AC 107-small UAS

1 U.S. Department of Transportation Federal Aviation Administration 

# Advisory Circular

Subject: Small Unmanned Aircraft Systems (small UAS) Date: NPRM DRAFT Initiated by: AFS-80 AC No: 107-small UAS Change:

FOREWORD

The Federal Aviation Administration (FAA) is proposing to amend its regulations to adopt specific rules for the operation of Small Unmanned Aircraft Systems (small UAS) in the National Airspace System (NAS) through a no tice of proposed rulemaking (NPRM). These changes would address the classification of sm all UAS, certification of small UAS operators, registration of small UAS, and small UAS operati onal limitations. This advisory circular (AC) provides guidance for conducting small UAS operations in the NAS in accordance with Title 14 of the Code of Federal Regulations (14 CFR) “proposed” part 107.

John S. Duncan

Director, Flight Standards ServiceAC 107-small UAS

2 TABLE OF CONTENTSAC 107-small UAS

3 GENERAL CHAPTER 1.

1-1. PURPOSE. This advisory circular (AC) pr ovides guidance in the areas of airman (operator) certification, aircraft registration and marking, aircraft airworthiness, and the operation of small unmanned aircraft systems (small UAS) in the National Airspace System (NAS) to promote compliance with the require ments of Title 14 of the Code of Federal Regulations (14 CFR) part 107 Small Unmanned Airc raft Systems. It does not provide, nor is it intended to provide, a legal interpretation of the regulations. Operators are encouraged to use this information to de velop an operational program th at meets both their individual situation and the requirements of the Federal Aviation Administration (FAA).

Note: This AC uses mandatory terms such as “must” only in the sense of ensuring applicability of these particular method s of compliance when using the acceptable means of compliance described herein. This AC is not mandatory and does not constitute a regulation. This AC does not change, add to, or delete regulatory requirements or authorize deviations from regulatory requirements.

We also note that this AC is not intended to cover every single provision of proposed part 107. Rather, this AC is intended to provide guidance on those provisions of proposed part 107 where additional inform ation may be helpful. We emphasize, however, that persons subject to proposed part 107 would be responsible for complying with every applicable provision of part 107, regardless of whether the provision is discussed in this AC.

REQUEST FOR INFORMATION. Direct comments and suggestions for improving this publication to:

Federal Aviation Administration AFS-80 Unmanned Aircraft Systems (UAS) Integration Office 490 L’Enfant Plaza SW, Suite 3200 Washington, DC 20024AC 107-small UAS

4 REFERENCES CHAPTER 2.

2-1. RELATED CODE OF FEDERAL RE GULATIONS (CFR) PARTS AND SECTIONS. The following regulations, parts, and sections can be found at http://www.faa.gov/regulations _policies/faa_regulations/ .

 Title 14 CFR Part 1, Definitions and Abbreviations.

 Title 14 CFR Part 45, Subpart C.

 Title 14 CFR Part 47, Aircraft Registration.

 Title 14 CFR Part 71, Designation of Class A, B, C, D, and E Airspace Areas; Air Traffic Service Routes; and Reporting Points.

 Title 14 CFR Part 73, Special Use Airspace.

 Title 14 CFR Part 91.

 Title 14 CFR Part 93

 Title 14 CFR Part 101

 Title 47 CFR Part 87, Aviation Services.

2-2. NOTICES TO AIRMEN (NOTAMS). Information on how to obtain NOTAMs can be at https://pilotweb .nas.faa.gov/PilotWeb/ .

2-3. RELATED READING MATERIAL.

a. FAA Advisory Circulars (AC), Notices, and Orders (current editions). You can find the following publications on the FAA Web site at http://www.faa.gov/regulations_polic ies/advisory_circulars/ and http://www.faa.gov/regulations _policies/orders_notices/ .

 FAA AC 60-28A – English Language Skills

 FAA Order 8130.34, Airworthiness Certifica tion of Unmanned Aircraft Systems and Optionally Piloted Aircraft.

 FAA Order JO 7110.10, Flight Services.

 FAA Order JO 7110.65, Air Traffic Control.

 FAA Order JO 7210.3, Facility Operation and Administration.

 FAA Order JO 7400.9, Airspace Designations and Reporting Points.

 FAA AC 120-92 – Safety Risk Management Systems for Aviation Service Providers

b. FAA Handbooks, Manuals and Other Publications. You can find the following handbooks, manuals and other publica tions on the FAA Web site at http://www.faa.gov/regulations _policies/handbooks_manuals/ .

 Aeronautical Information Manual (AIM) - http://www.faa.gov/air_ traffic/publications/

 Aeronautical Charts - http://faacharts.faa.gov/

 Aeronautical Charts - http://www.faa.gov/air_traffic/fli ght_info/aeronav/digital_products/

 Notices To Airmen (NOTAM) - h ttps://pilotweb.nas.faa.gov/PilotWeb/

 Pilot/Controller Glossary – http://www.faa.gov/air_tr affic/publications/AC 107-small UAS

5  Pilot’s Handbook of Aeronautical Knowledge – http://www.faa.gov/regulations_policies/ha ndbooks_manuals/aviation/pilot_handbook/

 General Aviation Pilot’s Guide to Preflight Weather Planning, Weather Self-Briefings, and Weather Decision Making – http://www.faa.gov/pilots/safety/ media/ga_weather_decision_making.pdf

 Risk Management Handbook – http://www.faa.gov/regulations_policies/handbo oks_manuals/aviation/risk_management_ handbook/

 FAA Knowledge Testing Centers - http://www.faa.gov/training_testing/ testing/media/test_centers.pdf

 FAA Knowledge Test Guide for a UAS Operat or Certificate with a Small UAS Rating – ( TBD )

c. RTCA, Inc. Documents (current editions). Copies of the following RTCA, Inc. documents are available for purchase online at http://www.rtca.org :

 DO-178B, Software Considerations in Airbor ne Systems and Equipment Certification.

 DO-304, Guidance Material and Consideratio ns for Unmanned Aircraft Systems.

d. Public Law. Public Law 112-95, Subtitle B — Un manned Aircraft Systems, §§ 331 – 336.AC 107-small UAS

6 BACKGROUND CHAPTER 3.

3-1. SMALL UNMANNED AIRCRAFT AND SMALL UNMANNED AIRCRAFT SYSTEM. A small unmanned aircraft is an aircraft whose total takeoff weight is less than 55 pounds (25 kilograms) and can be flown w ithout the possibility of direct human intervention from within or on the aircraft. A small unmanned aircraft system (UAS) includes the small unmanned aircraft and its associated elements (such as communication links and the components that control it) that are required for the safe and efficient operation of the small unmanned aircraft.

3-2. PART 107—A REGULATORY FIRST STEP. The FAA addresses aviation safety in three key areas: personnel, equipment, a nd operations. The FAA assesses each of these areas both independently to meet current regulations and standards, as well as collectively to ensure no conflicts exist overall that would create an unsafe c ondition. This approach allows the FAA to be flexible in responding to the n eeds of the aviation comm unity while still able to establish standards for future growth and development. Part 107 contains subparts that focus on each of these key aviation safety areas specific to small UAS, and the chapters in this AC are organized in the same manner.AC 107-small UAS

7 PART 107 SUBPART A—GENERAL CHAPTER 4.

4-1. APPLICABILITY. This chapter provides guidance re garding the applicability of Part 107 to civil small unmanned aircraft operati ons conducted within the National Airspace System (NAS). However, Part 107 does not apply to the following:

 Model Aircraft that are operated in acco rdance with Public Law 112-95 Section 336, which applies to model aircraft meeting all of the following criteria:

o The aircraft is flown strictly for hobby or recreational use;

o The aircraft is operated in accordance with a community-based set of safety guidelines and within the programmi ng of a nationwide community-based organization;

o The aircraft is limited to not more than 55 pounds unless otherwise certified through a design, construction, inspection, flight test, and operational safety program administered by a community-based organization;

o The aircraft is operated in a manner that does not interfere with and gives way to any manned aircraft; and

o When flown within 5 miles of an airport, the operator of the aircraft provides the airport operator and the airpor t air traffic control tower (w hen an air traffic facility is located at the airport) with prior notice of the operation;

 Aircraft conducting an ex ternal load operation;

 Any aircraft towing another aircraft or object;

 Air carriers (aircraft transporting persons or property for compensation or hire);

 Operations conducted outside the United States;

 Amateur rockets;

 Moored balloons;

 Unmanned free balloons;

 Kites;

 Public aircraft operations that are not conducted as civil operations; or

 Any aircraft that is ineligible for U.S. registration under 14 CFR § 47.3.

4-2. DEFINITIONS. Part 107 defines the following set of terms, some of which may also be used in other regulatory pa rts and defined elsewhere. Where a term or abbreviation is used and defined in Part 107, that definition or abbreviation takes prec edent when applied to Part 107.

Control station means an interface used by the oper ator to control the flight path of the small unmanned aircraft.

Corrective lenses means spectacles or contact lenses.

Model aircraft means an unmanned aircraft that is: (i) Capable of sustained f light in the atmosphere; (ii) Flown within visual line of sight of the person operating the aircraft; andAC 107-small UAS

8 (iii) Flown for hobby or recreational purposes.

Operator means a person who manipulates the flight controls of a small unmanned aircraft system.

Small unmanned aircraft means an unmanned aircraft weighing less than 55 pounds, including everything that is onboard the aircraft.

Small unmanned aircraft system means a small unmanned aircraft and its associated elements (including communi cation links and the components that control the small unmanned aircraft) that are required for the safe and efficient operation of the small unmanned aircra ft in the nationa l airspace system.

Unmanned aircraft means an aircraft operated wit hout the possibility of direct human intervention from within or on the aircraft.

Visual observer means a person who assists the sm all unmanned aircraft operator to see and avoid other air traffi c or objects aloft or on the ground.

4-3. ABBREVIATIONS/ACRONYMS USED IN THE ADVI SORY CIRCULAR

.

 AC – Advisory Circular

 ACR – Airman Certific ation Representative

 AGL – Above Ground Level

 ATC – Air Traffic Control

 CFI - Certificated Flight Instructor

 CFR - Code of Federal Regulations

 FAA - Federal Aviation Administration

 FSDO - Flight Standards District Office

 GPS - Global Positioning (Satellite) System

 IACRA – Integrated Airman Certif icate and/or Rating Application

 KTC – Knowledge Testing Center

 KTS – Knots

 MSL – Mean Sea Level

 NOTAM – Notice to Airmen

 NAS – National Airspace System

 PE – Pilot Examiner

 SAA – See and Avoid

 UAS- Unmanned Aircraft Systems

 U.S.C. - United States Code

 VO - Visual Observer

4-4. FALSIFICATION, REPRODUCTION, OR ALTERATION. The FAA relies on information provided by owners and operators of small unmanned aircraft systems (UAS)AC 107-small UAS

9 when it authorizes operations or when it has to make a compliance determination. Accordingly, the FAA may take appropriate action against a small UAS owner or operator who fraudulently or knowingly prov ides false records or reports, or otherwise reproduces or alters any records, re ports, or other information for fr audulent purposes. Such action could include civil sanctions and the suspension or revocation of a certifi cate or waiver.

4-5. ACCIDENT REPORTING. The operator of the small UA S is required to report any injury to a person or damage to property, other than the small UAS, resulting from the operation of the small UAS within 10 days of the operation that created the injury or damage. That report must be given to the FAA Flight Standards District Office (FSDO) nearest to where the injury or damage occurred. Th e FSDO will require the small UAS operator to provide the following information:

 Small UAS Operator’s Name and Contact Information;

 Small UAS Operator’s FAA Ai rman Certificate Number;

 Small UAS Information,

o Registration Number (N-number) of the small unmanned aircraft;

o Name of Registered Owner;

 Location of the Accident;

 Date of the Accident;

 Person(s) Injured and Extent of Injury, if any or known;

 Property Damaged and Extent of Damage, if any or known; and

 Description of what happened.

A listing of FSDOs can be found at http://www.faa.gov/about/offi ce_org/field_offices/fsdo/

.AC 107-small UAS

10 PART 107 SUBPART B, OPERATING LIMITATIONS FOR SMALL CHAPTER 5. UNMANNED AIRCRAFT SYSTEMS (SMALL UAS)

5-1. APPLICABILITY. This chapter provides guidance regarding small UAS operating limitations and the responsibilities of a sma ll UAS operator, visual observer, and other personnel that may be directly involved in the small UAS f light operation. A person is directly involved in the oper ation when his or her involvement is necessary for the safe operation of the small unmanned aircraft.

5-2. OPERATOR CERTIFICATION. A person operating a small unmanned aircraft in the National Airspace System (NAS) must have an unmanned aircraft operator certificate with a small UAS rating issued by the FAA. Guidance regarding small UAS operator certification is found in Chapter 6.

5-3. AIRCRAFT REGISTRATION. A small unmanned aircraft must be registered with the FAA prior to operating in the NAS. Guidance regarding small UAS registration and marking is found in Chapter 7.

5-4. SMALL UAS MAINTENANCE, INSPECTI ONS AND CONDITION FOR SAFE OPERATION. A small UAS must be maintained in a condition for safe operation. During an operation, the operator is responsible for in specting the small UAS and verifying that is actually in a condition for safe operation. Gu idance regarding how to determine that a small UAS is in a condition for safe operation is found in Chapter 8.

5-5. MEDICAL CONDITION. Being able to safely operate the small UAS relies on, among other things, the physical and mental capab ilities of the operator a nd visual observer. Though the small UAS operator and visual observe r are not required to obtain an airman medical certificate, they may not participate in the operation of a sma ll UAS if they know or have reason to know that they have a physical or mental condition that could interfere with the safe operation of the small UAS.

Obvious examples of physical or mental incap acitations that could render an operator or visual observer incapable of performing thei r small UAS operational duties are, but not limited to, such things as:

1. The temporary or permanent loss of the dexter ity necessary to operate the control station to safely control the small unmanned aircraft. 2. The inability to maintain the required “see a nd avoid” vigilance due to blurred vision. 3. The inability to maintain proper situationa l awareness of the small unmanned aircraft operations due to illness and/or medication( s), such as after ta king medications with cautions not to drive or operate heavy machinery. 4. A debilitating physical condition, such as a migraine headache or moderate or severe body ache(s) or pain(s) that would render th e operator or visual observer unable to perform their duties. 5. A hearing or speaking impairment that woul d inhibit the small UAS operator or visual observer from effectively communicating. If a person has such impairment, that personAC 107-small UAS

11 may contact the local FSDO for more informati on. For example, a person who is hearing impaired may be able to demonstrate to th e FAA that he or she can operate the small UAS safely. If effective communication is not demonstrated, then the FAA may place a restriction on the operator certific ate prohibiting certa in operations.

5-6. VISUAL LINE OF SIGHT AIRCRAFT OPERATION

. The operator must always keep the small unmanned aircraft close enough to th e control station to be able to see the small unmanned aircraft. This requirement applies even if a visual observer is used during the aircraft operation. If a visual observer is not used, the oper ator must exercise his or her ability to see the small unmanned aircraft and observe the small un manned aircraft at all times during flight. However, this requirement would allow the pe rson maintaining visual line of sight brief moments in which he or she cannot directly s ee the small unmanned aircraft provided that the person is able to see the surrounding area sufficiently well to safely carry out his or her visualline-of-sight-related responsibilitie s. Thus, the proposed visual- line-of-sight requirement would not prohibit actions such as s canning the airspace or briefly looking down at the small unmanned aircraft control station.

Visual line of sight must be accomplished and ma intained by unaided visi on, except vision that is corrected by the use of eyeglasses (spectacles) or contact lenses. Vision aids, such as binoculars, may be used only momentarily to assist the ope rator or visual observe r in avoiding flying over persons or avoiding other aircra ft. While the proposed rule wo uld not set specific vision standards, the FAA recommends that operators and visual observers ma intain 20/20 distant vision acuity (corrected) and normal field of vision.

5-6-1. VISUAL OBSERVER. The operator could also use a visu al observer to help meet the requirement that the small unmanned aircraft be ob served at all times by unaided vision. If one or more visual observers are us ed, the operator need not constan tly exercise his or her visualline-of-sight capability, but he or she must still maintain that capability in case something goes wrong. The operator must be able to communicat e the small unmanned aircraft position and the position of other airc raft in sight.

To ensure that the visual observer can carry out his or her duties, the ope rator must ensure that the visual observer is positioned in a location wher e he or she is able to see the small unmanned aircraft sufficiently to maintain visual line of sight. The operator can do this by specifying the location of the visual observer . The FAA also requires that th e operator and visual observer coordinate to: (1) scan the airspace where the small unmanned aircraft is operating for any potential collision hazard; and (2) maintain awareness of the position of the small unmanned aircraft through direct visual observation. This would be accomplished by the visual observer maintaining visual contact with the small un manned aircraft and the surrounding airspace and then communicating to the operator the flight status of the small unmanned aircraft and any hazards which may enter the area of operation so that the operator can take appropriate action.

To make this communication possible, the operato r and visual observer must work out a method of effective communication prior to operation th at allows them to understand each other, and utilize that method in the operation. This e ffective communication re quirement would permit the use of communication-assisti ng devices, such as radios, to facilitate communication between the operator and visual observer from a distance.AC 107-small UAS

12 5-7. OPERATION IN CERTAIN AIRSPACE, IN PROHIBITED OR RESTRICTED AREAS, OR IN THE PROXIMITY OF CERTAIN AREAS DESIGNATED BY NOTICE TO AIRMEN (NOTAM). Though many small UAS operations will occur in uncontrolled airspace, there are some that may n eed to operate in controlled airspace that require special aircraft equipment and Ai r Traffic Control (ATC) authorization and communication. It is incumbent on the sm all UAS operator to know the airspace and airspace requirements in which the small UAS will be operating. Failure to do so would be in violation of the Part 107 regul ations and may potentially have an adverse safety effect. Although small UAS would not be subject to part 91 under the NPRM, equipage and communications requirements are outlined in part 91 that provide safety and efficiency in controlled airspace. Part 91 requirements for c ontrolled airspace exist due to the potential complexity of operations at a given airfie ld. While small UAS operating under Part 107 would not be subject to Part 91 subpart B, as a practical matter, ATC authorization or clearance may depend on coming as close as po ssible to meeting the part 91 requirements. The ATC facility having jurisd iction of the controlle d airspace has the au thority to approve or deny aircraft operations based on traffi c density, controller wo rkload, communication issues, or any other type of ope rations that could potentially impact the safe and expeditious flow of air traffic in that airspace.

For recurring or long-term operations in a given volume of controlled airspace, prior authorization could perhaps incl ude a Letter of Agreement (LOA) to identify shortfalls and establish operating procedures for small UAS. This LOA will outline the ability to integrate into the existing air traffic operation and ma y improve the small UAS operator’s likelihood of access to the airspace where operations are proposed. This agreement will ensure all parties involved are aware of limitations and sp ecial interest items a nd will enable the safe flow of aircraft operations in that airsp ace. For short-term or short-notice operations proposed in controlled airport airspace, an LOA may not be feasible. However, prior authorization is requir ed in all cases, and it is strongl y encouraged that the small UAS operator work as closely as possible with the ATC facility having jurisdiction of the airspace to ensure optimum communication is achieved.

In addition, certain temporar y flight restrictions ( http://tfr.faa.gov/tfr2/list.html ) may be imposed by way of a NOTAM (https://pilotw eb.nas.faa.gov/PilotWeb/). Therefore, it is necessary for the small UAS operator to check for NOTAMs before to each flight to determine if there are any applicable airspace restrictions.

It is important that small UAS operators also be aware of the type of airspace in which they will be operating their small unmanned aircraft. Referring to a current aeronautical chart (http://faacharts.faa.gov/) of the intended operating area and being familiar with the appropriate sections of the Aeronautical Information Manu al (https://pilotweb.nas. faa.gov/PilotWeb) will aid the small UAS operator’s decision-maki ng regarding operations in the NAS.AC 107-small UAS

13 5-8. PREFLIGHT FAMILIARIZATI ON, INSPECTION, AND ACTIONS FOR AIRCRAFT OPERATION. The FAA requires operators to complete preflight familiarization and inspection, as well as other actions for airc raft operation prior to commencing operations. These familiarizations, inspections, and actions can be accomplished as part of an overall safety risk assessment. The FAA encourages operators to conduct the overall safety risk assessment as a method of compliance with the prohibition on op erations over persons and the requirement to remain clear of other aircraft, which are disc ussed in paragraphs 5- 10 and 5-11of this AC. Appendix 1 provides specific guidance on how to conduct an overall safety risk assessment.

The preflight familiarization, inspection, and acti ons for aircraft operation must include the following components:

 Conduct an assessment of the operating area. The assessment must include at least the following:

o Local weather conditions,

o Local airspace and any flight restrictions,

o The location of persons and property on the surface, and

o Other ground hazards;

 Ensure that all persons involved in the small unmanned aircraft operation receive a briefing. The briefing must incl ude at least the following:

o Operating conditions,

o Emergency procedures,

o Contingency procedures,

o Roles and responsibilities of each pe rson involved in the operation, and

o Potential hazards;

 Ensure that all links between the control station and the small unmanned aircraft are working properly. For example, before each flight the operator must determine that the small UA control surfaces are moving correc tly through the manipulation of the small unmanned aircraft control stati on. If the operator observes that one or more of the control surfaces are not moving or not moving correctly , the operator may not initiate the flight until the problem with the cont rol surface(s) is fixed; and

 Ensure that there is enough available power for the small unmanned aircraft system to operate for the intended operational time and to operate after that for at least five (5) minutes. Five minutes of available power mean s that the operator would have sufficient power to continue controlled flight ope rations to a normal landing for a planned minimum of 5 minutes after termination of in tended operations. Th is requirement helps to ensure that safe termination of the f light can still be acco mplished if unforeseen circumstances preclude a landing at the originally planned lo cation. One of the ways that this could be done is by following the sm all UAS manufacture r’s operating manual power consumption tables. Another method wo uld be to include equipage on the small UAS that detects power levels and alerts the operator when th ose levels become insufficient for continued operation.

5-9. OPERATING LIMITATIONS FO R SMALL UNMANNED AIRCRAFT. The small UA must be operated in accordance with the following limitations:

 Cannot be flown faster than 87 knots ( 100 miles per hour) calibrated airspeed;AC 107-small UAS

14  Cannot be flown higher than 500 feet ( 150 meters) above ground level (AGL);

 Cannot be flown when flight visibility, as observed from the location of the control station, is less than 3 statut e miles (5 kilometers); and

 Cannot be flown less than 500 feet below a cloud and less than 2000 feet horizontally from a cloud.

These operating limitations are intended, among ot her things, to help ensure that the small unmanned aircraft operator can easily identify a hazardous or potentially hazardous condition, such as encroaching aircraft or persons on the ground, and take the appropriate actions to operate safely and maintain safety.

Maximum Calibrated Airspeed. There are many different types of small UAS and different ways to determine calibrated airspeed. Therefore, this guidance will only touch on some of possible ways for the operator to ensure that the small unmanned aircraft does not exceed 87 knots (kts) calibrated airspeed in level flight. So me of the possible ways to ensure that 87 kts is not exceeded are as follows:

 Following the manufacturer’s operating ma nual instructions on how to determine calibrated airspeed for the unmanned aircraft and how not to exceed 87 kts calibrated airspeed;

 Installing a calibrated airspeed device on the small unmanned aircraft that reports airspeed information to the operator ,

 Installing a Global Positioning (Satellite) System (GPS) device on the small unmanned aircraft that reports groundspeed informati on to the operator, wherein the operator takes into account the wind direction and speed a nd calculates the small unmanned aircraft airspeed for a given di rection of flight, or

 Timing the groundspeed of the small unmanned ai rcraft when it is flown between two or more fixed points, taking into account wind speed and direction betw een each point, then noting the power settings of the small unmanned aircraft to operate at or less than 87 kts calibrated airspeed.

Maximum Altitude Above Ground Level . As with determining cal ibrated airspeed, there are many ways to determine the altitude of a small unma nned aircraft. Therefore, this guidance will only mention a few possible ways for an ope rator to determine altitude, such as:

 Installing a calibrated altitude reporting device on the small unmanned aircraft that reports the small unmanned airc raft altitude above mean sea level (MSL) to the operator, wherein the operator subtracts the MSL elevat ion of the control station from the small unmanned aircraft reported MSL altitude to determine the small unmanned aircraft AGL altitude above the control station;

 Installing a GPS device on the small unmanned ai rcraft that also has the capability of reporting MSL altitude to the operator with an accuracy of at least +/- 100 feet, wherein the operator ensures that when relying upon a system with a possible error of up to 100' the operations should limited to a maximum reported altitude of 400';

 With the small unmanned aircraft on the ground, have the operator and visual observer pace off 500 feet from the small unmanned aircraft to get a visual perspective of the small unmanned aircraft at that dist ance, wherein the operator and visual observer maintain that visual perspective or closer while the small unmanned aircraft is in flight; orAC 107-small UAS

15  Use the known height above the ground of lo cal rising terrain and/ or structures as a reference.

Flight Visibility and Distance from Clouds. Once the operator and visual observer have been able to reliably establish the small unmanned aircraft AGL altitude, it is incumbent on the operator to determine that visibility from the control station is at least 3 statute miles 1 (5 kilometers) and keep the small unmanned aircra ft at least 500 feet ( 150 meters) below a cloud and at least 2000 feet (600 meters ) horizontally from a cloud. One of the ways to ensure adherence to the minimum visibility and cloud clear ance requirements is to obtain local aviation weather reports that include current and forecast weather conditions. The closest aviation weather reporting station shoul d be not more than 25 statute miles away from the small unmanned aircraft operating area. If there is mo re than one local aviation reporting station, the operator should choose the closest one that is also the most representative of the terrain surrounding the operating area. If local aviation weather reports are not available, then the operator must not operate the small unmanned aircraft if he or she is not able to determine the required visibility and cloud clearances by other means. It is imperative that the unmanned aircraft not be operated above a ny cloud, and that there not be any obstruction to visibility, such as smoke or a cloud, between the unma nned aircraft and the operator.

5-10. PROHIBITED OPERATIO N OVER PERSONS. Part 107 prohibits a small unmanned aircraft from operating directly ove r a person, except for a person that is directly involved in the small unmanned aircraft, such as a VO or opera tor-assigned takeoff/landi ng personnel. It also requires the small UAS operator to ensure that the small unmanned aircraft will pose no hazard to other aircraft, people, or propert y in the event of a loss of aircraft control for any reason. It is the responsibility of the small UAS operator to comply with these requirements. There are many ways that the small UAS operator can comply with these requirements, such as, but not limited
to-

 Selecting an operational area (s ite) that is clearly unpopulated /uninhabited; If selecting a site that is populated/inhabite d, have a plan of action which ensures persons remain clear of the operating area, remain indoors, or rema in under safe cover until such time that the small unmanned aircraft flight has ended. Safe cover is an overhead structure that would protect a person from harm if the small unm anned aircraft were to crash into that structure;

 Establish an operational area, which the ope rator has taken reasonable precautions to keep free of persons not involved in the operation;

 If operating a small unmanned aircraft over wate r or near a shorelin e, pick an operating area that is clear of persons or watercraft and have a plan of action and take measures that ensure the small unmanned aircraft re mains clear of persons and watercraft.

5-11. REMAINING CLEAR OF OTHER AIRCRAFT. A small unmanned aircraft operator has a responsibility to remain cl ear of and yield to other aircraft , just as manned aircraft pilots do. This is traditionally referred to as the “see and avoid” (SAA) requirement. To satisfy SAA,

1 A statute mile is 5,280 feet. A nautical mile is 6,080 feet or 1 minute of latitude.AC 107-small UAS

16 the small unmanned aircraft operator must know th e location and trajectory of his or her small unmanned aircraft at all times, be aware of other aircraft in the vi cinity, and be able to maneuver the small unmanned aircraft to avoid a collision with other aircraft a nd to prevent the other aircraft from having to take action to avoid the small unmanned aircraft.

5-12. OPERATIONS FROM MOVING VEHICLES. Though operations from a moving aircraft or a vehicle moving on land are prohibited, they ma y be conducted from a vehicle moving on water. It should be noted that wh en operating from a waterc raft, the operator is subject to the same restrictions that apply to all operators. Specifically, operations are still prohibited over persons not invol ved in the operation. The operat or is also responsible for ensuring that no person is subject to undue risk as a result of lo ss of aircraft control for any reason. If a visual observer is not located on the same watercraft as the operator, the visual observer and operator must still maintain effective communication. This list of restrictions is not intended to be all-inclusive.

5-13. OPERATIONS WHILE IMPAIRED. Part 107 does not allow operation of a small UAS if the operator or visual observer is t oo impaired to safely carry out his or her responsibilities. While drug a nd alcohol use are known to impa ir judgment, certain over-thecounter medications and medical c onditions could also affect the ab ility to safely operate a small unmanned aircraft. For example, certain an tihistamines and decongestants may cause drowsiness. Certain medical c onditions such as epilepsy can al so create a risk to operations. We also emphasize that the applicable regulations prohibit a person from serving as an operator or visual observer if the person consumed any al coholic beverage within the preceding 8 hours.

5-14. PROHIBITION ON FLYING AT NIGHT. Operation of a small UAS outside the hours of official sunrise and sunset is prohibited. The Federal Air Almanac provides tables which are used to determine sunrise and sunset at various latitudes. These tables can also be downloaded from the Naval Observatory and customized for your location. The link for the Naval Observatory is http://aa.usno.navy.mil/data/docs/RS_OneYear.php

.

5-15. CARELESS OR RECKLESS OPERATION. It should be noted that, as with manned aircraft, small UAS operations ar e prohibited from engaging in a careless or re ckless operation. We also note that because small UAS have a dditional operating considerations that are not present in manned-aircraft operations, there may be additional activity that would be careless or reckless if conducted using a small UAS. For ex ample, failure to cons ider micrometeorology when operating in an urban environment could be a careless or reckless operation. This is not an issue for most manned aircraft as urban-envi ronment operations are limited in the mannedaircraft context.AC 107-small UAS

17 TITLE 14 CFR PART 107 SUBPART C OPERATOR CHAPTER 6. CERTIFICATION

6-1. APPLICABILITY. This chapter provides guidan ce regarding the certification requirements and procedures for persons operati ng a small unmanned aircraft in the National Airspace System (NAS). In the aviation context, the FAA typically refers to “licensing” as “certification.”

6-2. OPERATOR CERTIFICATION. All persons manipulating the controls of a small unmanned aircraft while it is in the NAS must first obtain an unmanned aircraft operator certificate with a small unmanned aircraft systems (UAS) rating issued by the FAA. Persons assisting the small UAS operator, such as visual observers, are not required to obtain an operator certificate.

6-3. ELIGIBILITY. Before a person may apply for an unm anned aircraft operator certificate with a small UAS rating, that person must m eet the following eligibility requirements:

 Be at least 17 years of age;

 Be able to read, speak, write, and understa nd the English language. However, the FAA may make an exception if the person is unabl e to meet one of these requirements due to medical reasons.

 Pass the initial aeronautical knowledge writ ten examination. For more information concerning aeronautical knowledge re quirements, see paragraph 6-6.

6-4

. APPLICATION. A person may apply for and rece ive an unmanned aircraft operator certificate with a small UAS rating provided they m eet the eligibility requirements. To apply for a certificate, a person must do the following-

 Complete the FAA Airman Certificate and/or Rating Application for UAS operators, yet to be developed. (FAA Form 8710-xx). The application may be completed online using the electronic FAA Integrated Airman Cer tificate and/or Rating Application (IACRA) system, once the UAS certification path is developed and operational. ( https://iacra.faa.gov/iacra/). The application must also include verification that the applicant passed an initial ae ronautical knowledge test (see paragraph 6.7) by including a copy of the airman knowledge test report provid ed by the test provider. The application must also include a certification by the appl icant that the applicant does not have a medical or mental condition that would pr event the applicant from operating a small UAS safely;

 Go to a FSDO, an FAA-designated pilot ex aminer (DPE), an airman certification representative (ACR), or an FAA-certificated flight instructor (CFI) to validate the applicant’s identification. The FAA Form 8710-XX application will be signed by the applicant after the FSDO, DPE, ACR, or CFI examines the applicant’s photo identification and verifies the applicant’s id entity. The FAA representative will then sign the application. The identification pr esented must include a photograph of the applicant, the applicant’s si gnature, and the applicant’s act ual residential address (if different from the mailing address). This info rmation may be presented in more than one form of identification. Acceptable methods of identification incl ude, but are not limitedAC 107-small UAS

18 to U.S. drivers’ licenses, government id entification cards, passports, and military identification cards; then

 Submit the application to the FAA.

6-5. SECURITY DISQUALIFICATION. After the FAA receives the application, the Transportation Security Administration (TSA ) will automatically conduct a background security screening of the applicant prior to ce rtificate issuance. Based on the results of the security screening, the FAA will either issue or not issue the unmanned aircraft operator certificate.

6-6. AERONAUTICAL KNOWLEDGE. It is important to have and retain the knowledge necessary to operate a small unmanned aircraft in the NAS. This aeronautical knowledge can be obtained through unassisted self-study, taking an online training course, taking an in-person training course, or any co mbination thereof. The FAA will publish an examination study guide that will provide the nece ssary reference material. It is a Part 107 requirement to acquire knowledge in the follo wing areas when applying for an UAS operatorcertificate with a small UAS rating1. Applicable regulations relating to small UA S rating privileges, limitations, and flight operation as cited in Part 107; 2. Airspace classification and ope rating requirements, obstacle clearance requirements, and flight restrictions affecting small unmanned aircraft operation; 3. Effects of weather on small unm anned aircraft performance; 4. Small unmanned aircraft loading and performance; 5. Emergency procedures; 6. Crew resource management; 7. Radio communication procedures, whic h include standard terminology; 8. Determining the performance of small UA; 9. Physiological effects of drugs and alcohol; 10. Aeronautical decision-ma king and judgment; and 11. Airport operations.

6-7. AERONAUTICAL KNOWLEDGE TE STS (INITIAL AND RECURRENT)

Initial Test. As mentioned in paragraph 6.3, a pe rson applying for an unmanned aircraft operator certificate with a small UAS rati ng must also pass an initial aeronautical knowledge test given by an F AA Knowledge Testing Center. The initial knowledge test will cover aeronautical knowledge areas listed in paragraph 6.6 above.

Recurrent Test . After a person receives an unmanned aircraft operator certificate with a small UAS rating, that person must retain and periodically up date the required aeronautical knowledge to continue to operate a small unmanned aircraft in the NAS. To that end, the small UAS operator must pass a recurrent aeronautical knowledge test every 24 calendar months after the i ssuance a new UAS operator ce rtificate with a small UASrating. For exampleA new Unmanned Aircraft The recu rrent test must be passed noAC 107-small UAS

19 Operator Certificate with a small UAS rating is issued on March 13, 2015 then later than March 31, 2017, which is 24 calendar months later.

The recurrent test is passed on April 16, 2017 then The next recurrent te st must be passed no later than April 30, 2019, which is 24 calendar months later.

The recurrent test is taken and passed on January 15, 2017 then The next recurrent te st must be passed no later than January 31, 2019, which is 24 calendar months later.

The recurrent aeronautical knowledge test areas are as follows - 1. Applicable regulations relating to sma ll UAS rating privileges, limitations, and flight operation as cited in Part 107; 2. Airspace classification and operating requirements, obstacle clearance requirements, and flight rest rictions affecting small unm anned aircraft operation; 3. Sources of weather; 4. Emergency procedures; 5. Crew resource management; 6. Aeronautical decision-ma king and judgment; and 7. Airport operations.

Test Providers. Knowledge Testing Centers (KTCs) will admini ster initial and recurrent examinations provided by the FAA. In order to take a knowledge test, an applicant will have to schedule an appointment with the KTC and bring proper government-issued photo identification to the KTC on the day of the te st. The location of the closest KTC can be found at: http://www.faa.gov/training_testing/te sting/media/test_centers.pdf.

6-8. MILITARY PILOTS OR FO RMER MILITARY PILOTS. Part 107 has a special provision (§ 107.75) for military or former milita ry UAS pilots/operators who apply for an unmanned aircraft operator cert ificate with a small UAS rating. A person qualifies as a military or former military UAS pilot for the purposes of applying for an unmanned aircraft operator certificate with a small UAS rating if th at person presents evidentiary documents that show- 1) the person's status in the U.S. Armed Fo rces, and 2) That the person is or was a U.S. military unmanned aircraft pilot or operator. A person who qualifies only needs to pass the recurrent aeronautical knowledge test when applying for an unmanned aircraft operator certificate with a small UAS rating. In additi on, that person may take the test at a joint military/FAA testing center without incurring an examination fee. However, if that is not convenient, the test may be provided by a KTC.AC 107-small UAS

20 TITLE 14 CFR PART 107 SUBP ART D SMALL UNMANNED CHAPTER 7. AIRCRAFT REGISTRATION AND IDENTIFICATION MARKING

7-1. APPLICABILITY – This chapter provides guidance on regarding the registration of a small unmanned aircraft and small unmanned aircraft markings.

7-2. SMALL UAS REGISTRATION. All small unmanned aircraft operating in the National Airspace System (NAS) must be registered with the FAA.

Eligibility. An aircraft is eligible for regist ration with the FAA if it is not registered in another country and it is owned by a person or entity who meets at least one of the following criteria:

 A citizen of the United States, as defined in 14 CFR § 47.2;

 A resident alien (an i ndividual citizen of a foreign country lawfully admitted for permanent residence in the United States);

 A non-citizen corporation organize d and doing business under the laws of the United States, or one of the St ates, and the aircraft is based and primarily used in the United States;

 The United States Government; or

 A State, the District of Columbia, a territory or possession of the United States, or a political subdiv ision of a State, territory, or possession. Application. An aircraft may be registered only by and in the legal name of its owner. To register a small unmanned aircraft th at has not been previously registered, the application package must include:

 A completed Aircraft Registration Application, AC Form 8050-1,

 The $5.00 aircraft registration fee, by check or money order payable to the Federal Aviation Administration.

 If the owner reserved a special N-number for this registration ahead of time, enter it on the forms in the i ndicated blanks. A special N-number may be requested for an additional $5 .00 fee with an enclosed letter; list several N-number choices a nd include the total $10.00 fees. A random N-number will be assigned at no cost if the N-number blanks are left empty or a random number is requested.

 For small unmanned aircraft, a descri ption of the aircraft using the elements required by 14 CFR § 47.33(e);

o the manufacturer or builder’s name, model, & serial number;

o the aircraft type, weight cla ss, and whether it is built for operation on land or water or both;

o the number, type, make, model, and serial number of the installed engines; and,

o a statement in the form of an affidavit establishing the origins of the aircraft: signed by the applicant if the aircraft was purchased new as an off-the-shelf item from a retail store orAC 107-small UAS

21 similar vendor from which a ma nufacturer’s bill of sale was not available; signed by the ma nufacturer if the aircraft was built as one of many in series using standardized parts and conforming to a single proprietary design; or signed by the builder if it was built to his ow n design from fabricated, spare or available parts. The affidav it should identify the origin of the aircraft and have attached to it whatever evidence is available to establish the origin of the aircraft. A sample format for the description and a ffidavit is available from the Aircraft Registry titled the Unmanned Aircraft Description and Affidavit of Ownership, AC Form 8050-88B,

 Evidence of ownership, such as an aircraft Bill of Sale, AC Form 8050-2, signed by the seller. In this case the seller would typically be: a commercial retailer, the manuf acturer, a builder, or the U.S. Government, the U.S. military, a State when selling aircraft previously operated as public or military aircraft.

7-3. SMALL UNMANNED AIRCRAFT IDENTIFICATION MARKING. All small unmanned aircraft must displa y an FAA-issued registration marking that identifies the aircraft as being registered with the FAA. 14 CFR 45, Subpart C, requires all unmanned aircraft to display markings in a specific manner. For guidance on Subpart C of Part 45, please consult section 7 of FAA Advisory Circular 45-2.

7-4. FOR MORE INFORMATIONhttp://www.faa.gov/licenses_certificates/air craft_certification/ aircraft_registry/

.AC 107-small UAS

22 SMALL UAS MAINTENANCE AND INSPECTION CHAPTER 8.

8-1. APPLICABILIY. Section 107.21 of part 107 requir es the operator to maintain the small UAS in a condition for safe operation and inspect the small UAS prior to flight. This chapter provides guidance on how to inspect and maintain a small UAS.

8-2. MAINTENANCE. Small UAS maintenance includes scheduled and unscheduled overhaul, repair, inspection, modification, repl acement, and system software upgrades of the small UAS and its components necessary for flight. Whenever possible, the operator should maintain the small UAS and its components in accordance with manufacturer’s instructions, such as the manufacturer’s maintenance manual.

Scheduled Maintenance. There may be components of the small UAS that need to undergo a scheduled periodic maintenance or replacement schedule based on time-inservice (such as flight hours and/or the calendar). The small UAS manufacturer may provide documentation for scheduled mainte nance. In addition, each small UAS component manufacturer may provide a maintenan ce schedule for its specific component.

If there are no scheduled maintenance instructions provided by the small UAS manufacturer or component manufacturer, the operator should establish a scheduled maintenance protocol. This could be done by documenting any repair, modification, overhaul or replacement of a system compone nt resulting from normal flight operations, and recording the time-in-service for that component at the time of the maintenance procedure. Over time, the operator should then be able to establish a reliable maintenance schedule for the small UAS and its components.

Unscheduled Maintenance. During the course of a preflight inspection, the operator may discover that a small UAS component is in need of servicing (s uch as lubrication), repair, modification, overhaul, or replacem ent outside of the scheduled maintenance period as a result of normal flight operations or resulting from a mishap. In addition, the small UAS manufacturer or component manufac ture may require an unscheduled system software update to correct a problem or to simply improve the performance and/or reliability of the system.

Performance of Maintenance. In some instances, the small UAS or component manufacturer will require certain maintenance items to be performed by the manufacturer or by a person or facility (personnel) speci fied by the manufacturer. Though Part 107 does not require this, it is highly recomme nded that the maintenance be performed in accordance with the manufacturer’s instructions. If the ope rator decides not to use the manufacturer or personnel recommended by th e manufacturer and is unable to perform the required maintenance, the operator should choose maintenance personnel familiar with the specific small UAS and its components.

If the operator or other maintenance personnel are unable to repair, modify, or overhaul a small UAS or component back to its safe opera tional specification, then it is advisable to replace the small UAS or component with one that is in a condition for safe operation. It isAC 107-small UAS

23 important that all required maintenance be co mpleted before each flight; and preferably in accordance with the manufacturer’s instructions or, in lieu of that, within known industry best practices.

8-3. INSPECTION. Before each flight, the operator must inspect the small UAS to ensure that it is in a condition for safe operation, su ch as inspecting for equipment damage or malfunction(s). The preflight inspection shoul d be conducted in acco rdance with the small UAS manufacturer’s inspection procedures (usually found in the manufacturer’s owner or maintenance manual) and/or an inspecti on procedure developed by the operator.

Preflight Inspection Items. Even if the small UAS manuf acturer has a written preflight inspection procedure, it is recommended that the operator ensure that the following inspection items are incorporated into the preflight inspection procedure to help the operator determine that the small UAS is in a condition for safe operations:

 Visual Condition Inspection of Un manned Aircraft Componentso Airframe structure, including underc arriage, wing(s) and stabilizer(s);

o Moveable control surfac e(s), including airframe attachment point(s);

o Servo motor(s), includin g attachment point(s);

o Propulsion system, including powerplant(s) , propeller(s), ro tor(s), ducted fan(s), etc.;

o Power supply system(s), including battery and fuel;

o Avionics, including control link tran sceiver, communication/navigation equipment and antenna(s).

 Visual Condition Inspection of th e Control Station Componentso Power supply;

o Control link transceiver, communicati on/navigation data link transceiver and antenna(s);

o Display panel.

 Check ground support equipment, includi ng takeoff and landing systems, for proper operation;

 Check that the control link is establishe d between the aircraft and the control station;

 Check for correct movement of control surfaces using the control station;

 Check on board navigation a nd communication data links;

 Check flight termination system, if installed;

 Check fuel for correct type and level;

 Check battery levels for the aircraft and control station;

 Check that any equipment, such as a camera, is securely attached.

8-4. AIRWORTHINESS DIRECTIVES. Though a small UAS is not required to obtain an FAA airworthiness certificate, there may be equipment used on the small UAS that has received FAA certification. F AA-certificated equipment is subject to compliance with Airworthiness Directives issu ed in accordance with 14 CFR part 39. For additional information and guidance regarding Ai rworthiness Directives, go online to http://www.faa.gov/aircraft/air _cert/continued_operation/

.AC 107-small UAS

24 APPENDIX 1. SAMPLE RISK ASSESSMENT TOOLS

1. PURPOSE OF THIS APPENDIX. The information in this appendix is provided as an example of a viable risk assessment process. Th is process is used to identify hazards and classify the potential risk that those hazards c ould present in an operation. It also provides examples of potential criteria for the severity of consequences and likelih ood of occurrence that may be used by a small UAS operator.

2

. Hazard Identification. Hazards in the small UAS and its operating environment must be identified, documented, and controlled. The analys is process used to define hazards needs to consider all components of the system, based on the equipment being used and the environment it is being operated in. The key question to ask during analysis of the small UAS and its operation is what if? Small UAS operators are expected to exercise due diligence in identifying significant and reasonably foreseeable hazards related to their operations.

Figure 1. Hazard Identification and Risk Assessment Process Chart

3. Risk Analysis and Assessment. The risk assessment should use a conventional breakdown of risk by its two components: likelihood of occurrenc e and severity.AC 107-small UAS

25 4. Severity and Likelihood Criteria. There are several tools wh ich could be utilized in determining severity and likelihood when evaluating a hazard. One tool is a risk matrix. Several examples of these are presented in Figure 2. The de finitions and construction of the matrix is left to the small UAS operator to design. The definiti ons of each level of severity and likelihood need to be defined in terms that are realistic for the operational environment. This ensures each operator’s decision tools are relevant to th eir operations and operational environment, recognizing the extensive divers ity which exists. An example of severity and likelihood definitions is shown in Table 1 below.

TABLE 1. SAMPLE SEVERITY AND LIKELIHOOD CRITERIA

Severity of Consequences Likelihood of Occurrence Severity Level Definition Value Likelihood Level Definition Value

Catastrophic Equipment destroyed, multiple deaths 5 Frequent Likely to occur many times 5

Hazardous Large reduction in safety margins, physical distress or a workload such that operators cannot be relied upon to perform their tasks accurately or completely. Serious injury or death. Major equipment damage. 4 Occasional Likely to occur sometimes 4

Major Significant reduction in safety margins, reduction in the ability of operators to cope with adverse operating conditions as a result of an increase in workload, or as result of conditions impairing their efficiency. Serious incident. Injury to
persons. 3 Remote Unlikely, but possible to

occur 3

Minor Nuisance. Operating limitations. Use of
emergency procedures. Minor incident. 2 Improbable Very unlikely to occur 2

Negligible Little consequence 1 Extremely Almost inconceivable 1AC 107-small UAS

26 Severity of Consequences Likelihood of Occurrence Improbable that the event will occur

a. Risk Acceptance. In the development of risk assessment criteria small UAS operators are expected to develop risk acceptance procedures, including acceptance crit eria and designation of authority and responsibility for risk management decision making. The acceptability of risk can be evaluated using a risk matrix such as those illustrated in Figure 2. Example 1 shows three areas of acceptability while Example 2 shows four areas with an alpha-numeric scale. Risk matrices may be color coded; unacceptable (red), acceptable (green ), and acceptable with mitigation (yellow).

(1) Unacceptable (Red). Where combinations of severity and likelihood cause risk to fall into the red area, the risk would be assessed as unacceptable and further work would be required to design an intervention to eliminate that associated hazard or to control the factors that lead to higher risk likeli hood or severity.

(2) Acceptable (Green). Where the assessed risk falls into the green area, it may be accepted without further action. The objective in risk management should always be to reduce risk to as low as practicable regardless of whether or not the assessment shows that it can be accepted as is.

(3) Acceptable with Mitigation (Yellow). Where the risk assessment falls into the yellow area, the risk may be accepted under defined conditions of mitigation. An example of this situation would be an assessment of the impact of a small UAS operation near a school yard. Scheduling the operation to take place when school is not in session could be one mitigation to prevent undue risk to the children that study a nd play there. Another mitigation could be restricting people from the area of operations by placing cones or security personnel to prevent unauthorized access during the small UAS flight operation.AC 107-small UAS

27 FIGURE 2. SAFETY RISK MATRIX EXAMPLES

Example 1

Risk Risk Severity

Likelihood Catastrophic A Hazardous B Major C Minor D Negligible E
Frequent 5 5A 5B 5C 5D 5E

Occasional 4 4A 4B 4C 4D 4E

Remote 3 3A 3B 3C 3D 3E

Improbable 2 2A 2B 2C 2D 2E Extremely Improbable 1 1A 1B 1C 1D 1E

NOTE: The direction of higher/lower and mo re/less scales on a matrix is at the discretion of the operator.

b. Other Risk Assessment Tools for Flight and Operational Risk Management. Other tools can also be used for flight or operati onal risk assessments and can be developed by the operators themselves. The key thing is to ensure that all potential hazards and risks are identified and appropriate actions are taken to reduce the risk to persons and property not associated with the operations.

Reducing Risk. Risk analyses should concentrate not only on assigning levels of severity and likelihood but on determining why thes e particular levels were select ed. This is referred to as Severity

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nAC 107-small UAS

28 root cause analysis , and is the first step in developing effective controls to reduce risk to lower levels. In many cases, simple brainstorming sessi ons among operators and others involved in an operation is the most effective and affordable me thod of finding ways to reduce risk. This also has the advantage of involving people who will u ltimately be required to implement the controls developed.

It is also very easy to get quite bogged down in tryi ng to identify all hazards and risks. That is not the purpose of a risk assessment. The fo cus should be upon those hazards which pose the greatest risks. As stated earlier, by documenti ng and compiling these processes, an operator can build an arsenal of safety practi ces that will add to the safety and success of future operations.

Sample Hazard Identification and Risk Assessment

Example: I am the operator of a small UAS in th e proximity of an accident scene shooting aerial footage. Much like pilots in manned ai rcraft must adhere to preflight action (14 CFR 91.103), I must adhere to preflight familiariza tion, inspection, and aircraft operations (14 CFR 107.49). Let’s say that there is an obvious takeoff and landing site that I intend to use. What if, while I am operating a manned aircra ft (emergency medical services helicopter) requires use of the same area and I am not left with a suitable landing site? Furthermore, I am running low on power. If I consider this situation prior to flight, I can use the Basic Hazard Identification and Mitigation Process . Through this process I might determine that an acceptable level of risk can be achieved by also having an alternate landing site and possibly additional sites at which I can sacrif ice the unmanned aircraft to avoid imposing risk to people on the ground or to manned aircraft operations. It is really a simple process: I must consider the hazards pr esented during this particular operation, determine the risk severity and then develop a plan to lessen (or mitigate) the risk to an acceptable level. By documenting and compiling these processes, I can build an arsenal of safety practices that will add to the safety and success of future operations. The following are some proven methods that can help a new operator along the way:

 Hazard Identification: Using the Personal Minimu ms (PAVE) Checklist for Risk Management I will set personal minimums based upon my specific flight experience, health habits and tolerance for stress, just to name a few. After identifying hazards I will then input them into the Basic Hazar d Identification and Mitigation flow chart (Figure 1).

o P ersonal : Am I healthy for flight and what are my personal minimums based upon my experience operating this small UAS? During this step I will often use the I’M SAFE checklist in order to perform a more in depth evaluation:

 I llness – Am I suffering from any illness or symptom of an illness which might affect them in flight?

 M edication – Am I currently taking any drugs (prescription or over-thecounter)?AC 107-small UAS

29  S tress – Am I experiencing any psychol ogical or emotional factors which might affect my performance?

 A lcohol – Have I consumed alcohol within the last 8 to 24 hours?

 F atigue – Have I received sufficient sleep and rest in the recent past?

 E ating – Am I sufficiently nourished?

o A ircraft : Have I conducted a preflight check of my small UAS (aircraft, control station, takeoff and landing equipment, et c.) and determined it to be in a condition for safe operation? Is the f ilming equipment properly secured to the aircraft prior to flight?

o En V iroment : What's the weather like? Am I comfortable and experienced enough to fly in the forecast weather condi tions? Have I considered all of my options and left myself an "out"? Have I determined alternative landing spots in case of an emergency?

o E xternal Pressures : Am I stressed or anxious? Is this a flight that will cause me to be stressed or anxious? Is there pre ssure to complete the flight operation quickly? Am I dealing with an unhealthy safety culture? Am I being honest with myself and others about my persona l operational abilities and limitations?

Controlling Risk. After hazards and risk are fully understood though the preceding steps, risk controls must be designed and implemented. Th ese may be additional or changed procedures, additional or modified equipment, addition of visual observers, or any of a number of other changes.

Residual and Substitute Risk. Residual risk is the risk remaining after mitigation has been completed. Often this is a multistep process, con tinuing until risk has been mitigated down to an acceptable level necessary to begin or continue operation. After these controls are designed but before the operation begins or continues, an asse ssment must be made of whether the controls are likely to be effective and/or if they introduce new hazards to the operation. The latter condition, introduction of new hazards, is referred to as s ubstitute risk, a situation where the cure is worse than the disease. The loop seen in Figure 1 that returns back to the top of the diagram depicts the use of the preceding hazard iden tification, risk analysis, and risk assessment processes to determine if the modified operation is acceptable.

Once appropriate risk controls are developed and implemented, th en the operation can begin.