C Advisory U.S. Department of Transportation Federal Aviation Circular Administration Subject: Guidance on Submitting a Complete Date: 12-18-2023 AC No: 413.11 and Enough and Complete Application for a Initiated By: AST-1 413.13-1 Vehicle Operator License This Advisory Circular (AC) provides guidance on demonstrating compliance with the requirements of completing a license application in accordance with Title 14 of the Code of Federal Regulations (14 CFR) §§ 413.11 and 413.13. It details what constitutes a complete enough submission for application acceptance and a complete submission of an application for a license determination under 14 CFR part 450.
The Federal Aviation Administration (FAA) considers this AC an accepted means of compliance (MOC) for complying with the regulatory requirements of §§ 413.11 and 413.13.
This guidance is not legally binding in its own right and will not be relied upon by the FAA as a separate basis for affirmative enforcement action or other administrative penalty. Conformity with the guidance is voluntary only and nonconformity will not affect rights and obligations under existing statutes and regulations.
If you have suggestions for improving this AC, you may use the Advisory Circular Feedback form at the end of this AC.
Daniel P. Murray Executive Director, Office of Operational Safety Commercial Space Transportation 1
CONTENTS
1 Purpose4
2 Applicability5
3 Applicable Regulations and Related Documents6
4 Definition of Terms8
5 Acronyms8
6 Means of Compliance9
7 Scope of a Vehicle Operator License11
7.1 § 450.3 Scope of a vehicle operator license11
8 Requirements to Obtain a Vehicle Operator License13
8.1 § 450.41 Policy review and approval13
8.2 § 450.43 Payload review and determination14
8.3 § 450.45 Safety review and approval15
8.4 § 450.47 Environmental review18
9 System Safety Program20
9.1 § 450.103 System safety program20
10 Hazard Control Strategies23
10.1 § 450.107 Hazard control strategies determination23
10.2 § 450.108 Flight abort24
10.3 § 450.109 Flight hazard analysis26
10.4 § 450.110 Physical containment28
10.5 § 450.111 Wind weighting29
11 Flight Safety Analysis30
11.2 FSA Application Requirements30
11.3 FSA Methodology Description31
11.4 FSA MOC for a Single Planned Flight Profile34
11.5 § 450.115 Flight safety analysis methods35
11.6 § 450.117 Trajectory analysis for normal flight35
11.7 § 450.119 Trajectory analysis for malfunction flight36
11.8 § 450.121 Debris analysis37
11.9 § 450.123 Population exposure analysis38
11.10 § 450.131 Probability of failure analysis39
11.11 § 450.133 Flight hazard area analysis39
11.12 § 450.135 Debris risk analysis40
11.13 § 450.137 Far-field overpressure blast effects analysis41
11.14 § 450.139 Toxic hazards for flight44
12 Prescribed Hazard Controls for Safety-Critical Systems46
12.1 § 450.141 Computing systems46
12.2 § 450.143 Safety-critical system design, test, and documentation47
12.3 § 450.145 Highly reliable flight safety system49
13 Other Prescribed Hazard Controls51
13.1 § 450.147 Agreements51
13.2 § 450.149 Safety-critical personnel qualifications52
13.3 § 450.151 Work shift and rest requirements52
13.4 § 450.153 Radio frequency management53
13.5 § 450.155 Readiness54
13.6 § 450.161 Control of hazard areas55
13.7 § 450.163 Lightning hazard mitigation56
13.8 § 450.165 Flight commit criteria57
13.9 § 450.167 Tracking58
13.10 § 450.171 Safety at end of launch58
13.11 § 450.173 Mishap plan‒reporting, response, and investigation requirements59
13.12 § 450.175 Test-induced damage60
13.13 § 450.177 Unique safety policies, requirements, and practices61
14 Ground Safety63
14.2 § 450.179 Ground safety – general64
14.3 § 450.181 Coordination with a site operator64
14.4 § 450.183 Explosive site plan64
14.5 § 450.185 Ground hazard analysis65
14.6 § 450.187 Toxic hazards mitigation for ground operations66
14.7 § 450.189 Ground safety prescribed hazard controls68
1 PURPOSE.
1.1 This Advisory Circular (AC) provides guidance on demonstrating compliance with the requirements of completing a license application in accordance with Title 14 of the Code of Federal Regulations (CFR) §§ 413.11 and 413.13. This document details what constitutes a complete enough submission for application acceptance and a complete submission of an application for a license determination under 14 CFR part 450.
1.1.1 This document is intended as a multi-purpose application checklist for determining the materials necessary for a “complete enough” and “complete” application submission (discussed below). The checklist will indicate application materials that must be included for the FAA to accept an application and begin the 180-day review in accordance with §§ 413.11 and 413.13, respectively. The FAA’s acceptance of an application as “complete enough” to begin review does not mean the FAA has determined that the application is complete. The checklist in its entirety constitutes a complete application upon which the FAA can make a final determination. However, once an application is deemed as complete, it does not mean that the FAA has approved or determined the application materials adequately demonstrate compliance. The checklist contains objective criteria to determine whether the application materials for each regulation are complete, posed as a set of objective “yes or no” questions that will facilitate prompt license processing. In some cases, the questions are nearly identical to the application requirements in the regulation; in others, the requirements are parsed in more detail to help applicants provide complete submittals. In addition, a narrative discussion for each application requirement is intended to be helpful for an applicant to consider when preparing its application. These narratives are quite brief; other Advisory Circulars specific to different aspects of the regulation provide much more discussion to help applicants understand and comply with the regulations. The narratives provide beneficial topics to be discussed as part of the pre-application process.
1.1.2 The FAA intends to evaluate license applications in three phases to efficiently process applications. The phases correspond to the logical dependency of the regulation sections
(i.e., some sections produce data that is necessary for subsequent sections). The application submissions to be evaluated during Phases 2 and 3 are typically available later in the process as vehicle testing concludes and operational documentation matures closer to flight. The FAA will not begin its evaluation of a phase until all materials identified for that phase are complete. This phased approach is intended to provide greater transparency for the applicant as to the progress of the evaluation. This document explains what is expected during each phase.
1.1.3 Phase 1 requirements include all application submissions necessary for application acceptance, including the FAA’s acceptance of the means of compliance (MOC) in accordance with § 450.35. The term “acceptance” is used differently with regard to MOC. FAA acceptance of a MOC is an FAA approval of the MOC rather than acceptance of an application for review. MOC acceptance for the regulations referenced in § 450.35 may take an extended timeframe during pre-application consultation unless the applicant uses a previously accepted MOC. The FAA will only accept an application 4
when it is complete enough for the FAA to begin its evaluation of the license application in accordance with § 413.11.
1.1.4 Phase 2 requirements should be submitted within 30 days of application acceptance and Phase 3 requirements within 60 days of application acceptance to avoid tolling of the application review period or license denial. At any point in the license review period, the FAA may identify regulatory deficiencies in the application (e.g., if review in a later phase identifies that a previous review was incorrect).
1.1.5 All submitted documents must comply with the requirements in § 450.45(e)(1), should use formatting suitable for technical reports, and should be free from grammatical and cross-referencing errors. All materials should include unambiguous information to track revisions.
1.2 Level of Imperatives.
This AC presents one, but not the only, acceptable means of compliance with the associated regulatory requirements. The FAA will consider other means of compliance that an applicant may elect to present. In addition, an operator may tailor the provisions of this AC to meet its unique needs, provided the changes are accepted as a means of compliance by the FAA. Throughout this document, the word “must” characterizes statements that directly follow from regulatory text and therefore reflect regulatory mandates. The word “should” describes a requirement if electing to use this means of compliance; variation from the provisions of this AC is possible, but must satisfy the regulation to constitute an alternative means of compliance. The word “may” describes variations or alternatives allowed within the accepted means of compliance set forth in this AC.
2 APPLICABILITY.
2.1 The guidance in this AC is for launch and reentry vehicle applicants and operators required to comply with 14 CFR part 450, Launch and Reentry License Requirements.
The guidance in this AC is for those seeking a launch or reentry vehicle operator license and a licensed operator seeking to renew or modify an existing vehicle operator license.
2.2 The material in this AC is advisory in nature and does not constitute a regulation. This guidance is not legally binding in its own right, and the FAA will not rely upon this guidance as a separate basis for affirmative enforcement action or other administrative penalty. Conformity with this guidance document (as distinct from existing statutes and regulations) is voluntary only, and nonconformity will not affect rights and obligations under existing statutes and regulations.
2.3 The material in this AC does not change or create any additional regulatory requirements, nor does it authorize changes to, or deviations from, existing regulatory requirements.
3 APPLICABLE REGULATIONS AND RELATED DOCUMENTS.
3.1 Applicable United States Code (U.S.C.) Statute.
• 51 U.S.C. Subtitle V, Chapter 509, Commercial Space Launch Activities.
3.2 Related FAA Commercial Space Transportation Regulations.
The following 14 CFR regulations must be accounted for when showing compliance with 14 CFR part 450. The full text of these regulations can be downloaded from the U.S. Government Printing Office e-CFR. A paper copy can be ordered from the Government Printing Office, Superintendent of Documents, Attn: New Orders, P.O. Box 371954, Pittsburgh, PA, 15250-7954.
• Section 401.7, Definitions.
• Part 413, License Application Procedures.
• Part 440, Financial Responsibility.
• Part 450, Launch and Reentry License Requirements.
• Part 460, Human Space Flight Requirements (if applicable).
Note: FAA Advisory Circulars are available through the FAA website, http://www.faa.gov/.
3.3 Related Industry Documents.
• Department of Defense Modeling and Simulation (M&S) Verification, Validation, and Accreditation (VV&A), Instruction Number 5000.61 Change 1, dated October 15, 2018.
• FAA United States Coast Guard Letter of Intent (LOI) Policy Statement.
https://www.faa.gov/space/legislationregulationguidance/uscg-letter-intent-loipolicy-statement
• Federal Aviation Administration (FAA), "Licensing Process," dated April 6, 2020, available from:
https://www.faa.gov/space/streamlined_licensing_process/licensing_process/.
• DOT FAA Statement of Policy on Waiving Ground Safety Regulations at Cape Canaveral Air Force Station, Vandenberg Air Force Base, Wallops Flight Facility, and Kennedy Space Center, effective November 3, 2020.
• National Aeronautics and Space Administration (NASA), NASA Examples of Information to Expedite Review of Commercial Operator Applications to Regulatory Agencies, dated July 16, 2021, https://www.nasa.gov/recommendationscommercial-space-operators/.
• Memorandum of Agreement between The Department of the Air Force and the Federal Aviation Administration for Launch and Reentry Activity on Department of the Air Force Ranges and Installation Agreement Number FAA-DAF-SLR-2021.0 6
• Risk Committee, Range Safety Group, Range Commanders Council, Flight Termination Systems Commonality Standard, RCC 319-19, Aberdeen Test Center, dated June 2019.
• Risk Committee, Range Safety Group, Range Commanders Council, Common Risk Criteria for National Test Ranges, RCC 324-11, White Sands, NM dated February 2011.
• Title 49 CFR part 172, (DOT) Transportation of Hazardous Materials.
Note: The industry documents referenced in this chapter refer to the current revisions or regulatory authorities’ accepted revisions.
4 DEFINITION OF TERMS.
For this AC, the definitions from § 401.7 apply.
5 ACRONYMS.
AC – Advisory Circular ATO – Air Traffic Organization CATEX – Categorical Exclusion CFR – Code of Federal Regulations CSSI – Computing System Safety Items DOT – Department of Transportation EA – Environment Assessment EIS – Environmental Impact Statement FAA – Federal Aviation Administration FSA – Flight Safety Analysis MOC – Means of Compliance NASA – National Aeronautics and Space Administration NM – Nautical miles NOP – Neighboring Operations Personnel OMB – Office of Management and Budget Pc – Probability of Failure POF – Probability of Failure RF – Radio Frequency U.S.C. – United States Code U.S.G. – United States Government U.S. – United States V&V – Validation and Verification WR – Written Re-evaluation 8
6 MEANS OF COMPLIANCE.
6.1 Introduction.
6.1.1 A means of compliance (MOC) is the approach used to satisfy a section or subsection of the regulations. Thus, every requirement has a means of compliance. For five topics, the Administrator must accept the MOC prior to an applicant submitting an application.
These are listed below, in § 450.35(a), and also referenced within the objective criteria below for each applicable requirement. Because of the complex nature of these requirements, the applicant must submit the MOC for these five topics for FAA acceptance prior to the license application review period. The following means of compliance must be accepted by the Administrator prior to application acceptance:
• § 450.115(b) regarding flight safety analyses;
• § 450.139(e)(1) regarding toxic hazards for flight;
• § 450.145(b) regarding highly reliable flight safety system;
• § 450.163(a)(1) regarding lightning hazard mitigation; and
• § 450.187(e)(1) regarding toxic hazards mitigation for ground operations.
6.1.2 To ensure timely review, applicants proposing to use any means of compliance to satisfy unique safety policies and requirements under § 450.177 should also seek FAA acceptance of their proposed means of compliance prior to submitting their application.
6.1.3 For the purpose of § 450.35(a), the FAA has identified six types of acceptable MOCs:
1. A current Advisory Circular (normally an FAA-approved tailored version),
2. A standard that has been accepted by the FAA, as listed in the Part 450 Means of Compliance Table,
3. Services provided by an approved Federal entity per § 450.45(b),
4. A safety element approval per § 450.39,
5. An applicant-specific description of methods that have been approved during pre-application consultation, and
6. For flight safety analysis, the actual mission data being used as “representative” data.
6.1.4 During pre-application consultation, the FAA will work with applicants on compliance planning for the MOC requirements. All publicly available FAA-accepted MOCs are maintained on the FAA website at:
https://www.faa.gov/space/streamlinedlicensingprocess/part-450-means-compliancetable/.
6.1.5 The Flight Safety Analysis section of this document includes additional discussion on the MOC for § 450.115(b), especially MOC types 5 and 6.
6.1.6 For all requirements of part 450 not listed in § 450.35(a), an applicant may submit MOCs as part of its application for the FAA to review during the application review period. The FAA determines (1) if the operations represented in the application are consistent with all the conditions relevant to the MOC, and (2) whether the application materials (e.g., data) demonstrate correct implementation of the MOC.
SCOPE OF A VEHICLE OPERATOR LICENSE Section Narrative Objective Criteria to Determine if the Application is Complete Timeframe
7.1 § 450.3 In accordance with § 450.3 Scope of a Vehicle For launch from a U.S. site, does the Phase 1 Scope of a Operator License, the FAA requires an applicant application contain a list of potentially vehicle intending to launch from a U.S. launch site to hazardous activities for both pre-flight and operator identify pre-and post-flight ground operations such post-flight ground operations that are license. that the FAA is able to determine when the launch operation would begin and end. In §§ 450.3(b)(1) and 450.3(b)(2), the FAA specifies that launch begins under a license with the start of hazardous activities that pose a threat to the public at a U.S.
launch site and that for a non-U.S. launch site, launch begins at ignition or at the first movement that initiates flight, whichever occurs earlier.
§ 450.3(b)(3) describes the requirements for end of launch events as it pertains to orbital and suborbital missions, with and without reentry scenarios.
Finally, § 450.3(c) scopes reentry, including activities necessary to return a component to a safe condition on the ground.
In its application, § 450.3(d) requires an applicant to identify pre- and post-flight ground operations at a U.S. launch site sufficient for the Administrator to determine the scope of activities authorized under the license. This information is very helpful during pre-application consultation because it circumscribes what needs to be covered in the application. These operations include any operations that are potentially hazardous before any mitigations such as restricting public access. For reentry, the applicant should provide the sequence preparing the vehicle for flight?
For reentry, does the application contain a list of activities conducted in Earth orbit or outer space to determine reentry readiness?
Does the application include a list of postflight ground activities necessary to return the reentry vehicle, or vehicle component, to a safe condition on the ground after impact or landing?
Section Narrative Objective Criteria to Determine if the Application is Complete Timeframe when various activities occur on orbit that are prelude to a determination to reenter and activities after landing or impact that are potentially hazardous to the public. Once the FAA and the applicant have a mutual understanding of the applicant’s concept of operations, the FAA will determine, using the information provided by the applicant, a starting point for hazardous pre-flight operations.
An applicant wishing to deviate from the scope of authorization defined in §§ 450.3(b) or 450.3(c), would discuss the deviation during pre-application consultation.