Office of Commercial Space Transportation FAA Orbital Human Space Flight – Statutory and Regulatory Background

1. Federal Aviation Administration Office of Commercial Space Transportation FAA Orbital Human Space Flight – Statutory and Regulatory Background Randy Repcheck Deputy, Regulations and Analysis Division May 26, 2011

2. Outline • Overview of AST • Statutory Authority • Regulations • Guidance Documents 1

3. Overview of AST

4. Background • The U.S. space program today has 3 sectors: • Civil • Military • Commercial • The commercial space transportation sector was recognized in 1984 with the passage of the Commercial Space Launch Act. • Regulatory oversight for the commercial sector was given to the Office of Commercial Space Transportation (AST), currently part of the Federal Aviation Administration (FAA). 3

5. Mission To ensure the protection of the public, property, and the national security and foreign policy interests of the United States during commercial launch and reentry activities, and to encourage, facilitate, and promote U.S. commercial space transportation. 4

6. Organization of AST • AST is one of four lines of business within the Federal Aviation Administration. • The other three are: • Aviation Safety (AVS) • Airports (ARP) • Air Traffic (ATO) 5

7. Strategic Planning Office AST-3 Office of the Chief Engineer AST-4 External Relations Office AST-5 Organization of AST Associate Administrator AST-1 Deputy Associate Administrator AST-2 Space Transportation Development Division AST-100 Licensing & Evaluation Division AST-200 Regulations & Analysis Division AST-300 Safety Inspection Division AST-400 6

8. Commercial Space Transportation Air launch Sea launch Sounding rockets Ground launch 7

9. Commercial Space Transportation Manned reusable launch vehicles Reentry vehicles Amateur rockets Reusable suborbital rockets 8

10. U.S. SpaceportsCommercial and Government Active and Proposed Launch Sites Poker Flat ¨ · Kodiak Launch Complex Mid-Atlantic Regional Spaceport California Spaceport · ¨ Mojave Air and Space Port Key U.S. Federal Launch Site Non-Federal FAA-Licensed Launch Site Proposed Non-Federal Launch Site Sole Site Operator (FAA license or permit) Wallops Flight Facility Oklahoma Spaceport · · ¨ Spaceport America ¨ ¨ Edwards AFB · · Vandenberg AFB Cecil Field Spaceport * ¨ · White Sands Missile Range * * • Kennedy Space • Center • Cape Canaveral • Air Force Station · ¨ · Blue Origin Launch site Spaceport Florida Sea Launch Platform Equatorial Pacific Ocean Other spaceports have been proposed by: Alabama, Washington, Hawaii, Wisconsin, Wyoming, Indiana and multiple locations in Texas. Reagan Test Site Kwajalein Atoll, Marshall Islands FAA/AST: January 2011 9

11. Launch Sites ELV Spaceport America Oklahoma Spaceport Spaceport Florida Mid-Atlantic Regional Spaceport Mojave Air and Space Port Cecil Field Spaceport Kodiak Launch Complex California Spaceport 10

12. Why We Are Here Today – Commercial Orbital Human Spaceflight 11

13. Statutory Authority - Commercial Space Launch Act

14. Statute Regulations Guidance Documents 13

15. General • FAA authority from Commercial Space Launch Act, 51 U.S.C. Ch. 509, §§ 50901-23 (2011). • The FAA regulates: • Commercial launches and reentries, and • The operation of launch and reentry sites as carried out by U.S. citizens or within the United States. • FAA authorizes these activities consistent with public health and safety, safety of property, and the national security and foreign policy interests of the United States. 14

16. General • The FAA is also to Encourage, Facilitate, and Promote – • Commercial space launches by the private sector, and • The continuous improvement of the safety of launch vehicles designed to carry humans. • FAA does not regulate: • Space activities the Government carries out for the Government. • Activities regulated by FCC or NOAA. 15

17. Licensing • FAA must make a license determination within 180 days after accepting an application. • Consistent with the public health and safety, safety of property, and national security and foreign policy interests of the United States. • FAA is to issue a license if it decides that the applicant complies, and will continue to comply, with Chapter 509 and regulations. • FAA may modify a license anytime, particularly if new regulation is issued. 16

18. Experimental Permits • Alternative to a license for reusable suborbital rockets flown for: • Research and development, • Showing compliance with requirements for a license, and • Crew training. • Different and easier to obtain than a license. • 120 day determination. • Unlimited launches allowed. • Flights for compensation or hire not allowed. • Indemnification is not available. 17

19. Safety Approvals • The FAA may issue safety approvals for the following elements that may be used in conducting licensed or permitted launch or reentry activities: • Launch vehicles, • Reentry vehicles, • Safety systems, • Processes, • Services, or • Personnel. • A safety element with a safety approval does not require re-examination of its suitability for a license or permit. 18

20. Human SpaceflightCrew • A licensee or permittee may launch or reenter crew only if: • The crew has received training and has satisfied medical or other standards specified in the license or permit, and • The holder of the license or permit has informed any individual serving as crew in writing that the U.S. Government has not certified the launch vehicle as safe for carrying crew or space flight participants. 19

21. Human SpaceflightSpace Flight Participants • A licensee or a permittee may launch or reenter a space flight participant only if: • The licensee or permittee has informed the space flight participant in writing - • About the risks of the launch and reentry, and • That the U.S. Government has not certified the launch vehicle as safe for carrying crew or space flight participants. • The space flight participant has provided written informed consent to participate in the launch and reentry. • The FAA may issue regulations setting medical and training requirements. 20

22. Human Spaceflight • The FAA may issue regulations governing the design or operation of a launch vehicle to protect the health and safety of crew and space flight participants. • Applies only to launches for compensation or hire. • Until December 2012, limited to restricting or prohibiting design features or operating practices that have - • Resulted in a serious or fatal injury to crew or space flight participants during a licensed or permitted flight; or • Contributed to a close call (high risk of causing a serious or fatal injury). • After December 2012, the FAA may propose regulations without restriction. • Must take into consideration the evolving standards of safety in the commercial space flight industry. 21

23. Financial ResponsibilityInsurance • Licensees and Permittees must obtain liability insurance or demonstrate financial responsibility to compensate for the maximum probable loss (MPL) from claims by: • A third party for death, bodily injury, or property damage or loss; and • The U.S. Government for damage or loss to government property. • Statutory ceilings: • Government property - $100M maximum • Third party - $500M maximum

24. Financial ResponsibilityCross-Waivers • A licensee must sign reciprocal waivers of claims with its contractors, its customers, and the U.S. government. • Each party waives and releases claims against the other parties to the waivers and agrees to assume financial responsibility for: • Property damage it sustains, and • For bodily injury or property damage sustained by its own employees. • Purpose is to reduce litigation expenses by requiring launch participants to assume responsibility for their own losses. • Crew and space flight participants must execute reciprocal waivers of claims with the federal government.

25. Financial ResponsibilityIndemnification • The U.S. Government will* indemnify a licensee for any claims above the insured amount. • Up to $1.5B adjusted for inflation • Approx. $2.7B • *Subject to Congressional appropriation. • Space flight participants are not eligible for indemnification.

26. Regulations

27. Statute Regulations Guidance Documents 26

28. Current FAA Space Transportation Regulations SUBCHAPTER A - GENERAL • Part 400 - Basis and Scope • Part 401 - Organization and Definitions SUBCHAPTER B - PROCEDURE • Part 404 - Regulations and Licensing Requirements [Waivers and Rulemaking] • Part 405 - Investigations and Enforcement [Enforcement] • Part 406 - Investigations, Enforcement, and Administrative Review SUBCHAPTER C - LICENSING AND PERMITTING • Part 413 - License Application Procedures • Part 414 - Safety Approval • Part 415 - Launch License • Part 417 - Launch Safety • Part 420 - License to Operate a Launch Site • Part 431 - Launch and Reentry of a Reusable Launch Vehicle • Part 433 - License to Operate a Reentry Site • Part 435 - Reentry of a Reentry Vehicle Other Than a RLV • Part 437 - Experimental Permits for Reusable Suborbital Rockets • Part 440 - Financial Responsibility • Part 460 - Human Space Flight Requirements for Crew and Space Flight Participants 27

29. Types of RequirementsPrescriptive Example - § 437.51   Rest rules for vehicle safety operations personnel. A permittee must ensure that all vehicle safety operations personnel adhere to the work and rest standards in this section during permitted activities. (a) No vehicle safety operations personnel may work more than: (1) 12 consecutive hours, (2) 60 hours in the 7 days preceding a permitted activity, or (3) 14 consecutive work days. (b) All vehicle safety operations personnel must have at least 8 hours of rest after 12 hours of work. (c) All vehicle safety operations personnel must receive a minimum 48-hour rest period after 5 consecutive days of 12-hour shifts. 28

30. Types of RequirementsPerformance Based Example - § 460.11   Environmental control and life support systems. (a) An operator must provide atmospheric conditions adequate to sustain life and consciousness for all inhabited areas within a vehicle. The operator or flight crew must monitor and control the following atmospheric conditions in the inhabited areas or demonstrate through the license or permit process that an alternate means provides an equivalent level of safety— (1) Composition of the atmosphere, which includes oxygen and carbon dioxide, and any revitalization; (2) Pressure, temperature and humidity; (3) Contaminants that include particulates and any harmful or hazardous concentrations of gases, or vapors; and (4) Ventilation and circulation. 29

31. Types of RequirementsProcess Based Example - § 437.55   Hazard analysis. (a) A permittee must identify and characterize each of the hazards and assess the risk to public health and safety and the safety of property resulting from each permitted flight. This hazard analysis must— (1) Identify and describe hazards, including but not limited to each of those that result from— (i) Component, subsystem, or system failures or faults; (ii) Software errors; *** (2) Determine the likelihood of occurrence and consequence for each hazard before risk elimination or mitigation. 30

32. Types of RequirementsProcess Based Example - § 437.55   Hazard analysis. (cont.) (3) Ensure that the likelihood and consequence of each hazard meet the following criteria through risk elimination and mitigation measures: (i) The likelihood of any hazardous condition that may cause death or serious injury to the public must be extremely remote. (ii) The likelihood of any hazardous condition that may cause major property damage to the public, major safety-critical system damage or reduced capability, a significant reduction in safety margins, or a significant increase in crew workload must be remote. 31

33. Types of RequirementsProcess Based Example - § 437.55   Hazard analysis. (cont,) (4) Identify and describe the risk elimination and mitigation measures required to satisfy paragraph (a)(3) of this section. The measures must include one or more of the following: (i) Designing for minimum risk, (ii) Incorporating safety devices, *** (5) Demonstrate that the risk elimination and mitigation measures achieve the risk levels of paragraph (a)(3)(i) of this section through validation and verification. Verification includes: (i) Test data, (ii) Inspection results, or (iii) Analysis. 32

34. Statute Regulations Guidance Documents 33

35. Guidance Documents Example Advisory Circulars: AC 437.55-1 Hazard Analysis for the Launch or Reentry of a Reusable Suborbital Rocket Under an Experimental Permit AC 437.73-1 Anomaly Reporting and Corrective Action for a Reusable Suborbital Rocket Operating Under an Experimental Permit Example Guides: Guide to RLV Software and Computing System Safety Sample Experimental Permit Application for Vertical RLV 34

36. Questions? 35