7.2 Consultation with the Department of Defense and the State Department.
As part of its review and in accordance with 51 United States Code (U.S.C.) § 50918, the FAA consults with the DOS and DOD prior to issuing a policy or payload determination. In accordance with §§ 450.41(b)(1) and 450.43(e)(1), the FAA consults with the DOD to determine whether a proposed launch or reentry, or the launch or reentry of a payload or class of payloads presents any issues affecting U.S. national security. In accordance with §§ 450.41(b)(2) and 450.43(e)(2), the FAA consults with the DOS to identify any issues affecting U.S. foreign policy interests or international obligations.
7.3 Consultation with Other Federal Agencies.
In accordance with §§ 450.41(b)(3) and 450.43(e)(3), the FAA also consults with NASA, the Department of Commerce’s National Oceanic and Atmospheric Administration (NOAA), the FCC, the Office of the Director of National Intelligence, the Department of Energy, and the U.S. Coast Guard to address U.S. national security or foreign policy interests, or international obligations of the U.S., associated with the proposed launch, reentry, or payload. The FAA may also coordinate with DOD and NASA on matters related to the safety of their assets in space.
7.4 Interagency Consultation Considerations for Policy and Payload Reviews.
During the FAA policy and payload reviews, the FAA evaluates the application and determines which other government entities need to be involved to determine whether the launch, reentry, or payload presents any issues affecting U.S. national security or foreign policy interests, or international obligations of the United States. Table 1 indicates the FAA’s primary partner agencies and their primary areas of responsibility.
Operators seeking a policy or payload review under §§ 450.41 or 450.43 should be cognizant that Federal agencies have raised concerns over the following matters during past interagency consultations.
7.4.1 Foreign Involvement.
DOS or DOD may have concerns over foreign involvement in the U.S. launch or reentry industry when it involves the transfer of sensitive technologies. Consequently, the FAA requires license applicants to identify any foreign ownership of their entities in accordance with §§ 450.41(e)(3) and 450.43(i)(1)(iv). These provisions enable the FAA, DOS, and DOD to adequately assess the implications of the proposed licensed launch, reentry, or payload. In cases where there is foreign ownership, providing details of that foreign ownership, such as percentages of any foreign ownership, will facilitate the interagency consultation.
7.4.2 International Agreements.
The DOS reviews proposed launches or reentries for conformity with international agreements such as the Outer Space Treaty of 1967. For missions with the potential of reaching a solar system body, this includes a review by the DOS and often a technical assessment by NASA of an operator’s planned measures for compliance with the U.S.
international obligation to avoid harmful contamination of solar system bodies.
7.4.3 Planetary Protections.
If any element of the launch vehicle, primary spacecraft, or secondary payload that has sufficient propulsion to leave Earth orbit and reach the Moon or a more distant solar system body, an operator should indicate any planetary protection measures it will implement. The operator should use reasonable efforts to implement planetary protection measures generally consistent with the Committee on Space Research Planetary Protection Policy and Guidelines (COSPAR) including harmful contamination. COSPAR guidelines are an accepted approach for the United States Government (U.S.G.) to comply with harmful contamination obligations under Article IX of the Outer Space Treaty. The following information should be provided by the operator to facilitate review of a proposed operation:
1. Missions to the Surface of the Moon:
a. An inventory of propulsion products released into the lunar environment,
b. Additionally, for missions to permanently shadowed regions or the lunar poles, an inventory of organic substances since there may be water or ice there.
2. Missions to other Solar System Bodies:
a. Description of the energetic potential of the primary launch vehicle, second stage, cruise stage, and additional independent propulsion systems on primary and secondary payloads.
b. Description of trajectory including flybys or gravity assists of celestial objects and orbital insertion or landing at the destination.
c. Assessment of forward planetary protection contamination (i.e., biological contamination to other celestial bodies) and associated mitigation strategy for celestial objects along the trajectory and at the orbiting or landed destination.
3. Missions with Earth Return:
a. From the Moon, an inventory of Moon materials during planned or unplanned Earth reentry.
b. From all other solar system bodies, an applicable risk assessment for backward planetary protection (risk to public health and safety) during planned or unplanned Earth reentry or entry into the Earth-Moon system.
8 POLICY REVIEWS.
8.1 Information Requirements for Policy Reviews.
In accordance with § 450.41(e), an applicant must:
1. Identify the model, type, and configuration of any vehicle proposed for launch or reentry by the applicant;
2. Describe the vehicle by characteristics that include individual stages, their dimensions, type and amounts of all propellants, and maximum thrust.
3. Identify foreign ownership of the applicant as follows:
a. For a sole proprietorship or partnership, identify all foreign ownership;
b. For a corporation, identify any foreign ownership interests of 10 percent or more;
c. For a joint venture, association, or other entity, identify any participating foreign entities;
4. Identify the proposed vehicle flight profile, including:
a. Launch or reentry site, including any contingency abort locations;
b. Flight azimuths, trajectories, and associated ground tracks and instantaneous impact points for the duration of the licensed activity, including any contingency abort profiles;
c. Sequence of planned events or maneuvers during flight;
d. Normal impact or landing areas for all mission hardware; and
e. For each orbital mission, the range of intermediate and final orbits of each vehicle upper stage and their estimated orbital lifetimes.
8.2 Identification of Launch and Reentry Details.
For the FAA to conduct a policy review, an applicant must describe the launch or reentry vehicle and its proposed flight profile and describe the vehicle by characteristics that include individual stages and their dimensions, the type and amounts of all propellants, and maximum thrust, in accordance with § 450.41(e). The information required in § 450.41(e) should provide the FAA and its interagency partners with the scope of the proposed activity.
8.3 Identification of Flight Azimuths, Trajectories, and Details.
In accordance with § 450.41(e)(4), the FAA requires the applicant to provide flight azimuths, trajectories, and associated ground tracks and instantaneous impact points, and contingency abort profiles, if any, for the duration of the licensed activity (e.g., lift off to the end of launch).
8.4 Issues Impeding Approval, Denial of a Policy Approval.
In accordance with § 450.41(c), the FAA will advise an applicant, in writing, of any issues raised during a policy review that would impede issuance of a policy approval.
The applicant may respond to the FAA, in writing, or amend its license application as required by § 413.17. In accordance with § 450.41(d), the FAA will notify an applicant, in writing, if it has denied a policy approval for a license application. The notification will state the reasons for the FAA’s determination. The applicant may seek further review of the determination in accordance with § 413.21.
9 PAYLOAD REVIEWS.
The FAA consults with partner agencies within the U.S. Government when conducting a payload review. An interagency consultation combines the policy and payload reviews when possible. Part 450 regulations contain informational requirements for policy and payload reviews. The criteria within FAA regulations for policy or payload approvals are not detailed. Rather, criteria are rooted in over-arching considerations.
9.1 Information Requirements for Payload Reviews.
9.1.1 In accordance with § 450.43(i) for the launch of a payload, the applicant must submit the following payload information to the FAA:
1. Payload name or class of payload, and function;
2. Description, including physical dimensions, weight, composition, and any hosted payloads;
3. Payload owner and payload operator, if different from the person requesting payload review and determination, to include if the payload owner and/or operator changes from that which was initially reported;
4. Any foreign ownership of the payload or payload operator, as specified in § 450.41(e)(3);
5. Hazardous materials as defined in § 401.7, radioactive materials, and the amounts of each;
6. Explosive potential of payload materials, alone and in combination with other materials found on the payload;
7. For orbital launches, parameters for parking, transfer and final orbits, and approximate transit times to final orbit;
8. Delivery point in flight at which the payload will no longer be under the licensee’s control;
9. Intended operations during the lifetime of the payload, including anticipated life span and any planned disposal;
10. Any encryption associated with data storage on the payload and transmissions to or from the payload; and 16
11. Any other information necessary to make a determination based on public health and safety, safety of property, U.S. national security or foreign policy interests, or international obligations of the United States.
9.1.2 In accordance with § 450.43(i)(2), for the reentry of a payload, the applicant must submit the following payload information to the FAA:
1. Payload name or class of payload, and function;
2. Physical characteristics, dimensions, and weight of the payload;
3. Payload owner and payload operator, if different from the person requesting the payload review and determination;
4. Type, amount, and container of hazardous materials and radioactive materials in the payload;
5. Explosive potential of payload materials, alone and in combination with other materials found on the payload or reentry vehicle during reentry; and
6. Designated reentry site.
9.2 Additional information needed under § 450.43(i)(1)(xi).
Pursuant to § 450.43(i)(1)(xi), the FAA may require operators to submit additional information for unique missions to allow the FAA to properly evaluate the implications of the payload under § 450.43(a).
9.3 Payloads Having Toxic Hazards Risk.
An operator anticipating toxic hazards on its vehicle or payload should reference AC 450.139-1, Toxic Release Hazards Analysis for means of compliance on identifying hazard areas, flight commit criteria, and mitigations or controls for toxics.
9.4 Conducting Safe Ground Operations.
When handling payloads at a launch or reentry site and while conducting safe ground operations, a ground hazard analysis must be performed in accordance with § 450.185 and the pre-flight and post-flight ground hazard controls must be defined and documented in accordance with § 450.189 unless § 450.179(b) is met. At a U.S. launch or reentry site where § 450.179(b) is not met, an operator must comply with §§ 450.181 through 450.189. An operator should include a list of defined pre-flight and post-flight operations that include all systems and operations involving the vehicle or its payload. Doing so facilitates a thorough identification and assessment of system and operational hazards to the public and property associated with licensed ground operations at the launch or reentry site. Further information can be found in AC 450.179-1, Ground Safety.
9.5 Tracking Considerations.
Ensuring an operator can track a payload following launch enables space situational awareness (SSA) and provides safety for other space operations. The FAA’s interagency partners have expressed concerns whether payloads can be tracked.
Payloads in low earth orbit that are 10 centimeters and larger in diameter can be tracked using the Space Surveillance Network (SSN). Payloads that contain radar retroreflectors or other appendages facilitate tracking.
9.6 Encryption.
Information on the encryption used for both spacecraft and associated supporting systems will enable U.S.G. stakeholders to assess potential cyber risks. In accordance with § 450.43(i)(1)(x), applicants must provide the type of space encryption or authentication procedures (or lack thereof) used to protect the spacecraft, subsystems, and mission data during the entire mission lifetime, including safeguarding command control and telemetry links, to inform the payload review. Applicants should describe any encryption associated with data storage on the payload and transmissions to or from the payload. Encryption helps ensure against cyber intrusion, loss of spacecraft control, and potential debris causing events. Many operators already use the 256-bit Advanced Encryption Standard (AES–256)5 developed by the National Institute of Standards and Technology (NIST) or NIST Federal Information Processing Standard FIPS 140-2 and 140-36 to protect commercial telemetry, tracking, and control data links and mission data transmission or storage. In this case, an operator would only need to state that it uses AES–256. NASA and the DOD frequently request this information during the consultation process in reviewing payloads to determine whether a proposed payload would jeopardize the safety of government employees or property in outer space, or U.S. national security.
9.7 Issues Impeding Approval, Denial of a Payload Determination.
9.7.1 In accordance with § 450.43(f), the FAA will advise an applicant, in writing, of any issues raised during a payload review that would impede issuance of a favorable payload determination. The applicant may respond to the FAA, in writing, or amend its license application as required by § 413.17.
9.7.2 In accordance with § 450.43(g), the FAA notifies an applicant, in writing, if it has denied a favorable payload determination. The notification should state the reasons for the FAA’s determination. The applicant may seek further review of the determination in accordance with § 413.21.
5 https://www.nist.gov/publications/advanced-encryption-standard-aes.
6 https://csrc.nist.gov/projects/cryptographic-module-validation-program/validated-modules/search.
OMB Control Number: 2120-0746 Expiration Date: 11/30/2024 Advisory Circular Feedback Form Paperwork Reduction Act Burden Statement: A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information collection is 2120 -0746. Public reporting for this collection of information is estimated to be approximately 5 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. All responses to this collection of information are voluntary per FAA Order 1320.46D Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to: Information Collection Clearance Officer, 800 Independence Ave, Washington, D.C. 20590.
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FAA Form 1320-73 (09/22) SUPERSEDES PREVIOUS EDITIONS