1. Federal Aviation Administration By: Sherman Council Date: 15 August 2011 Office of Commercial Space Transportation Experimental Permit Program

2. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 1 1 Outline  Experimental Permit Process  General Information  Requirements to Obtain an Experimental Permit  Safety Requirements  Terms and Conditions of the Experimental Permit

3. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 2 2 Experimental Permit Process

4. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 3 3 Process: Permit Review and Evaluation  Introductory Meetings Initial communications with the potential applicant Discussion is welcome in early phases of program  Pre-application Consultation Encompasses discussions with prospective applicant prior to submittal of a permit application  Permit Application Submittal AST determines when an application is complete enough  Permit Evaluation and Determination AST has 120 days after receipt of a complete enough application to make determination AST may toll an application

5. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 4 4 Process: Evaluation Flow Safety Review Environmental Review Policy Review Financial Responsibility Determination Payload Review Permit Application Submittal

6. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 5 5 Policy Review  To determine whether a proposed launch would jeopardize: U.S. National Security International Obligations Foreign policy interests  Interagency review of launch proposal  Department of Defense  Department of State  NASA  FCC  Other

7. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 6 6  Determine if a license applicant or payload owner or operator has obtained all required licenses, authorizations, and permits, unless the payload is exempt from review  Ensure payload does not jeopardize: Public health and safety Safety of property U.S. National Security Foreign policy interests International obligations  Does not apply to payloads under the jurisdiction of any other government agency (e.g. FCC, NOAA, etc.)  Crew and passengers are not payloads Payload Review

8. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 7 7  Proof of financial responsibility required Usually fulfilled by purchase of liability insurance Value based on Maximum Probable Loss Determination  AST performs Maximum Probable Loss (MPL) Determination Government property ($100M maximum) –The amount of insurance is based on a 1 in 100,000 chance of loss exceeding amount 3 rd party ($500M maximum) –The amount of insurance is based on a 1 in 10,000,000 chance of loss exceeding amount Financial Responsibility Determination

9. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 8 8  Issuing a permit for a launch or the operation of a commercial launch sites constitutes a “Major Federal Action” and is therefore subject to National Environmental Protection Act (NEPA)  This process may take a significant amount of time, so its never too early to start Environmental Review

10. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 9 9 Process: Experimental Permit Regulation – Part 437 Part 437: Subpart A – General Information Subpart B – Requirements to Obtain an Experimental Permit Subpart C – Safety Requirements Subpart D – Terms and Conditions of an Experimental Permit Part 413 Application Procedures Part 440 Financial Responsibility Part 460 Human Spaceflight National Environmental Policy Act (NEPA) Part 414 Safety Approval

11. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 10 General Information

12. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 11 Eligibility  Experimental permits issued only for: Research and development to test new: –Design concepts –Equipment –Operating techniques Showing compliance with requirements for obtaining a license Crew training before obtaining a license for a launch or reentry

13. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 12 Scope  Experimental Permit authorizes: Launch of reusable suborbital rocket Reentry of reusable suborbital rocket  Authorization includes Pre-flight operations Post flight operations NOTE: The Permit authorization applies to reusable suborbital rocket operations ONLY.

14. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 13 Scope (continued)  Pre-flight operation includes each operation that Takes place at a U.S. launch site Meets specific criteria –Closely proximate in time to flight –Entails critical steps before flight –Unique to space launch, and –Hazardous enough to warrant regulatory oversight  Post flight operations Includes each operation necessary to return vehicle to safe condition after landing or impact

15. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 14 Requirements to Obtain an Experimental Permit

16. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 15 General Requirements  Applicant must provide Program description Flight test plan Operational safety documentation  Other regulations apply Environmental Financial responsibility (part 440) Human spaceflight (part 460)

17. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 16 General Requirements  Inspection before issuing permit Applicant must make each vehicle planned to be flown available to FAA for inspection –Verify vehicle built as represented in application –Occurs before FAA issues permit NOTE: No vehicle maintenance or certification requirements exist at this time.

18. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 17 Program Description  Applicant must provide 3D drawings or photos of vehicle Gross liftoff weight Thrust profile

19. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 18 Program Description (continued)  Applicant must describe All reusable suborbital rocket systems –Structural –Flight control –Thermal –Pneumatic –Hydraulic –Propulsion –Electrical –Environmental control –Software and computing systems –Avionics –Guidance

20. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 19 Program Description (continued)  Applicant must describe Types and quantities of all propellants Types and quantities of any hazardous materials Purpose for which vehicle is to be flown Each payload or payload class planned  Identify any foreign ownership For sole proprietorship For a corporation, any foreign ownership of 10% or more For joint venture, association, or other entity

21. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 20 Flight Test Plan  Describe flight test program Estimated # of flights Key flight safety events List of Key Flight-Safety Events  Main rocket engine ignition  Parachute deployment  RCS attitude control ignition sequence  Powered landing  Envelope expansion flight(s) from 40,000 ft to 328,000 ft. Event Flight to 40,000 ftFlight to 328,000 ft LatitudeLongitudeLatitudeLongitude Ignition 32° 55’ 30” N106° 57’ 00” W32° 55’ 30” N106° 57’ 00” W Parachute Deploy 32° 55’ 30” N106° 55’ 00” W32° 55’ 30” N106° 43’ 00” W RCS Attitude Control Ignition & Powered Landing 32° 55’ 30” N106° 54’ 10” W32° 55’ 30” N106° 42’ 18” W

22. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 21 Flight Test Plan (continued)  Identify/describe geographic coordinates of the boundaries of one or more proposed operating areas  Must provide the planned maximum altitude Latitudinal Boundary Longitudinal Boundary Max Height Operating Area

23. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 22 Operational Safety Documentation  Pre-flight and post flight operations Operator must demonstrate how it will meet requirements to: –Establish a safety clear zone –Verify public is outside the safety clear zone before/during any hazardous operations  Hazard analysis Operator must perform all steps required by the regulation Provide all results of each step to FAA  Verification Applicant must identify, describe, and provide verification evidence of the methods and systems used to contain vehicle’s IIP within operating area and outside any exclusion area

24. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 23 Operational Safety Documentation(continued)  Landing and Impact Demonstrate compliance for each location for: –a nominal landing of vehicle –a contingency abort landing of vehicle –any nominal or contingency impact or landing of a component  Agreements Must enter into other agreements and provide copy to FAA  Identify and describe each tracking method or system used  Provide Flight rules Mishap response plan

25. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 24 Safety Requirements

26. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 25 Rest Rules  Rest rules for vehicle safety operations personnel  No personnel may work more than 12 consecutive hours 60 hours in the 7 days preceding permitted activity, or 14 consecutive work days  Personnel must receive At least 8 hours of rest after 12 hours of work Minimum 48-hour rest period after 5 consecutive days of 12-hour shifts

27. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 26 Pre-Flight and Post Flight Operations  Must protect public from adverse effects of hazardous operations and systems Preparing vehicle for flight at a launch site in U.S. Returning vehicle and any support equipment to safe condition  Establish safety clear zone to contain adverse effects of each operation involving a hazard  Verify the public is outside the safety clear zone Before hazardous operations During hazardous operations

28. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 27 Hazard Analysis  Permittee must Identify and characterize each of the hazards Assess the risk Carry out the risk elimination and mitigation measures derived from its hazard analysis Ensure the continued accuracy and validity of its hazard analysis

29. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 28 Experimental Permit Hazard Analysis - Qualitative Severity Classifications DescriptionCategoryEnvironmental, Safety, and Health Result Criteria Catastrophic (Catastrophic + Hazardous in AC23.1309) I Failure that may cause death [1 or more] or serious injury to the uninvolved public or safety-critical system loss. Critical (Major in AC23.1309) II Failure that may cause major property damage, major safety- critical system damage or reduced capability, decreased safety margins, or increased workload. Marginal (Minor in AC23.1309) III Failure that may cause minor injury to the uninvolved public or minor safety-critical damage. Minor (No Safety Effect in AC23.1309) IV Failure not serious enough to cause injury to the uninvolved public or safety-critical system damage.

30. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 29 Experimental Permit Hazard Analysis - Qualitative Likelihood Classifications DescriptionLevelDescription FrequentA Likely to occur often in the life of an item, with a probability of occurrence greater than 10 -2 per mission. ProbableB Will occur several times in the life of an item, with a probability of occurrence less than 10 -2 but greater than 10 -3 per mission. OccasionalC Likely to occur some time in the life of an item, with a probability of occurrence less than 10 -3 but greater than 10 -4 per mission. RemoteD Unlikely but possible to occur in the life of an item, with a probability of occurrence less than 10 -4 but greater than 10 -6 in that life. Extremely Unlikely E So unlikely, it can be assumed occurrence may not be experienced, with a probability of occurrence less than 10 -6 in that life. Consistent with FAA AC 23.1309, Class I aircraft (highest acceptable aircraft risk)

31. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 30 Experimental Permit Hazard Analysis - Risk Acceptability Severity Catastrophic I Critical II Marginal III Minor IV Frequency Frequent - A 13713 Probable - B 25916 Occasional - C 461118 Remote - D 8101419 Extremely Unlikely - E 12151720 High (1-9): Unacceptable - Controlling/mitigating actions should be taken to reduce risk Low (10-20): Risk is acceptable

32. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 31 Experimental Permit Hazard Analysis - Example Hazard Description Target Risk Before Sev. Prob. Risk Mitigation measuresRisk After Sev. Prob. Risk Engine shutdown system does not work with the potential for an uncontrolled crash in populated areas. Public ICHighUse redundant engine shutdown systems with different methods of operation, such as an automated system (valve with software-driven controller) and a manual system (manually operated valve). IELow

33. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 32 Hazard Analysis (continued)  Hazard analysis must Demonstrate that the risk elimination and mitigation measures achieve the risk levels through validation and verification Verification includes –Test data –Inspection results, or –Analysis

34. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 33 Operating Area Containment  Operating area Must contain the vehicle’s instantaneous impact point (IIP) Must be large enough to contain each planned trajectory and all expected vehicle dispersions

35. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 34 Operating Area Containment (continued)  Operating area Must contain enough unpopulated or sparsely populated area to perform key flight safety events May not contain or be adjacent to a densely populated area or large concentrations of members of the public May not contain or be adjacent to significant –Automobile traffic –Railway traffic –Waterborne vessel traffic

36. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 35 Operating Area Containment (continued)  FAA may prohibit IIP from traversing certain areas within an operating area Designating one or more areas as exclusion areas Exclusion area may be confined to a specific phase of flight Nuclear Power Plants Sport Stadiums Hospitals Examples of possible Exclusion Areas

37. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 36 Key Flight-Safety Event Limitations  Permittee must conduct any key flight-safety event so that the IIP, including expected dispersion, is over an unpopulated or sparsely populated area  Key flight-safety events include: Ignition of any primary rocket engine; Any staging event, or Any envelope expansion  Permittee must conduct flight so that reentry impact point does not loiter over a populated area

38. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 37 Landing and Impact Locations  For nominal or any contingency abort landing of vehicle, or for any nominal or contingency impact or landing of a component, a permittee must use a location that: Is big enough to contain impact, including debris dispersion; and At time of landing, does not contain any members of the public

39. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 38 Agreements with Other Entities  Must have an agreement in writing with: Federal launch range operator Licensed launch site operator Any other party that provides access to or use of property and services required to support safe launch/reentry

40. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 39 Agreements with Other Entities (continued)  Must have an agreement in writing with: US Coast Guard district –For overflight of navigable water –For issuing a notice to mariners before flight Responsible Air Traffic Control authority –For airspace through which flight/reentry will occur –For measures necessary to ensure safety of aircraft

41. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 40 Collision Avoidance  Must obtain collision avoidance analysis: From USSTRATCOM For planned maximum altitudes greater than 150 km  Analysis must establish each period during which permittee may not initiate flight Ensure vehicle and jettisoned components do not pass closer than 200 km to manned or mannable orbital object Distance less than 200 km may be used if distance provides an equivalent level of safety, and distance accounts for all uncertainties in analysis

42. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 41 Tracking  Permittee must: During flight, measure in real time the position and velocity of its reusable suborbital rocket; and Provide position and velocity data to FAA for post-flight use

43. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 42 Communications  Must be in communication with Air Traffic Control during all phases of flight  Must record communication affecting the safety of the flight

44. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 43 Flight Rules  Must confirm that all systems and operations necessary to ensure that safety measures derived are within acceptable limits  Must (during all phases of flight) Follow flight rules that ensure compliance Abort flight if it would endanger the public  May not operate vehicle in a careless or reckless manner that would endanger any member of the public during any phase of flight

45. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 44 Flight Rules (continued)  May not operate vehicle in areas designated in a NOTAM unless authorized Air Traffic Control, or A Flight Standards Certificate of Waiver or Authorization  Comply with provisions of part 91 For any phase of flight Where rocket operated like an aircraft in the NAS

46. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 45 Anomaly Recording  Permittee must: Record each anomaly that affects a safety-critical system, subsystem, process, facility, or support equipment Identify all root causes of each anomaly Implement all corrective actions for each anomaly Report to FAA any anomaly of any system that is necessary for complying with requirements Report to FAA the corrective action for each anomaly Implement each corrective action before the next flight

47. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 46 Mishap Reporting  Permittee must report, respond to, and investigate mishaps that occur during permitted activities  Reporting requirements Immediately notify FAA WOCC if there is a launch or reentry accident or incident or a mishap that involves a fatality or serious injury Notify within 24 hours FAA/AST if there is a mishap that does not involve a fatality or serious injury Submit within 5 days of the event a written preliminary report to FAA/AST if there is a launch or reentry accident or incident during permitted flight

48. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 47 Terms and Conditions of the Experimental Permit

49. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 48 Public Safety Responsibility  Permittee must ensure any launch or reentry under an experimental permit is safe, and must protect public health and safety and the safety of property

50. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 49 Allowable Design Changes  FAA identifies type of changes a permittee can make to the vehicle design without invalidating the permit  Permittee must ask FAA to modify permit if: It proposes to conduct permitted activities in manner not authorized by permit Any representation in permit application that is material to public health and safety or safety of property is no longer accurate or complete NOTE: The type of changes allowable, without invalidating the permit, will be explicitly identified in the Terms and Conditions of the Experimental Permit

51. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 50 Records  Permittee must maintain for 3 years all records, data, and other materials necessary to verify launch conducted in accordance with permit  Launch/reentry accident or incident Preserve all records related to event Keep all records until after any Federal investigation and FAA advises permittee that they may dispose of them  Make all records available for inspection and copying

52. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 51 Pre-Flight Reporting  Provide information 30 days before each flight or series of flights Any payload to be flown, including payload operations during flight When flight or series are planned Operating area for each flight Planned maximum altitude for each flight  Not later than 15 days before each flight Planned trajectory for collision avoidance For each flight reaching 150 km or higher altitude NOTE: Typically an applicant will submit a proposed flight plan early in the process consisting of a series of flights covering an extended time frame; i.e., Company A plans 2 flights per month for the next 12 months

53. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 52 For-Hire Prohibition  No permittee may carry any property or human being for compensation or hire on a reusable suborbital rocket

54. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 53 For-Hire Prohibition(continued)  What is defined as compensation for hire? Any form of payment or any non-monetary exchange of value including the bartering of goods or services in exchange for the transportation The FAA does not consider the following compensation: –Goodwill –The winning of prize money –Advertising revenue from logos

55. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 54 Compliance Monitoring  Permittee must allow access by, and cooperate with: Federal officers, or Employees, or Other individuals authorized by the FAA to observe any activities of the permittee, or of its contractors or subcontractors, associated with the conduct of the permitted activities

56. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 55 Inspection of Additional Rockets  Permittee may launch or reenter additional vehicles of same design under the permit after FAA inspects each additional vehicle X-1 X-1a X-1b X-1c

57. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 56 Further Information AST’s website http://ast.faa.gov In the menu on the left side of the page Click “Licenses & Permits” Then click “Experimental Permits” My contact information: Sherman Council AST-200 Licensing and Evaluation Division Experimental Permit Program Lead Email: sherman.council@faa.govsherman.council@faa.gov Phone: 202-267-8308

58. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 57 Questions

59. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 58 Definitions  Anomaly: Problem that occurs during verification or operation of a system, subsystem, process, facility, or support equipment  Envelope Expansion: Any portion of a flight where planned operations will subject a reusable suborbital rocket to the effects of altitude, velocity, acceleration, or burn duration that exceed a level or duration successfully verified during an earlier flight  Exclusion Area: An area, within an operating area, that a reusable suborbital rocket’s instantaneous impact point may not traverse  Key Flight Safety Event: A permitted flight activity that has an increased likelihood of causing a launch accident compared with other portions of flight

60. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 59 Definitions (continued)  Operating Area: A three-dimensional region where permitted flights may take place  Suborbital Rocket: A vehicle, rocket-propelled in whole or in part, intended for flight on a suborbital trajectory, and the thrust of which is greater than its lift for the majority of the rocket-powered portion of its ascent  Suborbital Trajectory: The intentional flight path of a launch vehicle, reentry vehicle, or any portion thereof, whose vacuum instantaneous impact point does not leave the surface of the Earth

61. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 60 Definitions (continued)  Validation: An evaluation to determine that each safety measure derived from a system safety process is correct, complete, consistent, unambiguous, verifiable, and technically feasible. Validation ensures that the right safety measure is implemented, and that the safety measure is well understood  Verification: An evaluation to determine that safety measures derived from a system safety process are effective and have been properly implemented. Verification provides measurable evidence that a safety measure reduces risk to acceptable levels

62. Office of Commercial Space Transportation Experimental Permit Overview Federal Aviation Administration 61 Other Definitions (continued)  Aircraft Buffer Zone: A three-dimensional region beyond the operating area in which hazardous debris could fall through aircraft altitudes in the event of a failure of the launch vehicle  Aircraft Hazard Area : A three-dimensional region made up of the operating area and aircraft buffer zone  Safety Clear Zone : A boundary designed to contain the adverse effects of each operation involving a hazard NOTE: Restricting nonparticipating aircraft from entering the aircraft hazard area prevents exposure of aircraft to unacceptable risk levels.