5.7 Incorporating Mishap Terms.
An applicant should incorporate the definition of a “mishap” under § 401.7, including the definitions of “fatal injury” and “serious injury” from 49 CFR 830.2,1 into the mishap plan to aid in determining if a mishap occurred and the resulting reporting requirements.
5.8 Reference Document Section.
When applicable, the applicant should incorporate a reference document section in the mishap plan. This section should identify all applicable reference documents or implemented plans in response to a commercial space transportation mishap. As stated in AC 413.5-1, an applicant may provide the necessary evidence of compliance (such as data, plans, and other supporting documentation) by creating new documents that address the regulations specifically or by utilizing existing company documents with specific references to applicable sections. A copy of all referenced documents used to satisfy a mishap plan requirement should be included with the mishap plan submittal.
Examples may include:
Agreements providing for emergency response services necessary to satisfy the requirements of § 450.173, Emergency first responder vehicle hazard guidance, Mishap response checklists, and Points of contact list.
1 Mishap, as defined in § 401.7, cites 49 CFR 830.2 “fatal injury” and “serious injury” definitions.
10 6 READINESS TO IMPLEMENT THE MISHAP PLAN.
In accordance with § 450.155(a)(3), an operator must document and implement procedures to assess readiness to proceed with the flight of a launch or reentry vehicle, including readiness to implement the mishap plan required by § 450.173.
6.1 Mishap Preparedness.
An applicant should rehearse the procedures documented in the mishap plan to ensure safety-critical personnel, procedures, equipment, and services are prepared to implement the operator’s plan. Rehearsal and review of those procedures will help operators assess the effectiveness of their mishap plan and identify deficiencies such as issues related to response, notification, public safety, or preservation of perishable mishap data. When assessing preparedness, operators should consider:
Training for safety-critical personnel, including operator and emergency response personnel;
Coordination of emergency response services with Federal Range or licensed launch or reentry site;
Exercises (e.g. mishap simulations, table top exercises, full-scale exercises);
Equipment availability (e.g. video/photographic equipment, including hand-held and overhead aerial-based), protective equipment, etc.);
Supplies (e.g. go-kit items, evidence tags, notebooks, batteries, log books, etc.);
Funding (e.g. travel, consultants, analyses, etc.);
Debris storage locations; and Known requirements/special support equipment (e.g. cranes for large pieces of debris, transport equipment, etc.).
7 RESPONSIBILITIES.
In accordance with § 450.173(b), an operator’s mishap plan must document responsibilities for personnel assigned to implement the requirements of § 450.173, including any personnel retained to conduct or participate in an investigation. The mishap plan must also document the allocation of roles and responsibilities between the operator’s organization and any launch or reentry site operator for reporting, responding to, and investigating any mishap during ground activities at the site, per § 450.173(b)(3). In addition, per § 450.157, the mishap plan should document lines of communications between the operator’s organization and launch or reentry site operator. Applicants should describe roles and responsibilities using positions or titles, rather than information that are subject to change (e.g. names of staff).
7.1 Delegating and Sharing of Responsibilities.
A mishap plan should identify each individual’s roles and responsibilities within the applicant’s organization, Federal Range, or a launch or reentry site operator. The mishap plan should document each individual’s authority and define lines of communication. The delegation of roles and responsibilities may be shared between the applicant’s organization and site operator, subject to mutual agreement. For a mishap occurring with a vehicle on a launch site, the vehicle operator may conduct the primary investigation with support from the launch site operator.
7.1.1 Roles and Responsibilities.
When documenting roles and responsibilities, an operator should consider who is responsible for:
Providing notification to the FAA Washington Operations Center;
Drafting and submitting the five-day preliminary mishap report required under § 450.173(c)(3);
Activating emergency response services, including, but not limited to, fire department, emergency medical services, or other services to address known hazards;
Coordinating with external stakeholders (e.g. Federal Range, payload customers, etc.);
Coordinating with public affairs;
Evacuating and accounting for personnel;
Maintaining hazard area surveillance;
Securing the mishap site;
Securing data and physical evidence;
Documenting debris;
Implementing your mishap plan;
Conducting the investigation;
Reporting investigation results to the FAA; and Identifying and implementing preventative measures.
7.1.2 Using Checklists.
There are numerous benefits to using checklists during a mishap. Checklists serve as a reminder of steps to complete when carrying out assigned tasks, ensure consistency, and reduce the likelihood of failure or omission of a critical step. Mishaps can occur at unexpected times, and even the most well trained personnel can forget the order of tasks they should complete. For these reasons, a mishap plan should incorporate the use of checklists for personnel responsible for implementing the mishap plan. See Appendix A of this AC for a notification example.
12 8 MISHAP REPORTING REQUIREMENTS.
Under § 450.173(c), an operator is required to notify the FAA Washington Operations Center in the event of a mishap. Based on the severity of the mishap, notification is either required immediately or within 24 hours of the event, as described below.
Additionally, an operator is required to submit a preliminary written report to the FAA Office of Commercial Space Transportation within five days of any mishap.
Note: If an operator is unsure whether an anomalous event meets the criteria of a reportable mishap, they should contact the FAA for further clarification.
8.1 Immediate Notifications.
In the event of a mishap involving a fatality or serious injury, operators must immediately notify the FAA’s Washington Operations Center (WOC) of the event in accordance with § 450.173(c)(1). The FAA’s WOC operates 24 hours per day and seven days per week. The immediate notification required by § 450.173(c)(1) should not hamper the activation of emergency response activities. When notifying the WOC, the operator should provide their name and telephone number. The mishap plan should include the following WOC contact information:
FAA Washington Operations Center Phone: (202) 267-3333 or toll-free at (800) 322-3804 Email: 9-awa-ash-woc@faa.gov Fax: (202) 267-5289 Note: Providing mishap notifications to FAA personnel on-site (e.g. Commercial Space Transportation Safety Inspector) following a mishap does not satisfy the notification requirements of § 450.173(c) and does not remove the need to comply with all Part 450 reporting requirements.
Note: Below is an example of notification language that could be incorporated into a mishap plan to ensure compliance with § 450.173(c)(1).
In the event of a mishap involving a fatality or serious injury, [title of responsible position] will provide an immediate verbal notification to the FAA Washington Operations Center at (800) 322-3804. When making the immediate notification, [responsible position] will provide the information contained in § 450.173(c)(3) to the extent known at the time. However, the lack of information known should not delay the immediate notification. [Responsible position] will complete all required notifications per [procedure, checklist, plan step, etc.].
8.2 24-Hour Notifications.
In the event of a mishap not involving a fatality or serious injury,2 the operator must provide notification to the FAA WOC within 24-hours of the event (see contact information above) in accordance with § 450.173(c)(2). The FAA recommends notifying the FAA WOC as soon as possible following the mishap. The operator may use the five-day written preliminary report information provided below in paragraph 8.3 of this AC as a guideline when reporting the notification. The operator should provide this information to the extent known at the time of notification. The lack of information should not delay the required 24-hour notification. If information is unknown, the operator may report it as such.
8.3 Five-Day Written Preliminary Report.
Within five days of a mishap, the operator must submit a written preliminary report to the FAA's Office of Commercial Space Transportation in accordance with § 450.173(c)(3). The five-day report is a follow-up requirement designed to supplement the initial mishap notification once more detailed information is known. Following a mishap, the assigned FAA Mishap Response Coordinator (MRC) will contact the designated operator point of contact (POC). The FAA MRC will be the primary POC for all mishap-related information submittals, including the five-day report. The preliminary report must include the information required under § 450.173(c)(3), as shown below.
Note: The FAA recognizes the preliminary and sensitive nature of data contained in the five-day report and will treat the information appropriately. The operator should mark reports containing proprietary or information subject to ITAR accordingly.
8.3.1 Date and Time of the Mishap.
Section 450.173(c)(3)(i) first requires the preliminary report to identify the date and time of the mishap. The FAA recommends that operators use the Coordinated Universal Time (UTC) standard to report the date and time of the mishap. UTC is the time standard commonly used worldwide.
8.3.2 Description of the Mishap and Sequence of Events.
The preliminary report must include a description of the mishap and sequence of events leading up to it, to the extent known, under § 450.173(c)(3)(ii). The operator should write the description in a narrative form to aid in excluding speculative information.
8.3.3 Intended and Actual Locations.
Per § 450.173(c)(3)(iii), the operator must include the intended and actual location of the launch or reentry or other landing on Earth. For established locations, such as federal launch ranges or FAA-licensed launch sites, operators should include site names and locations. For non-established locations, operators should provide location
2 See paragraphs (2) through (9) of the definition of “mishap” in § 401.7.
14 coordinates, nearest city, etc. A common choice of coordinates is latitude, longitude, and elevation.
8.3.4 Hazardous Debris Impact Points.
In accordance with § 450.173(c)(3)(iv), an operator must identify the location or coordinates of hazardous debris impact points, including those outside a planned landing site or designated hazard area, so that the FAA can assess potential public safety risks. If actual data on impact location does not exist or cannot be visually verified, an analysis can be provided. An acceptable means of analysis can be a propagation of the expected debris field based on the last known state vector or last known instantaneous impact point of the vehicle.
8.3.5 Identification of the Vehicle.
Per § 450.173(c)(3)(v), an operator must identify the vehicle involved in the mishap.
This section should include the name and general description of the launch or reentry vehicle involved.
8.3.6 Identification of any Payload.
Per § 450.173(c)(3)(vi), an operator must identify any payload. The identification should include the name and general description of any payload, including primary and secondary payloads. The FAA recommends identifying all payloads’ ownership, including any foreign ownership.
8.3.7 Number and General Description of any Fatalities or Injuries.
Per § 450.173(c)(3)(vii), an operator must provide the number and general description of all known injuries (fatality, serious injuries, minor injuries), including injuries to public and anyone involved with the launch or reentry activity.
8.3.8 Description and Estimated Cost of any Property Damage.
Per § 450.173(c)(3)(viii), an operator must provide a description and estimated cost of any property damage. This includes known damages to property associated with the activity, such as a payload, a launch or reentry vehicle, a facility involved with the activity, government property involved with the activity, or and any property not associated with the activity (e.g. public property). These damages should be based on the cost to repair or replace what was damaged as a result of a mishap. The “substantial damage” threshold to property in paragraphs (5) and (6) of the definition of mishap in § 401.7 still applies to a vehicle, payload, or property regardless of an operator’s intent to actually repair or replace damages incurred (i.e. expendable stages, last flight of an experimental vehicle, single use vehicles are still subject to the “substantial damage” threshold).
8.3.9 Identification of Hazardous Materials.
Section 450.173(c)(3)(ix) requires an operator to identify all hazardous materials, as defined by § 401.7, involved in the event, whether on the vehicle, any payload, or on the ground. Operators should include the name and quantity of hazardous materials involved in the event. As listed under the Safety Precautions section of the PHSMA Emergency Response Guidebook, sources an operator may use to identify hazardous materials involved in a mishap may include:
Placards, Container labels, Shipping documents, Rail car and road trailer identification charts, Safety Data Sheets, and Knowledge of persons on scene, such as emergency first responders.
8.3.10 Actions Taken to Contain the Consequences of the Event.
Section 450.173(c)(3)(x) requires an operator to identify any actions taken by anyone, including emergency response activities (fire, medical, law enforcement, etc.), to contain the consequences of the event (e.g. steps taken to secure the mishap site, any movement, or recovery of debris, etc.).
8.3.11 Weather Conditions at the Time of the Event.
Section 450.173(c)(3)(xi) requires an operator to describe the weather conditions at the time of the event. An operator can include local forecast information, range weather reports, weather balloon data, or other means of accurately reporting weather data.
8.3.12 Potential Consequences for other Similar Vehicles, Systems, or Operations.
Lastly, in accordance with § 450.173(c)(3)(xii) an operator must identify factors that may affect the safe operation of vehicles, systems, or operations of a similar type. Given that some commercially purchased hardware/software is common across operators, or proprietary hardware/software may be common within an operator’s vehicle fleet, this information could prevent mishaps due to similar failures of a common system or component, including ground and range systems.
16 9 EMERGENCY RESPONSE REQUIREMENTS.
In accordance with § 450.173(d)(1), an operator must activate emergency response services as necessary to protect property and public safety. An operator must also maintain hazard area surveillance and clearance as necessary to protect public safety, pursuant to § 450.173(d)(2). Lastly, an operator must contain and minimize the consequences of a mishap, preserve data and physical evidence, and implement agreements with government authorities and emergency response services as necessary under § 450.173(d)(3)–(5).
9.1 Activation of Emergency Response Services.
In accordance with § 450.173(d)(1), the mishap plan must contain procedures to ensure activation of emergency response services necessary to protect the public and property following a mishap. These procedures must address the evacuation and rescue of members of the public, taking into consideration debris dispersions, toxic plumes, and extinguishing fires in accordance with § 450.173(d)(1)(i) and (ii). As noted in paragraph 9.6 of this AC, an operator launching from a Federal launch site need not execute and implement agreements to provide emergency response services if the Federal site already has the necessary coordination in place to satisfy the requirements of § 450.173.
9.1.1 Identify Stakeholders.
In accordance with § 450.173(b)(3), an operator must identify all stakeholders who may play a role, or have a stake in responding to an emergency. For example, employees are likely to be the first people aware of an emergency. They should know who to notify in the event of an emergency, how to secure a scene safely, when and where to evacuate, and be able to render basic first aid to coworkers, if needed. All parties involved in emergency response procedures should receive appropriate training relevant to their roles and any vehicle/site specific hazards they may encounter, including environmental hazards. This includes, but is not limited to, the following stakeholders:
Vehicle operations personnel, Payload owners/operators, Launch or reentry site personnel, Fire department, Emergency medical services, and Members of the affected public.
9.1.2 Coordinating with Local Emergency First Responders.
Prior to the start of launch operations, an operator should coordinate with federal, state, and local authorities, and emergency first responders to familiarize them with their operations and any launch vehicle or site-specific hazards. The operator should use local emergency responders that are familiar with the area and terrain potentially associated with responding to a mishap. Pre-coordination and cooperation with these entities is critical to the general safety of all parties involved, as well as the public and
17 property, in responding to an emergency. Pre-coordination also helps ensure the availability of appropriate emergency and personal protective equipment based on the operation’s vehicle(s) or site hazards. Operators should ensure that responding fire departments are familiar with and equipped to respond to the specific hazards of their vehicle(s) or launch or reentry site.
9.1.3 Coordination in Rural Areas.
Many launch operations take place in remote areas far from large population centers.
An on-pad explosion of a fully fueled launch vehicle could easily overwhelm a local volunteer fire department. In addition, local fire departments may not have the specialized equipment necessary to deal with unique hazards associated with such an event, such as hypergolic propellants. In such cases, it may be necessary to pre-position specialized assets nearby, or coordinate with a larger fire department further away that is equipped to handle hazardous materials. Pre-coordination also provides an opportunity to determine the level of support operator personnel will provide to first responders. Once the initial fire is contained, it may be necessary to enter the debris field to extinguish small, localized fires. Operator personnel having technical expertise with ordnance can help contain hazards by accompanying fire fighters to identify and mark unexploded ordnance and other potential hazards necessary to avoid injury.
9.1.4 Examples of Vehicle and Operational Hazards include:
Vehicle composites, Propellants, Oxidizers, Pressure vessels, Unexploded ordnance, Oxygen systems, and Batteries.
9.1.5 First Responders Guide.
In support of emergency response activities and recovery operations, an operator should develop a quick reference guide for rapid dissemination to first responders, including those outside the local area who may not be aware of the hazards associated with the launch vehicle. In addition to the hazards listed above, contents of such a guide may include:
The quantity and location of specific hazards (i.e. parachute mortars, hypergolic propellants, destruct charges, etc.), Recommended standoff distances, Appropriate personal protective equipment (PPE), and Launch operator point of contact information.
9.1.6 Emergency Response Guidebook (ERG).
The ERG is a joint publication prepared by Transport Canada, the U.S. Department of Transportation, and the Secretariat of Communications and Transport of Mexico. The ERG, as revised, is intended for use by first responders during the initial phase of a transportation incident involving dangerous goods or hazardous materials. Basic safety recommendations include approaching and securing the scene, identifying hazards, assessing the situation, obtaining help, and response. The ERG includes a numerical and alphabetical listing of hazardous materials that can be used to identify the associated GUIDE number and safety recommendations related to the material in question. Table 2 of this AC identifies the GUIDE number for liquid oxygen.
Table 2 – ERG Alphabetical Example Name GUIDE No. ID No.
Oxygen, refrigerated liquid (cryogenic liquid) 122 1073
9.1.6.1 In the example above, GUIDE No. 122 refers to “Gases – Oxidizing, Including Refrigerated Liquids.” This section identifies potential hazards associated with oxidizing gases; public safety considerations including, protective clothing and evacuation; emergency response procedures in the event of a fire, spill, or leak, and first aid considerations.
9.1.6.2 A digital copy of the ERG is available for download from the U.S.
Department of Transportation, Pipeline, and Hazardous Materials Safety Administration’s website at:
https://www.phmsa.dot.gov/hazmat/erg/emergency-response-guidebookerg.
9.1.7 Evacuating and Rescuing the Public.
In accordance with § 450.173(d)(1)(i), the mishap plan must contain procedures for evacuating and rescuing members of the public, taking into account debris dispersions, toxic plumes, and far-field blast overpressure or distance focusing overpressure (DFO).
An operator should determine the needed actions in coordination with local emergency responders, based on the information available. In some cases, the best option may be evacuation. In others, sheltering-in-place may be best. For further considerations, refer to the “Protective Action Decision Factors to Consider” section of the ERG.
Note: In preparing for potential evacuation or other emergency measures to prevent harm to the public, operators can also look to their toxic hazard release analyses prepared in accordance with §§ 450.139 and 450.187. These sections require operators to account for operational constraints and emergency procedures, such as evacuation plans or other constraints needed to protect the public from the effects of a toxic release from a vehicle or any of its components or payloads.
9.1.8 Extinguishing Fires.
The mishap plan must, in accordance with § 450.173(d)(1)(ii), contain procedures for controlling and extinguishing fires caused by licensed activities. As noted earlier, the allocation of roles and responsibilities shared between a launch operator and a site operator or federal range, including emergency response services, must be documented in the mishap plan or by other written means in accordance with § 450.173(b)(3). Under § 450.173(d)(5), operators may implement agreements with government authorities and emergency response services, as necessary, to satisfy the requirements of this section.
9.2 Hazard Area Surveillance and Clearance.
In the event of mishap, in accordance with § 450.173(d)(2), the operator must maintain existing hazard area surveillance and clearance as necessary to protect public safety
(e.g., through use of Notices to Mariners (NOTMAR) and Notices to Airmen (NOTAM), roadblocks, or facility access). All personnel assigned to maintain hazard area surveillance and clearance should know their role and actions to take following a mishap. These procedures can include:
Holding current clearance areas up until hazards are contained;
Adding surveillance or reducing hazard area surveillance based on the location and impact of the mishap; and expanding or reducing personnel as needed for different mishap scenarios.
9.3 Restricting Hazard Area until Debris Collection is Complete.
In the event of a mishap that results in debris impacts on land, operator personnel or other emergency responders should be prepared to maintain, expand, or establish a new ground hazard area(s) until all fires are extinguished, and the extent of any remaining hazards can be verified. Access to the launch pad and immediate surrounding area could remain restricted for several days while debris documentation and collection occurs, or while any relevant ground system evidence is collected, such as commodity samples.
Based on the volume and duration of airspace where an aircraft hazard is predicted, such as an in-flight break up scenario, it may be necessary to maintain an existing NOTAM beyond the original effective period. Similarly, floating debris that presents a hazard to marine navigation may require the existing NOTMAR to be extended or expanded if the debris floats away.
9.4 Containing and Minimizing the Consequences of an Event.
In accordance with § 450.173(d)(3), an operator is responsible for containing and minimizing the consequences of a mishap caused by its activities, to include securing impact areas to ensure no members of the public enter, safely disposing of hazardous materials, and controlling hazards at the site or impact area.
9.4.1 Site Security.
Methods of securing a site include roadblocks, checkpoints, fenced or roped off areas, and utilization of and cooperation with local authorities to protect the public from entering potentially hazardous areas.
9.4.2 Disposal of Hazardous Materials.
In accordance with § 450.173(d)(3)(ii), the mishap plan must include procedures for proper disposal of hazardous materials, including contaminated water and soil, as applicable. Prior to disposal, contaminated material should be isolated or stored in a separate, secured location. Hazardous debris must be disposed of in accordance with applicable safety and environmental requirements. Operators may not dispose of debris associated with a mishap until the FAA notifies the operator that the debris no longer needs to be retained in accordance with § 450.219(b).
9.4.3 Controlling Access to a Mishap Site.
Ensure that only authorized personnel can access a mishap site. Examples include:
Setting up a perimeter with temporary fencing or caution tape.
Access control to the temporary hazard location.
Establishing a single point of entry and egress.
Central sign in/out location to account for all personnel.
Coordination and cooperation with local authorities and emergency first responders.
9.4.4 Safing and Securing the Mishap Site.
In an effort to contain and minimize the consequences of the mishap and maintain site integrity for investigation, the operator should safe and secure a mishap site as soon as possible. Safing refers to the steps necessary to identify and remove hazards from the mishap site following documentation. The mishap plan should prioritize the removal of debris presenting a public safety hazard, including debris affecting marine/navigable waterways, public roads, public gathering areas, facilities, etc. Based on the mishap location, it may also be advisable to establish a local hotline to allow members of the public to report debris locations for further collection (e.g., debris washing up on a beach). The mishap plan should include procedures for accomplishing these tasks in coordination with local first responders and/or law enforcement. In the event of a federal investigation, the operator should coordinate these efforts with the lead investigative authority. The mishap plan procedures should:
Identify who is responsible for identifying and mitigating hazards;
Identify who is responsible for securing the mishap site;
Include a process for accessing the mishap site (i.e., who is authorized and when, training and personnel protection equipment requirements, etc.); and Include guidance on the treatment of debris, etc.
9.5 Preserving Data and Physical Evidence.
In accordance with § 450.173(d)(4), the mishap plan must contain procedures for collecting and preserving data and physical evidence. The mishap plan should also identify the individual(s) responsible for collecting and preserving data and physical evidence, and ensure that these individuals have sufficient technical knowledge and familiarity with the vehicle to identify and locate major vehicle systems, components,