C Advisory U.S. Department of Transportation Federal Aviation Circular Administration Subject: Applying for FAA Determination on Date:August 10, 2023 AC No: 450.31-1 Policy or Payload Reviews Initiated By: AST-1 This Advisory Circular (AC) provides guidance that may be used to demonstrate compliance with the requirements for policy and payload reviews in accordance with Title 14 of the Code of Federal Regulations (14 CFR) §§ 450.41 and 450.43. Sections 450.31(a)(2) and (a)(3) require an applicant to obtain a policy approval from the Administrator in accordance with § 450.41 and a favorable payload determination from the Administrator in accordance with § 450.43.
The Federal Aviation Administration (FAA) considers this AC an accepted means of compliance for complying with the regulatory requirements of §§ 450.41 and 450.43. 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.
Kelvin B. Coleman Associate Administrator Commercial Space Transportation
Contents Paragraph Page
1 Purpose4
2 Applicability4
3 Applicable Regulations and Related Documents5
4 Definition of Terms6
5 Acronyms7
6 Policy and Payload Reviews and Approvals8
6.1 General8
6.2 Starting a Policy Review or Payload Review8
6.3 Pre-Application Process8
6.3.1 Pre-Application Initial Contact Information Form8
6.3.2 Purpose and Determination of Policy Reviews9
6.3.3 Purpose and Determination of Payload Reviews10
6.3.4 Relationship to other Executive Agencies10
7 Interagency Consultation during Policy and Payload Reviews11
7.1 General11
7.2 Consultation with the Department of Defense and the State Department13
7.3 Consultation with Other Federal Agencies13
7.4 Interagency Consultation Considerations for Policy and Payload Reviews13
7.4.1 Foreign Involvement13
7.4.2 International Agreements14
7.4.3 Planetary Protections14
8 Policy Reviews15
8.1 Information Requirements for Policy Reviews15
8.2 Identification of Launch and Reentry Details15
8.3 Identification of Flight Azimuths, Trajectories, and Details15
8.4 Issues Impeding Approval, Denial of a Policy Approval16
9 Payload Reviews16
9.1 Information Requirements for Payload Reviews16
9.2 Additional information needed under § 450.43(i)(1)(xi)17
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Contents (continued) Paragraph Page
9.3 Payloads Having Toxic Hazards Risk17
9.4 Conducting Safe Ground Operations17
9.5 Tracking Considerations18
9.6 Encryption18
9.7 Issues Impeding Approval, Denial of a Payload Determination18
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1 PURPOSE.
1.1 This AC provides guidance on demonstrating compliance with the requirements for policy and payload reviews in accordance with Title 14 of the Code of Federal Regulations (14 CFR) § 450.31. Sections 450.31(a)(2) and (a)(3) require an applicant to obtain a policy approval from the Administrator in accordance with § 450.41 and a favorable payload determination from the Administrator in accordance with § 450.43.
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 applicants for a vehicle operator license under part 450 and payload operators. The guidance in this AC is for those seeking a launch or reentry vehicle operator license under part 450, licensed operators seeking to renew or modify existing vehicle operator licenses, and payload owners or operators requesting a payload review independent of an application for a 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 §§ 450.41 and 450.43. 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.
• Section 450.31, General.
• Section 450.41, Policy review and approval.
• Section 450.43, Payload review and determination.
• Section 450.213(b), Pre-flight reporting.
3.3 Related FAA Advisory Circulars.
FAA Advisory Circulars (are available through the FAA website, http://www.faa.gov).
• AC 413.5, Pre-Application Consultation, when published.
3.4 Related Industry Documents.
• Title 49 CFR Part 172, (DOT) Transportation of Hazardous Materials.
• Federal Aviation Administration (FAA), "Licensing Process," dated April 6, 2020, available from:
https://www.faa.gov/space/streamlined_licensing_process/licensing_process/.
• 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 Installations Agreement Number FAA-DAF-SLR-2021, dated June 15, 2021, https://www.faa.gov/sites/faa.gov/files/space/legislation_regulation_guidance/MOA _DAF_FAA_Launch_and_Reentry_Activity_FINAL_SIGNED_6_15_2021.pdf.
• 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/.
• National Institute of Standards and Technology (NIST) Advanced Encryption Standard (AES–256) https://www.nist.gov/publications/advanced-encryptionstandard-aes.
• NIST Federal Information Processing Standard FIPS 140-2 and 140-3.
• Presidential Memorandum on Space Policy Directive – 5 – Cybersecurity Principles for Space Systems; https://history.nasa.gov/SPD-5.pdf.
• United Nations Treaty on Principles Governing the Activities of States in the Exploration and Use of Outer Space, including the Moon and Other Celestial Bodies, Resolution 222, dated 1966, https://www.unoosa.org/oosa/en/ourwork/spacelaw/treaties/introouterspacetreaty.
html.
• United States Code, 42 U.S.C. Chapter 4321, Congressional Declaration of Purpose. (Pub. L. 91–190, § 2, Jan. 1, 1970, 83 Stat. 852).
Note: The industry documents referenced in this chapter refer to the current revisions or regulatory authorities’ accepted revisions.
DEFINITION OF TERMS.
For this AC, the definitions from § 401.7 apply.
5 ACRONYMS.
AC – Advisory Circular AES – Advanced Encryption Standard ARP – Office of the Associate Administrator for Airports AST – Office of Commercial Space Transportation ATO – Air Traffic Organization AVS – Office of Aviation Safety CFR – Code of Federal Regulations COSPAR – Committee on Space Research DOD – Department of Defense DOS – Department of State DOT – Department of Transportation FAA – Federal Aviation Administration FCC – Federal Communications Commission FIPS – Federal Information Processing Standard MOA – Memorandum of Agreement NASA – National Aeronautics and Space Administration NEPA – National Environmental Policy Act NOAA – National Oceanic and Atmospheric Administration OMB – Office of Management and Budget SPD – Space Policy Directive SSA – Space Situational Awareness SSN – Space Surveillance Network U.S.C. – United States Code U.S.G. – United States Government U.S. – United States 7
6 POLICY AND PAYLOAD REVIEWS AND APPROVALS.
6.1 General.
In order to obtain a vehicle operator license under part 450, an applicant must receive a policy approval in accordance with § 450.41 and, for all launches or reentries involving a payload, a favorable payload determination under § 450.43. An applicant may request a policy or payload review, or both, independent of a complete license application.
Pursuant to § 450.43(d), a payload owner or operator may request a payload review, independent of an application for a vehicle operator license under part 450.
Note: Policy and payload reviews are not required for safety element approvals under part 414.
6.2 Starting a Policy Review or Payload Review.
The FAA uses the full and complete information provided by the applicant during the application process to make the necessary policy approval and payload determination. In accordance with § 413.7, an applicant must file an application with the FAA either by paper, by use of physical electronic storage, or by email.
For the Office of Commercial Space Transportation (AST) to be able to conduct the policy and payload reviews, an applicant should submit all of the required data as final and as complete as possible. If it is incomplete, or if it changes once submitted, it could significantly delay the review process since interagency consultations take significant time and effort during the evaluation process. An applicant may begin the application process by accessing the Commercial Space Transportation page of the FAA website at https://www.faa.gov/space/streamlined_licensing_process/licensing_process/.
A payload owner or a payload operator may request a payload review and determination in accordance with § 450.43(d).
6.3 Pre-Application Process.
6.3.1 Pre-Application Initial Contact Information Form.
To request a policy and payload review in connection with a license application under part 450, an applicant should fill out the Pre-Application Initial Contact Information form1 located at https://www.faa.gov/space/licenses/pre-application-initial-contactinformation. Complete all applicable Pre-Application Checklists in final form and submit them to ASTApplications@faa.gov. These checklists can be found at:
https://www.faa.gov/space/licenses/operator_licenses_permits.
1 OMB Control # 2120-0608 | 2120-0643 | 2120-0644.
6.3.1.1 The FAA requires all prospective applicants to engage in pre-application consultation with the FAA before submitting an application to discuss the application process and possible issues relevant to the FAA’s licensing decision.2 Pre-application consultation prepares an applicant to submit a formal application, helps identify any unique issues with its proposal, and facilitates coordination with the applicable lines of business within the FAA
(e.g., Air Traffic Organization (ATO), Office of Aviation Safety (AVS), and Office of the Associate Administrator for Airports (ARP)) and government agencies outside of the FAA (e.g., the Department of Defense (DOD), Department of State (DOS), and the National Aeronautics and Space Administration (NASA)).
Payload owners seeking a payload review independent of a license application may, but are not required to, engage in pre-application consultation.
6.3.1.2 An applicant should provide a comprehensive list of expected types of payloads, including any known specific payloads during pre-application consultation. The FAA recognizes that applicants may not have identified all payload contents at the pre-application stage, but providing all available information on payload contents during pre-application consultation enables a swifter payload determination. Incomplete or missing information could result in a payload determination being delayed or denied. In accordance with § 413.17, an applicant may amend or supplement an application to ensure the continuing accuracy and completeness of information furnished to the FAA.
6.3.2 Purpose and Determination of Policy Reviews.
The purpose of a policy review is for the FAA to determine, in accordance with its statutory authority,3 whether a proposed launch or reentry operation may present any issues that would jeopardize United States (U.S.) national security or foreign policy interests, or international obligations of the United States. If no such issues are found, the FAA will issue a policy approval to an applicant. The policy approval becomes part of the licensing record on which the FAA’s licensing determination is based. The information that an applicant must submit in order to receive a policy approval is discussed in paragraph 8 of this AC.
2 14 CFR § 413.5.
3 Title 51 – National and Commercial Space Programs, Subtitle V, Chapter 509-Commercial Space Launch Activities, Section 50905, License applications and requirements.
6.3.3 Purpose and Determination of Payload Reviews.
In accordance with § 450.43(a)(2), the FAA issues a favorable payload determination to a license applicant, or payload owner or operator, if the license applicant or payload owner or operator has 1) obtained all required licenses, authorizations, and permits, and
2) demonstrated the launch or reentry of the payload would not jeopardize public health and safety, the safety of property, U.S. national security or foreign policy interests, or the international obligations of the United States.4
6.3.4 Relationship to other Executive Agencies.
In accordance with § 450.43(b), the FAA does not make the determination required by § 450.43(a)(2) for those aspects of payloads subject to regulation by the Federal Communications Commission (FCC) or the Department of Commerce, or for payloads owned or operated by the U.S. Government. Payloads include satellites, cargo, or hosted payloads on a spacecraft, which may be reviewed separately from the host payload. The payload determination becomes part of the licensing record on which the FAA’s licensing decision is based. The information requirements for a favorable payload determination are discussed in chapter 9, Payload Reviews of this AC.
4 Title 14 CFR § 450.43(a).
7 INTERAGENCY CONSULTATION DURING POLICY AND PAYLOAD REVIEWS.
7.1 General.
In conducting a policy or payload review, the FAA generally consults with the Federal agencies listed in Table 1 of this AC to determine whether a proposed launch, reentry, or payload raises issues in those agencies’ areas of authority. The FAA may elect to consult with other agencies, as appropriate. Usually, an interagency consultation combines the policy and payload reviews for a license application as a concurrent effort.
Although the FAA consults with Federal agencies, the authority to issue a favorable determination or a denial of a payload or policy review resides with the Secretary of Transportation.
Table 1 – U.S. Government Partner Agencies and Areas of Responsibility during Policy or Payload Reviews Agency Primary Area of Responsibility Department of Commerce, National Oceanic and Atmospheric Administration U.S. commercially-owned remote sensing satellites Department of Defense Issues related to U.S. national security Department of Energy Verifies nuclear material is sourced from the Department of Energy for payloads containing exposure levels of nuclear materials Department of Homeland Security, United States Coast Guard Overflight of navigable waterways Department of State Issues related to U.S. foreign policy or international obligations Federal Communications Commission U.S. commercially-owned communications satellites and frequency issues involving FCC licensing of transmitters, including those on launch or reentry vehicles for telemetry National Aeronautics and Space Administration The effect of commercial space activities on NASA interests National Nuclear Security Administration Checks to see if material in the system poses a nuclear proliferation concern for payloads containing exposure levels of nuclear materials Nuclear Regulatory Commission Examines commercial use or possession of nuclear material for payloads containing exposure levels of nuclear materials Office of the Director of National Intelligence Issues related to U.S. national security 12