FAA 14 CFR PART 413-2011 LICENSE APPLICATION PROCEDURES《许可证申请程序》.pdf

1、515 SUBCHAPTER CLICENSING PART 411 RESERVED PART 413LICENSE APPLICATION PROCEDURES Sec. 413.1 Scope of this part. 413.3 Who must obtain a license or permit. 413.5 Pre-application consultation. 413.7 Application. 413.9 Confidentiality. 413.11 Acceptance of an application. 413.13 Complete application.

2、 413.15 Review period. 413.17 Continuing accuracy of application; supplemental information; amendment. 413.19 Issuing a license or permit. 413.21 Denial of a license application. 413.23 License or permit renewal. AUTHORITY: 49 U.S.C. 7010170121. SOURCE: Amdt. 41303, 64 FR 19614, Apr. 21, 1999, unles

3、s otherwise noted. 413.1 Scope of this part. (a) This part explains how to apply for a license or experimental permit. These procedures apply to all applica-tions for issuing a license or permit, transferring a license, and renewing a license or permit. (b) Use the following table to locate specific

4、 requirements: Subject Part (1) Obtaining a Launch License 415 (2) License to Operate a Launch Site . 420 (3) Launch and Reentry of a Reusable Launch Ve-hicle (RLV) . 431 (4) License to Operate a Reentry Site 433 (5) Reentry of a Reentry Vehicle other than a Reus-able Launch Vehicle (RLV) 435 (6) Ex

5、perimental Permits . 437 Doc. No. FAA200624197, 72 FR 17017, Apr. 6, 2007 413.3 Who must obtain a license or permit. (a) A person must obtain a license in accordance with this section, unless el-igible for an experimental permit under paragraph (f) of this section. (b) A person must obtain a license

6、 to (1) Launch a launch vehicle from the United States; (2) Operate a launch site within the United States; (3) Reenter a reentry vehicle in the United States; or (4) Operate a reentry site within the United States. (c) A person who is a U.S. citizen or an entity organized under the laws of the Unit

7、ed States or any State must obtain a license to (1) Launch a launch vehicle outside the United States; (2) Operate a launch site outside the United States; (3) Reenter a reentry vehicle outside the United States; or (4) Operate a reentry site outside the United States. (d) A foreign entity in which

8、a United States citizen has a controlling inter-est must obtain a license to launch a launch vehicle from or to operate a launch site in (1) Any place that is outside the ter-ritory or territorial waters of any na-tion, unless there is an agreement in force between the United States and a foreign na

9、tion providing that such for-eign nation has jurisdiction over the launch or the operation of the launch site; or (2) The territory of any foreign na-tion, including its territorial waters, if there is an agreement in force between the United States and that foreign na-tion providing that the United

10、 States has jurisdiction over the launch or the operation of the launch site. (e) A foreign entity in which a U.S. citizen has a controlling interest must obtain a license to reenter a reentry vehicle or to operate a reentry site in (1) Any place that is outside the ter-ritory or territorial waters

11、of any na-tion, unless there is an agreement in force between the United States and a foreign nation providing that such for-eign nation has jurisdiction over the reentry or the operation of the reentry site; or (2) The territory of any foreign na-tion if there is an agreement in force between the U

12、nited States and that foreign nation providing that the United States has jurisdiction over the reentry or the operation of the reentry site. VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00525 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by

13、 IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-516 14 CFR Ch. III (1111 Edition) 413.5 (f) A person, individual, or foreign en-tity otherwise requiring a license under this section may instead obtain an experimental permit to launch or reenter a reusable subor

14、bital rocket under part 437 of this chapter. Doc. No. FAA200624197, 72 FR 17017, Apr. 6, 2007 413.5 Pre-application consultation. A prospective applicant must consult with the FAA before submitting an ap-plication to discuss the application process and possible issues relevant to the FAAs licensing

15、or permitting deci-sion. Early consultation helps an appli-cant to identify possible regulatory issues at the planning stage when changes to an application or to pro-posed licensed or permitted activities are less likely to result in significant delay or costs to the applicant. Doc. No. FAA200624197

16、, 72 FR 17018, Apr. 6, 2007 413.7 Application. (a) Form. An application must be in writing, in English and filed in dupli-cate with the Federal Aviation Admin-istration, Associate Administrator for Commercial Space Transportation, Room 331, 800 Independence Avenue, SW., Washington, DC 20591. Attenti

17、on: Application Review. (b) Administrative information. An ap-plication must identify the following: (1) The name and address of the ap-plicant; (2) The name, address, and telephone number of any person to whom inquir-ies and correspondence should be di-rected; and (3) The type of license or permit

18、for which the applicant is applying. (c) Signature and certification of accu-racy. An application must be legibly signed, dated, and certified as true, complete, and accurate by one of the following: (1) For a corporation: An officer or other individual authorized to act for the corporation in licen

19、sing or permit-ting matters. (2) For a partnership or a sole propri-etorship: A general partner or propri-etor, respectively. (3) For a joint venture, association, or other entity: An officer or other in-dividual authorized to act for the joint venture, association, or other entity in licensing or p

20、ermitting matters. (d) Safety approval. If the applicant proposes to include a safety element for which the FAA issued a safety ap-proval under part 414 in the proposed license activity, the applicant must (1) Identify the safety approval in the application and explain the proposed use of the approv

21、ed safety element. (2) Show that the proposed use of the approved safety element is consistent with the designated scope specified in the safety approval. (3) Certify that the safety element will be used according to any terms and conditions of the issued safety ap-proval. (e) Measurement system con

22、sistency. For each analysis, an applicant must employ a consistent measurements sys-tem, whether English or metric, in its application and licensing information. Amdt. 41303, 64 FR 19614, Apr. 21, 1999, as amended by Amdt. 4136, 71 FR 46852, Aug. 15, 2006; Amdt. 4138, 71 FR 51972, Aug. 31, 2006; Amd

23、t. 4137, 71 FR 56005, Sept. 26, 2006; Amdt. 4139, 72 FR 17018, Apr. 6, 2007 413.9 Confidentiality. (a) Any person furnishing informa-tion or data to the FAA may request in writing that trade secrets or propri-etary commercial or financial data be treated as confidential. The request must be made at

24、the time the informa-tion or data is submitted, and state the period of time for which confidential treatment is desired. (b) Information or data for which any person or agency requests confiden-tiality must be clearly marked with an identifying legend, such as Propri-etary Information, Proprietary

25、Com-mercial Information, Trade Secret, or Confidential Treatment Requested. Where this marking proves impracti-cable, a cover sheet containing the identifying legend must be securely at-tached to the compilation of informa-tion or data for which confidential treatment is requested. (c) If a person r

26、equests that pre-viously submitted information or data be treated confidentially, the FAA will do so to the extent practicable in light of any prior distribution of the infor-mation or data. VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00526 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WR

27、eier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-517 Commercial Space Transportation, FAA, DOT 413.17 (d) Information or data for which confidential treatment has been re-quested or information or data that qualif

28、ies for exemption under section 552(b)(4) of Title 5, United States Code, will not be disclosed to the public un-less the Associate Administrator deter-mines that the withholding of the in-formation or data is contrary to the public or national interest. 413.11 Acceptance of an application. The FAA

29、will initially screen an ap-plication to determine whether it is complete enough for the FAA to start its review. After completing the initial screening, the FAA will notify the ap-plicant in writing of one of the fol-lowing: (a) The FAA accepts the application and will initiate the reviews required

30、 to make a decision about the license or permit; or (b) The application is so incomplete or indefinite that the FAA cannot start to evaluate it. The FAA will reject it and notify the applicant, stating each reason for rejecting it and what action the applicant must take for the FAA to accept the app

31、lication. The FAA may return a rejected application to the ap-plicant or may hold it until the appli-cant takes the required actions. Doc. No. FAA200624197, 72 FR 17018, Apr. 6, 2007 413.13 Complete application. The FAAs acceptance of an applica-tion does not mean it has determined that the applicat

32、ion is complete. If, in addition to the information required by this chapter, the FAA requires other information necessary for a determina-tion that public health and safety, safety of property, and national secu-rity and foreign policy interests of the United States are protected during the conduct

33、 of a licensed or permitted ac-tivity, an applicant must submit the additional information. Doc. No. FAA200624197, 72 FR 17018, Apr. 6, 2007 413.15 Review period. (a) Review period duration. Unless oth-erwise specified in this chapter, the FAA reviews and makes a decision on an application within 18

34、0 days of re-ceiving an accepted license application or within 120 days of receiving an ac-cepted permit application. (b) Review period tolled. If an accepted application does not provide sufficient information to continue or complete the reviews or evaluations required by this chapter for a licensi

35、ng or permit-ting determination, or an issue exists that would affect a determination, the FAA notifies the applicant, in writing, and informs the applicant of any infor-mation required to complete the appli-cation. If the FAA cannot review an ac-cepted application because of lack of information or

36、for any other reason, the FAA will toll the 180-day or 120-day review period until the FAA receives the information it needs or the appli-cant resolves the issue. (c) Notice. If the FAA does not make a decision within 120 days of receiving an accepted license application or within 90 days of receivi

37、ng an accepted permit application, the FAA informs the applicant, in writing, of any out-standing information needed to com-plete the review, or of any issues that would affect the decision. Doc. No. FAA200624197, 72 FR 17018, Apr. 6, 2007 413.17 Continuing accuracy of appli-cation; supplemental inf

38、ormation; amendment. (a) An applicant must ensure the con-tinuing accuracy and completeness of information furnished to the FAA as part of a pending license or permit ap-plication. If at any time the informa-tion an applicant provides is no longer accurate and complete in all material respects, the

39、applicant must submit new or corrected information. As part of this submission, the applicant must recertify the accuracy and complete-ness of the application under 413.7. If an applicant does not comply with any of the requirements set forth in this paragraph, the FAA can deny the li-cense or permi

40、t application. (b) An applicant may amend or sup-plement a license or permit application at any time before the FAA issues or transfers the license or permit. (c) Willful false statements made in any application or document relating to an application, license, or permit VerDate Mar2010 13:23 Feb 23,

41、 2011 Jkt 223046 PO 00000 Frm 00527 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-,-,-518 14 CFR Ch. III (1111 Edition) 413.19 are punishable by fine and imprison-ment un

42、der 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. After the FAA completes its reviews and makes the decisions required by this chapter, t

43、he 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 and states the reasons for denial. (b) If the FAA has denied an applica-tion, the app

44、licant 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 greater, within which to recon-sider the decision; or (2) Request a hearing in accorda

45、nce 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 section may request a hearing in accordance with paragraph (b)(2) of this section. Amdt.

46、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 submitting to the FAA a writ-ten application for renewal at least 90 days before the license

47、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. (2) The application may incorporate by reference information provided as part of th

48、e 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-vide any additional clarifying informa-tion required by the FAA. (c) Review of appl

49、ication. 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 license 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 impo