FAA 14 CFR PART 414-2011 SAFETY APPROVALS《安全批准》.pdf

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1、518 14 CFR Ch. III (1111 Edition) 413.19 are punishable by fine and imprison-ment under section 1001 of Title 18, United States Code, and by administra-tive sanctions in accordance with part 405 of this chapter. Doc. No. FAA200624197, 72 FR 17018, Apr. 6, 2007 413.19 Issuing a license or permit. Aft

2、er the FAA completes its reviews and makes the decisions required by this chapter, the FAA issues a license or permit to the applicant. Doc. No. FAA200624197, 72 FR 17019, Apr. 6, 2007 413.21 Denial of a license application. (a) The FAA informs an applicant, in writing, if it denies an application a

3、nd states the reasons for denial. (b) If the FAA has denied an applica-tion, the applicant may either: (1) Attempt to correct any defi-ciencies identified and ask the FAA to reconsider the revised application. The FAA has 60 days or the number of days remaining in the review period, which-ever is gr

4、eater, within which to recon-sider the decision; or (2) Request a hearing in accordance with part 406 of this chapter, for the purpose of showing why the application should not be denied. (c) An applicant whose license appli-cation is denied after reconsideration under paragraph (b)(1) of this secti

5、on may request a hearing in accordance with paragraph (b)(2) of this section. Amdt. 41303, 64 FR 19614, Apr. 21, 1999, as amended by Amdt. 4139, 72 FR 17019, Apr. 6, 2007 413.23 License or permit renewal. (a) Eligibility. A licensee or permittee may apply to renew its license or per-mit by submittin

6、g to the FAA a writ-ten application for renewal at least 90 days before the license expires or at least 60 days before the permit expires. (b) Application. (1) A license or permit renewal application must satisfy the requirements set forth in this part and any other applicable part of this chap-ter.

7、 (2) The application may incorporate by reference information provided as part of the application for the expiring license or permit, including any modi-fications to the license or permit. (3) An applicant must describe any proposed changes in its conduct of li-censed or permitted activities and pro

8、-vide any additional clarifying informa-tion required by the FAA. (c) Review of application. The FAA re-views the application to determine whether to renew the license or permit for an additional term. The FAA may incorporate by reference any findings that are part of the record for the ex-piring li

9、cense or permit. (d) Renewal of license or permit. After the FAA finishes its reviews, the FAA issues an order modifying the expira-tion date of the license or permit. The FAA may impose additional or revised terms and conditions necessary to pro-tect public health and safety and the safety of prope

10、rty and to protect U.S. national security and foreign policy in-terests. (e) Denial of license or permit renewal. The FAA informs a licensee or per-mittee, in writing, if the FAA denies the application for renewal and states the reasons for denial. If the FAA de-nies an application, the licensee or

11、per-mittee may follow the procedures of 413.21 of this part. Doc. No. FAA200624197, 72 FR 17019, Apr. 6, 2007 PART 414SAFETY APPROVALS Subpart AGeneral Sec. 414.1 Scope. 414.3 Definitions. 414.5 Applicability. 414.7 Eligibility. Subpart BApplication Procedures 414.9 Pre-application consultation. 414

12、.11 Application. 414.13 Confidentially. 414.15 Processing the initial application. 414.17 Maintaining the continued accuracy of the initial application. Subpart CSafety Approval Review and Issuance 414.19 Technical criteria for reviewing a safety approval application. 414.21 Terms and conditions for

13、 issuing a safety approval; duration of a safety ap-proval. VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00528 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS

14、-,-,-519 Commercial Space Transportation, FAA, DOT 414.11 414.23 Maintaining the continued accuracy of the safety approval application. 414.25 Safety approval records. 414.27 Safety approval renewal. 414.29 Safety approval transfer. 414.31 Monitoring compliance with the terms and conditions of a saf

15、ety ap-proval. 414.33 Modification, suspension, or revoca-tion of a safety approval. 414.35 Public notification of the criteria by which a safety approval was issued. Subpart DAppeal Procedures 414.37 Hearings in safety approval actions. 414.39 Submissions; oral presentations in safety approval acti

16、ons. 414.41 Administrative law judges rec-ommended decision in safety approval actions. AUTHORITY: 49 U.S.C. 106(g), 40113, 44701. SOURCE: Docket No. FAA200521332, 71 FR 46853, Aug. 15, 2006, unless otherwise noted. Subpart AGeneral 414.1 Scope. This part establishes procedures for obtaining a safet

17、y approval and renew-ing and transferring an existing safety approval. Safety approvals issued under this part may be used to support the application review for one or more launch or reentry license requests under other parts of this chapter. 414.3 Definitions. Safety approval. For purposes of this

18、part, a safety approval is an FAA docu-ment containing the FAA determina-tion that one or more of the safety ele-ments listed in paragraphs (1) and (2) of this definition, when used or employed within a defined envelope, parameter, or situation, will not jeopardize public health and safety or safety

19、 of property. A safety approval may be issued inde-pendent of a license, and it does not confer any authority to conduct activi-ties for which a license is required under 14 CFR chapter III. A safety ap-proval does not relieve its holder of the duty to comply with all applicable re-quirements of law

20、 or regulation that may apply to the holders activities. (1) Launch vehicle, reentry vehicle, safety system, process, service, or any identified component thereof; or (2) Qualified and trained personnel, performing a process or function re-lated to licensed launch activities or vehicles. Safety elem

21、ent. For purposes of this part, a safety element is any one of the items or persons (personnel) listed in paragraphs (1) and (2) of the definition of safety approval in this section. 414.5 Applicability. This part applies to an applicant that wants to obtain a safety approval for any of the safety e

22、lements defined under this part and to persons granted a safety approval under this part. Any person eligible under this part may apply to become the holder of a safety approval. 414.7 Eligibility. (a) There is no citizenship require-ment to obtain a safety approval. (b) You may be eligible for a sa

23、fety approval if you are (1) A manufacturer or designer of a launch or reentry vehicle or component thereof; (2) The designer or developer of a safety system or process; or (3) Personnel who perform safety critical functions in conducting a li-censed launch or reentry. (c) A safety approval applican

24、t must have sufficient knowledge and exper-tise to show that the design and oper-ation of the safety element for which safety approval is sought qualify for a safety approval. (d) Only the safety elements defined under this part are eligible for a safety approval. Subpart BApplication Procedures 414

25、.9 Pre-application consultation. The applicant must consult with the FAA before submitting an application. Unless the applicant or the FAA re-quests another form of consultation, consultation is oral discussion with the FAA about the application process and the potential issues relevant to the FAAs

26、safety approval decision. 414.11 Application. (a) The application must be in writ-ing, in English, and filed in duplicate VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00529 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo

27、 reproduction or networking permitted without license from IHS-,-,-520 14 CFR Ch. III (1111 Edition) 414.13 with the Federal Aviation Administra-tion, Associate Administrator for Com-mercial Space Transportation, 800 Independence Avenue, SW., Wash-ington, DC 20591. (b) The application must identify

28、the following basic information: (1) Name and address of the appli-cant. (2) Name, address, and telephone number of any person to whom inquir-ies and correspondence should be di-rected. (3) Safety element (i.e., launch vehi-cle, reentry vehicle, safety system, process, service, or any identified com

29、-ponent thereof; or personnel) for which the applicant seeks a safety approval. (c) The application must contain the following technical information: (1) A Statement of Conformance let-ter, describing the specific criteria the applicant used to show the adequacy of the safety element for which a saf

30、ety approval is sought, and showing how the safety element complies with the specific criteria. (2) The specific operating limits for which the safety approval is sought. (3) The following as applicable: (i) Information and analyses required under this chapter that may be appli-cable to demonstratin

31、g safe perform-ance of the safety element for which the safety approval is sought. (ii) Engineering design and analyses that show the adequacy of the proposed safety element for its intended use, such that the use in a licensed launch or reentry will not jeopardize public health or safety or the saf

32、ety of prop-erty. (iii) Relevant manufacturing proc-esses. (iv) Test and evaluation procedures. (v) Test results. (vi) Maintenance procedures. (vii) Personnel qualifications and training procedures. (d) The application must be in English, legibly signed, dated, and cer-tified as true, complete, and

33、accurate by one of the following: (1) For a corporation, an officer or other individual authorized to act for the corporation in licensing or safety approval matters. (2) For a partnership or a sole propri-etorship, a general partner or propri-etor, respectively. (3) For a joint venture, association

34、, or other entity, an officer or other in-dividual duly authorized to act for the joint venture, association, or other en-tity in licensing matters. (e) Failure to comply with any of the requirements set forth in this section is sufficient basis for denial of a safety approval application. 414.13 Co

35、nfidentiality. (a) To ensure confidentiality of data or information in the application, the applicant must (1) Send a written request with the application that trade secrets or pro-prietary commercial or financial data be treated as confidential, and include in the request the specific time frame co

36、nfidential treatment is required. (2) Mark data or information that re-quire confidentiality with an identi-fying legend, such as Proprietary In-formation, Proprietary Commercial Information, Trade Secret, or Con-fidential Treatment Requested. Where this marking proves impracticable, at-tach a cover

37、 sheet that contains the identifying legend to the data or infor-mation for which confidential treat-ment is sought. (b) If the applicant requests confiden-tial treatment for previously sub-mitted data or information, the FAA will honor that request to the extent practicable in case of any prior dis

38、-tribution of the data or information. (c) Data or information for which confidential treatment is requested or data or information that qualifies for exemption under section 552(b)(4) of Title 5, U.S.C., will not be disclosed to the public unless the Associate Admin-istrator determines that withhol

39、ding the data or information is contrary to the public or national interest. (d) If the proposed criteria for evalu-ating a safety approval is secret, as classified by the U.S. Government, or the applicant wants it to remain pro-prietary or confidential, it cannot be used as a basis for issuance of

40、a safety approval. VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00530 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-521 Commercial Space Transportation,

41、 FAA, DOT 414.21 414.15 Processing the initial applica-tion. (a) The FAA will initially screen an application to determine if the applica-tion is sufficiently complete to enable the FAA to initiate the reviews or evaluations required under this part. (b) After completing the initial screening, the F

42、AA will inform the ap-plicant in writing of one of the fol-lowing: (1) The FAA accepts the application and will begin the reviews or evalua-tions required for a safety approval de-termination under this part. (2) The FAA rejects the application because it is incomplete or indefinite making initiatio

43、n of the reviews or evaluations required for a safety ap-proval determination under this part inappropriate. (c) The written notice will state the reason(s) for rejection and corrective actions necessary for the application to be accepted. The FAA may return a re-jected application to the applicant

44、or may hold it until the applicant pro-vides more information. (d) The applicant may withdraw, amend, or supplement an application anytime before the FAA makes a final determination on the safety approval application by making a written re-quest to the Associate Administrator. If the applicant amend

45、s or supplements the initial application, the revised ap-plication must meet all the applicable requirements under this part. 414.17 Maintaining the continued ac-curacy of the initial application. The applicant is responsible for the continuing accuracy and completeness of information provided to th

46、e FAA as part of the safety approval application. If at any time after submitting the ap-plication, circumstances occur that cause the information to no longer be accurate and complete in any material respect, the applicant must submit a written statement to the Associate Ad-ministrator explaining t

47、he cir-cumstances and providing the new or corrected information. The revised ap-plication must meet all requirements under 414.11. Subpart CSafety Approval Review and Issuance 414.19 Technical criteria for review-ing a safety approval application. (a) The FAA will determine whether a safety element

48、 is eligible for and may be issued a safety approval. We will base our determination on perform-ance-based criteria, against which we may assess the effect on public health and safety and on safety of property, in the following hierarchy: (1) FAA or other appropriate Federal regulations. (2) Governm

49、ent-developed or adopted standards. (3) Industry consensus performance- based criteria or standard. (4) Applicant-developed criteria. Ap-plicant-developed criteria are perform-ance standards customized by the man-ufacturer that intends to produce the system, system component, or part. The applicant-developed criteria must define (i) Design and minimum perform-ance; (ii) Quality assurance system re-quirements; (i