for a determination systems and services. As technology
under Part 406. changes, the safety-approved system or
service is likely to change. However, necessary because of a safety approval determination that the benefits of the
you would prepare and submit an transfer. intended regulation justify the costs.
application to modify a safety approval Our assessment of this rulemaking
Section 414.47 How will FAA make
following § 414.17 of this chapter. You indicates that its economic impact is
public the criteria by which a safety
would have to point out any part of your minimal because safety approvals under
approval was issued?
safety approval application that would the proposed rulemaking are not
be changed or affected by a proposed Because the FAA proposes to issue mandatory so there would be no costs
modification. safety approvals individually, we imposed on industry. The FAA
We would determine whether the believe it is important to inform the anticipates that launch license
safety approval remains valid because of public of the basis for issuing a specific applicants would only pursue a safety
a proposed modification. We would safety approval. approval if they believe they can save
approve a modification that satisfies the The FAA will publish in the Federal money by using a safety approval. If not
requirements set forth in this part. On Register its intent to use certain they would continue to obtain approval
approval of a modification, we would performance-based criteria in granting a through the licensing determination.
issue you a written approval stating safety approval and its reasons for The proposed rule might result in slight
terms or conditions of the safety accepting it. Where the criteria include costs to the government, but more likely
approval that are changed, added, or a commonly known industry standard, it would result in government cost
deleted. the public can request a copy of the savings.
standard from the sponsoring entity, for Because the costs and benefits of this
Section 414.43 For how long do I
example, American Institute of action do not make it a ‘‘significant
maintain any safety approval records?
Aeronautics and Astronautics (AIAA), regulatory action’’ as defined in the
The FAA considers maintaining the American Society for Testing and Order, we have not prepared a
history of a safety approval necessary. Materials (ASTM), and American ‘‘regulatory evaluation,’’ which is the
Therefore, it would require you to Society of Mechanical Engineers written cost/benefit analysis ordinarily
maintain all records necessary to verify (ASME). Publication of the criteria is for required for all rulemaking under the
that activities are conducted following information only, and not for comment; DOT Regulatory Policies and
representations contained in the the public may write the FAA and offer Procedures. We do not need to do a full
application for the valid period of the suggestions. evaluation where the economic impact
safety approval, plus one year. The valid of a rule is minimal.
period would include the original term Paperwork Reduction Act
of the safety approval, plus all renewal Information collection requirements Economic Assessment, Regulatory
periods. Of course, you may not be associated with this NPRM have been Flexibility Determination, Trade Impact
aware of all licenses that use a Assessment, and Unfunded Mandates
approved previously by the Office of
particular safety approval. Hence, you Assessment
Management and Budget (OMB) under
should seek advice from the FAA before the provisions of the Paperwork Proposed changes to Federal
disposing of any records for an expired Reduction Act of 1995 (44 U.S.C. regulations must undergo several
safety approval. 3507(d)) and have been assigned OMB economic analyses. First, Executive
Control Numbers 2120–0608 and 2120– Order 12866 directs each Federal agency
Section 414.45 How would I transfer a shall propose or adopt a regulation only
safety approval? 0643. These approvals are applicable
because this NPRM merely permits upon a reasoned determination that the
Either the current holder or the consideration of a portion of the activity benefits of the intended regulation
prospective transferee could request the covered by the cited documents. In justify its costs. Second, the Regulatory
FAA to transfer a safety approval other words, a part of the information Flexibility Act of 1980 requires agencies
provided the other party agrees to the required for FAA-licensed activity is to analyze the economic impact of
transfer and that the prospective collected for the safety approval and regulatory changes on small entities.
transferee meets the eligibility criteria does not need to be collected again as Third, the Trade Agreements Act (19
for a safety approval. part of the license application. U.S.C. 2531–2533) prohibits agencies
There may be cases when such a from setting standards that create
transfer is justified. For example, one International Compatibility unnecessary obstacles to the foreign
company may acquire some or all of the In keeping with U.S. obligations commerce of the United States. In
assets of another company. You would under the Convention on International developing U.S. standards, this Trade
need to submit a safety approval Civil Aviation, it is FAA policy to Act requires agencies to consider
application following § 414.17 and meet comply with International Civil international standards and, where
the requirements of § 414.27. You may Aviation Organization (ICAO) Standards appropriate, that they be the basis of
incorporate by reference any relevant and Recommended Practices to the U.S. standards. Fourth, the Unfunded
portions of the application that resulted maximum extent practicable. The FAA Mandates Reform Act of 1995 (Pub. L.
in the safety approval whose transfer has determined that there are no ICAO 104–4) requires agencies to prepare a
you seek. We would transfer a safety Standards and Recommended Practices written assessment of the costs, benefits,
approval to an applicant who has that correspond to these proposed and other effects of proposed or final
obtained all the approvals and regulations. rules that include a Federal mandate
determinations required under this likely to result in the expenditure by
chapter for a safety approval. In Executive Order 12866 and DOT State, local, or tribal governments, in the
conducting its reviews and issuing Regulatory Policies and Procedures aggregate, or by the private sector, of
approvals and determinations, the FAA Executive Order 12866, Regulatory $100 million or more annually (adjusted
may incorporate by reference any Planning and Review, directs the FAA for inflation).
findings made as part of the record to to assess both the costs and the benefits The Department of Transportation
support the initial safety approval of a regulatory change. We are not Order DOT 2100.5 prescribes policies
determination. We might modify a allowed to propose or adopt a regulation and procedures for simplification,
safety approval to reflect any changes unless we make a reasoned analysis, and review of regulations. If it
is determined that the expected cost likelihood of selling their approved Trade Impact Assessment
impact is so minimal that a proposal product to a licensee is very high. The Trade Agreement Act of 1979
does not warrant a full evaluation, this On the other hand, the proposed rule prohibits Federal agencies from
order permits a statement to that effect might result in cost savings to the establishing any standards or engaging
and the basis for it be included in the government. If the safety approval is in related activities that create
preamble and a full regulatory used for several licenses, then the FAA unnecessary obstacles to the foreign
evaluation need not be prepared. could apply findings related to safety commerce of the United States.
The 1998 amendments to the approvals to different license applicants Legitimate domestic objectives, such as
Commercial Space Launch Act of 1984 proposing to use the approved element. safety, are not considered unnecessary
added authority for establishing In view of the possible minor
obstacles. The statute also requires
procedures for ‘‘safety approvals’’ of additional cost to the Federal
consideration of international standards
launch vehicles, reentry vehicles, safety government of the proposed rule and
and, where appropriate, that they be the
systems, processes, services, or the anticipated benefits of the rule, the
basis for U.S. standards. The FAA has
personnel that may be used in FAA has determined that the proposed
assessed the potential effect of this
conducting licensed commercial space rule would be cost-justified. Since this
proposed rule and determined that since
launch or reentry activities. (See proposed rule is voluntary, the expected
it would not impose standards on
Commercial Space Launch Act of 1998, outcome would be to have a minimal
industry and because it establishes a
Pub. L. 105–303.) This rulemaking impact with positive net benefits, and a
wholly voluntary program, it would not
would establish those procedures. The regulatory evaluation was not prepared.
create an unnecessary obstacle to the
rule would enable license applicants to The FAA requests comments with
foreign commerce of the United States.
use safety-approved elements for supporting justification regarding the
proposed launch or reentry activities FAA determination of minimal impact. Unfunded Mandates Assessment
without having to resubmit certain Regulatory Flexibility Determination The Unfunded Mandates Reform Act
information. The existence of a safety of 1995 (the Act) is intended, among
approval could streamline the licensing The Regulatory Flexibility Act of 1980
other things, to curb the practice of
process. The proposed rule would (RFA) establishes ‘‘as a principle of
imposing unfunded Federal mandates
define the requirements for obtaining regulatory issuance that agencies shall
on State, local, and tribal governments.
these voluntary safety approvals. endeavor, consistent with the objective Title II of the Act requires each Federal
A key element of the proposed rule is of the rule and of applicable statutes, to agency to prepare a written statement
that the safety approvals are strictly fit regulatory and informational assessing the effects of any Federal
elective. A safety approval would enable requirements to the scale of the mandate in a proposed or final agency
the U.S. commercial space business, organizations, and rule that may result in an expenditure
transportation industry to select governmental jurisdictions subject to of $100 million or more (adjusted
‘‘approved’’ systems, processes, regulation.’’ To achieve that principle, annually for inflation) in any one year
services, and personnel, possibly the RFA requires agencies to solicit and by State, local, and tribal governments,
reducing the information required for a consider flexible regulatory proposals in the aggregate, or by the private sector;
license application. Because safety and to explain the rationale for their such a mandate is deemed to be a
approvals under the proposed actions. The RFA covers a wide-range of ‘‘significant regulatory action.’’ The
rulemaking are not mandatory, the FAA small entities, including small FAA currently uses an inflation-
anticipates that applicants would only businesses, not-for-profit organizations adjusted value of $120.7 million in lieu
pursue a safety approval if they believed and small governmental jurisdictions. of $100 million.
the benefits outweighed the costs. Agencies must perform a review to This proposed rule does not contain
The proposal does not impose costs determine whether a proposed or final such a mandate. The requirements of
on the license applicant, because the rule will have a significant economic Title II do not apply.
applicant is free to continue to obtain impact on a substantial number of small
approval through the licensing entities. If the agency determines that it Executive Order 13132, Federalism
determination. There might be cost will, the agency must prepare a The FAA has analyzed this proposed
savings to license applicants because regulatory flexibility analysis as rule under the principles and criteria of
the cost of using safety-approved described in the RFA. Executive Order 13132, Federalism. We
elements could be less than the cost the However, if an agency determines that determined that this action would not
licensee might incur in seeking approval a proposed or final rule is not expected have a substantial direct effect on the
directly through the licensing to have a significant economic impact States, on the relationship between the
determination. This is because a safety on a substantial number of small national Government and the States, or
approval could be used for multiple entities, section 605(b) of the RFA on the distribution of power and
launch licenses without added FAA provides that the head of the agency responsibilities among the various
approval of that portion of the license may so certify and a regulatory levels of government, and therefore
application other than an evaluation of flexibility analysis is not required. The would not have federalism implications.
its intended use relative to the proposed certification must include a statement
activity. providing the factual basis for this Plain English
The proposed rule might result in determination, and the reasoning should Executive Order 12866 (58 FR 51735,
additional cost to the Federal be clear. Oct. 4, 1993) requires each agency to
government. This might occur if a The proposed rule does not impose write regulations that are simple and
company obtains a safety approval from costs on industry because it establishes easy to understand. We invite your
the FAA, but does not use it. In this a wholly voluntary process as an comments on how to make these
case, the FAA would have spent the alternative to the current licensing proposed regulations easier to
time for naught in issuing the safety process. Consequently, the FAA certifies understand, including answers to
approval. The FAA expects this to be that the rule will not have a significant questions such as the following:
unlikely, as companies would not seek economic impact on a substantial • Are the requirements in the
to obtain safety approvals unless the number of small entities. proposed regulations clearly stated?
• Do the proposed regulations contain 414.15 How will the FAA determine launch vehicle, including a reusable
unnecessary technical language or whether something is eligible and launch vehicle (RLV) mission, or the
jargon that interferes with their clarity? suitable for a safety approval? reentry of a reentry vehicle.
• Would the regulations be easier to 414.17 How do I prepare an application?
414.19 How can I assure confidentiality of § 414.5 What is a safety approval?
understand if they were divided into the information I submit on a safety
more (but shorter) sections? approval application?
In this part, ‘‘Safety approval’’ means
• Is the description in the preamble 414.21 How does the FAA handle an initial the FAA has determined that a licensed
helpful in understanding the proposed application? launch or reentry using a launch
regulations? 414.23 Is there a specified timeframe for the vehicle, reentry vehicle, safety system,
Please send your comments to the review period? process, service, or personnel approved
address specified in the ADDRESSES 414.25 How do I maintain the continued under this part, when used as approved
section. accuracy of my application and provide within a defined envelope, will not
supplemental information or jeopardize public health and safety or
Environmental Analysis amendments?
the safety of property.
FAA Order 1050.1E identifies FAA Subpart C—Issuance of a Safety Approval
actions that are categorically excluded § 414.7 Who must obtain a safety
414.27 What are the technical criteria for a approval?
from preparation of an environmental safety approval?
assessment or environmental impact 414.29 What are the terms and conditions No one is required to obtain a safety
statement under the National of a safety approval? approval.
Environmental Policy Act in the 414.31 How would a license applicant
incorporate a safety approval into a § 414.9 Who may apply for a safety
absence of extraordinary circumstances. approval?
The FAA has determined this proposed launch or reentry license application?
414.33 What is the procedure when the Anyone may apply for a safety
rulemaking action qualifies for the FAA denies a safety approval application approval.
categorical exclusion identified in or renewal application or the request to
paragraph 308b and involves no transfer a safety-approval or suspends, § 414.11 What rights are not conferred by
extraordinary circumstances. modifies, or revokes a safety approval? a safety approval?
Regulations That Significantly Affect
414.35 How do I renew a safety approval? (a) A safety approval does not confer
414.37 How is compliance with the terms any authority to conduct activities for
Energy Supply, Distribution, or Use and conditions of a safety approval which a license is required under 14
The FAA has analyzed this NPRM monitored? CFR chapter III.
under Executive Order 13211, Actions 414.39 How would the FAA modify,
(b) A safety approval does not relieve
Concerning Regulations that suspend, or revoke a safety approval?
414.41 How do I maintain the continued its holder of the duty to comply with all
Significantly Affect Energy Supply, accuracy of the application that supports applicable requirements of law or
Distribution, or Use (May 18, 2001). We a safety approval and modify an regulation that may apply to the
have determined that it is not a approval? holder’s activities.
‘‘significant energy action’’ under the 414.43 How long do I maintain any safety
executive order because it is not a approval records? Subpart B—Safety Approval
‘‘significant regulatory action’’ under 414.45 How would I transfer a safety Application
Executive Order 12866, and it is not approval?
414.47 How will FAA make public the § 414.13 What is the pre-application
likely to have a significant adverse effect
criteria by which a safety approval was process?
on the supply, distribution, or use of issued?
energy. You must consult with the FAA
Authority: 49 U.S.C. 106(g), 40113, 44701. before submitting an application. At a
List of Subjects in 14 CFR Part 414 minimum, consultation consists of oral
Airspace, Aviation safety, Space Subpart A—General discussion with the FAA about the
transportation and exploration. application process and potential issues
§ 414.1 What is the basis and scope of this
rule? relevant to the FAA’s safety approval
The Proposed Amendment decision.
This part establishes procedures for
In consideration of the foregoing, the
obtaining a safety approval. These § 414.15 How will the FAA determine
Federal Aviation Administration
procedures apply to applications for whether something is eligible and suitable
proposes to amend Chapter I of Title 14, for a safety approval?
obtaining a safety approval, transfer of
Code of Federal Regulations, as follows:
an existing safety approval, and renewal (a) Applicant. Any eligible person
PART 414—SAFETY APPROVALS of an existing safety approval. Safety may apply to be the holder of a safety
approvals issued under this part may be approval. There is no citizenship
1. Add part 414 to read as follows. used to support the application review requirement for a safety approval.
for one or more launch or reentry (b) You may be eligible for a safety
Subpart A—General approval if you are—
license requests under other parts of this
Sec. chapter. A safety approval is limited to (1) A manufacturer of a launch or
414.1 What is the basis and scope of this approved use within a defined reentry vehicle or component;
rule? envelope. It is not an approval to (2) The designer/developer of a safety
414.3 To what does this rule apply? conduct a licensable activity. system or process;
414.5 What is a safety approval? (3) Personnel who perform safety
414.7 Who must obtain a safety approval? § 414.3 To what does this rule apply? critical functions in conducting a
414.9 Who may apply for a safety approval? This part applies to an applicant licensed launch or reentry.
414.11 What rights are not conferred by a seeking to obtain a safety approval. That (c) You must have sufficient
safety approval?
safety approval may be for a launch knowledge and expertise with the
Subpart B—Safety Approval Application vehicle, reentry vehicle, safety system, launch vehicle, reentry vehicle, safety
414.13 What is the pre-application process, service, or personnel for use in system, process, service, or personnel
process? conducting a licensed launch of a for which safety approval is sought to
show that its design and operation (iv) Test and evaluation procedures, § 414.21 How does the FAA handle an
qualify for a safety approval. (v) Test results, initial application?
(d) You may seek a safety approval (vi) Maintenance procedures, and (a) The FAA will initially screen an
from the FAA for a launch vehicle, application to determine whether the
(vii) Personnel qualifications and
reentry vehicle, safety system, process, application is for a safety approval of a
training procedures.
service, or personnel. launch vehicle, reentry vehicle, safety
(e) Criteria. The FAA will determine (d) Signature and certification of system, process, service, or personnel.
individually whether a launch vehicle, accuracy. Your application must be We will then determine if there are
reentry vehicle, safety system, process, legibly signed, dated, and certified as existing performance-based criteria,
service, or personnel proposed is true, complete, and accurate by one of standards, or accepted practices that
eligible for and may be issued a safety the following: provide a satisfactory basis for issuing a
approval. We will base our (1) For a corporation: An officer safety approval.
determination on performance-based authorized to act for the corporation in (b) After completing the initial
criteria, such as existing government or licensing matters. screening, the FAA tells you, in writing,
industry standards, government (2) For a partnership or a sole of one of the following:
specifications, or other proposed criteria proprietorship: A general partner or (1) The submitted material makes up
against which we may assess the effect proprietor, respectively. a substantially complete application
on public health and safety and safety (3) For a joint venture, association, or package. The notice will state that we
of property of a licensed launch or other entity: An officer or other recognize the item as eligible for a
reentry that relies in whole or in part on individual duly authorized to act for the safety-approval and that an acceptable
a safety-approved element. joint venture, association, or other entity performance-based criteria, standard, or
§ 414.17 How do I prepare an application? in licensing matters. accepted practice exists against which
(a) Form. Your application must be in an application may be evaluated. The
§ 414.19 How can I assure confidentiality application is accepted and the FAA
writing, in English, and filed in of the information I submit on a safety
duplicate with the Federal Aviation approval application?
will begin the reviews or evaluations
Administration, Associate required for a safety approval
(a) When you provide information or determination under this chapter.
Administrator for Commercial Space data to the FAA, you may request in
Transportation, AST–300, Room 331, (2) The application is so incomplete
writing that trade secrets or proprietary or vague that beginning the reviews or
800 Independence Avenue, SW., commercial or financial data be treated
Washington, DC 20591. Attention: evaluations required for a safety
as confidential. You must make this approval determination under this
System Engineering and Training, request at the time you submit the
Safety Approval Application Review. chapter is inappropriate, and the
information or data and state the period application is rejected. The notice will
(b) Administrative information. Your
of time you require confidential state the reason(s) for rejection and
application must identify the following:
(1) The name and address of the treatment. corrective actions necessary for the
applicant, (b) Mark information or data for application to be accepted. The FAA
(2) The name, address, and telephone which you require confidentiality with may return a rejected application to the
number of any person to whom an identifying legend, such as applicant or may hold it until the
inquiries and correspondence should be ‘‘Proprietary Information,’’ ‘‘Proprietary applicant provides more information. If
directed, and Commercial Information,’’ ‘‘Trade your safety approval application is
(3) The launch vehicle, reentry Secret,’’ or ‘‘Confidential Treatment denied, you may try to correct any
vehicle, safety system, process, service, Requested.’’ Where this marking proves deficiencies identified by the FAA and
or personnel for which you are applying impracticable, attach a cover sheet request reconsideration of the revised
for a safety approval. containing the identifying legend to the application.
(c) Technical information. Your information or data for which you are
application must— seeking confidential treatment. § 414.23 Is there a specified timeframe for
(1) Contain a Statement of the review period?
(c) If you request confidential
Conformance letter showing compliance treatment for previously submitted There are no review period deadlines
to specific criteria to which you propose information or data, the FAA will honor for issuance or denial of a safety
to show the adequacy of the proposed that request to the extent practicable in approval.
launch vehicle, reentry vehicle, safety case of any prior distribution of the § 414.25 How do I maintain the continued
system, process, service, or personnel; information or data. accuracy of my application and provide
(2) Specify the operating limits for
(d) Information or data for which you supplemental information or amendments?
which the safety approval is sought;
(3) Provide the following, as have requested confidential treatment or (a) You are responsible for the
applicable: information or data that qualifies for continuing accuracy and completeness
(i) Information and analyses required exemption under section 552(b)(4) of of information provided to the FAA as
by any AST licensing regulation that Title 5, United States Code, will not be part of a pending safety approval
might be applicable to demonstrating disclosed to the public unless the application. Whenever information you
safe performance of the item for which Associate Administrator determines that provided as part of a safety approval
the safety approval is sought, withholding the information or data is application is no longer accurate and
(ii) Engineering design and analyses contrary to the public or national complete in all material respects, you
that show the adequacy of the proposed interest. must submit a statement providing the
system for its intended use, such that (e) If the proposed criteria for new or corrected information. As part of
the use in a licensed launch or reentry evaluating a safety approval is secret, as the submission, you must recertify the
will not jeopardize public health or classified by the U.S. Government, or accuracy and completeness of the
safety or the safety of property, you want it to remain proprietary or amended application under section
(iii) Relevant manufacturing confidential, it cannot be used as a basis 414.17. Failure to comply with any of
processes, for issuance of safety approval. the requirements set forth in this
paragraph is a sufficient basis for denial (b) The applicant must show that the at least 90 days before the expiration
of a safety approval application. proposed use of the safety-approved date of the approval.
(b) You may amend or supplement a element is consistent with the scope of (b) Application. (1) A safety approval
safety approval application anytime the safety approval issued by the FAA. renewal application must satisfy the
before issuance or transfer of a safety The applicant must demonstrate that requirements set forth in this part and
approval. any alteration in its use does not negate any other applicable part of this chapter.
the applicability of the safety-approved (2) The application may incorporate
Subpart C—Issuance of a Safety element to your intended use of it. by reference information provided as
Approval (c) The applicant must certify that you part of the application for the expiring
§ 414.27 What are the technical criteria for plan to use the safety-approved element safety approval or any modification to
a safety approval? in accordance with any terms and that approval.
In identifying and assessing conditions of the safety approval issued (3) You must describe any proposed
appropriate criteria, the FAA would by the FAA. changes in the conduct of safety-
apply the following hierarchy: (d) Consistent with this section the approved systems or services and
(a) FAA or other appropriate Federal FAA will rely on a safety approval in its provide any added information
regulations, evaluation of a license application, necessary to support the fitness of the
(b) Government-developed or adopted thereby relieving the license applicant proposed changes to meet the criteria
standards, of certain regulatory burdens associated upon which we evaluated the safety
(c) Industry consensus performance- with launch and reentry licensing. approval.
based criteria or standard, and (c) Review of application. The FAA
§ 414.33 What is the procedure when the
(d) Applicant-developed criteria. conducts the reviews required under
FAA denies a safety approval application or
Applicant-developed criteria are renewal application or the request to this chapter to determine whether the
performance standards customized by transfer a safety-approval or suspends, applicant’s safety approval may be
the manufacturer who intends to modifies, or revokes a safety approval? renewed for another five-year term. We
produce the system, system component, (a) The FAA tells you, in writing, if may incorporate by reference any
or part. The applicant-developed criteria your safety approval application or the findings that are part of the record for
must define: request to transfer a safety approval has the expiring safety approval.
(1) Design and minimum (d) Grant of safety approval renewal.
been denied or if the FAA has
performance, After the FAA completes the reviews
(2) Quality assurance system suspended, modified, or revoked a
safety approval and states the reasons. required by this chapter for a safety
requirements, approval and makes a safety approval
(3) Production acceptance test (b) If your safety approval application
is denied, you may try to correct any determination, we issue an order
specifications, and amending the expiration date of the
(4) Continued operational safety deficiencies identified by the FAA and
request reconsideration of the revised safety approval or a new approval. The
monitoring system characteristics.
You must agree to allow the FAA to application. You could try to correct any FAA may impose added or revised
make your proposed safety approval deficiencies identified by the FAA and terms and conditions necessary to
criteria available to the public as part of request reconsideration of the revised protect public health and safety and the
the approval process. application or of the FAA action to safety of property.
suspend, modify, or revoke your safety (e) Denial of a safety approval
§ 414.29 What are the terms and approval. renewal. Section 414.33 of this chapter
conditions of a safety approval? (c) The following would be entitled to details procedures when the FAA
(a) The FAA issues a safety approval a determination on the record after an denies a safety approval renewal.
to an applicant who has met all the opportunity for a hearing.
(1) An applicant for a safety approval § 414.37 How is compliance with the terms
requirements under this chapter.
and conditions of a safety approval
(b) The scope of the approval will be or a safety approval renewal or a monitored?
limited by the scope of the safety proposed transferee of a safety approval
demonstration. under this part regarding any decision Each safety approval holder must
(c) The FAA will determine specific to issue or transfer a safety approval allow access by and cooperate with
terms and conditions of a safety with conditions or to deny the issuance Federal officers or employees or other
approval individually, limiting the or transfer of such safety approval. individuals authorized by the Associate
safety approval to the parameters for (2) A holder of a safety approval Administrator to view safety-approved
which the safety-approved launch or regarding any decision to suspend, activities. These activities include
reentry element was approved. The modify, or revoke a safety approval. manufacturing, production, testing
terms and conditions would include (d) An administrative law judge will facilities, or assembly sites used by a
reporting requirements tailored to the be designated to preside over any safety approval holder or any contractor
individual safety approval. hearing held under this part. in the production, assembly, or testing
(d) A safety approval is valid for five (e) Submissions and oral of a launch or reentry vehicle or a safety
years and may be renewed. presentations would follow the system associated with the launch or
procedures outlined in § 406.3. reentry of such a vehicle. Officials may
§ 414.31 How would a license applicant (f) The administrative law judges also view a modular safety-approved
incorporate a safety approval into a launch process or service, including training
recommended decision would follow
or reentry license application?
the procedures outlined in § 406.5. programs and personnel qualifications.
(a) When applying for a license under
Part 413, an applicant must identify any § 414.35 How do I renew a safety § 414.39 How would the FAA modify,
safety approval for a launch vehicle, approval? suspend, or revoke a safety approval?
reentry vehicle, safety system, process, (a) Eligibility. If you hold a safety (a) Upon application by a safety
service, or personnel that you propose approval, you may apply to renew it by approval holder or on the FAA’s own
to use as part of your proposed submitting to the FAA a written initiative, we may modify a safety
licensable activity. application for renewal of the approval approval issued under this chapter if we
find the modification is consistent with application that is material to public transferred provided the other party
the requirements of the Act. health and safety or safety of property agrees to the transfer.
(b) If the FAA finds that a safety would no longer be accurate and (c) You need to submit a safety
approval holder has substantially failed complete. approval application under § 414.17 and
to comply with any requirement of the (c) Prepare and submit an application meet the requirements of § 414.27. You
Act, any regulation issued under the to modify a safety approval following may incorporate by reference relevant
Act, the terms and conditions of a safety § 414.17. You must point out any part of portions of the application that resulted
approval, or any other applicable your license or license application that in the safety approval transfer you seek.
requirement, or that public health and would be changed or affected by a
safety or the safety of property so (d) The FAA will transfer a safety
proposed modification. approval to an applicant who has
require, we may suspend or revoke a (d) The FAA reviews approvals and
safety approval issued to that holder obtained all the approvals and
determinations required by this chapter determinations required under this
under this chapter. to determine whether those approvals
(c) Unless otherwise stated by the chapter for a safety approval. In
and determinations remain valid conducting its reviews and issuing
FAA, any modification, suspension, or because of a proposed modification. The
revocation we make under this approvals and determinations, the FAA
FAA approves a modification that may incorporate by reference any
section— satisfies the requirements set forth in
(1) Takes effect immediately; and findings made part of the record to
(2) Continues in effect during any this part. support the initial safety approval
review of such action under Part 406 of (e) On approval of a modification, we determination. The FAA may modify a
these regulations. issue you a written approval stating safety approval to reflect any changes
(d) Whenever the FAA takes any terms or conditions of the safety necessary because of a safety approval
action under this section, we approval that are changed, added, or transfer.
immediately tell you in writing of our deleted.
finding and the action that we have § 414.47 How will FAA make public the
§ 414.43 How long do I maintain any safety criteria by which a safety approval was
taken or propose to take on such approval records? issued?
finding.
You must maintain all records FAA will publish in the Federal
§ 414.41 How do I maintain the continued necessary to verify that activities are Register a notice of performance-based
accuracy of the application that supports a following representations contained in criteria that we intend to use to evaluate
safety approval and modify an approval? the application for the valid period of the safety approval application and
(a) You are responsible for the the safety approval plus one year. describe the criteria.
continued accuracy of representations
contained in the safety approval § 414.45 How would I transfer a safety Issued in Washington, DC, on May 24,
approval? 2005.
application for the entire term of the
safety approval. (a) Only the FAA may transfer a safety Patricia G. Smith,
(b) After a safety approval has been approval. Associate Administrator for Commercial
issued, you must apply to the FAA for (b) Either the safety approval holder Space Transportation.
modification of the safety approval if or the prospective transferee may [FR Doc. 05–10723 Filed 5–31–05; 8:45 am]
any representation contained in the request that a safety approval be BILLING CODE 4910–13–P

Proposed Rule: Commercial Space Transportation Safety Approvals

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