FAA 14 CFR PART 440-2011 FINANCIAL RESPONSIBILITY《经济责任》.pdf

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1、869 Commercial Space Transportation, FAA, DOT Pt. 440 reusable suborbital rocket design with-out invalidating the permit. (b) Except for design changes made under paragraph (a) of this section, a permittee must ask the FAA to modify the experimental permit if (1) It proposes to conduct permitted act

2、ivities in a manner not authorized by the permit; or (2) Any representation in its permit application that is material to public health and safety or the safety of prop-erty is no longer accurate or complete. (c) A permittee must prepare an ap-plication to modify an experimental permit and submit it

3、 in accordance with part 413 of this subchapter. If re-quested during the application process, the FAA may approve an alternate method for requesting permit modifica-tions. The permittee must indicate any part of its permit that would be changed or affected by a proposed modification. (d) When a per

4、mittee proposes a modification, the FAA reviews the de-terminations made on the experi-mental permit to decide whether they remain valid. (e) When the FAA approves a modi-fication, it issues the permittee either a written approval or a permit order modifying the permit if a stated term or condition

5、of the permit is changed, added, or deleted. An approval has the full force and effect of a permit order and is part of the permit record. 437.87 Records. (a) Except as required by paragraph (b) of this section, a permittee must maintain for 3 years all records, data, and other material necessary to

6、 verify that a permittee conducted its launch or reentry in accordance with its per-mit. (b) If there is a launch or reentry ac-cident or incident, a permittee must preserve all records related to the event. A permittee must keep the records until after any Federal inves-tigation and the FAA advises

7、 the per-mittee that it may dispose of them. (c) A permittee must make all records that it must maintain under this section available to Federal offi-cials for inspection and copying. 437.89 Pre-flight reporting. (a) Not later than 30 days before each flight or series of flights conducted under an e

8、xperimental permit, a per-mittee must provide the FAA with the following information: (1) Any payload to be flown, includ-ing any payload operations during the flight, (2) When the flight or series of flights are planned, (3) The operating area for each flight, and (4) The planned maximum altitude f

9、or each flight. (b) Not later than 15 days before each permitted flight planned to reach greater than 150 km altitude, a per-mittee must provide the FAA its planned trajectory for a collision avoidance analysis. 437.91 For-hire prohibition. No permittee may carry any property or human being for comp

10、ensation or hire on a reusable suborbital rocket. 437.93 Compliance monitoring. A permittee must allow access by, and cooperate with, federal officers or employees or other individuals author-ized by the FAA to observe any activi-ties of the permittee, or of its contrac-tors or subcontractors, assoc

11、iated with the conduct of permitted activities. 437.95 Inspection of additional reus-able suborbital rockets. A permittee may launch or reenter additional reusable suborbital rockets of the same design under the permit after the FAA inspects each additional reusable suborbital rocket. PARTS 438439 R

12、ESERVED PART 440FINANCIAL RESPONSIBILITY Subpart AFinancial Responsibility for Licensed and Permitted Activities Sec. 440.1 Scope of part. 440.3 Definitions. 440.5 General. 440.7 Determination of maximum probable loss. VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00879 Fmt 8010 Sfmt 80

13、10 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-870 14 CFR Ch. III (1111 Edition) 440.1 440.9 Insurance requirements for licensed or permitted activities. 440.11 Duration of coverage f

14、or licensed launch, including suborbital launch, or permitted activities; modifications. 440.12 Duration of coverage for licensed re-entry; modifications. 440.13 Standard conditions of insurance cov-erage. 440.15 Demonstration of compliance. 440.17 Reciprocal waiver of claims require-ments. 440.19 U

15、nited States payment of excess third-party liability claims. APPENDIX A TO PART 440INFORMATION RE-QUIREMENTS FOR OBTAINING A MAXIMUM PROBABLE LOSS DETERMINATION FOR LI-CENSED OR PERMITTED ACTIVITIES APPENDIX B TO PART 440AGREEMENT FOR WAIVER OF CLAIMS AND ASSUMPTION OF RE-SPONSIBILITY FOR LICENSED A

16、CTIVITIES APPENDIX C TO PART 440AGREEMENT FOR WAIVER OF CLAIMS AND ASSUMPTION OF RE-SPONSIBILITY FOR PERMITTED ACTIVITIES APPENDIX D TO PART 440AGREEMENT FOR WAIVER OF CLAIMS AND ASSUMPTION OF RE-SPONSIBILITY FOR A CREW MEMBER APPENDIX E TO PART 440AGREEMENT FOR WAIVER OF CLAIMS AND ASSUMPTION OF RE

17、-SPONSIBILITY FOR A SPACE FLIGHT PARTICI-PANT AUTHORITY: 49 U.S.C. 7010170119; 49 CFR 1.47. SOURCE: Docket No. FAA200523449, 71 FR 75632, Dec. 15, 2006, unless otherwise noted. Subpart AFinancial Responsi-bility for Licensed and Per-mitted Activities 440.1 Scope of part. This part establishes financ

18、ial re-sponsibility and allocation of risk re-quirements for any launch or reentry authorized by a license or permit issued under this subchapter. 440.3 Definitions. Except as otherwise provided in this section, any term used in this part and defined in 49 U.S.C. 7010170121, or in 401.5 of this chap

19、ter shall have the meaning contained therein. For pur-poses of this part Bodily injury means physical injury, sickness, disease, disability, shock, mental anguish, or mental injury sus-tained by any person, including death. Contractors and subcontractors means those entities that are involved at any

20、 level, directly or indirectly, in licensed or permitted activities, and includes suppliers of property and services, and the component manufacturers of a launch vehicle, reentry vehicle, or pay-load. Customer means. (1) Any person: (i) Who procures launch or reentry services from a licensee or perm

21、ittee; (ii) With rights in the payload (or any part of the payload) to be launched or reentered by the licensee or per-mittee, including a conditional sale, lease, assignment, or transfer of rights; (iii) Who has placed property on board the payload for launch, reentry, or payload services; or (iv)

22、To whom the customer has trans-ferred its rights to the launch or re-entry services. (2) A space flight participant, for the purposes of this part, is not a cus-tomer. Federal range facility means a U.S. Government-owned installation at which a launch or reentry takes place. Financial responsibility

23、 means capable of satisfying a liability obligation as required by 49 U.S.C. Subtitle IX, chap-ter 701. Government personnel means employ-ees of the United States, its agencies, and its contractors and subcontractors, involved in launch or reentry services for an activity authorized by an FAA licens

24、e or permit. Employees of the United States include members of the Armed Forces of the United States. Hazardous operations means activi-ties, processes, and procedures that, be-cause of the nature of the equipment, facilities, personnel, environment in-volved or function being performed, may result

25、in bodily injury or property damage. Liability means a legal obligation to pay a claim for bodily injury or prop-erty damage resulting from a licensed or permitted activity. License means an authorization the FAA issues under this subchapter to launch or reenter a launch or reentry vehicle. Licensed

26、 activity means the launch of a launch vehicle or the reentry of a re-entry vehicle conducted under a license the FAA issues. Maximum probable loss (MPL) means the greatest dollar amount of loss for VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00880 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX

27、223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-871 Commercial Space Transportation, FAA, DOT 440.5 bodily injury or property damage that is reasonably expected to result from a licensed or permitted acti

28、vity; (1) Losses to third parties, excluding Government personnel and other launch or reentry participants em-ployees involved in licensed or per-mitted activities, that are reasonably expected to result from a licensed or permitted activity are those that have a probability of occurrence of no less

29、 than one in ten million. (2) Losses to Government property and Government personnel involved in licensed or permitted activities that are reasonably expected to result from licensed or permitted activities are those that have a probability of occur-rence of no less than one in one hun-dred thousand

30、. Permit means an authorization the FAA issues under this subchapter for the launch or reentry of a reusable sub-orbital rocket. Permitted activity means the launch or reentry of a reusable suborbital rocket conducted under a permit issued by the FAA. Property damage means partial or total destructi

31、on, impairment, or loss of tangible property, real or personal. Regulations mean the Commercial Space Transportation Licensing Regu-lations codified at 14 CFR Ch. III. Third party means (1) Any person other than: (i) The United States, any of its agencies, and its contractors and sub-contractors inv

32、olved in launch or re-entry services for a licensed or per-mitted activity; (ii) A licensee, permittee, and its contractors and subcontractors in-volved in launch or reentry services for a licensed or permitted activity; (iii) A customer and its contractors and subcontractors involved in launch or r

33、eentry services for a licensed or permitted activity; (iv) A member of a crew; and (v) A space flight participant. (2) Government personnel, as defined in this section, are third parties. United States means the United States Government, including each of its agencies. 440.5 General. (a) No person m

34、ay commence or con-duct any launch or reentry activity that requires a license or permit unless that person has demonstrated compli-ance with the requirements of this part. (b) The FAA will prescribe the amount of financial responsibility a li-censee or permittee must obtain and any adjustments of t

35、he amount in a li-cense or permit order issued concur-rent with or subsequent to the issuance of a license or a permit. (c) Demonstration of financial re-sponsibility under this part shall not relieve a licensee of ultimate responsi-bility for liability, loss, or damage sus-tained by the United Stat

36、es resulting from a licensed activity, except to the extent that: (1) Liability, loss, or damage sus-tained by the United States results from willful misconduct of the United States or its agents; (2) Any covered claim of a third party for bodily injury or property damage arising out of any particul

37、ar licensed activity exceeds the amount of finan-cial responsibility required under 440.9(c) of this part and does not ex-ceed $1,500,000,000 (as adjusted for infla-tion) above such amount, and are pay-able pursuant to 49 U.S.C. 70113 and 440.19 of this part. A claim of an em-ployee of any entity li

38、sted in para-graphs (1)(ii) through (1)(iii) in the Third party definition in 440.3 of this part for bodily injury or property dam-age is not a covered claim; (3) A covered claim for property loss or damage exceeds the amount of fi-nancial responsibility required under 440.9(e) of this part and does

39、 not re-sult from willful misconduct of the li-censee; or (4) The licensee has no liability for covered claims by third parties for bod-ily injury or property damage arising out of any particular launch or reentry that exceeds $1,500,000,000 (as adjusted for inflation) above the amount of fi-nancial

40、 responsibility required under 440.9(c). (d) Demonstration of financial re-sponsibility under this part does not relieve a permittee of ultimate respon-sibility for liability, loss, or damage VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00881 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046W

41、Reier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-872 14 CFR Ch. III (1111 Edition) 440.7 sustained by the United States result-ing from a permitted activity, except to the extent that: (1) Liability, loss, or dam

42、age sus-tained by the United States results from willful misconduct of the United States or its agents; or (2) A covered claim for property loss or damage to the United States exceeds the amount of financial responsibility required under 440.9(e) and does not result from willful misconduct of the pe

43、rmittee. (e) A licensees or permittees failure to comply with any requirement of this part may result in suspension or rev-ocation of a license or permit, and sub-ject the licensee or permittee to civil penalties as provided in part 405 of this chapter. 440.7 Determination of maximum probable loss.

44、(a) The FAA will determine the max-imum probable loss (MPL) from cov-ered claims by a third party for bodily injury or property damage, and the United States, its agencies, and its contractors and subcontractors for cov-ered property damage or loss, resulting from a permitted or licensed activity. T

45、he maximum probable loss deter-mination forms the basis for financial responsibility requirements issued in a license or permit order. (b) The FAA issues its determination of maximum probable loss no later than ninety days after a licensee or permittee has requested a determina-tion and submitted al

46、l information re-quired by the FAA to make the deter-mination. The FAA will consult with Federal agencies that are involved in, or whose personnel or property are ex-posed to risk of damage or loss as a re-sult of, a licensed or permitted activity before issuing a license or permit order prescribing

47、 financial responsibility re-quirements, and shall notify the li-censee, or permittee, if interagency consultation may delay issuance of the MPL determination. (c) Appendix A of this part contains information requirements for obtain-ing a maximum probable loss deter-mination. Any person requesting a

48、 de-termination of maximum probable loss must submit the information required by Appendix A, unless the FAA has waived a requirement. In lieu of sub-mitting required information, a person requesting a maximum probable loss determination may designate and cer-tify certain information previously submi

49、tted for a prior determination as complete, valid, and equally applicable to its current request. The requester is responsible for the continuing accuracy and completeness of information sub-mitted under this part and must promptly report any changes in writ-ing. (d) The FAA will amend a determina-tion of maximum probable loss re-quired under this section at any time prior to completion of licensed or per-mitted activities as warranted by sup-pleme