Safety Approvals, 32192-32204 [05-10723]

Agencies

• Federal Aviation Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 70, Number 104 (Wednesday, June 1, 2005)]
[Proposed Rules]
[Pages 32192-32204]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-10723]



[[Page 32191]]

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Part III





Department of Transportation





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Federal Aviation Administration



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14 CFR Part 414



Safety Approvals; Proposed Rule

Federal Register / Vol. 70, No. 104 / Wednesday, June 1, 2005 / 
Proposed Rules

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 414

[Docket No. FAA-2005-21332]
RIN 2120-AI50


Safety Approvals

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: The Federal Aviation Administration proposes to amend 
commercial space transportation regulations by adding procedures for 
obtaining a safety approval. Application for a safety approval is 
voluntary. A safety approval is an FAA determination that a licensed 
launch or reentry may be conducted using a launch vehicle, reentry 
vehicle, safety system, process, service, or personnel approved under 
this part. The safety approval holder could then offer a launch 
vehicle, reentry vehicle, safety system, process, service, or personnel 
to prospective launch and reentry licensees for use within a defined 
and proven envelope. Those licensees would not need added FAA approval 
of that portion of their license application. Proposed rules are needed 
to establish the procedures for obtaining a safety approval from the 
FAA.

DATES: Send your comments on or before August 30, 2005.

ADDRESSES: You may send comments identified by Docket Number FAA-2005-
21332 using any of the following methods:
     DOT Docket Web site: Go to https://dms.dot.gov and follow 
the instructions for sending your comments electronically.
     Government-wide rulemaking Web site: Go to https://
www.regulations.gov and follow the instructions for sending your 
comments electronically.
     Mail: Docket Management Facility; U.S. Department of 
Transportation, 400 Seventh Street, SW., Nassif Building, Room PL-401, 
Washington, DC 20590-001.
     Fax: 1-202-493-2251.
     Hand Delivery: Room PL-401 on the plaza level of the 
Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9 
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    For more information on the rulemaking process, see the 
SUPPLEMENTARY INFORMATION section of this document.
    Privacy: We will post all comments we receive, without change, to 
https://dms.dot.gov, including any personal information you provide. For 
more information, see the Privacy Act discussion in the SUPPLEMENTARY 
INFORMATION section of this document.
    Docket: To read background documents or comments received, go to 
https://dms.dot.gov at any time or to Room PL-401 on the plaza level of 
the Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9 
a.m. and 5 p.m., Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: 

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      Questions regarding:                 Contact                   Address                     Phone
----------------------------------------------------------------------------------------------------------------
Safety approval process.........  Charles P. Brinkman,      Associate Administrator   (202) 267-7715.
                                   Licensing and Safety      for Commercial Space
                                   Division (AST-200).       Transportation, Federal
                                                             Aviation
                                                             Administration, DOT,
                                                             Room 331, 800
                                                             Independence Avenue,
                                                             SW., Washington, DC
                                                             20591.
                                  or Esta Rosenberg,        Federal Aviation          (202) 366-9320.
                                   Office of the Chief       Administration, DOT,
                                   Counsel (AGC-250).        Room 915, 800
                                                             Independence Avenue,
                                                             SW., Washington, DC
                                                             20591.
Technical standards.............  Jim Kabbara, System       Associate Administrator   (202) 267-8379.
                                   Engineering and           for Commercial Space
                                   Training Division (AST-   Transportation, Federal
                                   300).                     Aviation
                                                             Administration, DOT,
                                                             Room 331, 800
                                                             Independence Avenue,
                                                             SW., Washington, DC
                                                             20591.
----------------------------------------------------------------------------------------------------------------


SUPPLEMENTARY INFORMATION: 

Comments Invited
Availability of Rulemaking Documents
Authority for this Rulemaking
Background
    Safety approval benefits
    Benefit to the commercial space transportation industry
    Benefit to the FAA
    Need for a regulation
General Discussion of the Proposals
Section-by-Section Discussion of the Proposals
Subpart A--General
    Section 414.1 What is the basis and scope of this rule?
    Section 414.3 To what does this rule apply?
    Section 414.5 What is a safety approval? What is eligible for a 
safety approval?
    Section 414.7 Who must obtain a safety approval?
    Section 414.11 What rights are not conferred by a safety 
approval?
Subpart B--Safety Approval Application
    Section 414.13 What is the pre-application process?
    Section 414.15 How will the FAA determine whether something is 
eligible and suitable for a safety approval?
    Section 414.17 How do I prepare an application?
    Section 414.19 How can I assure confidentiality of the 
information I submit on a safety approval application?
    Section 414.21 How does FAA handle an initial application?
    Section 414.23 Is there a specified timeframe for the review 
period?
    Section 414.25 How do I maintain the continued accuracy of my 
application and provide supplemental information or amendments?
Subpart C--Issuance of a Safety Approval
    Section 414.27 What are the technical criteria for issuing a 
safety approval?
    Section 414.29 What are the terms and conditions of a safety 
approval?
    Section 414.31 How would I incorporate a safety approval into a 
license application?
    Section 414.33 What is the procedure when the FAA denies a 
safety approval application or the transfer of a safety approval or 
suspends, modifies, or revokes a safety approval?
    Section 414.35 How do I renew a safety approval?
    Section 414.37 How is compliance with the terms and conditions 
of a safety approval monitored?
    Section 414.39 How would the FAA modify, suspend or revoke a 
safety approval?
    Section 414.41 How do I maintain the continued accuracy of the 
application that supports a safety approval and modify a safety 
approval?
    Section 414.43 For how long do I maintain any safety approval 
records?
    Section 414.45 How would I transfer a safety approval?
    Section 414.47 How will FAA make public the criteria by which a 
safety approval was issued?
Paperwork Reduction Act
International Compatibility
Executive Order 12866 and DOT Regulatory Policies and Procedures
Economic Assessment, Regulatory Flexibility Determination, Trade 
Impact

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Assessment, and Unfunded Mandates Assessment
Regulatory Flexibility Determination
Trade Impact Assessment
Unfunded Mandates Assessment
Executive Order 13132, Federalism
Plain English
Environmental Analysis
Regulations that Significantly Affect Energy Supply, Distribution, 
or Use

Comments Invited

    The FAA invites interested persons to participate in this 
rulemaking by submitting written comments, data, or views. We also 
invite comments relating to the economic, environmental, energy, or 
federalism impacts that might result from adopting the proposals in 
this document. The most helpful comments reference a specific portion 
of the proposal, explain the reason for any recommended change, and 
include supporting data. We ask that you send us two copies of written 
comments.
    We will file in the docket all comments we receive, as well as a 
report summarizing each substantive public contact with FAA personnel 
concerning this proposed rulemaking. The docket is available for public 
inspection before and after the comment closing date. If you wish to 
review the docket in person, go to the address in the ADDRESSES section 
of this preamble between 9 a.m. and 5 p.m., Monday through Friday, 
except Federal holidays. You may also review the docket using the 
Internet at the web address in the ADDRESSES section.
    Privacy Act: Using the search function of our docket Web site, 
anyone can find and read the comments received into any of our dockets, 
including the name of the individual sending the comment (or signing 
the comment on behalf of an association, business, labor union, etc.). 
You may review DOT's complete Privacy Act Statement in the Federal 
Register published on April 11, 2000 (65 FR 19477-78) or you may visit 
https://dms.dot.gov.
    Before acting on this proposal, we will consider all comments we 
receive on or before the closing date for comments. We will consider 
comments filed late if it is possible to do so without incurring 
expense or delay. We may change this proposal in light of the comments 
we receive.
    If you want the FAA to acknowledge receipt of your comments on this 
proposal, include with your comments a pre-addressed, stamped postcard 
on which the docket number appears. We will stamp the date on the 
postcard and mail it to you.

Availability of Rulemaking Documents

    You can get an electronic copy using the Internet by:
    (1) Searching the Department of Transportation's electronic Docket 
Management System (DMS) web page (https://dms.dot.gov/search);
    (2) Visiting the Office of Rulemaking's web page at https://
www.faa.gov/avr/arm/index.cfm; or
    (3) Accessing the Government Printing Office's web page at https://
www.gpoaccess.gov/fr/.
    You can also get a copy by submitting a request to the Federal 
Aviation Administration, Office of Rulemaking, ARM-1, 800 Independence 
Avenue SW., Washington, DC 20591, or by calling (202) 267-9680. Make 
sure to identify the docket number, notice number, or amendment number 
of this rulemaking.

Authority for This Rulemaking

    The Commercial Space Launch Act of 1984, as codified and amended at 
49 U.S.C. Subtitle IX--Commercial Space Transportation, ch. 701, 
Commercial Space Launch Activities, 49 U.S.C. 70101-70121 (the Act), 
authorizes the Department of Transportation and the FAA, through 
delegations, to oversee, license and regulate commercial launch and 
reentry activities and the operation of launch and reentry sites as 
carried out by U.S. citizens or within the United States. 49 U.S.C. 
70104, 70105. The Act directs the FAA to exercise this responsibility 
consistent with public health and safety, safety of property, and the 
national security and foreign policy interests of the United States. 49 
U.S.C. 70105. The FAA is also responsible for encouraging, facilitating 
and promoting commercial space launches by the private sector. 49 
U.S.C. 70103.
    Authority for this particular rulemaking is derived from Section 
70105(a)(2) that states the Secretary may establish procedures for 
``safety approvals'' of launch vehicles, reentry vehicles, safety 
systems, processes, services, or personnel for use in conducting 
licensed commercial space launch or reentry activities. (See Commercial 
Space Launch Act of 1998, Public Law 105-303) The 2004 amendments to 
the Act provided details regarding safety approvals for personnel to 
include explicitly approval procedures for the purpose of protecting 
the health and safety of crews and space flight participants. (See 
Commercial Space Launch Amendments Act of 2004, Public Law 108-492)

Background

History

    The Commercial Space Launch Act of 1984, as amended and codified at 
49 U.S.C. Subtitle IX--Commercial Space Transportation, Chapter 701, 
Commercial Space Launch Activities, 49 U.S.C. 70101-70121 (the Act), 
authorizes the Department of Transportation to oversee, license, and 
regulate commercial launch and reentry activities (including launch and 
reentry site operation) carried out by U.S. citizens or within the 
United States. 49 U.S.C. 70104, 70105. The Act directs the Secretary of 
Transportation to exercise this responsibility consistent with public 
health and safety, safety of property, and the national security and 
foreign policy interests of the United States. 49 U.S.C. 70105. By 
delegation, the FAA Administrator carries out the Secretary's 
authority.
    Under the same delegated authority, the FAA has the responsibility 
for encouraging, facilitating, and promoting commercial space launches 
by the private sector. 49 U.S.C. 70103. The 1998 amendments to the Act 
added authority for establishment of procedures for ``safety 
approvals'' of launch vehicles, reentry vehicles, safety systems, 
processes, services, or personnel for use in conducting licensed 
commercial space launch or reentry activities. (See Commercial Space 
Launch Act of 1998, Public Law 105-303) The 2004 amendments to the Act 
provided details regarding safety approvals for personnel to include 
explicitly approval procedures for the purpose of protecting the health 
and safety of crews and space flight participants. (See Commercial 
Space Launch Amendments Act of 2004, Public Law 108-492)
    A significant addition to FAA authority is the ability to issue a 
safety approval separate from a licensing determination. A launch 
vehicle, reentry vehicle, safety system, process, service, or personnel 
(including crews and space flight participants) proposed for use in a 
licensed launch or reentry may be eligible for safety approval 
consideration. A safety approval would allow the use of an approved 
launch vehicle, reentry vehicle, safety system, process, service, or 
personnel without requiring reexamination of fitness for a particular 
launch or reentry proposal subject to FAA licensing. The decision to 
apply for a safety approval would be a voluntary one for an eligible 
applicant. Launch or reentry licensing would not require use of safety-
approved systems or processes. Issuing a safety approval

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would not represent authorization to conduct a launch or reentry.
    Reliance on a safety-approved launch vehicle, reentry vehicle, 
safety system, process, service, or personnel could simplify launch and 
reentry licensing by the FAA. A safety approval would relieve the 
license applicant and the agency of the need to reconsider the impacts 
of the safety-approved element of a launch or reentry proposal on 
public health and safety and the safety of property. This would hold 
true as long as the proposed use falls within the terms of the safety 
approval. A safety approval would allow the FAA to apply findings 
related to safety approvals to different license applicants proposing 
to use the approved element.
Safety Approval Benefits
    The safety approval, separate from a license, would allow the 
safety approval holder to offer a launch vehicle, reentry vehicle, 
safety system, process, service, or personnel to prospective launch and 
reentry vehicle operators, including reusable launch vehicle (RLV) 
mission operators. Those licensees would not need added FAA review of 
and approval for that portion of the license application. The FAA would 
evaluate the proposed use of a safety-approved element for a proposed 
launch or reentry activity to ensure that use of the safety approval 
does not exceed its approved envelope.
Benefit to the Commercial Space Transportation Industry
    The nature of the commercial space transportation industry makes 
safety approvals attractive to prospective license applicants, launch 
and reentry vehicle operators, and other industry representatives. 
Major components, parts, or services are often used on different launch 
vehicles by different operators. Personnel involved in operational 
safety support such as telemetry, tracking, and range safety may 
support multiple launch or reentry operators.
    The safety approval would benefit various entities, including the 
holder of the safety approval, license applicants and licensees, and 
the FAA. Entities other than licensed vehicle operators could offer 
approved systems or services to license applicants or licensees who 
might wish to use these systems or services. This rule would also 
benefit prospective licensees by allowing them to use ``approved'' 
systems and services with a minimum of added documentation for the 
safety-approved systems and services in their license applications.
    An entity that receives a safety approval for a new system or 
process would be able to offer it to a licensee. Historically, the 
launch operator has borne the risk of proposing a new system or 
process. Many launch operators have not thought the benefits worth the 
cost to prove the safety of a new system or process because of the 
small number of launches. With the proposed safety approval process in 
place, the risk of approval would transfer to the prospective safety 
approval applicant, that is, the provider of the safety-approved system 
or service. This optional process could open the door to new providers 
offering these systems or services. The provider might elect to seek a 
safety approval and market the system or service to launch operators. 
This safety approval would allow for the potential use of an approved 
system or component on more than one specific launch or reentry 
vehicle. Therefore, safety approvals have the potential to make the 
industry more willing to adopt innovative systems and processes because 
costs of obtaining the approval would be shared, rather than borne by a 
single launch operator.
    Where appropriate, the FAA would coordinate its review of 
applications for safety approvals with other government agencies and 
especially with the operators of federal launch ranges. Currently, the 
FAA works closely with the U.S. Air Force because most FAA-licensed 
launches occur at ranges operated by the U.S. Air Force. However, other 
federal agencies may have an interest in an item under consideration 
for a safety approval. The FAA expects to consult with these agencies 
to minimize the possibility of a discrepancy between its evaluation and 
any later evaluation by another federal agency.
Benefit to the FAA
    The safety approval would also benefit the FAA because a portion of 
the documentation and analysis necessary for the FAA to make a 
licensing determination would have already been done as part of the 
safety approval process. The FAA would not have to conduct that 
analysis anew for each license applicant proposing to use a safety-
approved system or service. The safety approval would describe the 
system or service and contain the analyses undertaken in granting it.
    As part of its licensing responsibility, the FAA's Commercial Space 
Transportation Office (AST) would perform a safety review to ensure the 
proposed activity does not jeopardize public health and safety and the 
safety of property. To conduct a safety review, the FAA would require 
information about a launch license applicant's safety organization, 
vehicle design, and operational safety practices. The FAA makes maximum 
use of the information a license applicant must provide to a Federal 
launch range. If the launch is not from a Federal launch range, the 
license applicant must provide the FAA with information similar to what 
it would have had to provide to a Federal launch range. This would 
allow the applicant to demonstrate a level of safety equivalent to that 
practiced at a Federal launch range. If a safety approval has been 
issued, the FAA would use information previously submitted as the basis 
for a safety approval in its evaluation of a license application.
Need for a Regulation
    49 U.S.C. Subtitle IX, Commercial Space Transportation, Chapter 701 
provides that the FAA may issue procedures for obtaining a safety 
approval. The purpose of this regulation is to provide the rules and 
procedures for obtaining safety approvals, as envisioned by the 
statutory authority.

General Discussion of the Proposals

    The FAA has the responsibility to encourage, facilitate, and 
promote commercial space launches by the private sector. It has the 
authority to establish procedures for safety approvals of launch 
vehicles, reentry vehicles, safety systems, processes, services, or 
personnel for use in conducting licensed commercial space launch or 
reentry activities. In this rulemaking action, FAA proposes to add part 
414 to 14 CFR Chapter III. This part will lay out the requirements and 
procedures for seeking a safety approval.

Section-by-Section Discussion of the Proposals

Subpart A--General

Section 414.1 What is the basis and scope of this rule?

    This rulemaking would establish the procedures governing the safety 
approval application and FAA procedures for transferring an existing 
safety approval and renewing an existing safety approval. In addition, 
this rulemaking outlines the criteria we would apply to safety approval 
applications and the procedures for approving or denying a safety 
approval.
    Furthermore, this rulemaking identifies what would be eligible for 
safety approvals and the rights and

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privileges a safety approval would confer.

Section 414.3 To what does this rule apply?

    This rulemaking would apply to any applicant seeking a safety 
approval for a launch vehicle, reentry vehicle, safety system, process, 
service, or personnel. The safety approval would be used in the conduct 
of a licensed launch of a launch vehicle or the reentry of a reentry 
vehicle.

Section 414.5 What is a safety approval?

    A safety approval is an FAA determination that a licensed launch or 
reentry may be conducted using a launch vehicle, reentry vehicle, 
safety system, process, service, or personnel approved under this part. 
Use, when occurring within a defined and proven envelope, would not 
jeopardize public health and safety or the safety of property. It is 
not the equivalent of certification under a design standard, nor is it 
a warranty of performance.
    The safety approval is consistent with current FAA practice. In 
issuing a license, we routinely incorporate past findings from license 
evaluations for a particular applicant in evaluating applications for 
new licenses or renewals of licenses for that same applicant. A safety 
approval would allow us to apply findings related to safety approvals 
to different license applicants proposing to use the approved element. 
Therefore, a person offering a safety-approved vehicle, system, 
service, or personnel would enjoy the ability to offer approved ``off-
the-shelf'' systems or services. A launch operator wishing to use an 
approved system or service could rely on its approval for a particular 
use. License applicants for a launch or reentry license could propose 
to use an approved system or service. A license applicant for a launch 
or reentry license would only need to show that its proposed use is 
compatible with the use and limits specified in the safety approval and 
will work as intended within the entire launch or reentry system.
    The ability to rely on a safety approval would relieve the holder 
of supplying the specific information already provided in support of a 
safety approval. Safety approval holders would also not need to re-
qualify an approved system for each use as long as that use is 
consistent with launch or reentry safety, as defined in the safety 
approval parameters, terms, and conditions. However, the safety 
approval would not relieve the holder of proving the safety of any 
portion of the operation not covered by a safety approval. A safety 
approval of a launch vehicle, reentry vehicle, safety system, process, 
service, or personnel indicates the approved element could be used to 
support a launch or reentry proposal and is consistent with FAA review 
standards for licensing, that is, using the approved element would not 
jeopardize public health or safety or the safety of property. The 
safety approval meets the safety criteria for licensing a launch or 
reentry when used as intended and within the limits of the approval.
What is eligible for a safety approval?
    Any safety system or service integral to launch or reentry 
operations is a possible candidate for a safety approval, as well as 
the entire vehicle and personnel who perform key safety functions. For 
personnel, safety approvals would likely be a set of qualifications for 
a particular safety function (including crews and space flight 
participants). Candidates for a safety approval might include:
     Launch/reentry vehicles,
     Safety systems, for example, flight termination systems, 
both on-board and ground tracking systems, and vehicle health 
monitoring systems,
     Safety processes, for example, a method for installing 
flight termination system hardware,
     Approved testing procedures by system,
     Approved maintenance procedures,
     Approved flight-testing process/procedures,
     Flight safety analysis, such as wind weighting,
     Flight safety monitoring, and
     Personnel (qualification section), for carrying out such 
functions such as:
     Range safety officer,
     Safety personnel,
     Safety official,
     Radar operators,
     Flight safety officer,
     Crew,
     Space flight participants.
    We would review each application individually to determine whether 
to issue a safety approval for a proposed launch vehicle, reentry 
vehicle, safety system, process, service, or personnel based on 
existing performance standards, accepted practice, or other proposed 
criteria.

Section 414.7 Who must obtain a safety approval?

    No one would be required to obtain a safety approval. The program 
would be entirely voluntary.

Section 414.9 Who may apply for a safety approval?

    Anyone may apply for a safety approval. However, the applicant 
should be the individual or entity having the most direct 
responsibility, knowledge, and experience with the system or service 
for which a safety approval is sought. For instance, the manufacturer 
would be expected to be the applicant for a safety approval for 
hardware. A different applicant might seek a safety approval for the 
operation or maintenance of that same hardware.

Section 414.11 What rights are not conferred by a safety approval?

    While a safety approval confers distinct advantages to the holder, 
there are rights that would not come with a safety approval.
    (a) A safety approval would not confer any authority to conduct 
launch, reentry, or site operations.
    (b) A safety approval would not be a finding, guarantee, or 
warranty that a safety-approved element of a launch or reentry proposal 
will assure mission success or necessarily perform as represented by 
the manufacturer. The safety approval means that a launch or reentry 
may be conducted using the approved element without jeopardizing the 
safety of the uninvolved public. (The launch or reentry proposal, in 
its entirety must satisfy licensing and safety requirements contained 
in FAA Commercial Space Transportation regulations.)
    (c) Issuance of a safety approval would not relieve you of the 
responsibility to comply with all applicable requirements of law or 
regulation that may apply to its activities.
    (d) A safety approval would not be certification by the FAA of a 
vehicle or component design or of services involved in a licensed 
launch or reentry.
    (e) Issuance of a safety approval would not suggest that mission 
assurance will be achieved or that a launch system will not fail.
    (f) Finally, a safety approval would not be a finding of adequacy 
for purposes outside the stated limits of the safety approval.

Subpart B--Safety Approval Application

Section 414.13 What is the pre-application process?

    We would encourage you to consult with staff in the Commercial 
Space Transportation (AST) office before submitting an application. 
This would enable you and AST to identify any potential safety issues 
during the

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planning stages of your safety approval application. We could tell you 
whether we believe the proposal is eligible and suitable for a safety 
approval. We could also provide guidance about the specific information 
and detail required. If your application required changes, they would 
be easier and less costly to make at this stage than midway through the 
process.

Section 414.15 How will the FAA determine whether something is eligible 
and suitable for a safety approval?

    We would consider several factors when determining the eligibility 
and suitability of something proposed for a safety approval. The 
following table details some of the major factors.
    Identity of the applicant:
     Individuals or entities who manufacture and offer the 
applicant launch vehicles or reentry vehicles or launch or reentry 
services.
     Individuals or entities who design or develop safety 
systems or processes.
     Personnel who perform critical safety roles used to 
conduct a licensed launch or reentry.
    Knowledge of the applicant about systems or services:
     Ability to show the design and operation qualifies for the 
applicant a safety approval.
    [ctrcir] A manufacturer would apply for a safety approval of a 
launch vehicle.
    [ctrcir] A different applicant, with performance expertise and 
qualifications, would apply for a safety approval to operate the 
hardware.
    Standards for eligibility:
    Measure against existing performance standards, eligibility 
accepted practice, or other proposed criteria.

Section 414.17 How do I prepare an application?

    This section details the information you would include in your 
application for a safety approval. Besides administrative and technical 
information, we would request you cite relevant performance standards 
and criteria against which we would evaluate the system or service 
proposed for a safety approval. An acceptable standard allows an 
applicant to show that public health and safety and the safety of 
property would be maintained to the level of the safety criteria named 
in FAA regulations. The scope of the approval would be based on the 
scope of the demonstration. For example, for a radar tracking system 
integral to range safety, you might demonstrate the ability of the 
radar to track launch vehicles as a function of radar cross section, 
vehicle velocity, acceleration, and trajectory along with notable 
ambient effects, such as weather conditions. The demonstration and, 
therefore, the scope of the applicability of the safety approval would 
not be specific to a particular vehicle. Although it would be mutually 
beneficial to the safety approval applicant and the FAA to create a 
safety approval that was not specific to a particular vehicle, 
sometimes that approach may not be possible. It is always up to you to 
determine whether the cost of obtaining a safety approval is 
worthwhile. This is especially true given that we will incorporate 
prior findings from a past licensing determination in issuing a new 
license for essentially the same or very similar launch activity.

Section 414.19 How can I assure confidentiality of the information I 
submit on a safety approval application?

    We appreciate that your safety approval application might consist 
of some trade secrets, proprietary information, or other confidential 
information. Although we cannot assure confidentiality because the 
application, in whole or in part, may be subject to disclosure under 
certain laws, for example, the Freedom of Information Act, we try to 
maintain strict confidentiality. Our experience with license 
applications has demonstrated our commitment to confidentiality. This 
rulemaking would outline the steps to follow to protect trade secrets, 
proprietary commercial or financial data, or any other information you 
regard as confidential. Some of these steps are:
     Make a written request for confidentiality at the time you 
submit information or data to the FAA.
     Mark confidential information or data with an identifying 
legend, such as ``Proprietary Information,'' ``Proprietary Commercial 
Information,'' ``Trade Secret,'' or ``Confidential Treatment 
Requested.''
     Provide a cover sheet when marking is not practical.
     Do not propose safety standards that you consider secret, 
proprietary, and confidential. They cannot be used as a basis for 
issuance of safety approval.

Section 414.21 How does FAA handle an initial application?

    If there has been pre-application consultation, we would conduct an 
initial screening to determine the system or service under 
consideration for a safety approval. In all cases, we would then 
determine if the criteria you cited are an acceptable basis for 
evaluating the proposed system or service.
    Once we complete the screening, we would tell you if the 
application is complete or incomplete. If it is complete, we would 
start the reviews or evaluations required for a safety approval 
determination. If it is incomplete, we would tell you the reasons we 
are rejecting the application. You could attempt to correct any 
deficiencies and resubmit your application for consideration.

Section 414.23 Is there a specified timeframe for the review period?

    We propose no review period deadlines for issuance or denial of a 
safety approval. There are no legislative requirements to make a safety 
approval determination within a specified time.

Section 414.25 How do I maintain the continued accuracy of my 
application and provide supplemental information or amendments?

    We would expect that companies may continue development work on 
systems and services after we accept an application but before we issue 
a safety approval. If improvements in the system or service should 
occur during the safety approval application process, you would submit 
a statement providing the new or corrected information. You would then 
need to follow the steps outlined in Sec.  414.17 to recertify the 
accuracy and completeness of the application. It would always be your 
responsibility to maintain the accuracy of your application. Failure to 
do so would be a sufficient basis for denial of a safety approval 
application.
    Section 414.41 proposes the requirements for maintaining the 
accuracy of an application after we issue a safety approval.
    You could amend or supplement a safety approval application anytime 
before we issue or transfer a safety approval.

Subpart C--Issuance of a Safety Approval

Section 414.27 What are the technical criteria for issuing a safety 
approval?

    The FAA considers that any of the following may provide an adequate 
basis on which we can issue a safety approval; however, each case must 
be assessed individually before we can conclude that a proposed system 
or service is suitable and eligible for a safety approval. While 
government and industry standards are focused on design and 
manufacture, a safety approval is based on whether the proposed use 
satisfies launch safety criteria (risk acceptability). Even if a

[[Page 32197]]

standard is satisfied, a safety approval may not result because the 
proposed use does not satisfy risk acceptability specified in FAA 
regulations. In identifying and assessing suitable criteria, we would 
apply the following hierarchy:
    (1) FAA or other appropriate Federal regulations,
    (2) Government-developed or adopted standards,
    (3) Industry consensus performance-based criteria or standard, and 
finally
    (4) Applicant-developed criteria.
Government-Developed Standard
    Government-developed standard means a standard developed by a 
government agency other than the FAA's Commercial Space Transportation 
office. Examples of acceptable Government-developed standards are MIL-
STD-1522B ``Design and Operations of Pressurized Missile and Space 
Systems,'' DoD-E-83578, MIL-STD-1576, and MIL-I-23659 that define in 
detail the necessary verifications for ordnance items in safety 
critical applications.
Industry Consensus Standard
    Consensus standard means, for the purpose of a safety approval, an 
industry-developed consensus performance standard that addresses these 
four topics.
    (1) Design and performance. The consensus standard would govern 
systems, system components, parts design, and minimum performance. An 
example of a commonly used design and performance standard for 
pressurized space systems is AIAA S-080-1998. The safety approval 
applicant also may choose to use other nationally recognized design and 
performance standards for the consensus standards.
    (2) Quality assurance. The consensus standard would govern the 
necessary quality assurance system requirements used in the manufacture 
of systems, system components, and parts. The standard would establish 
quality assurance procedures for manufacturing the individual system, 
system component, or part so that they meet minimum safety standards 
and are built as intended.
    (3) Production acceptance. The consensus standard would govern the 
necessary characteristics of the production acceptance test 
specifications used in manufacturing systems, system components, and 
parts. A suitable standard would identify the required final product 
acceptance test procedures that ensure a completed product is safe and 
performs as intended.
    (4) Safety monitoring. The consensus standard would govern the 
characteristics of the manufacturer's continued operational safety 
monitoring system. The consensus standard would establish reference 
system requirements for monitoring and correcting safety issues. A 
suitable standard would include a process by which systems, system 
components, and parts users would be told of instances that prevent 
hazards to safety and the corrective action. In addition, it would 
identify processes that would ensure manufacturers learn about problems 
experienced in servicing of systems, systems components, and parts.
    A suitable consensus standard would also establish the procedures 
by which the industry reviews and updates the consensus standards.
Applicant-Developed Criteria
    Applicant-developed criteria are performance criteria developed or 
customized by the manufacturer intending to produce the system, system 
component, or part. The applicant-developed criteria should define:
    (1) Design and minimum performance,
    (2) Quality assurance system requirements,
    (3) Production acceptance test specifications, and
    (4) Continued operational safety monitoring system characteristics.
    FAA would make the proposed applicant-developed criteria available 
to the public as part of the approval process. We would seek public 
comment on the acceptability and adequacy of the criteria as a proposed 
performance standard for issuing a safety approval. The FAA would not 
accept an application for a safety approval unless a suitable criterion 
exists or could be determined, and that criterion could be made public. 
The FAA does not propose to develop or issue standards. We would merely 
propose the criteria to evaluate an item for which an applicant seeks a 
safety approval.
FAA Review of Criteria
    The FAA would base its determinations for safety approvals on 
performance standards that allow the FAA to find that a launch or 
reentry may be conducted with the safety-approved element under 
existing licensing criteria and safety standards. Technical criteria 
designed to achieve FAA safety requirements may exist elsewhere in 
other Government directives, such as EWR-127-1. Sometimes, there may be 
no detailed written Government standard, but Federal launch ranges have 
followed a clear practice that launch participants accept as ``de 
facto'' standards. The FAA would rely on historical practice where it 
has been shown to protect public health and safety and the safety of 
property.

Section 414.29 What are the terms and conditions of a safety approval?

    The FAA would issue safety approvals to those applicants who meet 
all the requirements under this chapter. The scope of the approval 
would depend on the scope of the demonstration. Where necessary, we 
would determine specific terms and conditions of a safety approval 
individually, consistent with the intended use of the safety-approved 
launch or reentry element. Those terms and conditions would include 
reporting requirements. Reporting requirements would be similar to 
those for licenses. They would be tailored to the particular safety 
approval. For example, a safety approval holder who manufactures a 
component might be required to report the results of quality assurance 
testing. The holder of a safety approval would be required to report 
major failures of the system when used in a non-FAA licensed activity.
    We would grant safety approvals for five years, consistent with the 
current license term for launch and reentry operator licenses, subject 
to renewal. We considered granting safety approvals for an indefinite 
period of time. However, even though the holder of the safety approval 
is required to maintain the accuracy of its application, it is possible 
for changes to occur that might affect the safety approval. Five years 
is a reasonable interval in which to examine the approval to ensure 
that changes have been accurately reflected in the application and that 
external factors (for example, a modified standard) have not negated 
the grounds on which we granted the approval.
    The license applicant might discover during the licensing process 
that changes have occurred invalidating the safety approval. A five-
year renewal for a safety approval makes such an unexpected discovery 
less likely. In addition, the FAA and industry would gain experience 
during the five-year term of safety approval that could make modifying 
the safety approval advisable. Therefore, FAA believes that a formal 
reaffirmation of the currency of the information in the application 
provides an opportunity for the safety approval holder to review its 
system or service and report any changes that might have gone 
unreported. The FAA could then evaluate the changes to ensure the 
safety

[[Page 32198]]

approval remains valid and make any changes that might be required to 
the terms and conditions of the safety approval.
    Because a safety approval has no meaning independent of its use in 
facilitating the FAA licensing process, there would always be an 
opportunity to affirm its continued validity during the licensing 
review process. Also, because the holder of a safety approval would be 
required to maintain the currency of information in its application for 
the approval, the approval would only be valid for the representations 
made in the completed application. FAA would have to approve material 
changes for the safety approval to remain valid with those changes.

Section 414.31 How would I incorporate a safety approval into a license 
application?

    The launch or reentry license applicant would need to reference the 
safety approval and show that its use in the launch of the particular 
launch vehicle or the reentry of a particular reentry vehicle falls 
within the parameters for which the safety approval was granted. The 
FAA would expect that, in arranging to obtain hardware, processes, or 
services, the license applicant would be in contact with the holder of 
the safety approval. The license applicant could obtain detailed 
information, including proprietary information from the safety approval 
holder, in order to verify that the proposed use falls within the 
safety approval parameters. We would not make the proprietary data 
included in your application public.

Section 414.33 What is the procedure when the FAA denies a safety 
approval application or the transfer of a safety-approval or suspends, 
modifies, or revokes a safety approval?

    First, we would tell you, in writing, that we have denied your 
safety approval application or request to transfer a safety approval or 
that we have suspended, modified, or revoked your safety approval and 
state the reasons.
    You may try to correct any deficiencies identified by the FAA and 
request reconsideration of the revised application or of the FAA action 
to suspend, modify, or revoke your safety approval.
    You may also apply for administrative review of a denial in the 
same manner that an applicant for a license and a proposed transferee 
of a license or an owner or operator of a payload may currently apply 
for a determination under Part 406.

Section 414.35 How do I renew a safety approval?

    The safety approval holder could apply for a renewal of the safety 
approval just as a licensee can apply for a renewal of a license. You 
should submit the renewal application at least 90 days before the 
approval's expiration date. The application may reference information 
contained in the original application as part of the renewal 
application. You should describe any proposed changes.

Section 414.37 How is compliance with the terms and conditions of a 
safety approval monitored?

    To maintain the validity of a safety approval, a safety approval 
holder would have to allow access by and cooperate with Federal 
officers or employees or other individuals authorized by the FAA, to 
observe safety-approved activities. These activities include 
manufacturing, production, testing facilities, or assembly sites used 
by a safety approval holder or any contractor in the production, 
assembly, or testing of a launch or reentry vehicle or a safety system 
associated with the launch or reentry of such a vehicle. Officials 
might also observe a safety-approved process or service, including 
training programs and personnel qualifications.
    We considered the need for monitoring activities related to safety 
approvals. We have authority to monitor these types of activities when 
they are associated with FAA licensed launch, reentry, or site 
operations. However, we have not monitored these activities absent a 
license. Although activities performed before issuing a license might 
be critical to safety, the FAA has relied solely on post-licensing 
monitoring. We verify the satisfactory performance of any safety 
critical activities before issuing a license. However, we believe that 
a safety approval is a different situation. By voluntarily obtaining a 
safety approval, the approval holder would set itself up to offer 
hardware, processes, or services to others, and become a contractor to 
a licensee. By monitoring these activities, as necessary, we would be 
provided some assurance about the continued validity of the safety 
approval. Therefore, there would be a benefit to the holder and to the 
potential user under a licensed activity.

Section 414.39 How would the FAA modify, suspend or revoke a safety 
approval?

Modifying a Safety Approval
    Safety approval modifications could occur in two ways.
     The safety approval holder applies to the FAA to modify 
the safety approval.
     FAA initiates the modification when it finds the 
modification is consistent with the requirements of the Act.
    Any modification made under this section would take effect 
immediately and continue in effect during any review of the action 
under part 406 of these regulations.
Suspending or Revoking a Safety Approval
    Conditions could arise when the FAA would suspend or revoke a 
safety approval issued under this chapter. The following list gives 
examples of those conditions:
     Safety approval holder fails to comply with any 
requirement of the Act.
     Safety approval holder fails to comply with any regulation 
issued under the Act.
     Safety approval holder fails to comply with a term or 
condition of the safety approval or any other applicable requirement.
     Public health and safety or safety of property so 
requires.
    Any modification made under this section would take effect 
immediately and continue in effect during any review of the action.
    Whenever the FAA would take any action under this section, we would 
immediately tell you in writing of our finding and the action that we 
have taken or propose to take on such finding.

Section 414.41 How do I maintain the continued accuracy of the 
application that supports a safety approval and modify a safety 
approval?

    Once you hold a safety approval for a system or service, you would 
be responsible for maintaining the accuracy of representations 
contained in the safety approval application for the entire term of the 
safety approval. If you make material changes in the safety-approved 
system or service that could affect public health and safety or safety 
of property, you would have to apply to the FAA to modify the safety 
approval.
    The FAA anticipates that safety approval holders would upgrade 
their systems and services. As technology changes, the safety-approved 
system or

[[Page 32199]]

service is likely to change. However, you would prepare and submit an 
application to modify a safety approval following Sec.  414.17 of this 
chapter. You would have to point out any part of your safety approval 
application that would be changed or affected by a proposed 
modification.
    We would determine whether the safety approval remains valid 
because of a proposed modification. We would approve a modification 
that satisfies the requirements set forth in this part. On approval of 
a modification, we would issue you a written approval stating terms or 
conditions of the safety approval that are changed, added, or deleted.

Section 414.43 For how long do I maintain any safety approval records?

    The FAA considers maintaining the history of a safety approval 
necessary. Therefore, it would require you to maintain all records 
necessary to verify that activities are conducted following 
representations contained in the application for the valid period of 
the safety approval, plus one year. The valid period would include the 
original term of the safety approval, plus all renewal periods. Of 
course, you may not be aware of all licenses that use a particular 
safety approval. Hence, you should seek advice from the FAA before 
disposing of any records for an expired safety approval.

Section 414.45 How would I transfer a safety approval?

    Either the current holder or the prospective transferee could 
request the FAA to transfer a safety approval provided the other party 
agrees to the transfer and that the prospective transferee meets the 
eligibility criteria for a safety approval.
    There may be cases when such a transfer is justified. For example, 
one company may acquire some or all of the assets of another company. 
You would need to submit a safety approval application following Sec.  
414.17 and meet the requirements of Sec.  414.27. You may incorporate 
by reference any relevant portions of the application that resulted in 
the safety approval whose transfer you seek. We would transfer a safety 
approval to an applicant who has obtained all the approvals and 
determinations required under this chapter for a safety approval. In 
conducting its reviews and issuing approvals and determinations, the 
FAA may incorporate by reference any findings made as part of the 
record to support the initial safety approval determination. We might 
modify a safety approval to reflect any changes necessary because of a 
safety approval transfer.

Section 414.47 How will FAA make public the criteria by which a safety 
approval was issued?

    Because the FAA proposes to issue safety approvals individually, we 
believe it is important to inform the public of the basis for issuing a 
specific safety approval.
    The FAA will publish in the Federal Register its intent to use 
certain performance-based criteria in granting a safety approval and 
its reasons for accepting it. Where the criteria include a commonly 
known industry standard, the public can request a copy of the standard 
from the sponsoring entity, for example, American Institute of 
Aeronautics and Astronautics (AIAA), American Society for Testing and 
Materials (ASTM), and American Society of Mechanical Engineers (ASME). 
Publication of the criteria is for information only, and not for 
comment; the public may write the FAA and offer suggestions.

Paperwork Reduction Act

    Information collection requirements associated with this NPRM have 
been approved previously by the Office of Management and Budget (OMB) 
under the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. 
3507(d)) and have been assigned OMB Control Numbers 2120-0608 and 2120-
0643. These approvals are applicable because this NPRM merely permits 
consideration of a portion of the activity covered by the cited 
documents. In other words, a part of the information required for FAA-
licensed activity is collected for the safety approval and does not 
need to be collected again as part of the license application.

International Compatibility

    In keeping with U.S. obligations under the Convention on 
International Civil Aviation, it is FAA policy to comply with 
International Civil Aviation Organization (ICAO) Standards and 
Recommended Practices to the maximum extent practicable. The FAA has 
determined that there are no ICAO Standards and Recommended Practices 
that correspond to these proposed regulations.

Executive Order 12866 and DOT Regulatory Policies and Procedures

    Executive Order 12866, Regulatory Planning and Review, directs the 
FAA to assess both the costs and the benefits of a regulatory change. 
We are not allowed to propose or adopt a regulation unless we make a 
reasoned determination that the benefits of the intended regulation 
justify the costs. Our assessment of this rulemaking indicates that its 
economic impact is minimal because safety approvals under the proposed 
rulemaking are not mandatory so there would be no costs imposed on 
industry. The FAA anticipates that launch license applicants would only 
pursue a safety approval if they believe they can save money by using a 
safety approval. If not they would continue to obtain approval through 
the licensing determination. The proposed rule might result in slight 
costs to the government, but more likely it would result in government 
cost savings.
    Because the costs and benefits of this action do not make it a 
``significant regulatory action'' as defined in the Order, we have not 
prepared a ``regulatory evaluation,'' which is the written cost/benefit 
analysis ordinarily required for all rulemaking under the DOT 
Regulatory Policies and Procedures. We do not need to do a full 
evaluation where the economic impact of a rule is minimal.

Economic Assessment, Regulatory Flexibility Determination, Trade Impact 
Assessment, and Unfunded Mandates Assessment

    Proposed changes to Federal regulations must undergo several 
economic analyses. First, Executive Order 12866 directs each Federal 
agency shall propose or adopt a regulation only upon a reasoned 
determination that the benefits of the intended regulation justify its 
costs. Second, the Regulatory Flexibility Act of 1980 requires agencies 
to analyze the economic impact of regulatory changes on small entities. 
Third, the Trade Agreements Act (19 U.S.C. 2531-2533) prohibits 
agencies from setting standards that create unnecessary obstacles to 
the foreign commerce of the United States. In developing U.S. 
standards, this Trade Act requires agencies to consider international 
standards and, where appropriate, that they be the basis of U.S. 
standards. Fourth, the Unfunded Mandates Reform Act of 1995 (Pub. L. 
104-4) requires agencies to prepare a written assessment of the costs, 
benefits, and other effects of proposed or final rules that include a 
Federal mandate likely to result in the expenditure by State, local, or 
tribal governments, in the aggregate, or by the private sector, of $100 
million or more annually (adjusted for inflation).
    The Department of Transportation Order DOT 2100.5 prescribes 
policies and procedures for simplification, analysis, and review of 
regulations. If it

[[Page 32200]]

is determined that the expected cost impact is so minimal that a 
proposal does not warrant a full evaluation, this order permits a 
statement to that effect and the basis for it be included in the 
preamble and a full regulatory evaluation need not be prepared.
    The 1998 amendments to the Commercial Space Launch Act of 1984 
added authority for establishing procedures for ``safety approvals'' of 
launch vehicles, reentry vehicles, safety systems, processes, services, 
or personnel that may be used in conducting licensed commercial space 
launch or reentry activities. (See Commercial Space Launch Act of 1998, 
Pub. L. 105-303.) This rulemaking would establish those procedures. The 
rule would enable license applicants to use safety-approved elements 
for proposed launch or reentry activities without having to resubmit 
certain information. The existence of a safety approval could 
streamline the licensing process. The proposed rule would define the 
requirements for obtaining these voluntary safety approvals.
    A key element of the proposed rule is that the safety approvals are 
strictly elective. A safety approval would enable the U.S. commercial 
space transportation industry to select ``approved'' systems, 
processes, services, and personnel, possibly reducing the information 
required for a license application. Because safety approvals under the 
proposed rulemaking are not mandatory, the FAA anticipates that 
applicants would only pursue a safety approval if they believed the 
benefits outweighed the costs.
    The proposal does not impose costs on the license applicant, 
because the applicant is free to continue to obtain approval through 
the licensing determination. There might be cost savings to license 
applicants because the cost of using safety-approved elements could be 
less than the cost the licensee might incur in seeking approval 
directly through the licensing determination. This is because a safety 
approval could be used for multiple launch licenses without added FAA 
approval of that portion of the license application other than an 
evaluation of its intended use relative to the proposed activity.
    The proposed rule might result in additional cost to the Federal 
government. This might occur if a company obtains a safety approval 
from the FAA, but does not use it. In this case, the FAA would have 
spent the time for naught in issuing the safety approval. The FAA 
expects this to be unlikely, as companies would not seek to obtain 
safety approvals unless the likelihood of selling their approved 
product to a licensee is very high.
    On the other hand, the proposed rule might result in cost savings 
to the government. If the safety approval is used for several licenses, 
then the FAA could apply findings related to safety approvals to 
different license applicants proposing to use the approved element.
    In view of the possible minor additional cost to the Federal 
government of the proposed rule and the anticipated benefits of the 
rule, the FAA has determined that the proposed rule would be cost-
justified. Since this proposed rule is voluntary, the expected outcome 
would be to have a minimal impact with positive net benefits, and a 
regulatory evaluation was not prepared. The FAA requests comments with 
supporting justification regarding the FAA determination of minimal 
impact.

Regulatory Flexibility Determination

    The Regulatory Flexibility Act of 1980 (RFA) establishes ``as a 
principle of regulatory issuance that agencies shall endeavor, 
consistent with the objective of the rule and of applicable statutes, 
to fit regulatory and informational requirements to the scale of the 
business, organizations, and governmental jurisdictions subject to 
regulation.'' To achieve that principle, the RFA requires agencies to 
solicit and consider flexible regulatory proposals and to explain the 
rationale for their actions. The RFA covers a wide-range of small 
entities, including small businesses, not-for-profit organizations and 
small governmental jurisdictions.
    Agencies must perform a review to determine whether a proposed or 
final rule will have a significant economic impact on a substantial 
number of small entities. If the agency determines that it will, the 
agency must prepare a regulatory flexibility analysis as described in 
the RFA.
    However, if an agency determines that a proposed or final rule is 
not expected to have a significant economic impact on a substantial 
number of small entities, section 605(b) of the RFA provides that the 
head of the agency may so certify and a regulatory flexibility analysis 
is not required. The certification must include a statement providing 
the factual basis for this determination, and the reasoning should be 
clear.
    The proposed rule does not impose costs on industry because it 
establishes a wholly voluntary process as an alternative to the current 
licensing process. Consequently, the FAA certifies that the rule will 
not have a significant economic impact on a substantial number of small 
entities.

Trade Impact Assessment

    The Trade Agreement Act of 1979 prohibits Federal agencies from 
establishing any standards or engaging in related activities that 
create unnecessary obstacles to the foreign commerce of the United 
States. Legitimate domestic objectives, such as safety, are not 
considered unnecessary obstacles. The statute also requires 
consideration of international standards and, where appropriate, that 
they be the basis for U.S. standards. The FAA has assessed the 
potential effect of this proposed rule and determined that since it 
would not impose standards on industry and because it establishes a 
wholly voluntary program, it would not create an unnecessary obstacle 
to the foreign commerce of the United States.

Unfunded Mandates Assessment

    The Unfunded Mandates Reform Act of 1995 (the Act) is intended, 
among other things, to curb the practice of imposing unfunded Federal 
mandates on State, local, and tribal governments. Title II of the Act 
requires each Federal agency to prepare a written statement assessing 
the effects of any Federal mandate in a proposed or final agency rule 
that may result in an expenditure of $100 million or more (adjusted 
annually for inflation) in any one year by State, local, and tribal 
governments, in the aggregate, or by the private sector; such a mandate 
is deemed to be a ``significant regulatory action.'' The FAA currently 
uses an inflation-adjusted value of $120.7 million in lieu of $100 
million.
    This proposed rule does not contain such a mandate. The 
requirements of Title II do not apply.

Executive Order 13132, Federalism

    The FAA has analyzed this proposed rule under the principles and 
criteria of Executive Order 13132, Federalism. We determined that this 
action would not have a substantial direct effect on the States, on the 
relationship between the national Government and the States, or on the 
distribution of power and responsibilities among the various levels of 
government, and ther